LESLIE WOODS v. KILOLO KIJAKAZI, Acting Commissioner of Social Security
No. 21-35458
United States Court of Appeals, Ninth Circuit
April 22, 2022
D.C. No. 3:20-cv-00805-BR
OPINION
Appeal from the United States District Court for the District of Oregon Anna J. Brown, District Judge, Presiding
Submitted March 8, 2022* Seattle, Washington
Filed April 22, 2022
Before: Jacqueline H. Nguyen, Eric D. Miller, and Patrick J. Bumatay, Circuit Judges.
Opinion by Judge Nguyen
Social Security
The panel affirmed the district court‘s decision affirming the Commissioner of Social Security‘s denial of claimant‘s application for benefits under the Social Security Act based on various physical and mental impairments.
As a threshold matter, the panel held that recent changes to the Social Security Administration‘s regulations displaced longstanding case law requiring an administrative law judge (“ALJ“) to provide “specific and legitimate” reasons for rejecting an examining doctor‘s opinion. For claims filed on or after March 27, 2017, that are subject to the new regulations, the former hierarchy of medical opinions – in which the court assigned presumptive weight based on the extent of the doctor‘s relationship with the claimant – no longer applies. While the panel agreed with the government that the “specific and legitimate” standard was clearly irreconcilable with the 2017 regulations, the panel held that the extent of the claimant‘s relationship with the medical provider – the “relationship factors” – remained relevant under the new regulations. An ALJ can still consider the length and purpose of the treatment relationship, the frequency of examinations, the kinds and extent of examinations that the medical source has performed or ordered from specialists, and whether the medical source has examined the claimant or merely reviewed the claimant‘s records. However, the ALJ no longer needs to make specific findings regarding those relationship factors. Even under the
Here, the ALJ acknowledged Dr. Causeya‘s opinion that the claimant had marked and extreme limitations in various cognitive areas, including memory and concentration; but the ALJ found this opinion unpersuasive because it was inconsistent with the overall treating notes and mental status exams in the record. The panel held that substantial evidence supported the ALJ‘s inconsistency finding.
The panel rejected claimant‘s contention that the ALJ failed to consider all her physical and mental limitations that are supported by the record. Because substantial evidence supported the ALJ‘s decision here, the panel affirmed.
COUNSEL
George Joseph Wall, Law Offices of George J. Wall, Portland, Oregon, for Plaintiff-Appellant.
Willy Le, Acting Regional Chief Counsel, Seattle Region X; Jeffrey E. Staples, Assistant Regional Counsel; Office of General Counsel, Social Security Administration, Seattle, Washington; Scott Erik Asphaug, United States Attorney; Renata Gowie, Civil Division Chief; United States Attorney‘s Office, Portland, Oregon; for Defendant-Appellee.
OPINION
NGUYEN, Circuit Judge:
Leslie Woods seeks benefits under the Social Security Act based on various physical and mental impairments. An administrative law judge (“ALJ“) found that she was not disabled and denied her claim. The district court affirmed.
As a threshold matter, we must decide whether recent changes to the Social Security Administration‘s regulations displace our longstanding case law requiring an ALJ to provide “specific and legitimate” reasons for rejecting an examining doctor‘s opinion. We conclude that they do. For claims subject to the new regulations, the former hierarchy of medical opinions – in which we assign presumptive weight based on the extent of the doctor‘s relationship with the claimant – no longer applies. Now, an ALJ‘s decision, including the decision to discredit any medical opinion, must simply be supported by substantial evidence. Because substantial evidence supports the ALJ‘s decision here, we affirm.
I.
Woods applied for disability insurance benefits and supplemental security income in July 2017. See
At step four of the analysis, the ALJ concluded that Woods had the residual functional capacity to perform “light work” with minor limitations. Based on this finding, the ALJ found that Woods could perform her past relevant work as a cosmetologist and hairstylist.
The Appeals Council denied review of the ALJ‘s decision. Woods then sought judicial review. The district court, reviewing the ALJ‘s decision, affirmed the agency‘s denial of benefits.
II.
We have jurisdiction under
III.
Woods contends that the ALJ improperly rejected the opinion of her examining physician, Dr. Causeya, that she has memory and concentration impairments. The ALJ found that Dr. Causeya‘s opinion conflicted with evidence from other medical sources. But before turning to the merits of this claim, we must first resolve the parties’ dispute over the applicable legal standard.
Woods argues that the ALJ erred in rejecting Dr. Causeya‘s opinion by failing to provide “specific and legitimate reasons that are supported by substantial evidence in the record.” Lester v. Chater, 81 F.3d 821, 830–31 (9th Cir. 1996). The government counters that changes to the Social Security regulations in 2017 “eliminate any semblance of a hierarchy of medical opinions and state that the agency does not defer to any medical opinions, even those from treating sources.” We agree with the government.
A.
