Pollino v. Comm'r of Soc. Sec.
This text of 366 F. Supp. 3d 428 (Pollino v. Comm'r of Soc. Sec.) is published on Counsel Stack Legal Research, covering District Court, W.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Opinion
ELIZABETH A. WOLFORD, United States District Judge
INTRODUCTION
Represented by counsel, plaintiff Salvatore Pollino ("Plaintiff) brings this action pursuant to Titles II and XVI of the Social Security Act (the "Act"), seeking review of the final decision of the Commissioner of Social Security (the "Commissioner," or "Defendant") denying his applications for disability insurance benefits ("DIB") and supplemental security income ("SSI"). (Dkt. 1). This Court has jurisdiction over the matter pursuant to
BACKGROUND
Plaintiff protectively filed his applications for DIB and SSI on August 14, 2014. (Dkt. 8 at 15, 89-90).1 In his applications, Plaintiff originally alleged disability beginning January 1, 2009, due to depression, anxiety, insomnia, and bladder problems. (Id. at 73, 80). Thereafter, Plaintiff requested an amended onset date of February 27, 2013. (Id. at 16, 207). Plaintiff's applications were initially denied on December 18, 2014. (Id. at 15, 91-96). A hearing was held before administrative law judge ("ALJ") Gretchen Mary Greisler in Rochester, New York, on April 12, 2017. (Id. at 15, 40-72). On June 27, 2017, the ALJ issued an unfavorable decision. (Id. at 12-27). Plaintiff requested Appeals Council review; his request was denied on December 26, 2017, making the ALJ's determination the Commissioner's final decision. (Id. at 6-8). This action followed.
LEGAL STANDARD
I. District Court Review
"In reviewing a final decision of the [Social Security Administration ("SSA") ], this Court is limited to determining *432whether the SSA's conclusions were supported by substantial evidence in the record and were based on a correct legal standard." Talavera v. Astrue ,
II. Disability Determination
An ALJ follows a five-step sequential evaluation to determine whether a claimant is disabled within the meaning of the Act. See Bowen v. City of New York ,
At step three, the ALJ examines whether a claimant's impairment meets or medically equals the criteria of a listed impairment in Appendix 1 of Subpart P of Regulation No. 4 (the "Listings").
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ELIZABETH A. WOLFORD, United States District Judge
INTRODUCTION
Represented by counsel, plaintiff Salvatore Pollino ("Plaintiff) brings this action pursuant to Titles II and XVI of the Social Security Act (the "Act"), seeking review of the final decision of the Commissioner of Social Security (the "Commissioner," or "Defendant") denying his applications for disability insurance benefits ("DIB") and supplemental security income ("SSI"). (Dkt. 1). This Court has jurisdiction over the matter pursuant to
BACKGROUND
Plaintiff protectively filed his applications for DIB and SSI on August 14, 2014. (Dkt. 8 at 15, 89-90).1 In his applications, Plaintiff originally alleged disability beginning January 1, 2009, due to depression, anxiety, insomnia, and bladder problems. (Id. at 73, 80). Thereafter, Plaintiff requested an amended onset date of February 27, 2013. (Id. at 16, 207). Plaintiff's applications were initially denied on December 18, 2014. (Id. at 15, 91-96). A hearing was held before administrative law judge ("ALJ") Gretchen Mary Greisler in Rochester, New York, on April 12, 2017. (Id. at 15, 40-72). On June 27, 2017, the ALJ issued an unfavorable decision. (Id. at 12-27). Plaintiff requested Appeals Council review; his request was denied on December 26, 2017, making the ALJ's determination the Commissioner's final decision. (Id. at 6-8). This action followed.
LEGAL STANDARD
I. District Court Review
"In reviewing a final decision of the [Social Security Administration ("SSA") ], this Court is limited to determining *432whether the SSA's conclusions were supported by substantial evidence in the record and were based on a correct legal standard." Talavera v. Astrue ,
II. Disability Determination
An ALJ follows a five-step sequential evaluation to determine whether a claimant is disabled within the meaning of the Act. See Bowen v. City of New York ,
At step three, the ALJ examines whether a claimant's impairment meets or medically equals the criteria of a listed impairment in Appendix 1 of Subpart P of Regulation No. 4 (the "Listings").
