SUZANNE H. SEGAL, Magistrate Judge.
James R. Smith ("Plaintiff") seeks review of the final decision of the Commissioner of the Social Security Administration (the "Commissioner" or the "Agency") denying his application for 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. (Dkt. Nos. 14-15). For the reasons stated below, the decision of the Commissioner is AFFIRMED.
Plaintiff filed an application for Title II Disability Insurance Benefits ("DIB") and an application for Title XVI Supplemental Security Income ("SSI) on May 13, 2013. (Administrative Record ("AR") at 43, 144-53). He alleged a disability onset date of June 1, 2012. (AR 43, 145). The Agency initially denied Plaintiff's applications on November 25, 2013, and upon reconsideration on January 24, 2014. (AR 83-86, 89-93). On February 21, 2014, Plaintiff requested a hearing before an Administrative Law Judge ("ALJ"). (AR 94-95). Plaintiff testified at a hearing before ALJ Mark Greenberg on May 18, 2015 (the "ALJ Hearing"). (AR 27-42). On July 23, 2015, the ALJ issued a decision denying disability insurance benefits and supplement security income. (AR 10-26). Plaintiff filed a request for review of the ALJ's unfavorable decision on September 14, 2015, which the Appeals Council denied on October 27, 2016. (AR 1-5, 8-9). Plaintiff filed the instant action on December 27, 2016.
Plaintiff was born on October 19, 1954. (AR 144). He was 58 years old as of the alleged disability onset date of June 1, 2012, and 60 years old at the time of ALJ Hearing. (AR 29, 144). Plaintiff did not graduate from high school but he has a GED. (AR 29-30). Plaintiff was unemployed at the time of his alleged onset date. (AR 30). Plaintiff was last employed by Powerstride Battery Co. as a regional sales representative until August 11, 2011, when he was "laid off for lack of work." (AR 30, 164, 179). Plaintiff's earnings record indicates that his last-insured date was December 31, 2016. (AR 154).
Plaintiff listed his illnesses as atrial fibrillation and degenerative lower lumbar spine. (AR 145, 179). The record indicates Plaintiff was first diagnosed with atrial fibrillation on July 21, 2012, when he was hospitalized due to a seizure and a rapid heart rate. (AR 338, 352). Plaintiff first sought medical attention for back pain on April 8, 2013. (AR 299). Plaintiff is prescribed Digoxin, Diltiazem, and Metoprolol Tartrate for his heart condition and Hydrocodone Acetaminophen and Norco
Plaintiff first sought medical attention for seizures and atrial fibrillation on July 21, 2012, when he was admitted to the emergency room of Desert Regional Medical Center. (AR 338, 352). On July 21, Plaintiff suffered a seizure and called an ambulance. (AR 352). The hospital records also indicate that Plaintiff began experiencing a rapid heart rate the day before. (AR 338). Upon being admitted, Plaintiff initially reported that he was drinking the day prior, but later indicated that he quit drinking two to three weeks ago. (AR 349). Plaintiff specified that he drank a pint of vodka every day for 25 years. (AR 352). Plaintiff has also been smoking a pack of cigarettes a day for the past 40 years. (AR 349).
