KIRTAN KHALSA, Magistrate Judge.
Claimant Terry O. Sullivan ("Mr. Sullivan") alleges that he became disabled on August 1, 2010, at the age of fifty-four because of spinal arthritis.
On August 14, 2012, Mr. Sullivan protectively filed
On March 10, 2014, the ALJ issued an unfavorable decision. (Tr. 13-25.) In arriving at her decision, the ALJ determined that Mr. Sullivan met the insured status requirements of the Act through December 31, 2012,
Because she found that Mr. Sullivan's impairments did not meet a Listing, the ALJ then went on to assess Mr. Sullivan's residual functional capacity ("RFC"). The ALJ stated that
(Tr. 20.) Based on the RFC and the testimony of the VE, the ALJ concluded that Mr. Sullivan was capable of performing his past relevant work as a programmer analyst and information scientist and was therefore not disabled. (Tr. 24-25.)
On September 22, 2015, the Appeals Council issued its decision denying Mr. Sullivan's request for review and upholding the ALJ's final decision. (Tr. 1-5.) On November 25, 2015, Mr. Sullivan timely filed a Complaint seeking judicial review of the Commissioner's final decision. (Doc. 1.)
Judicial review of the Commissioner's denial of disability benefits is limited to whether the final decision
"Substantial evidence is such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Langley, 373 F.3d at 1118. Substantial evidence is "more than a scintilla, but less than a preponderance." Lax v. Astrue, 489 F.3d 1080, 1084 (10
"The failure to apply the correct legal standard or to provide this court with a sufficient basis to determine that appropriate legal principles have been followed is grounds for reversal." Jensen v. Barnhart, 436 F.3d 1163, 1165 (10
Disability under the Social Security Act is defined as the "inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment." 42 U.S.C. § 423(d)(1)(A). A claimant is disabled under the Act if his "physical or mental impairment or impairments are of such severity that he is not only unable to do his previous work but cannot, considering his age, education, and work experience, engage in any other kind of substantial gainful work in the national economy." 42 U.S.C. § 423(d)(2)(A). To qualify for disability insurance benefits, a claimant must establish a severe physical or mental impairment expected to result in death or to last for a continuous period of twelve months, which prevents the claimant from engaging in substantial gainful activity. 42 U.S.C. §423(d)(1)(A); Thompson v. Sullivan, 987 F.2d 1482, 1486 (10
When considering a disability application, the Commissioner uses a five-step sequential evaluation process. 20 C.F.R. §§ 404.1520, 416.920; Bowen v. Yuckert, 482 U.S. 137, 140 (1987). At the first four steps of the evaluation process, the claimant must show that: (1) he is not engaged in "substantial gainful activity"; and (2) he has a "severe medically determinable . . . impairment . . . or a combination of impairments" that has lasted or is expected to last for at least one year; and (3) his impairment(s) meet or equal one of the Listings
Although the claimant bears the burden of proving disability in a Social Security case, because such proceedings are nonadversarial, "[t]he ALJ has a basic obligation in every social security case to ensure that an adequate record is developed during the disability hearing consistent with the issues raised." Henrie v. U.S. Dep't of Health & Human Servs., 13 F.3d 359, 360-61 (10
On October 3, 2008, Mr. Sullivan presented to PAC Paul Halkett for evaluation of lower back pain. (Tr. 410.) Mr. Sullivan described the pain as an ache and reported that he experienced decreased mobility. (Id.) Mr. Sullivan said that lying down and/or applying heat provided relief. (Id.) PAC Halkett prescribed Percocet for pain and instructed him to return in one week. (Tr. 411.)
