SUZANNE H. SEGAL, Magistrate Judge.
Eduard Reitshtein ("Plaintiff") seeks review of the decision of the Commissioner of the Social Security Administration ("Commissioner" or "Agency") denying his application for Disability Insurance Benefits and Supplemental Security Income benefits. 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 Court AFFIRMS the Commissioner's decision.
On March 3, 2010, Plaintiff filed an application for Disability Insurance Benefits ("DIB") and for Supplemental Security Income ("SSI"). (Administrative Record ("AR") 22). Plaintiff alleged that he became unable to work as of February 12, 2007, due to chronic lower back pain and knee pain. (AR 701-02, 778). The Agency denied the application on December 14, 2010 (AR 48, 50) and on reconsideration on April 5, 2012. (AR 336-37). On April 14, 2012, Plaintiff requested a hearing. (AR 66). Administrative law judge, Zane Lang, conducted a hearing on August 14, 2012. (AR 773-81). On August 30, 2012, a decision was issued denying benefits. (AR 19-38). Plaintiff sought review before the Appeals Council, which was denied on March 27, 2014. (AR 731). On April 23, 2014, Plaintiff filed a complaint in federal district court (
Plaintiff was born on August 12, 1948. (AR 43). On September 18, 2007, the alleged disability onset date, Plaintiff was 60 years old. (AR 661). Plaintiff completed high school through the tenth grade. (AR 700). Prior to his disability onset date, Plaintiff worked as an auto mechanic. (AR 661, 700-01). Plaintiff maintains that he suffers from chronic lower back pain and osteoarthritis in the left knee. (AR 702-03, 778; Memorandum in Support of Plaintiff's Complaint ("MSP") at 5).
Dr. Arad was Plaintiff's chiropractor from December 2006 to December 2008. (AR 201-24). Although Dr. Arad saw Plaintiff on a weekly basis, (
Dr. Arad filled out a number of disability reports for Plaintiff's life insurance company, stating that Plaintiff was temporarily unable to work and would be able to perform his "regular customary work" within a one to two month period. (
On November 30, 2010, Dr. Michael Wallack, a board certified specialist in internal medicine, saw Plaintiff for a consultative examination. (AR 316-23). During the exam, Plaintiff stated that "he has had back pain for 20 years" and took Advil and Vicodin. (AR 316). Dr. Wallack noted that Plaintiff had no surgeries or injections. (
Plaintiff was a patient at Kaiser Permanent Woodland Hills from November 2006 to July 2012 where Dr. Emin Kuliev, M.D., was his primary care physician. (AR 262-493, 618-41). At his first appointment with Dr. Kuliev, Plaintiff appeared with medial left knee pain and was referred for x-rays and physical therapy. (AR 262). On October 15, 2007, Plaintiff noted having lower back pain. (AR 288). On January 3, 2011, Plaintiff complained of back pain that had lasted for six weeks. (AR 388). On January 3, 2011, Plaintiff had a normal heel and toe walk, normal gait with mild antalgic symptoms, and did not need assistance when moving. (AR 389). Dr. Kuliev instructed Plaintiff on weight management and exercise and referred him to a specialist to consider an epidural. (
Plaintiff received physical therapy for his lower back and left knee from January to May 2011. (AR 344-76, 491-95). During Plaintiff's first visit, he reported needing to use both legs to get out of the car. (AR 370). Upon examination, Plaintiff had a normal gait; a somewhat limited range of motion, with fingertips reaching "just above the knee" when doing a side bend; full extension with increased pain; 5 out of 5 on all strength resistance tests; a "slight increase in muscle tension on the left paraspinals;" and no lumbar spine "red flags." (AR 370, 372). On March 23, 2011, Plaintiff reported that his injuries had lasted for over 20 years but "began hurting more beginning December 2010." (AR 344). Physical therapist Debra Zalmanowitz assessed that Plaintiff was "not demonstrating proper body mechanics and postures as instructed," was "not doing exercises properly, and this [was] probably why [he was] making no progress with physical therapy." (AR 345). By May 23, 2011, Plaintiff "did not return for any additional visits." (AR 493). Plaintiff's "recovery was complicated by multiple body parts, poor compliance, and infrequent visits." (
On January 3, 2011, Peter Michael Filsinger, M.D., a radiologist, performed x-rays of Plaintiff's lumbar spine and knees. Dr. Filsinger interpreted the lumbar spine x-rays to show "mild degenerative osteophytes and disc space narrowing [in the lumbar spine]. No compression fracture, spondylolisthesis or other abnormalities seen." (AR 399-400). Dr. Filsinger concluded that the x-rays showed "mild medial compartment joint space narrowing of the knees bilaterally, consistent with [degenerative joint disease]. (AR 400).
