Acosta v. Barnhart , 114 F. App'x 7 ( 2004 )


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  •                 Not for Publication in West's Federal Reporter
    Citation Limited Pursuant to 1st Cir. Loc. R. 32.3
    United States Court of Appeals
    For the First Circuit
    No. 04-1490
    JERRY L. ACOSTA,
    Plaintiff, Appellant,
    v.
    JO ANNE BARNHART,
    COMMISSIONER OF SOCIAL SECURITY ADMINISTRATION,
    Defendant, Appellee.
    APPEAL FROM THE UNITED STATES DISTRICT COURT
    FOR THE DISTRICT OF PUERTO RICO
    [Hon. J. Antonio Castellanos, U.S. Magistrate Judge]
    Before
    Selya, Lynch and Lipez,
    Circuit Judges.
    Salvador Medina de la Cruz on brief for appellant.
    H.S. Garcia, United States Attorney, Lisa E. Bhatia, Assistant
    U.S. Attorney, and Robert J. Triba, Regional Chief Counsel, Social
    Security Administration, on brief for appellee.
    November 12, 2004
    Per     Curiam.       Claimant   Jerry    L.       Acosta    appeals      from   the
    district court's judgment affirming the denial of Social Security
    benefits.1    The Commissioner of Social Security found that claimant
    suffered from the following severe impairments (or combination of
    impairments): herniated disc, high blood pressure, and adjustment
    disorder.     In denying     benefits, the Commissioner first determined
    that although claimant could not return to his past work as a truck
    driver     and     ship    unloader    (medium,         semi-skilled),          claimant
    nonetheless had the residual functional capacity ("RFC") to perform
    light,    unskilled       work.     Then,     using      the     Medical     Vocational
    Guidelines (the "Grid"), 20 C.F.R. Part 404, Subpart P, App.2, as
    a framework, the Commissioner concluded that claimant was not
    disabled.
    On appeal, claimant argues that the administrative law judge
    (ALJ) 1) failed adequately to consider his allegations of pain in
    assessing his RFC, and 2) erred in relying on the Grid rather than
    obtaining the testimony of a vocational expert                   because claimant's
    nonexertional       limitations     (caused     by      pain     and   an    adjustment
    disorder)     significantly        eroded   the     occupational         base    at   the
    relevant exertional level.
    I.      Consideration of Pain in Assessing RFC
    The     ALJ   found    that    claimant      had    a     medical      condition   -
    1
    Upon consent of the parties, the case was referred to a
    magistrate judge for all proceedings and judgment. See 
    28 U.S.C. § 636
    (c).
    -2-
    herniated disc at L4-L5 and L5-S1 - that reasonably could be
    expected to cause some discomfort and pain, but not to the extent
    alleged.     In    reaching    that   conclusion,   the   ALJ   relied   upon
    examining physicians' records of claimant's medical condition,
    including claimant's descriptions of the location and intensity of
    his pain.    Claimant waived his right to appear at the hearing
    before the ALJ, which would have provided an opportunity for
    claimant to explain and demonstrate the functional impact of his
    pain.    Two RFCs were prepared, one by an examining physician and
    the other by a non-examining physician, both of which noted that
    they had taken claimant's allegations of pain into account.               The
    ALJ's approach was consistent with the policy described in Avery v.
    Sec'y of HHS, 
    797 F.2d 19
    , 23 (1st Cir. 1986).
    The    only    specific    exertional   limitation     that   claimant
    identifies as support for the argument that his pain precluded him
    from performing the full range of light work is            an inability to
    lift/carry more than 10 pounds, even occasionally.2                 Even if
    2
    Limitations of functions are classified as exertional or
    nonexertional. See 
    20 C.F.R. § 404
    .1569a. Impairments, including
    pain, can cause exertional and/or nonexertional limitations of
    functions. 
    Id.
     Exertional limitations are those that affect a
    claimant's "ability to meet strength demands of jobs (sitting,
    standing, walking, lifting, carrying, pushing, and pulling)." 
    Id.
    Nonexertional limitations are those that affect a claimant's
    "ability to meet the demands of jobs other than the strength
    demands." 
    Id.
     Examples of non-strength demands of jobs are the
    ability to concentrate, or to perform "the manipulative or
    postural functions of some work such as reaching, handling,
    stooping, climbing, crawling, or crouching." 
