EDWARD B. ATKINS, Magistrate Judge.
Plaintiff, Dennis Keith Hall, brought this action under 42 U.S.C. § 405(g) to obtain judicial review of the Commissioner's decision to deny his application for a period of disability, disability insurance benefits, and supplemental security income benefits. [Tr. at 377-80]. Upon consent of the parties, this matter has been referred to the undersigned to conduct all proceedings and order the entry of final judgment in accordance with 28 U.S.C. § 636(c) and Fed. R. Civ. P. 73. [R. 17]. For the reasons set forth herein, Plaintiff's Motion for Summary Judgment [R. 12] shall be denied, Defendant's Motion for Summary Judgment [R. 13] shall be granted, and Judgment shall be entered affirming the final decision of the Commissioner.
Plaintiff was born in 1962. [Tr. at 256]. He has a GED and last worked as a heavy equipment operator for a coal company. [Tr. at 257-58]. In his Disability Report, Form SSA-3368, Plaintiff claimed his work ability was limited due to diabetes, cirrhosis, hepatitis B, and degenerative disc disease. [Tr. at 402]. Thus, Plaintiff filed for disability insurance benefits and supplemental security income on September 19, 2011. [Tr. at 377-80]. The Social Security Administration denied his claims initially [Tr. at 280] and upon reconsideration [Tr. at 294]. After denial of his claims, he requested a hearing before an administrative law judge ("ALJ"). [Tr. at 323-24]. Subsequently, he testified at a hearing held on April 23, 2013 before ALJ Charlie Paul Andrus. [Tr. at 251-79]. At the hearing, Plaintiff was represented by counsel, Glenn Martin Hammond. [Tr. at 251]. During the hearing, the ALJ also heard testimony from Jenna Baldwin, a vocational expert. [Tr. at 251].
The ALJ ruled against Plaintiff in a written decision dated May 7, 2013. [Tr. at 229-50]. In his decision, the ALJ found that Plaintiff suffered from the severe impairments of "cirrhosis of the liver; hepatitis B; diabetes; degenerative joint disease of the spine; adjustment disorder; anxiety and depression (20 C.F.R. 404.1520(c))." [Tr. at 234]. Despite these conditions, the ALJ determined that "[t]he claimant does not have an impairment or combination of impairments that meets or medically equals the severity of one of the listed impairments in 20 C.F.R. Part 404, Subpart P, Appendix 1 (20 C.F.R. 404.1520(d), 404.1525 and 404.1526)." [Tr. at 235]. Continuing with his evaluation, the ALJ found that Plaintiff retained the residual functional capacity ("RFC") to perform a reduced range of light work, and he set forth his specific limitations in his opinion. [Tr. at 237]. Further, the ALJ noted that Plaintiff was unable to perform past relevant work. [Tr. at 243]. However, the ALJ determined that "there are jobs that exist in significant numbers in the national economy that the [Plaintiff] can perform." [Tr. at 243]. Based on these findings, the ALJ concluded that Plaintiff was not under a "disability" as defined by the Social Security Act. [Tr. at 245]. Following the adverse decision of the ALJ, Plaintiff properly exhausted his administrative remedies by appealing to the Social Security Appeals Council, which denied his request for review. [Tr. at 227].
On October 17, 2013, Plaintiff filed a Complaint in this Court seeking review of the Commissioner's decision. [R. 1]. In his Motion for Summary Judgment [R. 12], Plaintiff sets forth multiple arguments for reversal of the ALJ's opinion. Defendant responds that the ALJ's opinion should be affirmed, as it is supported by substantial evidence. [R. 13]. The case is now ripe for review.
A reviewing court must uphold the findings of the ALJ if they are supported by substantial evidence. 42 U.S.C. § 405(g)(2006);
The limited nature of substantial evidence review prevents the reviewing court from substituting its judgment for that of the ALJ. Rather, so long as substantial evidence exists, the reviewing court should affirm the ALJ's decision "even if there is substantial evidence in the record that would have supported an opposite conclusion."
In the present action, although the Plaintiff lists just one overarching argument-that the ALJ's decision is not supported by substantial evidence-the Court discerns four separate issues:
[R. 12-2 at 5-9]. Each issue raised by Plaintiff will be considered, in turn, below.
Plaintiff contends that the ALJ erred in rejecting the opinions of Dr. Samuel King because the doctor had a lengthy treatment relationship with Plaintiff and because he had examined Plaintiff numerous times. Two of King's opinions are at issue: (1) in September, 2011, King stated that Plaintiff was no longer able to continue any gainful employment, [Tr. at 694], and (2) in April, 2013, King opined that Plaintiff was totally and permanently disabled, [Tr. at 788].
A treating physician's opinion receives controlling weight where it is "well-supported by medically acceptable clinical and laboratory diagnostic techniques and [consistent] with other substantial evidence." 20 C.F.R. § 404.1527(d)(2). If an ALJ does not afford controlling weight to a treating physician's opinion, he must provide "good reasons" for discounting the opinion.
Moreover, the ALJ retains the ultimate responsibility for determining whether a claimant is disabled.