On January 10, 2011, Plaintiff saw David Haberman, M.D., regarding Plaintiff's complaints of lower back pain and right sciatica "made worse with bending." (AR 379). Dr. Haberman reviewed the January 2011 x-rays, concluding that Plaintiff had moderate L5-S1 and mild L4-5 disc degenerative changes. (
On June 6, 2012, Louis Elperin, M.D., saw Plaintiff for back and knee pain. (AR 618-19). Plaintiff stated that his pain was better with chiropractic adjustments and hot pads for his knees. (
On July 6, 2012, Dr. Elperin reviewed a MRI of Plaintiff's lumbar spine showing spondylosis,
During the course of Plaintiff's treatment at Kaiser Permanente, he went on multiple trips. On January 15, 2007, Plaintiff reported going on a three-week trip to Thailand, on a guided tour. (AR 266). On March 23, 2011, Plaintiff left "for over a month to visit his son," (AR 345), and on March 5, 2012, Plaintiff went to Costa Rica a two week trip. (AR 591).
On April 8, 2008, Dr. Bleeker, a board certified orthopedic surgeon examined Plaintiff. Plaintiff reported having back trouble for the past two years with pain going down the right leg, taking Vicodin, Advil, and Tylenol for pain. (AR 479). Upon examination, Plaintiff had normal posture, gait, and range of motion; rose from a chair without difficulty; did straight leg raising at 90 degrees with a positive tripod sign; could forward flex at 60 degrees; did supine straight leg raising at 80 degrees with low back pain; and completed a normal toe walking test. (AR 480-81). Dr. Bleeker opined that Plaintiff's degenerative arthritis of the lumbar spine and both knees prevented Plaintiff from going back to "his duty" as Plaintiff described. (AR 482).
On June 15, 2007, Dr. Tolbert, a qualified medical examiner, evaluated Plaintiff on a consultative basis for a life insurance company. (AR 225-30). Plaintiff's chief complaints were that he had "localized pain in his back that intermittently [went] to the legs," could lift only "very light weights," and pain prevented him from sitting or standing "more than 30 minutes." (AR 227). Upon examination, Plaintiff appeared well-developed, well-nourished, and was able to ambulate independently. A neuromusculoskeletal examination revealed no gross atrophy, normal knee extension, and a negative straight leg raising test. (AR 228). Dr. Tolbert reviewed x-rays of Plaintiff's lumbar spine showing narrowing of the L4-S1 and L4-5 disc spaces and concluded that Plaintiff had a history of "lumbar sprain/strain" and "underlying lumbosacral degenerative arthritis." (AR 229). Dr. Tolbert opined that Plaintiff "may walk as tolerated; sit or stand no longer than 20 [to] 30 minutes continuously; avoid lifting no more than 10 pounds from the floor . . . and avoid climbing." (
On February 8, 2016, Dr. Anthony Francis, a medical expert and board certified orthopedist, testified at Plaintiff's second hearing before the ALJ. (AR 670). Dr. Francis assigned Plaintiff a medium to light RFC depending on the ALJ's further credibility findings. (AR 683, 695). Specifically, Dr. Francis testified that Plaintiff was able to lift 50 pounds occasionally and 25 pounds frequently; stand, walk, and sit for six hours in an eight-hour workday; climb stairs and ramps two-thirds of the day; not climb ladders, ropes, or scaffolds; stoop and bend frequently; crouch kneel, crawl, and balance occasionally; use his lower extremities to operate foot controls frequently; not work at unprotected heights, around excessive cold, or around heavy industrial vibration; and should avoid hazardous machines with moving parts. (AR 684-85).
