Addison WHITE, Jr., Plaintiff-Appellant, v. COMMISSIONER OF SOCIAL SECURITY, Defendant-Appellee.
No. 08-1586
United States Court of Appeals, Sixth Circuit
Feb. 24, 2009
572 F.3d 272
Before MERRITT, MOORE, and COLE, Circuit Judges.
OPINION
KAREN NELSON MOORE, Circuit Judge.
Plaintiff-Appellant Addison White, Jr., appeals from the district court‘s judgment affirming the decision of the Commissioner of Social Security, which denied his claim for disability insurance benefits under
I. BACKGROUND
A. Factual Background
Before claiming disability in 2003, White consistently had been employed as an electrician since 1986, and previously had worked as a die cast operator since 1976. Since 1997, White has suffered from pain in his right thigh due to “meralgia paresthetica caused by entrapment of the lateral femoral cutaneous nerve.” Administrative Record (“A.R.“) at 144 (EMG/NCT Study 9/2/97). White began seeing a pain spe-
In January 2003, White reported to Dr. Basch that his leg remained “numb and painful,” and Dr. Basch noted that nerve blocks have “been a hit or miss proposition” and that surgical intervention may be appropriate. A.R. at 236 (Basch Pain Care Report 1/21/2003). The surgeon with whom White consulted, however, recommended against surgery. White also tried physical therapy with no success, and Dr. Basch was hesitant to prescribe stronger pain medication because the side effects would interfere with White‘s job as an electrician. Dr. Basch eventually noted that White may have to apply for disability. White continued with the nerve blocks, but also noted that his pain was worsening and that the injections only gave temporary relief. On May 7, 2003, Dr. Basch noted,
At this point I simply don‘t have much else to offer [White]. He is seriously considering applying for disability and I think the time has come to do this. The work he does as an electrician involves sitting, squatting, twisting and simply places pressure and torsion across this branch of the inguinal nerve. In the patients I have seen with this problem, it seems like we‘ve either been able to “hit a home run” or have been unable to treat it well at all and unfortunately [White] is falling into the latter category.
A.R. at 230 (Basch Pain Care Report 5/7/2003). Dr. Basch subsequently “took [White] off work.” A.R. at 229 (Basch Office Notes 9/15/2003). Dr. Basch noted that White would be helped by walking more, but found that when White did increase his walking as instructed, the pain became unbearable. White continued to receive injections, but the relief lasted only between three to seven weeks. In July 2004, White‘s primary care physician, Dr. Mervyn Smith, also put White off work “indefinitely” due to his “[right] leg nerve damage.” A.R. at 242 (Disability Certificate). In April 2005, Dr. Basch noted that White “did quite well” with the most recent nerve block but also noted that “as he becomes more active with the improving weather, there are times that his groin pain and anterior thigh pain really flares” and that “there are, unfortunately, no cures for this sort of condition.” A.R. at 250 (Basch Office Notes 4/26/2005).
During this time, White also was treated for depression, both by Dr. Basch and by a counseling psychologist, Dr. McDowell. White began seeing Dr. McDowell in May 2003, and she diagnosed him with adjustment disorder and depression, finding that he had a global assessment of functioning (“GAF“) score of 55, indicating moderate symptoms. White began seeing Dr. McDowell frequently, three times a month, but by June 2005 he was going for counseling only every two or three months. Dr. Basch also was treating White for depression and prescribed anti-depressant medication upon finding that White “is becoming depressed and discouraged. His wife concurs... The chronic pain plus what appears to be an impending disability is weighing heavily upon him.” A.R. at 229 (Basch Office Notes 9/15/2003). At a later visit, Dr. Basch increased the dosage because White “feels overwhelmingly depressed because of the combination of the chronic pain and inability to sleep because
On June 16, 2003, White applied for disability insurance benefits under
B. Administrative Hearing
After the state agency denied his claim, White requested a hearing before an administrative law judge (“ALJ“), and a hearing was held on May 12, 2005. At the hearing, the ALJ heard testimony from White and from a vocational expert.
