JEROME B. SIMANDLE, District Judge.
This matter comes before the Court pursuant to 42 U.S.C § 405(g) for review of the final decision of the Commissioner of the Social Security Administration ("SSA") denying the application of Plaintiff Maddrice P. Ganges ("Plaintiff") for Social Security Disability Benefits and Supplemental Security Income under Title II and XVI of the Social Security Act, 42 U.S.C. § 401
In the pending appeal, Plaintiff contends that the July 17, 2015 decision of Administrative Law Judge ("ALJ") Keith Bossong should be reversed and remanded on five grounds. First, Plaintiff argues the ALJ erred by failing to follow SSA policy regarding the procedure when a claimant is unavailable to attend a hearing before the ALJ but her representative is present. Second, Plaintiff argues the ALJ failed to properly consider several "non-severe" impairments in determining the Plaintiff's Residual Functional Capacity ("RFC"). Third, Plaintiff argues the ALJ failed to properly evaluate Plaintiff's bilateral hand complaints. Fourth, Plaintiff argues the ALJ misinterpreted the results of a May 24, 2011 Functional Capacity Evaluation. Finally, Plaintiff argues the ALJ improperly rejected the opinion of Plaintiff's treating orthopedic surgeon. For the reasons that follow, the Court will affirm the ALJ's wellreasoned and thorough decision.
Plaintiff filed an application for Social Security Disability Benefits on or around September 13, 2012 (R. 176-77), and an application for Supplemental Security Income on or around September 24, 2012 (R. 178-83), initially alleging that she was disabled as of December 28, 2009. (R. 195.) Plaintiff subsequently amended her claim to a closed period from February 1, 2011 to January 11, 2013. (R. 239-40.)
Plaintiff's claim was denied by the SSA on February 6, 2013. (R. 114-19.) Her claim was again denied upon reconsideration on July 8, 2013. (R. 127-31.) A hearing was held before ALJ Bossong on March 10, 2015; as discussed in more detail below, Plaintiff's attorney and representative, Mr. Richard Frankel, Esq., was present, but Plaintiff was not. (R. 55-70.) The ALJ issued an opinion on July 17, 2015, denying Plaintiff benefits for the closed period. (R. 21-49.) On January 19, 2017, the Appeals Counsel denied Plaintiff's request for review. (R. 1-5.) This appeal timely follows.
As Plaintiff alleges a closed period of disability between February 1, 2011 and January 11, 2013, the Court only discusses those facts most relevant to this period. Plaintiff was 43 years old at the time of her amended alleged disability onset date and 45 years old when she returned to substantial work.
On July 10, 2009, Plaintiff suffered a fall while at work and sustained injuries to her left knee, left shoulder, and the left side of her neck. (R. at 58, 247.)
An August 4, 2009 MRI of Plaintiff's left knee showed findings consistent with chondromalacia, moderate joint effusion, and a vertical tear within the anterior horn of the lateral meniscus. (R. at 368-69.) Shortly thereafter, Plaintiff underwent left knee arthroscopic repair of the medial and lateral meniscus. (R. at 384-85.) At a September 24, 2009 follow-up visit, Dr. Jeffrey Malumed, M.D. observed Plaintiff is "doing better with her knee," "has good range of motion," and "[t]herapy is helping her," and determined that "[s]he may continue working on a light duty basis." (R. at 380-81.) On October 8, 2009, Dr. Malumed again examined Plaintiff and noted that she had a full range of motion and her therapy had gone well, but that she had a little bit of fluid in the knee, which he expected. (R. at 378.) At Plaintiff's request, Dr. Malumed gave her one more week before she returned to her normal job. (
On March 31, 2010, Plaintiff underwent a second knee surgery, this time a left knee medial meniscectomy, chondroplasty of the medial femoral condyle, partial synovectomy, and resection of the plica. (R. at 351.) In April 2010, Plaintiff began treating at NovaCare for physical therapy on the knee, as well as for the left hand, back, and spine. (R. at 305-09.) She continued working "on and off" until early 2011. (R. at 58.)
