SUZANNE H. SEGAL, Magistrate Judge.
Leticia Jimenez ("Plaintiff") seeks review of the final decision of the Commissioner of the Social Security Administration (the "Commissioner" or the "Agency") denying her Disability Insurance Benefits and Supplemental Security Income. The parties consented, pursuant to 28 U.S.C. § 636(c), to the jurisdiction of the undersigned United States Magistrate Judge. For the reasons stated below, the decision of the Commissioner is AFFIRMED.
Plaintiff filed applications for Title II Disability Insurance Benefits ("DIB") and Title XVI Supplemental Security Income ("SSI") on July 27, 2010. (Administrative Record ("AR") 233-36, 237-41). Plaintiff alleged a disability onset date of September 20, 2007. (AR 233, 237). The Agency denied Plaintiff's applications on March 8, 2011. (AR 105-07, 108-10). On March 24, 2011, Plaintiff requested a hearing before an Administrative Law Judge ("ALJ"). (AR 111-12). Plaintiff testified at the first of two hearings before ALJ Christine Long on May 3, 2012 ("First Hearing"). (AR 49-68). A Spanish language interpreter translated for Plaintiff. (AR 52).
At the First Hearing, vocational expert ("VE") Susan D. Green incorrectly cited the Dictionary of Occupational Titles ("DOT") code for Plaintiff's previous relevant employment as a data entry clerk. (AR 72). After the hearing, the ALJ conducted additional research to establish the proper DOT code. (AR 72). On May 23, 2012, the ALJ sought a written opinion by a new VE, Frank Corso, Jr., as to whether use of the wrong DOT code could lead to an incorrect assessment of Plaintiff's residual functional capacity (RFC). (AR 335-39). Mr. Corso proferred his opinion on May 30, 2012. (AR 339). On June 5, 2012, the ALJ informed Plaintiff that she wished to enter Mr. Corso's opinion into the record as additional evidence. (AR 342).
On June 14, 2012, Plaintiff, now represented by attorney Joel D. Leidner, requested a supplemental hearing. (AR 161). On July 18, 2012, Plaintiff testified at the supplemental hearing ("Second Hearing"). (AR 69-96). The ALJ issued an unfavorable decision on August 21, 2012. (AR 22-38). Plaintiff filed a timely request for review with the Appeals Council on September 20, 2012 (AR 18), which the Council denied on October 22, 2013. (AR 1-4). Plaintiff filed the instant action on December 3, 2013. (Dkt. No. 3).
Plaintiff was born on October 18, 1965. (AR 36). She was forty-one years old as of the alleged disability onset date and forty-six years old when she appeared before the ALJ. (AR 57, 75, 233, 237). Plaintiff attended elementary school in Mexico and continued her education through the tenth grade after moving to the United States in 1978. (AR 36, 58). Plaintiff worked as a check processor for a bank for approximately ten years prior to the alleged disability onset date. (AR 260). She alleges that pain in her hands prevented her from working after September 20, 2007.
On September 27, 2007, Plaintiff filed claims with the California Workers' Compensation Appeals Board ("Board") for four work-related injuries and conditions sustained between 2002 and 2007: "strain and stress on the job," "[Plaintiff] fell from a chair," "a metal hit [Plaintiff's] chest" and "strain of viewing computer monitor." (AR 203-07). Board-approved workers' compensation physician Michael Bazel treated Plaintiff beginning on September 27, 2007. (AR 386). Although the Board initially found Plaintiff ineligible for benefits, an ALJ reversed this decision on appeal. (AR 214). The Board ALJ noted that Plaintiff had experienced hand pain since 2004, but a Board-appointed orthopedic surgeon failed to consider this symptom when he certified Plaintiff to return to work in February 2008.
Plaintiff first saw George Bernales, M.D., her primary care physician, in 1994. (AR 496). Dr. Bernales treated Plaintiff for insomnia (January 12, 2000; AR 482); a ganglion cyst (June 21, 2000; AR 480); anxiety (June 20, 2001; AR 478); and a non-cancerous growth in Plaintiff's right eye.
On September 25, 2007, Plaintiff selected Michael Bazel, M.D., to serve as the primary treating physician for her workers' compensation determination. (AR 202, 386). Plaintiff first visited Dr. Bazel that same day. (AR 386). On February 9, 2009, two months after his last examination of Plaintiff, Dr. Bazel issued his final "Permanent and Stationary Report" to the Board. (
Dr. Bazel also reviewed magnetic resonance images (MRIs) and nerve conduction studies of Plaintiff's wrists taken by radiologist Sim Hoffman, M.D., on December 12, 2007. (AR 399). He affirmed the radiologist's impression that enlargement of the median nerve in Plaintiff's right wrist was consistent with CTS, and also found mild enlargement of the median nerve in the left wrist.