Plaintiff remained at the hospital for four days during which time doctors performed various tests. (AR 331). Plaintiff was diagnosed with "[n]ew-onset atrial fibrillation, alcohol abuse, [and] thrombocytopenia likely secondary to alcohol use." (
The record suggests Plaintiff's condition was stable between the July 21, 2012 incident until September 2014. During that time, the record reflects only two medical clinic visits, both for prescription refills. On September 4, 2012, Plaintiff visited Kerrigan Family Medical Group to obtain refills for his medication. (AR 295). The progress notes indicate that Plaintiff's atrial fibrillation was controlled, his COPD was stable, and his alcoholism was in remission. (AR 297-98). Next, Plaintiff visited Borrego Health Cathedral City ("Borrego Health") for prescription refills on September 12, 2014. (AR 435). During this visit, Plaintiff reported that he was not using alcohol but smoked cigarettes every day. (AR 436). Plaintiff received counseling on quitting smoking. (
About two weeks later, on September 26, 2014, Plaintiff was hospitalized due to chest pain. (AR 336). During the consultation, Plaintiff reported that he was drinking alcohol when he developed chest pain, which prompted him to go to the emergency room. (AR 345). Plaintiff further reported that "he drinks half a pint to 1 pint a week of alcohol" and smokes four cigarettes a day. (
Plaintiff was admitted to the emergency room for chest pain once again on March 1, 2015. (AR 333). The hospital records indicate that Plaintiff had been binge drinking "for the last 10 days." (
Lastly, Plaintiff suffered from a hernia on April 1, 2015 and sought medical attention at Borrego Health. (AR 430). Health screening tests showed that his respiratory and cardiovascular function was normal. (AR 431). Plaintiff reported that he was an "every day smoker" but "[d]enied smoking cessation support." (
Plaintiff first sought medical attention for back pain on April 8, 2013. (AR 299). Plaintiff visited certified physician's assistant Gregory Lancaster at Kerrigan Family Medical Group alleging that he has been suffering from back pain for the past 2 years. (
Four days later, on April 12, 2013, Plaintiff had an x-ray performed at Desert Medical Imaging. (AR 302). The x-ray results showed that Plaintiff had "satisfactory vertebral body alignment" along with "advanced multilevel disc degeneration and spondylosis deformans accelerated for age." (
Mr. Lancaster, who appears to be a physician's assistant, completed a physical ability form on April 29, 2014. (AR 312-18). Mr. Lancaster opined that Plaintiff can lift and carry up to 10 pounds continuously and 11-20 pounds occasionally. (AR 312). Mr. Lancaster further opined that without interruption, Plaintiff can sit for 2 hours, stand for 1 hour and walk for 45 minutes. (AR 313). In Mr. Lancaster's opinion, in an 8-hour day, Plaintiff can sit for a total of 4 hours, stand for a total of 2 hours, and walk for a total of 2 hours. (
Finally, Mr. Lancaster opined that Plaintiff can never tolerate exposure to unprotected heights and moving mechanical parts, and that he can only occasionally tolerate exposure to extreme heat, dust, odors, fumes, and pulmonary irritants. (AR 316). Mr. Lancaster based his opinion on the reason that Plaintiff "[h]as COPD — cannot tolerate inhaled irritants." (
Plaintiff had another x-ray performed on May 1, 2014 at Desert Advanced Imaging Palm Springs. (AR 320). The x-ray results presented the following:
(
On November 4, 2014, Plaintiff visited Borrego Health requesting a medication refill for the hydrocodone-acetaminophen. (AR 433). Plaintiff reported that he has had chronic back pain for the past six years, or since 2008. (
At the request of the Agency, consultative examiner Vicente Bernabe, D.O., performed a complete orthopedic consultation of Plaintiff on November 13, 2013. (AR 305-09). Plaintiff complained of lower back pain and reported that the pain began developing in May 2011. (AR 305). He described the pain as sharp, throbbing pain in his back, which is exacerbated by prolonged standing, walking, bending, and lifting, causing occasional numbness and tingling in his legs. (
Dr. Bernabe's physical examination further indicated that Plaintiff's spine was largely normal. (AR 306-07). In particular, his "cervical spine revealed normal attitude and posture of the head" and his "[r]ange of motion was full and painless." (AR 306). "The inspection of the thoracic spine was unrevealing." (AR 307). Plaintiff's lumbar spine had a "normal lordotic curve." (