Notwithstanding the July 2009 injury and subsequent testing and treatment described above, Plaintiff continued to work in some capacity until on or around February 1, 2011, the amended alleged onset disability date. (R. 239-40.)
On February 1, 2011, Plaintiff visited, Dr. Laura Ross, D.O. at Ross Center for Orthopedics. (R. at 428.) At this time, Dr. Ross evaluated Plaintiff and determined that Plaintiff had "crepitus with range of motion" in the left knee and left shoulder. (
A February 9, 2011 x-ray of Plaintiff's knee revealed she had mild osteophyte formation of the medial joint space and of the superior patella, that her patellofemoral joint was mildly narrowed, and she exhibited narrowing of both the medial and lateral joint spaces. (R. at 429.) The impression was that Plaintiff had mild degenerative changes of the joint and no fracture. (
On March 9, 2011, Plaintiff had surgery on her left shoulder (R. at 637) and, the following day, she underwent carpal tunnel decompression of the left wrist and left ulnar nerve decompression at the elbow. (R. at 401.) Dr. Ross saw Plaintiff the following week and recommended that she go to physical therapy for her left shoulder. (R. at 443.) On May 12, 2011, Plaintiff returned to Dr. Ross who advised Plaintiff to continue home exercise and acupuncture for pain management and to go to physical therapy. (R. at 446.)
On May 24, 2011, Plaintiff underwent a Functional Capacity Evaluation ("FCE"), which was performed by Tate L. Rice, PT, DPT. (R. at 397-416.) The FCE showed that Plaintiff could perform at least eight hours of handling, fingering, feeling, balancing, stooping, kneeling, and sitting, but only five hours of crouching and lifting 10 pounds, four hours of crawling and lifting 20 pounds, and two hours of lifting 50 pounds. (R. at 402.) The FCE also showed that Plaintiff's grip strength was measured at 56 pounds on the left and 81 pounds on the right. (R. at 400). Based on the FCE, Mr. Rice opined that, because she was not able to lift objects over 10 pounds above her shoulder height, Plaintiff could not reassume her past relevant work as a Security Supervisor. (R. at 399.) According to Mr. Rice, however, Plaintiff was able to perform "light" work. (
On July 25, 2011, Plaintiff visited Dr. Mary Ann Sciamanna, D.O., for pain in her back, neck, left shoulder, and left elbow. (R. at 596-600.) Dr. Sciamanna noted that Plaintiff had good lumbar extension and her flexion measured to 90 degrees, but her side bending was painful. (R. at 596.) Plaintiff was diagnosed with low back pain and Dr. Sciamanna recommended a course of acupuncture. (
Starting in September 2010, Plaintiff attended physical and aqua therapy on several occasions. (R. at 467-70, 485-89, 510-36, 538-41.) On May 9, 2011, her physical therapist measured her lumbar flexion at 64 degrees, her extension at 26 degrees, her right lateral flexion at 22 degrees, and her left lateral flexion at 24 degrees. (R. at 540.) In August 2011, Plaintiff was discharged from aqua therapy because she met all of her goals. (R. at 489.)
On August 20, 2012, Plaintiff reported to Dr. Ross that she experienced sharp pain in her left knee, left shoulder, and back, but that Dr. Sciamanna had "helped her with regard to her back." (R. at 631.) It was Dr. Ross's impression that Plaintiff had impingement of the left shoulder, left knee degenerative joint disease, and lumbar degenerative disc disease, and that she was post left ulnar nerve decompression and left carpal tunnel decompression. (
Plaintiff returned to substantial work on or around January 11, 2013. (R. 239-40.)
