Nava v. Commissioner Social Security Administration

Filing 22

OPINION AND ORDER. The ALJ's finding that plaintiff was not disabled is not supported by substantial evidence in the record. Accordingly, the Commissioner's decision is REVERSED AND REMANDED for further proceedings. See formal OPINION AND ORDER. Signed on 10/6/2015 by Chief Judge Ann L. Aiken. (rh)

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UNITED STATES DISTRICT COURT DISTRICT OF OREGON CARI LEANNE NAVA, Case No. 3:14-cv-01348-AA Plaintiff, v. CAROLYN W. COLVIN, Commissioner, Social Security Administration Defendant. Merrill Schneider Schneider Kerr Law Offices P.O. Box 14490 Portland, OR 97293 Attorney for plaintiff S. Amanda Marshall United States Attorney Ronald K. Silver Assistant United States Attorney 1000 S.W. Third Ave., Suite 600 Portland, OR 97204-2902 Lars J. Nelson Special Assistant United States Attorney Social Security Administration 1961 Stout St., Ste. 4169 Denver, CO 80294-4003 Attorneys for defendant OPINION AND ORDER - 1 OPINION AND ORDER AIKEN, Chief Judge: Plaintiff brings this action seeking judicial review of a final decision Administration of the (the Commissioner Commissioner) of denying her supplemental security income benefits the Social Security Act under 42 U.S.C. below, the (the Act). ( SSI) Social Security applications for under Title XVI of This Court has jurisdiction 405(g) and 1383(c) (3). For the reasons stated §§ the Commissioner's decision is reversed and remanded for further proceedings. BACKGROUND On August 24, 2010, plaintiff filed an application for SSI; it was 102. denied On initially and 19, Decemb~r on 2 012, reconsideration. plaintiff and a Tr. 151, vocational 92, expert appeared and testified before an administrative law judge (ALJ). Tr. 40-71. On January finding plaintiff not Tr. 27-35. On June 17, 31, 2013, the ALJ issued a decision disabled within the meaning of the Act. 2014, the Appeals Council denied review, rendering the ALJ' s decision as the final agency decision. Tr. 1-6. Plaintiff now seeks judicial review. Plaintiff was decision, equivalency with f~fty-six some diploma last 10 years. Tr. high (GED), 44, OPINION AND ORDER - 2 years old at the time of the ALJ's school and 45-46, past 48-52, education, relevant 61-62. a work high school within the Plaintiff initially claimed her disability began in December 2007, alleged onset date disability due to to August various 2010. physical Tr. 27. but amended her Plaintiff and mental alleges limitations. Tr. 179. STANDARD OF REVIEW The Court must affirm the Commissioner's decision if it is based on proper legal by substantial F. 2d 4 98, than a 501 mere (9th in Cir. scintilla. conclusion." (citation evidence mind reasonable standards might v. such quotations supports and conclusions." Martinez v. Heckler, from 807 interpretations 400 F.3d 676, In "more as support 401 a a (1971) reviewing the the [Commissioner's] 772 (9th Cir. evidence the interpretation is 679 is 879 weigh "both the F.2d 771, of if the Commissioner's Burch v. Barnhart, 389, Court must detracts Bowen, evidence to U.S. omitted). this supported evidence relevant 402 are v. adequate as Perales, evidence insignificant Substantial accept internal Variable Hammock means alleged errors, 198 6) . record. the Commissioner's that findings 198 9) . It Richardson and and the are rational. (9th Cir. 2005). COMMISSIONER'S DECISION The pursuant Yuckert, ALJ to evaluated the 482 U.S. plaintiff's relevant 137, OPINION AND ORDER - 3 140 sequential (1987); allegation process. 20 C.F.R. § of See disability Bowen 416.920. v. At step one, the ALJ "substantial found gainful activity" disability. Tr. 29; 20 C.F.R. At step two, determinable plaintiff that the ALJ impairments § during had the not engaged period of in alleged 416.920(b). found of that plaintiff had medically asthma/emphysema, depression, borderline personality disorder, post-traumatic stress disorder, and non-severe impairment of hepatitis C. Tr. 29-30; 20 C.F.R. 416.920(c). At step three, did not meet that the or equal the ALJ found that these impairments "one of a [Commissioner] number of listed impairments acknowledges are preclude gainful activity." Tr. 30; 20 C.F.R. The capacity ALJ then (RFC) determined and found § plaintiff's that plaintiff perform light work with some restrictions. found that plaintiff could remember, so § severe to 416.920(d). residual retained Tr. as functional the RFC to 31. The ALJ also understand, and carry out instructions or tasks generally required by occupations with a specific vocational preparation §§ (SVP) of 1-4. Tr. 31; 20 C.F.R. 416.920 (e), 416.967 (b). At step four, the ALJ took into account the plaintiff's work history and