Based on this examination, Dr. Bernabe diagnosed Plaintiff with degenerative disc disease of the lumbar spine and lumbar musculoligamentous strain. (AR 308). Dr. Bernabe opined that Plaintiff is able to walk, stand and sit for 6 hours out of an 8-hour day, lift and carry 50 pounds occasionally and 25 pounds frequently, and push and pull without limitations. (AR 308-09). Dr. Bernabe opined that Plaintiff did not have any restrictions to agility and postural movements. (AR 309). Further he did not note any impairment in hand use or fine fingering manipulation. (
On November 22, 2013, State agency non-examining medical consultant Dr. Haaland, M.D., reviewed Plaintiff's medical records on the initial level. (AR 52-60). Dr. Haaland determined that Plaintiff was not disabled. (AR 50, 59). Dr. Haaland found that Plaintiff had "minimal MER [medical evidence of record] to support his allegations of disability." (AR 46, 55). In particular, Dr. Haaland noted that Plaintiff has "[n]o MER regarding a-fib" and "[h]e has restriction of spinal ROM [range of motion] on one exam." (
Dr. Haaland requested the orthopedic consultative examination with Dr. Bernabe to obtain additional information about Plaintiff's back pain. (
Dr. Haaland found that one or more of Plaintiff's medically determinable impairments could reasonably be expected to produce his pain or other symptoms. (AR 56). He also found there was substantiation for Plaintiff's claims about the intensity, persistence and functionally limiting effects of his impairments. (
Dr. Subin, M.D., the State agency medical consultant on reconsideration, found Plaintiff "not disabled" On January 21, 2014. (AR 71, 80). Dr. Subin agreed with Dr. Haaland's determinations and found that although Plaintiff was limited in his ability to perform certain work activities, he had the RFC to perform his past relevant work as a route driver. (
Following a request from the ALJ, medical expert Dr. Minh D. Vu, M.D., reviewed Plaintiff's medical records. (AR 442-44). Dr. Vu opined that the medical records established Plaintiff had physical impairments. (AR 442). However, Dr. Vu found that Plaintiff's impairments did not rise to the level of medically determinable impairments. (AR 444). Plaintiff's "cardiac function is essentially normal" and his seizures are infrequent. (
Vocational Expert ("VE") Dr. Luis Mas testified at Plaintiff's ALJ hearing regarding the existence of jobs that Plaintiff could perform given his functional limitations. (AR 38-39). The VE identified regional sales representative, warehouse manager, and route driver as Plaintiff's past relevant work. (AR 39).
The ALJ posed one hypothetical to the vocational expert. The ALJ described an individual with claimant's age, education, and prior work experience. (
Plaintiff testified at the ALJ Hearing. Plaintiff stated that he did not finish high school, but obtained a GED. (AR 30). In the past 15 years, Plaintiff worked as a regional sales representative, route driver, and warehouse manager. (
Plaintiff stated that some of his symptoms of his heart condition prevent him from working. (AR 34). In particular, he is prevented from working because of "chest pains, palpitations, numbness in [his] upper chest quadrant, [his] upper quadrants . . . just the constant chest pains." (
Plaintiff also testified that he cannot work because of his back pain. (AR 30). He had back pain while employed but still reported to work. (
Plaintiff described some of his daily activities. Plaintiff walks his dog in the mornings for about 150 yards in each direction. (AR 36). He will prepare breakfast or lunch. (
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 his disability onset date of June 1, 2012, through the date of the decision, July 23, 2015. (AR 14). At step one, the ALJ found that Plaintiff had not engaged in substantial gainful employment since June 1, 2012, the alleged onset date. (AR 15). At step two, the ALJ found that Plaintiff had the following severe impairments: degenerative disc disease of the lumbar spine, atrial fibrillation, obesity, chronic obstructive pulmonary disease, hypertension, congestive heart failure, hernia, history of seizures, and alcoholism. (AR 15-16).
At step three, the ALJ found that Plaintiff did not have an impairment or combination of impairments that met or medically equaled the severity of one of the listed impairments in 20 C.F.R. Part 404, Subpart P, Appendix 1 (20 C.F.R. §§ 404.1520(d), 404.1525, 404.1526, 416.920(d), 416.925 and 416.926). (AR 16).
(AR 16-17). The ALJ noted that Plaintiff has moderate multilevel degenerative disc disease, but there is "no evidence of compromise of a nerve root or spinal cord and no inability to ambulate effectively." (AR 17) (citations to the record omitted).
