JOHN W. LUNGSTRUM, District Judge.
Plaintiff seeks review of a decision of the Acting Commissioner of Social Security (hereinafter Commissioner) denying Disability Insurance benefits (DIB) under sections 216(i) and 223 of the Social Security Act. 42 U.S.C. §§ 416(i) and 423 (hereinafter the Act). Finding no error in the Commissioner's final decision, the court ORDERS that judgment shall be entered AFFIRMING that decision.
Plaintiff applied for DIB, ultimately alleging disability beginning July 23, 2010. (R. 15, 24, 34). Plaintiff exhausted proceedings before the Commissioner, and now seeks judicial review of the final decision denying benefits. She argues that the Administrative Law Judge (ALJ) failed to adequately evaluate the medical evidence, that the Appeals Council failed to adequately evaluate the new and material evidence provided to it and thereby erred in failing to remand for further consideration by the ALJ, and that the ALJ further erred in finding that Plaintiff's allegations of symptoms were not credible.
The court's review is guided by the Act.
The court may "neither reweigh the evidence nor substitute [its] judgment for that of the agency."
The Commissioner uses the familiar five-step sequential process to evaluate a claim for disability. 20 C.F.R. § 404.1520;
The Commissioner next evaluates steps four and five of the sequential process— determining at step four whether, in light of the RFC assessed, claimant can perform her past relevant work; and at step five whether, when also considering the vocational factors of age, education, and work experience, claimant is able to perform other work in the economy.
The court finds no error in the Commissioner's handling of this case, and it begins its analysis with consideration of the disposition by the Appeals Council.
After receiving the ALJ's decision in this case, Plaintiff requested that the Appeals Council review the hearing decision, submitted a brief to the Appeals Council providing her allegations of error in the ALJ's decision, and provided 88 pages of medical evidence for the Council's consideration. (R. 9-11, 272-79, 390-477). After receiving Plaintiff's brief and the additional evidence, the Council provided a "Notice of Appeals Council Action" to Plaintiff in which they explained that it found no reason under the rules of the agency to review the ALJ's decision, and denied Plaintiff's request for review, thereby making the ALJ's decision the final decision of the Commissioner. (R. 1). The Council included an "AC [Appeals Council] Exhibits List" listing all of the additional evidence provided by Plaintiff (R. 4), and an "Order of Appeals Council" also listing all of the additional evidence provided by Plaintiff, and stating that it was making that evidence a part of the administrative record. (R. 5). In its notice, the Appeals Council stated that it had considered "the reasons you disagree with the [hearing] decision and the additional evidence listed on the enclosed Order of Appeals Council." (R. 2). The Council "concluded that the additional evidence does not provide a basis for changing the Administrative Law Judge's decision."
As Plaintiff acknowledges, "[w]hen the Appeals Council accepts additional evidence, that is an implicit determination that it is qualifying new evidence, requiring the Appeals Council to consider it," and a reviewing court to include it in its review of the ALJ's decision. (Pl. Br. 13) (quoting
Plaintiff's real complaint is that the Council did not
But, the court is without jurisdiction to review the alleged errors of the Appeals Council in the circumstances of this case. The court's jurisdiction to decide a suit against the Social Security Administration is delimited by the Social Security Act.
But, Plaintiff is not without recourse. As Plaintiff acknowledges, evidence accepted and considered by the Appeals Council—as was the evidence on the "Order of Appeals Council" in this case—will be included in this court's review of the ALJ's decision. (Pl. Br. 13) (citing
Plaintiff claims the ALJ and the Commissioner failed to evaluate the medical evidence adequately. (Pl. Br. 10). She argues that the ALJ's step two finding of a severe disorder of the spine is "demonstrative of the manner in which the ALJ minimized and mischaracterized the medical record with regard to the severity of Plaintiff's degenerative disc disease."
(Pl. Br. 11-12). She concludes by arguing that had the ALJ and the Appeals Council "properly evaluated Plaintiff's chronic pain and lumbar radiculopathy status post lumbar laminectomy syndrome with continuing disc displacement and protrusion L4-L5 and L5-S1, they would have determined Plaintiff was totally disabled for the reason that she was unable to sustain full-time work at even a sedentary level of exertion."
The Commissioner argues that the ALJ accurately summarized the record. (Comm'r Br. 3). She argues that Plaintiff does not explain how referring to Plaintiff's multiple back impairments as a disorder of the spine minimized the impairment's severity. (Comm'r Br. 3). She points out that the decision notes examinations showing diminished sensation, reduced strength, difficulty getting on and off the exam table, difficulty squatting and arising, positive straight leg raise, decreased range of motion in her back, and tenderness.
