PATRICIA A. SULLIVAN, Magistrate Judge.
In June 2016, Plaintiff Michele S., then aged forty-three, stopped working as a certified nursing assistant because of what her treating physicians have labeled as mild to moderate pain in the lumbar spine and right hip that caused antalgic gait, a mix of positive and negative straight-leg-raise observations, occasional right leg weakness and hunched posture. Yet, her MRIs and X-rays consistently produced largely unremarkable readings, surgery was never recommended, and virtually all treating providers prescribed analgesics, occasional muscle relaxants and injections, recommended physical therapy, strengthening and exercise and (to the extent that work was mentioned) suggested that she could return in a relatively short period of time. Based on these (and other)
After her claims were denied twice at the administrative phase, Plaintiff's case proceeded to hearing before an Administrative Law Judge ("ALJ"). Affording great evidentiary weight to the opinions signed in January and May 2017 by two state agency medical consultants, Drs. Joseph Callaghan and Mitchell Pressman, and only modest evidentiary weight to the August 2017 opinion signed by Plaintiff's primary care physician, Dr. Teresita Hamilton, the ALJ acknowledged that Plaintiff's lumber spine and hip pain were severe impairments, but found that she nevertheless retained the residual functional capacity ("RFC")
Plaintiff now moves to reverse the Commissioner's decision denying her DIB application. She contends that the ALJ erred in discounting Dr. Hamilton's opinion and in affording great evidentiary weight to those of Drs. Callaghan and Pressman. She also charges that the ALJ improperly performed a lay interpretation of the medical record, including the crafting of his own diagnosis. Defendant Andrew M. Saul ("Defendant") has filed a motion for an order affirming. The matter has been referred to me for preliminary review, findings and recommended disposition pursuant to 28 U.S.C. § 636(b)(1)(B). Having reviewed the record, I find that the ALJ's findings are sufficiently supported by substantial evidence. Accordingly, I recommend that Plaintiff's Motion to Reverse the Decision of the Commissioner (ECF No. 8) be DENIED and Defendant's Motion to Affirm the Commissioner's Decision (ECF No. 11) be GRANTED.
The pertinent medical history begins with Plaintiff's fall down six stairs in mid-June 2016. At the Miriam Hospital emergency department, X-rays of her left hip and lumbar spine were entirely normal and she was advised that, if she could not return to work on Monday, she should see her primary care physician. Tr. 259-61. On June 13, 2016, Plaintiff went to Dr. Hamilton, whom she had not seen since 2014; Dr. Hamilton found moderate-severe pain, limping and limited motion associated with the left hip and recommended that she stay out of work for one week. Tr. 355-59.
Two weeks later, on June 30, 2016, (the alleged onset date), Plaintiff returned to Dr. Hamilton, this time complaining of pain in the lumbar spine and right hip; the left hip was "OK." Tr. 351. On examination, Dr. Hamilton noted posterior tenderness, bilateral lumbosacral paravertebral muscle spasm, moderate pain with motion, slow, hunched-over gait, but negative straight leg raise. She assessed low back pain, possibly associated with radiculopathy and prescribed an analgesic and a muscle relaxant, as well as physical therapy. Tr. 353. However, the lumbar spine X-ray performed in July 2016 revealed only mild lumbar spine spondylosis. Tr. 415. One of Dr. Hamilton's colleagues noted antalgic gait in July 2016, and recommended stretching, strengthening, analgesics and ice; he suggested that Plaintiff "[t]ry [a] back brace or abdominal girdle for support, especially on return to work." Tr. 349. Despite observations by medical professionals of "moderate" pain, Plaintiff's subjective description of pain during June and July 2016, was between eight and nine on the one-to-ten scale. Tr. 280, 349.
In August and September 2016, Plaintiff saw Dr. Hamilton twice; her examinations resulted in findings of mild to moderate pain, muscle spasm, antalgic gait, hunched posture, reduced right hip flexor strength, and a positive straight leg raise. Tr. 341. At the same appointment at which Dr. Hamilton observed "mild pain w/ motion," Plaintiff's subjective assessment was that her pain was nine out of ten. Tr. 318. Dr. Hamilton opined that Plaintiff should be able to return to work soon, Tr. 341 ("[R]emains out of work for one more week. If she is not doing well then she may call to extend . . . ."), and recommended analgesics and ice, Tr. 339. The September 13, 2016, MRI was largely normal; consistent with the July X-ray, it showed only degenerative disc disease with no central canal narrowing and no frank disc herniation.
Also in August 2016, Plaintiff attended an appointment with one of Dr. Hamilton's colleagues for mental health counseling. Tr. 331. By contrast with her statements to the ALJ during the hearing, Plaintiff told the counselor that she "spends her day cleaning to keep busy and tends to the house and kids," that she drives her mother to where she needs to go, that she is on call to provide assistance "infrequently" to her mother-in-law, and that she had been caring for her father, who was in hospice. Tr. 332-33. With respect to work, she told the counselor she "wants to get back to work." Tr. 335. Several months later, in January 2017, Plaintiff was seen by a urologist, Dr. Harisaran. Tr. 368. Dr. Harisaran recorded observations of normal gait and station, with "Back: no CVA tenderness."
