Perozzi v. Berryhill
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Opinion
GABRIEL W. GORENSTEIN, United States Magistrate Judge
Plaintiff Frank Perozzi, Jr., brings this action pursuant to
I. BACKGROUND
A. Procedural History
On June 25, 2013, Perozzi applied for disability insurance benefits ("SSDI") and supplemental security income ("SSI"), alleging that he was disabled as of June 13, 2009.3 See Certified Administrative Record, filed May 24, 2017 (Docket # 12) ("R."), at 95, 152-61. The Social Security Administration ("SSA") denied these *475claims on November 26, 2013. R. 96. Two months later, on January 23, 2014, Perozzi requested a hearing before an Administrative Law Judge ("ALJ"). R. 104. That hearing occurred on June 16, 2015. R. 37-67. On August 28, 2015, the ALJ issued a decision that found Perozzi not disabled within the meaning of the Social Security Act (the "Act"). R. 14-36. Perozzi appealed that decision to the Appeals Council, which denied his request for review on January 19, 2017. R. 1-7. This action followed.
B. Hearing Before the ALJ
Perozzi was represented by his attorney, Gideon Miller, at the hearing before the ALJ. R. 37-67.
Perozzi testified that the last time he worked was as a "maintenance helper" for the Rockland County Sewer Department in 2009. R. 44-46. He has not worked since. R. 46. He testified that he suffers from constant back pain, as well as side effects of fatigue and an inability to concentrate from the pain medication he takes. R. 47-48. It is "hard for [him] to sit for long periods of time," usually for no more than 15 minutes without discomfort; he can walk "[m]aybe down the block" but uses a cane "on occasion" that is not prescribed by a doctor; he can stand for no more than 10 to 15 minutes; he can lift "10 pounds at the most"; he has difficulty bending down; and he lies down "quite a few times for minimum a half-hour" during the day after taking his medications. R. 48-50, 53. He suffered a heart attack in 2013, but his heart condition now is "pretty good" although his blood pressure is "slightly high" and his "pulse runs high." R. 47-48. He also has gout, but "it's controlled." R. 48. A life-long learning disability impairs his reading comprehension. R. 50-51.
With regard to daily activities, Perozzi showers every other day, but relies on the "aid of grab bars ... the bench, [or] some sort of leverage"; he does not perform household chores like cooking, except he sometimes does the laundry; he occasionally does "a little light grocery shopping, just whatever [he] can carry"; and he socializes "maybe like once a month" with a friend at whose house he drinks a bit and listens to music. R. 51-53. He otherwise passes the time "mostly lying down on the bed" and watching television or reading short articles. R. 52-53. He drives, but does so "very little" per week and only locally. R. 44.
Perozzi has not undergone surgery on his back, but has received two epidural shots, which did not help, and physical therapy "for a few months" that also "wasn't helping." R. 51. Perozzi testified that he does not see anyone for his "mental problems."
After hearing from Perozzi, the ALJ called Barbara Ellen Burk, a vocational expert ("VE"), for her opinion as to the claimant's previous work capacity based on his testimony. R. 54. Perozzi had testified that his past work was as a
maintenance helper ... [and it] involved a lot of heavy ... lifting, maintaining the sewer ... lines and going to pump stations and ... helping the pump station operator with the maintenance and the upkeep of the pump house, which was a lot of lifting of heavy weight, and climbing up and down the stairs, and a lot of tools and equipment for whatever job had to be done.
R. 45. Based on this testimony, VE Burk categorized Perozzi's past work as either "municipal maintenance worker" or "highway maintenance worker" and described it as demanding a "heavy" level of exertion. R. 57. Perozzi had also testified to his work as a "surveyor helper" prior to starting his job with Rockland County in 2001. R. 46. VE Burk described that job as demanding a "medium" level of exertion, *476based off how Perozzi had described it. R. 58.
The ALJ then described a person of Perozzi's age, education, and work experience who could perform sedentary work, but who could only occasionally climb stairs and ramps; could never climb ladders, ropes, or scaffolds; could occasionally balance, stoop, crouch, kneel, and crawl; must avoid unprotected heights and hazardous machinery; must be provided a "sit/stand option" once every two hours; and should avoid wetness, humidity, and extreme heat and cold. R. 58. The VE testified that such a person could not perform his or her past work, but could perform the jobs of small products assembler, telephone solicitor, printed circuit board assembly touch-up screener, and cashier II, all of which exist in significant numbers in the national economy. R. 59-62. All these jobs permit an employee to "sit and stand as they need to" so long as the person remains at their work station. R. 59. The VE did note that "[small products assembler] is in the [Dictionary of Occupational Titles] at light," but she testified that in her experience there are many such jobs at the sedentary level. R. 60. But if the hypothetical person was limited to sitting for less than six hours in an eight-hour work day, standing and walking for only two hours of an eight-hour work day, occasionally lifting or carrying weights that are less than ten pounds, and that person would be off task 15 percent of the work day and absent three or more times per month, then the VE testified that there would be no jobs such a person could perform in the national economy. R. 62-63.
