MATTHEW W. BRANN, District Judge.
And now, this 21st day of January 2015, having reviewed the thorough report and recommendation of Magistrate Judge Gerald B. Cohn, to which Plaintiff did not file objections, the report and recommendation of the Magistrate Judge is ADOPTED. December 9, 2014, ECF No. 18. The decision of the Commissioner is AFFIRMED. The Clerk is directed to enter judgment in favor of the Commissioner and against the Plaintiff. The Clerk is directed to close the case file.
GERALD B. COHN, United States Magistrate Judge.
On August 11, 2010, Thomas Burnside ("Plaintiff") protectively filed an application as a claimant for disability insurance benefits under Title II of the Social Security Act, 42 U.S.C. §§ 401-34.
On October 13, 2013, Plaintiff filed the above-captioned action pursuant to 42 U.S.C. § 405(g) and pursuant to 42 U.S.C. § 1383(c)(3), to appeal a decision of the Commissioner of the Social Security Administration denying social security benefits. (Doc. 1). On December 27, 2013, the Commissioner ("Defendant") filed an answer and an administrative transcript of proceedings. (Does. 6, 7). On March 31, 2014, Plaintiff filed a brief in support of the appeal ("Pl. Brief") (Doc. 12). On April 30, 2014, the Court referred this case to the undersigned Magistrate Judge. On June 6, 2014, Defendant filed a brief in response ("Def. Brier") (Doc. 16). Plaintiff filed a brief in reply on June 16, 2014 ("Pl. Reply") (Doc. 17).
Plaintiff was born on November 16, 1961, and thus was 37-years-old on the alleged disability onset date and 49 years old when he was last insured for benefits. (Tr. 75). He graduated from high school (Tr. 165), and previously worked as an industrial mechanic and a forklift operator (Tr. 86-87). On November 1, 1999, Plaintiff was injured in an car accident. (Tr. 185). Plaintiff alleges disability due to a combination of impairments including herniated cervical discs C4 and C5, severe/constant pain, numbness down the right arm, and depression. (Tr. 126-31, 164).
Following the auto accident in November 1999, Plaintiff sought treatment for a cervical spinal injury. E.g. (Tr. 179-217). Plaintiff earned an income above the substantial gainful activity levels between 1999 through 2005. (Tr. 17, 132-46).
The ALJ found that Plaintiff last met the insured requirements of the Act on December 31, 2010. (Tr. 17). Prior to the expiration of his insured status, Plaintiff lived in a home with his parents. (Tr. 74, 153-54). After his father died, Plaintiff cared for his mother until she was admitted into a skilled nursing facility in December 2010. (Tr. 74, 315). He maintained a driver's license and drove a few times per week. (Tr. 78). Plaintiff also cared for his personal needs independently; prepared simple meals; performed household chores every week; shopped in stores; and watched television. (Tr. 154-57).
Dr. Gerald Gibbons has treated Plaintiff from 1982 to 2012. (Tr. 218-314, 341-343, 388-394). In treatment records from 1982 and 1983, Plaintiff complained of low back pain. (Tr. 238). In a treatment record dated October 16, 1997, Plaintiff complained of neck pain that he has had on and off for about two years. (Tr. 234). In a record dated August 18, 1998, Dr. Gibbons noted that Plaintiff had some chronic neck pain, particularly on the right side. (Tr. 232). The neck pain was resolved within two weeks. (Tr. 224).
Following an automobile accident, in a treatment record dated December 7, 1999, Dr. Gibbons concluded that Plaintiff had a cervical strain and sprain. (Tr. 231). In a treatment record dated April 2, 2001, Dr. Gibbons noted that Plaintiff was "feeling well" and "no symptoms whatsoever." (Tr. 229). Dr. Gibbons discussed Plaintiff's failure to attend follow-up appointments, history of noncompliance regarding treating his ongoing hypertension, and the need to completely abstain from alcohol, to which, Plaintiff "laughed and just walked out and said he couldn't do it." (Tr. 229). The record contains several notations indicating Plaintiff's no-shows for appointments with Dr. Gibbons: February 3, 1992 (Tr. 236); June 29, 1992 (Tr. 236); February 15, 1994 (Tr. 235); January 6, 2000 (Tr. 231); April 4, 2000 (Tr. 230); May 7, 2001 (Tr. 229); March 3, 2003 (Tr. 228); January 11, 2006 (Tr. 222); April 14, 2008 (Tr. 221).
In a treatment record dated October 29, 2002, Plaintiff inquired about Viagra and Dr. Gibbons replied that depending on the results of the blood tests, he would give some Viagra samples. (Tr. 228). On October 22, 2003, Plaintiff's mother asked for Plaintiff's prescriptions and Dr. Gibbons informed her that Plaintiff had not visited the doctor's office in over a year, that he needed to be seen, and that, she was an enabler. (Tr. 227). In a treatment record dated December 16, 2003, Plaintiff reported that his neck continued to give problems on and off and Dr. Gibbons reiterated that without the necessary blood work, he could not prescribe more medication. (Tr. 226). Plaintiff inquired again about Viagra, to which Dr. Gibbons responded that he could not give it until Plaintiff underwent the necessary stress test. (Tr. 226).
