KAREN E. SCOTT, Magistrate Judge.
On March 19, 2010, Plaintiff Cris R. ("Plaintiff") filed an application for Social Security Disability Insurance Benefits ("DIB"). Administrative Record ("AR") 428-31. On March 25, 2010, he filed an application for Supplemental Security Income ("SSI"). AR 436. In both applications, Plaintiff alleged that he became disabled and unable to work on March 3, 2010, due to multiple impairments (AR 482-483).
In their Joint Stipulation ("JS" at Dkt. 21), the parties summarized multiple hearings conducted by Administrative Law Judges ("ALJ"), adverse decisions, and remands by the Appeals Council. JS at 2-6. On May 25, 2017, the third and final administrative hearing occurred at which Plaintiff, who was represented by counsel, appeared and testified, as did a vocational expert ("VE"). AR 42-69.
On August 17, 2017, an ALJ issued the partially favorable decision that is the subject of this appeal. AR 12-28. The ALJ found that Plaintiff suffered from the medically determinable impairments of "chronic kidney disease; congestive heart failure; hypertension; obesity; learning disability; and borderline intellectual functioning." AR 15. The ALJ found that before August 3, 2015, Plaintiff had a residual functional capacity ("RFC") to perform a range of sedentary work limited to simple, repetitive tasks. AR 16-17. The ALJ assessed the same RFC on and after August 3, 2015, with one change: the "need to elevate his legs for two hours a day due to swelling and pain." AR 24.
Based on this RFC analysis, the ALJ found that before August 3, 2015, Plaintiff could have worked as an addresser, lens inserter, or assembler, and was therefore not disabled. AR 26-27. As of August 3, 2015, however, there were no jobs that existed in sufficient numbers in the national economy that Plaintiff could perform, so the ALJ found him disabled as of that date. AR 27.
Dissatisfied with the ALJ's findings that he only became disabled on August 3, 2015, i.e., eight months after his date last insured, Plaintiff timely appealed. JS at 6.
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 are supported by substantial evidence based on the record as a whole. 42 U.S.C. § 405(g);
"A decision of the ALJ will not be reversed for errors that are harmless."
The parties cited the following medical records in the Joint Stipulation which the Court summarizes in chronological order:
• AR 661-66 (March 3, 2010): Plaintiff was hospitalized for chest pain. As part of a nephrology consultation, Plaintiff reported "lower extremity edema of late." AR 661-62. Dr. Agarwal noted, "1+ edema bilaterally, lower extremities."
• AR 659 (March 4, 2010): Still at the hospital, Dr. Jamil observed "no pedal edema."
• AR 886-87 (May 18, 2010): Plaintiff told Dr. Agarwal, "edema worse after standing for long periods." AR 886. Dr. Agarwal noted, "trace edema." AR 887.
• AR 878 (June 7, 2010): Per Dr. Hoang, "pt [patient] c/o [complains of] . . . edema . . . when pt walk over 15-20'."
• AR 775-81 (June 17, 2010): Consultative examiner Dr. Klein performed an internal medicine evaluation. He observed no ankle swelling, normal gait, and normal motor strength. AR 779. He opined that Plaintiff could walk, stand, or sit six hours per workday. AR 780.
• AR 834 (November 21, 2011): At an in-hospital consultation with Dr. Biswas, Plaintiff reported that he had been out of medicine for two months and was having weakness with exertion and "some lower extremity edema as well." A physical examination, however, revealed "no edema."
• AR 870 (December 8, 2011): This record states that Plaintiff made a follow-up visit to Dr. Hoang after a recent emergency room visit, referencing 11/21/11. In the initial section documenting what Plaintiff told Dr. Hoang, the record says, "Pt c/o dizziness sometimes [after?] [illegible] on legs. [illegible] × 3 day. [illegible] walk only < ½ block and home to [illegible, possibly "sister's house"] 10' — [illegible] legs elevated [illegible] (45°) when pt sit down." Plaintiff characterizes this record as an opinion by Dr. Hoang "that Plaintiff should elevate his legs at 45 degrees when sitting down." (JS at 10.) This difficult-to-read record appears instead to document what Plaintiff told Dr. Hoang he was already doing.
• AR 869 (January 19, 2012): Plaintiff characterizes this record as, "Dr. Hoang repeated his instructions to Mr. Rabe stating `Patient still needs elevate his legs to decrease leg edema.'" (JS at 10.) The Court's deciphers this note to say, "SOB [shortness of breath] . . . walking over ½ block; pt still [or stated] needs elevate his leg at home [illegible] by edema + SOB." Again, this record may be documenting Plaintiff's complaints rather than giving Plaintiff instructions.