The ALJ then proceeds to step four and determines whether the claimant's RFC permits the claimant to perform the requirements of his or her past relevant work.
*433DISCUSSION
I. The ALJ's Decision
In determining whether Plaintiff was disabled, the ALJ applied the five-step sequential evaluation set forth in
At step two, the ALJ found that Plaintiff suffered from the severe impairments of bipolar disorder, depression, and anxiety. (Id. ). The ALJ further found that Plaintiff's medically determinable impairments of hypertension, prostatism/hematuria, and frequent urination were non-severe. (Id. at 19). With respect to Plaintiff's representations that he suffered from eczema, dermatitis, and mild sleep apnea, the ALJ concluded that these were not medically determinable impairments. (Id. ).
At step three, the ALJ found that Plaintiff did not have an impairment or combination of impairments that met or medically equaled the severity of any Listing. (Id. ). The ALJ particularly considered the criteria of Listings 12.04 and 12.06 in reaching her conclusion. (Id. at 19-21).
Before proceeding to step four, the ALJ determined that Plaintiff retained the RFC to perform a full range of work at all exertional levels, with the additional limitations that Plaintiff:
can perform simple, routine and repetitive tasks in a work environment free of fast paced production requirements, involving only simple, work-related decisions and few, if any, workplace changes. Can tolerate a low level of work pressure defined as work not requiring multitasking, detailed job tasks, significant independent judgment, a production rate pace, sharing of job tasks or contact with the public. Can tolerate occasional interaction with supervisors and coworkers.
(Id. at 22). At step four, the ALJ found that Plaintiff was unable to perform any past relevant work. (Id. at 26).
At step five, the ALJ relied on the testimony of a vocational expert ("VE") to conclude that, considering Plaintiff's age, education, work experience, and RFC, there were jobs that exist in significant numbers in the national economy that Plaintiff could perform, including the representative occupations of laundry worker II and kitchen helper. (Id. at 26-27). Accordingly, the ALJ found that Plaintiff was not disabled as defined in the Act. (Id. at 27).
II. The Commissioner's Determination is Supported by Substantial Evidence and Free from Legal Error
Plaintiff asks the Court to remand this matter to the Commissioner, arguing: (1) the ALJ erred in weighing the medical opinion evidence from Plaintiff's treating sources; (2) the RFC is not supported by substantial evidence; and (3) the ALJ erred by improperly assessing Plaintiff's credibility. (Dkt. 12-1 at 6). The Court has considered each of these arguments and, for the reasons discussed below, finds them to be without merit.
A. Weighing of Treating Source Opinions
Plaintiff contends that the ALJ improperly assessed the opinions of Ronald Spurling, M.D., and David Roemer, M.D., Plaintiff's treating psychiatrists. Because Plaintiff's claim was filed before March 27, 2017, the ALJ was required to apply the treating physician rule, under which a treating physician's opinion is entitled to "controlling weight" when it is *434"well-supported by medically acceptable clinical and laboratory diagnostic techniques and is not inconsistent with the other substantial evidence in [the] case record[.]"
(i) the frequency of examination and the length, nature and extent of the treatment relationship; (ii) the evidence in support of the treating physician's opinion; (iii) the consistency of the opinion with the record as a whole; (iv) whether the opinion is from a specialist; and (v) other factors brought to the Social Security Administration's attention that tend to support or contradict the opinion.
Whatever weight the ALJ assigns to the treating physician's opinion, he must "give good reasons in [his] notice of determination or decision for the weight [he gives to the] treating source's medical opinion."