In a treatment record dated August 2, 2004, Plaintiff reported continued discomfort in the right side of his neck and his shoulders. (Tr. 224). A letter dated August 16, 2005, informed Plaintiff that he was overdue for an appointment and that after lab work, they could renew his medication. (Tr. 223). In a treatment record dated September 7, 2005, Plaintiff reported continued neck and arm pain. (Tr. 222). Plaintiff stated that lie no longer had medical insurance to cover physical therapy and Dr. Gibbons noted that a follow-up appointment would be in four months. (Tr. 222).
Over two years later, on January 12, 2008, Plaintiff returned to Dr. Gibbon's office to address his ongoing hypertension, and it was noted that Plaintiff still did not have insurance. (Tr. 221). In a treatment record dated May 1, 2009, Plaintiff reported that the over the counter pain medication was not effective and that he could not get any blood work done because he lacked insurance. (Tr. 220). Dr. Gibbons noted that he prescribed pain medication and noted that the staff saw Plaintiff on multiple occasions visiting his father in the hospital. (Tr. 220). Nearly two years later, Plaintiff returned and in a treatment record dated April 28, 2011, Plaintiff reported that his neck pain increased in severity
In a September 2004 letter, Plaintiff's primary care physician, Dr. Gibbons summarizes Plaintiff's neck related medical history. (Tr. 425). Dr. Gibbons opined that Plaintiff may never be able to return to work, given the significant degree of pain associated with his neck condition. (Tr. 426).
Dr. Romanace, Dr. Janerich, Dr. Piczon, Ms. Lacey and Mr. Lacey, treated Plaintiff from February 2000 to March 2007, with a gap in treatment until 2011 and 2012. (Tr. 179-217). In a treatment record dated February 3, 2000, Dr. Romanace noted that Plaintiff's visit was for continued follow-up regarding injuries sustained from a car accident that took place November 1, 1999. (Tr. 185). In the February 2000 record, Dr. Romanace noted that the MRI of his neck revealed disc herniation at C4/5, limited range of motion in the neck, that Plaintiff complained of neck pain, wrist symptoms, and that different previous therapies and medications had not provided lasting relief. (Tr. 185). In the February 2000 record, Dr. Romanace suggested that Plaintiff be evaluated by a Dr. Hanlon for an epidural block.
On March 31, 2000, Dr. Janerich noted little improvement after an initial course of cervical epidurals with Dr. Hanlon, and that Plaintiff experienced spasm and reduced cervical range of motion. (Tr. 186). In the March 2000 record, Dr. Romanace modified Plaintiff's physical therapy. (Tr. 186). On April 26, 2000, Dr. Janerich noted that conservative measures of care yielded little improvement, found Plaintiff to be improved to about ten percent of normal, and recommended a neurosurgical opinion from Dr. Carson Thompson. (Tr. 187). On June 26, 2000, it was reported that after consultation, Dr. Thompson did not believe that surgery was necessary to treat Plaintiff and the treating physician determined that Plaintiff could return to work with restrictions that were not specified in the record. (Tr. 188).
On June 25, 2000, Dr. Romanace noted that Plaintiff did not show any improvement following the third injection from Dr. Hanlon and noted that two surgical opinions from Dr. Nakkache and Dr. Thompson did not recommend surgery. (Tr. 189). Dr. Romanace continued Plaintiff's treatment of pain medication and physical therapy, noted that Plaintiff continued to experience pain, and is on light duty work. (Tr. 189). In an August 23, 2000, treatment record, it was noted that Plaintiff continued to suffer from chronic neck pain
In a treatment record dated September 24, 2001, Plaintiff complained of increased neck pain, denied numbness or paresthesias in the upper extremities, and reported using only Extra Strength Tylenol to address pain. (Tr. 192). In the September 2001 record, Dr. Romanace observed a decreased range of motion of the cervical spine, tenderness on palpation and tight muscles in Plaintiff's neck. (Tr. 192). In the September 2001 record, Dr. Romanace further observed normal range of motion in the upper extremities and ultimately concluded that it appeared Plaintiff had a flare up likely aggravated by his work. (Tr. 192). In the September 2001 record, Dr. Romanace recommended restarting physical therapy and prescribed pain medication. (Tr. 192).