In an August 10, 2010 adult function report, Plaintiff stated that he could not bend or lift "due to lower back pain [and] pain in [his] knees." (AR 145). Plaintiff stated that he stretched, exercised in the pool, watched television, ate, and rested. (AR 146). Plaintiff stated that he did not do household chores, prepare meals, or go shopping and drove in cars only a "short distance," (AR 147-48).
At the first hearing on August 14, 2012, Plaintiff testified that he stopped working because his symptoms were "too painful." (AR 777). To illustrate, Plaintiff testified, "I used to go to the car [and] fall down. I can't — my knees don't hold me. When I bend over the hood the pain was cutting me there . . . The back was cutting me like a knife." (AR 777-78). Plaintiff also testified that he would grocery shop twice a week with his wife, drive, sometimes do chores, and do exercises in the pool. (AR 778-80).
At the second hearing on February 8, 2016, vocational expert ("VE") Dr. Ronald Hatakeyama testified that Plaintiff could not perform his past work as an auto mechanic. (AR 705). The ALJ asked whether an individual of the same age, education, and past work history — who is limited to medium work; cannot use ropes, scaffolds, ladders; can stand, walk, and sit up to 6 hours in an eight-hour workday; can frequently climb stairs and ramps, stoop, and bend; can occasionally crouch, kneel, crawl, and balance; avoid height, excessive cold, heavy industrial vibration, and heavy moving machinery; and can operate foot controls two-thirds of the day — perform any work that exists in significant numbers in the national economy. (AR 704).
The VE opined that Plaintiff could perform the jobs of kitchen helper DOT 318.687-010 (medium unskilled, 7,000 jobs in the regional economy) and linen room attendant DOT 222.387-030 (medium unskilled, 1,000 jobs in the regional economy). (AR 707). The ALJ did not question the VE regarding any apparent conflict between these job descriptions under the DOT and Plaintiff's RFC. (
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:
In between steps three and four, the ALJ must determine the claimant's residual functional capacity ("RFC"). 20 CFR 416.920(e). To determine the claimant's RFC, the ALJ must consider all of the claimant's impairments, including impairments that are not severe. 20 CFR § 416.1545(a)(2).
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 disabled within the meaning of the Social Security Act. (AR 663). At step one, the ALJ found that Plaintiff met the insured status requirements of the Act through December 31, 2012, and Plaintiff had not engaged in substantial gainful activity since February 12, 2007, his alleged onset date. (AR 654). At step two, the ALJ found that Plaintiff had the severe impairments of osteoarthritis of the bilateral knees and degenerative disc disease of the lumbar spine. (
The ALJ found that Plaintiff had the RFC to perform medium work as defined in 20 C.F.R. §§ 404.1567(c) with the limitations of not climbing stairs; frequently stooping and bending; occasionally crouching, kneeling, crawling, and balancing; frequently operating foot controls; not working at unprotected heights or around excessive cold; and avoiding heavy industrial vibration and heavy machinery. (
In making this finding, the ALJ gave "little weight" to Dr. Tolbert's RFC assessment. The ALJ found that, although Dr. Tolbert assigned Plaintiff a sedentary functional capacity, (
The ALJ found Plaintiff's testimony regarding the intensity, persistence, and limiting effect of his symptoms "not entirely credible" and provided five reasons in support of her credibility findings: (1) Plaintiff's testimony was "not fully supported by or consistent with the medical evidence of record" because "objective findings during the period of adjudication were fairly minimal" and "[f]indings upon physical examination were also minimal;" (2) Plaintiff made inconsistent statements regarding the disabling effect of his symptoms and the length of time in which Plaintiff suffered from lower back pain, including testimony regarding daily activities; (3) traveled abroad from May to August 2010 and travelled for two weeks to Costa Rica, despite complaining of disabling symptoms; (4) failed to follow prescribed treatment; and (5) did not take particularly strong pain medication. (AR 657-58).