    Id.
    -3-
    claimant's pain so limited him, however, the Grid would still
    dictate a finding of not disabled.                The Commissioner found that
    claimant was not disabled based on section 202.18 of the Grid,
    involving the subsidiary finding that claimant could perform light
    work (involving occasional lifting/carrying of up to 20 pounds).
    If   the    capacity     to    perform       sedentary   work    (involving     the
    lifting/carrying of no more than 10 pounds) is substituted for the
    capacity to perform light work, section 201.19 of the Grid would
    apply    and    would   also   direct    a     finding   that   claimant   is   not
    disabled.       Either way, substantial evidence sustains the ALJ's
    determination of not disabled under the Grid. See Gordils v. Sec'y
    of HHS, 
    921 F.2d 327
     (1st Cir. 1990).
    II.       Impact of Nonexertional Limitations on Occupational Base
    Claimant's main argument on appeal is that the ALJ erred in
    relying exclusively on the Grid to determine whether there were a
    significant number of jobs in the national economy that he could
    perform.       "The Grid is based on a claimant's exertional capacity
    and can only be applied when claimant's nonexertional limitations
    do not significantly impair claimant's ability to perform at a
    given exertional level." Rose v. Shalala, 
    34 F.3d 13
    , 19 (1st Cir.
    1994).     "If a non-strength impairment, even though considered
    significant, has the effect only of reducing that occupational base
    marginally, the Grid remains highly relevant and can be relied on
    exclusively to yield a finding as to disability." Ortiz v. Sec'y of
    -4-
    HHS, 
    890 F.2d 520
    , 524 (1st Cir. 1989).
    A. Pain
    "Pain may be a nonexertional factor to be considered in
    combination with exertional limitations as well as a separate or
    independent ground for disability." Gagnon v. Sec'y of HHS, 
    666 F.2d 662
    ,   666    n.8   (1st    Cir.   1981).            Claimant   suggests    that
    limitations         in     his        postural      and         manipulative       functions
    (specifically, bending and reaching) caused by his pain symptoms
    significantly eroded the relevant occupational base.                           Substantial
    evidence supports the ALJ's determination that claimant's pain did
    not amount to a significant nonexertional impairment.3
    The two RFCs reached different conclusions regarding how the
    medical       findings         translated         into        functional     nonexertional
    limitations.            The RFC prepared by the non-examining physician
    ("non-examining           RFC")       reported          that    claimant     could     stoop
    "occasionally," and that there were no limitations in claimant's
    reaching ability.                The other RFC, prepared by an examining
    physician ("examining RFC"), reported that claimant could "never"
    stoop and that he could reach only "occasionally."
    "A     bending      restriction        .     .     .    constitutes     a   distinct
    nonexertional           limitation."       Ortiz,         
    890 F.2d at 525
    .     The
    3
    In reaching this conclusion, we have not considered the
    medical report of treating physician Dr. Pagán, which was
    submitted to the Appeals Council, but not the ALJ. We "may
    review the ALJ decision solely on the evidence presented to the
    ALJ." Mills v. Apfel, 
    244 F.3d 1
    , 5 (1st Cir. 2001).
    -5-
    Commissioner has stated that "[i]f a person can stoop occasionally
    .   .   .   in    order    to   lift   objects,    the   sedentary   and    light
    occupational base is virtually intact." Social Security Ruling 85-
    15, 
    1985 WL 56857
    , *7.          Reaching is an activity "required in almost
    all jobs. Significant limitations of reaching . . . may eliminate
    a large number of occupations a person could otherwise do." 
    Id.
    The non-examining RFC was based on a review of the medical
    evidence and took claimant's allegations of pain into account. Its
    conclusion        that    claimant     could   bend   "occasionally"   is     not
    inconsistent with the examining physicians' findings that he could
    bend forward only 30 or 45 degrees.               See Ortiz, 
    890 F.2d at 525
    (upholding an ALJ's finding that Ortiz's bending restriction did
    not significantly reduce his potential occupational base where
    bending range was limited to 30 to 40 degrees and RFC indicated
    that Ortiz was capable of "occasional" bending). The non-examining
    RFC's conclusion that claimant's reaching ability was not limited
    is supported by Dr. Babilonia's examination report, which indicated
    that claimant's joint movements in his shoulders were normal, that
    there was no significant inflammation or swelling of the joints,
    and that (other than in the dorsal spine area) his joints were
    normal.
