JOHN E. OTT, Chief Magistrate Judge.
Plaintiff Tammy Griffin ("Griffin" or "Plaintiff") brings this action pursuant to 28 U.S.C.§ 405(g), seeking review of the final decision of the Acting Commissioner of the Social Security Administration ("Commissioner")
Griffin filed an application for a period of disability and Disability Insurance Benefits ("DIB") with the Social Security Administration on July 13, 2012.
This court must determine (1) whether the Commissioner's decision is supported by the substantial evidence, and (2) whether the Commissioner applied the proper legal standards. Wilson v. Barnhart, 284 F.3d 1219, 1221 (11th Cir. 2002). Substantial evidence is what "a reasonable person would accept as adequate to support a conclusion." Phillips v. Barnhart, 357 F.3d 1232, 1240 n.8 (11th Cir. 2004). It is "more than a scintilla, but less than a preponderance." Bloodsworth v. Heckler, 703 F.2d 1233, 1239 (11th Cir. 1983). Accordingly, the court reviews the ALJ's factual findings with deference. See Cornelius v. Sullivan, 936 F.2d 1143, 1145 (11th Cir. 1991). By contrast, the court reviews questions of law de novo, applying close scrutiny to the ALJ's legal conclusions. Id. In determining whether the Commissioner's decision is supported by new evidence, the court must consider new evidence submitted to the Social Security Appeals Council. Ingram v. Commissioner of Social Sec. Admin., 496 F.3d 1253, 1262 (11th Cir. 2007).
To qualify for DIB a claimant must establish disability on or before the date she was last insured for disability insurance benefits. See 42 U.S.C. §§ 423(a)(1)(E) & (c); 416(i)(3). The term "disability" is defined as "inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to last for a continuous period of not less than 12 months." 42 U.S.C. § 423(d)(1)(A); 42 U.S.C. § 416(i).
To determine the claimant's disability status, the Commissioner employs a five-step evaluation of the evidence in the record. Ellison v. Barnhart, 355 F.3d 1272, 1276 (11th Cir. 2003). The Commissioner must determine whether the claimant (1) is engaged in substantial gainful activity; (2) has a severe medically determinable physical or mental impairment that (3) meets CFR list criteria and duration requirements; (4) has the residual functional capacity to perform the requirements of her past relevant work, or (5) is capable of doing any other work. See 20 C.F.R. § 404.1512(a) & 404.1520(a). At step four, the claimant must demonstrate that she cannot perform her past relevant work. Moore v. Barnhart, 405 F.3d 1208, 1211 (11th Cir. 2005). If the claimant can still do her past relevant work, she will be deemed not disabled. 20 C.F.R. § 404.1520(a)(4)(iv).
Griffin was 45 years old at the time of the ALJ's decision. (R. 31). Griffin has a high school level education. (Id.) At the administrative hearing, Griffin testified that she last worked in July 2012 when she tried to return to work cleaning houses. (Id.) Before July 2012, Griffin last worked in March 2012 as an associate inspecting auto parts. (Id.) Griffin's past relevant work experience includes delivering auto parts, road construction, finishing columns and porch railings, waiting tables and cooking, gas station attendant, and substitute teaching. (Id.) Applying the five-part test, the ALJ found as follows: First, Griffin did not engage in substantial gainful activity since March 9, 2012, the alleged onset date of her disability. (R. 30). Second, Griffin had the following "severe" medically determinable physical impairments: degenerative disk disease, degenerative joint disease, thoracic outlet syndrome, history of cervical fusion, fibromyalgia, and migraines. (R. 29). Third, none of Griffin's impairments met the Code of Federal Regulations list requirements. Fourth, Griffin had the residual functional capacity ("RFC") to perform light, unskilled work, except work that includes climbing ropes, ladders, or scaffolds; unprotected heights; hazardous machinery; more than occasional stooping, crouching, crawling, or kneeling; and more than occasional ambulation over uneven surfaces. (R. 30). Accordingly, the ALJ concluded that Griffin was not disabled at any time from March 9, 2012, through November 22, 2013, the date of his decision. (R. 37).