C. Medical Evidence
Both Perozzi and the Commissioner have provided summaries of the medical evidence contained in the administrative record. See Pl. Mem. at 3-10; Comm'r Mem. at 1-14. The summaries are substantially consistent with each other. The Court had directed the parties to specify any objections they had to the opposing party's summary of the record, see Scheduling Order, filed May 26, 2017 (Docket # 13), at ¶ 5, and neither party has done so. Accordingly, the Court adopts the plaintiff's and the Commissioner's summaries of the medical evidence as accurate and complete for purposes of the issues raised in this suit. We discuss the medical evidence pertinent to the adjudication of this case in section III below.
D.
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GABRIEL W. GORENSTEIN, United States Magistrate Judge
Plaintiff Frank Perozzi, Jr., brings this action pursuant to
I. BACKGROUND
A. Procedural History
On June 25, 2013, Perozzi applied for disability insurance benefits ("SSDI") and supplemental security income ("SSI"), alleging that he was disabled as of June 13, 2009.3 See Certified Administrative Record, filed May 24, 2017 (Docket # 12) ("R."), at 95, 152-61. The Social Security Administration ("SSA") denied these *475claims on November 26, 2013. R. 96. Two months later, on January 23, 2014, Perozzi requested a hearing before an Administrative Law Judge ("ALJ"). R. 104. That hearing occurred on June 16, 2015. R. 37-67. On August 28, 2015, the ALJ issued a decision that found Perozzi not disabled within the meaning of the Social Security Act (the "Act"). R. 14-36. Perozzi appealed that decision to the Appeals Council, which denied his request for review on January 19, 2017. R. 1-7. This action followed.
B. Hearing Before the ALJ
Perozzi was represented by his attorney, Gideon Miller, at the hearing before the ALJ. R. 37-67.
Perozzi testified that the last time he worked was as a "maintenance helper" for the Rockland County Sewer Department in 2009. R. 44-46. He has not worked since. R. 46. He testified that he suffers from constant back pain, as well as side effects of fatigue and an inability to concentrate from the pain medication he takes. R. 47-48. It is "hard for [him] to sit for long periods of time," usually for no more than 15 minutes without discomfort; he can walk "[m]aybe down the block" but uses a cane "on occasion" that is not prescribed by a doctor; he can stand for no more than 10 to 15 minutes; he can lift "10 pounds at the most"; he has difficulty bending down; and he lies down "quite a few times for minimum a half-hour" during the day after taking his medications. R. 48-50, 53. He suffered a heart attack in 2013, but his heart condition now is "pretty good" although his blood pressure is "slightly high" and his "pulse runs high." R. 47-48. He also has gout, but "it's controlled." R. 48. A life-long learning disability impairs his reading comprehension. R. 50-51.
With regard to daily activities, Perozzi showers every other day, but relies on the "aid of grab bars ... the bench, [or] some sort of leverage"; he does not perform household chores like cooking, except he sometimes does the laundry; he occasionally does "a little light grocery shopping, just whatever [he] can carry"; and he socializes "maybe like once a month" with a friend at whose house he drinks a bit and listens to music. R. 51-53. He otherwise passes the time "mostly lying down on the bed" and watching television or reading short articles. R. 52-53. He drives, but does so "very little" per week and only locally. R. 44.
Perozzi has not undergone surgery on his back, but has received two epidural shots, which did not help, and physical therapy "for a few months" that also "wasn't helping." R. 51. Perozzi testified that he does not see anyone for his "mental problems."
After hearing from Perozzi, the ALJ called Barbara Ellen Burk, a vocational expert ("VE"), for her opinion as to the claimant's previous work capacity based on his testimony. R. 54. Perozzi had testified that his past work was as a
maintenance helper ... [and it] involved a lot of heavy ... lifting, maintaining the sewer ... lines and going to pump stations and ... helping the pump station operator with the maintenance and the upkeep of the pump house, which was a lot of lifting of heavy weight, and climbing up and down the stairs, and a lot of tools and equipment for whatever job had to be done.
R. 45. Based on this testimony, VE Burk categorized Perozzi's past work as either "municipal maintenance worker" or "highway maintenance worker" and described it as demanding a "heavy" level of exertion. R. 57. Perozzi had also testified to his work as a "surveyor helper" prior to starting his job with Rockland County in 2001. R. 46. VE Burk described that job as demanding a "medium" level of exertion, *476based off how Perozzi had described it. R. 58.