On October 10, 2008, Mr. Sullivan followed up with PAC Halkett. (Tr. 407-08.) PAC Halkett noted that Mr. Sullivan continued to have low back pain, was taking 2.5 Percocet tablets daily, and using a heating pad. (Tr. 407.) Mr. Sullivan reported that he was not ready to go back to work as a programmer due to discomfort with walking, although he could sit with less discomfort. (Id.) On physical exam, PAC Halkett noted that Mr. Sullivan's forward flexion was very limited, he had bilateral lateral flexion to his knees, and his extension was within normal limits. (Tr. 407.) PAC Halkett reviewed x-rays of Mr. Sullivan's lower spine,
On June 30, 2009, Mr. Sullivan presented to Evergreen Orthopedic Clinic and was evaluated by J. Scott Price, M.D. (Tr. 342-43.) Mr. Sullivan reported a history of worsening lumbosacral pain with all activities over the previous year, that it varied between a 5 and 8 out of a 10 in severity, and that lying down relieved the pain somewhat. (Tr. 342.) Dr. Price reviewed October 2008 lumbar spine AP (anteroposterior) and lateral films which showed "mild L2-3 and L5-S1 disk degeneration." (Tr. 343.) Dr. Price assessed that "[w]hile this could be representative of chronic nonspecific back pain perhaps related to a two-level mild disk degeneration, it could also be related to a more serious etiology such as an oncologic problem or a diskitis." Dr. Price planned to obtain an MRI. (Id.)
On July 3, 2009, Mr. Sullivan had an MRI of his lumbar spine. (Tr. 346-47.) The MRI demonstrated "[m]ultilevel discogenic degenerative disease and facet arthropathy." (Tr. 347.)
On July 14, 2009, Mr. Sullivan followed up with Dr. Price regarding the MRI results. (Tr. 340.) Dr. Price noted that Mr. Sullivan's MRI "[did] not show any features concerning for malignancy or infection so our main reason for obtaining the scan [was] fortunately negative.
On July 20, 2009, Mr. Sullivan presented to Northwest Spine & Sports Physicians, P.C., and was evaluated by Carolyn A. Marquardt, M.D. (Tr. 362-70.) Dr. Marquardt reviewed Mr. Sullivan's radiologic studies and performed a physical exam. (Id.) Dr. Marquardt's impression was that Mr. Sullivan had, inter alia, L5-S1 facet pain with underlying facet arthropathy, L5-S1 disc protrusion, additional lumbar protrusions, facet arthropathy at L4-5 and L3-4, and thoracic numbness in a T6 distribution. (Tr. 363.) She planned to obtain a thoracic MRI to rule out a cord compression and referred Mr. Sullivan to Dr. Packia Raj to administer bilateral L5-S1 facet injections. (Id.)
On July 21, 2009, Mr. Sullivan had an MRI of the thoracic spine. (Tr. 371-72.) The overall impression was "[m]ild multilevel intervertebral degenerative disc changes of the thoracic spine with multilevel disc desiccation," "[n]o central canal narrowing or significant neural foraminal are evident," and "[n]o bone abnormalities identified. No spinal cord abnormalities are evident." (Tr. 372.)
On July 28, 2009, Mr. Sullivan presented to Dr. Raj for bilateral L5-S1 facet injections. (Tr. 354-55.) Thereafter, on August 12, 2009, Mr. Sullivan followed up with Dr. Marquardt regarding the facet injections. (Tr. 352-53.) Mr. Sullivan complained of continued thoracic pain and paresthesias;
On May 21, 2013, Mr. Sullivan presented with an ear ache and to discuss pain with Jo Walker, M.D., of Totem Lake Family Medicine. (Tr. 394.) Mr. Sullivan reported, inter alia, that he had increased pain in his lumbar area and that he needed to lie down after walking for 10 minutes or loading the dishwasher. (Id.) He stated he was not interested in narcotics, had steroid injections in 2009 which helped temporarily, and that he used Naprosyn and Tylenol at night. (Id.) On physical exam Dr. Walker noted, inter alia, that Mr. Sullivan was in no apparent distress and that his neurologic exam was normal. (Id.) Dr. Walker listed Mr. Sullivan's current pain medications as Ibuprofen and Naproxen. (Id.)
On June 4, 2013, Mr. Sullivan returned to Dr. Raj. (Tr. 349-51.) Mr. Sullivan reported that over the previous year his back pain had worsened such that he was unable to sit for any time or walk for any distance, and that he had become very inactive. (Tr. 349.) He rated his pain an 8 out of 10 in severity. (Id.) He told Dr. Raj that lying down, applying heat, and taking anti-inflammatories helped his pain somewhat. (Id.) Dr. Raj reviewed Mr. Sullivan's radiologic studies from 2009 and 2012 and determined that there was "some significant spondylosis and osteopenia, as well as a significant compression fracture seen at L1 that was not present in 2009." (Tr. 350.) Dr. Raj's impression was mechanical back pain, compression fracture of uncertain etiology, lumbar spondylosis, and lumbar disc degeneration. (Id.) Dr. Raj planned to obtain a bone scan and DEXAscan to assess for significant inflammation and osteoporosis/osteopenia. (Id.) Dr. Raj recommended pool therapy and a vocational/ergonomic workstation assessment. (Id.) Dr. Raj opined that he believed Mr. Sullivan's pain was real and that his symptoms were preventing him from being capable of gainful employment until things were addressed and improved. (Tr. 351.) Dr. Raj also opined that "I think if we could get these issues worked on and get his flexibility and strength improved, then he likely would be able to return to gainful employment." (Id.)