Regarding his daily activities, White testified that he drove very little because of his pain and the effect of his pain medications, that he supervised his sons in doing yard work because he could no longer do it himself, and that he could no longer help his children get ready in the morning or help them with their homework. He testified that he experienced fatigue and forgetfulness with his medication, which caused him to take frequent naps, and prevented him from being able to play card games. Regarding his physical capacities, he testified that he can sit for only about thirty minutes without medication, but when he takes medication his head is not clear. He could stand in one place for only ten to fifteen minutes, both because of the pain and because of dizziness from the medication. He also testified that he could walk perhaps a block without his medication. White noted that Dr. Basch had planned to write him a prescription for a cane, but White had already obtained one. With regard to the nerve blocks, White testified that they give him two or three weeks of relief but also leave his leg swollen. He also noted that he still has pain and must take medication even after the nerve blocks.
The ALJ then questioned a vocational expert. The ALJ posed three hypothetical questions to the vocational expert. The third question, upon which the ALJ relied in his decision, asked the vocational expert
to assume an individual the same age as the claimant, same educational background and with the journeyman‘s card and same past work you described. This person is limited to doing light exertional work with occasional postural movement, and occasional pushing and pulling with the right lower extremity and also needing to alternate sitting and standing at will, so I‘ll call that a sit/stand at will option.
A.R. at 315-16 (Hr‘g Tr. at 46-47). In response, the vocational expert stated that jobs with these restrictions included “[i]nspector, tester, sorter, stamper, weigher,” “cashier,” and “ticket sales,” and that the number of jobs in each that would accommodate a sit/stand option were 4500, 16,000, and 3000, respectively. A.R. at 316 (Hr‘g Tr. at 47). The expert later agreed, however, that all of these jobs would be eliminated if the person dozes off during the day or has mental confusion and forgetfulness.
C. ALJ Decision
On December 18, 2005, the ALJ issued a decision finding that White was not disabled. The ALJ reviewed White‘s claim under the five-step analysis set forth in
The ALJ decided not to “give great weight to the opinions of Dr. Basch and Dr. Smith regarding the claimant‘s ability to perform work-related activities because those opinions take into consideration only the claimant‘s past work which was at the medium and heavy exertional level; and not ‘other work.‘” A.R. at 17-18 (ALJ Decision at 4-5). The ALJ further discounted Dr. Basch‘s opinion because it “is inconsistent with his own office notes that indicate the claimant receives good pain relief for four to seven weeks from nerve block injections.” A.R. at 18 (ALJ Decision at 5). The ALJ went on to find that White‘s “neuropathic pain in the right thigh from lateral femoral cutaneous nerve entrapment” is a “severe” impairment, but found that his other impairments, including his mental impairment, were not “severe.” Id. In discussing the mental impairment, the ALJ found that White was diagnosed with “adjustment disorder” by Dr. McDowell but takes anti-depressants “more for pain relief and sleep than for depressive symptoms,” “does not participate in mental health counseling on a consistent basis and has only mild to no limitations in his activities of daily living, social functioning and concentration, persistence and pace due to a mental health impairment.” Id.
The ALJ went on to determine White‘s RFC, defined as “the most an individual can still do after considering the effects of physical and/or mental limitations that affect the ability to perform work-related tasks.” Id. The ALJ discussed some of White‘s testimony about the activities he performs, noting that White “was teaching his son how to do yard work, drove, used a computer, went to the store with his family, and handled the family finances.” A.R. at 19 (ALJ Decision at 6). He also noted White‘s testimony “that he experienced fatigue and forgetfulness from his medications but still drove a vehicle” and that, despite White‘s testimony that he went to counseling once a month, “[t]he records clearly show that the claimant does not see his counselor once a month.” Id. After discussing White‘s testimony that he was “limited to sitting thirty minutes, standing fifteen minutes with a cane, walking one block with a cane, and lifting a gallon of milk,” the ALJ found “no evidence in the record that the claimant was prescribed a cane or has any difficulty walking.” Id. Because of these apparent inconsistencies, the ALJ found that “[t]he claimant‘s description of his limitations exceeds medical substantiation, is not consistent with other evidence and is not credible.” Id. Accordingly, the ALJ found that White “retains the following residual functional capacity: light work with a sit/stand option; occasional pushing and pulling with [right lower extremity]; and occasional bending, kneeling, squatting, crouching, and crawling.” Id. The ALJ found that this RFC prevented White from performing his past relevant work as an electrician.