The ALJ then described a person of Perozzi's age, education, and work experience who could perform sedentary work, but who could only occasionally climb stairs and ramps; could never climb ladders, ropes, or scaffolds; could occasionally balance, stoop, crouch, kneel, and crawl; must avoid unprotected heights and hazardous machinery; must be provided a "sit/stand option" once every two hours; and should avoid wetness, humidity, and extreme heat and cold. R. 58. The VE testified that such a person could not perform his or her past work, but could perform the jobs of small products assembler, telephone solicitor, printed circuit board assembly touch-up screener, and cashier II, all of which exist in significant numbers in the national economy. R. 59-62. All these jobs permit an employee to "sit and stand as they need to" so long as the person remains at their work station. R. 59. The VE did note that "[small products assembler] is in the [Dictionary of Occupational Titles] at light," but she testified that in her experience there are many such jobs at the sedentary level. R. 60. But if the hypothetical person was limited to sitting for less than six hours in an eight-hour work day, standing and walking for only two hours of an eight-hour work day, occasionally lifting or carrying weights that are less than ten pounds, and that person would be off task 15 percent of the work day and absent three or more times per month, then the VE testified that there would be no jobs such a person could perform in the national economy. R. 62-63.
C. Medical Evidence
Both Perozzi and the Commissioner have provided summaries of the medical evidence contained in the administrative record. See Pl. Mem. at 3-10; Comm'r Mem. at 1-14. The summaries are substantially consistent with each other. The Court had directed the parties to specify any objections they had to the opposing party's summary of the record, see Scheduling Order, filed May 26, 2017 (Docket # 13), at ¶ 5, and neither party has done so. Accordingly, the Court adopts the plaintiff's and the Commissioner's summaries of the medical evidence as accurate and complete for purposes of the issues raised in this suit. We discuss the medical evidence pertinent to the adjudication of this case in section III below.
D. The ALJ's Decision
The ALJ denied Perozzi's application for benefits on August 28, 2015. R. 14. The ALJ found that Perozzi met the insured status requirements of the Act through December 31, 2015, and that he had not engaged in substantial gainful activity since June 13, 2009, the alleged onset date. R. 19. The ALJ found that Perozzi had the following severe impairments: "degenerative disc disease, disc herniations and scoliosis of the lumbar spine, left L2-3 radiculopathy ; coronary artery disease, status post myocardial infarction, status post cardiac stentings, hypertension, and hyperlipidemia."
*477The ALJ then determined that none of Perozzi's severe impairments met or medically equaled an impairment listed in 20 C.F.R. part 404, subpart P, appendix 1. R. 22. The ALJ specifically considered Listing 1.04, Disorders of the Back, see 20 C.F.R. pt. 404, subpt. P, app. 1, § 1.04 ("Listing 1.04"), and Listing 4.04, Ischemic Heart Disease, see
the record does not demonstrate compromise of a nerve root (including the cauda equina ) or the spinal cord with additional findings of: A) evidence of nerve root compression characterized by neuro-anatomic distribution of pain, limitation of motion of the spine, motor loss (atrophy with associated muscle weakness) accompanied by sensory or reflex loss and, if there is involvement of the lower back, positive straight-leg raising; or B) spinal arachnoiditis ; or C) lumbar spinal stenosis resulting in pseudoclaudication.
Likewise, the ALJ found that Perozzi failed to meet Listing 4.04, because
[he did] not have a sign- or symptom-limited exercise tolerance test demonstrating at least one of the manifestations described in the Listing at a workload equivalent to five METs or less. He has not had three separate ischemic episodes, each requiring revascularization or not amenable to revascularization within a twelve-month period. The claimant further does not have coronary artery disease demonstrated by appropriate medically acceptable imaging, and, in the absence of an exercise tolerance or drug-induced stress test, a medical consultant has concluded that performance of exercise tolerance testing would present significant risk to the individual with angiographic evidence showing significant narrowing as contemplated in the Listing and very serious limitations in the ability to independently initiate, sustain or complete activities of daily living.
Turning next to Perozzi's residual functional capacity ("RFC"), the ALJ determined that Perozzi could perform the full range of sedentary work, except insofar as it required him to climb stairs and ramps, or balance, stoop, crouch, knee, and crawl more than occasionally. R. 23. The ALJ also added that Perozzi would have to be provided an option to sit and stand, once every two hours, and must avoid wetness, humidity, and temperature extremes of heat and cold.
In compiling Perozzi's RFC, the ALJ weighed the opinions of various treating and consulting sources, giving the opinions "great weight," "some weight," or "little weight." R. 24-29. As for the opinions of physicians on Perozzi's back problems, the ALJ gave "great weight" to only one opinion-that of Dr. Julia Kaci, a consultative examiner for Perozzi's SSI and SSDI claims. R. 26. She had opined that Perozzi had "moderate limitations with walking, standing, sitting, pushing, pulling, bending, climbing and lifting or carrying," but "no limitations with his hands." R. 26. After summarizing her findings and opinion, the ALJ noted that her findings "support a residual functional capacity for sedentary work."