Dr. Bazel's December 9, 2008 Permanent and Stationary Report made eleven diagnoses: (1) pterygium; (2) vision difficulty; (3) lower back strain; (4) disc disease; (5) radiculopathy; (6) bilateral wrist sprain; (7) bilateral CTS; (8) headaches; (9) depression; (10) anxiety; and (11) insomnia.
On January 21, 2011, state agency consultative physician Carl E. Millner, M.D., conducted an internal medicine examination of Plaintiff. (AR 506-10). Plaintiff complained of wrist and knee pain, and Dr. Millner ordered x-rays of Plaintiff's wrists and knees. (AR 506, 511-12). The x-rays revealed soft-tissue swelling over all of these joints, but no acute conditions. (AR 511-12). Plaintiff reported that she was currently taking lorazepam, ranitidine, cyclobenzaprine, and Tylenol Arthritis.
On February 15, 2011, state agency consultative psychiatrist Alexis Meshi, M.D., conducted a mental health examination of Plaintiff. Dr. Meshi noted that Plaintiff drove herself to the examination but wore a brace on her right hand. (AR 515). Plaintiff reported that she had been struggling with moderate depression and some anxiety issues since 2007. (
Dr. Meshi assessed Plaintiff with mild memory problems and "more significant difficulty with attention and focus issues." (AR 518). However, she opined that Plaintiff could follow one- and two-part instructions "certainly with treatment she is currently not doing." (
Nonexamining physician Samantha Park, M.D., reviewed Plaintiff's medical records on March 4, 2011. (AR 97-104). Dr. Park took into account Plaintiff's allegations of low back pain, CTS, arthritis, insomnia, depression and anxiety. (AR 97). She noted that Plaintiff had "sharp pains" in her wrists and knees and had headaches. (
Dr. Winston Brown reviewed Plaintiff's records and created a Mental RFC Assessment on March 4, 2011. (AR 521-37). Dr. Brown concluded that Plaintiff's RFC included both affective and anxiety-related disorders. (AR 525). He found that Plaintiff exhibited a medically determinable impairment of anxiety that did not precisely satisfy the criteria for a specific anxiety-related disorder. (AR 530). Dr. Brown opined that Plaintiff was either "not significantly limited" or "moderately limited" across a range of capacities, including understanding and memory, sustained concentration and persistence, social interaction, and ability to adapt. (AR 523). As an overall mental RFC assessment, Dr. Brown concluded that Plaintiff "is able to perform work where interpersonal contact is incidental to work performed, e.g. assembly work; complexity of tasks is learned and performed by rote, few variables, little judgment; supervision required is simple, direct and concrete (unskilled)." (
VE Susan Green testified at the First Hearing regarding the existence of jobs that Plaintiff could perform, given her physical and mental limitations. (AR 65-67). Following the First Hearing, however, the ALJ concluded that Ms. Green used an improper DOT code for Plaintiff's past relevant work, causing her to give inaccurate answers to the ALJ's hypotheticals. (AR 28, 72). The ALJ discarded VE Green's assessment and sought an assessment from a new VE, Frank Corso, Jr. (AR 74, 336).
The ALJ posed a single hypothetical in a written inquiry that Mr. Corso answered on May 30, 2012. (AR 335-39). The ALJ asked Mr. Corso to assume a hypothetical individual with Plaintiff's age, education, and literacy skills. The individual previously worked as a Data Entry Clerk "with an exertional level of sedentary work and a skill level . . . of 4." (AR 335, 337). The individual had an RFC to perform light work as follows: "lift and carry 20 pounds occasionally and 10 pounds frequently; unlimited sitting ability; stand and walk 6 hours total in an 8 hour workday and must be able to alternate sitting and standing every 2 hours with normal breaks; occasional stooping; and frequent handling and fingering with both hands." (AR 337). Mr. Corso opined that such an individual would not be able to perform Plaintiff's past relevant work, because "`Data Entry Clerk' requires constant fingering." (AR 337). However, Mr. Corso concluded that such an individual could perform other occupations. (AR 338). These included work as an order clerk, sorter, "cashier II," sales attendant, charge account clerk, or document preparer." (
Mr. Corso was unable to testify at the Second Hearing, and the ALJ sought new testimony from VE Allan Ey. (AR 73). The ALJ posed three hypotheticals. (AR 83-86). First, she asked the VE to assume an individual of Plaintiff's age and educational background who could lift and carry twenty pounds occasionally and ten pounds frequently. (AR 83-84). The individual could sit for an unlimited time, stand and walk for six out of eight work hours, alternate sitting and standing every two hours with normal breaks, and do frequent handling and fingering with both hands. (
In her second hypothetical, the ALJ asked Mr. Ey to assume that the individual could lift and carry no more than ten pounds either occasionally or frequently. (
Finally, the ALJ asked Mr. Ey to consider a third hypothetical individual who could lift and carry no more than ten pounds occasionally or frequently and who could sit no more than four out of eight hours. (AR 86). However, this individual could stand and walk no more than two hours out of every eight, would have to alternate standing and sitting briefly every thirty minutes, could do only occasional stopping, kneeling, crouching and crawling, and could do no more than occasional fingering with both hands. (
The ALJ invited Plaintiff's counsel to ask additional questions. (
Counsel also asked the VE to consider an individual with limitations identical to those Dr. Bazel had specified for Plaintiff: "no repetitive pushing or pulling with hand/wrist, no repetitive finger/wrist motion, . . . no lifting beyond 20 pounds, no bending, stooping, climbing, prolonged standing or walking, no driving over 60 minutes." (
Plaintiff attributed her condition to two accidents she suffered while working for the bank, resulting in back and wrist injuries.