Plaintiff began treating with Dr. Spurling on February 20, 2013. (Dkt. 8 at 535). Dr. Spurling completed two evaluations of Plaintiff's mental functional limitations. (Id. at 451-54, 486-89). The first evaluation was completed on March 23, 2015, and the second was completed on November 30, 2015. (Id. ). On both occasions, Dr. Spurling found that Plaintiff had mild limitations (meaning unable to function one to ten percent of the time) in the following categories: ability to comprehend and carry out simple instructions; ability to remember work procedures; ability to concentrate and attend to simple work tasks; and ability to make simple, work-related decisions. (Id. at 451-52, 586-87). Plaintiff had moderate limitations (meaning unable to function eleven to twenty-five percent of the time) in the following categories: ability to communicate clearly and effectively; ability to appropriately work in coordination with or proximity to co-workers; ability to interact appropriately with the general public; ability to maintain regular attendance and be punctual within customary tolerances; ability to tolerate customary work pressures in a work setting including ordinary job goals, production requirements and demands; and ability to perform at a consistent pace.2 ( *435Id. at 452-53, 487-88). Dr. Spurling further opined that Plaintiff's condition was likely to deteriorate if placed under stress, he would be absent more than four days per month, and he could handle part-time work of not more than five hours per day or twenty hours per week. (Id. at 453-54, 488-89). On August 12, 2016, Dr. Spurling filed a statement confirming that he had reviewed his 2015 evaluations of Plaintiff, and that "[t]here has been no change and the limitations continue." (Id. at 532).
The ALJ gave "great weight" to Dr. Spurling's opinions, based on his treatment relationship with Plaintiff, his area of specialization, and because his opinions relating to Plaintiff's functional limitations were mostly consistent with his treatment notes. (See id. at 25 ("Great weight is accord[ed] to the opinions of Dr. Spurling, as he has a long treatment relationship with the claimant and his conclusions ... are sustained by objective findings, are consistent with his treatment notes and within his area of specialization.") ). However, the ALJ found that Dr. Spurling's opinions that Plaintiff was capable of only part-time work and would be absent more than four days per month were of limited evidentiary value because they lacked objective support and were supported only by Plaintiff's subjective complaints. (Id. ).
The Court has reviewed Dr. Spurling's opinions and his treatment notes and finds that the ALJ's assessment of the opinions was proper. The ALJ considered the factors required by the treating physician rule, including Dr. Spurling's area of specialization, his treatment relationship with Plaintiff, and the consistency of his opinions with other information in the record. The ALJ properly rejected Dr. Spurling's opinions relating to Plaintiff's ability to perform full-time work and absences as unsupported by the record. Neither of the opinions offered by Dr. Spurling include any explanation as to why he believed that Plaintiff could work less than fulltime or would be absent more than four days per month. See Johnson v. Comm'r of Soc. Sec. ,
Plaintiff argues that the ALJ failed to consider Dr. Spurling's opinion that Plaintiff would be "unable to function" or "off task" for up to twenty-five percent of the workday. (Dkt. 12-1 at 20-21). Plaintiff's argument is based on a mischaracterization of the record. Nowhere in either of Dr. Spurling's opinions does he opine that Plaintiff is unable to function, or would be off task, twenty-five percent of the workday. Rather, based on Dr. Spurling's assessment that Plaintiff has moderate limitations (meaning unable to function eleven to twenty-five percent of the time) in some areas of mental functioning, Plaintiff's counsel extrapolates that Plaintiff is "unable to function" or will be "off task" twenty-five percent of the workday. (Dkt. 12-1 at 20-21; Dkt. 19 at 2). However, Plaintiff's counsel is not a medical doctor and may not simply presume that, because Dr. Spurling found that Plaintiff had moderate limitations in some areas of mental functioning, that Plaintiff would be off task or completely unable to function in all areas for twenty-five percent of the workday. Remand is not required on this basis.
Plaintiff began treating with Dr. Roemer in July 2016. (Dkt. 8 at 621, 638). On April 10, 2017, Dr. Roemer completed the same evaluation completed by Dr. Spurling. (Id. at 619-22). Plaintiff was mildly limited in his ability to communicate clearly and effectively. (Id. at 620). Dr. Roemer opined that Plaintiff was moderately limited in the following categories: ability to comprehend and carry out simple instructions; ability to remember work procedures; ability to appropriately work in coordination with or proximity to co-workers; ability to interact appropriately with the general public; ability to maintain regular attendance and be punctual within customary limitations; ability to concentrate and attend to simple work tasks; and ability to perform at a consistent pace. (Id. at 619-20). Plaintiff had marked limitations in his ability to make simple, work-related decisions and in his ability to tolerate customary work pressures in a work setting, including ordinary job goals, production requirements, and demands. (Id. at 620-21). Dr. Roemer further opined that Plaintiff was likely to deteriorate if placed under stress and would be absent more than four days per month. (Id. at 621-22). Dr. Roemer found that Plaintiff could work four hours per day, but also noted that he was "not sure [Plaintiff] can work at all!" (Id. at 622).
