R. CLARKE VanDERVORT, Magistrate Judge.
This is an action seeking review of the decision of the Commissioner of Social Security denying Plaintiff's application for Disability Insurance Benefits (DIB), under Title II of the Social Security Act, 42 U.S.C. §§ 401-433. This case is presently pending before the Court on the parties' cross-Motions for Judgment on the Pleadings. (Document Nos. 12 and 13.) Both parties have consented in writing to a decision by the United States Magistrate Judge. (Document Nos. 4 and 5.)
The Plaintiff, Rose Ann Rhodes, (hereinafter referred to as "Claimant"), filed an application for DIB on July 22, 2009 (protective filing date), alleging disability as of December 31, 2006, due to "severe pain in neck, back and shoulders, headaches, arms go numb, rib cage on right side messed up, hearing problems, hips go out, irritable bowel syndrome, knees lock up, left heel is numb, pain in both feet, broken tailbone, fibroids, endometriosis, stomach problems, bipolar [disorder], [and] no thyroid."
Under 42 U.S.C. § 423(d)(5), a claimant for disability has the burden of proving a disability.
The Social Security Regulations establish a "sequential evaluation" for the adjudication of disability claims. 20 C.F.R. §§ 404.1520, 416.920 (2011). If an individual is found "not disabled" at any step, further inquiry is unnecessary.
When a claimant alleges a mental impairment, the Social Security Administration "must follow a special technique at every level in the administrative review process." 20 C.F.R. §§ 404.1520a(a) and 416.920a(a). First, the SSA evaluates the claimant's pertinent symptoms, signs and laboratory findings to determine whether the claimant has a medically determinable mental impairment and documents its findings if the claimant is determined to have such an impairment. Second, the SSA rates and documents the degree of functional limitation resulting from the impairment according to criteria as specified in 20 C.F.R. §§ 404.1520a(c) and 416.920a(c). Those sections provide as follows:
Third, after rating the degree of functional limitation from the claimant's impairment(s), the SSA determines their severity. A rating of "none" or "mild" in the first three functional areas (activities of daily living, social functioning; and concentration, persistence, or pace) and "none" in the fourth (episodes of decompensation) will yield a finding that the impairment(s) is/are not severe unless evidence indicates more than minimal limitation in the claimant's ability to do basic work activities. 20 C.F.R. §§ 404.1520a(d)(1) and 416.920a(d)(1).
20 C.F.R. §§ 404.1520a(e)(2) and 416.920a(e)(2) (2011).
In this particular case, the ALJ determined that Claimant satisfied the first inquiry because she had not engaged in substantial gainful activity since her alleged onset date, December 31, 2006, through her date last insured of June 30, 2010. (Tr. at 12, Finding No. 2.) Under the second inquiry, the ALJ found that Claimant suffered from "cervical, lumbar, and thoracic sprain; right shoulder pain; panic attacks; and depression," which were severe impairments. (Tr. at 12, Finding No. 3.) At the third inquiry, the ALJ concluded that Claimant's impairments did not meet or equal the level of severity of any listing in Appendix 1. (Tr. at 15, Finding No. 4.) The ALJ then found that Claimant had a residual functional capacity for less than a full range of light work, as follows:
(Tr. at 16, Finding No. 5.) At step four, the ALJ found that through her date last insured, Claimant was capable of performing her past relevant work as a retail clerk and an order clerk. (Tr. at 20, Finding No. 6.) Although the ALJ found that Claimant was capable of performing past relevant work, the ALJ further found at step five, on the basis of testimony of a Vocational Expert ("VE") taken at the administrative hearing, that Claimant could perform jobs such as a file clerk, mailroom clerk, and an assembler, at the light level of exertion. (Tr. at 20-21.) On these bases, benefits were denied. (Tr. at 20-22, Finding No. 7.)
The sole issue before this Court is whether the final decision of the Commissioner denying the claim is supported by substantial evidence. In
A careful review of the record reveals the decision of the Commissioner is supported by substantial evidence.
Claimant was born on September 19, 1968, and was 42 years old at the time of the administrative hearing, March 2, 2011. (Tr. at 21, 27-28, 134.) Claimant had at least a high school education and was able to communicate in English. (Tr. at 21, 28, 171, 179-80.) In the past, she worked as a retail clerk and an order clerk. (Tr. at 20, 55-56, 160-67, 172-74.)
