JOHN D. EARLY, Magistrate Judge.
Plaintiff Kimberly Sue Fox ("Plaintiff") filed a Complaint on September 7, 2016, seeking review of the Commissioner's denial of her application for disability insurance benefits ("DIB"). The parties filed consents to proceed before the undersigned Magistrate Judge. In accordance with the Court's Order Re: Procedures in Social Security Appeal, the parties filed a Joint Stipulation ("Jt. Stip.") on June 22, 2017, addressing their respective positions. The Court has taken the Joint Stipulation under submission without oral argument and as such, this matter now is ready for decision.
On September 29, 2010, Plaintiff applied for DIB, alleging disability beginning October 2, 1999. (Administrative Record ["AR"] 160-68.) After her application was denied initially (AR 63-66), and on reconsideration (AR 69-75), Plaintiff requested an administrative hearing, which was held on April 6, 2012. (AR 29-60, 76-77.) Plaintiff, represented by counsel, appeared and testified at the hearing before an Administrative Law Judge ("ALJ"). (AR 29-60.)
On July 23, 2012, the ALJ issued a written decision finding Plaintiff was not disabled. (AR 12-25.) Plaintiff filed a request with the Appeals Council for review of the ALJ's decision. (AR 10-11.) On September 27, 2013, the Appeals Council denied Plaintiff's request for review. (AR 7-9.)
Plaintiff then filed an appeal in the United States District Court for the Central District of California, which reversed and remanded the matter for further proceedings to consider the medical evidence regarding Plaintiff's neck limitation. (AR 514-22.) On January 28, 2015, the Appeals Council vacated the Commissioner's prior decision and remanded the case to the ALJ for further proceedings consisted with the District Court's order. (AR 523-25.) ALJ John W. Wojciechowski convened a second hearing on July 6, 2015. (AR 424-65.) Plaintiff testified during the hearing, as did Alan Boroskin, a vocational expert. (
The ALJ found that Plaintiff had not engaged in substantial gainful activity during the period from her alleged onset date of October 2, 1999 through her date last insured of March 31, 2005. (AR 411.) The ALJ determined that Plaintiff suffered from the following severe impairments: cervical degenerative disc disease, status post discectomy and fusion; and bilateral carpal tunnel syndrome with chronic pain. (
Plaintiff filed exceptions to the ALJ's decision with the Appeals Council, and on July 9, 2016, the Appeals Council declined to assume jurisdiction, making the ALJ's decision the Commissioner's final decision. (AR 400-03.) 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 from legal error and supported by substantial evidence based on the record as a whole.
Lastly, even when the ALJ commits legal error, the Court upholds the decision where that error is harmless.
1. Whether the ALJ properly considered the issue of neck motion in the RFC assessment. (Jt. Stip. at 5-17.)
2. Whether the ALJ properly considered Plaintiff's testimony concerning her limitations. (Jt. Stip. at 17-31.)
3. Whether the vocational evidence constituted substantial evidence. (Jt. Stip. at 31-38.)
Plaintiff contends that the ALJ failed to properly consider the opinion of Dr. Harry Marinow — an agreed medical examiner, who conducted a medical evaluation of Plaintiff in connection with her workers' compensation claim on March 2, 2005. In particular, Plaintiff contends that the ALJ erred in rejecting Dr. Marinow's opinion that Plaintiff had a prophylactic work restriction that limited her to light work with no repetitive motion of the neck. Defendant, in turn, contends that the ALJ reasonably gave no weight to Dr. Marinow's opinion.
In determining a claimant's RFC, an ALJ must consider all relevant evidence in the record, including medical records, lay evidence, and "the effects of symptoms, including pain, that are reasonably attributable to the medical condition."
If a treating or examining physician's opinion is uncontradicted, an ALJ may reject it only by offering "clear and convincing reasons that are supported by substantial evidence."
After reviewing Plaintiff's medical records and conducting an examination, Dr. Marinow recommended, in relevant part, prophylactic work restrictions of no repetitive motion of the neck. (AR 150.) In assessing Plaintiff's impairments, the ALJ found that Plaintiff suffered from two severe impairments: cervical degenerative disc disease, status post discectomy and fusion; and bilateral carpal tunnel syndrome with chronic pain (AR 411.) The ALJ discussed Dr. Marinow's findings, but concluded that "there was little evidence to support Dr. Marinow's opinion that [Plaintiff] could not perform repetitive motion of the neck." The ALJ noted: (1) Dr. Marinow did not treat Plaintiff and evaluated her only once; (2) Plaintiff's own treating physician noted minimal objective findings and no functional limitations during the relevant period; (3) the diagnostic records showed a moderate cervical pathology at most; (4) Dr. Marinow's own evaluation showed moderately limited range of motion of the neck with no neurological deficits that would prevent Plaintiff from moving it throughout the normal workday; (5) Dr. Marinow did not consider other factors affecting Plaintiff's credibility, such as her admission that she drove, ran errands, and did household chores; (6) Dr. Marinow did not weight the lack of any significant treatment since his evaluation of Plaintiff; and (7) Dr. Marinow's limitations were prophylactic in nature and he recommended a "rather conservative course of treatment." As such, the ALJ found Dr. Marinow's limitation from repetitive neck movement unpersuasive. (AR 415-16.)
Having carefully reviewed the record, the Court is persuaded that the ALJ's rejection of Dr. Marinow's opinion regarding Plaintiff's neck movement is not legally sufficient or supported by substantial evidence.
First, as Plaintiff noted, the length of the treatment or examination relationship is relevant to weight.