On November 13, 2013, Dr. Walker prepared a Physician Opinion Re: Effect of Pain on Individual's Ability to do Work-Related Activities. (Tr. 420.) Dr. Walker opined (1) that she believed Mr. Sullivan's complaints of pain; (2) that objective evidence, including imaging studies that revealed a vertebral compression fracture, degenerative joint disease and spondylosis demonstrated the cause of Mr. Sullivan's pain; and (3) that Mr. Sullivan's pain would substantially interfere with the attention and concentration needed to perform even simple work tasks for "34% to 66% of an 8-hour working day." (Id.) Dr. Walker indicated she relied on Mr. Sullivan's medical records prior to December 31, 2012, as the basis of her opinion. (Id.)
On January 21, 2014, Dr. Marquardt referred Mr. Sullivan for a bone mineral density test and stated that the indications were "[d]isorder of bone, unsp. ([o]steopenia), [c]losed fracture of lumbar spine with spinal cord injury." (Tr. 423.) The results demonstrated normal bone mineral density in Mr. Sullivan's spine, and low bone mineral density (osteopenia) in his left hip, femoral neck, and left arm.
On September 12, 2012, State agency examining medical consultant Gary Gaffield, D.O., evaluated Mr. Sullivan as part of the Administration's initial review of Mr. Sullivan's disability claim. (Tr. 302-07.) Dr. Gaffield reviewed the Adult Disability Form (SSA 3368), took a medical and social history, and physically examined Mr. Sullivan. (Id.) Dr. Gaffield found that Mr. Sullivan had "[r]estricted lumbar motion without spasm or crepitus. There were no trigger points. Straight leg was negative both sitting and supine. Neurologically intact." (Tr. 306.) He diagnosed Mr. Sullivan with low back pain and determined that he had the functional capacity for light work,
On September 12, 2012, Mr. Sullivan underwent radiologic studies of his lumbar, thoracic and cervical spine due to reported neck and back pain as part of the Administration's initial review of his disability claim. (Tr. 310, 395-98.) The lumbar spine studies demonstrated that Mr. Sullivan had an "L1 compression fracture with approximately 25% anterior vertebral body height loss" and "mild degenerative of the lumbar spine." (Tr. 395.) The compression fracture was described as "probably old" given the associated degenerative changes at that level. (Id.) The thoracic spine studies demonstrated "[m]ild degenerative changes" and "[s]uggested disc space calcifications" with "CPPD
On January 24, 2013, Mr. Sullivan underwent radiologic studies of, inter alia, his lumbosacral spine and thoracic spine as part of the Administration's reconsideration of his disability claim. (Tr. 311, 312-16.) The radiologic studies of his lumbosacral spine demonstrated "[m]oderate old L1 compression fracture, not seen on prior exam" and "[s]table mild degenerative disk disease at L1-L2 and L5-S1 with face arthropathy at L5-S1." (Tr. 312.) The radiologic studies of his thoracic spine demonstrated "[m]ild spondylosis." (Tr. 316.)
On January 29, 2013, State agency nonexamining medical consultant Charles Wolfe, M.D., reviewed Mr. Sullivan's medical records at reconsideration. (Tr. 128-30.) Dr. Wolfe assessed that Mr. Sullivan was capable of medium work
On October 1, 2013, orthopedist medical expert Peter M. Schosheim, M.D., appeared at the continued administrative hearing and provided expert testimony. (Tr. 32-39.) Dr. Schosheim testified that he reviewed Mr. Sullivan's medical records, including the most recent radiologic studies from September 12, 2012. (Tr. 34.) Mr. Schosheim summarized his review and testified in relevant part as follows:
(Tr. 35-36.) Dr. Schosheim assessed that Mr. Sullivan could engage in sedentary work
Mr. Sullivan asserts five arguments in support of an immediate award of benefits, or in the alternative reversing and remanding his case, as follows: (1) the ALJ erred in her duty to develop the record; (2) the ALJ failed to conduct a full and fair hearing; (3) the ALJ erred by not including certain nonexertional limitations in her RFC determination; (4) the ALJ provided an inaccurate and incomplete hypothetical question to the VE; and (5) the ALJ's credibility findings are not closely and affirmatively linked to substantial evidence. The Court will address each argument in turn.