*478The ALJ gave "some weight" to the opinions of three treating sources and two examining sources. The three treating sources, Drs. Todd Askensas (a chiropractor), Thomas Bottiglieri, and Jack Stern, had opined in 2009 and 2010 that Perozzi "was not a surgical candidate" and that he could promptly return to work after a conservative course of treatment including "physical therapy, osteopathic manipulative therapy, a home exercise program and anti-inflammatory medication and an epidural injection." R. 24-25. Noting that the opinions were rendered in accordance with the standards of the New York State Workers' Compensation Act, the ALJ gave these opinions "some weight."
Earning only "little weight" were the opinions of Dr. Gerald Gaughan, a treating source, who saw Perozzi from 2011 through the date of the hearing before the ALJ. R. 27. The ALJ gave "little weight" to Dr. Gaughan's opinions that Perozzi was "totally disabled and unable to work in any capacity," that Perozzi could "occasionally lift and carry less than ten pounds; and less than five pounds frequently; stand and/or walk for up to two hours in an eight hour workday; and sit for less than six hours in an eight hour workday," that Perozzi "would require a fifteen minute unscheduled break every thirty minutes," that Perozzi "needed to avoid wetness, humidity, temperatures extremes and heights," and that Perozzi "would be absent from work more than three times a month." R. 27-28. In explaining the weight given, the ALJ observed that a "claimant's treating physician in the context of a workers' compensation claim often serves as an advocate for the claimant and describes excessive limitations to enhance the claimant's financial recovery." R. 28. He also noted that the definition of disability in the workers' compensation context differs from that of the Act, and that "the opinions of Drs. Kaci, Handler, Bottiglieri and Salliahan [are] more persuasive and more consistent with the overall medical records and claimant's activities of daily living."
As for Perozzi's heart problems, the ALJ observed that Drs. John Fitzpatrick and Michael Innerfield generally reported that Perozzi "was doing well," in that his heart had regular rate and rhythm, he had normal range of motion and muscle strength in all four extremities, he was losing weight, and he "exercised three to four times a week." R. 28-29. He did not explicitly assign any weight to their opinions, but gave "great weight" to the corroborating report of Dr. A. Auerbach who opined that Perozzi "was capable of lifting twenty pounds occasionally and ten pounds frequently, stand/walk for six hours in an eight hour workday and sit for six hours in an eight hour workday." R. 29. The ALJ noted, however, that Dr. Auerbach's opinion was "limited just to the cardiovascular aspect of the case."
The ALJ also weighed Perozzi's subjective complaints of pain and discomfort, finding them not wholly credible. R. 24. The ALJ noted that despite Perozzi's complaints *479of severe back pain, Perozzi had reported to Drs. Melissa Antiaris and Kaci that he prepares simple meals, performs light cleaning, does the laundry, drives, showers and dresses himself, exercises three to four times a week, and has "sought work 'on and off' since his accident."
After determining Perozzi's RFC, the ALJ turned to the question of whether Perozzi could return to his past work. R. 30-32. Relying in large part on the testimony of VE Burk that a person of Perozzi's age, education, experience and RFC could no longer perform the jobs of municipal maintenance worker and surveyor helper, the ALJ concluded that Perozzi could no longer perform his past relevant work. R. 30-31. The ALJ then moved on to consider whether Perozzi could successfully transition to other work in the national economy. R. 30-32. Again relying on the VE's testimony and also materials in the record, the ALJ concluded that Perozzi could successfully transition to other work. R. 31-32. Accordingly, the ALJ found Perozzi "not disabled" under the Act and denied his application for benefits.
II. GOVERNING STANDARDS OF LAW
A. Scope of Judicial Review Under 42 U.S.C. § 405 (g)
A court reviewing a final decision by the Commissioner "is limited to determining whether the [Commissioner's] conclusions were supported by substantial evidence in the record and were based on a correct legal standard." Selian v. Astrue,
"Even where the administrative record may also adequately support contrary findings on particular issues, the ALJ's factual findings must be given conclusive effect so long as they are supported by substantial evidence." Genier v. Astrue,
*480Johnson v. Astrue,
B. Standard Governing Evaluation of Disability Claims by the Agency
The Social Security Act defines the term "disability" as the "inability to engage in 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 12 months."
To evaluate a Social Security claim, the Commissioner is required to examine: "(1) the objective medical facts; (2) diagnoses or medical opinions based on such facts; (3) subjective evidence of pain or disability testified to by the claimant or others; and (4) the claimant's educational background, age, and work experience." Mongeur v. Heckler,
Regulations issued pursuant to the Social Security Act set forth a five-step process that the Commissioner must use in evaluating a disability claim. See
C. The "Treating Source" Rule
In general, the ALJ must give "more weight to medical opinions" from a claimant's treating sources when determining if the claimant is disabled. See
If the ALJ does not give controlling weight to a treating physician's opinion, the ALJ must provide "good reasons" for the weight given to that opinion or face remand. See Greek,
III. DISCUSSION
Perozzi makes a number of arguments attacking the ALJ's decision. He contends *482(1) that the ALJ should have found that he met Listing 1.04, Pl. Mem. at 11-14; (2) that the ALJ improperly applied the "treating source rule" by awarding insufficient weight to the opinions of Dr. Gaughan, Pl. Mem. at 14, 16; and (3) that the RFC assessed by the ALJ for Perozzi was not supported by substantial evidence, Pl. Mem. at 18. We examine each argument in turn.