Griffin alleges that the Appeals Council erred by failing to considerer the additional evidence that was presented to it without considering whether the records were chronologically relevant. (Doc. 6 at 3, 14-16). Griffin further alleges that the ALJ's decision is not based on substantial evidence when the additional evidence is considered. (Id. at 16-18). Griffin also has moved for an order of remand, arguing that the recent passage of SSR 16-3p, which became effective March 28, 2016, renders the ALJ's consideration of credibility in his subjective symptom analysis improper. (Doc. 11). Griffin asks this court to remand the case to allow the ALJ to review her claim, consider the additional evidence, and apply the new standard set forth in SSR 16-3p. (Id.)
The applicable standard is clear:
Yates v. Colvin, 2016 WL 4447464, *6 (N.D. Ala. Aug. 24, 2016) (J. Proctor).
In Yates, the claimant offered additional medical records from her doctor during her appeal to the Appeals Council. The records evidenced a worsening headache, concern over the increased size of an existing cyst, and uncontrolled depression after the date of the ALJ's decision. Id. at *7. Rejecting her claim, Judge Proctor found that there was no indication that the doctor relied on medical records from the relevant period. Id. Judge Proctor further found that even if the additional evidence was chronologically relevant, it was not material "as there was not a reasonable possibility that it would change the administrative outcome." Id.
The new evidence that was presented to the Appeals Council in this case consists of (1) a "Physical Capabilities Form" dated February 13, 2014, from Dr. Byron Nelson (R. 9) and a March 19, 2012 examination form from Dr. Myron Wilson (R. 370-72); (2) a March 17, 2014 MRI report from Ft. Payne Imaging (R. 8); and (3) Gadsden Regional Medical Center records from August 15, 2000 through August 3, 2010. (Doc. 6 at 2; R. 223-25, 342-69). The Appeals Council reviewed the foregoing documents and determined that the records from Dr. Wilson and Gadsden Regional did not provide a sufficient basis for altering the ALJ's determination and that the Ft. Payne Imaging report and Dr. Nelson's report were "about a later time" and did "not affect the decision" concerning Griffin's disability on November 22, 2013. (R. 2). Griffin argues that the Appeals Council erred because it did not consider whether the imaging report and the "Physical Capacities Form" were chronologically relevant. (Doc. 6 at 2). She further argues that these records substantiate her claims of debilitating pain and severe limitations. (Id. at 16). The Commissioner responds that the records did not concern the relevant period before the disability date and even if they are chronologically relevant, they do not demonstrate that the ALJ's decision was erroneous. (Doc. 7 at 4-12).
Griffin was injured on March 9, 2012, when "she felt a pop in her back moving a bin of parts while at work." (R. 33). Medical records from her immediate visit to the Dekalb Regional Medical Center, including x-ray imaging of her lumbar spine, revealed "[t]he clinical impression [of] acute muscular spasm and acute lumbar strain." (R. 32). A subsequent MRI on March 23, 2012, showed normal lordotic alignment, unremarkable paravertebral soft tissues, and normal marrow signal in her lower spine. (R. 296). Her L1-5 discs remained preserved, and she had mild facet hypertrophy at L4-L5. (Id.) She had modest desiccation at L5-S1, and a small disc bulge and endplate bar. (Id.) The overall impression was modest L5 degenerative disc disease with left eccentric forminal narrowing, no focal disc protrusion or herniation, and facet hypertrophy of the lumbar spine. (R. at 32, 296).
Griffin underwent physical therapy in April 2012. During therapy she described her pain level as 7 at rest and 10 with activity. (R. 32). She also complained that pain limited her lumbar motion. (Id.)
During her May 2, 2012 examination at St. Vincent's Orthopedics, she reported lower back pain. Her physical examination revealed no apparent distress and minimal pain on extension. (R. 33, 243). "The impression was low back pain with possible mild chemical radiculitis in the left lower extremity." (Id. at 33, 244). She again reported back pain during her May 9, 2012 examination. She stated that she had been back at work, but she was not able to tolerate the pain from standing on concrete. (R. 242). Dr. J. Todd Smith wanted her to continue at work, but with a restriction of no "long standing or walking." (Id.) Her June 5, 2012 visit revealed she had "severe degenerative changes at L5-S1." (Id. at 241). She was diagnosed with "chemical radiculitis left lower extremity, and [a] small disc herniation at the L5-S1 level with degenerative disc disease." (Id.) However, Dr. Smith continued her at work with the same restrictions. A mere three weeks later, "she was described as having severe collapse at L5-S1." (Id. at 33, 240). The visit records also note she had "significant L5-S1 degenerative disc disease, low back pain, and left lower extremity radicular symptoms." (Id.). Griffin was also noted as being at her "maximum medical improvement" on July 11, 2012. (Id. at 33, 239).