The ALJ gave "partial weight" to Dr. Roemer's opinion. (Id. at 25). The ALJ explained that although Dr. Roemer began treating Plaintiff in July 2016, there were no objective findings supporting his opinion that Plaintiff would be unable to work on a regular and continuing basis. (Id. ). As summarized by the ALJ in the written determination, Dr. Roemer's treatment notes lack support for his opinion that Plaintiff is unable to sustain fulltime employment and would be absent more than four days per month. While Dr. Roemer's treatment notes document Plaintiff's subjective complaints, mental status examinations were mostly normal. (See, e.g., id. at 644-45, 648-49, 651-52, 675-76, 679-80, 682-83, *437686-87, 689-90, 694). Plaintiff also experienced improvements in his depression, mood, and temper. (See, e.g., id. at 644, 648, 651, 675, 679, 685-86, 689, 693). Further, the ALJ noted that Dr. Roemer assessed Plaintiff with only moderate limitations in most areas of mental functioning. (Id. at 25). The ALJ also explained that Dr. Roemer's opinion that Plaintiff had marked limitations in his ability to make simple, work-related decisions, was belied by Plaintiff's activities of daily living and in his ability to live independently. (Id. ).
The Court has reviewed Dr. Roemer's opinion and treatment notes and agrees with the ALJ's assessment of the opinion. Dr. Roemer's opinion that Plaintiff is unable to sustain full-time employment is contradicted by his own assessment that Plaintiff had only moderate limitations in most areas of mental functioning. See Illenberg v. Colvin , No. 13-CV-0916 (AT)(SN),
Plaintiff takes issue with the ALJ's rejection of treating source opinion evidence based on the lack of objective support for the opinions, arguing that "[g]enerally speaking, a treating physician's medical opinion need not be supported by clinical or laboratory findings." (Dkt. 12-1 at 24). While an ALJ may adopt a medical opinion based entirely on subjective reports rather than objective findings, it is well-settled that an ALJ may give less weight to or reject a medical opinion that lacks objective support. See
B. Assessment of Plaintiff's RFC
Plaintiff next contends that the ALJ erred by arriving at an improper RFC that is not supported by substantial evidence. (Dkt. 12-1 at 6). Plaintiff's argument regarding the RFC appears to be made in conjunction with his argument regarding the improper evaluation of opinion evidence. (See id. at 20-29). In deciding a disability claim, an ALJ is tasked with "weighting] all of the evidence available to make an RFC finding that [is] consistent with the record as a whole." Matta v. Astrue ,
An ALJ is prohibited from 'playing doctor' in the sense that 'an ALJ may not substitute his own judgment for competent medical opinion.... This rule is most often employed in the context of the RFC determination when the claimant argues either that the RFC is not supported by substantial evidence or that the ALJ has erred by failing to develop the record with a medical opinion on the RFC.
Quinto v. Berryhill , No. 3:17-cv-00024 (JCH),
The Court has reviewed the medical opinion evidence in the record, as well as the assessed RFC. It is clear from the record that the ALJ largely adopted Dr. Spurling's opinions relating to Plaintiff's functional limitations. In other words, the RFC, which provides that Plaintiff can perform simple, routine and repetitive tasks, and can make simple, work-related decisions, is informed by Dr. Spurling's opinion that Plaintiff has mild limitations (meaning unable to function one to ten percent of the time) in his ability to comprehend and carry out simple instructions, remember work procedures, concentrate and attend to simple work tasks, and make simple, work-related decisions. (See Dkt. 8 at 451-52, 586-87). Further, the RFC accounts for Dr. Spurling's and Dr. Roemer's opinions that Plaintiff would deteriorate under stress by limiting him to a work environment free of fast-paced production requirements, involving only simple, work-related decisions and few workplace changes, and a low level of work pressure (work not requiring multitasking, detailed job tasks, significant independent judgment, production rate pace). Finally, the RFC provides for no contact with the public and only occasional interaction with supervisors and coworkers, which is consistent with Dr. Spurling's and Dr. Roemer's opinions that Plaintiff had moderate limitations (meaning unable to function eleven to twenty-five percent of the time) in his ability to communicate clearly and effectively, appropriately work in coordination with or proximity to co-workers, and interact appropriately with the general public. (Id. at 452, 487, 620).