Mr. Sullivan argues the ALJ failed in her duty to develop the record as to three issues. First, Mr. Sullivan contends that the ALJ's duty to develop the record was triggered when she recognized that an intake form documenting Dr. Raj's physical exam of Mr. Sullivan was missing from Dr. Raj's treatment notes.
The ALJ did not fail in her duty to develop the record by not recontacting Dr. Raj. Here, Dr. Raj diagnosed Mr. Sullivan with severe mechanical back pain, tight hamstrings, and significant facet arthropathy. (Doc. 351.) He opined that Mr. Sullivan's symptoms were likely preventing him from being capable of gainful employment, but that if his strength and flexibility were worked on and improved, he would likely be able to return to gainful employment. (Tr. 351.) As such, he opined on an issue reserved to the Commissioner. See 20 C.F.R. §§ 404.1527(d)(1) and 416.927(d)(1) ("We are responsible for making the determination or decision about whether you meet the statutory definition of disability.. . . A statement by a medical source that you are "disabled" or "unable to work" does not mean that we will determine that you are disabled.") When a treating source opines on an issue reserved for the Commissioner, the rules require that an ALJ will make every reasonable effort to recontact treating sources for clarification when "the bases for such opinions are not clear." SSR 96-5, 1996 WL 374183, at *2. Further, if the case record contains an opinion from a medical source on an issue reserved to the Commissioner, the adjudicator must evaluate all the evidence in the case record to determine the extent to which the opinion is supported by the record. Id. Tenth Circuit case law instructs that an ALJ need only recontact a treating source for clarification "[i]f evidence from the claimant's treating doctor is inadequate to determine if the claimant is disabled." Robinson v. Barnhart, 366 F.3d 1078, 1084 (10
Applying the relevant rules, regulations and law here, the ALJ did not have a duty to recontact Dr. Raj. Here, the ALJ stated her understanding of the bases for Dr. Raj's opinion; i.e., he found the MRI findings to be more severe than the radiologists who interpreted them, and Dr. Raj believed Mr. Sullivan's subjective reports of disabling pain which she found to be not entirely credible. (Tr. 23.) As such, the ALJ was under no obligation to recontact Dr. Raj for clarification. SSR 96-5, 1996 WL 374183, at *2. The ALJ also evaluated all the evidence in the case record, as she was required to do, and determined that Dr. Raj's opinion was not supported by the record as a whole (Tr. 20-24). Id. Finally, although the ALJ noted the lack of exam results or any specific findings regarding Mr. Sullivan's functional abilities in Dr. Raj's treatment notes, she nonetheless had all the information she needed from Dr. Raj to make a determination that Mr. Sullivan was not disabled. Robinson, 366 F.3d at 1084; 20 C.F.R. §§ 20 C.F.R. 404.1520b(c) and 416.920b(c). The ALJ properly evaluated Dr. Raj's opinion applying correct legal standards and provided good reasons for according it minimal weight.
For these reasons, the ALJ did not err in her duty to develop the record as to Dr. Raj's opinion.
The ALJ did not fail in her duty to develop the record when she received the results of Mr. Sullivan's DEXAscan bone density test. A claimant bears the burden of proving his disability and must do so by furnishing medical and other evidence of the existence of his disability. Branum v. Barnhart, 385 F.3d 1268, 1271-72 (10
On June 4, 2013, Dr. Raj noted he planned to obtain a DEXAscan to assess whether osteoporosis and/or osteopenia was the cause of Mr. Sullivan's L1 compression fracture identified by x-ray on September 12, 2012. (Tr. 350.) On January 21, 2014, Mr. Sullivan underwent a DEXAscan bone density test.
For these reasons, the ALJ did not err in failing to develop the record as to this issue. Wall, 561 F.3d at 1063.