At step four, the ALJ determined that Plaintiff could not perform his past relevant work. (AR 661). At step five, considering Plaintiff's age, education, work experience, and RFC, the ALJ found that Plaintiff could perform jobs that existed in significant numbers in the national economy. (AR 662-63). According to the VE, Plaintiff was able perform the jobs of kitchen helper and linen room attendant. (
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.
Plaintiff asserts the following four claims: the ALJ (1) did not provide clear and convincing reasons to reject Plaintiff's testimony regarding the severity and persistence of his pain, (MSP at 4-9); (2) failed at step five to show that jobs exist in significant numbers that Plaintiff can perform, (
Plaintiff claims that the ALJ failed to articulate clear and convincing reasons to find Plaintiff's pain testimony "less than credible" because the ALJ selectively cited to the record. (MSP at 4-9). The Court disagrees.
When assessing a claimant's credibility, the ALJ must engage in a two-step analysis.
In assessing the claimant's testimony, the ALJ may consider many factors, including:
As discussed above, the ALJ's decision reflected five grounds to reject Plaintiff's credibility. (AR 657-58). The Court finds that these grounds are supported by substantial evidence in the record and are clear and convincing grounds to reject Plaintiff's testimony.
First, the ALJ properly found that Plaintiff's pain testimony was "not fully supported by or consistent with the medical evidence of record" because "objective findings during the period of adjudication were fairly minimal." (AR 657). The ALJ then cited physical examinations, a MRI, and x-rays of Plaintiff, which rendered somewhat normal findings. (
Specifically, Plaintiff claimed that he was unable to do any lifting or bending, but examinations conducted by Dr. Kuliev, Dr. Wallack, Dr. Bleeker, Dr. Tolbert, and Plaintiff's physical therapist routinely showed that Plaintiff had a normal straight leg raise test, normal heel-to-toe walk, normal flexion and extension, normal gait with mild antalgic symptoms, minimal tenderness to palpation, and no lumbar spine "red flags." (AR 228, 316, 319, 370-72, 388-89, 482). Plaintiff also stated that he was unable to prepare his own meals, do household chores, or go shopping, (
Moreover, x-rays from 2011 and a MRI from 2012 showed minimal to moderate conditions that would not reasonably lead to the severe functional limitations that Plaintiff alleges. Plaintiff's January 2011 x-ray of the knees showed "mild medial compartment joint space narrowing" bilaterally, and an x-ray of the lumbar spine showed "mild degenerative osteophytes and disc space narrowing." (AR 399-400). A 2012 MRI showed degenerative changes in the lumbar spine, "most prominent at [the] L4-5 level, with moderate thecal sac stenosis," central disc extrusion, bilateral subarticular zone stenosis, and foraminal stenosis. (AR 635). The ALJ referenced the 2012 MRI, stating that it showed "some mild o[s]teophytes and disc space narrowing, but no compression fracture, spondylolisthesis or other abnormalities." (AR 657). Accordingly, the above objective medical evidence supports the ALJ's finding that Plaintiff's pain testimony was not fully credible.
Second, the ALJ gave a detailed explanation demonstrating that Plaintiff made inconsistent statements regarding his daily activities and the length of time that he suffered from a back condition.
Third, the ALJ properly found that Plaintiff's travel abroad undermined his statements regarding debilitating pain. (AR 657).
Fourth, the ALJ properly found that Plaintiff did not follow prescribed treatment. An ALJ may properly rely on "unexplained or inadequately explained failure to seek treatment or to follow a prescribed course of treatment."
