LEONARD T. STRAND, United States Magistrate Judge.
Plaintiff Jeffrey D. Kennedy seeks judicial review of a final decision of the Commissioner of Social Security (the Commissioner) denying his applications for Social Security Disability benefits (DIB) and Supplemental Security Income benefits (SSI) under Title II and Title XVI of the Social Security Act, 42 U.S.C. § 401 et seq. (Act). Kennedy contends that the administrative record (AR) does not contain substantial evidence to support the Commissioner's decision that he was not disabled during the relevant period. For the reasons that follow, the Commissioner's decision will be affirmed.
Kennedy was born in 1970 and has past work as a construction worker, landscape laborer, production worker/production machine worker and injection molding machine
On December 9, 2013, Kennedy filed a complaint (Doc. No. 2) in this court seeking review of the Commissioner's decision. On January 9, 2014, with the parties' consent (Doc. No. 6), the Honorable Mark W. Bennett transferred this case to me for final disposition and entry of judgment. The parties have briefed the issues and the matter is now fully submitted.
A disability is defined as the "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 twelve months." 42 U.S.C. § 423(d)(1)(A); accord 42 U.S.C. § 1382c(a)(3)(A); 20 C.F.R. §§ 404.1505, 416.905. A claimant has a disability when the claimant 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 which exists ... in significant numbers either in the region where such individual lives or in several regions of the country." 42 U.S.C. §§ 423(d)(2)(A), 1382c(a)(3)(B).
To determine whether a claimant has a disability within the meaning of the Social Security Act, the Commissioner follows a five-step sequential evaluation process out-lined in the regulations. 20 C.F.R. §§ 404.1520, 416.920; see Kirby v. Astrue, 500 F.3d 705, 707 (8th Cir.2007). First, the Commissioner will consider a claimant's work activity. If the claimant is engaged in substantial gainful activity, then the claimant is not disabled. 20 C.F.R. §§ 404.1520(a)(4)(i), 416.920(a)(4)(i).
Second, if the claimant is not engaged in substantial gainful activity, the Commissioner looks to see "whether the claimant has a severe impairment that significantly limits the claimant's physical or mental ability to perform basic work activities." Dixon v. Barnhart, 353 F.3d 602, 605 (8th Cir.2003). "An impairment is not severe if it amounts only to a slight abnormality that would not significantly limit the claimant's physical or mental ability to do basic work activities." Kirby, 500 F.3d at 707; see 20 C.F.R. §§ 404.1520(c), 404.1521(a), 416.920(c), 416.921(a).
The ability to do basic work activities is defined as "the abilities and aptitudes necessary to do most jobs." 20 C.F.R. §§ 404.1521(b), 416.921(b). These abilities and aptitudes include (1) physical functions such as walking, standing, sitting, lifting, pushing, pulling, reaching, carrying, or handling; (2) capacities for seeing, hearing, and speaking; (3) understanding, carrying out, and remembering simple instructions; (4) use of judgment; (5) responding appropriately to supervision, co-workers, and usual work situations; and (6) dealing with changes in a routine work
Third, if the claimant has a severe impairment, then the Commissioner will consider the medical severity of the impairment. If the impairment meets or equals one of the presumptively disabling impairments listed in the regulations, then the claimant is considered disabled, regardless of age, education, and work experience. 20 C.F.R. §§ 404.1520(a)(4)(iii), 404.1520(d), 416.920(a)(4)(iii), 416.920(d); see Kelley v. Callahan, 133 F.3d 583, 588 (8th Cir.1998).
Fourth, if the claimant's impairment is severe, but it does not meet or equal one of the presumptively disabling impairments, then the Commissioner will assess the claimant's residual functional capacity (RFC) to determine the claimant's "ability to meet the physical, mental, sensory, and other requirements" of the claimant's past relevant work. 20 C.F.R. §§ 404.1520(a)(4)(iv), 404.1545(a)(4), 416.920(a)(4)(iv), 416.945(a)(4). "RFC is a medical question defined wholly in terms of the claimant's physical ability to perform exertional tasks or, in other words, what the claimant can still do despite his or her physical or mental limitations." Lewis v. Barnhart, 353 F.3d 642, 646 (8th Cir.2003) (internal quotation marks omitted); see 20 C.F.R. §§ 404.1545(a)(1), 416.945(a)(1). The claimant is responsible for providing evidence the Commissioner will use to make a finding as to the claimant's RFC, but the Commissioner is responsible for developing the claimant's "complete medical history, including arranging for a consultative examination(s) if necessary, and making every reasonable effort to help [the claimant] get medical reports from [the claimant's] own medical sources." 20 C.F.R. §§ 404.1545(a)(3), 416.945(a)(3). The Commissioner also will consider certain nonmedical evidence and other evidence listed in the regulations. See id. If a claimant retains the RFC to perform past relevant work, then the claimant is not disabled. Id. §§ 404.1520(a)(4)(iv), 416.920(a)(4)(iv).