Griffin was seen by Dr. Martin Jones at Neurological Surgery Associates on July 23, 2012. After reviewing Griffin's x-rays and MRI scan, Dr. Jones stated that he believed Griffin's injury "represents an aggravation of her underlying condition." (R. 294). He concluded that Griffin could return to work without restrictions related to her work injury. (Id.) He also noted that "[s]he may [need] restrictions to underlying condition in which case a functional capacity evaluation under private insurance would be appropriate." (Id.)
Griffin's November 27, 2012 Northeast Orthopedic Physical Medicine visit notes reveal continued complaints of lower back and leg pain. (R. 34, 335). They also reflect that she moved cautiously and ambulated with decreased stance on the left lower limb. (Id. at 34, 334). Griffin indicated during the visit that she was not interested in "revisiting the surgeon." (Id. at 335). Dr. Michael Morris arranged for conservative follow-up treatment, including physical therapy. (Id.)
The additional records from 2014 consist of a "Physical Capabilities Form" dated February 13, 2014, from Dr. Byron Nelson (R. 9) and a March 17, 2014 MRI report from Ft. Payne Imaging (R. 8). In her reply brief, Griffin abandons her claim concerning the 2014 physical capacity evaluation form from Dr. Nelson "because the report was completed by a nurse practitioner and because Dr. Nelson had only treated" her once on August 20, 2013. (Doc. 8 at 1). Thus, the remaining claim concerns the Ft. Payne Imaging report.
Griffin argues this imaging report "provides an objective basis for [her] pain and substantiates [her] testimony of pain which the ALJ found was not credible." (Doc. 8 at 2). In support of her contention, she cites Washington, wherein the Eleventh Circuit Court of Appeals held that "when the Appeals Council erroneously refuses to consider evidence, it commits legal error and remand is appropriate." (Id. at 16). Specifically, the Washington court found that the Appeals Council erred when it did not review an examining physician's opinion dated after the ALJ's decision, where the physician noted that his opinion was premised on the combined effect of Washington's hallucinations and his cognitive abilities, which existed prior to the ALJ's decision. 806 F.3d at 1322-23. Because Washington reported to the doctor that he experienced hallucinations throughout his life and the doctor's records from the relevant period before the ALJ's decision reflected auditory and visual hallucinations, the court found that the doctor offered an opinion that was new, non-cumulative, and chronologically relevant, and the Appeals Council erred when it refused to consider it. Id.
New evidence is chronologically relevant if it relates "to the period on or before the date of the [ALJ's] decision."
Here, the March 2014 MRI report provides, in pertinent part, that Griffin has a small sub-ligamentous disc protrusion at L2-3 and a mild bony foraminal stenosis
Unlike the situation in Washington, there is no indication (1) that the record relates to the period on or before November 22, 2013, the date of the ALJ's decision; (2) that Dr. Ross Barnett, who performed the March 2014 MRI, reviewed or relied on records from the relevant period to determine what Griffin's condition was prior to March 2014; or (3) that Dr. Barnett's opinion relates back to the relevant period. At most the new MRI evidence reflects a worsening of Griffin's condition, or an onset of a new condition, since the relevant time period. The MRI fails to establish that Griffin's condition in March 2014 is consistent with her condition during the relevant period. The Appeals Council did not err in determining that the evidence was about a later time. The court finds that Griffin is not entitled to relief based on her claim that this evidence is chronologically relevant.
Griffin's March 2014 MRI report also is similar to the medical records that the ALJ considered in rendering his decision, which document her seeking help for lower back pain, undergoing lumbar MRIs, and receiving follow-up treatments. (Compare R. 8 with R. 239-44, 261-70, 290-96). Griffin claims that the degenerative changes reflected in the March 2014 report are material because they should impact the ALJ's decision. This court disagrees. The medical records the ALJ considered reflect that the plaintiff sustained "severe degenerative changes" throughout the relevant period. In his decision, the ALJ found that Griffin's impairments did not meet Listing 1.04 because there was "no evidence of compression of a nerve root, spinal arachnoiditis, or lumbar spinal stenosis resulting in pseudoclaudication." (R. 30). He did, however, fully consider the record evidence. The additional MRI report demonstrates Griffin's condition was unremarkable except for an L5-S1 disc bulge and endplate bar that produces "moderate left and mild right foraminal stenosis." (R. 8). There is no "focal neural compression," no arachnoiditis,
Griffin next argues that the ALJ's decision is not supported by substantial evidence when the additional evidence she submitted to the Appeals Council is considered. (Doc. 6 at 3). The court disagrees. Substantial evidence supports the Commissioner's decision when the ALJ's findings are based on "such relevant evidence as a reasonable person would accept as adequate to support a conclusion." Herron v. SSA, Comm'r, 649 F. App'x 781, 783 n.1 (11th Cir. May 6, 2016) (quoting Moore v. Barnhart, 405 F.3d 1208, 1211 (11th Cir. 2005)).
