H. BRENT BRENNENSTUHL, Magistrate Judge.
Plaintiff Shon G. Mount ("Mount") brought this action pursuant to 42 U.S.C. § 405(g) to obtain judicial review of an administrative decision of the Commissioner of Social Security denying Mount's application for disability insurance benefits. Both the Plaintiff (DN 14) and Defendant (DN 15) have filed a Fact and Law Summary.
Pursuant to 28 U.S.C. § 636(c) and Fed.R.Civ.P. 73, the parties have consented to the undersigned United States Magistrate Judge conducting all further proceedings in this case, including issuance of a memorandum opinion and entry of judgment, with direct review by the Sixth Circuit Court of Appeals in the event an appeal is filed (DN 10). By Order entered January 30, 2014 (DN 11), the parties were notified that oral arguments would not be held unless a written request therefor was filed and granted. No such request was filed.
Mount first applied for disability insurance benefits ("DIB") and supplemental security income benefits ("SSI") on October 17, 2007, alleging a disability beginning on April 20, 2006 (Tr. 114). That application was denied at the initial and reconsideration levels, and after a hearing, it was ultimately denied by Administrative Law Judge Paul C. Armitage on May 12, 2010 (Tr. 114, 124). ALJ Armitage adjudicated Mount's disability for the period from April 20, 2006 through May 12, 2010, and found that Mount was not disabled.
Mount has filed a second application for DIB and SSI. The protective filing date for Mount's second application is June 1, 2010, prior to his date last insured of December 31, 2011 (Tr. 25, 246). He alleges disability beginning on May 13, 2010, due to Scheuermann's kyphosis, degenerative disc disease, cervical mid-back and lower back muscle spasms, rotation of the spine, compressed vertebrae, restless leg syndrome, thoracic spine and spurring height loss, panic attacks, bipolar disorder, and mood disorder anxiety (Tr. 245, 250). Mount's application was denied initially (Tr. 134) and upon reconsideration (Tr. 146). Subsequently, at Mount's request, an administrative hearing was conducted before Administrative Law Judge William C. Zuber on January 31, 2012, in Louisville, Kentucky (Tr. 43). Mount and his attorney, Alvin Wax, attended the hearing (
At Step One, ALJ Zuber found that Mount has not engaged in substantial gainful activity since May 13, 2010, the alleged onset date, through his date of last insured, December 31, 2010 (Tr. 28). At Step Two, the ALJ found that Mount's thoracic kyphosis, lumbar scoliosis, obesity, panic disorder, and intermittent explosive disorder constituted severe impairments (
(Tr. 30). This RFC adopted by ALJ Zuber is generally consistent with the RFC from the 2010 ALJ decision,
Accordingly, on May 9, 2012, the ALJ issued an unfavorable decision, finding that Mount was not disabled (Tr. 38). The Appeals Council declined to review the ALJ's decision on August 22, 2013 (Tr. 1-3). At that point, the ALJ's decision became the final decision of the Commissioner. 20 C.F.R. §§ 404.955(b), 404.981, 422.210(a); see 42 U.S.C. § 405(h) (finality of the Commissioner's decision). Mount now seeks judicial review in this Court (DN 1).
Review by the Court is limited to determining whether the findings set forth in the final decision of the Commissioner are supported by "substantial evidence," 42 U.S.C. Section 405(g);
The Social Security Act authorizes payment of Disability Insurance Benefits and Supplemental Security Income to persons with disabilities. 42 U.S.C. §§ 401 et seq. (Title II Disability Insurance Benefits), 1381 et seq. (Title XVI Supplemental Security Income). The term "disability" is defined as an
42 U.S.C. §§ 423(d)(1)(A) (Title II), 1382c(a)(3)(A) (Title XVI); 20 C.F.R. §§ 404.1505(a), 416.905(a);
In evaluating a claim of disability, an administrative law judge conducts a five-step analysis. See 20 C.F.R. §§ 404.1520, 416.920. In summary, the evaluation proceeds as follows:
Id. Here, the ALJ denied Plaintiff's claim at the fifth step.
Mount's arguments center mostly on the ALJ's RFC determination from Step Four of the sequential evaluation process (DN 14, Plaintiff's Fact & Law Summary at p. 2-10). Specifically, Mount claims that the ALJ's RFC determination is not supported by substantial evidence based on a failure to consider the record as a whole (Id. at p. 2). The Commissioner's response is two-fold, arguing that (1) Mount fails to show new and material evidence showing his condition worsened after the previous ALJ's decision finding that he was not disabled; and (2) substantial evidence supports the ALJ's RFC determination (DN 15, Defendant's Fact & Law Summary at p. 5).
In
In light of the holding in
SSAR 98-4(6). In other words, in the absence of "changed circumstances," a prior ALJ's findings and determinations are binding on a subsequent claim, even if that claim stems from an unadjudicated period.