• AR 865-68 (January 24, 2012): Dr. Hoang completed a functional capacity questionnaire. He listed Plaintiff's impairments as DOE (dyspnea on exertion), elevated BNP (possibly brain natriuretic peptide), reduced EF (ejection fraction), and HTN (hypertension).
• AR 863 (January 31, 2012): At a follow-up from his last 2010 appointment, Dr. Agarwal noted "trace edema" in Plaintiff's extremities.
• AR 1008-09 (March 8, 2012): Dr. Sethi conducted a cardiovascular consultation. Dr. Sethi documented that Plaintiff reported "feeling that his legs become swollen when he walks and [he] has discomfort in both legs." AR 1008. When Dr. Sethi conducted a physical exam, however, he noted, "no peripheral edema."
• AR 892-94 (April 23, 2012): Dr. Agarwal again noted "trace edema" in Plaintiff's extremities. AR 893. He increased Plaintiff's prescribed dosage of Lasix/furosemide, a medication used to treat edema. AR 894.
• AR 895-97 (June 26, 2012): At his next appointment with Dr. Agarwal, Plaintiff reported "occ [occasional] cp, no sob, no edema." AR 895. He also reported, "edema better with Lasix."
• AR 952-56 (September 20, 2013
• AR 936-38 (September 20, 2013): Dr. Steinberg completed a typed cardiac impairment questionnaire. This questionnaire does not mention edema or leg elevation. Dues to chest pain and fatigue, he offered the same opinion that Plaintiff could only sit one hour/day and could stand/walk for less than one hour/day. AR 938. He opined that "patient's symptoms and limitations apply dates back to 2010."
• AR 925-36 (September 20, 2013): Dr. Steinberg completed a qualified medical evaluation report. Plaintiff denied joint swelling, muscle weakness, and atrophy. AR 932. Dr. Steinberg observed that he had a normal gait and could squat and get on and off the examination table without difficulty.
• AR 950 (December 30, 2013): Dr. Hoang prepared a letter largely repeating the opinions in his January 24, 2012 functional capacity questionnaire (AR 865-68), including that Plaintiff would need to elevate his legs at a 45° angle for 60-80% of the workday.
• AR 1068-76 (January 2-6, 2014): Plaintiff was hospitalized complaining of abdominal pain. He went out to eat with family members in late December to celebrate his birthday, after which he developed gastrointestinal symptoms that did not subside. AR 1070. Physical examinations at the hospital noted no pedal edema (AR 1071) and no extremity edema (AR 1075, 1078, 1087). Plaintiff was "ambulatory in the halls." AR 1081. Plaintiff was diagnosed with a "left perinephric hematoma." AR 1075. One of the doctors who treated Plaintiff was Andrew Cheung. AR 1088. Regarding the hematoma, Dr. Cheung noted, "Questionable ideology, possibly trauma as the patient reports his kids routinely jump on his abdominal area." AR 1048.
• AR 1032-35 (January 13, 2014): Plaintiff saw Dr. Cheung for a follow-up. Dr. Cheung conducted a physical exam and noted "Extremities: Edema: none." AR 1034.
• AR 985 (March 4, 2014): Plaintiff reported to Dr. Hoang, "↑ [increased] edema + AB [possibly aortic bruit] × 1 week." He also reported seeing Dr. Cheung in Corona in mid-January.
• AR 1028-31 (March 10, 2014): Dr. Cheung again noted no edema. AR 1030.
• AR 958-68 (March 31, 2014): Consultative examiner Haleh Safavi authored a report. On examination, Dr. Safavi noted that Plaintiff had a normal gait; his extremities did not show any edema; there was no evidence of swelling; and Plaintiff had normal muscle tone, bulk, and strength. AR 960-61. Based on this examination, Dr. Safavi opined that Plaintiff could perform a range of sedentary work and did not assess any need to elevate his legs. AR 963-68.
• AR 1022-27 (April 21, 2014): Plaintiff reported to Dr. Cheung "stable LE [lower extremity] edema." AR 1022. On physical examination, however, Dr. Cheung found no edema. AR 1024.
• AR 1103 (April 30, 2014): Dr. Agarwal completed a kidney disease impairment questionnaire. He noted "edema" as a primary symptom. AR 1103. He nevertheless opined that Plaintiff could walk, sit, or stand eight hours/day, and he did not recommend leg elevation. AR 1104, 1106.