Mr. Sullivan argues that Dr. Marquardt's reference to an "unusual constellation of symptoms" on July 20, 2009, was indicative of an "indeterminate systemic problem underlying his clinical presentation," also known as SWAN (Syndrome Without a Name). (Doc. 21 at 4, 15-18, Doc. 28 at 7-8.) Mr. Sullivan contends that although extensive diagnostic procedures were unable to identify his systemic condition, its presence was nonetheless concurred in by Dr. Raj
For these reasons, the ALJ did not err in failing to develop the record as to this issue. Wall, 561 F.3d at 1063.
Mr. Sullivan next argues the ALJ failed to conduct a full and fair hearing because she failed to evaluate and weigh all of the medical opinions, used only portions of those medical opinions that supported her decision while ignoring those that were contrary, and ignored particular findings within the medical reports that supported his complaints of disabling pain. (Doc. 21 at 10-18, Doc. 28 at 3.) The Commissioner contends that the ALJ reasonably discounted the opinions of Dr. Raj and Dr. Walker, and that she was not required to discuss every piece of evidence. (Doc. 24 at 12-17.)
The record must demonstrate that the ALJ considered all of the evidence. Clifton, 79 at 1009; see also 20 C.F.R. §§ 404.1527(b) and 416.927(b) (we will always consider the medical opinions in your case record together with the rest of the relevant evidence we receive). "An ALJ must evaluate every medical opinion in the record, although the weight given each opinion will vary according to the relationship between the disability claimant and the medical professional." Hamlin, 365 F.3d at 1215. "An ALJ must also consider a series of specific factors in determining what weight to give any medical opinion." Id. (citing Goatcher v. United States Dep't of Health & Human Servs., 52 F.3d 288, 290 (10
Mr. Sullivan argues the ALJ ignored the findings of PAC Paul Halkett and Physical Therapist Mandie Majerus. (Doc. 21 at 10-11.) PAC Halkett and PT Majerus are considered other medical sources.
The Court's review "is focused first and foremost on whether the ALJ's decision is supported by substantial evidence and we conduct that inquiry via a meticulous examination of the `record as a whole.'" Wall v. Astrue, 561 F.3d 1048, 1067 (10
For these reasons, the ALJ did not err in not discussing PAC Halkett's and PT Majerus' records.
Mr. Sullivan argues that Dr. Raj's opinion was entitled to deference and that the ALJ improperly dismissed his opinion based on her perception that Dr. Raj relied heavily on Mr. Sullivan's subjective complaints. (Doc. 21 at 11.) Mr. Sullivan further argues that if the ALJ found Dr. Raj's report to be inadequate she was required to recontact him for additional information. (Id.) As previously discussed, Dr. Raj opined on an issue reserved to the Commissioner. See Section IV.B.1.a., supra. Treating source opinions on issues reserved to the Commissioner are never entitled to controlling weight or special significance. SSR 96-5p, 1996 WL 374183, at *2. Similarly, any opinion on an issue reserved to the Commissioner is not given any special significance. 20 C.F.R. §§ 404.1527(d)(3) and 416.927(d)(3). That said, the ALJ was still required to provide an evaluation of Dr. Raj's opinion and give good reasons for the weight she accorded. Hamlin, 365 F.3d at 1215. The ALJ did so here. The ALJ explained that the treatment relationship between Dr. Raj and Mr. Sullivan was only recently reestablished and had been infrequent. (Tr. 23.) The record supports this finding and it is a valid reason for according less weight to Dr. Raj's opinion.
For these reasons, the Court finds that the ALJ applied the correct legal standard to evaluate Dr. Raj's opinion and provided specific, legitimate reasons that are supported by substantial evidence for according his opinion minimal weight. Further, because the ALJ was able to determine that Mr. Sullivan was not disabled based on the record as a whole, the ALJ did not err in not recontacting Dr. Raj for additional information. 20 C.F.R. §§ 404.1520b(c)(1) and 416.920b(c)(1).
Mr. Sullivan argues that the ALJ failed to acknowledge Dr. Walker as his treating physician and improperly discounted her opinion based on her perception that Dr. Walker relied heavily on Mr. Sullivan's subjective complaints. (Doc. 21 at 11-13.) Mr. Sullivan also argues that the ALJ had a duty to seek additional information from Dr. Walker regarding the basis of her opinion. (Id.) Assuming arguendo that Dr. Walker was a treating physician,
(Id.) The record supports the ALJ's findings.