A. Physical Impairment Listing 1.04
Perozzi argues that the ALJ erred in finding that he did not meet Listing 1.04, and in particular the factors of subparagraph (A) of that listing, because (1) the ALJ's failure to properly explain the reasoning behind his conclusion suggests that the ALJ "never actually considered whether Perozzi met the listing" and issued a "form or boilerplate Step Three finding," Pl. Reply at 2; and (2) the medical records contain indisputable evidence of all the required medical findings for a listing, Pl. Mem. at 12-14.
As with all steps except the final one, Perozzi bears the burden of showing that he meets the Listing. Poupore,
To satisfy Listing 1.04, a claimant must make a threshold showing that he suffers from a "Disorder of the spine (e.g., herniated nucleus pulpous, spinal arachnoiditis, spinal stenosis, osteoarthritis, degenerative disc disease, facet arthritis, vertebral fracture ) resulting in compromise of a nerve root (including the cauda equina ) or the spinal cord." 20 C.F.R. Pt. 404, Subpt. P, App. 1, § 1.04. A claimant must also demonstrate
[e]vidence of nerve root compression characterized by neuro-anatomic distribution of pain, limitation of motion of the spine, motor loss (atrophy with associated muscle weakness or muscle weakness) accompanied by sensory or reflex loss and, if there is involvement of the lower back, positive straight-leg raising test (sitting and supine) ....
Here, the ALJ conducted no analysis whatsoever of the elements of the listing. Instead the ALJ simply repeated the Listing criteria, stating that Perozzi did not meet the elements. R. 22. Thus, the ALJ's ruling does not specify which element or elements of Listing 1.04 the ALJ concluded were not met.
Notwithstanding this failure, case law holds that a court has the power to uphold an ALJ's conclusion at step three of the analysis in the "absence of an express rationale ... [where] portions of the ALJ's decision and the evidence before him indicate that his conclusion was supported by substantial evidence." Berry v. Schweiker,
in spite of the ALJ's failure to explain his rejection of the claimed listed impairments, we were able to look to other portions of the ALJ's decision and to clearly credible evidence in finding that his determination was supported by substantial evidence. Cases may arise, however, in which we would be unable to fathom the ALJ's rationale in relation to evidence in the record, especially where credibility determinations and inference drawing is required of the ALJ. In such instances, we would not hesitate to remand the case for further findings or a clearer explanation for the decision. Thus, in future cases in which the disability claim is premised upon one or more listed impairments of Appendix 1, the Secretary should set forth a sufficient rationale in support of his decision to find or not to find a listed impairment.
Thus, we reject Perozzi's apparent contention that remand is absolutely required whenever an ALJ fails to provide an express rationale for his step three conclusion. See Pl. Reply at 3. The one case cited by Perozzi in support of his view, Torres v. Colvin,
As Berry noted, however, where "credibility determinations and inference drawing is required of the ALJ" to form his conclusion at step three, then remand for the ALJ to explain his reasoning is required.
Here, there is enough evidence in the record to support Perozzi's contention that he met the various elements of the listing that we cannot be assured that the ALJ, after making a reasoned consideration of those elements, would have found that Perozzi did not meet the listing.
The threshold showing to meet Listing 1.04A is evidence of a "[d]isorder of the spine (e.g., herniated nucleus pulpous, spinal arachnoiditis, spinal stenosis, osteoarthritis, degenerative disc disease, facet arthritis, vertebral fracture ) resulting in compromise of a nerve root (including the cauda equina ) or the spinal cord." 20 C.F.R. Pt. 404, Subpt. P, App. 1, § 1.04. Here, an August 2009 MRI showed a disc protrusion causing moderate compression of the sac of the right L2 nerve root. R. 266. As the ALJ observed, the MRI also showed "a disc protrusion at the L3-L4 level mildly compressing the L-[3] nerve roo[t]." R. 24-25.4 Subsequent imaging in 2013 showed "degenerative disc disease [at L1-2] with a herniated disc into the right anterior epidural space and lateral recess"; at L2-3, "degenerative disc disease with spondylosis and diffuse bulging of the disc annulus with small left-sided disc extrusion into the lateral recess"; and at L3-4, "degenerative spondylosis, generalized bulging of the disc annulus, and a small disc extrusion into the right anterior epidural space." R. 483. A third MRI in 2014 showed that "disc degeneration remains most advanced at L2-3 ... with increasing caudal migration impinging upon the region of the right L4 nerve root sleeve." R. 478. It also found "mild stenosis at L2-3 and L3-4" and "right facet osteoarthritis." R. 478. The Commissioner contends that the 2009 MRI finding "was not noted during any subsequent imaging of Plaintiff's spine." Comm'r Mem. at 19 n.7; see also Comm'r Reply at 1. But given that the ALJ acknowledged the 2009 MRI in his decision, R. 24, and did not discount the finding on account of the subsequent MRIs, we find ourselves unable to conclude, as the Commissioner urges, that the ALJ found Perozzi did not meet the first listing requirement. Perozzi may have met the requirement based on the 2009 MRI and subsequent MRIs.