Fifth, if the claimant's RFC as determined in Step Four will not allow the claimant to perform past relevant work, then the burden shifts to the Commissioner to prove that there is other work that the claimant can do, given the claimant's RFC as determined at Step Four, and his or her age, education, and work experience. See Bladow v. Apfel, 205 F.3d 356, 358-59 n. 5 (8th Cir.2000). The Commissioner must prove not only that the claimant's RFC will allow the claimant to make an adjustment to other work, but also that the other work exists in significant numbers in the national economy. Eichelberger v. Barnhart, 390 F.3d 584, 591 (8th Cir.2004); 20 C.F.R. §§ 404.1520(a)(4)(v), 416.920(a)(4)(v). If the claimant can make an adjustment to other work that exists in significant numbers in the national economy, then the Commissioner will find the claimant is not disabled. If the claimant cannot make an adjustment to other work, then the Commissioner will find that the claimant is disabled. 20 C.F.R. §§ 404.1520(a)(4)(v), 416.920(a)(4)(v). At Step Five, even though the burden of production shifts to the Commissioner, the burden of persuasion to prove disability remains on the claimant. Stormo v. Barnhart, 377 F.3d 801, 806 (8th Cir.2004).
The ALJ made the following findings:
AR 10-21.
The Commissioner's decision must be affirmed "if it is supported by substantial evidence on the record as a whole." Pelkey v. Barnhart, 433 F.3d 575, 577 (8th Cir.2006); see 42 U.S.C. § 405(g) ("The findings of the Commissioner of Social Security as to any fact, if supported by substantial
In determining whether the Commissioner's decision meets this standard, the court considers "all of the evidence that was before the ALJ, but it [does] not re-weigh the evidence." Vester v. Barnhart, 416 F.3d 886, 889 (8th Cir.2005). The court considers both evidence which supports the Commissioner's decision and evidence that detracts from it. Kluesner v. Astrue, 607 F.3d 533, 536 (8th Cir.2010). The court must "search the record for evidence contradicting the [Commissioner's] decision and give that evidence appropriate weight when determining whether the overall evidence in support is substantial." Baldwin v. Barnhart, 349 F.3d 549, 555 (8th Cir.2003) (citing Cline v. Sullivan, 939 F.2d 560, 564 (8th Cir.1991)).
In evaluating the evidence in an appeal of a denial of benefits, the court must apply a balancing test to assess any contradictory evidence. Sobania v. Sec'y of Health & Human Servs., 879 F.2d 441, 444 (8th Cir.1989). The court, however, does not "reweigh the evidence presented to the ALJ," Baldwin, 349 F.3d at 555 (citing Bates v. Chater, 54 F.3d 529, 532 (8th Cir.1995)), or "review the factual record de novo." Roe v. Chater, 92 F.3d 672, 675 (8th Cir.1996) (citing Naber v. Shalala, 22 F.3d 186, 188 (8th Cir.1994)). Instead, if, after reviewing the evidence, the court finds it "possible to draw two inconsistent positions from the evidence and one of those positions represents the Commissioner's findings, [the court] must affirm the [Commissioner's] denial of benefits." Kluesner, 607 F.3d at 536 (quoting Finch v. Astrue, 547 F.3d 933, 935 (8th Cir. 2008)). This is true even in cases where the court "might have weighed the evidence differently." Culbertson, 30 F.3d at 939 (quoting Browning v. Sullivan, 958 F.2d 817, 822 (8th Cir.1992)). The court may not reverse the Commissioner's decision "merely because substantial evidence would have supported an opposite decision." Baker v. Heckler, 730 F.2d 1147, 1150 (8th Cir.1984); see Goff v. Barnhart, 421 F.3d 785, 789 (8th Cir.2005) ("[A]n administrative decision is not subject to reversal simply because some evidence may support the opposite conclusion.").