Here, the ALJ correctly noted that
The party seeking to avoid the application of res judicata bears the burden of proving changed circumstances.
The residual functional capacity finding is the Administrative Law Judge's ultimate determination of what a claimant can still do despite his physical and mental limitations. 20 C.F.R. §§ 404.1545(a), 404.1546, 416.945(a), 416.946;
There is no dispute that Mount has put forth new evidence since the prior ALJ decision from 2010. ALJ Zuber determined that the new evidence presented by Mount—his own allegations and the treatment records—did not show that his conditions had worsened or significantly changed (Tr. 30). Instead, the ALJ found that the record evidence, evaluated as a whole, did not alter the record sufficiently to warrant a different finding or to dismiss the provision of res judicata (
Mount makes numerous arguments against ALJ Zuber's RFC determination that Mount can perform sedentary work, claiming that his finding was not supported by substantial evidence. Mount claims that the ALJ takes an inconsistent position in regard to Dr. Lawrence H. Peters' treating opinion, Dr. Aisha Zaidi's physical examination, and Dr. Mark Allen Carter's consultative examination (DN 14, Plaintiff's Fact & Law Summary at p. 2-3). Specifically, Mount points to conflicts between the findings of the three physicians, and argues that the ALJ does not resolve the discrepancies (Id. at p.4).
First, Mount disputes that the ALJ afforded "great weight" to Dr. Peters' treatment notes and the unsigned assessment that the ALJ and both parties attribute to Dr. Peters. In particular, Mount feels this "great weight" is inconsistent with Dr. Peters' opinion that Mount can "sit less than 6 hours in an 8-hour workday" (Id. at p.2). The Commissioner argues that Dr. Peters is a treating physician, thus his opinion is entitled to controlling weight (DN 15, Defendant's Fact & Law Summary at p. 6-7).
The source of medical opinion dictates the process by which the Commissioner accords it weight.
Here, Dr. Peters qualifies as a treating physician, due to his ongoing relationship with Mount, and the ALJ appropriately afforded his opinion great weight (Tr. 32). The ALJ also provided "good reasons" for giving "great weight," rather than "controlling weight," to Dr. Peters' notes and assessment. For instance, the ALJ indicates that Mount had multiple visits with Dr. Peters since his initial determination, but also that the records through November 22, 2011 reveal minimal treatment for pain management and contain subjective complaints of symptoms by Mount (Tr. 32).
The ALJ's decision to afford "great weight" to Dr. Peters' opinion, and adopt a sedentary work capacity, does not contradict Dr. Peters' finding that Mount can sit less than 6 hours in an 8-hour workday. Sedentary work "is defined as one which involves sitting [and] a certain amount of walking and standing." 20 C.F.R. § 404.1567(a). Generally, jobs are sedentary if "walking and standing are required occasionally and other sedentary criteria are met." SSR 96-9p, 1996 WL 374185, at *3. Occasional walking and standing means "occurring from very little up to one-third of the time, and would generally total no more than about two hours of an eight-hour workday." Id. Sitting generally must total about 6 hours of an 8-hour work day. Id. (emphasis added). Accordingly, a claimant does not need to be able to sit for a minimum of precisely 6 hours to perform sedentary work. See
Here, the ALJ determined that Mount could perform sedentary work allowing for a sit/stand option (Tr. 30). Admittedly, Dr. Peters does opine, in the unsigned assessment, that Plaintiff can sit for less than 6 hours in an 8-hour work day (Tr. 315). However, he also opines that Plaintiff can stand and/or walk for at least two hours in an eight-hour work day (Tr. 314). Even with Peters' directive of less than six hours of sitting, Mount can still accomplish an eight-hour work day by standing and/or walking for more than two hours.
Next, Mount argues the ALJ's review of Dr. Zaidi's one-time consultative examination provides no support for the conclusion that Mount can work for 8 hours in a sedentary job (Id. at p. 3). However, the ALJ notes in his decision that Dr. Zaidi recommended the claimant could not stand for more than 2 hours in an 8-hour workday and would be limited for prolonged sitting (Tr. 33). The ALJ concluded that Dr. Zaidi's findings regarding work capability were similar to other reports for Mount's capacity for sedentary work capability and were consistent with a limitation on prolonged sitting with a sit/stand option (
Mount also challenges the ALJ's review of Dr. Carter's one-time consultative examination. He claims Dr. Carter's finding that "[i]t is difficult to say what his exercise capacity would be without adequate evaluation of the lumbar spine" (Tr. 401) contradicts the ALJ's RFC (DN 14, Plaintiff's Fact & Law Summary at p. 4). The ALJ thoroughly reviewed Dr. Carter's examination notes, specifically finding that Mount could sit 6-8 hours, stand 3-4 hours, and walk 3-4 hours in an 8-hour work day (Tr. 33). The undersigned finds the ALJ's according "great weight" to Dr. Carter's evaluation to be supported by substantial evidence.