On October 1, 2012, Plaintiff filled out an Adult Function Report in connection with her application for disability benefits. (R. 209-16.) In this Report, Plaintiff stated that she had difficulty sleeping due to muscle spasms and aches in her legs, arm, and shoulder, and that it took her ten to fifteen minutes to get out of bed in the morning. (R. at 209-10.) She indicated that she used to be able to "do anything," including sports, hiking and climbs, but that, because of her shoulder, knee, and back conditions, she had difficulty dressing and bathing, could no longer do her hair, and that she could only sit for fifteen to thirty minutes before having to move, only walk ten to fifteen minutes before having to stop and rest, and only concentrate for fifteen to thirty minutes at a time. (R. at 210, 214.) Plaintiff also indicated that she could feed herself, use the toilet without limitations, prepare simple meals, wash laundry (but not pick up the basket), drive a car, shop for groceries (but not carry the groceries herself), handle personal finances, read, watch television, and use the computer. (R. at 209, 211-12.)
In September 2013, several months after Plaintiff returned to substantial work, Dr. Ross completed a Medical Source Statement ("MSS") on Plaintiff's behalf. (R. at 779-87.) In her MSS, Dr. Ross identified Plaintiff's left shoulder, elbow, back, and foot/ankle, and her bilateral hands as areas of musculoskeletal pain, in addition to other symptoms, including fatigue, general malaise, extremity numbness, pain, and/or tingling, difficulty walking/abnormal gait, muscle weakness, muscle spasm, loss of manual dexterity, swelling, difficulty thinking/concentrating/maintaining attention, depression, and recent weight loss. (R. at 779.) Dr. Ross opined that Plaintiff's pain was occasionally "profound and intractable," usually present, and of such a degree as to prevent Plaintiff from performing normal, full-time work activities on a frequent basis. (R. at 780.) She further opined that medications would prevent Plaintiff from performing even the most simple work tasks and that Plaintiff would need to lie supine for two hours during the day on a daily basis, could sit for less than two hours in an eight-hour work day, could stand or walk for up to one hour in an eight-hour work day, would need to elevate her legs two to four times a day, could rarely lift less than 10 pounds, could rarely use her left hand or arm and never use her right arm to reach, could rarely handle objects and never finger with her right hand, and would be absent from work more than four days per month. (R. at 781-87.)
On January 13, 2013, Dr. James Paolino, M.D., a state agency consultant, reviewed Plaintiff's medical records and concluded that Plaintiff could carry lift or carry 20 pounds occasionally and 10 pounds frequently, could stand or walk for three hours in an eight-hour workday, sit for six hours in an eight-hour work day, occasionally climb ramps and stairs, balance, and stoop. (R. at 77-80.) Dr. Paolino also determined that Plaintiff could not climb ladders, ropes, or scaffolds, kneel, crouch or crawl, was limited in reaching with the left upper extremity, must avoid concentrated exposure to extreme heat, cold, wetness, and humidity, and must avoid all exposure to pulmonary irritants. (
As discussed in more detail in Section IV.B.1,
On the record, Mr. Frankel explained to the ALJ that Plaintiff was "currently working doing a long-term assignment in Chicago" and "she informed me this morning, without too much additional detail, that she was not able to get the flight that she had planned on taking to get back for the hearing today." (
After Mr. Frankel's opening remarks, the ALJ examined a vocational expert ("VE"), subject to examination by Mr. Frankel. (R. at 60-70.) The ALJ first asked the VE if a hypothetical individual with the following characteristics would be able to perform Plaintiff's past relevant work:
(R. at 64.) The VE responded that such an individual could not perform work the way Plaintiff performed it in the past but could perform the work of a security guard "the way it's normally performed . . . in any industry." (
The ALJ then asked if, based on the second hypothetical, there existed any work available for an individual with the Plaintiff's age, education, and work experience. (R. at 65-66.) The VE stated that such jobs existed, but that they would have to be sedentary. (R. at 66.) According to the VE, those jobs include surveillance-system monitor (1,320 jobs in the regional economy and 96,260 jobs in the national economy), table worker (5,160 jobs in the regional economy and 471,750 jobs in the national economy), and toy stuffer (4,470 jobs in the regional economy and 367,700 jobs in the national economy). (
In a written decision dated July 17, 2015, the ALJ found that Plaintiff was not disabled within the meaning of the Social Security Act at any time between February 1, 2011 and January 11, 2013 because, consistent with Plaintiff's age, education, work experience, and RFC, she was capable of working as a surveillance system monitor, table worker, or toy stuffer. (R. at 48.)