In a reported dated October 22, 2001, Plaintiff reported that physical therapy was working and that his pain decreased by ten percent. (Tr. 193). In the October 2001 report, Dr. Romanace observed decreased range of motion to the left, but normal range of motion on the right, that Plaintiff did not have any trigger points or muscle spasm, and upper extremities were normal. (Tr. 193). On November 1, 2000, Dr. Janerich noted that Plaintiff's condition remained twenty percent of normal, and that Plaintiff reported that in July he had tried returning to work in a transitionary program, however, that only lasted several weeks. (Tr. 191). On November 19, 2001, Dr. Romanace observed decreased range of motion in the cervical spine, scant spasm on palpation, and upper extremities were normal. (Tr. 194). In the November 19, 2001 report, Dr. Romanace recommended continued physical therapy, prescribed an additional medication and recommended trying epidural blocks again. (Tr. 194).
In a record dated January 14, 2002, Dr. Romanace noted that Plaintiff continued physical therapy three times a week, which included traction, and Plaintiff reported that the neck pain had improved and that he could sleep fairly well at night. (Tr. 195). In the January 2002 record, Dr. Romance observed that Plaintiff had a normal range of motion in his cervical spine with only slight discomfort, no muscle spasm or trigger points, and recommended continued physical therapy. (Tr. 195).
In a record dated March 19, 2002, Plaintiff reported continued physical therapy three times a week, continued neck pain, but continued improvement. (Tr. 196). In the March 2002 report, Dr. Romanace observed that Plaintiff has a good range of motion in his cervical spine with only slight discomfort, no neurological deficits, nor spasm, and no trigger points. (Tr. 196). Dr. Romanace advised that Plaintiff still had a herniated disc at C4/5 and should not do any heavy lifting, pushing, or pulling, nor should Plaintiff work with his arms overhead or do any crawling. (Tr. 196). In the March 2002 report, Dr. Romanace also advised that Plaintiff should refrain from frequent standing, walking, or frequently turn his head, since such activities could aggravate his symptoms. (Tr. 196). Dr. Romanace renewed a prescription for pain medication, recommended continuing with conservative management, and recommended follow-up with Plaintiff after he completed the physical therapy program. (Tr. 196).
In a record dated July 3, 2002, Plaintiff reported going to physical therapy, that he has much less pain, and that his improvement was at sixty percent. (Tr. 197). In
After nearly a year, on October 9, 2003, Plaintiff returned for treatment due to an exacerbation of his neck pain. (Tr. 200). In the October 2003 record, Dr. Piczon noted that Plaintiff had returned to work as an industrial mechanic for a while, but the work of that position was too heavy and he had done better once he switched to instrumentation repair work. (Tr. 200). During the October 2003 examination, Dr. Piczon did not find any "hard clinical findings," noting that Plaintiff had a supple range of movement in the neck without pain, no motor or sensory signs and no significant muscle spasm or trigger points. (Tr. 200). In response to the October 2003 examination findings, Dr. Piczon recommended maintaining the home exercise program, the use of over the counter pain medication, moist heat, and to continue regular work duty as before. (Tr. 200).
Five months later, Plaintiff returned for treatment on March 10, 2004. (Tr. 201). In the March 2004 record, Plaintiff reported changing jobs to a forklift operator and the required frequent turning of his head aggravated his neck pain. (Tr. 201). During the March 2004 examination, Dr. Romanace observed that Plaintiff had a supple range of motion in the neck without significant muscle spasm or trigger points and resumed prescription pain medication. (Tr. 201). On April 5, 2004, Plaintiff had an emergent visit, seeking treatment for neck pain, which he asserted was twenty percent of normal. (Tr. 202).
During the April 2004 visit, Plaintiff reported that the new forklift operating job aggravated his neck pain, resulting in him being off work for the previous ten days. (Tr. 202). Plaintiff requested for a note to remain off of work until his neck pain improved. (Tr. 202). Plaintiff also reported he was unable to regain his previous position due to layoffs and the fact that the job was reserved for more senior employees. (Tr. 202). Dr. Janerich's certified physician assistant, Elaine Lacey, observed that Plaintiff could go from sitting to standing and standing to siting independently, had some guarding and decreased range of motion of the cervical spine, and had tenderness over the right paracervical region, without any significant tenderness over the right trapezius or right shoulder area. (Tr. 202). Ms. Lacey recommended getting a new MRI of the cervical spine to
In a treatment record dated May 10, 2004, Plaintiff reported that the prescription medication was effective and Dr. Romanace observed a decreased range of motion of the cervical spine, mild tenderness on palpation over the paracervical region, and no muscle spasm or trigger points. (Tr. 204). In a treatment record dated August 11, 2004, Dr. Janerich found Plaintiff to have improved to seventy percent of normal, observing palpable spasm and limitation of motion especially with extension. (Tr. 205). In the August 2004 record, Dr. Janerich recommended for Plaintiff to wear a neck brace, continue medications, and to not work. (Tr. 205). In November 16, 2004, Dr. Janerich noted that Plaintiff's neck pain varied from two to four on a scale of zero to ten, and noted a persistent spasm and a reduction in cervical mobility. (Tr. 206).