Focusing on the opinions of Dr. Peters (a treating source), Dr. Zaidi (a one-time evaluation), and Dr. Carter (a one-time evaluation), the undersigned finds the opinions to be generally consistent in finding that the Plaintiff can sit for about 6 hours in an 8-hour work day as required by sedentary work capacity regulations. Although these three evaluations can be considered "new" in that they were performed after the prior 2012 ALJ decision, the reports can neither be considered material, nor representative of changed circumstances. These three opinions offer little probative value because they reach the same conclusion as the prior ALJ's RFC, which allowed for sedentary work capacity with a sit/stand option. This evidence also falls short of demonstrating that there is a reasonable probability that the ALJ would have reached a different disposition of the disability claim if presented with this evidence. See
Mount challenges the ALJ's review of his mental impairments in the residual functional capacity determination as well (DN 14, Plaintiff's Fact & Law Summary at p. 4). Mount challenges the ALJ's rejection of certain limitations from a psychological consultative examination performed by Dr. Thomas Miller (DN 14, Plaintiff's Fact & Law Summary at p. 5). Specifically, Mount claims error from the ALJ's rejection of Dr. Miller's limitation that Mount could not adapt or respond to pressures normally found in a day-to-day work setting due to symptoms of major depressive disorder and panic disorder (
Mount cites to
Here, Mount's reliance on
For instance, Dr. Miller relied on Mount's complaints of poor concentration, lack of focus, and mental impairments, but during testing found that Mount could remember four digits forward, three digits backward, and that his long term memory appeared to be adequate (Tr. 319-20, 325). Dr. Miller also found that Plaintiff would be capable of managing his own benefits if they were awarded (Tr. 326). Additionally, the ALJ referred to the fact the Mount drove to his appointment and that his memory, knowledge, abstract thinking, and judgment were all intact (
Relatedly, the ALJ appropriately rejected Dr. Miller's limitations because Dr. Miller is not a treating physician. As mentioned previously, the regulations indicate that treating source opinions must receive "controlling weight" when two conditions are met. 20 C.F.R. §§ 404.1527(c)(2), 416.927(c)(2), 416.927(c)(2);
Opinions from non-treating and non-examining sources are never assessed for "controlling weight."
Dr. Miller was a consulting psychologist who met with Mount on one occasion. He is therefore not entitled to the deference accorded to the findings of treating physicians. The undersigned finds that the ALJ's decision to reject certain limitations from Dr. Miller's opinion was supported by substantial evidence and comports with applicable law.
Similarly, Mount challenges the ALJ's decision to give Dr. Andrew B. Jones' assessment little weight (DN 14, Plaintiff's Fact & Law Summary at p. 7). Mount objects to the ALJ's general statement that Dr. Jones' report had "overall inconsistency with the objective record as a whole" (
The ALJ ordered additional consultative testing from Dr. Jones in order to reconcile the discrepancies between Dr. Miller's consultative examination and the prior ALJ's decision (Tr. 35). As with Dr. Miller, Dr. Jones was a one-time examiner, and thus, his opinion was not entitled the deference given to treating sources. See
Mount's objection to the ALJ's generalized statement that Dr. Jones' report had "overall inconsistency with the objective record as a whole" is also meritless. The ALJ's evaluation of Dr. Jones' report was not simply a generalized statement. In fact, the ALJ thoroughly evaluated Dr. Jones' report using very specific examples of anecdotes from the report that contradicted the objective record. The ALJ noted that Dr. Jones found Mount was of mild mental retardation because of his WAIS Full Scale IQ score of 57, but that Mount's completion of 12th grade, ability to attain his driver's license, previous work at a semi-skilled job, and ability to play the guitar contradict Jones' finding (Tr. 35). Although the ALJ does not identify how these abilities reflect on major depressive disorder or anxiety disorder, Mount's abilities do serve as objective evidence to contradict Dr. Jones' findings and serve as valid reasons for the ALJ to accord Dr. Jones' report little weight.
Mount claims that the ALJ's recitation of his abilities is not supported by objective evidence from the record (DN 14, Plaintiff's Fact & Law Summary at p. 7). For instance, Mount argues that the ALJ's statement that Mount completed the twelfth grade as a basis for rejecting his IQ score is a gross generalization (Id. at p. 8). However, it is undisputed that Mount graduated from high school, meaning he completed the twelfth grade (Tr. 251, 320, 348). Even when test results indicate a claimant has an IQ score qualifying for mental retardation, an ALJ can still determine the claimant is not mentally retarded based on evidence that the claimant appears to function at a level exceeding his test scores.