At the first stage of the five-step sequential evaluation process, the ALJ determined that Plaintiff had not engaged in substantial gainful activity between February 1, 2011, the amended alleged onset date, and January 11, 2013, the date Plaintiff returned to substantial work. (R. at 24.)
Next, at step two, the ALJ determined that Plaintiff had the following "severe" impairments: lumbar degenerative disc disease, degenerative joint disease of the left knee, impingement of the left shoulder, diabetes with neuropathy in the wrists, and carpal tunnel syndrome. (
At step three, the ALJ concluded that none of Plaintiff's impairments or combination of impairments met or medically equaled the severity of one of the listed impairments in 20 C.F.R. Part 404, Subpart P, Appendix 1, including those set forth in Listings 1.02, 1.03, 1.04, 1.09, 9.00, 11.01, or 11.14. (R. at 30-31.)
Between step three and step four, the ALJ determined that Plaintiff possessed the RFC to perform "light work," as defined in C.F.R. §§ 404.1567(b) and 416.967(b), except that:
(R. at 31-32.)
In determining Plaintiff's RFC, the ALJ considered "all symptoms and the extent to which these symptoms can reasonably be accepted as consistent with the objective medical evidence and other evidence," including Plaintiff's October 1, 2012 Adult Function Report. (R. at 32.) Although the ALJ found that Plaintiff's physical impairments "could reasonably be expected to cause the alleged symptoms," he concluded that Plaintiff's statements "concerning the intensity, persistence and limiting effects of these symptoms are not entirely credible." (R. at 32.) In doing so, the ALJ analyzed in great detail the medical evidence in the record with respect to each of Plaintiff's impairments. (R. at 24-30, 32-47.)
As discussed in Section IV.B.5,
Based on Plaintiff's RFC and the VE's testimony from the March 10, 2015 hearing, the ALJ found, at step four, that Plaintiff was unable to perform any past relevant work. (R. at 47.) At step five, however, the ALJ found that there exists a significant number of jobs in the national and regional economy that Plaintiff can perform, including those of surveillance system monitor (1,320 jobs in the regional economy and 96,260 jobs in the national economy), table worker (5,160 jobs in the regional economy and 471,750 jobs in the national economy), and toy stuffer (4,470 jobs in the regional economy and 367,700 jobs in the national economy). (R. at 48.) Accordingly, the ALJ found that Plaintiff was not under a disability, as defined in the Social Security Act, between February 1, 2011 and January 11, 2013. (
This Court reviews the Commissioner's decision pursuant to 42 U.S.C. § 405(g). The Court's review is deferential to the Commissioner's decision, and the Court must uphold the Commissioner's factual findings where they are supported by "substantial evidence." 42 U.S.C. § 405(g);
In order to establish a disability for the purpose of disability insurance benefits, a claimant must demonstrate a "medically determinable basis for an impairment that prevents him from engaging in any `substantial gainful activity' for a statutory twelve-month period."
The Commissioner reviews claims of disability in accordance with the sequential five-step process set forth in 20 C.F.R. § 404.1520. In step one, the Commissioner determines whether the claimant currently engages in "substantial gainful activity." 20 C.F.R. § 1520(b). Present engagement in substantial activity precludes an award of disability benefits.
Plaintiff argues that the ALJ erred by: (1) failing to adjourn the hearing when Plaintiff was unable to attend due to her last-minute, work-related travel; (2) failing to properly consider several "non-severe" impairments in determining Plaintiff's RFC; (3) failing to properly evaluate Plaintiff's bilateral hand complaints; (4) misinterpreting factual statements in the May 24, 2011 FCE; and (5) discounting the opinion of Plaintiff's treating orthopedic surgeon. The Court addresses each argument in turn.