Fifth, the record supports the ALJ's finding that Plaintiff took "little pain medication, which is inconsistent with his allegation of severe, debilitating pain." (AR 658). Evidence of "conservative treatment" is sufficient to discount a claimant's testimony regarding the severity of pain.
Plaintiff's subjective pain was not supported by the medical record and was undermined by inconsistent statements, trips abroad, failure to follow prescribed medical treatment, and conservative treatment. Accordingly, the ALJ articulated clear and convincing reasons to give less weight to Plaintiff's testimony regarding the severity and intensity of his symptoms.
Plaintiff contends that (1) there was an apparent conflict between the VE's testimony that Plaintiff could perform the job of kitchen helper and the DOT; (2) the ALJ did not provide persuasive evidence to address this conflict; and (3) because Plaintiff could not perform the job of kitchen helper, the ALJ erred in finding that there were a significant number of jobs in the national economy that Plaintiff could perform. (MSP at 11-14). The Court disagrees.
At step five, "the burden shifts to the Commissioner to demonstrate that the claimant is not disabled and can engage in work that exists in significant numbers in the national economy."
The DOT is the Commissioner's "primary source of reliable job information" and creates a rebuttable presumption as to a job classification.
In order to accept VE testimony that deviates from the DOT, the record must contain "persuasive evidence to support the deviation."
In adopting the VE's testimony, the ALJ identified two occupations, kitchen helper and linen room attendant, that Plaintiff can perform considering his age, education, and RFC. (AR 662). Plaintiff contends that he cannot perform the occupation of kitchen helper because the DOT description for kitchen helper requires frequent crouching,
Plaintiff correctly asserts that there is a conflict between Plaintiff's RFC and the DOT description for kitchen helper. The ALJ assigned Plaintiff with a medium RFC and limited him to occasional crouching. (AR 655). At the second hearing, the VE testified that Plaintiff could perform the job of kitchen helper, and the ALJ did not question the VE regarding his testimony. (
However, the ALJ also adopted the VE's testimony that Plaintiff could perform the job of linen room attendant, which has 1,000 positions available regionally and 50,000 positions available nationally. (AR 662). Plaintiff does not dispute that, given his RFC, he could perform the job requirements of linen room attendant. (MSP at 14). Rather, Plaintiff asserts that the occupation of linen room attendant does not exist in significant numbers in the national economy. (
There is no "bright-line" rule in the Ninth Circuit as to what number of available jobs constitutes "significant numbers." However, courts have found it "instructive" to compare cases in this inquiry.
Here, there are 1,000 regional and 50,000 national positions available for linen room attendant. (AR 662). The 1,000 regional positions available for linen room attendant align with the 1,000 regional positions available in
Plaintiff contends that the ALJ did not provide sufficiently specific reasons to reject the opinion of Dr. Tolbert, an examining physician, in favor of the opinion of Dr. Francis, a nonexamining medical expert. (MSP at 15-18). Specifically, Plaintiff asserts that Dr. Tolbert's opinion was based on objective medical evidence, and Dr. Francis's opinion was too ambiguous for the ALJ to adopt in concluding that Plaintiff had a medium RFC. (
Social Security regulations require the Agency to "evaluate every medical opinion we receive," giving more weight to evidence from a claimant's treating physician. 20 C.F.R. § 404.1527(c). Where a treating or examining physician's opinion is contradicted by another doctor, the "[Commissioner] must determine credibility and resolve the conflict."
The ALJ gave Dr. Tolbert's opinion "little weight" because her "examination of the claimant was largely unremarkable and objective abnormalities were minimal," which supported the record as a whole because "medical evidence of record show[ed] little treatment and minor abnormalities." (AR 660). The ALJ also found that Dr. Tolbert's RFC assessment was largely based on Plaintiff's subjective complaints, "particularly [Dr. Tolbert's] statement that the claimant could not sit or stand for more than 20 to 30 minutes continuously was based entirely on the claimant's subjectively reported assessment rather than on any objective findings or clinical observations." (
The ALJ properly rejected Dr. Tolbert's opinion because Tolbert's opinion contradicted her own examination findings. A contradiction between a physician's opinion and her own treatment notes constitutes a specific and legitimate reason to reject the physician's opinion.