Claimant first alleges that the Commissioner's decision is not supported by substantial evidence because the ALJ erred in not giving controlling weight to the opinion of her treating source, Dr. Joan Worthington, D.O. (Document No. 12 at 23-24.) Claimant asserts that the ALJ gave greater weight to the opinions of Drs. Franyutti and Lateef, the non-examining, state agency physicians who were not able to review all the evidence of record. (
In response, the Commissioner first asserts that given Dr. Worthington's limited, or questionable, relationship with Claimant, the ALJ was entitled to give her opinion less weight. (Document No. 13 at 13-14.) Second, the Commissioner asserts that Dr. Worthington's assessment was submitted solely in support of Claimant's claim for disability benefits. (
Claimant also alleges that the Commissioner's decision is not supported by substantial evidence because the ALJ erred in assessing Claimant's pain and credibility. (Document No. 12 at 24-25.) Claimant asserts that the ALJ failed to consider that much of her pain is attributable to her upper extremities and migraine headaches. (
In response, the Commissioner asserts that the ALJ correctly assessed Claimant's subjective complaints and reasonably concluded that she was not completely credible and that her symptoms would not prevent her from performing a reduced range of light work. (Document No. 13 at 16-18.) The Commissioner asserts that contrary to Claimant's allegations, the ALJ considered more than Claimant's daily activities in reaching his conclusions. (
Finally, Claimant alleges that the Commissioner's decision is not supported by substantial evidence because the ALJ erred in posing a hypothetical question to the Vocational Expert ("VE") that included limitations for Claimant's carpal tunnel syndrome and fatigue. (Document No. 12 at 25-27.)
In response, the Commissioner asserts that the ALJ's hypothetical question to the VE fairly set out all of Claimant's impairments and the VE's response was relevant and helpful to the ALJ's decision. (Document No. 13 at 18-19.) The Commissioner notes that the only instance in which the VE opined that Claimant was unable to work was when Claimant's attorney asked him to include all of Dr. Worthington's limitations, which the ALJ reasonably discounted. (
The Court has reviewed all the evidence of record, including the medical evidence, and will summarize it below in relation to Claimant's arguments.
Claimant first alleges that the ALJ erred in not giving controlling weight to the opinion of her treating physician, Dr. Worthington. (Document No. 12 at 23-24.) Every medical opinion received by the ALJ must be considered in accordance with the factors set forth in 20 C.F.R. §§ 404.1527(d) and 416.927(d) (2011). These factors include: (1) length of the treatment relationship and frequency of evaluation, (2) nature and extent of the treatment relationship, (3) supportability, (4) consistency, (5) specialization, and (6) various other factors. Additionally, the Regulations state that the Commissioner "will always give good reasons in our notice of determination or decision for the weight we give your treating source's opinion."
Under §§ 404.1527(d)(1) and 416.927(d)(1), more weight is given to an examiner than to a non-examiner. Sections 404.1527(d)(2) and 416.927(d)(2) provide that more weight will be given to treating sources than to examining sources (and, of course, than to non-examining sources). Sections 404.1527(d)(2)(I) and 416.927(d)(2)(I) state that the longer a treating source treats a claimant, the more weight the source's opinion will be given. Under §§ 404.1527(d)(2)(ii) and 416.927(d)(2)(ii), the more knowledge a treating source has about a claimant's impairment, the more weight will be given to the source's opinion. Sections 404.1527(d)(3), (4) and (5) and 416.927(d)(3), (4), and (5) add the factors of supportability (the more evidence, especially medical signs and laboratory findings, in support of an opinion, the more weight will be given), consistency (the more consistent an opinion is with the evidence as a whole, the more weight will be given), and specialization (more weight given to an opinion by a specialist about issues in his/her area of specialty). Unless the ALJ gives controlling weight to a treating source's opinion, the ALJ must explain in the decision the weight given to the opinions of state agency medical or psychological consultants. 20 C.F.R. §§ 404.1527(f)(2)(ii) and 416.927(f)(2)(ii) (2011). The ALJ, however, is not bound by any findings made by state agency medical or psychological consultants and the ultimate determination of disability is reserved to the ALJ.
In evaluating the opinions of treating sources, the Commissioner generally must give more weight to the opinion of a treating physician because the physician is often most able to provide "a detailed, longitudinal picture" of a claimant's alleged disability.