Plaintiff argues that, in assessing the RFC, it was improper for the ALJ to reject Dr. Spurling's and Dr. Roemer's *439opinions regarding Plaintiff's ability to sustain fulltime employment and absences because there was no other opinion evidence in the record contradicting those opinions. (Dkt. 12-1 at 25). However, an ALJ is not required to secure an additional medical opinion specifically contradicting Dr. Spurling's and Dr. Roemer's opinions regarding Plaintiff's ability to sustain fulltime employment. Rather, as noted above, the ALJ is required to evaluate the opinion of a treating physician in accordance with the treating physician rule and give good reasons if she gives less than controlling weight to the opinion. Halloran ,
C. The Credibility Assessment
Plaintiff's final argument is that the ALJ improperly assessed Plaintiff's credibility. (Dkt. 12-1 at 29-32). The ALJ, who has the "opportunity to observe witnesses' demeanor, candor, fairness, intelligence and manner of testifying," is "best-positioned to make accurate credibility determinations." Whiting v. Astrue , No. CIV.A. 1:12-274,
In assessing the credibility of a claimant's subjective complaints, the Commissioner's regulations require ALJs to employ a two-step inquiry. Meadors v. Astrue ,
Here, the ALJ engaged in the two-step inquiry. (See Dkt. 8 at 22 (explaining two-step inquiry) ). Specifically, the ALJ discussed Plaintiff's testimony regarding his impairments and concluded that, while Plaintiff's medically determinable impairments could reasonably be expected to produce some of the above alleged symptoms, "[Plaintiff's] statements concerning the intensity, persistence and limiting effects of these symptoms are not entirely consistent with the medical evidence and other evidence in the record for the reasons explained in this decision." (Id. at 22-23). The ALJ concluded that "[a]ccordingly, these statements have been found to affect [Plaintiff's] ability to work only to the extent they can reasonably be accepted as consistent with the objective medical and other evidence." (Id. at 23).
In the written determination, the ALJ cited to specific, objective and non-objective evidence in the record contradicting Plaintiff's claim that he is unable to work, including that Plaintiff largely responded well to mental health treatment, had mostly normal mental status examinations, and was able to engage in some work on a part-time basis. (Id. at 23-24). The ALJ also noted that Plaintiff's testimony that he experienced side effects from medications *440was contradicted by the record, which revealed that Plaintiff consistently denied experiencing side effects from his medication. (Id. at 24; see, e.g.,
Plaintiff argues that it was improper for the ALJ to consider Plaintiff's ability to perform part-time work, as "this work activity does not demonstrate that the claimant had the ability to work on a full-time basis." (Dkt. 12-1 at 31). Plaintiff's argument misses the mark. "The issue is not whether Plaintiff's limited ability to undertake normal daily activities demonstrates [his] ability to work. Rather, the issue is whether the ALJ properly discounted Plaintiff's testimony regarding [his] symptoms to the extent that it is inconsistent with other evidence." Morris v. Comm'r of Soc. Sec. , No. 5:12-cv-1795 (MAD/CFH),
Plaintiff similarly argues that it was improper for the ALJ to consider his activities of daily living in assessing his credibility, particularly because Plaintiff alleged mental health impairments, rather than physical impairments. (Dkt. 12-1 at 30-32). Plaintiff's argument is meritless. "An ALJ is entitled to take a plaintiff's activities of daily living into account in making a credibility determination." Pennock v. Comm'r of Soc. Sec. , No. 7:14-CV-1524 (GTS/WBC),
CONCLUSION
For the foregoing reasons, the Commissioner's motion for judgment on the pleadings (Dkt. 17) is granted and Plaintiff's motion for judgment on the pleadings (Dkt. 12) is denied. The Clerk of Court is directed to enter judgment and close this case.
SO ORDERED.
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