As noted above, the ALJ found that Kennedy suffers from two severe impairments: lumbar degenerative disc disease and obesity.
To determine a claimant's credibility, the ALJ must consider:
Polaski v. Heckler, 739 F.2d 1320, 1322 (8th Cir.1984). "Other relevant factors include the claimant's relevant work history, and the absence of objective medical evidence to support the complaints." Mouser v. Astrue, 545 F.3d 634, 638 (8th Cir.2008) (quoting Wheeler v. Apfel, 224 F.3d 891, 895 (8th Cir.2000)). An ALJ may not discount a claimant's subjective complaints solely because they are unsupported by objective medical evidence. Halverson v. Astrue, 600 F.3d 922, 931-32 (8th Cir. 2010). However, the lack of supporting objective medical evidence is a factor the ALJ may consider. Ford v. Astrue, 518 F.3d 979, 982 (8th Cir.2008).
The ALJ is not required "`to discuss methodically each Polaski consideration, so long as he acknowledge[s] and examine[s] those considerations before discounting [the claimant's] subjective complaints.'" Steed v. Astrue, 524 F.3d 872, 876 (8th Cir.2008) (quoting Lowe v. Apfel, 226 F.3d 969, 972 (8th Cir.2000)). If an ALJ discounts a claimant's subjective complaints, he or she is required to "detail the reasons for discrediting the testimony and set forth the inconsistencies found." Ford, 518 F.3d at 982 (quoting Lewis, 353 F.3d at 647). The ALJ's credibility determinations are entitled to deference if "they [a]re supported by good reasons and substantial evidence." Cox v. Barnhart, 471 F.3d 902, 907 (8th Cir.2006). Thus, credibility determinations are primarily to be made by the ALJ, not by the courts. Pearsall v. Massanari, 274 F.3d 1211, 1218 (8th Cir.2001).
Early in his ruling, the ALJ observed that Kennedy received unemployment benefits during the period of alleged disability and that this is a relevant factor that must be considered. AR 11. Later, the ALJ described Kennedy's own testimony about his limitations. For example, he noted that Kennedy testified he can sit for only 15 to 20 minutes at a time, can walk only 50 feet without a cane, can stand for only 10 to 12 minutes before suffering increased back pain and can lift about two full gallons of milk. AR 14. He further noted that Kennedy alleged he must lie down for an hour or two after sitting for 15 to 20 minutes and, because of this sitting limitation, can drive for only 15 minutes at a time. AR 15.
The ALJ next summarized the relevant medical evidence of record, starting with two prior back surgeries — a hemilaminectomy at left L5-S1 in 2002 and a microdiscectomy at left L4-L5 in 2005. Id. The ALJ noted that while Kennedy claims a disability onset date of November 15, 2009, there is no evidence of ongoing treatment at that time. Id. Instead, the next reference to back pain is a hospital record from July 2010, which states that Kennedy reported the use of Ibuprofen for back pain. Id.
The ALJ then reviewed Kennedy's evaluation and treatment by various physicians from August 2010 through May 2012. AR 15-18. A lumbar spine MRI in October 2010 showed moderate disc bulges, no evident nerve root impingement and minimal changes from a 2005MRI. AR 15, 409. On December 10, 2010, treating physician Jeffrey Goerss, M.D., provided a medical
AR 337-38.
The ALJ next discussed a physical examination by a treating neurosurgeon, Michael Puumala, M.D., in February 2011. AR 16. Dr. Puumala indicated that he reviewed the prior MRI and found no specific compression of the nerve root. AR 16, 426. Dr. Puumala reported that he found no surgical indications and referred Kennedy to Mark Drymalski, M.D., for conservative treatment. AR 426.
Dr. Drymalski saw Kennedy on February 24, 2011. AR 16. A physical examination revealed that Kennedy had full strength in both legs; full range of motion in his lumbar spine, hips, knees and ankles; and negative straight-leg-raise and hip impingement test results. AR 16-17, 354. Although Kennedy walked with an antalgic gait favoring his left leg, he was able to walk independently for short distances and there was no indication that it was medically necessary for him to use a cane.
