Allen v. Comm'r of Soc. Sec.
Latoya ALLEN v. COMMISSIONER OF SOCIAL SECURITY
Attorneys
*332Anthony John Rooney, Kenneth R. Hiller, Law Offices of Kenneth Hiller, PPLC, Amherst, NY, for Plaintiff., Dennis J. Canning, Office of the General Counsel Social Security Administration, Kansas City, MO, Vernon Norwood, Social Security Administration Office of General Counsel, New York, NY, Kathryn L. Smith, U.S. Attorney's Office, Rochester, NY, for Defendant.
Full Opinion (html_with_citations)
INTRODUCTION
Represented by counsel, Plaintiff Latoya Allen ("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 her applications for disability insurance benefits ("DIB"), child's insurance benefits ("CIB"), and supplemental security income ("SSI"). (Dkt. 1). This Court has jurisdiction over the matter pursuant to
BACKGROUND
Plaintiff protectively filed her applications for DIB, CIB, and SSI on April 9, 2014. (Dkt. 6 at 138, 213-15).
LEGAL STANDARD
I. District Court Review
"In reviewing a final decision of the [Social Security Administration ("SSA") ], this Court is limited to determining whether the SSA's conclusions *333were 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 Parker 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.
*334Rosa v. Callahan ,
DISCUSSION
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 "lumbago, a depressive disorder, and an anxiety disorder." (Id. at 142). The ALJ further found that Plaintiff's medically determinable impairments of "rule-out slight levoscoliosis of the thoracolumbar spine, shoulder pain, knee pain, ankle pain, hand, wrist, and finger pain, headaches, weight gain, mild obesity, fatigue, pregnancy, abdominal pain, cellulitis, dermatitis, conjunctivitis, and sinusitis" were non-severe. (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. at 142-43). The ALJ particularly considered the criteria of Listings 1.04, 12.04, and 12.06 in reaching his conclusion. (Id. at 142-44).
Before proceeding to step four, the ALJ determined that Plaintiff retained the RFC to perform a range of light work as defined in
is able to lift and/or carry twenty pounds occasionally and ten pounds frequently, stand and/or walk for six hours in an eight-hour workday, and sit for six hours in an eight-hour workday. In addition, [Plaintiff] is limited to simple, routine, and repetitive tasks, and she is able to work at a low-stress job, which is defined as a job with occasional changes in the work setting and a job that requires occasional decision-making and occasional judgment. [Plaintiff] is able to occasionally interact with co-workers, supervisors, and the public.
(Id. at 144-45). At step four, the ALJ found that Plaintiff was unable to perform any past relevant work. (Id. at 149).
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 office helper, small products assembler, and mail clerk. (Id. at 150-51). Accordingly, the ALJ found that Plaintiff was not disabled as defined in the Act. (Id. at 151).
II. The Commissioner's Determination is Supported by Substantial Evidence and Free from Legal Error
Plaintiff asks the Court to reverse or, in the alternative, remand this matter to the Commissioner, arguing that (1) the ALJ erred by granting the greatest weight to the non-examining review physician, S. Shapiro, Ph.D., over the opinions of Adam Brownfeld, Ph.D., a consultative examiner, and Jamie-Lynn Seldon, LCSW, Plaintiff's therapist; (2) the ALJ erred by failing to include in the RFC finding limitations for Plaintiff's ability to maintain attention and concentration; and (3) the ALJ erred by rejecting the opinion of Andrea Jean Cottrell, *335N.P. (hereinafter, "NP Cottrrell"), relating to Plaintiff's ability to work and, even if the rejection was proper, the ALJ was required to develop the record. (Dkt. 8-1 at 12-21). The Court has considered each of these arguments and, for the reasons discussed below, finds them to be without merit.
A. Weighing of Opinion Evidence from Dr. Shapiro. Dr. Brownfeld. and Ms. Seldon
Plaintiff first argues that the ALJ erred in assigning "very significant weight" to the opinion of Dr. Shapiro, a non-examining source, and lesser weight to the opinions of Dr. Brownfeld and Ms. Seldon. (Dkt. 8-1 at 12-15). Under the Commissioner's regulations, an ALJ is required to "evaluate every medical opinion [he] receives."