In a record dated April 12, 2005, Ms. Lacey noted that Plaintiff's insurance did not cover the sleeping neck brace. (Tr. 207). Plaintiff reported that he could not pay for the neck brace on his own, and since his last visit in November 2004; he had lost his health insurance and could not afford the prescription pain medication. (Tr. 207). Plaintiff reported that he was at twenty percent of normal. (Tr. 207). During the April 2005 examination, Ms. Lacey observed no acute distress, a decreased range of motion in the cervical spine, with some guarding and tenderness. (Tr. 207). In the April 2005 record, Plaintiff reported collecting unemployment benefits while taking college business courses "so that he can hopefully take a job in a less physical field." (Tr. 207).
In a record dated October 10, 2005, Plaintiff reported a lack of overall change in his condition and that he was fifty percent of normal. (Tr. 208). In the October 2005 report, Dr. Janerich's certified physician assistant, Mark Lacey, stated that Plaintiff had a "history of ML strain cervical spine with cervical disc disease." (Tr. 208). In a treatment record dated February 28, 2006, Plaintiff reported increase severity in pain, and upon examination; Dr. Romanace observed a functional range of motion in his cervical spine and tenderness over the paracervical area. (Tr. 209). Dr. Romanace concluded that Plaintiff was fairly stable and would follow up in six months. (Tr. 209).
In a treatment record dated July 31, 2006, Ms. Lacey noted that Plaintiff was still fifty percent of normal and had no significant changes since the last visit. (Tr. 210). Ms. Lacey reported that Plaintiff was still uninsured which "very much limits" the treatment options that they could provide him. (Tr. 210). During the July 2006 visit, Plaintiff stated that he recently finished college and hoped to find a job that was not as laborious as his former job, so that he could return to working. (Tr. 210). Ms. Lacey encouraged Plaintiff to avoid activities that aggravated his pain and advised him that his taking ten to twelve Tylenol pills a day was too high. (Tr. 210). Plaintiff stated that he had a routine visit scheduled with his primary care provider, Dr. Gibbons, however, due to his financial issues, he may not be able to follow up with any liver function studies. (Tr. 210). Ms. Lacey observed that Plaintiff was able to go from sitting to standing and standing to siting independently, continued to have some restriction in the range of motion in his neck, no significant tenderness on palpation, some mild paracervical spasm, and no radiation of pain to the upper extremities. (Tr. 210).
Four years later, on May 5, 2011, Plaintiff returned for treatment. (Tr. 408). Ms. Lacey reported that Plaintiff had a documented discogenic disease of the neck and cervical radiculopathy. (Tr. 408). Ms. Lacey reported that although they had received a note from Plaintiff's primary care physician, Dr. Gibbons, that Plaintiff was abusing alcohol and the treatment plan was to have him evaluated by Clear Brook for his follow-up visit, Plaintiff did not show up until four years later for the May 2011 visit. (Tr. 408). Ms. Lacey observed that Plaintiff could go from sitting to standing and standing to sitting independently, had some restricted range of motion in the cervical spine, and some paracervical tenderness mainly on the right. (Tr. 408). Ms. Lacey also observed that Plaintiff experienced some intermittent radicular symptoms to the right arm. (Tr. 408). During the May 2011 visit,
Plaintiff stated that he has not had any alcohol for three years. (Tr. 408). Plaintiff also stated that he still had the transcutaneous electrical nerve stimulation ("TENS") unit at home, however, `forgot' about it and had not used it lately to alleviate his symptoms. (Tr. 408). Ms. Lacey noted that because Plaintiff was still "self-pay," that would limit their ability to do any diagnostic tests or send Plaintiff for further treatment. (Tr. 408).
In a treatment record dated July 7, 2011, Dr. Janerich stated that Plaintiff still experienced neck pain which related to degenerative arthritis with a right C6 radiculopathy. (Tr. 408). Dr. Janerich observed that Plaintiff had a spasm, no trigger points and had a continued reduced range of motion. (Tr. 409). Although during the July 2011 appointment Dr. Janerich recommended a follow-up evaluation in six to eight weeks, Plaintiff returned a year later on July 12, 2012. (Tr. 410). During the July 2012 visit, Plaintiff reported that he could not afford the pain medication since he was self-pay. (Tr. 410). Plaintiff reported that his neck pain remained at ten to twenty percent of normal; he had not worked in years, was running out of financial means and was attempting to apply for disability. (Tr. 410). Ms. Lacey noted that Plaintiff continued to experience a restricted range of motion of the cervical spine, tenderness over the right paracervical region and the right trapezius area, no significant spasm, and no trigger points. (Tr. 410).