Because the ALJ found that the RFC included “additional exertional and/or nonexertional limitations,” the ALJ looked to the hypothetical questions posed to the vocational expert to determine whether there were a significant number of jobs in the national economy that White could perform given his RFC, age, education, and past work experience. A.R. at 20 (ALJ Decision at 7). Because the vocational expert testified that there were 23,500 jobs in the region for someone of this RFC and other vocational factors, the ALJ concluded that there were a significant number of other jobs available to White, and that he was therefore not disabled. White
D. District Court Proceedings
On November 6, 2006, White filed a civil action for judicial review of the Commissioner‘s decision, and the magistrate judge issued a report and recommendation on January 17, 2008. The magistrate judge concluded that the ALJ‘s decision, specifically the determination of White‘s RFC, was not supported by substantial evidence. First, the magistrate judge concluded that, while it was appropriate for the ALJ to discount Dr. Basch‘s opinion that White was disabled, the ALJ should not have ignored Dr. Basch‘s medical conclusion that White‘s impairment is exacerbated by sitting, squatting, and twisting, because that conclusion was not contradicted by any evidence in the record. Next, the magistrate judge concluded that the ALJ should have taken into consideration White‘s testimony that his medications adversely affected his ability to perform work. The magistrate judge further concluded that, because White‘s testimony regarding his limitations was consistent with objective medical evidence and because White‘s credibility was bolstered by his extensive work history, the ALJ‘s decision was not supported by substantial evidence to the extent White “testified that he was impaired to an extent beyond that recognized by the ALJ.” Report & Recommendation at 10-11. For these reasons, “the hypothetical questions, the response to which the ALJ relied upon to support his decision, [were] based upon an improper RFC determination.” Id. at 11.
Although the magistrate judge concluded that the ALJ‘s determination “that there exists a significant number of jobs which Plaintiff can perform despite his limitations, is supported by less than substantial evidence,” id. at 11, the magistrate judge did not find that there existed compelling evidence that White is disabled such that the court could award benefits. The magistrate judge therefore recommended that the Commissioner‘s decision be reversed and the case be remanded for further factual findings. Id. at 12.
The Commissioner filed objections to the Report and Recommendation, to which White responded. On February 29, 2008, the district court entered a judgment granting the Commissioner‘s objections, rejecting the Report and Recommendation, and affirming the decision of the Social Security Administration. The district court concluded that the ALJ‘s decision was supported by substantial evidence because (1) Dr. Basch‘s opinion that White‘s impairment was exacerbated by certain activities was contradicted by Dr. Basch‘s own findings that White‘s pain was controlled by nerve block injections and by the state agency physician‘s findings and (2) substantial evidence “supports the ALJ‘s discounting of Plaintiff‘s self-diagnoses since Plaintiff drives a vehicle, goes shopping, walks frequently, handles the family finances, and carries out other daily activities.” Dist. Ct. J. at 3. Ultimately, the district court concluded that “although it may disagree with the ALJ‘s determination, the ALJ has acted within his ‘zone of choice.‘” Id.
II. ANALYSIS
A. Standard of Review
“This court‘s review of the Commissioner‘s decision is limited to determining whether it is supported by substantial evidence and was made pursuant to proper legal standards.” Rogers v. Comm‘r of Soc. Sec., 486 F.3d 234, 241 (6th Cir. 2007). “Substantial evidence is ‘such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.‘” Howard v. Comm‘r of Soc. Sec., 276 F.3d 235, 237-38 (6th Cir. 2002) (quoting Richardson v. Perales, 402 U.S. 389, 401, 91 S.Ct. 1420, 28 L.Ed.2d 842 (1971)).
A social security disability determination is made in accordance with the five-step sequential analysis set forth in
First, [White] must demonstrate that [he] is not currently engaged in substantial gainful employment at the time of the disability application.
20 C.F.R. § 404.1520(b) . Second, [White] must show that [he] suffers from a severe impairment.20 C.F.R. § 404.1520(c) . Third, if [White] is not engaged in substantial gainful employment and has a severe impairment which is expected to last for at least twelve months, which meets or equals a listed impairment, [he] will be considered disabled without regard to age, education, and work experience.20 C.F.R. § 404.1520(d) . Fourth, if the Commissioner cannot make a determination of disability based on medical evaluations and current work activity and [White] has a severe impairment, the Commissioner will then review [White‘s] residual functional capacity (RFC) and relevant past work to determine if [he] can do past work; if so, [he] is not disabled.20 C.F.R. § 404.1520(e) .