The Court also concludes that the ALJ's reasoning that Dr. Marinow's opinion is not supported by the objective medical evidence is contradicted by the record. The ALJ found that Plaintiff's treating physician noted only minimal objective findings and no functional limitations during the relevant period, and that the diagnostic records showed moderate cervical pathology at most. (AR 415.) However, the ALJ did not identify any specific treating physician that concluded that Plaintiff did not have any functional neck limitations or explain why the findings of Dr. Marinow were insufficient to support his functional assessment.
The ALJ noted that Dr. Marinow's own evaluation showed moderately limited range of motion of the neck with no neurological deficits that would prevent Plaintiff from moving it throughout the normal workday. However, the ALJ's finding that Dr. Marinow's medical examination results were inconsistent with his own opinion is not supported by substantial evidence. Dr. Marinow advised prophylactic work restrictions of no repetitive motion of the neck. These conclusions are not out of line with the findings documented in his evaluation. As the ALJ noted, Dr. Marinow found that Plaintiff had limited range of motion in the neck. Dr. Marinow also noted that an EMG and nerve conduction study described changes suggestive of a right C6 radiculopathy that was mild in degree and a CT scan showed a fusion at C5-6 and a left-sided disc protrusion at C6-7 with mass effect upon the canal and mild mass effect on the cord and neuroforamina. (AR 148.) Dr. Marinow also opined that Plaintiff had constant slight pain that intermittently progressed from slight to moderate in degree with radiation to her upper back, accompanied by headaches, and tingling and numbness in her hands and fingers. (
The ALJ also rejected Dr. Marinow's opinion regarding Plaintiff's neck limitation because Dr. Marinow did not consider other factors affecting Plaintiff's credibility, such as her admission that she drove, ran errands, and did household chores. (AR 415.) Again, this reason is not supported by substantial evidence. Dr. Marinow specifically discussed Plaintiff's daily activities, including that she "pick[s] up around [the] house, watch[es] television, pay[s] bills[,] and run[s] errands, if [she has] to." (AR 143.) His findings are not inconsistent with Plaintiff's daily activities. At the administrative hearing, Plaintiff explained that she does not move her neck while driving, and instead, relies on her rearview mirrors or rotates her entire body. (AR 446, 453.) She also indicated that she only drove a couple days a week for routine errands, and that if she rotated her neck while driving, it caused severe pain. (AR 434-35, 446.) In describing her household chores, Plaintiff explained that she did light dusting, wiped the counters, and cooked, but did not do any "heavy duty" work, such as washing the dishes. (AR 443, 447, 452.) She indicated that she did not use a computer because it hurt her neck, and could only watch television for 20-30 minutes because of neck and back pain. (AR 444, 449-50.) Those limited activities appear to be consistent with Dr. Marinow's opinion that Plaintiff was limited to work that did not require repetitive neck motion, and the ALJ did not explain otherwise.
The ALJ also discounted Dr. Marinow's opinion because he "did not weight the lack of any significant treatment since his evaluation" of Plaintiff. (AR 415.) This reason is vague and conclusory, and does not constitute a specific, legitimate, let alone clear and convincing, reason for discounting Dr. Marinow's opinion. There is no evidence to conclude that Dr. Marinow would have been informed of any treatment following his evaluation, or that there was an opportunity to supplement his evaluation based on subsequent treatment notes or lack thereof. Nor does the ALJ identify what he means by significant treatment. As best the Court can glean, the ALJ appears to be referring to his final reason for rejecting Dr. Marinow's opinion — that Dr. Marinow's recommended limitations were prophylactic in nature and indicated a conservative course of treatment. (AR 415-16.) Although conservative treatment may be grounds for rejecting the opinion of an examining physician, it is not clear that the ALJ's finding is supported by the record. The ALJ fails to explain how Dr. Marinow's opinion is inconsistent with his recommended treatment and it is not accurate to conclude that he did not give any weight to the recommended course of treatment in his findings. He expressly concluded that Plaintiff's condition was permanent and stationary. Dr. Marinow also indicated that Plaintiff may require an anterior cervical discectomy interbody fusion surgery for the disc protrusion at the C6-7 interspace. (AR 150-51.) The ALJ therefore erred in finding that Dr. Marinow only recommended conservative treatment. In any event, even if Plaintiff's conservative treatment was a legally sufficient reason, the Court is unable to deem the ALJ's rejection of Dr. Marinow's opinion as harmless in light of the ALJ's other errors.
Accordingly, Plaintiff is entitled to remand on this issue.
Plaintiff's remaining claims are directly implicated by the resolution of Disputed Issue One. Resolution of Disputed Issues Two and Three — in which Plaintiff challenges the ALJ's credibility assessment and determination that Plaintiff could perform other work that existed in significant numbers — is dependent on the outcome of a proper evaluation of the medical evidence as discussed above.
With respect to the credibility determination, however, the Court notes that the ALJ discounted Plaintiff's complaints regarding the severity of her symptoms and limitations as inconsistent with her activities of daily living. (AR 414.) As previously explained, this was not a legally sufficient reason for rejecting Dr. Marinow's opinion regarding Plaintiff's neck limitations. In light of the Court's findings, the ALJ also shall reconsider whether this reason supports the ALJ's credibility determination. The Ninth Circuit has "repeatedly warned that ALJs must be especially cautious in concluding that daily activities are inconsistent with testimony about pain, because impairments that would unquestionably preclude work and all the pressures of a workplace environment will often be consistent with doing more than merely resting in bed all day."
The decision whether to remand for further proceedings is within this Court's discretion.
A remand is appropriate, however, where there are outstanding issues that must be resolved before a determination of disability can be made and it is not clear from the record that the ALJ would be required to find the claimant disabled and award disability benefits.
Pursuant to sentence four of 42 U.S.C. § 405(g), IT THEREFORE IS ORDERED that Judgment be entered reversing the decision of the Commissioner of Social Security and remanding this matter for further administrative proceedings consistent with this Order.