ALJ Bossong conducted a hearing on March 10, 2015 at which Plaintiff's attorney and representative, Mr. Frankel, was present but Plaintiff was not. (R. 56-70.) Plaintiff now argues that the ALJ erred by failing to follow SSA policy regarding the procedure that is to be followed when a claimant is unavailable for a hearing before the ALJ but her representative is present. (Pl. Br. at 15-18.) This argument is without merit.
The Social Security regulations provide that "[a]ny party to a hearing has a right to appear before the administrative law judge." 20 C.F.R. § 404.950(a). To that end, the regulations require that, once the date and time of the hearing are set, the ALJ must send a notice of hearing to the claimant's last known address at least 20 days before the hearing. 20 C.F.R. §§ 404.938(a), 419.1438. On January 12, 2015, Plaintiff acknowledged receipt of the Notice of Hearing and indicated she would be present at the March 15, 2015 hearing. (R. 167.) Three weeks later, the SSA mailed Plaintiff a reminder of the hearing and noted that "[i]f you do not appear at this hearing, and do not provide a good reason why you did not appear, the [ALJ] will
Plaintiff does not dispute that the ALJ fully and timely complied with the hearing notice requirements. Instead, Plaintiff argues that, "[o]ff the record, the ALJ presented counsel with the option to either dismiss the case or proceed in the absence of the Plaintiff" and that "[w]ithout the ability to secure Plaintiff's explicit consent on the matter, counsel was compelled to proceed without the Plaintiff." (Pl. Br. at 15.) This sequence of events, Plaintiff maintains, violated the Social Security Administration's Hearings, Appeals, and Litigation Law Manuel ("HALLEX").
In relevant part, Section I-2-4(25)(D) of the HALLEX states:
HALLEX I-2-4(25)(D)(2).
HALLEX 1-2-4-25(D)(2)(a). Notably, the HALLEX also states that, if the claimant has constructively waived his or her right to appear at the hearing, "the ALJ will advise the appointed representative, either on the record during the hearing or in writing thereafter, that he or she will
As an initial matter, the Court notes that the Third Circuit has emphatically held that "HALLEX provisions . . . lack the force of law and create no judicially-enforceable rights."
In any event, the record reflects that the ALJ substantially complied with HALLEX 1-2-4-25(D) because Plaintiff constructively waived her right to appear at the hearing. As noted above, Plaintiff received a notice of the March 10, 2015 hearing and indicated that she would be present. (R. 167.) And Plaintiff never notified the ALJ at any time prior to the hearing date of a work conflict or otherwise indicated she would be unable to attend the hearing. Instead, at the beginning of the March 10, 2015 hearing, the following colloquy occurred:
(R. 57-58) (emphasis added). Mr. Frankel subsequently confirmed by way of the March 30, 2015 letter to ALJ Bossong that Plaintiff was willing to proceed without being given the opportunity to testify before the ALJ:
(R. 239) (emphasis added).
The record clearly indicates that Plaintiff, through her attorney and representative, constructively waived the right to appear at the hearing by failing to show good cause for her absence. Plaintiff waited until the morning of the longscheduled hearing to tell her attorney she would remain in Chicago and not appear. In fact, Plaintiff's attorney never requested an adjournment of the hearing on the record and, more importantly, several weeks after the hearing, Plaintiff's attorney reiterated that Plaintiff personally "has
Plaintiff next argues that the ALJ failed to properly consider the impairments he determined to be "non-severe" in the formulation of Plaintiff's RFC in violation of SSR 96-8p. (Pl. Br. at 18-20.) Specifically, Plaintiff avers that the ALJ erred by overly relying on the absence of treatment during the relevant period with respect to Plaintiff's alleged fibroids and obstructive sleep apnea and ignored other evidence in the record. (
At step two of the sequential elevation process, the ALJ must "determine whether an individual has a severe medically determinable physical or mental impairment or combination of impairments that has lasted or can be expected to last for a continuous period of at least 12 months or end in death." SSR 96-3p. For an adult, "[a] severe impairment is one that affects an individual's ability to perform basic work-related activities."