her ability to function with certain symptoms while continuing to work in previous positions. Tr. 35. Thus, the ALJ found that plaintiff was capable of performing her past relevant work as a receptionist, OPINION AND ORDER - 4 general office clerk, and data entry Tr. clerk. Therefore, the 35; ALJ 20 found C.F.R. 416.920(f), §§ plaintiff not disabled 416.965. under the meaning of the Act and did not proceed to step five. Tr. 35. DISCUSSION Plaintiff discounting argues that plaintiff's making step four the ALJ subjective findings erred symptom by: 1) improperly testimony; and 2) unsupported by substantial evidence. Pl.'s Br. 5. I. Plaintiff's Credibility Plaintiff contends that the ALJ failed to articulate a clear and convincing rejecting extent her reason, supported by subjective symptom substantial statements evidence, for concerning the and severity of her arm injury and mental impairments. Pl.'s Br. 5. Plaintiff unable to cut and her with a daughter knife, use asserted tongs, that plaintiff grasp with her was right hand, lift objects, write, or use a computer, and that plaintiff suffered from depression symptoms, had difficulty reaching, and dropped items frequently. Tr. 62, 65, 204, 208-09, 231. When a plaintiff has medically documented impairments that could reasonably be expected symptoms complained of, evidence of malingering, OPINION AND ORDER - 5 to produce some degree of the and the record contains no affirmative "the ALJ can reject the claimant's testimony about specific, clear and convincing reasons for doing so." Smolen v. Chater, 80 the severity F.3d 1273, 1281 of symptoms (9th Cir. only 1996) by offering (internal citation omitted). A general assertion that the plaintiff is not credible is insufficient; credible and the ALJ must "state which ... testimony is not what evidence suggests the credible." Dodrill v. Shalala, 12 F.3d 915, complaints 918 are not (9th Cir. 1993). The reasons proffered must be "sufficiently specific to permit the reviewing court to conclude that the ALJ did not arbitrarily discredit the claimant's testimony." Orteza v. 748, 750 (9th Cir. 1995) In assessing Shalala, 50 F.3d (internal citation omitted). credibility, the ALJ may review the plaintiff's daily activities and the observations of physicians and third parties with personal knowledge about the plaintiff's functional also limitations. consider failure doctors, to Smolen, inconsistent follow a 80 F.3d at course of treatment Molina v. The ALJ may or unexplained plaintiff testimony, or recommendations evidence of self-limiting behaviors, work history. 1284. Astrue, 674 of and a plaintiff's F.3d 1104, 1112 (9th Cir. 2012); Thomas v. Barnhart, 278 F. 3d 947, 959 (9th Cir. 2002). The ALJ found plaintiff not credible for several reasons. First, the ALJ found that the plaintiff's testimony was not "reasonably consistent" with the medical evidence. Tr. 32. While OPINION AND ORDER - 6 an ALJ cannot solely on reject the nonetheless look the lack to of the severity of objective medical subjective evidence, record for complaints the ALJ may inconsistencies. Morgan v. Comm'r of Soc. Sec. Admin., 169 F.3d 595, 599-600 (9th Cir. 1999). A contradiction with medical records is a sufficient basis for rejecting the plaintiff's subjective testimony, Johnson v. Shalala, 60 F.3d 1428, 1434 (9th Cir. 1995). Specifically, plaintiff's the ALJ arm injury was noted objective one medical provided from a Labor and Industry claim form. other only indication Tr. of 283. 2008 record of Department of The ALJ noted that no persistent pain or long-term damage to plaintiff's arm was documented in any of plaintiff's follow-up medical evaluations. Tr. 414, 417, Eder' s 455, 2011 460, 469, opinion 471, found 347, 353, 372, 405, 473. As the ALJ noted, that there was no 408, Dr. Sharon indication right arm problem beyond a "non-severe" impairment. 410, Tr. 35, of a 81- 88. Additionally, the ALJ noted that plaintiff's depression symptoms were found to be less than debilitating during multiple evaluations. plaintiff was cooperative, Moreover, Specifically, found healthy, during "alert, a in and smiling." Tr. 2010 no 32, assessment, apparent 317, the distress, 345-346, 357. a 2012 mental status examination by Dr. Wu found that OPINION AND ORDER - 7 plaintiff's with a thought congruent process affect" was "organized and that and future "cognition was focused intact." Tr. 32, 427-429, 461-462. The record, ALJ also lung rhonchi", reduction CT Tr. hypertension of that examinations and findings." noted chest 32, scans and "no "did 372. not The diagnosis indicate the or significant noted also with on rales wheezes, ALJ "improved were caffeine" asthma revealed 365' symptoms despite medication considered