The Eleventh Circuit applies a "pain standard" when a plaintiff attempts to prove disability through subjective testimony of pain and other symptoms. The plaintiff must show: "(1) evidence of an underlying medical condition and either (2) objective medical evidence that confirms the severity of the alleged pain arising from that condition or (3) that objectively determined medical condition is of such a severity that it can be reasonably expected to give rise to the alleged pain." Dyer v. Barnhart, 395 F.3d 1206, 1210 (11th Cir. 2005) (quoting Holt v. Sullivan, 921 F.2d 1221, 1223 (11th Cir. 1991)). When a plaintiff's disability claim relies on subjective evidence and her credibility is critical to making a determination, the ALJ must state explicit reasons for discrediting the plaintiff's testimony. Foote v. Chater, 67 F.3d 1553, 1562 (11th Cir. 1995). A reviewing court will not disturb a "clearly articulated credibility finding with substantial supporting evidence in the record."
Without reweighing the evidence, this court recognizes that the ALJ provided a thorough and detailed explanation of his reasons for discounting inconsistencies in Griffin's testimony compared with the other evidence in the record, including the objective medical evidence. The ALJ discussed and thoroughly cited to objective medical evidence throughout the record and gave all evidence proper weight, including Griffin's symptoms testimony and the opinions and records from examining physicians. Specifically, the ALJ relied on the doctors' impressions and treatment notes. (See R. 32-35). For example, the ALJ reviewed the medical records that factored into his findings, accounting for "severe degenerative changes at L5-S2"; however, the ALJ discussed why Griffin's reported activities did not support the level of limitations she alleged. The opinions of examining physicians in the record found Griffin could go back to work without restrictions. The ALJ noted that the physicians' opinions were consistent with objective medical findings. (See R. 35). The ALJ discussed such objective medical findings in detail, including the x-ray imaging reports and MRI results. The ALJ clearly articulated why Griffin's description of her pain did not comport with the objective medical evidence or her own testimony about her activities and abilities. (See e.g. R. 35). Furthermore, the ALJ discussed how he accounted for each of the symptoms by limiting Griffin to light unskilled work as recommended by the vocational expert. (R. 30-36).
Even considering the additional evidence, substantial evidence still supports the ALJ's finding that Griffin could perform a reduced range of light work. (R. 30-36). By way of example, as of March 2012, the record before the ALJ showed Griffin had no cervical spine tenderness to palpation with no significant musculature spasm or paracervical tenderness and a full range of motion in her neck without pain. (R. 275-76). Griffin was diagnosed with acute muscular spasm and acute lumbar strain. (Id. at 276). Griffin's March 23, 2012 MRI showed normal lordotic alignment, unremarkable paravertebral soft tissues, and normal marrow signal. (R. 296). Her L1-5 discs remained preserved, and she had mild facet hypertrophy at L4-L5. (Id.) She had modest desiccation at L5-S1, and a small disc bulge and endplate bar. (Id.) The overall impression was modest L5 degenerative disc disease with left eccentric foraminal narrowing, no focal disc protrusion or herniation, and facet hypertrophy of the lumbar spine. (R. at 32, 296). In June 2012, Griffin retained strength of 5/5 in her quadriceps, hamstrings, and anterior tibs in her legs. (R. 241). In July 2012, x-rays of her lumbar spine showed no abnormalities. (R. 294). Furthermore, on July 23, 2012, Dr. Jones cleared Griffin to return to work without restrictions. (Id.) He also noted a zero impairment rating as to her body as a whole. (Id.) As late as November 2012, Dr. Morris examined her, evaluated her back pain, and planned for conservative treatment, including physical therapy such as piriformis stretching, local modalities, and a home exercise program. (R. 335). Dr. Norris also prescribed a Medrol Dosepak taper for Griffin.