In letters dated August 10, 2004; June 20, 2005; and September 4, 2012, Dr. Janerich summarized the years of clinical treatment, Plaintiff symptoms, and clinical findings. (Tr. 395-407). In the September
(Tr. 404). Dr. Janerich further stated that contrary to Dr. Prebola's conclusions, the resulting pain and degree of disability supports a finding disc herniation at C4/5 with dural sac impingement. (Tr. 404). In the June 2005 and September 2012 letters, Dr. Janerich stated that Plaintiff should avoid lifting, carrying, pushing or pulling loads in excess of five pounds with the right arm or ten pounds with the left arm, or using his upper extremities at or above shoulder height, or any repetitive use of his upper extremities. (Tr. 396, 406). Dr. Janerich elaborated that his assessment of Plaintiff's limitations apply to activities of daily living and are not meant to suggest that Plaintiff is capable of working within the enumerated restrictions and opined that Plaintiff "is completely and totally disabled from gainful employment as a result of his discogenic disease of the cervicothoracic spine with neurologic involvement...." (Tr. 396).
In the February 2000 consultative examination report, neurosurgeon, Dr. Nakkache, opined that the MRI findings were of "minimal if any clinical relevance whatsoever" and that it was more likely that Plaintiff suffered from facet pain syndrome combined with myofasical pain syndrome. (Tr. 421). Dr. Nakkache concluded that he would not recommend any type of surgery for Plaintiff unless a more definitive finding is seen on a repeat MRI. (Tr. 421).
In the November 2003 medical evaluation report, Dr. Prebola summarized findings from diagnostic tests, all were unremarkable. (Tr. 423). Upon comparison of a June 1995 x-ray and the December 1999 MRI, Dr. Prebola stated that he could not find any evidence of disc herniation and that the C4-5 disc did not cause any neural foraminal stenosis. (Tr. 423).
At an examination with consultative examiner Dr. Campanella, on December 16, 2010, Plaintiff complained of neck pain, right shoulder pain, and occasional numbness
Plaintiff indicated that he slept approximately twelve hours per day (cumulative), watched television ten to twelve hours per day and drove a car three to four times per week. (Tr. 315). Dr. Campanella noted that Plaintiff exhibited equal upper extremity strength, and normal range of motion in all planes, except for lateral flexion of his cervical spine, which was 20 out of 40 degrees on the right side. (Tr. 316, 319-20). Dr. Campanella opined that Plaintiff's physical examination provided minimal support for his chronic neck pain complaints and no support for Plaintiff's right shoulder pain or right hand numbness. (Tr. 316). Dr. Campanella observed no limitations in Plaintiff's ability to stand, walk, .sit, lift, carry, push or pull (Tr. 317), but opined that Plaintiff should limit exposure to heights, moving machinery, vibration, temperature extremes, wetness, pulmonary irritants, and humidity. (Tr. 318).
To receive disability or supplemental security benefits, a claimant must demonstrate an "inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months." 42 U.S.C. § 423(d)(1)(A); accord 42 U.S.C. § 1382c(a)(3)(A). A claimant for disability benefits must show that he or she has a physical or mental impairment of such a severity that:
42 U.S.C. § 423(d)(2)(A); 42 U.S.C. § 1382c(a)(3)(B).
The Commissioner uses a five-step evaluation process to determine if a person is eligible for disability benefits. 20 C.F.R. § 404.1520; accord Plummer, 186 F.3d at 428. If the Commissioner finds that a Plaintiff is disabled or not disabled at any point in the sequence, review does not proceed. 20 C.F.R. § 404.1520(a)(4). The Commissioner must sequentially determine: (1) whether the claimant is engaged in substantial gainful activity; (2) whether the claimant has a severe impairment; (3) whether the claimant's impairment meets or equals a listed impairment; (4) whether the claimant's impairment prevents the claimant from doing past relevant work; and (5) whether the claimant's impairment prevents the claimant from doing any other work. 20 C.F.R. §§ 404.1520, 416.920. Before moving on to step four in this process, the ALJ must also determine Plaintiff's residual functional capacity
The disability determination involves shifting burdens of proof. The claimant bears the burden of proof at steps one through four. See Mason v. Shalala, 994 F.2d 1058, 1064 (3d Cir.1993). If the claimant satisfies this burden, then the Commissioner must show at step five that jobs exist in the national economy that a person with the claimant's abilities, age, education, and work experience can perform. Id. The ultimate burden of proving disability within the meaning of the Act lies with the plaintiff. See 42 U.S.C. § 423(d)(5)(A); 20 C.F.R. § 416.912(a).