plaintiff's that and hypertension as "benign and well controlled." Tr. 32, 405, 488-504. Although plaintiff disagrees with the ALJ' s of the medical record, "[w] hen interpretation the evidence before the ALJ is subject to more than one rational interpretation, we must defer to the ALJ's conclusion." Batson v. Comm'r Soc. Sec. Admin., F.3d 1190, 1198 (9th Cir. and convincing reasons, finding plaintiff's 2004) Here, the ALJ provided clear supported by substantial evidence, subjective 359 complaints not for reasonably consistent with the medical evidence. Second, the ALJ found plaintiff had worked in the past with her alleged ailments. When a plaintiff's work history undercuts her ALJ assertions, the discredit the plaintiff. (9th Cir. 2001). may on that Bruton v. Massanari, Specifically, OPINION AND ORDER - 8 rely the ALJ contradiction 2 68 F. 3d 8 2 4, noted that to 828 plaintiff reported working as a housekeeper, secretary, clerk, and for Goodwill Industries, even though she stated she had been treated for depression "off and on" all of her life. 422. Tr. 33, 57, 42 0, The ALJ found that because plaintiff's impairments had not prevented her from working or caused her to cease working, "strongly suggests that her impairments would not this currently prevent work." Tr. 33, 420-426. Lastly, the ALJ noted that plaintiff's full range of daily activities were inconsistent with her subjective complaints. The ALJ noted that plaintiff performed activities including helping her father telephone, preparing shopping with paperwork, handling .simple in money, meals, stores, driving, and socializing mailing performing using public items light on the independently, household transportation. chores, Tr. 33, 204-11, 223-30. Daily activities may serve as a basis for discrediting a plaintiff where they either "are transferable to a work setting" or "contradict Molina, conflict variable analysis claims of a 67 4 F. 3d at 1112-13. with the degree totally Here, of interpretations of this was nonetheless OPINION AND ORDER - 9 impairment." plaintiff's daily activities disability she alleges. evidence may exist, reasonable, upheld. Batson, 359 F.3d at 1198. debilitating such that it While the ALJ' s must be Although the ALJ found that plaintiff's lack of compliance with medical advice detracted from her credibility, the Commissioner does not rely on that factor. Even if the ALJ erred in the evaluation symptoms, of the ALJ 1 s sufficient. plaintiff 1 s additional See Carmickle v. 1155, 1161 n.2, there 1162 remains conclusions on credibility' contribution to reasons are nonetheless Comm' r (9th Cir. 'substantial alleged Soc. 2008) Sec. Admin., (noting that evidence her legally 533 F. 3d "so long as supporting the ALJ's the error is ... harmless and does not warrant reversal.") In sum, supported by the ALJ provided substantial clear evidence, and for convincing rejecting reasons, plaintiff's subjective symptom statements concerning the extent and severity of her impairments. As such, the ALJ' s credibility finding is affirmed. II. Step Four Findings Plaintiff argues that the ALJ's step four findings were not supported by substantial first argues erroneous, that because the they evidence. ALJ's do RFC not Pl.'s and Br. step account 5, 12. four for the Plaintiff finding are functional limitations resulting from her increased depression symptoms and the long-term effects of her right arm injury. OPINION AND ORDER - 10 The RFC limitations. the RFC, impairments, of the a plaintiff 404.1545, §§ can 416.945. those relevant that medical testimony. are despite her In determining not and SSR into limitations incorporated severe, other 96-8p, testimony concrete and translating and evidence," available functional the limitations Stubbs-Danielson v. Astrue, 539 F.3d 1169, 1174 Only do at The ALJ is responsible for resolving conflicts medical impairments the even plaintiff's 1996 WL 37 4184. the maximum See 20 C.F.R. "all including in the the ALJ must consider limitations imposed by all of a plaintiff's evaluate is into supported the RFC by substantial and, by in the RFC. (9th Cir. 2008). evidence extension, hypothetical question posed to the VE. plaintiff's the Osenbrock v. must be dispositive Apfel, 2 40 F.3d 1157, 1163-65 (9th Cir. 2001). As discussed above, plaintiff's the ALJ did not erroneously discredit allegations depression symptoms. regarding Further, her arm limitations and the ALJ noted several conflicting psychological opinions regarding plaintiff's mental limitations. In one evaluation, moderate" pace. Tr. conducted overall 34, by Dr. Wicher found plaintiff had "mild to deficits 420-426. Dr. objectively based, Wicher in The was concentration, ALJ found that consistent