(1) the source's examination relationship and treatment relationship with the plaintiff, including the length, nature, and extent of the treatment relationship, if applicable, (2) the opinion's supportability, (3) the opinion's consistency with the record as a whole, (4) the source's specialization, if any, and (5) other factors, such as the source's knowledge of disability programs and familiarity with the case record.
Bump v. Comm'r of Soc. Sec. , No. 5:15-CV-1077 (GTS),
Because they are not acceptable medical sources, the opinions of social workers are not entitled to controlling weight. Conlin v. Colvin ,
In this case, Dr. Shapiro, an agency psychological review consultant, reviewed Plaintiff's record in May 2014. (See Dkt. 6 at 216-26). Dr. Shapiro found that, despite Plaintiff's moderate limitations in accepting instructions and responding appropriately to criticism from supervisors, she had no significant limitations in her ability to interact appropriately with the general public, ask simple questions and request assistance, get along with co-workers or peers without distracting them or exhibiting behavioral extremes, maintain socially appropriate behavior, and adhere to basic standards of neatness and cleanliness. (Id. at 223). Dr. Shapiro further opined that Plaintiff had no understanding and memory limitations, no sustained concentration and persistence limitations, and no adaptation limitations. (Id. at 222-23). In terms of Plaintiff's understanding and memory limitations, Dr. Shapiro explained that Plaintiff's recent and remote recall for discrete data was intact, with only slight difficulty with reverse digits, and that her memory skills were intact for day-to-day activities. (Id. at 222). For concentration and persistence, Dr. Shapiro explained that Plaintiff cares for two young children, her performance at her consultative exam was not credible, and her level of day-to-day functioning showed that her attention and concentration skills were intact. (Id. ). Dr. Shapiro concluded that Plaintiff "has a range of skills on par with cognitive level." (Id. at 223).
In the written determination, the ALJ thoroughly discussed Dr. Shapiro's opinion (id. at 147) and afforded it "very significant weight," based on her expertise, her review of Plaintiff's medical records, and the relative consistency of her opinion with the overall evidence, including Plaintiff's history of intermittent mental health treatment and reported good response to medication management (id. at 148). The ALJ specifically identified the opinions relating to Plaintiff's functional limitations issued by Ms. Seldon and Michelle DiRoumo, LMSW, as being consistent with Dr. Shapiro's assessed limitations. (Id. ).
The Court has reviewed the opinion of Dr. Shapiro and finds that the ALJ's weighing of her opinion was proper. First, it is clear to the Court that the ALJ took into account the required considerations for weighing opinions from consultative sources. Second, Plaintiff contends that it is "improper" for an ALJ to rely on a non-treating, non-examining medical source and credit a state consultant over examining physicians. (See Dkt. 8-1 at 13). However, contrary to Plaintiff's assertions, it is well-settled that the opinion of a non-examining source may be credited over *337that of an examining physician, particularly where the examining source's opinion is contradicted by the record. Ridosh ,
B. Incorporation of Limitations for Plaintiff's Attention and Concentration
Plaintiff's next argument is that the ALJ erred by failing to include in the RFC finding limitations for maintaining attention and concentration. (Dkt. 8-1 at 15). Plaintiff points specifically to the April 2014 opinion of Ms. Seldon, which the ALJ
*338gave "significant weight," in arguing that such limitations were necessary. (Id. at 15).
On April 28, 2014, Ms. Seldon completed a psychological assessment for determination of employability for the Monroe County Department of Human Services, in which Ms. Selden found that Plaintiff had normal functioning in the following categories: following, understanding, and remembering simple instructions and directions; performing simple and complex tasks independently; regularly attending to a routine and maintaining a schedule; and maintaining basic standards of hygiene and grooming. (Dkt. 6 at 688). Ms. Selden found that Plaintiff was moderately limited (meaning unable to function between ten to twenty-five percent of the time) in maintaining attention and concentration for rote tasks, and in her ability to perform low stress and simple tasks. (Id. ). Ms. Selden did not find that Plaintiff was "very limited" or "insufficient" in any category of mental functioning. (Id. ).