When reviewing the Commissioner's decision denying a claim for disability benefits, the Court must uphold the findings of the Commissioner so long as those findings are supported by substantial evidence. Brown v. Bowen, 845 F.2d 1211, 1213 (3d Cir.1988); Johnson v. Comm'r of Soc. Sec., 529 F.3d 198, 200 (3d Cir.2008). Substantial evidence is a deferential standard of review. See Jones v. Barnhart, 364 F.3d 501, 503 (3d Cir.2004). Substantial evidence "does not mean a large or considerable amount of evidence, but rather `such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.'" Pierce v. Underwood, 487 U.S. 552, 564, 108 S.Ct. 2541, 101 L.Ed.2d 490 (1988) (quoting Consolidated Edison Co. v. N.L.R.B., 305 U.S. 197, 229, 59 S.Ct. 206, 83 L.Ed. 126 (1938)). Substantial evidence requires only `more than a mere scintilla' of evidence, Plummer v. Apfel, 186 F.3d 422, 427 (3d Cir.1999) (quoting Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir.1995)), and may be less than a preponderance. Jones, 364 F.3d at 503. If a reasonable mind might accept the relevant evidence as adequate to support a conclusion reached by the Commissioner, then the Commissioner's determination is supported by substantial evidence. Monsour Med. Ctr. v. Heckler, 806 F.2d 1185, 1190 (3d Cir.1986); Hartranft v. Apfel, 181 F.3d 358, 360 (3d Cir.1999); Johnson, 529 F.3d at 200.
The ALJ determined that Plaintiff had "the following severe impairments: degenerative disc disease (hereinafter DDD), ML strain and cervical strain." (Tr. 18). Plaintiff contends that that the ALJ's failure to define "ML strain" and failure to characterize Plaintiff's impairment as a "disc herniation at C4/5" amounts to reversible error. (Pl. Brief at 4-5).
Ultimately, Plaintiff concedes "that the term `ML strain,' as used by the physician's assistant, probably was `musculoligamentous strain.'" (Pl. Reply at 8). However, Plaintiff still argues that when the ALJ used the term "ML strain," there is no way to "know if the ALJ knew that ML strain was musculoligamentous strain." (Pl. Reply at 8). This contention is without merit.
The Court notes that in addition to the October 2005 report, wherein Dr. Janerich's certified physician's assistant, Mark Lacey, stated that Plaintiff had a "history of ML strain cervical spine with cervical disc disease" (Tr. 208), the entire record shows that only two different "strain" characterizations of Plaintiff's cervical spine condition exist. (Tr. 208, 231, 395, 399, 402). Of the "strain" characterizations, one was in a treatment record dated December 7, 1999, where Dr. Gibbons concluded that Plaintiff had a cervical strain and sprain (Tr. 231), and in the September 2004, June 2005, and September 2012 letters, Dr. Janerich described Plaintiff's condition as a "musculoligamentous strain" (Tr. 395, 399, 402).
The ALJ extensively reviewed the records and indicated what portions of the record mentioned a "disc herniation at C4/5." (Tr. 19-21, 23). Specifically, the ALJ noted that in "December of 1999, an MRI of his cervical spine noted a herniated disc at C4-5 and DDD ... per Dr. Janerich. Although Dr. Prebola reviewed this MRI and does not find a herniated disc, but describes it as disc protrusion with no stenosis." (Tr. 21). The ALJ further noted that Dr. Gibbons' treatment notes referenced an MRI showing a herniation at C4-5, but the vast majority of visits noted all normal objective findings. (Tr. 23). Additionally, in the February 2000 consultative examination report, neurosurgeon, Dr. Nakkache, opined that the MRI findings were of "minimal if any clinical relevance whatsoever." (Tr. 421). Despite recommendations in February 2000 and April 2004 to obtain a more recent MRI to ascertain Plaintiff's condition and to verify if Plaintiff, in fact, had a "disc herniation at C4/5" (Tr. 202, 421), such had not occurred.
During the period where Plaintiff was not engaged in substantial gainful activity, there is one treatment record from March 2007, wherein Dr. Janerich stated that Plaintiff's 1999 MRI showed that Plaintiff had a shallow midline herniated disc at C4/5. (Tr. 212). In a September 2012 letter to Plaintiff's attorney, Dr. Janerich described Plaintiff as having a "cervical disc herniation at C4/5 with epidural sac impingement," as documented on an MRI done December 1, 1999 and interpreted by Dr. Joel Schwartz, Radiologist for Valley Open MRI. (Tr. 395, 402). In a June 2005 letter to Plaintiff's attorney, Dr. Janerich further stated that, contrary to Dr. Prebola's conclusions, the resulting pain and degree of disability supported finding a disc herniation at C4/5. (Tr. 404). Implicit in Dr. Janerich's opinions is the conclusion that the disc herniation determined from a 1999 MRI, still exists through December 31, 2010, based on Plaintiff's continued symptoms.
Given the conflicting MRI interpretations (from experts such as radiologist, Dr. Schwartz; neurosurgeon, Dr. Nakkache; treating spinal injury physician Dr. Janerich; and independent medical evaluator, Dr. Prebola) regarding whether a cervical disc herniation at C4/5 existed, the ALJ did not err in deciding not to characterize Plaintiff's cervical spine impairment explicitly as "disc herniation at C4/5."