Even if the ALJ properly determines that a claimant's impairments are non-severe, however, a finding of non-severity does not eliminate those impairments from consideration of his or her overall ability to perform past work. Indeed, between steps three and four, the ALJ is required to assess
SSR 96-8p (emphasis added);
Here, the ALJ found the following impairments to be "non-severe:" right hand degenerative arthritis, fibroids, thyroid nodule, hypertension, cholecystitis, hepatic steatosis, asthma, obstructive sleep apnea, cervical sprain and strain, trochanteric bursitis of the left hip, and plantar fasciitis. (R. at 24.) Plaintiff argues that the ALJ erred by not finding her alleged fibroids and obstructive sleep apnea to be "severe" at step two and by not including a limitation allowing for any amount of time off task or decreased concentration in the formulation of Plaintiff's RFC. (R. at 19-20.)
As an initial matter, the Court finds that the ALJ's treatment of Plaintiff's fibroids and obstructive sleep apnea as "non-severe" is supported by substantial evidence. The record indicates that Plaintiff was last treated for fibroids on September 11, 2009, well before Plaintiff's alleged onset disability date, February 1, 2011. (R. at 676.) Moreover, with respect to Plaintiff's alleged obstructive sleep apnea, the record shows that Plaintiff underwent a sleep study on November 16, 2009 and received a CPAP machine at that time, but again there is no evidence that Plaintiff complained of or was treated for obstructive sleep apnea during the alleged closed period of disability. (R. at 275.) And, although Plaintiff contends that she was tired on exertion and needed to lie down on a daily basis (R. at 213;
Third, Plaintiff argues that the ALJ erred by failing to account in the RFC for limitations stemming from Plaintiff's
Plaintiff next argues that the ALJ erred by erroneously stating "[t]he undersigned assigns great weight to Mr. Rice's opinion that the plaintiff could lift and carry 10 pounds;
Finally, Plaintiff argues that the ALJ erred by failing to adequately explain his basis for discounting the opinion of Plaintiff's treating orthopedic surgeon. (Pl. Br. at 23-25) (citing R. at 45, 47) (assigning "little weight" to Dr. Ross's opinions). The Court finds that substantial evidence supports the ALJ's treatment of Dr. Ross's opinions.
"[T]he ALJ — not treating or examining physicians or State agency consultants — must make the ultimate disability and RFC determinations."
Here, the ALJ thoroughly discussed all of the medical evidence of record, including Dr. Ross's findings and recommendations, in his decision. (R. at 24-30, 31-47.) Ultimately, the ALJ assigned "little weight" to Dr. Ross's opinions after finding "that Dr. Ross' opinion is not consistent with the medical record as a whole." (R. at 47.) For example, Dr. Ross opined that Plaintiff's pain was occasionally intractable, usually present, and of such a degree as to prevent Plaintiff from performing normal, full-time work activities on a frequent basis. (R. at 46) (citing R. at 780.) This, the ALJ explained, was inconsistent with the fact that, in August 2011, Plaintiff was discharged from aqua therapy because she met all of her goals (R. at 47) (citing R. at 489), and that following treatment with Dr. Sciammana in September 2011, Plaintiff experienced a 70 percent improvement in her pain levels. (R. at 47) (citing R. at 599.) Moreover, Plaintiff returned to substantial work in January 2013 (R. 239-40), several months before Dr. Ross completed her MSS in September 2013. (R. at 779-87.) Accordingly, substantial evidence supports the ALJ's decision to assign little weight to Dr. Ross's opinion.
For the foregoing reasons, the ALJ's decision will be affirmed. An accompanying order will be entered.