JEAN ROSENBLUTH, Magistrate Judge.
Plaintiff seeks review of the Commissioner's final decision denying his application for Social Security disability insurance benefits ("DIB") and supplemental security income benefits ("SSI"). The parties consented to the jurisdiction of the undersigned U.S. Magistrate Judge under 28 U.S.C. § 636(c). This matter is before the Court on the parties' Joint Stipulation, filed December 4, 2014, which the Court has taken under submission without oral argument. For the reasons stated below, the Commissioner's decision is affirmed.
Plaintiff was born on April 1, 1958. (Administrative Record ("AR") 231.) He completed third grade and worked as a construction laborer. (AR 275.)
On November 14 and 17, 2011, Plaintiff submitted applications for DIB and SSI, respectively, alleging that he had been unable to work since November 11, 2009, because of diabetes, "pain neuropathy," depression, insomnia, and back and neck problems. (AR 231, 233, 274.) After his applications were denied initially and on reconsideration, he requested a hearing before an Administrative Law Judge. (AR 162.) A hearing was held on April 3, 2013, at which Plaintiff, who was represented by counsel, testified, as did a vocational expert and Plaintiff's case manager at a mental-health clinic. (AR 64-93.) In a written decision issued April 10, 2013, the ALJ found Plaintiff not disabled. (AR 39-49.) On October 16, 2013, the Appeals Council denied Plaintiff's request for review. (AR 4.) This action followed.
Under 42 U.S.C. § 405(g), a district court may review the Commissioner's decision to deny benefits. The ALJ's findings and decision should be upheld if they are free of legal error and supported by substantial evidence based on the record as a whole.
People are "disabled" for purposes of receiving Social Security benefits if they are unable to engage in any substantial gainful activity owing to a physical or mental impairment that is expected to result in death or has lasted, or is expected to last, for a continuous period of at least 12 months. 42 U.S.C. § 423(d)(1)(A);
The ALJ follows a five-step sequential evaluation process to assess whether a claimant is disabled. 20 C.F.R. §§ 404.1520(a)(4), 416.920(a)(4);
If the claimant is not engaged in substantial gainful activity, the second step requires the Commissioner to determine whether the claimant has a "severe" impairment or combination of impairments significantly limiting his ability to do basic work activities; if not, a finding of not disabled is made and the claim must be denied. §§ 404.1520(a)(4)(ii), 416.920(a)(4)(ii).
If the claimant has a "severe" impairment or combination of impairments, the third step requires the Commissioner to determine whether the impairment or combination of impairments meets or equals an impairment in the Listing of Impairments ("Listing") set forth at 20 C.F.R., Part 404, Subpart P, Appendix 1; if so, disability is conclusively presumed. §§ 404.1520(a)(4)(iii), 416.920(a)(4)(iii).
If the claimant's impairment or combination of impairments does not meet or equal an impairment in the Listing, the fourth step requires the Commissioner to determine whether the claimant has sufficient residual functional capacity ("RFC")
If that happens or if the claimant has no past relevant work, the Commissioner then bears the burden of establishing that the claimant is not disabled because he can perform other substantial gainful work available in the national economy. §§ 404.1520(a)(4)(v), 416.920(a)(4)(v). That determination comprises the fifth and final step in the sequential analysis. §§ 404.1520(a)(4), 416.920(a)(4);
At step one, the ALJ found that Plaintiff had not engaged in substantial gainful activity since November 11, 2009, the alleged onset date. (AR 41.) At step two, she concluded that Plaintiff had severe impairments of diabetes mellitus, neuropathy in the legs and feet, and depression. (
Plaintiff contends that the ALJ erred in assessing the findings and opinions of Dr. William Goldsmith, the consultative examining psychiatrist. (J. Stip. at 4-9, 12-16.) For the reasons discussed below, remand is not warranted.
Three types of physicians may offer opinions in Social Security cases: (1) those who directly treated the plaintiff, (2) those who examined but did not treat the plaintiff, and (3) those who did neither.
This is true because treating physicians are employed to cure and have a greater opportunity to know and observe the claimant.
When a treating or examining physician's opinion is not contradicted by other evidence in the record, it may be rejected only for "clear and convincing" reasons.
In October 2011, Plaintiff complained of depression during a visit to the emergency room for diabetes-related symptoms. (AR 346-50.) He was referred to a mental-health center (AR 407-08, 604), where he was treated by Dr. Ronen Alon, a psychiatrist, from November 29, 2011, to February 26, 2013 (AR 402-20, 554, 573-89).
On March 12, 2012, Dr. William Goldsmith, a board-certified psychiatrist, performed a consultative psychiatric examination of Plaintiff. (AR 367.) Plaintiff denied that he received regular psychiatric care, although at the time he was enrolled in the mental-health clinic. (
Dr. Goldsmith noted that Plaintiff's affect was "blunted" and that he was "tearful" when he discussed his loneliness and separation from his family. (AR 369.) His mood was dysphoric, but his speech was clear and coherent. (
In Dr. Goldsmith's opinion, Plaintiff was "a little impaired" in his ability to understand, remember, and carry out simple one- or two-step job instructions. (AR 370.) He was "moderately impaired" in his ability to follow detailed and complex instructions and to relate to and interact with supervisors, coworkers, and the public. (
In addition to her RFC finding of medium work, the ALJ found that Plaintiff could perform simple tasks but should engage in "no more than occasional" interaction with coworkers and supervisors and should avoid public contact. (AR 43.) She also stated as part of the RFC that Plaintiff should avoid uneven terrain and ladders. (
Plaintiff contends that the ALJ failed to give specific and legitimate reasons for rejecting Dr. Goldsmith's opinion that he was "severely impaired" in his ability to associate with day-to-day work activity and adapt to stresses of the work environment. (J. Stip. at 6, 13.) He bases his argument on the premise that the ALJ, in failing to account for Dr. Goldsmith's "severely impaired" statements in her RFC determination, effectively "rejected" them and was therefore required to give specific and legitimate reasons for doing so. (
But the ALJ did not reject those statements so much as resolve conflicts within Dr. Goldsmith's report. Although Dr. Goldsmith opined that Plaintiff was "severely impaired" in his ability to associate with day-to-day work activity, "including attendance and safety," and to adapt to work stresses, he also assessed as "intact" Plaintiff's ability to "maintain regular attendance" and "perform work activities on a consistent basis" and "without special or additional supervision." (AR 371.) This apparent conflict or ambiguity was for the ALJ to resolve.
Indeed, the ALJ gave "significant weight" to Dr. Goldsmith's report — though not great weight, indicating that she did not accept all of it — because it was consistent with the medical evidence documented by Dr. Alon from November 2011 to February 2013, which showed that Plaintiff was "stable on medications, with good response to treatment and no complaints of physical or mental health symptoms." (AR 47;
Consistent with the foregoing, and under sentence four of 42 U.S.C. § 405(g),