Even assuming arguendo that the ALJ erred, the Court would still find harmless error. Ultimately, the outcome of the case depends on the demonstration of the functional limitations of the disease or impairment rather than the mere diagnosis of the disease or name of the impairment. See Alexander v. Shalala, 927 F.Supp. 785, 792 (D.N.J.1995) aff'd sub nom. Alexander v. Comm'r of Soc. Sec., 85 F.3d 611 (3d Cir.1996); accord, Walker v. Barnhart, 172 Fed.Appx. 423, 426 (3d Cir. 2006). Where the ALJ finds that Plaintiff suffers from even one severe impairment,
The Court notes that the ALJ's opinion considered all impairments of record and detailed the limitations resulting from the impairments at subsequent steps. Regardless of the characterization of Plaintiff's cervical spine condition, the ALJ's determination of Plaintiff's RFC acknowledged Plaintiff's symptoms and functional impairments that resulted from Plaintiff's cervical spine condition. (Tr. 18-19). The ALJ noted medical records and Plaintiff's testimony regarding symptoms of neck pain, range of motion in the cervical spine, spasms, pain radiating to the upper extremities, side effects from medications, daily activities, duration of being able to sit, stand, and walk. (Tr. 19-22). Based on the foregoing, the ALJ's failure to characterize Plaintiff's impairment as a "disc herniation at C4/5" does not require a remand.
Plaintiff contends that the ALJ erred by: (1) failing to take account of Plaintiff's lack of medical insurance in considering his intermittent treatment as a factor in the credibility determination; (2) basing the credibility determination, in part, on the fact that Plaintiff had a prescription for Viagra but denied having a girlfriend; and (3) basing the credibility determination, in part, on the fact that Plaintiff received unemployment compensation for a period of time, when he was claiming disability. (Pl. Brief at 3-4, 8-12).
Great weight is given to a claimant's subjective testimony only when it is supported by competent medical evidence. Dobrowolsky v. Califano, 606 F.2d 403, 409 (3d Cir.1979); accord Snedeker v. Comm'r of Soc. Sec., 244 Fed. Appx. 470, 474 (3d Cir.2007). An ALJ
An ALJ may treat a claimant's noncompliance with a treatment plan as a factor in analyzing the credibility of the claimant's testimony. Smith v. Astrue, 961 F.Supp.2d 620, 654 (D.Del.2013). Furthermore, Social Security Ruling ("SSR") 96-7p, states that:
SSR 96-7p.
In the decision dated September 24, 2012, the ALJ made several observations regarding Plaintiff's intermittent treatment and failure to comply with treatment recommendations. (Tr. 19-21). The ALJ noted that "Dr. Gerald Gibbons treated the claimant from 1982 to 2012 with large gaps between treatments." (Tr. 19). The ALJ noted that "[i]n April of 2001 ... [when] Dr. Gibbons recommended abstinence from alcohol; the claimant just laughed and stated he `could not do it.'" (Tr. 19). After a September 2005 visit, the ALJ noted that "there was a gap in treatment until January of 2008." (Tr. 19). After a May 2009 visit, the ALJ noted that Plaintiff "had another gap in treatment with Dr. Gibbons with the next visit in April of 2011...." (Tr. 20). The ALJ also noted that Plaintiff "treated with Dr. John Romanace M.D., Dr. Severino Piczon M.D. and Dr. Albert Janerich M.D. from 2000 into 2007 with a gap in treatment until 2011 and 2012." (Tr. 20). The ALJ observed that Plaintiff "did not treat again with Dr. Janerich from March of 2007 until May of 2011." (Tr. 20). The ALJ noted that after the July 2011 visit, Plaintiff "had another gap in treatment until July of 2012." Tr. 20. Finally, the ALJ noted that Plaintiff:
(Tr. 21).
An ALJ may reject a claimant's subjective testimony that is not found credible so long as there is an explanation for the rejection of the testimony. SSR 96-7p, Schaudeck v. Comm'r of Social Security, 181 F.3d 429, 433 (3d Cir.1999). Specifically, Social Security Ruling ("SSR") 96-7p, requires that:
SSR 96-7p (emphasis added).
Indeed, in Newell v. Comm'r of Soc. Sec., the Third Circuit observed "that several courts have questioned the relevance of infrequent medical visits in determining when or whether a claimant is disabled." 347 F.3d 541, 547 (3d Cir.2003). Specifically, SSR 96-7 illustrates that where the "individual may be unable to afford treatment and may not have access to free or low-cost medical services," such may contradict a negative credibility finding based on the infrequency of treatment. SSR 96-7 (emphasis added). The example provided in SSR 96-7 is premised on both an inability to afford treatment and lack of access to free or low-cost medical services. SSR 96-7.