The court finds no error in the ALJ's consideration of the medical record. He did not err or minimize the severity of Plaintiff's back impairments by labeling them collectively "disorder of the spine," and as so labeled, finding them severe within the meaning of the Act at step two of the sequential evaluation process. First, the Commissioner uses the term of art, "disorders of the spine" to describe a group of disorders in Listing 1.04, any one of which might be found so severe at step three as to be conclusively presumed disabling.
Second, the ALJ specifically considered the relevant documentary evidence in a section of his decision titled "Disorder of the spine," and in that consideration noted evidence of neural foraminal narrowing, lumbar surgeries, disc protrusion, positive straight leg raising, decreased range of motion, sensory changes, radiculopathy, numbness, tingling, weakness, and a history of lumbar disc disease. (R. 19-20). The decision is clear that although the ALJ did not find Plaintiff's disorder of the spine disabling, he did learn Plaintiff's own version of the facts relevant to his decision. He did not fail his duty of inquiry, and although he did not find the evidence as limiting as Plaintiff suggests and desires, he did not minimize it. And, the ALJ fairly summarized the evidence—both that supporting his decision, and that which was contrary to it. As the Commissioner points out, the ALJ's summary included both the evidence noted above which suggests limitations and that which suggests that the limitations are not of disabling severity, including no evidence of an assistive device for ambulation, intact peripheral pulses, ability to bend 8 inches to the floor, 4/5 strength in the right lower extremity, intact and symmetrical deep tendon reflexes, only mild difficulty with orthopedic maneuvers, no obvious foot drop or atrophy, normal gait, normal motor strength, "only mild sensory changes on the right leg," bilateral weight bearing, a "fairly normal" range of motion of the lumbar spine with "only some" tenderness, 5/5 motor strength, epidural injections and surgery had "good results," denial of numbness, weakness, and tingling on one exam, normal sensory and motor function with no focal deficits, leg raises were negative on one exam. (R. 19-20).
It was in this context that the ALJ explained, "Overall, Dr. Halphen's physical examination of the claimant was grossly normal, with grossly normal motor, sensory and reflexes, with only some deficits noted upon exam. The claimant does appear to retain a high degree of functioning physically." (R. 19). He explained that on August 13, "Overall, the claimant's physical examination was grossly normal, but she did have some deficits as noted above." (R. 20). He concluded after summarizing the relevant evidence:
(R. 20). While Plaintiff disagrees with this conclusion, she has not shown that it is unsupported by the record evidence. Plaintiff objects to the use of the term "grossly normal" in describing her examination findings, but the ALJ limited and explained his use of that term in the decision and although Plaintiff disagrees with his characterization, the record evidence supports his usage as explained.
Moreover, the new and material evidence presented to the Appeals Council is consistent with the record evidence before the ALJ. Therefore, as the Appeals Council found in its denial of review, "the additional evidence does not provide a basis for changing the Administrative Law Judge's decision." (R. 2). Although an express analysis by the Appeals Council of the new and material evidence presented to it "would be helpful to judicial review," that is not required by the applicable statutes or regulations, and because the Council did not analyze it, this "court's only option [is] to conduct a substantial-evidence review by assessing the entire agency record, including" the additional evidence presented to the Council.
First, Dr. Davis's letter opinion is insufficient to change the ALJ's decision. The facts stated by Dr. Davis regarding Plaintiff's condition had already been acknowledged in the decision. (R. 390). Beyond those facts, Dr. Davis's opinion is a single sentence stating his opinion regarding the ultimate issue of disability—"I feel her symptoms are severe to the point that she would be unable to work a full-time job."
Review of the remaining additional evidence reveals it is consistent with the earlier records in the administrative record. In fact, some of the additional records are dated within the period covered by the earlier records, and some of the records predate Plaintiff's amended alleged onset date by more than two years. Physical examinations in the additional evidence are quite similar to and consistent with the physical examinations contained in the records before the ALJ. And, they reveal that when Dr. Zwibelman discovered that Plaintiff was "trying to obtain disability," he stated, "I explained to her that she really does not have neurologic deficits that would support disability." (R. 423).
There is nothing in the additional evidence that would require the ALJ to reach a different conclusion, that evidence is similar to and consistent with the evidence before the ALJ. Therefore, that evidence does not provide a basis to change the ALJ's decision. To be sure, there is evidence in the record before the ALJ and in the additional evidence provided to the Appeals Council that would support a finding of disability, but Plaintiff does not point to evidence which requires such a finding, and the evidence supports the ALJ's decision. Plaintiff must demonstrate the error in the ALJ's rationale or finding; the mere fact that there is evidence which might support a contrary finding will not establish error in the ALJ's determination. "The possibility of drawing two inconsistent conclusions from the evidence does not prevent an administrative agency's findings from being supported by substantial evidence. We may not displace the agency's choice between two fairly conflicting views, even though the court would justifiably have made a different choice had the matter been before it de novo."