If the ALJ determines that a treating physician's opinion should not be afforded controlling weight, the ALJ must then analyze and weigh all the evidence of record, taking into account the factors listed in 20 C.F.R. §§ 404.1527 and 416.927(d)(2)-(6).
In the instant matter, Dr. Worthington completed a form Medical Assessment of Ability to Do Work-Related Activities (Physical), dated June 2, 2010, on which she opined that Claimant was capable of lifting and carrying five to ten pounds occasionally with the right hand and 15 to 20 pounds with the left, and five pounds frequently with the right hand and 15 pounds with the left hand. (Tr. at 435-38.) This assessment was based on Claimant's "symptomatic report" of an inability to carry objects in her right hand, with symptoms of carpal tunnel syndrome. (Tr. at 435.) Dr. Worthington opined that Claimant was able to stand, walk, or sit for two hours total at 15 minute increments, with frequent changes of position. (Tr. at 436.) Dr. Worthington assessed occasional postural limitations, environmental limitations, and limitations in reaching, handling, feeling, and pushing and pulling. (Tr. at 436-37.) In conclusion, Dr. Worthington noted that Claimant has frequent migraine headaches and panic attacks that would make it difficult for her to maintain consistent employment. (Tr. at 438.) Dr. Worthington stated that her opinions were based on Claimant's subjective reports. (Tr. at 435-38.)
The medical record appears to contain six treatment notes from Dr. Worthington. Treatment notes indicate that on September 21, 2009, Claimant was seen on a follow-up appointment for complaints of chest and head congestion, a productive cough, aches, and a three-week history of headaches. (Tr. at 397.) Dr. Worthington assessed acute sinusitis and acute bronchitis, prescribed medications, and adjusted her Synthroid to treat her thyroid condition. (
On January 21, 2010, Dr. Worthington assessed hypothyroidism, and on March 12, 2010, she refilled Claimant's prescription for Synthroid and Ibuprofen 800mg. (Tr. at 378.)Treatment notes indicate that on May 19, 2010, Claimant reported body pain from her neck to ankles, resulting from a motor vehicle accident in 2006. (Tr. at 451.) She reported increased left hip pain, numbness and tingling in her hands, headaches that were relieved only by sleeping in a darkened room, and that she was diagnosed with COPD by Dr. Hasan. (
On June 2, 2010, Claimant presented to Dr. Worthington with paperwork to be filled out for disability. (Tr. at 448.) Claimant reported that her left hand bothered her some and that she could lift about ten pounds with her right hand and could perform normal lifting with her left hand. (
On January 14, 2010, Dr. Fulvio R. Franyutti, M.D., a state agency, reviewing, medical consultant, completed a form Physical RFC Assessment. (Tr. at 368-75.) Dr. Franyutti opined that Claimant's chronic cervico-thoraco-lumbar strain, hypothyroidism, sinusitis, and bronchitis rendered her capable of performing light exertional level work with occasional postural limitations except that she could never climb ladders, ropes, or scaffolds. (Tr. at 368-69.) Additionally, he opined that Claimant should avoid concentrated exposure to temperature extremes, environmental irritants, and hazards. (Tr. at 372.) Dr. Franyutti also submitted a Case Analysis statement on which he stated that he agreed with the ALJ's June 22, 2009, decision in which he assessed a light RFC. (Tr. at 377.)
On April 26, 2010, Dr. Atiya Malik Lateef, M.D., a state agency reviewing medical consultant, completed a Case Analysis on which he indicated that he reviewed Dr. Franyutti's RFC Assessment and that he affirms his decision. (Tr. at 418.)