While Plaintiff argues that the ALJ failed to consider Plaintiff's lack of medical insurance, Plaintiff does not assert an inability to afford treatment during the claim period and the ALJ explicitly stated that Plaintiff's four year treatment gap with Dr. Janerich for his cervical spine injury coincides with Plaintiff's receipt of a $250,000 settlement from his automobile accident case in 2007, only for Plaintiff's treatment to resume once his Title II claim was initially denied. (Tr. 21). Moreover, not only are there gaps in treatment when Plaintiff was insured, the ALJ did comply with SSR 96-7p by considering "other information in the case record, that may explain infrequent or irregular medical visits or failure to seek medical treatment," namely, the gap in treatment preceding the receipt of $250,000 and resuming after an initial attempt to obtain Title II benefits had failed. See SSR 96-7p; (Tr. 21).
In sum, it was not error for the ALJ to not explicitly state whether Plaintiff's lack of health insurance was the reason for failure to comply with treatment recommendations and the infrequency of treatment, where: (1) failure to comply with treatment requirements and the infrequency of treatment existed when Plaintiff did have health insurance; (2) where the ALJ considered "other information in the case record, that may explain infrequent or irregular medical visits or failure to seek medical treatment" pursuant to SSR 96-7p; and (3) the record does not show that Plaintiff was unable to afford medical treatment. See SSR 96-7; Newell v. Comm'r of Soc. Sec., 347 F.3d 541, 543, 547.
In the September 2012 decision, the ALJ stated that the claimant's receipt of unemployment compensation in 2004 and 2005:
(Tr. 22). Plaintiff contends that it was error for the ALJ to not consider testimony that Plaintiff did not certify that he could work and his receipt of unemployment compensation was through a NAFTA retraining program. (Pl. Brief at 12 (citing Tr. 77)).
160 F.3d 1203, 1208 (8th Cir.1998) (internal citations omitted). The Court finds the above authority from the Seventh, Eighth and Ninth Circuits persuasive in concluding that receipt of unemployment benefits can adversely impact a social security benefit claimant's credibility, however, the negative impact cannot be uniformly or automatically applied in every case. E.g., Carmickle v. Comm'r, Soc. Sec. Admin., 533 F.3d 1155, 1161-62; Cox v. Apfel, 160 F.3d 1203, 1208.
The Court finds that the ALJ erred in assuming that Plaintiff's receipt of unemployment benefits automatically "raises an admission that the claimant verified to the State of Pennsylvania that [he] was ready, willing and able to work" (Tr. 22). See e.g., Carmickle v. Comm'r, Soc. Sec. Admin., 533 F.3d 1155, 1161-62; Cox v. Apfel, 160 F.3d 1203, 1208. However, this error is harmless since substantial evidence in the record supports that Plaintiff indicated that he was "willing and able to work." In fact, the ALJ specifically stated that contrary to Plaintiff's assertion of disability onset in 1999, claimant earned above SGA income levels through 2005. (Tr. 22). Moreover, in an April 2005 treatment
In the September 2012 decision the ALJ found that:
(TR 22). Plaintiff argues that "Viagra is a medication used for erectile dysfunction. What a man does with the consequent erection obtained by its use may reflect upon his morals but not his credibility. There was no basis in logic for the conclusion that the plaintiff was less credible because he obtained a prescription for Viagra and did not have a girlfriend." (Pl. Brief at 10).
The Court finds that it was error for the ALJ to make an adverse credibility finding based on an assumption that lacking a sexual partner contradicts "using Viagra with `excellent results.'" See Kinney v. Astrue, No. 3:11-CV-1848, 2013 WL 877164, at 98 (M.D.Pa. Mar. 8, 2013) (finding error where the ALJ's credibility judgment was based on a faulty premise). However, the above described error is harmless and does not affect the outcome of the case. See Rutherford v. Barnhart, 399 F.3d 546, 553 (3d Cir.2005). The ALJ's Viagra observation was considered in addition to the enumerated SSR 96-7 credibility factors in totality. In this totality analysis, not any single factor is dispositive and the ALJ considered many additional factors in determining Plaintiff's credibility regarding the severity of the symptoms. The ALJ also observed that "Dr. Prebola in 2003 noted the claimant had symptom magnification tendencies and had been working lifting upwards of eighty to one hundred pounds." (Tr. 22). The ALJ further observed the extent of daily activities, various reports of the frequency and intensity of cervical spine pain and radiation to the upper extremities, flareups and activities that aggravate the pain, medication, history of treatment which Plaintiff's treating physicians characterized as "conservative" (Tr. 187, 196), and a specialist's opinion that Plaintiff did not require surgery (Tr. 188-189, 421). (Tr. 18-23). Given the abovementioned facts and analysis, substantial evidence supports the ALJ's credibility determination of Plaintiff.
Therefore, the Court finds that the ALJ made the required specific findings of fact
Accordingly, it is HEREBY RECOMMENDED:
The parties are further placed on notice that pursuant to Local Rule 72.3:
Filed Dec. 9, 2014.