• AR 1016-21 (June 16, 2014): Dr. Cheung found no edema. AR 1018.
• AR 1012-15 (July 21, 2014): Plaintiff told Dr. Cheung that he had lost 20 pounds in 2 months. AR 1012. Dr. Cheung saw no edema. AR 1014.
• AR 1064-67 (July 21, 2014): Dr. Cheung completed a kidney disease impairment questionnaire. He identified edema and fatigue as Plaintiff's primary symptoms. AR 1064. He opined that Plaintiff could sit, stand, or walk for 8 hours/day. AR 1065. The form asked whether Plaintiff would need to elevate his legs while seated, and Dr. Cheung left that section of the form blank. AR 1067.
• AR 1124-26 (January 12, 2015): Plaintiff visited Dr. Cheung again and reported "doing well since last visit" in July 2014. AR 1124. Plaintiff denied LE edema.
• AR 1127-29 (April 20, 2015): Plaintiff told Dr. Cheung "LE edema has resolved" and "doing well." AR 1127. An exam revealed no edema. AR 1128.
• AR 1131-33 (June 1, 2015): Plaintiff told Dr. Cheung, "no LE edema." AR 1131. Dr. Cheung observed no edema. AR 1132.
• AR 1109-10 (June 16, 2015): Dr. Hoang completed a disability impairment questionnaire. He identified Dr. Cheung's records as providing the "clinical and laboratory findings" supporting his opinions. AR 1107. He opined that Plaintiff could sit for two hours/day and walk or stand less than one hour/day. AR 1109. He also opined that it was "medically necessary" for Plaintiff to elevate both legs at "all times" to "waist level."
• AR 1134-36 (July 13, 2015): Plaintiff told Dr. Cheung, "no LE edema." AR 1134. Dr. Cheung observed no edema. AR 1135.
• AR 1113-17 (August 3, 2015): Dr. Cheung prepared another kidney disease impairment questionnaire. He identified leg edema as a positive clinical finding. AR 1113-14. He indicated no limits on Plaintiff sitting or standing continuously during the work day. AR 1115. He also indicated that Plaintiff would need to elevate his legs while seated 1-2 hours/day. AR 1117. Finally, he stated that the earliest date to which the "description of symptoms and limitations" in the questionnaire applied was January 2014.
• AR 1137-39 (August 24, 2015): Plaintiff told Dr. Cheung, "no LE edema." AR 1137. Dr. Cheung observed no edema. AR 1138.
• AR 1140-43 (December 21, 2015): Plaintiff reported to Dr. Cheung, "stable LE edema." AR 1140. Dr. Cheung observed "trace edema." AR 1141.
• AR 1147-50 (August 15, 2016): This was Plaintiff's next appointment with Dr. Cheung. Dr. Cheung again observed "trace edema." AR 1149.
The ALJ evaluated the doctors' opinions, as follows:
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Regarding leg elevation, the ALJ expressly declined to adopt the limitation in Dr. Hoang's June 16, 2015 questionnaire that Plaintiff needed to elevate his legs "at all times" to waist level. AR 23, citing AR 1109. The ALJ reasoned as follows:
AR 23.
Plaintiff contends that the ALJ's finding that Plaintiff only needed to elevate his legs as of August 3, 2015 lacks substantial evidentiary support. (JS at 13.) According to Plaintiff, "the record documents the need to elevate the lower extremities at least as far back as December 8, 2011 (AR 870), when he was first instructed to do so by his treating physician Dr. Hoang, M.D." (JS at 13.)
Dr. Cheung opined in July 2014 that Plaintiff did not need to elevate his legs (AR 1067), then opined on August 3, 2015 that he should elevate them for 2 hours/day (AR 1117). Dr. Cheung's July 2014 assessment is consistent with Dr. Safavi's March 2014 opinion and Dr. Agarwal's April 2014 opinion — both of which stated that Plaintiff could perform fulltime, sedentary work without the need for leg elevation. AR 958-68, 1103. Dr. Cheung's July 2014 assessment is also consistent with his own treatment notes from several consecutive months in early 2014 which noted no leg edema. AR 1030, 1024, 1018, 1014.
About one year later, on August 3, 2015, Dr. Cheung opined that Plaintiff should elevate his legs for 2 hours/day (AR 1117). Dr. Cheung apparently saw a worsening of Plaintiff's condition during this year that caused him to change his functional assessment.
Dr. Hoang opined on multiple occasions that Plaintiff needed to elevate his legs, and his opinions grew more extreme over time.