In a typical day, Plaintiff awoke at seven a.m., had a light breakfast and then took pain medication. (AR 63). She also took pain medication before going to bed at eight p.m., and again in the middle of the night when she typically awoke with pain. (AR 63-64). During the day, she did "whatever I'm able to do that's not heavy" around the house and prepared meals, but relied on her husband to help with household tasks she could not handle. (AR 63, 77). She could sit for about an hour, but then would feel "burning pain" in her back and had to stand. (AR 64). She needed to stand for a few minutes during the Second Hearing. (AR 77). She could walk longer than she could sit, and routinely took walks around the block. (AR 64). However, standing caused her to feel tired, and she felt best when lying down. (AR 78).
Plaintiff experienced "awful" back pain the night before the Second Hearing, and stopped at her physician's office for an injection of pain medication prior to meeting with the ALJ. (
Plaintiff testified that the pain in her hands caused her to leave her bank job. (AR 76). The pain prevented her from meeting production quotas and caused her to take unscheduled breaks. (
In reports accompanying her benefits application, Plaintiff stated that she stopped working on September 20, 2007, about a year after her conditions caused her to modify her work habits.
Plaintiff described her symptoms as "sharp pains on my wrist, knees, and also headaches," and stated that the pain usually lasted five hours if unmedicated. (AR 287). She told the Agency interviewer that she "[had been] taking medications but I no longer take them. I am only taking [T]ylenol [for] arthritis."
In a typical day, Plaintiff showered, had breakfast, did "light" housework, went outside to water her plants, and fed her dog and pet birds. (AR 289). Plaintiff was able to prepare complete meals daily, but felt pain if she did not keep the cooking "easy." (AR 291). She could do the laundry twice a week, wash small amounts of dishes when necessary and make her bed every day. (
Plaintiff went for walks outside twice a week (AR 289), went grocery shopping once every two weeks for an hour, and could drive on her own. (AR 292). She attended church once a week and went to a park twice a week. (AR 293). However, due to her conditions she had to give up camping and could not attend social events at night or in cold weather. (AR 294). She no longer went to the gym, and required her husband's help to walk the dog or clean the bird cage. (AR 290). She could not brush her hair as she wanted to, and "sharp pains" interfered with her sleep. (
Plaintiff could pay attention for an hour, follow written instructions well "after reading them 2-3 times," and get along well with authority figures. (AR 294-95). She had never been fired from a job due to an inability to get along with others. (AR 295). However, she reported that she experienced anxiety when home alone, and rated her stress level as "mid level."
To qualify for disability benefits, a claimant must demonstrate a medically determinable physical or mental impairment that prevents her from engaging in substantial gainful activity and that is expected to result in death or to last for a continuous period of at least twelve months.
To decide if a claimant is entitled to benefits, an ALJ conducts a five-step inquiry. 20 C.F.R. §§ 404.1520, 416.920. The steps are:
Tackett, 180 F.3d at 1098-99;
The claimant has the burden of proof at steps one through four, and the Commissioner has the burden of proof at step five.
The ALJ employed the five-step sequential evaluation process and concluded that Plaintiff was not under a disability within the meaning of the Social Security Act from September 20, 2007, through the date of the ALJ's decision on August 21, 2012. (AR 38). At step one, the ALJ found that Plaintiff had not engaged in substantial gainful employment since September 20, 2007. (AR 31). At step two, the ALJ found that Plaintiff had four "severe" impairments: work-related CTS and left lumbar L5 radiculopathy; mild degenerative disc disease of the lumbar spine; and mild degenerative disc disease of the cervical spine (
(
In making this finding, the ALJ gave significant weight to Dr. Bazel's conclusions about Plaintiff's CTS.