If the threshold requirement is met, a claimant still must show that he satisfies all the paragraph A criteria. Thus, Perozzi must show "neuro-anatomic distribution of pain." Here, there was evidence of radicular pain consistent with compression of the right L2 nerve root and mild impingement of the L3 nerve root. R. 266. EMG testing in August 2010 and February 2013 appeared to show findings consistent with left L2-L3 radiculopathy, see R. 479-480, and Dr. Gaughan assessed "left lumbosacral *485radiculopathy" in June 2015, R. 619. Left-sided radiculopathy is not perfectly consistent with compression of the right L2 nerve root, but the result might show "neuro-anatomic distribution of pain" consistent with compression of an L2-L3 nerve. The Commissioner directs us to no evidence from the record that contradicts these results and the ALJ expressly found that Perozzi has "left L2-3 radiculopathy." R. 19. Accordingly, Perozzi may have met the second listing requirement.
The remaining criteria are "limitation of motion of the spine, motor loss ... accompanied by sensory or reflex loss and ... positive straight-leg raising." § 1.04A. The regulations define "motor loss" as "atrophy with associated muscle weakness" or "muscle weakness."
The same doctors also observed positive straight-leg raising: Dr. Gaughan found positive straight-leg raising at a January 2014 assessment, R. 504; October 2014 assessment, R. 516; February 2015 assessment, R. 513; and June 2015 assessment, R. 619. Dr. Kaci found positive straight-leg raising "at 30 degrees bilaterally" at her November 2013 assessment, R. 335, and Dr. Sallahian noted that "[s]upine straight leg raise was accomplished to 45 [degrees] on the right with a complaint of right lower back and buttock pain and to 60 [degrees] on the left without complaint," R. 231.5
Together, this medical evidence potentially meets the Listing 1.04A requirements. While the ALJ noted the various weights he attributed to the opinions of each doctor, those weights do not illuminate how the ALJ weighed the specific medical evidence cited above or what inferences the ALJ drew.
We also recognize that some contradictory findings are contained in the record, as noted by the Commissioner. See Comm'r Mem. at 19-20; Comm'r Reply at 2-3. Drs. Hendler and Semble, for instance, observed normal range of motion, reflexes, and no atrophy or evidence of reduced strength in the lower extremities. R. 227, 264. Similarly, Dr. Fitzpatrick, Perozzi's cardiologist, consistently found that Perozzi had "normal muscle strength, *486range of motion, and stability in all extremities," R. 28, 390, 394, 402, 406, 415, and Dr. Bottiglieri, one of Perozzi's treating physicians, observed that Perozzi had normal muscle strength, intact sensation, and negative straight-leg raising tests, R. 235-36.
But given the disputed evidence, we find ourselves in the same situation as the court in Norman:
Although it may be the case that the ALJ would ultimately have decided that plaintiff's impairments did not meet or equal the requirements of Listing 1.04A, this possibility does not relieve the ALJ of his obligation to discuss the potential applicability of Listing 1.04A, or at the very least, to provide plaintiff with an explanation of his reasoning as to why plaintiff's impairments did not meet any of the listings.
Kretovic v. Colvin,
In light of the evidence that favors a finding that the listing was met, "the ALJ must provide an explanation of his reasoning as to why he believes the requirements are not met and explain the credibility determinations and inferences he drew in reaching that conclusion." Ryan,
B. Evidence Supporting Claimant's Residual Functional Capacity
Perozzi also disputes the ALJ's evaluation of his RFC. Pl. Mem. at 18. The ALJ assessed Perozzi with the following RFC:
the claimant [may] perform sedentary work as defined in 20 CFR [sic] 404.1567(a) and 416.967(a) except he can occasionally climb stairs and ramps, but he can never climb ladders, ropes or scaffolds. He can occasionally balance, stoop, crouch, knee and crawl. He must avoid unprotected height and hazardous machinery. He is to be provided a sit/stand option, once every two hours. He should avoid wetness-humidity and temperature extremes of heat and cold.
R. 23. Sedentary work is defined as work that "involves lifting no more than 10 pounds at a time and occasionally lifting or carrying articles like docket files, ledgers, and small tools."