Second, Dr. Hoang's opinions are inconsistent with Plaintiff's testimony and reported activities. At the most recent hearing, Plaintiff reported that he understood his doctor's recommendation to elevate his "leg" as applying to his "right leg mainly." AR 56. He testified that he elevated his right leg to waist level 3 or 4 times a day for about 15 minutes.
In sum, the ALJ properly weighed the relevant medical evidence, and substantial evidence supports his determination that Plaintiff did not need to elevate his legs in a way that would more than minimally effect his ability to work until August 3, 2015.
Plaintiff contends that the ALJ failed to give a specific, legitimate reason for discrediting Dr. Hoang's treatment notes. According to Plaintiff, the ALJ falsely claimed that the notes are illegible, and as a result, failed to discuss Dr. Hoang's opinions about edema and leg elevation. (JS at 10, 12.)
Dr. Hoang's notes are difficult to read. As discussed above, the ALJ could reasonably have interpreted the 2010 and 2011 notes about leg elevation cited by Plaintiff's counsel as documenting what Plaintiff told Dr. Hoang he was doing — not what Dr. Hoang recommended that Plaintiff do. Moreover, as discussed above, the ALJ gave specific and legitimate reasons for discrediting Dr. Hoang's opinions relevant to leg elevation: inconsistency with contemporaneous treating records and Plaintiff's reported activities.
Finally, Plaintiff contends that the ALJ misinterpreted Dr. Cheung's August 3, 2015 opinion about leg elevation, because Dr. Cheung stated that his limitations applied as of January 2014. (JS at 11-12, citing AR 1117.)
Again, Dr. Cheung completed a questionnaire in July 2014 in which he found that Plaintiff could sit, stand, or walk for the entirety of an 8-hour workday and in which he declined to opine that Plaintiff needed to elevate his legs during the workday. AR 1065-67. Given these express opinions from July 2014, it would be unreasonable to interpret Dr. Cheung's August 2015 questionnaire responses as retroactively imposing greater functional limitations going back to January 2014. Plaintiff has not demonstrated legal error.
In his Adult Function Report dated June 1, 2010, Plaintiff reported that he took two walks on an average day. AR 516. He tried to get outside at least three times a day. AR 519. He could only walk 1½ blocks before stopping to rest.
In an exertional questionnaire from January 2011, Plaintiff reported that his ankles swell "from standing for long periods of time." AR 554. Nevertheless, on an average day, he was able to take a walk and do some household chores such as washing dishes, carrying laundry, vacuuming, and throwing out trash.
At the first hearing in February 2012, Plaintiff testified, "I can't constantly walk, my legs get all swollen." AR 78. He claimed that he was hospitalized in November 2011 because his legs were so swollen he could not walk.
At the second hearing in August 2014, Plaintiff testified that the last grade he completed was ninth-grade.
At the third hearing in May 2017, Plaintiff testified that his legs swell whenever he walks or is on his feet. AR 55. He takes Lasix 2 or 3 times a day to decrease swelling.
The ALJ gave at least the following five reasons for discounting Plaintiff's extreme subjective symptom testimony: (1) inconsistent with his daily activities, (2) inconsistent with the medical evidence, (3) routine, conservative treatment, (4) noncompliance with recommended treatment, and (5) lack of supporting objective evidence. AR 18-19.
As an example of inconsistency with daily activities, the ALJ noted that Plaintiff could regularly go to movies or out to dinner. AR 18. This is inconsistent with Plaintiff's testimony that he could sit only 10 or 20 minutes and needed to elevate his legs while doing so. AR 84;
As an example of inconsistency with the medical evidence, the ALJ contrasted Plaintiff's testimony that his legs are always swollen
Regarding noncompliance, the ALJ found, "claimant's noncompliance with blood pressure medications undermines the credibility of his allegations of persistent chest pain and dyspnea, as it appears the symptoms are related to the claimant's hypertension." AR 19. The ALJ cited records from Plaintiff's November 2011 hospitalization indicating that he had run out of medications and was counseled regarding the need for compliance. AR 19, citing AR 834. The ALJ also cited a March 2012 cardiology consultation at which Plaintiff admitted that he had not taken his blood pressure medication prior to the examination. AR 19, citing AR 1009;
Thus, substantial evidence supports the above-discussed reasons supplied by the ALJ. Considered together, they provide a clear and convincing reason to discount Plaintiff's subjective symptom testimony.
For the reasons stated above, IT IS ORDERED that judgment shall be entered AFFIRMING the decision of the Commissioner denying benefits.