The ALJ's finding that Dr. Walker's assessment was inconsistent with the record as a whole is supported by substantial evidence. 20 C.F.R. §§ 404.1527(c)(4) and 416.927(c)(4). On September 10, 2012, Mr. Sullivan reported on his Adult Function Report that he could pay attention for as long as he needed to. (Tr. 252.) On July 9, 2013, Mr. Sullivan testified that although reading technical material had become more difficult for him, he nonetheless did so, and also followed "geek news" and participated in an online technical forum helping people solve technology-related problems. (Tr. 84-86.) Mr. Sullivan testified that he was currently and simultaneously reading a science fiction novel titled Contact, while also reading Carl Jung's autobiography titled Memories, Dreams and Reflections, while also reading an oral history of the Kennedy assassination titled No More Silence. (Tr. 101-03.) Mr. Sullivan testified that No More Silence was "actually fairly heavy reading." (Tr. 103.) Mr. Sullivan testified he read fast and could finish a novel in two to three days. (Tr. 102.) Finally, no other healthcare provider opined or assessed that Mr. Sullivan's pain affected his ability to concentrate or attend to work-related tasks, nor did Mr. Sullivan complain to any other healthcare provider that his pain affected his ability to concentrate.
The ALJ's finding that Dr. Walker's assessment was not supported because it was brief, vague and conclusory is supported by substantial evidence. Dr. Walker opined that Mr. Sullivan's pain would substantially affect his concentration and attention and that he would experience symptoms severe enough to interfere with his ability to perform even simple work tasks 34% to 66% of an 8-hour working day. (Tr. 420.) In making this finding, Dr. Walker represented that she relied on treatment notes and x-rays "prior to 12/31/2012."
The ALJ's finding that Mr. Walker's statements concerning the intensity, persistence and limiting effects of his symptoms were not entirely credible is supported by substantial evidence. For the reasons discussed more fully below, the Court will not disturb the ALJ's credibility findings. See, Section IV.E., infra.
Finally, the ALJ's duty to recontact a medical source is triggered when the information provided is inadequate to determine whether a claimant is disabled. 20 C.F.R. §§ 404.1520b(c)(1) and 416.920b(c)(1). That is not the case here.
For these reasons, the Court finds the ALJ applied the correct legal standard to evaluate Dr. Walker's opinion and provided specific, legitimate reasons that are supported by substantial evidence for according her opinion minimal to no weight. Hamlin, 365 F.3d at 1215. Further, because the ALJ was able to determine that Mr. Sullivan was not disabled based on the record as a whole, the ALJ did not err in not recontacting Dr. Walker for additional information. 20 C.F.R. §§ 404.1520b(c)(1) and 416.920b(c)(1).
Mr. Sullivan argues the ALJ accorded significant weight to Dr. Schosheim's opinion but improperly selected certain portions of his opinion while rejecting others without explanation. (Doc. 21 at 13, 19-21.) Specifically, Mr. Sullivan asserts that Dr. Schosheim testified that pain from impairments like his could be "very variable" and that "problems with focus and concentration are entirely consistent with his clinical observations." (Id. at 13) Mr. Sullivan also asserts that Dr. Schosheim testified that it would be reasonable for him to have problems with light-headedness or fatigue. (Id. at 20.)
The ALJ adopted in full Dr. Schosheim's opinion that Mr. Sullivan was capable of a reduced range of sedentary work. (Tr. 20, 36.) As such, the ALJ did not pick and choose from Dr. Schosheim's opinion. (Tr. 21.) See Haga v. Astrue, 482 F.3d 1205, 1208 (10
(Tr. 37-38.) (Emphasis added.)
Mr. Sullivan misconstrued Dr. Schosheim's testimony. Dr. Schosheim did not testify that "problems with focus and concentration are entirely consistent with his clinical observations" as Mr. Sullivan contends. (Doc. 21 at 13.) Instead, Dr. Schosheim testified that assuming you were an individual who had ongoing pain from a healed compression fracture, it is possible you could have occasional difficulty with focus and concentration because of pain. (Tr. 38.) As such, Dr. Schosheim's testimony regarding the qualified circumstances under which occasional difficulty with focus and concentration could occur does not support the level of daily and frequent difficulty with concentration and attention that Dr. Walker assessed and Mr. Sullivan claims.