For nearly 40 years, we have weighed medical opinions based on the extent of the doctor‘s relationship with the claimant.2 We categorized these relationships in a three-
A treating physician‘s opinion is entitled to “substantial weight,” Ford v. Saul, 950 F.3d 1141, 1154 (9th Cir. 2020) (quoting Embrey v. Bowen, 849 F.2d 418, 422 (9th Cir. 1988)), and we generally give it “more weight ... than . . . the opinion of doctors who do not treat the claimant,” Lester, 81 F.3d at 830. This deference “is based not only on the fact that [a treating physician] is employed to cure but also on [the physician‘s] greater opportunity to observe and know the patient as an individual.” Murray v. Heckler, 722 F.2d 499, 502 (9th Cir. 1983) (quoting Bowman v. Heckler, 706 F.2d 564, 568 (5th Cir. 1983)); see also
In the middle tier are doctors who examine the claimant but do not have an ongoing relationship with her. “The opinion of an examining physician is ... entitled to greater weight than the opinion of a nonexamining physician.” Ford, 950 F.3d at 1155 (quoting Lester, 81 F.3d at 830); see
To reject either a treating or an examining physician‘s opinion, an ALJ must provide “clear and convincing reasons,” if the opinion is uncontradicted by other evidence, or “specific and legitimate reasons” otherwise, and the
The lowest-weighted tier comprises “physicians who only review the record.” Benton, 331 F.3d at 1036. “The opinion of a nonexamining physician cannot by itself constitute substantial evidence that justifies the rejection of the opinion of either an examining physician or a treating physician.” Lester, 81 F.3d at 831.
B.
The new regulations apply to Woods because she filed her claim on or after March 27, 2017. See Revisions to Rules Regarding the Evaluation of Medical Evidence, 82 Fed. Reg. 5844, 5844 (Jan. 18, 2017) (codified at 20 C.F.R. pts. 404 & 416). We must therefore decide whether, as Woods argues, “the ‘specific and legitimate’ standard still applies under the new rules.”
Our precedent controls unless its “reasoning or theory ... is clearly irreconcilable with the reasoning or theory of intervening higher authority,” which in this case is the agency‘s updated regulations. Lambert v. Saul, 980 F.3d 1266, 1274 (9th Cir. 2020) (quoting Miller v. Gammie, 335 F.3d 889, 893 (9th Cir. 2003) (en banc)). While we agree with the government that the “specific and legitimate” standard is clearly irreconcilable with the 2017 regulations, the extent of the claimant‘s relationship with the medical provider – what we will refer to as “relationship factors” – remains relevant under the new regulations.
1.
The Social Security Act provides no guidance as to how the agency should evaluate medical evidence. It merely directs the Commissioner of Social Security “to make findings of fact” and discuss “the evidence and the reason or reasons upon which [any unfavorable decision] is based.”
The Commissioner has wide latitude “to make rules and regulations and to establish procedures ... to carry out [the statutory] provisions,” in particular regulations governing “the nature and extent of the proofs and evidence ... to establish the right to benefits.”
The agency formalized the prior rule emphasizing relationship factors in 1991, see Standards for Consultative Examinations and Existing Medical Evidence, 56 Fed. Reg. 36,932 (Aug. 1, 1991), but the rule‘s genesis was a series of court decisions. See
One of those decisions was Murray, where we joined the Second, Fifth, and Sixth Circuits “in giving greater weight to the opinions of treating physicians.” Murray, 722 F.2d at 501 (citing Bowman, 706 F.2d at 568 & n.3; Allen v. Califano, 613 F.2d 139, 145 (6th Cir. 1980); McLaughlin v. Sec‘y of Health, Educ. & Welfare, 612 F.2d 701, 705 (2d Cir. 1980)). In accordance with that principle, Murray established the “specific and legitimate” standard: “If the ALJ wishes to disregard the opinion of the treating physician, he or she must make findings setting forth specific, legitimate reasons for doing so that are based on substantial evidence in the record.” Id. at 502.
2.
The agency revised the rules for evaluating medical evidence in 2017 to resolve several “adjudicative issues.” Revisions to Rules Regarding the Evaluation of Medical Evidence, 81 Fed. Reg. at 62,572. To begin with, ALJs often needed “to make a large number of findings” to avoid a remand for “failure to weigh properly one of the many medical opinions in a record.”
In addition, the agency disagreed with our practice of “combin[ing] the treating physician rule with [our] credit-as-true rule” whereby we sometimes remanded with an order to award benefits if the ALJ provided insufficient reasons for rejecting a treating source opinion.
Lastly, the agency expressed doubts about “the presumption that a claimant‘s sole treating physician generally has the longitudinal knowledge and a unique perspective about his or her patient‘s impairments that objective medical evidence alone cannot provide.”
Under the revised regulations, “there is not an inherent persuasiveness to evidence from [government consultants] over [a claimant‘s] own medical source(s), and vice versa.” Revisions to Rules Regarding the Evaluation of Medical Evidence, 82 Fed. Reg. at 5844. “The most important factors” that the agency considers when evaluating the persuasiveness of medical opinions are “supportability” and “consistency.”
