Jeffrey Benton, on Behalf of Lynn Benton v. Jo Anne B. Barnhart, Commissioner of Social Security

331 F.3d 1030, 2003 Daily Journal DAR 6149, 2003 Cal. Daily Op. Serv. 4852, 2003 U.S. App. LEXIS 11450, 2003 WL 21308881
CourtCourt of Appeals for the Ninth Circuit
DecidedJune 9, 2003
Docket02-55941
StatusPublished
Cited by327 cases

This text of 331 F.3d 1030 (Jeffrey Benton, on Behalf of Lynn Benton v. Jo Anne B. Barnhart, Commissioner of Social Security) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Jeffrey Benton, on Behalf of Lynn Benton v. Jo Anne B. Barnhart, Commissioner of Social Security, 331 F.3d 1030, 2003 Daily Journal DAR 6149, 2003 Cal. Daily Op. Serv. 4852, 2003 U.S. App. LEXIS 11450, 2003 WL 21308881 (9th Cir. 2003).

Opinion

OPINION

BETTY B. FLETCHER, Circuit Judge:

Jeffrey Benton, on behalf of his deceased wife Lynn Benton (“Benton”), appeals the district court’s affirmance of the Commissioner’s denial of her claim for Social Security Disability Insurance Benefits. An Administrative Law Judge (“ALJ”) found that Benton was not mentally disabled. In doing so, he refused to credit the opinion of Benton’s psychiatrist as her treating physician. The ALJ instead relied upon the opinion of a psychiatrist who examined Benton once at the behest of the state of California. According to a testifying vocational expert, the absence or presence of mental disability was the difference, between Benton’s being able to perform her past relevant work or not. Because we conclude that the ALJ misapplied 20 C.F.R. § 404.1502, the regulation that addresses the definition of “treating source,” we reverse the district court, vacate the ruling of the Commissioner and remand.

BACKGROUND

A. PROCEDURAL TIMELINE

Benton pursued her claim for disability through the administrative process, appealing the denial to the district court on December 20, 2000. Benton died from the effects of a nasopharyngeal carcinoma on July 25, 2001; this condition was unrelated to her disability claims. Her husband has continued to pursue her appeal on her behalf, timely appealing denial of her claim.

B. FACTS

Benton was born on July 16, 1953. She obtained a high school education. She injured her leg while performing high school gymnastics in 1971. As a result, she required psychological treatment and underwent the first of seven knee surgeries; the others were performed annually from 1983 to 1987 and again in 1996. Subsequent to her accident she worked as a waitress, a receptionist, a telephone customer service *1033 representative, and an administrative assistant in a hotel.

1.Vocational history and level of functioning at daily activities

Benton stopped work on August 4, 1995 due to post-traumatic arthrosis in her left knee and pain in her back, hips, and feet. In the Disability Report she filed when she applied for benefits, she reported being unable to sit, stand, or walk for extended periods. She used a cane to walk; the Claims Representative noted her grimacing and needing to stand up occasionally. A later Disability Report indicated increasing difficulty entering and leaving the bathtub and shower, fixing her hair, writing, and engaging in handcrafts. In a Daily Activities Questionnaire and later testimony at a hearing, she reported depression and sleep deprivation due to chronic pain, and decrements in memory and concentration. She shopped using a mobility cart or a wheelchair pushed by her husband. Benton did do light housework during this period: she cooked one meal three to five days of the week, washed dishes, made the bed, dusted, and did laundry with her husband’s help. But she found this work laborious; she reported having to sit down for ten minutes after three to five minutes of washing dishes.

Regarding her ability to work, Benton reported that if she sat for more than 45 minutes, she would have spasms and her left foot would go numb. After ten to twenty minutes of sitting in an office chair, she would have to get up and move for five to ten minutes before sitting down. She could only stand in one place for three to five minutes, and could walk only about a half block with her cane. She had to elevate her left knee for relief, could not carry more than eight pounds, and lost her balance easily.

2. Medical history — physical

Benton was a patient of Kaiser-Perma-nente (“Kaiser”), a nonprofit, group-practice health maintenance organization (“HMO”). Benton was referred to orthopedic surgeon Dr. Donald Fithian in May 1991. He recommended delaying a total knee replacement for ten years, given her young age, in the hope that the combination of cortisone injections and abstaining from work would prove satisfactory until then. But the injections did not prove efficacious for long, and Benton’s x-rays showed progressive degenerative arthritis. She began feeling pain in her left shoulder, low back and hip, which Dr. Fithian hypothesized was due to her limp. On July 26, 1995, Dr. Fithian opined that she was permanently disabled due to pain in her lower left extremity. Her seventh surgery led to initial improvement in her knee pain, but not her hip. After she experienced a fall in April 1997, the pain management therapy became less effective, affecting her mood. At this time, Dr. Fithian recommended a knee replacement.

Other doctors employed by the State of California Health and Welfare agency and the Social Security Administration acknowledged the impairment of her knee and restrictions that it imposed but disagreed that it was disabling.

3. Medical history — psychological

In November 1997, Benton saw Dr. Zwiefach, a psychiatrist with Kaiser, who diagnosed Chronic Pain and Dysthemia. In treating her, he prescribed first Ela-vil and then Paxil, increasing the dose when she reported no effect. Dr. Zwie-fach continued managing her psychiatric medications and consulted regularly with her treating therapists. When asked to evaluate Benton for mental disorders, he observed that she had difficulty with concentration and reported psychomotor *1034 retardation, feelings of guilt and worthlessness. He diagnosed her with major depression, an unspecified personality disorder, and chronic pain. He assigned her a Global Assessment of Functioning rating of 53, representing moderate symptoms or moderate difficulty in, inter alia, occupational functioning.

At the request of the state agency, Benton was examined in September 1998 by Dr. Engelhorn, a psychiatrist who noted functional disability due to her chronic left knee pain. He noted onset of depression in late 1997. He reported that Benton was “fully capable of taking care of .her basic personal needs” and was “involved in a full variety of light household chores.” He found no cognitive impairment or evidence of significant depression or anxiety. He diagnosed “perhaps a mild adjustment type of reaction with low levels of depression perhaps beginning at the end of 1997,” which “appears to be an adjustment type of depression relating to her physical disabilities and great pain ... [that] totally relates to problems pertaining to her left knee.” State agency psychiatrist Dr. Sko-pec reviewed the medical records and opined that Benton had no severe mental impairment.

In January 1999, Dr. Zwiefach completed a Mental Residual Functional Capacity Assessment (“Mental RFC Assessment”) on Benton, finding marked limitations in 11 of 20 categories. He assigned her a prognosis of very poor.

4. Benton’s hearing before the ALJ

At her hearing before the ALJ, Benton testified that Dr. Fithian was her orthopedist and Dr. Zwiefach was the psychiatrist overseeing her case, although she had met with him only once.

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331 F.3d 1030, 2003 Daily Journal DAR 6149, 2003 Cal. Daily Op. Serv. 4852, 2003 U.S. App. LEXIS 11450, 2003 WL 21308881, Counsel Stack Legal Research, https://law.counselstack.com/opinion/jeffrey-benton-on-behalf-of-lynn-benton-v-jo-anne-b-barnhart-ca9-2003.