Plaintiff implies that the ALJ erred in failing to affirmatively link his credibility findings to the record evidence. (Pl. Br. 15). She argues that the reasons given for his credibility determination "were either factually inaccurate or inadequate to meet the applicable legal standard."
The Commissioner argues that the ALJ reasonably evaluated the credibility of Plaintiff's allegations, and that even if Plaintiff's argument regarding hydrocodone "had any merit, it would not be enough to overcome the ALJ's detailed analysis of the record" because one factor is insufficient to reject a credibility determination where the balance of the analysis is supported by substantial evidence. (Comm'r Br. 9) (citing
The court's review of credibility determinations is deferential. They are generally treated as binding on review.
The court's review begins with the decision at issue and involves consideration whether it is supported by substantial evidence in the record as a whole. The ALJ provided his reasons for discounting Plaintiff's allegations of limitations resulting from her symptoms. (R. 21-22). He found that Plaintiff's physical examination findings were grossly normal, her MRI findings before the 2012 redo-laminectomy only demonstrated minimal findings, her treatment provider in December 2013 stated that she had "good results" after her surgery, and if her pain was as debilitating as alleged, one would expect her to seek medical attention more often. (R. 21). He noted that during treatment in December 2013 Plaintiff reported her back pain was "moderate, and non-radiating."
Giving the ALJ's credibility determination due deference, the court finds no error. With one notable exception, the bases given by the ALJ to discount Plaintiff's allegations of symptoms are supported by the record evidence. That one exception is the ALJ's finding that Plaintiff's "MRI findings prior to her 2012 redo-laminectomy only demonstrated minimal findings." (R. 21). Earlier in his decision, the ALJ summarized the February 2012 MRI results as showing "mild right-sided neural foraminal narrowing with no effacement despite a broad-based disc protrusion." (R. 20). While the ALJ's finding is correct, the MRI finding upon which it is based also states that "[t]here is a recurrent broad-based right paracentric disc protrusion which extends into the right lateral recess and posteriorly displaces the right L5 and S1 nerve roots." (R. 322). So while there is no effacement of the L4 nerve root, the L5 and S1 nerve roots are actually
Nevertheless, the court finds that this error was harmless. As the ALJ noted, the February 2012 MRI was performed before Plaintiff received a redo-laminectomy, which, as the ALJ found, her December 2013 treatment notes described as providing "good results." (R. 385). Moreover, although an MRI in October 2014 recognized "progression of degenerative disk disease at L4-5," it also found, "There is no longer a focal right-sided component of protrusion at this level, but there may be a greater mild diffuse disk protrusion here. No other significant disk protrusion or high-grade spinal stenosis is seen." (R. 392). While the February 2012 MRI results do not provide a basis to discount Plaintiff's allegations of symptoms, the redo-laminectomy thereafter arguably produced good results and an MRI in 2014 showed no displacement of the nerve roots and confirmed no other significant disc protrusions or high-grade spinal stenosis. The question, then, is whether "the balance of the ALJ's credibility analysis is supported by substantial evidence in the record."
As discussed above, the ALJ explained his use of the term "grossly normal," and that usage is supported by the record evidence. There is no error in using this as a basis for discounting Plaintiff's allegations. Plaintiff's assertion that Plaintiff consistently remained on her medications does not blunt the force of the ALJ's finding that if her pain were as debilitating as alleged "One would reasonably assume that she would seek out medical attention more often." (R. 21).
Plaintiff objects to the ALJ's finding that she had not seen a physician since December 2013 and the treatment notes of that visit did not reveal that hydrocodone was one of her prescribed medications despite her testimony that she takes it four times a day. (Pl. Br. 16-17). She argues that this is the ALJ's insinuation that she was taking the medication illegally without a prescription, and she cites record evidence for the proposition that hydrocodone was continually prescribed by either Dr. Davis or Dr. Clough.
Plaintiff's argument that the ALJ failed to analyze credibility using the regulatory credibility factors, based his analysis only on facts supporting his determination, and did not take into account contrary evidence is unavailing. As Plaintiff argues, the law in the Tenth Circuit requires that "findings as to credibility should be closely and affirmatively linked to substantial evidence and not just a conclusion in the guise of findings."
Plaintiff's argument that her continued part-time work until 2014 "did not logically establish that she had no memory or concentration problems" (Pl. Br. 18), is without merit. While the ALJ's analysis does not
Plaintiff has shown no error requiring remand in the decision at issue.