cognitive with and this portion of Dr. OPINION AND ORDER - 11 persistence, the Wicher' s and testing record and assessment was given more weight. Dr. Wicher's barriers based report precluded on opinion "the of Id. However, indicating her from plaintiff's disability the ALJ gave less weight to that plaintiff's full-time employment, subjective premised to a psychological finding complaints." large extent it Id. "An upon the claimant's own accounts of her symptoms and limitations may be disregarded, once those complaints have themselves been properly discounted." Andrews v. 1995); Cir. Shalala, see also Edlund v. 2 001) 53 F.3d 1035, Massanari, 253 1043 (9th Cir. F.3d 1152, (claimant's provision of misinformation, 1157 (9th unbeknownst to a doctor, served as a legally sufficient reason for rejecting that doctor's credible; opinion). therefore, portion of Dr. the Wicher' s Here, ALJ the did ALJ not found error opinion that was plaintiff in not rejecting the based on plaintiff's subjective complaints. The ALJ also noted that Dr. severe psychological conflicting medical Henning's assessment found "no impairment." Tr. 88-89. Given the evidence and the credibility findings, the 35, ALJ did not err by failing to adopt the additional limitations alleged by plaintiff. As for plaintiff's physicians, Drs. Alley impairment. Tr. 34-35, OPINION AND ORDER - 12 right arm complaint, and Eder, 73-79, found 81-88. no Due two non-examining severe to the physical lack of objective medical evidence of effects of plaintiff's injury, recurring pain as noted above, or long-lasting the Court finds the ALJ adequately addressed plaintiff's physical impairments in his RFC assessment by finding her able to perform light work with some restrictions. Plaintiff also challenges the ALJ's reliance on SVP ratings in his RFC assessment. SVP ratings duties do not Pl.'s Br. assess her and that the ALJ' s simple tasks. Plaintiff argues that the ability to findings perform certain constitute a job limitation to Plaintiff also maintains that there is an inherent inconsistency ratings 12. between and the her limitation requirement of Level to 3 jobs with SVP 1-4 Reasoning necessary in her past relevant work that the ALJ specified she was capable of performing. Pl.'s Br. 12, 15. The Dictionary of Occupational Titles (DOT) defines SVP as the "amount of lapsed time required by a typical worker to learn the techniques, acquire the information, and develop the facility needed for average performance in a specific job-worker situation." DOT, more time occupation. it Id. Appx. takes For C, to § 2. equal example, The higher the. SVP rating, average the DOT performance specifies occupation with an SVP rating of 4 generally requires OPINION AND ORDER - 13 in that the that an "over 3 months and up to and including 6 months" of training to equal an average worker. Id. Plaintiff argues that the ALJ's reliance on SVP ratings 1-4 necessarily than has limited 'complex' tasks." concluded work," and SSR 00-4P, part, as her that SVP occupations Pl.'s SVP 3-4 to 1-2 Br. 14. ratings ratings with "'simple' However, the Commissioner correspond· with correspond to rather "unskilled "semi-skilled" work. 2000 WL 1898704, at *3. Unskilled work is defined, "work which needs little or no judgm_e[lt to do in simple duties that can be learned on the job in a short period of time ... and a person can usually learn to do the job in 3 0 days, and little specific vocational preparation and judgment are needed." 20 C.F.R. which needs complex more than does skilled not jobs less unskilled recognize includes Thus, but similarly than to Semi-skilled work Semi-s killed which are work Id. skills duties. fails skilled" ~ork." some complex Plaintiff complex 416.968(a). work activities but § "activities work, but defined require may doing the Id. more "work the more at are complex types of skilled work, § definition which as require complex than work." that is 416. 968 (b) . of "semi- similarly than less unskilled by limiting plaintiff to jobs with SVP ratings of 1-4,. the ALJ did not limit plaintiff to "simple" work. OPINION AND ORDER - 14 Furthermore, law to plaintiff does not support her argument that involve "simple" definition of "simple." Id. rather than "semi-skilled at § provide any jobs with SVP "complex" work" 416.968 (a)-(b). does levels tasks. not binding In case of 1-4 fact, the the term include For these reasons, the Court finds plaintiff's arguments unpersuasive regarding a limitation to simple tasks. Accordingly, the Court similarly rejects plaintiff's argument that her limitation to simple work renders her incapable of meeting the demands of Reasoning Level 3 work. Pl.'s Br. 14; Zavalin v. Colvin, 778 F.3d 842 (9th