Moreover, the ALJ properly found that Dr. Tolbert's opinion was largely based on Plaintiff's subjective complaints.
Moreover, Dr. Francis's medium RFC assessment is supported by substantial evidence in the record. A court will affirm an ALJ's RFC if it is supported by substantial evidence and the ALJ properly applies the legal standard.
Plaintiff asserts that Dr. Francis's opinion was too ambiguous as to whether he gave Plaintiff a light or medium RFC. (MSP at 18-22). Dr. Francis testified at multiple points that Plaintiff had a medium to light RFC depending on the ALJ's credibility findings, (AR 683, 696), and the ALJ found Plaintiff not credible. (See AR 656-58). The ALJ's finding that Plaintiff had a medium RFC, based on Dr. Francis's testimony, was not error.
As discussed, substantial evidence supports Dr. Francis's testimony that Plaintiff has a medium RFC. Accordingly, the ALJ gave specific and legitimate reasons for rejecting Dr. Tolbert's opinion and giving more weight to Dr. Francis's opinion.
Plaintiff asserts that the ALJ improperly evaluated Dr. Arad's opinion on three grounds: (1) the ALJ incorrectly found that Dr. Arad believed Plaintiff was precluded from repetitive stooping and bending, (2) Dr. Arad's opinion that Plaintiff cannot repetitively bend and stoop is inconsistent with the ALJ's RFC finding that Plaintiff can frequently bend and stoop; and (3) the ALJ did not provide a germane reason to reject Dr. Arad's opinion that Plaintiff could not lift more than 5 or 10 pounds. (MSP at 17-18).
The ALJ made two findings regarding Dr. Arad. First, the ALJ gave "significant weight" to Dr. Arad's opinion that Plaintiff "cannot engage in repetitive stooping and bending [because it was] reasonable on the record . . ." (AR 658). Second, the ALJ "gave little weight" to Dr. Arad's opinion that Plaintiff cannot lift more than 5 or 10 pounds because it was "not supported by the objective evidence or the record as a whole," (
In his disability reports, Dr. Arad stated that Plaintiff was precluded from "regular bending and stooping," (AR 210), unable to do "repetitive stooping and bending," (AR 216), and should "avoid any lifting/bending," (AR 236). The ALJ reasonably interpreted Dr. Arad's treatment notes to mean that Plaintiff is precluded from "repetitive stooping or bending." (AR 658). With regard to any ambiguity in Dr. Arad's treatment notes, "the ALJ is the final arbiter with respect to resolving ambiguities in the medical evidence."
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). The Agency therefore routinely uses "frequent" to describe different physical movements associated with its category of medium work, but it 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 adopted a RFC that was inconsistent with Dr. Arad's opinion that Plaintiff cannot engage in repetitive stooping and bending. The ALJ gave weight to Dr. Arad's assessment, which did not specifically bar frequent bending and stooping. Moreover, the ALJ's hypotheticals did not require the individual to perform repetitive stooping and bending. (
Medical sources are divided into two categories: "acceptable medical sources" and "other sources." 20 C.F.R. §§ 404.1513. Physicians and psychologists are considered acceptable medical sources. 20 C.F.R. §§ 404.1513, 416.913(a). Medical sources classified as "other sources" include, but are not limited to, nurse practitioners, therapists, licensed clinical social workers, and chiropractors. 20 C.F.R. §§ 404.1513(d), 416.913(d). The ALJ may reject the opinion of "other sources" by giving reasons germane to each witness for doing so.
Dr. Arad did not qualify as a medically acceptable source because he was a chiropractor.
Accordingly, IT IS ORDERED that judgment be entered AFFIRMING the decision of the Commissioner and dismissing this action with prejudice. IT FURTHER IS ORDERED that the Clerk of the Court shall serve copies of this Order and the Judgment on counsel for both parties.