Howard, 276 F.3d at 238. In White‘s case, The ALJ determined that the first four parts did not entitle [White] to disability benefits, so this case turns on the fifth: if [White‘s] impairment prevents [him] from doing past work, the Commissioner will consider [his] RFC, age, education and past work experience to determine if [he] can perform other work. If [he] cannot perform other work, the Commissioner will find [him] disabled.
To meet the burden of showing that [White] could perform work that is available in the national economy, the Commissioner must make a finding “supported by substantial evidence that [White] has the vocational qualifications to perform specific jobs.” Varley v. Sec‘y of Health & Human Servs., 820 F.2d 777, 779 (6th Cir. 1987). This kind of “[s]ubstantial evidence may be produced through reliance on the testimony of a vocational expert (VE) in response to a ‘hypothetical’ question, but only ‘if the question accurately portrays [White‘s] individual physical and mental impairments.‘” Id. (citations omitted). After considering White‘s age, education, past relevant work experience, and RFC, along with the testimony of the vocational expert, the ALJ determined that White was able to perform other work and was not disabled. White argues that this determination is not supported by substantial evidence.
B. Whether the ALJ‘s Decision Is Supported by Substantial Evidence
White argues that the ALJ‘s decision was not supported by substantial evidence for three reasons. First, White argues that the ALJ did not properly consider the opinions of White‘s treating physicians, Dr. Basch and Dr. Smith. Second, White argues that the ALJ erred by not finding that White had a significant mental impairment. Finally, White argues that substantial evidence does not support the finding that White could have performed a limited range of light work and that the ALJ failed to follow the vocational expert‘s responses to the hypothetical questions that accurately portrayed White‘s physical and mental state. We first discuss whether the ALJ‘s RFC determination that White could perform a limited range of light
1. RFC Determination
A claimant‘s “RFC is an assessment of an individual‘s ability to do sustained work-related physical and mental activities in a work setting on a regular and continuing basis,” which is defined as “8 hours a day, for 5 days a week, or an equivalent work schedule.”
a. Treating Physicians’ Opinions
Under the “treating source” rule, the ALJ must “‘give good reasons’ for not giving weight to a treating physician in the context of a disability determination.” Wilson v. Comm‘r of Soc. Sec., 378 F.3d 541, 544 (6th Cir. 2004) (quoting
We conclude that the ALJ did not give sufficient reasons for discounting the opinion of Dr. Basch as to White‘s limitations. Although the ALJ was correct that the opinions of Dr. Basch and Dr. Smith were not conclusive on disability, particu-
As the magistrate judge noted, Dr. Basch found that White could not perform work involving sitting, squatting, or twisting, because it places too much pressure on his nerve. This is inconsistent with the RFC, which allows for occasional pushing and pulling with the right leg and occasional bending, kneeling, squatting, crouching, and crawling. Although, as the district court noted, Dr. Basch found that White should walk more, he also found that when White did walk more as instructed, the pain became unbearable. The ALJ stated that Dr. Basch‘s recent office notes reported that White was becoming more active, but the ALJ failed to note that in that same sentence Dr. Basch reported that the increased activity was increasing White‘s pain. As we have noted, “the fact that a patient is encouraged to remain active does not reflect the manner in which such activities may aggravate the patient‘s symptoms.” Rogers, 486 F.3d at 249.
b. Significant Mental Impairment
White also argues that the ALJ erred by failing to find that White had a significant mental impairment even though Dr. McDowell diagnosed White with adjustment disorder and depression, giving him a GAF score of 55, indicating moderate symptoms. In discussing White‘s mental impairment, the ALJ found that it was not severe because, although he was diagnosed with “adjustment disorder” and was prescribed an anti-depressant medication, the anti-depressant was “more for pain relief and sleep than for depressive symptoms,” and White “does not participate in mental health counseling on a consistent basis and has only mild to no limitations in his activities... due to a mental health impairment.” A.R. at 18 (ALJ Decision at 5).