Plaintiff saw Dr. Hamilton one final time, on March 13, 2017, before Dr. Hamilton signed the August 4, 2017, opinion in support of Plaintiff's DIB application. Tr. 379. At that appointment, Dr. Hamilton noted that the injections had been "somewhat helpful but still with pains [in] lower back R>L into R hip area."
In May 2017, Plaintiff's DIB claim was denied for the second time administratively; in June 2017, she asked for a hearing before an ALJ. Tr. 120
Beginning soon after DIB reconsideration was denied, Plaintiff sought care from several different providers. For example, in July and August 2017, she saw Drs. David J. Cicerchia and Jack Goldstein, orthopedic surgeons at Blackstone Orthopedic. Tr. 423-25. Their examinations resulted in the findings of no spinal tenderness, range of motion intact, normal spinal MRI, and mild hip and lumbar symptoms. Tr. 423-26. Dr. Cicerchia opined that "no findings warrant surgical intervention" and recommended increased activity with strengthening of the core. Tr. 426, 428. Also in July 2017, Plaintiff started treating several times a week with a chiropractor, Dr. Rodger Lincoln. Tr. 438. Dr. Lincoln's intake observations echo those of Dr. Hamilton (antalgic gait, hip and lumbar pain with spasm), but by September 2017, Dr. Lincoln noted that the back and sciatic pain was gone and hip pain had become an ache. However, after Plaintiff stopped going for eight weeks, when she returned in late November 2017, she had relapsed. Tr. 470. And at the very end of 2017, Plaintiff initiated treatment with another orthopedist, Dr. Roy Aaron. Tr. 491. Dr. Aaron was initially concerned by findings of sciatic pain and right-side weakness and ordered a new MRI; while waiting for it, he prescribed Percocet and recommended that Plaintiff lay down. Tr. 489. However, the MRI (dated January 19, 2018) depicted the same mild spondylosis observed in earlier imaging. Tr. 493. Noting that the MRI was negative, as were the hip films, and that the straight leg raise test was only "borderline positive," Dr. Aaron made findings on examination similar to those of Dr. Hamilton from 2016 (tender over hip trochanter, sciatic pain, weakness and pain with motion) and referred Plaintiff to the spine center for "further evaluation of possible lumbar radiculopathy." Tr. 487. There is no reference to continuation of Percocet or of the recommendation that Plaintiff remain supine.
On August 4, 2017, Dr. Hamilton signed her RFC opinion in support of Plaintiff's DIB application. Tr. 430. By contrast with her treating notes that reflect findings of mild to moderate pain, her opinion states that Plaintiff has "extreme pain." Tr. 433. In reliance on her own findings of lumbar tenderness and paravertebral muscle spasm, she opined that Plaintiff could sit or stand for no more than fifteen minutes at a time and could sit/stand/walk for less than two hours in a workday. Tr. 431. She cabined her opinion that Plaintiff would require unscheduled breaks as "per patient's report."
Three weeks later, Dr. Hamilton saw Plaintiff again (on August 28, 2017); the findings made at this appointment clash with the August 2017 opinion. For example, Dr. Hamilton found that Plaintiff's level of distress was only "uncomfortable," that she was finding the chiropractor "helpful especially for back," and continued analgesics for pain. Tr. 434-36. Most notably, she recorded, "reports neck and back areas are a lot better[] return to work." Tr. 434.
Also in contrast to Dr. Hamilton's opinion are the observations made by the ALJ at the hearing held six months later. During his examination, he questioned Plaintiff, who confirmed that she had been able to sit and/or stand for two hours and fifteen minutes while waiting for the hearing to begin and during the hearing itself. Tr. 72.
The Commissioner's findings of fact are conclusive if supported by substantial evidence. 42 U.S.C. § 405(g). Substantial evidence is more than a scintilla — that is, the evidence must do more than merely create a suspicion of the existence of a fact, and must include such relevant evidence as a reasonable person would accept as adequate to support the conclusion.
If the Court finds either that the Commissioner's decision is not supported by substantial evidence, or that the Commissioner incorrectly applied the law relevant to the disability claim, the Court may remand a case to the Commissioner for a rehearing under Sentence Four of 42 U.S.C. § 405(g).
The law defines disability as the inability to do any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than twelve months. 42 U.S.C. § 416(I); 20 C.F.R. § 404.1505. The impairment must be severe, making the claimant unable to do previous work, or any other substantial gainful activity which exists in the national economy. 42 U.S.C. § 423(d)(2); 20 C.F.R. §§ 404.1505-1511.
The ALJ must follow five steps in evaluating a claim of disability.
Substantial weight should be given to the opinion, diagnosis and medical evidence of a treating physician unless there are good reasons to do otherwise.