In the written determination, the ALJ discussed Ms. Selden's opinion relating to Plaintiff's moderate limitations for maintaining attention and concentration for rote tasks. (Id. at 147). The ALJ explained that he gave "significant weight to the specific functional assessments of Ms. Seldon and Ms. DiRoumo in county employability reports due to their examinations of the claimant and the relative consistency of the opinions with each other and the overall medical evidence, including the well-supported opinions of psychologist Dr. Shapiro...." (Id. at 148).
As noted above, the RFC limits Plaintiff to simple, routine, and repetitive tasks (see id. at 145), which Plaintiff acknowledges (see Dkt. 8-1 at 15). The Court concludes that the limitation for performing simple, routine, and repetitive tasks is consistent with Ms. Selden's assessment of Plaintiff's mental functioning, including her opinion that Plaintiff has moderate difficulties in maintaining attention and concentration, as well as other medical opinion evidence in the record. See Robinson v. Comm'r of Soc. Sec. , No. 1:16-CV-00835 (MAT),
Plaintiff further contends that the VE stated that an employer would not tolerate more than ten to fifteen percent of time off task and, therefore, the ALJ was required to include a limitation for Plaintiff's ability to maintain attention and concentration, which Ms. Selden opined Plaintiff would not be able to do between ten to twenty-five percent of the time. (Dkt. 8-1 at 16). Despite Plaintiff's contention, Ms. Selden's opinion does not include a specific opinion relating to the amount of time Plaintiff would be "off task." Rather, Ms. Selden's opinion relating to Plaintiff's mental functioning, including Plaintiff's ability to maintain attention and concentration, is presented in a check-box form listing specific categories of mental functioning, a fact noted by the ALJ in the written determination. (See Dkt. 6 at 148).
An ALJ is not required to "explicitly... reconcile every conflicting shred of medical testimony," so long as the ALJ carefully considers all of the evidence in *339reaching a determination. Miles v. Harris ,
C. Weighing of NP Cottrell's Opinion
Plaintiff's third and final argument is that the ALJ erred by rejecting NP Cottrell's opinion relating to Plaintiff's ability to work. (Dkt. 8-1 at 16). In assessing a disability claim, an ALJ must consider and weigh the various medical opinions of record. Pursuant to the Commissioner's regulations:
the ALJ must consider various factors in deciding how much weight to give to any medical opinion in the record, regardless of its source, including: (i) the frequency of examination and the length, nature and extent of the treatment relationship; (ii) the evidence in support of the ... 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.
Pike v. Colvin , No. 14-CV-159-JTC,
Under the Commissioner's regulations applicable to Plaintiff's claim, nurse practitioners are not considered "acceptable medical sources," and their opinions are therefore not "entitled to any particular weight[.]" Wider v. Colvin ,
On April 11, 2016, NP Cottrell issued a physical assessment for determination of employability for the Monroe County Department of Human Services. (Dkt. 6 at 694). NP Cottrell had been treating Plaintiff since March 2016. (Id. ). NP Cottrell opined that Plaintiff could work up to twenty hours per week, with reasonable accommodations, and that the expected duration of this limitation was three months. (Id. at 695). NP Cottrell recommended that Plaintiff refrain from lifting, pushing, or pulling anything greater than fifteen pounds, and that Plaintiff should be able to change positions every two hours. (Id. ). A physical examination revealed normal general appearance, gait, and heel and toe walking. (Id. at 696). Plaintiff's systems were otherwise normal, except that she experienced pain to palpation of muscles in her thoracic and lumbar spine, with limited forward flexion of her back and limited ability to squat. (Id. at 679). NP Cottrell found that Plaintiff was moderately limited (two to four hours per day) in her ability to walk, stand, and sit, and very limited (one to two hours per day) in her ability to push, pull, bend, lift, and carry. (Id. ). Plaintiff had no limitations for her ability to see, hear, or speak. (Id. ).
At step two, the ALJ assessed Plaintiffs lower back pain (lumbago) as a severe impairment. (Id. at 142). However, he also found that many of Plaintiff's alleged physical impairments, including rule-out slight levoscoliosis of the thoracolumbar spine, shoulder pain, knee pain, ankle pain, hand, wrist, and finger pain - were non-severe, because there was not enough documentation in the record to show that these conditions rose to the level of a severe impairment. (Id. ). Plaintiff does not challenge this determination.