    The examining RFC noted that its assessments were based on the
    "patient's own reports" that certain activities exacerbated his
    symptoms.        Therefore, the ALJ was justified in giving less weight
    -6-
    to that RFC. See 
    20 C.F.R. § 404.1527
    (d)(3) ("The more a medical
    source      presents    relevant     evidence       to   support   an     opinion,
    particularly medical signs and laboratory findings, the more weight
    will   we    give    that    opinion.").       Although    the   two    RFCs    were
    inconsistent in certain respects, the medical evidence was largely
    consistent.         Both consulting physicians found that claimant's
    ability to bend was limited (varying only from 30 degrees to 40
    degrees).     Conflicts in the evidence regarding the range of motion
    in claimant's left shoulder were for the Commissioner to resolve.
    See Rodriguez Pagan v. Sec'y of HHS, 
    819 F.2d 1
    , 3 (1st Cir. 1987).
    We conclude that there is substantial evidence to support
    findings (i) that claimant was capable of at least occasional
    bending,      and    (ii)     that   his    reaching      abilities     were     not
    significantly       limited     by   his    pain.        Therefore,     there    was
    substantial evidence to support the Commissioner's decision that
    these nonexertional limitations did not so significantly erode the
    occupational base as to require the testimony of a vocational
    expert.
    B. Adjustment Disorder
    The issue concerning claimant's mental impairment is governed
    by our decision in Ortiz, in which we approved the use of the Grid
    in circumstances similar to the present case.               There, we held that
    exclusive reliance upon the Grid is appropriate so long as the
    claimant's     mental       impairment     does   not    "interfere     more    than
    -7-
    marginally with the performance of the full range of unskilled
    work." Ortiz, 
    890 F.2d at 526
    .            This determination involves the
    following two lines of inquiry: "1) whether a claimant can perform
    close to the full range of unskilled work, and 2) whether he can
    conform to the demands of a work setting, regardless of the skill
    level involved." 
    Id.
            The Commissioner has described the mental
    demands of unskilled work as follows:
    the abilities (on a sustained basis) to understand, carry
    out, and remember simple instructions; to respond
    appropriately to supervision, coworkers, and usual work
    situations; and to deal with changes in a routine work
    setting.
    SSR 85-15, 
    1985 WL 56857
    , at *4.              Conforming to the demands of a
    work setting involve "getting to work regularly . . . and remaining
    in the workplace for a full day." 
    Id. at *6
    .
    There is substantial evidence to support the ALJ's findings
    that claimant was "alert, coherent, relevant, logical and oriented
    in   the   three    spheres,"     able    to    understand       and    carry    out
    instructions, had sustained attention and concentration, and could
    complete    a   normal     work   day     and    work     week    without       undue
    interruptions.      The only contrary evidence is the treating health
    center's   report     of   "diminished"       attention    and    concentration.
    However, the       examining   psychiatrist       concluded      that   claimant's
    concentration was "intact." "[R]esolution of such conflicts in the
    evidence is for the [Commissioner]." Rodriguez Pagan, 
    819 F.2d at 3
    .   Although the examining psychiatrist did not complete a mental
    -8-
    RFC form, that failure did not preclude the Commissioner "from
    rendering common-sense judgments about functional capacity based on
    medical findings." Gordils, 
    921 F.2d at 329
    .                   On these facts,
    substantial evidence supports the conclusion that claimant's mental
    impairment does not "interfere more than marginally with the
    performance of the full range of unskilled work." Ortiz, 
    890 F.2d at 526
    .
    Based    on    the     foregoing,     and   according   the     appropriate
    deference to the Commissioner's decision, we find no error in the
    ALJ's treatment of claimant's subjective complaints of pain.                  The
    ALJ   partially          credited    claimant's   allegations    of    pain   and
    discomfort related to his herniated disc, and determined that he
    could perform only light work.              There is substantial evidence in
    the   record        to     support    the    Commissioner's     decision      that
    nonexertional limitations imposed by claimant's pain and mental
    condition did not so significantly erode the occupational base that
    testimony of a vocational expert was required.                Consequently, the
    judgment of the district court is affirmed.
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