For these reasons, the ALJ did not improperly pick and choose from Dr. Schosheim's opinion choosing only those parts favorable to her determination while ignoring others.
Mr. Sullivan argues the ALJ failed to include nonexertional limitations in her RFC determination related to his problems with focus, concentration, light-headedness and fatigue. (Doc. 21 at 19-21, Doc. 28 at 3-4.) The Commissioner contends that the ALJ's determination that Mr. Sullivan remained capable of a reduced range of sedentary work was supported by substantial evidence, including multiple medical source opinions, the objective medical evidence, and Mr. Sullivan's daily activities. (Doc. 24 at 6-9.)
Assessing a claimant's residual functional capacity is an administrative determination left solely to the Commissioner. 20 C.F.R. §§ 404.1546(c) and 416.946(c) ("If your case is at the administrative law judge hearing level or at the Appeals Council review level, the administrative law judge or the administrative appeals judge at the Appeals Council . . . is responsible for assessing your residual functional capacity."); see also SSR 96-5p, 1996 WL 374183, at *2 (stating that some issues are administrative findings, such as an individual's RFC). In assessing a claimant's RFC, the ALJ must consider the combined effect of all of the claimant's medically determinable impairments, and review all of the evidence in the record. Wells v. Colvin, 727 F.3d 1061, 1065 (10
The ALJ's RFC assessment is supported by substantial evidence. "Substantial evidence is such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Langley, 373 F.3d at 1118. Here, the ALJ's RFC assessment included an organized and thorough narrative of Mr. Sullivan's medical history, radiologic findings, medical source statements, and hearing testimony, and described how the evidence supported her conclusions. (Tr. 18-24.) Further, the ALJ properly evaluated and weighed the medical evidence (Tr. 21-24) and explained why Dr. Walker's assessed nonexertional limitations were not adopted, which has been discussed at length herein. See Section IV.B.2.c., supra. The ALJ, therefore, sufficiently explained why she found that Mr. Sullivan's asserted nonexertional limitations were not supported by substantial evidence. As such, any limitations were properly excluded from the ALJ's RFC. Id.
The ALJ applied the correct legal standard in assessing Mr. Sullivan's RFC and it is supported by substantial evidence.
Mr. Sullivan argues that the ALJ's hypothetical question to the VE failed to include his nonexertional limitations due to pain. (Doc. 21 at 22.) In the Tenth Circuit, hypothetical questions to a vocational expert need only include those limitations that the ALJ finds are established by substantial evidence. Evans v. Chater, 55 F.3d 530, 532 (10
Mr. Sullivan argues that the ALJ's credibility findings are not closely and affirmatively linked to substantial evidence. (Doc. 21 at 22-28, Doc. 28 at 8-11.) The Commissioner contends that the ALJ articulated numerous legitimate reasons that supported her adverse credibility determination and that the Court should not disturb her credibility findings on appeal. (Doc. 24 at 17-19.)
"Credibility determinations are peculiarly the province of the finder of fact, and we will not upset such determinations when supported by substantial evidence." Wilson v. Astrue, 602 F.3d 1136, 1144 (10
The Tenth Circuit has explained the framework for the proper analysis of a claimant's evidence of pain. "A claimant's subjective allegation of pain is not sufficient in itself to establish disability." Thompson, 987 F.2d at 1488 (citing Gatson v. Bowen, 838 F.2d 442, 447 (10
The ALJ determined that Mr. Sullivan had a severe impairment of degenerative disc disease.