Perozzi raises several objections to the ALJ's findings. First, he contends that it was legal error to rely on the opinions of Dr. Hendler because Dr. Hendler *487was biased against Perozzi, "completely wrong in his diagnosis," and "the only examiner who found no loss of spinal motion and a negative straight leg raise." Pl. Reply at 5. The bias, it is alleged, arose out of Dr. Hendler's role as examiner in Perozzi's workers' compensation case.
Second, Perozzi contends that it was error not to mention a certain statement of a social security employee who interviewed Perozzi on August 15, 2013 and remarked that Perozzi "was in obvious discomfort while sitting." Pl. Reply at 6 (citing R. 178). But the ALJ is not required to cite all evidence submitted. See Brault,
Third, Perozzi contends the ALJ's determination that he could sit for the required six hours in an eight-hour workday incorrectly considered Dr. Kaci's opinion. Pl. Mem. at 18. Dr. Kaci, whose opinions the ALJ gave "great weight," R. 26, was the only doctor besides Dr. Gaughan to opine specifically on Perozzi's limitations with regard to sitting, finding that Perozzi had "moderate limitation to ... sitting," R. 336. Dr. Gaughan, whose opinions the ALJ gave little weight, R. 28, had repeatedly opined that Perozzi could sit for no longer than 30 minutes at a time or for more than an hour in an eight-hour workday, see R. 500, 504, 515. However, the meaning of Dr. Kaci's opinion is unclear. It is not obvious that a "moderate" limitation on sitting translates into a set number of hours. For this reason, the Second Circuit has held that when compiling an RFC from the record, an ALJ may not rely on opinions that employ the terms "moderate" and "mild" absent additional information. Curry v. Apfel,
The Commissioner cites several cases in support of the ALJ's determination, see Comm'r Mem. at 25, Comm'r Reply at 5, but those cases are inapposite. Two of them, Martin v. Astrue,
The other three decisions cited by the Commissioner, Mitchell ex rel. Mitchell v. Comm'r of Soc. Sec.,
Because the ALJ should not have concluded that "moderate" limitations on sitting necessarily permit sedentary work, we do not know that he ultimately would have concluded, absent this evidence, that there was substantial evidence to support his determination that Perozzi could sit for 6 hours. While there is evidence in the record that arguably supports that conclusion, see R. 228, 234 (Dr. Hendler); R. 243 (Dr. Bottiglieri); R. 322 (Dr. Auerbach); R. 232 (Dr. Sallahian), none of it is definitive and it is more appropriate to allow the ALJ to make the finding with a record not tainted by error.
Finally, we note that while the ALJ stated that the lack of observable muscle wasting or atrophy indicated that Perozzi's pain was not severe or functionally limiting, R. 26, this conclusion is unsupported by citation to any medical source or evidence, and thus constitutes a determination that a lay person such as an ALJ is not equipped to make. See generally Rosa v. Callahan,
On remand, the ALJ must reconsider the question of whether Perozzi could sit for the required six hours out of an eight-hour workday in accordance with the above. Obviously, the ALJ is free to develop the record further as appropriate.
Because the case is being remanded anyway, we note that Perozzi correctly points out that parts of the ALJ's reasoning suggest that he gave weight to treating source's opinions because they accorded with the ALJ's view of the RFC. Pl. Mem. at 18. Specifically, the ALJ stated that he gave "great weight to Dr. Kaci's opinion as her findings support a residual functional capacity for sedentary work." R. 26. A similar version of this formulation was stated at other points in the opinion. See R. 25 ("Although Dr. Hendler's opinion seems to support a light exertional level, it is duly noted that his opinion and examination is not inconsistent with the sedentary exertional level given herein."); R. 26 ("Although a chiropractor is not an acceptable source, some weight was afforded to the opinion of Sallahian which supports the residual functional capacity herein"). These statements imply that particular weight was being given to a treating source's opinion because it was consistent with a finding that Perozzi had an RFC for sedentary work. This is similar to what occurred in Campbell v. Comm'r of Soc. Sec.,
*490and 'prejudicial to the claimant.' ") (alterations in original) (quoting Cruz v. Colvin,
C. Application of the Treating Source Rule
We conclude by addressing Perozzi's argument that the ALJ was required to give controlling weight to the opinions of Dr. Gaughan. Pl. Mem. at 14-18. He also argues that the ALJ failed to provide adequate reasons for giving "little weight" to Dr. Gaughan's opinions.
In this case, the ALJ explained that little weight was due Dr. Gaughan's opinions, because Dr. Gaughan's adversarial position in Perozzi's workers' compensation case might have resulted in inflated results. R. 28. The ALJ also found that Dr. Gaughan's findings contradicted the overall medical records and Perozzi's reported activities of daily living.