The revised regulations recognize that a medical source‘s relationship with the claimant is still relevant when assessing the persuasiveness of the source‘s opinion. See
[W]e will explain how we considered the supportability and consistency factors for a medical source‘s medical opinions ... in your determination or decision. We may, but are not required to, explain how we considered the [relationship] factors ... when we articulate how we consider medical opinions ... in your case record.
A discussion of relationship factors may be appropriate when “two or more medical opinions ... about the same issue are ... equally well-supported ... and consistent with the record ... but are not exactly the same.”
3.
The revised social security regulations are clearly irreconcilable with our caselaw according special deference to the opinions of treating and examining physicians on account of their relationship with the claimant. See
Even under the new regulations, an ALJ cannot reject an examining or treating doctor‘s opinion as unsupported or inconsistent without providing an explanation supported by substantial evidence. The agency must “articulate ... how persuasive” it finds “all of the medical opinions” from each doctor or other source,
C.
Here, the ALJ acknowledged Dr. Causeya‘s opinion that Woods has marked and extreme limitations in various cognitive areas, including memory and concentration. The ALJ found this opinion unpersuasive because it was inconsistent with the overall treating notes and mental status exams in the record.4 Substantial evidence supports the ALJ‘s inconsistency finding.
The evidence on which Woods relies does not show that she has severe difficulties in attention, concentration, or memory. For example, on five occasions in 2018, Nurse Practitioner Anne Pollock assessed Woods to have good or fair attention and concentration and normal memory.
Most of the psychological evidence that Woods cites is treatment notes from Licensed Professional Counselor Heidi Bermeosolo. These treatment notes do not discuss Woods‘s attention, concentration, or memory at all. Rather, they concern, as the ALJ summarized, “situational stressors that cause [Woods] distress,” such as Woods‘s “fight[s] with [the] granddaughter” whom Woods was raising and Woods‘s “mother‘s health.” Although Bermeosolo checked a box on a letter to Woods‘s attorney indicating that she concurred with Dr. Causeya‘s psychological assessment, Bermeosolo‘s concurring opinion is wholly unexplained and
IV.
Woods also contends that the ALJ failed to consider all her physical and mental limitations that are supported by the record. In assessing Woods‘s residual functional capacity, the ALJ was required to “consider all of [her known] medically determinable impairments ..., including [those] that are not ‘severe.‘”
A.
The ALJ found that Woods can perform “light work” with frequent balancing, stooping, crouching, crawling, and reaching overhead, but only occasional climbing. In general, light work “requires a good deal of walking or standing” and “frequent lifting or carrying of objects weighing up to 10 pounds” but “no more than 20 pounds at a time.”
Woods asserts that the ALJ “[did] not consider the evidence that prolonged standing exacerbates the pain and swelling in [her] legs and feet.” To the contrary, the ALJ acknowledged her testimony that “if she works too much one day, she is down for ... 3 or 4 days” as well as her statement to a family nurse practitioner that she “had to space ... out” her three daily clients. The ALJ reasonably discounted Woods‘s “statements concerning the intensity, persistence and limiting effects” of her pain and swelling as “not entirely consistent with the medical evidence and other evidence in the record.”
Nor did the ALJ limit his consideration, as Woods suggests, to her own subjective statements about her
The ALJ also found McGinnis‘s opinion “inconsistent with the objective treating record, exam findings and imaging,” as well as Woods‘s “work activities combined with her parenting and other activities.” In particular, the ALJ cited the “fairly benign” results of an MRI examining Woods‘s cervical spine and the “very conservative[]” treatment of her symptoms – “mostly with medication alone until she received a left knee injection in December of 2018.” Substantial record evidence supports these findings.
B.
Woods faults the ALJ for including no mental limitations in her residual functional capacity because, she asserts, her psycho-diagnostic evaluation and two years of mental health treatment records document problems with mood, anxiety, memory, and concentration. The ALJ was required to “assess the nature and extent of [her] mental limitations and restrictions” and whether they “reduce [her] ability to do past work and other work.”
The ALJ considered Woods‘s mental health records and assessed her mental functioning in four broad areas known as the “paragraph B” criteria. See 20 C.F.R. pt. 404, subpt. P, app. 1 § 12.00.A.2.b. The ALJ found that Woods had “mild limitation[s]” in two of the criteria – “understanding, remembering, or applying information” and “concentrating,
Woods does not identify any particular evidence that the ALJ failed to consider or explain why the record does not support the ALJ‘s findings regarding her mental functioning. The ALJ considered and reasonably rejected the more severe limitations prescribed by Dr. Causeya. As for Woods‘s remaining treatment record, the ALJ characterized it as “not reflect[ing] any significant complaints of mental health symptoms.” This characterization is well supported by the record.
AFFIRMED.