In assessing Plaintiff's RFC, the ALJ gave "very little weight" to NP Cottrell's April 2014 opinion regarding Plaintiffs limitations for lifting, carrying, pushing, pulling, bending, standing, walking, and sitting, as well as to her opinion that Plaintiff could work only twenty hours per week for at least three months, should refrain from pushing, pulling, and lifting more than fifteen pounds, and should change positions every two hours. (Id. at 148). The ALJ explained that he assigned "very little weight" to NP Cottrell's opinion because she was a non-acceptable medical source, provided no support, explanation, or medical basis for her opinions, and her opinions were inconsistent with the rest of the evidence in the record, including Plaintiff's conservative treatment
*341The Court has reviewed the record, as well as NP Cottrell's opinion, and finds that the ALJ properly afforded it very little weight. As noted above, NP Cottrell's opinion was not entitled to any special weight. Wider ,
Likewise, the ALJ's determination that NP Cottrell's assessment of Plaintiff's physical limitations is unsupported by the record as a whole was appropriate. Domm v. Colvin ,
In the alternative, Plaintiff contends that, even if the ALJ properly *342afforded very little weight to NP Cottrell's opinions, his doing so created an evidentiary gap in the record that the ALJ was obligated to fill by developing the record. (Dkt. 8-1 at 19-21). As an initial matter, the ALJ was not required to adopt NP Cottrell's opinion in its entirety, see Matta ,
Here, the ALJ discussed at length the evidence relating to Plaintiff's physical limitations, including the opinion of NP Cottrell, objective medical evidence in the record relating to Plaintiff's physical limitations, and Plaintiff's own testimony as to her activities of daily living. (See Dkt. 6 at 145-46, 148). It was proper for the ALJ to assess Plaintiff's RFC without additional opinion evidence under these circumstances. See Reithel v. Comm'r of Soc. Sec. ,
The ALJ thoroughly discussed and considered NP Cottrell's opinions, and his reasons for affording them limited weight were proper and well-supported by the record. Under these circumstances, the Court finds no error in the ALJ's decision. See Saxon v. Astrue ,
CONCLUSION
For the foregoing reasons, the Commissioner's motion for judgment on the pleadings (Dkt. 10) is granted and Plaintiff's motion for judgment on the pleadings (Dkt. 8) is denied. The Clerk of Court is directed to enter judgment and close this case.
SO ORDERED.
When referencing the page number(s) of docket citations in this Decision and Order, the Court will cite to the CM/ECF-generated page numbers that appear in the upper righthand corner of each document.
Plaintiff contends that the ALJ was required to re-contact Ms. Seldon to resolve the inconsistency between the medical source statement and county employability assessment. (Dkt. 8-1 at 15). In support of this contention, she cites to a case holding that if a physician's report appears inconsistent with her own records, the ALJ must seek clarification before rejecting the opinion. As an initial matter, Ms. Seldon is not a physician and, unlike a physician, her opinion is not entitled to any special deference. Further, "[t]he mere fact that medical evidence is conflicting or internally inconsistent does not mean that an ALJ is required to re-contact a treating physician. Rather, because it is the sole responsibility of the ALJ to weigh all medical evidence and resolve any material conflicts in the record where the record provides sufficient evidence for such a resolution, the ALJ will weigh all of the evidence and see whether it can decide whether a claimant is disabled based on the evidence he has, even when that evidence is internally inconsistent." Micheli v. Astrue ,
Plaintiff argues that her conservative treatment "is not substantial evidence for a lack of physical disability in the absence of opinions stating so." (Dkt. 8-1 at 18). However, the ALJ did not reject NP Cottrell's opinion on the sole basis that Plaintiff received conservative treatment. Rather, the ALJ rejected NP Cottrell's opinion on several bases, including that she was a non-acceptable medical source, she provided no support or explanation for her opinion, her opinion conflicted with other medical evidence in the record, and her opinion was inconsistent with Plaintiff's reported activities of daily living. (Dkt. 6 at 148). Accordingly, the ALJ's discussion of Plaintiff's treatment history was proper. See Smith v. Berryhill , No. 17-CV-6465L,