Although the ALJ did not err in finding that White‘s mental impairment was not severe, the ALJ gave no explanation for totally discounting the objective evidence of White‘s mental impairment in determining White‘s RFC. Once one severe impairment is found, the combined effect of all impairments must be considered, even if other impairments would not be severe. See
c. White‘s Credibility
White argues that substantial evidence does not support the ALJ‘s discounting of White‘s testimony about his impairments. We recently discussed the two-part analysis “used in evaluating complaints of disabling pain“:
First, the ALJ will ask whether there is an underlying medically determinable physical impairment that could reasonably be expected to produce the claimant‘s symptoms.
20 C.F.R. § 416.929(a) . Second, if the ALJ finds that such an impairment exists, then he must evaluate the intensity, persistence, and limiting effects of the symptoms on the individual‘s ability to do basic work activities. Id. Relevant factors for the ALJ to consider in his evaluation of symptoms include the claimant‘s daily activities; the location, duration, frequency, and intensity of symptoms; factors that precipitate and aggravate symptoms; the type, dosage, effectiveness, and side effects of any medication taken to alleviate the symptoms; other treatment undertaken to relieve symptoms; other measures taken to relieve symptoms, such as lying on one‘s back; and any other factors bearing on the limitations of the claimant to perform basic functions. Id.
Rogers, 486 F.3d at 247; see also
Here, the ALJ found that White‘s “description of his limitations exceeds medical substantiation, is not consistent with other evidence and is not credible.” A.R. at 19 (ALJ Decision at 6). The ALJ stated that he “considered all symptoms, including pain, and the extent to which these symptoms can reasonably be accepted as consistent with the objective medical evidence and other evidence based on the requirements of
Much of White‘s testimony would affect his RFC determination. For example, White testified that he experienced fatigue and forgetfulness with his medication. The ALJ also found no evidence that White had trouble walking because he had not been prescribed a cane, but White testified that he already had obtained one without a prescription. As in Rogers, we conclude that the ALJ‘s decision “fails to ‘contain specific reasons for the finding on credibility, supported by the evidence in the case record‘” and is not “‘sufficiently specific to make clear to the individual and to any subsequent reviewers the weight the adjudicator gave to [White‘s] statements and the reasons for that weight.‘” Rogers, 486 F.3d at 248-49 (quoting
2. Vocational Expert Testimony
White argues that, because the ALJ did not have substantial evidence to support the finding that White could perform limited light work, the hypothetical question posed to the vocational expert was inaccurate, and the ALJ should not have relied on the answer in finding that there were other jobs that White could perform. White argues that later hypothetical questions asked of the vocational expert by White‘s attorney accurately portrayed White‘s limitations. The ALJ posed three hypothetical questions to the vocational expert and relied on the answer to the third question in determining that White could perform other work. That question asked the vocational expert
to assume an individual the same age as the claimant, same educational background and with the journeyman‘s card and same past work you described. This person is limited to doing light exertional work with occasional postural movement, and occasional pushing and pulling with the right lower extremity and also needing to alternate sitting and standing at will, so I‘ll call that a sit/stand at will option.
A.R. at 315-16 (Hr‘g Tr. at 46-47). Because the hypothetical question simply restates the RFC, and because, as discussed above, the RFC does not accurately portray White‘s limitations, the hypothetical question suffers from the same problems as the RFC, and thus the ALJ erred in relying on the answer to this question.
Further, the question did not account for the side effects of the pain medication. When questioned by White‘s attorney, the vocational expert admitted that the listed jobs would be eliminated if the person
C. Award of Benefits
“If a court determines that substantial evidence does not support the [Commissioner‘s] decision, the court can reverse the decision and immediately award benefits only if all essential factual issues have been resolved and the record adequately establishes a plaintiff‘s entitlement to benefits.” Faucher v. Sec‘y of Health & Human Servs., 17 F.3d 171, 176 (6th Cir. 1994). Otherwise, the court should remand to the Commissioner for further consideration. Although the ALJ did not provide substantial evidence to support his conclusions, we cannot say that there is compelling evidence that White is entitled to benefits. We therefore must remand for further consideration.
III. CONCLUSION
Because we conclude that the ALJ‘s determination that White is able to perform a substantial number of other jobs was not supported by substantial evidence and did not conform to the proper legal standards, we REVERSE the judgment of the district court upholding the Commissioner‘s decision and REMAND with instructions to return the claim to the Commissioner for further proceedings consistent with this opinion.