The additional evidence does not show that the ALJ's decision was incorrect at the time he made the same, months earlier, especially in light of the foregoing medical records that were properly considered by the ALJ. See Wilson v. Apfel, 179 F.3d 1276, 1279 (11th Cir. 1999) (noting that while an opinion one year later may be relevant to whether a deterioration in the claimant's condition subsequently entitled her to benefits, it is simply not probative of any issue in this case); Smith v. Soc. Sec. Admin., 272 F. App'x 789, 802 (11th Cir. 2008) (finding that claims of worse pain properly were not considered when these reports came after the ALJ's decision).
Griffin also moves to have this matter remanded under sentence four of 42 U.S.C. § 405(g) because SSR 16-3p, which supersedes SSR 96-7p, became effective March 28, 2016. (Doc. 11). The Commissioner opposes the remand, arguing that nothing in the ruling indicates that it was intended to apply retroactively. She also asserts that, even if it is to be applied retroactively, the facts and circumstances in this case do not warrant relief. (Id.)
SSR 16-3p expressly states that the Agency eliminates "credibility" from the evaluation of a claimant's subjective symptoms:
SSR 16-3p, 2016 WL 1119029 at *1.
Griffin's motion to remand relies heavily on Mendenhall v. Colvin, No. 3:14-cv-3389, 2016 WL 4250214, at *6-8 (C.D. Ill. Aug. 10, 2016). The district court found in Mendenhall that the passage of SSR 16-3p warrants retroactive application because the new rules clarifies existing law. That court stated:
United States District Court Judge Virginia E. Hopkins has recently addressed this issue. She stated as follows:
Lewis v. Colvin, No. CV 15-00447-KD-B, 2017 WL 583392, at *6-7 (S.D. Ala. Jan. 26, 2017), report and recommendation adopted, No. CV 15-00447-KD-B, 2017 WL 581314 (S.D. Ala. Feb. 13, 2017) (quoting Martsolf v. Colvin, 2017 U.S. Dist. LEXIS 2748, *14-15, 2017 WL 77424, *5 (W.D. Mo. Jan. 9, 2017)).
In McVey v. Commissioner of Soc. Sec., 2016 U.S. Dist. LEXIS 93884 *14, 2016 WL 3901385, *5 (M.D. Fla. July 19, 2016), the court applied the new ruling and held that the ALJ erred in basing her credibility determination on the fact that the claimant had made inconsistent statements concerning his sobriety, a matter which was
Id. (quoting Evaluation of Symptoms in Disability Claims, SSR 16-3p, 81 Fed. Reg. 14166-01, 2016 WL 1119029 (Mar. 16, 2016)).
Ring v. Berryhill, 4:16-cv-0042-VEH, 2017 WL 992174, *12-13 (Mar. 15, 2017) (emphasis and underlying in original).
This court need not further address the issue of retroactivity because, even if SSR 16-3p does apply, the ALJ did not violate it in this case. See Hargress v. Berryhill, 4:16-cv-1079-CLS, 2017 WL 588608 (N.D. Ala. Feb. 14, 2017).
The ALJ in the present case properly applied the foregoing legal principles. He found that Griffin's medically determinable impairments could reasonably have been expected to produce some of the symptoms she alleged, but that her statements concerning the intensity, persistence, and limiting effects of her symptoms were not entirely credible.
The ALJ also adequately articulated reasons to support his findings. Specifically, he documented the inconsistency of Griffin's statements with the generally unremarkable findings in the objective medical evidence and her reported daily activities. (R. 32-35). By way of example, the ALJ noted that Griffin complained of debilitating pain, yet "the objective medical evidence does not support the level of limitation alleged." (R. 34). He then states:
(R. 34). Griffin has not cited to any discussion in the ALJ's decision that supports her conclusory contention that the ALJ did not comply with the clarifications in SSR 16-3p. The motion to remand (doc. 11) will be denied.
The Appeals Council was correct in determining that the records from Fort Payne Imaging concerned a later time and were not relevant to the time period before the ALJ's decision. The additional evidence did not meet the standard of being new, material and chronologically relevant. Even if the additional evidence were considered, it fails to show that the ALJ's decision was incorrect and unsupported by substantial evidence. This court finds that the Commissioner's decision is due to be affirmed and Griffin's request for a remand is due to be denied. An appropriate order will be entered.
Hearings, Appeals and Litigation Law Manuel ("HALLEX") § I-3-3-6(B), 1993 WL 643129.