This explanation meets the standard for giving less than controlling weight to a treating source's opinion. See
Perozzi contends that the ALJ's determination was flawed because Dr. Gaughan's findings are consistent with those of Drs. Kaci and Sallahian, and consistent with certain findings of Dr. Bottiglieri. Pl. Mem. at 15. In fact, there were many points of disagreement. For instance, Dr. Gaughan was the only doctor to find muscle atrophy in Perozzi's left leg, see R. 504, 515, 619, and consistently find weakness in Perozzi's lower extremities, R. 504, 506-512, 515, 619; the only doctor to prescribe limitations for the use of Perozzi's hands, R. 501; the only doctor to limit Perozzi to less than an hour of standing over an 8-hour work period, R. 500; and the only doctor to conclude, since the time of the accident through the date of the hearing, that Perozzi was "totally disabled and unable to work in any capacity," R. 492, 495, 504, 513, 516, 620. Dr. Gaughan's findings and opinions thus stand in contrast with the opinions of other treating sources. For instance, Dr. Kaci did not observe muscle atrophy and noted full grip strength bilaterally with intact hand and finger dexterity. R. 335-36. Dr. Kaci also observed limited lumbar flexion at 30 degrees, R. 335, in contrast to Dr. Gaughan's consistent observation that lumbar flexion could not exceed 15 degrees, R. 492, 504, 513, 516. Dr. Kaci observed no sensory deficits, whereas Dr. Gaughan repeatedly identified "decreased sensibility to vibration" in Perozzi's left thigh, R. 492, 495, 513, 516, 619. Finally, Dr. Kaci concluded that Perozzi had "moderate limitation to walking, standing, sitting, pushing, pulling, bending, ability to lift or carry, and stairs or other climbing," R. 336, in contrast to Dr. Gaughan's assertion that Perozzi was "totally disabled," e.g., R. 492.
Dr. Gaughan's findings and opinions were also inconsistent with those of Dr. Sallahian. While Dr. Sallahian did find reduced range of motion and tenderness in Perozzi's lumbar spine, see R. 231, in line with Dr. Gaughan's notes, see R. 504, there were numerous points of disagreement. Dr. Gaughan stated that Perozzi tested positive on the straight leg test on his left leg at 45 degrees,
Dr. Bottiglieri's findings are even more at odds with Dr. Gaughan's. While both did find paraspinal spasm, see R. 236, 513, and Dr. Bottiglieri observed moderate limitation in Perozzi's flexion range of motion, R. 236, similar to Dr. Gaughan's findings, R. 513, Dr. Bottiglieri observed no neurological *492deficits in Perozzi's lower extremities and noted that he had intact sensation, full strength, normal flexion of the hip and knees, and negative straight leg raise testing, R. 240. Soon thereafter, Dr. Bottiglieri referred Perozzi to a neurosurgeon for evaluation, given that "he has not responded at all to conservative managements." R. 236. Upon that referral, Perozzi saw Dr. Jack Stern in March 2010 for a surgical evaluation. R. 224-25. Dr. Stern recommended against surgery and encouraged further conservative care by Dr. Bottiglieri. R. 224. At a subsequent examination with Dr. Bottiglieri, he noted that "[r]ange of motion remains minimally restricted in flexion and extension with subjective reproduction of pain."
Thus, the ALJ could properly find that Dr. Gaughan's findings were inconsistent with those of Dr. Bottiglieri, as well as Drs. Sallahian and Kaci. R. 28. It was within the ALJ's discretion to resolve such conflicts between medical opinions in the manner he did. See Balsamo,
Perozzi also challenges the ALJ's use of his reported activities of daily living as a basis for awarding less weight to Dr. Gaughan's opinion. Pl. Reply at 6. He contends that an ALJ may not use his activities of daily living as evidence that a medical opinion is inconsistent with the record, unless "[h]is activities rise to a level that would allow for the performance of substantial gainful activity."Id. Perozzi cites no case law for this rule and we find none in support of it. An ALJ has discretion to resolve conflicts in the record, including with reference to a claimant's reported activities of daily living, regardless of the severity of the claimant's limitations in activities of daily living. See, e.g., Domm v. Colvin,
Last, Perozzi argues that the ALJ improperly discounted Dr. Gaughan's opinion because he rendered it in the context of Perozzi's pursuit of a workers' compensation claim. Pl. Mem. at 16. We agree that an ALJ may not reject a treating source's opinions solely for this reason. See, e.g., Mercado v. Colvin,
*493IV. CONCLUSION
For the foregoing reasons, Perozzi's motion for judgment on the pleadings (Docket # 15) is granted and the Commissioner's motion for judgment on the pleadings (Docket # 17) is denied. The case is remanded for further proceedings consistent with this opinion.
SO ORDERED.
Related
Cite This Page — Counsel Stack
287 F. Supp. 3d 471, Counsel Stack Legal Research, https://law.counselstack.com/opinion/perozzi-v-berryhill-ilsd-2018.