The ALJ then found that Plaintiff had the RFC "to perform the full range of medium work as defined in 20 CFR 404.1567(c) and 416.967(c)." (
The ALJ found that Plaintiff's subjective allegations regarding the intensity, persistence and limiting effects of his symptoms were "less than fully credible." (AR 18). The ALJ considered all the factors set forth in 20 C.F.R. 404,1529, 416.929 and SSR 96-7p to assess Plaintiff's credibility. (
In terms of Plaintiff's physical complaints, the ALJ explained that although Plaintiff has lumbar spine degenerative disc disease, Plaintiff "has merely received routine and conservative medical treatment with pain medications" not reaching the "amount of pain medication typical of an individual with disabling pain levels." (AR 18). Plaintiff did not report "treatment with physical therapy, chiropractic adjustments, cortisone injections, or the use of a cane to ambulate, or a back brace." (
The ALJ specifically noted that Plaintiff's allegations were inconsistent with the findings of the consultative examining doctor, Dr. Bernabe. (
(
The ALJ also observed that Plaintiff's allegations were inconsistent with the findings of the medical expert, Dr. Vu. (AR 19). Specifically, Dr. Vu noted that there was "no neuro-muscular deficits." (
The ALJ gave little weight to Mr. Lancaster's opinion. (
With regard to Plaintiff's COPD, hypertension, and atrial fibrillation, the ALJ observed that these impairments "are stable and adequately controlled with medications." (AR 18). The ALJ also noted that Plaintiff "continues to smoke despite his COPD impairment." (AR 19). The ALJ gave great weight to Dr. Vu's opinion. (
At step four, the ALJ determined that Plaintiff was capable of performing his past relevant work as a regional salesperson and route driver. (AR 20). Therefore, the ALJ found that Plaintiff was not under a disability as defined by 20 C.F.R. 404.1520(f). (
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 the ground that the ALJ improperly rejected Plaintiff's credibility. (Memorandum in Support of Complaint ("MSC"), Dkt. No. 24, at 2, 4). Plaintiff contends that the ALJ "failed to articulate specific and legitimate reason much less clear and convincing reasons in rejecting [Plaintiff's] credible testimony." (
The Court disagrees with this contention. The ALJ provided clear and convincing reasons, supported by substantial evidence, for rejecting Plaintiff's testimony. Accordingly, for the reasons discussed below, the ALJ's decision must be AFFIRMED.
Plaintiff contends that the ALJ erred by failing to articulate clear and convincing reasons for finding Plaintiff's subjective testimony less than fully credible. (MSC at 3). The Court disagrees. The ALJ's decision contains extensive citation to and discussion of substantial evidence supporting his credibility findings.
When assessing a claimant's credibility, the ALJ must engage in a two-step analysis.
Here, at the first stage of his credibility analysis, the ALJ found that Plaintiff's medically determinable impairments could reasonably be expected to cause the alleged symptoms. (AR 18). At the second stage, however, the ALJ found ample evidence that Plaintiff's account of the intensity, persistence and limiting effects of his symptoms was not fully credible. (
Plaintiff contends that the ALJ relied solely on objective medical evidence to discount Plaintiff's credibility. (MSC at 6). Defendant argues "the ALJ appropriately considered four legally valid credible factors" for dismissing Plaintiff's testimony. (Memorandum in Support of Defendant's Answer, Dkt. No. 25, at 3). According to Defendant, one factor is "the fact that Plaintiff stopped working for reasons unrelated to his disability." (
The Court finds that the ALJ provided sufficient clear and convincing reasons, other than Plaintiff's termination from employment, to discount Plaintiff's testimony. Specifically, the Court recognizes four reasons the ALJ provided for rejecting Plaintiff's statements. (AR 17). First, Plaintiff failed to follow basic treatment. (AR 18). Second, Plaintiff received only routine and conservative treatment. (
First, the ALJ relied on Plaintiff's failure to follow basic treatment when evaluating Plaintiff's credibility. "A claimant's subjective symptom testimony may be undermined by an unexplained, or inadequately explained, failure to . . . follow a prescribed course of treatment."
In
Here, there is substantial evidence in the record to show that Plaintiff failed to follow basic treatment advice. However, unlike the claimant in
Second, the ALJ discredited Plaintiff's testimony because "he merely received routine and conservative medical treatment with pain medications." (AR 18). "A conservative course of treatment can undermine allegations of debilitating pain."