Cir. 2015). Nonetheless, on SVP ratings I agree with plaintiff that the ALJ's reliance failed to adequately assess her non-exertional limitations and resulted in a deficient RFC. The ALJ found that plaintiff is able to "remember, understand and carry out instructions and tasks generally required by occupations with an SVP 1-4." Tr. 31. The ALJ made no other RFC findings regarding plaintiff's limitations or ability to remember, carry out findings instructions. regarding persistence or Specifically, plaintiff's pace, even the limitations though the ALJ' s understand, ALJ in made no and RFC concentration, decision suggests that plaintiff had some degree of limitation in those areas. As plaintiff emphasizes, the ALJ gave some weight to Dr. Wicher's finding that plaintiff had mild to moderate limitations OPINION AND ORDER - 15 in concentration, persistence, and limitation was included in the RFC. pace; Tr. no however, 34, 420-426. such Defendant argues that while the ALJ identified these limitations noted by Dr. Wieber, plaintiff's he RFC did and incl'ude not therefore the ALJ relied solely on SVP non-exertional whether limitations, the ALJ rejected ratings this accepted them them. determining However, because. in assessing plaintiff's Court or while is unable rejected the to decipher limitations in concentration, persistence, and pace noted by Dr. Wieber. The Court also notes that in discussing plaintiff's RFC, the ALJ explicitly stated that he found sufficient evidence to "establish severe identifying the limitations Consequently, impairments, impairments resulting this to from Court above," mentioned which such finds he referred impairments. the without RFC or any Tr. 35. insufficient in clarifying plaintiff's limitations. Notwithstanding these deficiencies, defendant argues that the ALJ's RFC assessment should be upheld, because the ALJ's SVP findings limited certification, her recognize inappropriate semi-skilled work, and given her GED she is "presumed" to have the capacity to perform semi-skilled work. to to See Def. 's Br. that for this this OPINION AND ORDER - 16 24. Court's Court However, role to is defendant limited; "presume" fails it findings is· not articulated by the ALJ. Regardless, ratings SVP of 1-4 essentially indicate a claimant's readiness to perform the full range of semi-skilled and unskilled work; such ratings do not assess a claimant's non-exertional limitations and the record is unclear whether persistence, the ALJ found limitations in concentration, or pace. Thus, by relying solely on SVP ratings in the RFC assessment, the ALJ failed to clarify plaintiff's non- exertional limitations. Finally, while the VE testified that plaintiff's past work correlates with SVP 4, the ALJ elicited no VE testimony and made no findings regarding the specific duties of such jobs and whether a claimant with plaintiff's RFC could perform them. fact, In the ALJ failed to provide any hypothetical RFC to the VE. Consequently, the VE did not testify that a claimant with plaintiff's RFC could perform her past relev-ant work as it was generally performed. Further, the ALJ did not make findings as to how the work was generally performed. compared "the claimant's [RFC] with Rather, the the ALJ simply physical and mental demands of this work" and found that she was "able to perform it as actually and generally performed." Tr. 35. Critically, mental and the physical relevant work, and he OPINION AND ORDER- 17 ALJ did demands not discuss required any by of the specific plaintiff's past failed to explain how her RFC satisfied those specific ratings. Thus, findings to perform her demands, the ALJ support past aside failed his from "to make conclusion" relevant the work. correlation the requisite that plaintiff is Pinto v. with Massanari, SVP factual able 249 to F.3d 840, 844 (9th Cir. 2001). In sum, by the the ALJ's findings at step four are not supported record, and the case administrative proceedings. must On remand, be remanded for further the ALJ shall assess the relevant mental and non-exertional limitations of plaintiff and provide an RFC assessment consistent with plaintiff's physical and mental limitations. the relevant RFC to the VE Further, specific the ALJ shall present in an appropriate hypothetical to support any findings made at step four and step five. CONCLUSION The ALJ' s supported by finding that plaintiff was substantial evidence in the not disabled is record. not Accordingly, the Commissioner's decision is REVERSED AND REMANDED for further proceedings. IT IS so ORDERED. DATED this ~ 1V'- GJvia»L-- day of ~eptember, 2015. Ann Aiken United States District Judge OPINION AND ORDER - 18

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