When a treating physician's opinion does not warrant controlling weight, the ALJ must nevertheless weigh the medical opinion based on the (1) length of the treatment relationship and the frequency of examination; (2) nature and extent of the treatment relationship; (3) medical evidence supporting the opinion; (4) consistency with the record as a whole; (5) specialization in the medical conditions at issue; and (6) other factors which tend to support or contradict the opinion. 20 C.F.R § 404.1527(c). A treating physician's opinion is generally entitled to more weight than a consulting physician's opinion.
SSR 96-2p, 1996 WL 374188 (July 2, 1996). The regulations confirm that, "[w]e will always give good reasons in our notice of determination or decision for the weight we give your treating source's opinion." 20 C.F.R. § 404.1527(c)(2). However, where a treating physician has merely made conclusory statements, the ALJ may afford them such weight as is supported by clinical or laboratory findings and other consistent evidence of a claimant's impairments.
Plaintiff argues that the ALJ erred in three respects: first, by essentially dismissing Dr. Hamilton's treating source opinion; second, by assigning outsized weight to the state agency non-examining experts, Drs. Callaghan and Pressman; and, third, by relying on his own lay opinion to support the finding that Plaintiff's pain seems to wax and wane.
In accordance with 20 C.F.R. § 404.1527(c), the ALJ's detailed analysis of the Hamilton opinion boils down to one sustainable "good reason" for the modest weight it was afforded — the inconsistency between its conclusions and the balance of the treating record, particularly the clinical observations and treatment recommendations in Dr. Hamilton's own notes. Tr. 25 ("The clinical signs documented in [Dr. Hamilton's] examinations do not support her conclusions."). To reach this finding, the ALJ contrasted the Hamilton opinion's extreme findings with the treatment Dr. Hamilton herself provided and the clinical observations Dr. Hamilton herself recorded.
Plaintiff critiques this "good reason," arguing that the ALJ's labelling of Dr. Hamilton's approach as "conservative treatment" amounts to the ALJ injecting his "own lay opinion" into the analysis. This attack is unavailing. The case law reflects that courts readily accept a common sense finding that treatment analogous to that provided by Dr. Hamilton may be summarized as "conservative" without requiring a medical opinion to support the conclusion.
Plaintiff also counters that Dr. Hamilton's opinion should have been afforded more weight because, as Plaintiff's primary care provider, she was sent copies of treating records by other treating sources. Plaintiff is right that Dr. Hamilton had access to most of the treating record. The problem is that this evidence — the normal hip and spine X-rays done at Miriam Hospital, the relatively benign lumbar MRI done in September 2016,
A final point worthy of mention regarding the ALJ's treatment of the Hamilton opinion is that he did not entirely reject it. To the contrary, the ALJ afforded it "modest" weight and found it "persuasive in finding that the claimant's clinical abnormalities limit her functioning to some degree," resulting in an RFC permitting only light work with additional limitations. Tr. 25. Further, Dr. Hamilton's opinion includes Plaintiff's need for a sit/stand option during the workday. Tr. 431. The ALJ incorporated an analogous limitation into his RFC. Tr. 18.
Because there is substantial evidence supporting his decision, I find no error in the ALJ's approach to the Hamilton opinion.
Plaintiff's attack on the ALJ's decision to afford "great evidentiary weight" to the opinions of Drs. Callaghan and Pressman, the non-examining state agency physician consultants at the initial and reconsideration levels, is similarly flawed. Her argument that the ALJ lacked evidentiary support for the finding that these "consultants are designated by the Commissioner, and have extensive knowledge of the Social Security programs [sic] and its regulations," Pl.'s Mem. at 15 (citing Tr. 25), ignores 20 C.F.R. § 404.1513a(b)(1), which provides that state agency physicians are "highly qualified and experts in Social Security disability evaluation."
As to the merits of the argument, Plaintiff is simply wrong to posit that the ALJ ignored the post-state agency review evidence. To the contrary, the ALJ carefully focused on Plaintiff's post-reconsideration-phase encounters with three orthopedic surgeons
Plaintiff's last argument is focused on the ALJ's finding that the "claimant's pain seems to wax and wane and exacerbations or flare-ups may be associated with sporadic injury." Tr. 24. Without explaining why such an error (if error it be) had a material impact on the outcome of the case, she contends that this amounts to a lay interpretation of the medical record. The problem is that this sentence is thoroughly grounded in the record. For starters, there is a medical opinion supporting it — Dr. Hamilton's opinion includes the finding that Plaintiff will have "`good days' and `bad days.'" Tr. 433. Further, this statement is well supported by the many references in the record of Plaintiff's pain receding and then increasing with activity or injuries.
Based on the foregoing analysis, I find that the ALJ's findings are sufficiently grounded in the substantial evidence of record and consistent with applicable law. Therefore, I recommend that Plaintiff's Motion to Reverse the Decision of the Commissioner (ECF No. 8) be DENIED and Defendant's Motion to Affirm the Commissioner's Decision (ECF No. 11) be GRANTED. Any objection to this report and recommendation must be specific and must be served and filed with the Clerk of the Court within fourteen (14) days of its receipt.