Id. Tenth Circuit precedent "does not require a formalistic factor-by-factor recitation of the evidence . . . [s]o long as the ALJ sets forth the specific evidence he relies on in evaluating the claimant's credibility." Poppa v. Astrue, 569 F.3d 1167, 1171 (10
The ALJ's credibility findings are closely and affirmatively linked to substantial evidence. First, the ALJ discussed the objective medical evidence. She discussed Mr. Sullivan's consultative exam with Dr. Gaffield on September 12, 2012, wherein Dr. Gaffield noted that Mr. Sullivan was in no acute distress, used no assistive device, and exhibited no evidence of pain getting up from a chair or getting up and down from the exam table (Tr. 302, 305). (Tr. 21.) Dr. Gaffield further noted that but for some restriction in his range of lumbar movement and balancing, Mr. Sullivan's physical exam was negative (Tr. 305-06). (Id.) She also discussed the most recent imaging of Mr. Sullivan's lumbar spine on January 24, 2013, that revealed a "moderate, old L1 compression fracture as well as mild degenerative disc disease at L1-L2 with facet arthropathy at L5-S1 that is stable" (Tr. 312). (Tr. 21.) The ALJ further noted that the "MRI of his thoracic spine from January 2013 shows only mild spondylosis" (Tr. 316). (Tr. 22.) The record supports these findings and they are valid reasons for discounting Mr. Sullivan's credibility. See Thompson, 987 F.2d at 1489 (in determining the credibility of pain testimony, the ALJ should consider such factors as the consistency or compatibility of nonmedical testimony with objective medical evidence). Second, the ALJ discussed that Mr. Sullivan collected unemployment benefits during the time he alleged to be disabled. (Tr. 22.) Mr. Sullivan collected unemployment benefits for nine months in 2011 and nine months in 2012 (Tr. 222), and completed job logs throughout this time identifying jobs he could perform (Tr. 76.) The record supports this finding and it is a valid reason for discounting Mr. Sullivan's credibility. See Pickup v. Colvin, 606 F. App'x 430, 433 (10
Mr. Sullivan disputes the ALJ's credibility findings. He argues that he applied for and received unemployment compensation benefits on the good faith belief that if he could get work, he could get additional facet injections allowing him to resume his work activities. (Doc. 21 at 23-24.) He argues that his ability to perform a limited range of discretionary daily activities does not establish his ability to engage in substantial gainful activity. (Id. at 24.) He argues that the ALJ ran roughshod over the English language by characterizing his mass market reading material as "complex," and that the ALJ incorrectly interchanged Mr. Sullivan's ability to read recreationally with his ability to conduct scientific research. (Id. at 25.) He argues that his participation in technical forums is an ad lib activity that he does on a voluntary basis and cannot be compared to the demands of a sustained work schedule. (Id. at 26.) He argues that he obtained medical insurance once it became affordable under the Affordable Care Act and that this fact directly contradicts the ALJ's finding that he was not motivated to secure health insurance. (Id. at 26.) Finally, Mr. Sullivan argues that his credibility should be substantiated by his (1) out-of-pocket expenditures for care and treatment in 2008, (2) the unanimous consent of his medical providers in their assessment and treatment of his pain, (3) his exhaustive search of efficacious drugs, including opiate analgesics and anti-inflammatories sufficient to cause internal bleeding; (4) his altered lifestyle; and (5) his willingness to risk potential kidney damage, stomach ulcers, paralysis, and skeletal compromise in order to relieve his pain. (Id. at 27-28.)
The Court's review of the record demonstrates that Mr. Sullivan's representations regarding (1) his allegedly disabling medical condition, (2) his healthcare provider's view of his medical condition, and (3) the extensiveness of his attempts to obtain relief are not supported by the evidence. Mr. Sullivan first sought care for his back pain in October 2008. (Tr. 407-08, 410-11.) He saw PAC Halkett only twice — on October 3, 2008, and on October 10, 2008. (Id.) Contrary to Mr. Sullivan's contention that PAC Halkett had him on an extended regimen of Percocet (Doc. 21 at 3, 10), PAC Halkett wrote two prescriptions for Percocet, one at the initial appointment and a refill at the second appointment. (Tr. 405.) Mr. Sullivan attended only two physical therapy sessions on November 14, 2008 and November 18, 2008, after which he discharged to a home exercise program and provided an at-home TENS unit, at least initially, on a 30-day free trial.
The summary of the evidence simply does not support Mr. Sullivan's conclusions about the dire nature and treatment of his medical condition, about the way his healthcare providers viewed his medical condition, about the impact of his medical condition on his ability to concentrate, or about the exhaustive and physically-endangering efforts and lengths he claims to have undergone to obtain care and treatment for his back pain. For all of these reasons, and after examining the record as a whole, the Court is persuaded that the ALJ's credibility findings are closely and affirmatively linked to substantial evidence and the Court will not disturb her findings.
For the reasons stated above, Mr. Sullivan's Motion to Reverse or Remand for Rehearing is