In his decision, the ALJ gave no weight to Dr. Worthington's opinion because he "disagrees with the limitation in reaching, handling, feeling and pushing and pulling." (Tr. at 19-20.) The ALJ additionally found that the mental limitations were beyond Dr. Worthington's area of expertise. (Tr. at 20.) The ALJ, however, gave significant weight to the opinions of the state agency consultants, Drs. Franyutti and Lateef. (Tr. at 19.) Despite the ALJ's limited explanation as to the weight he assigned the various opinions of record, it is undisputed that Dr. Worthington based her opinion almost entirely on Claimant's subjective reports, as she stated in her opinion, which was rendered for the purposes of Claimant's claim for disability. (Tr. at 435-39.) This reliance also is evidenced by Dr. Worthington's treatment note of June 2, 2010, which consists primarily of Claimant's subjective reports of limitations. (Tr. at 448-49.) In her opinion, Dr. Worthington assessed extreme limitations in walking, standing, sitting, lifting and carrying, performing postural activities, and performing manipulative activities. (Tr. at 435-37.) However, on May 19, 2010, Claimant's last visit prior to her issuing her opinion, Dr. Worthington noted on physical exam that Claimant essentially had normal upper extremity muscle strength, full range of hip motion with the exception of some pain, and full range of ankle motion. (Tr. at 451.) Although Claimant was diagnosed with CTS, Dr. Nutter, M.D., who conducted an internal medicine exam on August 29, 2008, observed that despite some tenderness, Claimant was able to make a fist bilaterally, was able to squeeze his hands equally well, was able to write and pick up coins with either hand without difficulty, and had 5/5 grip strength bilaterally. (Tr. at 260.) Dr. Nutter also observed that Claimant had some range of motion abnormalities of the cervical and lumbar spine, but was able to walk with a normal gait and without any handheld assistive device. (Tr. at 259-61.) On December 4, 2009, Dr. Rahim, M.D., conducted an evaluation of Claimant and observed that she had full range of motion of her musculoskeletal joints without any pain or discomfort. (Tr. at 344.) He noted that she had complete flexion and good lateral bending of her cervical spine and lumbosacral spine. (Tr. at 345.) Additionally, diagnostic tests essentially were negative. The MRI of Claimant's lumbosacral spine on August 17, 2008, was reported as normal. (Tr. at 396, 409, 411.) The September 16, 2008, MRI of her right shoulder revealed only mild tendonopathy. (Tr. at 407-08.)
In view of the foregoing, the Court finds that the ALJ's decision to accord no weight to Dr. Worthington's opinion is supported by the substantial evidence of record. Her opinion was based almost entirely on Claimant's subjective reports, which were not entirely consistent with the objective evidence of record as a whole. Although the state agency consultants' opinions were rendered prior to the submission of all the evidence of record, their opinions remain consistent with the evidence of record, as set forth in the ALJ's RFC assessment. Accordingly, the Court finds that the ALJ's decision to give the state agency consultants' opinions greater weight is supported by the substantial evidence of record.
Claimant further alleges that the ALJ erred in assessing her pain and credibility. (Document No. 12 at 24-25.) A two-step process is used to determine whether a claimant is disabled by pain or other symptoms. First, objective medical evidence must show the existence of a medical impairment that reasonably could be expected to produce the pain or symptoms alleged. 20 C.F.R. §§ 404.1529(b) and 416.929(b) (2011); SSR 96-7p;
20 C.F.R. §§ 404.1529(c)(3) and 416.929(c)(3) (2011).
SSR 96-7p repeats the two-step regulatory provisions:
SSR 96-7p, 1996 WL 374186 (July 2, 1996). SSR 96-7p specifically requires consideration of the "type, dosage, effectiveness, and side effects of any medication the individual takes or has taken to alleviate pain or other symptoms" in assessing the credibility of an individual's statements. Significantly, SSR 96-7p requires the adjudicator to engage in the credibility assessment as early as step two in the sequential analysis; i.e., the ALJ must consider the impact of the symptoms on a claimant's ability to function along with the objective medical and other evidence in determining whether the claimant's impairment is "severe" within the meaning of the Regulations. A "severe" impairment is one which significantly limits the physical or mental ability to do basic work activities. 20 C.F.R. §§ 404.1520(c) and 416.920(c).
The ALJ noted the requirements of the applicable law and Regulations with regard to assessing pain, symptoms, and credibility. (Tr. at 17.) The ALJ found at the first step of the analysis that Claimant's "medically determinable impairments could reasonably be expected to cause the alleged symptoms." (Tr. at 17.) Thus, the ALJ made an adequate threshold finding and proceeded to consider the intensity and persistence of Claimant's alleged symptoms and the extent to which they affected Claimant's ability to work. (Tr. at 17-20.) At the second step of the analysis, the ALJ concluded that "the [C]laimant's statements concerning the intensity, persistence and limiting effects of these symptoms are not credible to the extent they are inconsistent with the above residual functional capacity assessment." (Tr. at 17-18.)