As an initial matter, the Court finds that the ALJ properly noted that King's opinions-that the Plaintiff is disabled and completely unable to work-are not entitled to any special deference because they are conclusory statements on the dispositive matter of whether Plaintiff is disabled. [Tr. at 242];
In his analysis, the ALJ took notice that King's report lacked a function-by-function assessment. [Tr. at 242]. Additionally, the ALJ noted that the report contained no findings to support its "sweeping conclusion." [Tr. at 242]. Based on these observations, the ALJ concluded that King's opinion was entitled to little weight because it was based on Plaintiff's subjective complaints. [Tr. at 242]. An opinion's basis in a claimant's subjective complaints is a sufficiently "good reason" for the ALJ not to afford it controlling weight.
Having found a "good reason" not to afford controlling weight to the opinion of King, the ALJ further explained his decision to afford lesser weight to King's opinion using the factors outlined in 20 C.F.R. § 404.1527(d)(2) (i.e., length and extent of treatment relationship, supportability, consistency with the record, and the treating source's specialization).
In fact, the reports of two examining physicians, Drs. Nutter and Owens, support the ALJ's decision to afford lesser weight to King's opinions on the basis of their lack of consistency with the record.
Notwithstanding the ALJ's above-described analysis, Plaintiff contends that the ALJ should have adopted King's opinion because of the length of King's treatment relationship with Plaintiff and the frequency of examinations conducted. Although the regulations instruct an ALJ to consider these factors, they do not require the ALJ to conduct an exhaustive factor-by-factor analysis or explicitly discuss each factor involved in deciding the weight to be afforded to a treating physician's opinion.
Here, the ALJ found that King's opinion was not entitled to controlling weight because it was conclusory. Further, the ALJ provided a "good reason" for not affording controlling weight to King's opinions, and he adequately explained the weight that he did, in fact, give to the opinions using the 20 C.F.R. § 404.1527(d)(2) factors. The regulations require nothing more. Thus, the Court finds no error in the ALJ's evaluation of King's opinions.
In his second argument, Plaintiff alludes generally to his subjective complaints of pain in an effort to show that the ALJ's decision is not supported by substantial evidence. [R. 12-2 at 8]. Here, the ALJ stated that he reviewed "all symptoms" in evaluating Plaintiff's RFC. [Tr. at 237]. However, he found that Plaintiff's complaints of pain and other symptoms were not entirely credible. [Tr. at 242]. Further, the ALJ expressly considered the objective medical findings and Plaintiff's daily activities before concluding that Plaintiff's statements regarding the intensity, persistence, and limiting effects of his symptoms were not credible. [Tr. at 237-43, 257, 263, 457-62, 704-08].
"[A]n ALJ's findings based on the credibility of the applicant are to be accorded great weight and deference, particularly since an ALJ is charged with the duty of observing a witness's demeanor and credibility."
Plaintiff's third argument is that the ALJ should have relied on the vocational expert's response to the hypothetical questions posed by Plaintiff's counsel rather than a less restrictive hypothetical posed by the ALJ himself. [R. 12-2 at 8]. In response to the ALJ's hypothetical, which was based on the ALJ's assessment of Plaintiff's RFC, the vocational expert identified examples of jobs Plaintiff could perform, including house sitter, order clerk, price marker, electronics worker, vinyl assembler, and bench worker. [Tr. at 272-74]. However, in response to Plaintiff's counsel's more restrictive hypothetical questions, which included additional limitations based on Plaintiff's subjective complaints and Dr. King's opinions, the vocational expert indicated that Plaintiff would not be capable of performing any available jobs. [Tr. at 244].
As previously explained, the ALJ found that neither Plaintiff's subjective complaints nor King's opinions were consistent with the overall medical record. In questioning a vocational expert regarding a claimant's impairment, the ALJ is not required to include conditions that he finds to be inconsistent with the record as a whole.
In his final argument, Plaintiff generally alleges that his heart condition has worsened since the ALJ's decision. [R. 12-2 at 8]. Further, Plaintiff states that he was hospitalized on one occasion since the hearing. [R. 12-2 at 8]. Although Plaintiff failed to cite any specific pages in the record, it appears that he is referring to records from Pikeville Medical Center dated May 2013. [Tr. at 160-201]. Indeed, the record reflects that evidence of Plaintiff's hospitalization at Pikeville Medical was submitted to the Appeals Council after the ALJ's decision. [Tr. at 2].
"[E]vidence submitted to the Appeals Council after the ALJ's decision cannot be considered part of the record for purposes of substantial evidence review."
Here, Plaintiff has utterly failed to make a showing of materiality. In fact, Plaintiff has failed to cite to § 405(g) or argue a remand is appropriate. This failure alone is a sufficient basis for the Court to reject Plaintiff's argument.
At any rate, even if the Court were to consider the additional evidence as part of the record in determining whether the ALJ's decision was supported by substantial evidence, the conclusion would not change. Even assuming that the Plaintiff's heart condition is "progressively worsening" as he has asserted [R. 12-2 at 8], "[e]vidence of a subsequent deterioration or change in condition after the administrative hearing is deemed immaterial."
For the foregoing reasons, it is ORDERED that Plaintiff's Motion for Summary Judgment [R. 12] be DENIED, Defendant Commissioner's Motion for Summary Judgment [R. 13] be GRANTED, and that Judgment be entered affirming the final decision of the Commissioner.