The ALJ next discussed a RFC assessment dated March 30, 2011, and prepared by Dennis Weis, M.D., a state agency medical consultant who reviewed Kennedy's records but did not examine him. AR 17. Dr. Weis noted that Kennedy's general physical exam was normal, apart from obesity, including excellent range of motion in his back and joints. AR 17, 331. He further observed that Kennedy's use of a cane was not medically necessary and that non-organic, subjective reports tended to erode Kennedy's credibility. AR 17, 331. Dr. Weis found that Kennedy could meet the physical demands of light work but should be restricted to occasional climbing, balancing, stooping, kneeling, and crouching; should never crawl or climb ladders, ropes, or scaffolds; and should avoid concentrated exposure to environmental hazards. AR 17, 326-28.
The ALJ also referenced a functional capacity evaluation conducted by Stephanie McClellan, an occupational therapist, one week before the hearing. AR 18. While noting that Ms. McClellan is not an acceptable medical source,
As noted earlier, the issue before me is whether the ALJ's assessment of Kennedy's credibility is supported by good reasons and substantial evidence. It is. The ALJ properly concluded the limitations Kennedy alleges are not supported by the objective medical evidence. The lumbar spine MRI performed in October 2010 showed only moderate disc bulging, no evident nerve root impingement and minimal changes from an MRI scan taken four years before the alleged onset date. AR 409. In December 2010, treating source Dr. Goerss noted some limitations but made no reference to pain caused by prolonged sitting. AR 337-38. Treating neurosurgeon Dr. Puumala examined Kennedy in February 2011, found no surgical indications and recommended only conservative treatment. AR 426. And in April 2011, treating source Dr. Drymalski determined that Kennedy could perform light-duty work on a full-time basis. AR 359.
Similarly, a functional capacity evaluation conducted shortly before the hearing found that Kennedy could perform light work. AR 438. By contrast, no treating or consultative source provided an opinion that the effects of Kennedy's impairments are so severe as to prevent him from performing work of any kind. The ALJ did not err in finding that the medical evidence fails to support Kennedy's subjective allegation of complete disability.
Of course, the lack of supporting medical evidence cannot serve as the only basis for discounting a claimant's subjective complaints. Halverson, 600 F.3d at 931-32. Here, the ALJ took other factors into account, including (a) Kennedy's daily activities, (b) the fact that he sought and received only minimal treatment and (c) Kennedy's receipt of unemployment benefits during the relevant period of time. AR 11-17. These factors are likewise supported by substantial evidence in the record as a whole.
With regard to daily activities, Kennedy testified that he lived alone, could drive short distances and was able to do his own cooking, cleaning, laundry, and shopping. AR 15, 18, 33, 63, 65. The ALJ was permitted to find that Kennedy's ability to engage in these activities is inconsistent with his complaint of disabling pain. Medhaug v. Astrue, 578 F.3d 805, 817 (8th Cir.2009); Roberson v. Astrue, 481 F.3d 1020, 1025 (8th Cir.2007).
As for treatment, the record contains no evidence that Kennedy was seeking or receiving treatment for back pain as of the alleged onset date. When Kennedy did receive treatment after that date, the treatment was conservative. In August 2010, Dr. Goerss treated Kennedy's pain with medication and injections. AR 15, 413-15. In February 2011, Dr. Drymalski
Finally, it is undisputed that Kennedy received unemployment benefits during part of the period of alleged disability. AR 57-58, 229, 231-32. A claim for unemployment compensation adversely affects a claimant's credibility because an applicant for unemployment compensation must hold himself out as available, willing and able to work. Jernigan v. Sullivan, 948 F.2d 1070, 1074 (8th Cir.1991). The Commissioner's regulations provide that an individual who is able to engage in substantial gainful activity will not be considered disabled. See 20 C.F.R. §§ 404.1571, 416.971. "Acts which are inconsistent with a claimant's assertion of disability reflect negatively upon that claimant's credibility." Medhaug, 578 F.3d at 817 (citing Johnson v. Apfel, 240 F.3d 1145, 1148 (8th Cir. 2001)). The ALJ was entitled to consider Kennedy's receipt of unemployment benefits as a factor in determining that Kennedy's subjective complaints were not fully credible.
In short, the ALJ provided good reasons, supported by substantial evidence in the record as a whole, for his assessment of Kennedy's credibility. As such, the ALJ's credibility determination is entitled to deference and is therefore affirmed. Cox, 471 F.3d at 907.
After a thorough review of the entire record and in accordance with the standard of review I must follow, I conclude that the ALJ's determination that Kennedy was not disabled within the meaning of the Act is supported by substantial evidence in the record. Accordingly, the decision of the ALJ is