Further, the ALJ observed that there was no evidence in the Administrative Record suggesting that Plaintiff sought or obtained treatment for CTS between December 2008 and November 2011, when Plaintiff had a single neurological consultation confirming that CTS was still present. (
Additionally, the ALJ weighed Plaintiff's testimony as to her symptoms, limitations and daily activities, concluding that Plaintiff's testimony was not completely credible. (AR 33-34). The ALJ reasoned, in particular, that Plaintiff's decision not to undergo surgery, her "minimal use of medication," and lack of follow-up treatment or limited use of recommended specialists indicated that her pain was less severe than alleged. (
At step four, the ALJ determined that Plaintiff was unable to perform any past relevant work as defined by 20 C.F.R. §§ 404.1520(f), 404.1565, 416.920(f) and 416.965. (AR 36). Finally, at step five the ALJ considered Plaintiff's age, education, work experience, and RFC and concluded that she could perform jobs available in significant numbers in the national economy. (AR 38). The ALJ noted that, due to Plaintiff's "additional limitations," she could not be expected to perform the full range of "light work." (AR 37). However, considering the VE testimony, the ALJ found that Plaintiff could find employment as an order clerk, clerical sorter, sales attendant or mail clerk. (AR 37-38). Therefore, the ALJ concluded that Plaintiff was not disabled under the Agency's rules. (AR 38).
Under 42 U.S.C. § 405(g), a district court may review the Commissioner's decision to deny benefits. The court may set aside the Commissioner's decision when the ALJ's findings are based on legal error or are not supported by substantial evidence in the record as a whole.
"Substantial evidence is more than a scintilla, but less than a preponderance."
Plaintiff challenges the ALJ's decision on two grounds. First, Plaintiff asserts that because ALJ failed to reject Dr. Bazel's assessment of Plaintiff's physical limitations, that assessment must be credited as true. (Memorandum in Support of Plaintiff's Complaint ("MSPC") at 5). Second, because Dr. Bazel recommended that Plaintiff avoid repetitive use of her hands, Plaintiff contends that the ALJ's hypothetical — which allegedly omitted any reference to this limitation — elicited inaccurate testimony from VE Allan Ey. (MSPC at 6-7).
The Court disagrees with both contentions. The record demonstrates that the ALJ credited Dr. Bazel's opinion, gave it great weight, and found it consistent with the RFC she applied. Moreover, the record contradicts Plaintiff's assertion that the ALJ disregarded Dr. Bazel's recommendation against "repetitive" hand motions when she posed her hypotheticals to VE Ey. Accordingly, for the reasons discussed below, the Court finds that the ALJ's decision must be AFFIRMED.
Plaintiff argues that the ALJ discussed but did not reject Dr. Bazel's report, and that Dr. Bazel's assessment of Plaintiff's limitations should therefore be credited as true. (MSPC at 5). The Court disagrees. The ALJ did fully credit Dr. Bazel's report and arrived at a proper outcome.
Social Security regulations require the ALJ to consider all relevant medical evidence when determining whether a claimant is disabled. 20 C.F.R. §§ 404.1520(b), 404.1527(c), 416.927(c). Where the Agency finds the treating physician's opinion of the nature and severity of the claimant's impairments well-supported by accepted medical techniques, and consistent with the other substantive evidence in the record, that opinion is ordinarily controlling. 20 C.F.R. § 404.1527(c)(2);
Nevertheless, the ALJ is also "responsible for determining credibility, resolving conflicts in medical testimony, and for resolving ambiguities."
Here, Plaintiff asserts that the ALJ "did not properly reject the residual functional capacity set by [Dr. Bazel]" and the Court should therefore credit Dr. Bazel's report as true. (MSPC at 5). Plaintiff suggests that the ALJ failed to give due consideration to Dr. Bazel's prescribed hand restrictions, which included "[n]o repetitive pushing or pulling with hand/wrist, [and] no repetitive finger/wrist motion." (AR 402). Plaintiff also observes that Dr. Bazel's "After Care Instructions" of October 22, 2008, advised Plaintiff to make only "limited use" of her hands. (MSPC at 5; AR 557). Plaintiff cites
The Court is satisfied, however, that the ALJ did appropriately credit Dr. Bazel's report, and
Moreover, the ALJ gave due consideration to Dr. Bazel's entire report, which not only recommended that Plaintiff avoid repetitive hand motions but also noted "definite improvement" in her lumbar and upper extremity condition and the "complete resolution" of her neuropathy. (AR 34;
The ALJ concluded that Plaintiff had an RFC that included the ability to "frequently handle and finger with both hands." (AR 32). At the Second Hearing, Plaintiff's counsel devoted considerable time to questioning VE Allan Ey as to the meaning of Dr. Bazel's restriction on "repetitive fingering." (AR 87-89). Plaintiff's counsel appears to have been concerned that an RFC permitting "frequent" handling and fingering was inconsistent with the "repetitive" hand motions Dr. Bazel counseled Plaintiff to avoid. However, "frequent" and "repetitive" do not have identical meanings in this context.