The Court agrees that there is substantial evidence in the record indicating that Plaintiff received routine and conservative medical treatment. The ALJ specifically noted that Plaintiff treated his back pain with only pain medications and the amount of medication does not rise to the level typical for an individual with disabling pain. (AR 18). The ALJ further observed that Plaintiff did not require or seek "physical therapy, chiropractic adjustments, [or] cortisone injections." (
Indeed, the record indicates that other than to refill his pain medication (or for an examination related to his request for benefits), Plaintiff visited a medical professional only three times for his back pain since the alleged onset date of June 1, 2012. Significantly, only one visit was for an examination. (
Third, the ALJ cited to substantial evidence of Plaintiff's conduct that was inconsistent with the severity of the symptoms he alleged.
Finally, in addition to the reasons discussed above, the ALJ explained that he discredited Plaintiff's testimony because his statements are "out of proportion with the medical evidence and record as a whole." (AR 18). "Although lack of medical evidence cannot form the sole basis for discounting pain testimony, it is a factor that the ALJ can consider in his credibility analysis."
Plaintiff listed his atrial fibrillation as a disability and testified that some of the symptoms of his heart condition prevent him from working. (AR 34, 145). The ALJ properly found that there is substantial evidence in the medical records to show that Plaintiff's COPD, hypertension, and atrial fibrillation are stable. (
More notably, Plaintiff himself reported to the State agency consultant that he does not have any issues with his atrial fibrillation and it is "fine with the medication he is taking." (AR 45, 54); (
Plaintiff also listed degenerative lower lumbar as a disability in his DIB and SSI applications. Plaintiff alleges an inability to bend, which causes him problems with tying his shoes, cutting his toenails, getting in and out of his truck, walking and standing. (
Dr. Haaland, the State agency consultant, concluded that Plaintiff is capable of medium work. (AR 47, 56). Specifically, Plaintiff is capable of bending at the waist occasionally; lifting and carrying 50 pounds occasionally and 20 pounds frequently; and standing, walking, and sitting for 6 hours in an 8-hour day. (AR 48, 57). Further, Dr. Haaland noted some limitations to Plaintiff's ability to climb and perform postural activity. (
Likewise, after performing a consultative exam, Dr. Bernabe reached similar conclusions regarding Plaintiff's physical ability. Dr. Bernabe found that Plaintiff can carry 50 pounds occasionally and 25 pounds frequently. (AR 308). Plaintiff is also able to walk, stand, and sit for 6 hours in an 8-hour day. (AR 309). Dr. Bernabe opined that Plaintiff did not have restrictions to postural movements. (
Dr. Vu, the medical expert, also had nearly identical findings. Dr. Vu opined that Plaintiff can lift and carry 50 pounds occasionally and 25 pounds frequently. (AR 444). Plaintiff can walk and stand for 2 hours at a time for a total of 6 hours in an 8-hour day, but Plaintiff was not limited in his sitting ability. (
Mr. Lancaster's opinion is the only evidence that supports Plaintiff's contentions. However, Mr. Lancaster's opinion is inconsistent with all other medical evidence on record, as described above. Additionally, Mr. Lancaster's opinion even conflicts with Plaintiff's own testimony and conduct. (AR 32) (Plaintiff testifying that he can walk about 200 to 300 yards without taking a break); (AR 36) (Plaintiff testifying that on an average day, he walks his dogs the mornings for a total of about 300 yards); (AR 306) (Plaintiff moved freely and walked without the use of a cane during the consultative exam). Further, as the ALJ noted, "[t]here are no progress notes or a narrative statement to support Mr. Lancaster's opinion." (AR 19). Therefore, the Court agrees that Plaintiff's testimony was out of proportion with the record as a whole. Again, this was a clear and convincing reason to reject Plaintiff's testimony.
In sum, the ALJ offered clear and convincing reasons supported by substantial evidence for finding Plaintiff's subjective testimony less than fully credible.
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.