In assessing Claimant's pain and credibility, the ALJ summarized Claimant's testimony, including her reports of left ankle numbness, constant neck and head pain, constant back strain and hip pain, hand numbness, and that her hips gave out, and muscle spasms. (Tr. at 17.) She indicated that her pain was constant and radiated down to her toes. (
Despite Claimant's complaints of muscle spasms, the medical evidence fails to support her claims on examination by Dr. Nutter or Dr. Rahim. (Tr. at 18, 261, 345.) Dr. Rahim observed full range of motion of the musculoskeletal joints without any pain or discomfort (Tr. at 18, 344.), complete flexion and good lateral bending of the cervical and lumbosacral spine, and that Claimant was able to walk on her heels and toes and squat without any difficulty. (Tr. at 18, 345.) Dr. Worthington noted that she normal and symmetric muscle strength in her upper extremities. (Tr. at 451.) Although Claimant was diagnosed with CTS and complained of difficulty gripping, it was noted by Dr. Nutter that she was able to make a full fist and had full grip strength on August 29, 2008 (Tr. at 260.), and on September 30, 2008, Dr. Hasan noted at Raleigh General Hospital that Claimant had full range of motion of her extremities and that her grip strength was equal and intact bilaterally. (Tr. at 267.)
The ALJ also considered Claimant's reported activities of daily living. (Tr. at 17.) Claimant reported her activities to have included doing the dishes and vacuuming, cooking simple meals, washing her clothes at the laundromat, playing on the computer, keeping her grandchildren at times, and going to the lake at times. (
The ALJ also summarized the medical evidence of record, including Claimant's various treatment and medications for her impairments, including the opinion evidence. (Tr. at 18-20.) The ALJ noted that Claimant did not take any narcotic based pain relieving medications and that she reported having taken Ibuprofen 800mg twice a day for pain. (Tr. at 19.) Though the ALJ did not focus upon Claimant's migraines as she alleges, the ALJ noted that Claimant took only Ibuprofen 800mg twice a day for pain. (
Accordingly, the Court finds that the ALJ assessed Claimant's pain and credibility pursuant to the factors set forth in the Regulations and finds that the ALJ's decision is supported by the substantial evidence of record. Though Claimant clearly suffers from pain, the medical evidence demonstrates that it is not as disabling as the Claimant alleged.
Finally, Claimant alleges that the ALJ erred in failing to pose a hypothetical question that included all of Claimant's impairments. (Document No. 12 at 25-27.) Specifically, Claimant asserts that the ALJ failed to include limitations regarding her CTS and fatigue. (
The ALJ posed two hypothetical questions to the VE. The first hypothetical question set forth the limitations as assessed by the ALJ in his RFC assessment. (Tr. at 56-57.) The VE responded that such a person could perform Claimant's past relevant work and could perform the additional jobs of a mail room clerk, file clerk, and an assembler, all unskilled jobs, performed at the light exertional level. (Tr. at 57.) The second hypothetical question set forth limitations similar to those assessed by Dr. Worthington. (Tr. at 57-58.) The ALJ asked the VE to assume an individual the same age and with the same education and work experience as Claimant, who was limited to sedentary work, lifting five pounds with her right hand and occasionally up to 15 pounds with her left hand, was able to stand or walk for 30 minutes, was able to sit for three hours and required a sit-stand alternative every 15 minutes, had the same postural limitations, and had manipulative limitations to include occasional limitations in bilateral reaching, overhead reaching, handling, gross manipulation, and fingering. (Tr. at 57-58.) Additionally, she would be limited to even moderate exposure to extreme cold and heat, humidity, noise, vibration, environmental irritants, moving machinery and heights, and would be limited to occasional interaction with the public and co-workers, and due to migraines and panic attacks would be absent from work five to seven days a month. (Tr. at 58.) The VE testified that no jobs would be available. (
Contrary to Claimant's allegation, the ALJ incorporated Claimant's CTS and migraines in a hypothetical question to the VE, but declined to adopt Dr. Worthington's opinion, and therefore, was not required to find that Claimant was disabled based on the VE's testimony. The VE's testimony regarding Dr. Worthington's opinion therefore, was not supported by the record as the ALJ properly discounted her opinion. Accordingly, the Court finds that the ALJ properly included all of the limitations supported by the record in the hypothetical questions posed to the VE and that his decision is supported by the substantial evidence of record.
After a careful consideration of the evidence of record, the Court finds that the Commissioner's decision is supported by substantial evidence. Accordingly, by Judgment Order entered this day, the Plaintiff's Motion for Judgment on the Pleadings (Document No. 12.) is
The Clerk of this Court is directed to transmit a copy of this Memorandum Opinion to counsel of record.