Under Social Security Ruling ("SSR") 83-10, "`[f]requent' means occurring from one-third to two-thirds of the time." SSR 83-10, 1983 WL 31251 (1983). "Occasionally," by contrast, "means occurring from very little up to one-third of the time."
The Agency thus routinely uses "frequent" and "occasional" to describe different physical movements associated with its categories of "light" and "sedentary" work, but does not employ the term "repetitive" in the same way. Courts have generally concluded that "frequent" and "repetitive" are not synonymous.
The Court therefore disagrees with Plaintiff's contention that the ALJ accepted an RFC inconsistent with Dr. Bazel's recommendation against "repetitive" hand motions. As noted above, the ALJ gave ample consideration to Dr. Bazel's entire assessment, which did not specifically bar "frequent" handling and fingering. The transcript of the Second Hearing, like the relevant case law, does not show any basis for equating "frequent" and "repetitive" handling and fingering. At most, the record shows VE Ey agreeing with Plaintiff's suggestion that "frequent" use of the hands — the standard the ALJ used in her hypotheticals — might require "
Moreover, the ALJ's hypotheticals did not demand that the individual perform "repetitive" hand motions. All three hypotheticals the ALJ posed to Mr. Ey asked him to consider an individual whose work activities required hand motions more limited than those described in Dr. Bazel's restrictions. (AR 84-86). As such, they fell within Dr. Bazel's restrictions. The ALJ twice asked Mr. Ey to describe alternative work for an individual who could do "only frequent handling and fingering with both hands," and added a third hypothetical involving an individual "who could do no more than occasional handling and fingering." (AR 84-86). Mr. Ey opined that an individual capable of "frequent" handling and fingering could find alternative work, but one capable of only "occasional" hand motions could not. (
In reviewing an ALJ's findings, the court also considers whether her decision is supported by substantial evidence in the record as a whole.
Subjective evidence in the record also supports the ALJ's conclusions regarding Plaintiff's credibility. Plaintiff told the ALJ that she left her job because she "started having problems with [her] hands." (AR 76). However, she told Dr. Bazel that she was fired after struggling to keep up with her work requirements (which may have related to her hand problems), but also because a "new manager . . . came in who had favorites and started to cut back her work hours and give them to [the manager's] `friends'.". (AR 388). Plaintiff avoided taking prescribed pain medications because they made her sleepy, but did not present evidence that she had requested adjustments to her medications that might have addressed these concerns. (AR 33, 63).
As the ALJ also observed, Plaintiff's testimony as to her daily activities weakened her credibility. (AR 33). Plaintiff could prepare breakfast and dinner, "try to pick up light duties around my home," take showers, feed her puppy, and take walks twice a week. (AR 289). She was able to do laundry and dishes, make her bed daily, and water her plants. (AR 291). The ALJ noted that although Plaintiff had difficulty brushing her hair, "[i]t was noted at the face-to-face application meeting . . . that [Plaintiff] did not have problems using her hands or writing." (AR 33). Similarly, the ALJ reasoned that Plaintiff's "ability to remove weeds, which requires the ability to grip/grasp and pull, is inconsistent with her statement . . . that she needs help opening cans and bottles." (
When assessing a claimant's credibility, the ALJ must engage in a two-step analysis. Molina v. Astrue, 674 F.3d 1104, 1112 (9th Cir. 2012). First, the ALJ must determine if there is medical evidence of an impairment that could reasonably produce the symptoms alleged. (
In sum, after giving full weight to Dr. Bazel's entire report, assessing other medical evidence in the record and considering the credibility of Plaintiff's own testimony, the ALJ arrived at hypotheticals that were "accurate, detailed, and supported by the record."
Consistent with the foregoing, IT IS ORDERED that Judgment be entered AFFIRMING the decision of the Commissioner. The Clerk of the Court shall serve copies of this Order and the Judgment on counsel for both parties.