Mount also claims that "[o]btaining a driver's license does not require the ability to read and understand English" (DN 14, Plaintiff's Fact & Law Summary at p. 8). Unfortunately, Mount undercuts his own argument by admitting he can read, understand, and write more than his name in English (Tr. 249). Mount takes issue with the ALJ's statement that he is adept at playing the guitar (Tr. 35). Again, the record evidence undercuts Mount's argument, because his mother reported that "[h]e used to be very good" at playing the guitar (Tr. 322). Lastly, Mount disagrees with the ALJ's characterization that he has past semi-skilled work (DN 14, Plaintiff's Fact & Law Summary at p. 8). The impartial vocational expert at Mount's hearing testified that Mount's previous work as a carpet cleaner had an SVP of 4, which qualifies as "semi-skilled" (Tr. 71). A vocational expert's testimony that a claimant's prior work is semi-skilled can be a relevant factor in assessing whether the claimant suffers from mental retardation.
Mount also challenges the ALJ's determination that Dr. Jones' testing suggested some over reporting of symptoms (DN 14, Plaintiff's Fact & Law Summary at p. 8-9). Specifically, Mount claims, "[a]t no point does Dr. Jones state that Mount is malingering . . . [t]here is no basis in the record for the ALJ to conclude Mount malingered or exaggerated as the examining doctor provided an explanation and the ALJ provided no medically-based rationale for rejecting the explanation" (
The ALJ found that Dr. Jones explicitly noted that Mount's testing seemed to suggest some over-reporting of his symptoms (Tr. 35). Indeed, Dr. Jones noted in regard to findings from the SA-45 that "the profile was non-differentiating and possibly purported a `plea for help' or even an over-embellishment of complaints" (Tr. 421). Dr. Jones also noted that Mount's response of "I don't remember anything" during the recognition portion of the Rey 15 examination to appraise malingering was "somewhat atypical" (Tr. 421-22). Later in his report summary, Dr. Jones again indicated that findings from the Rey 15 were "possibly indicative of symptom amplification and embellished memory dysfunction" (Tr. 424). Dr. Jones made no conclusion that Mount was malingering, but did indicate a possibility of over-reporting. Therefore the ALJ's statement that Dr. Jones' report indicated possible over-reporting of symptoms was a valid point to consider in weighing Dr. Jones' evaluation.
Finally, Mount claims that the ALJ did not explain how the discrepancies between Dr. Miller's opinion and the prior ALJ's residual functional capacity which necessitated Dr. Jones' evaluation were resolved (DN 14, Plaintiff's Fact & Law Summary at p. 9). Mount argues that because discrepancies existed, there was not substantial evidence in the record before Dr. Jones evaluation (
As mentioned previously, in order to deviate from a prior ALJ's residual functional capacity, and overcome the application of res judicata, the claimant must prove new and material evidence or changed circumstances.
Mount challenges the ALJ's full acceptance of the state agency psychologist's opinions because they did not have all of the evidence before them (DN 14, Plaintiff's Fact & Law Summary at p. 9-10). The regulations provide that "[s]tate agency medical and psychological consultants . . . are highly qualified physicians and psychologists who are also experts in Social Security disability evaluation." See 20 C.F.R. §§ 404.1527(e)(2)(i), 416.927(e)(2)(i). A non-examining physician's report is entitled to less weight than the reports of other physicians who examined the claimant.
Here, the ALJ found that the analysis of State agency psychologist, Dr. Jay Athy, was persuasive (Tr. 35). Dr. Athy performed his review of the record on August 8, 2010, and adopted the prior ALJ's RFC determination (Tr. 348). Admittedly, Dr. Athy did not evaluate the entire record because he performed his review before Dr. Carter's consultative examination, Dr. Jones' consultative examination, and additional treatment by Dr. Peters and the Portland Family Health Center (Tr. 348, 355, 375, 398, 412). It is fair to conclude that Dr. Athy did not review a significant portion of the record. Nevertheless, the ALJ considered both Dr. Carter's and Dr. Jones' one time evaluations in great detail before determining that these non-treating examinations were entitled to little weight. The ALJ was also sufficiently specific to make clear that he realized the extent and nature of Dr. Peters' treating relationship with Mount, while noting that the new records from Dr. Peters contained "minimal treatment" (Tr. 31). Cf.
Further, the ALJ appropriately gave weight to Dr. Athy's evaluation because it was consistent with the record. In his assessment, Dr. Athy considered Mount's reported activities, limitations, and medications (
Dr. Athy's findings are bolstered by evidence in the record from the treatment notes of both Dr. Peters and physicians from the Portland Family Health Center. For instance, Dr. Peters noted that Mount's medication was helpful (Tr. 354) and that Mount at times had a stable mood (
Dr. Miller's examination, Dr. Jones' examination, and Dr. Athy's evaluation can be considered "new" in that they were performed after the prior 2012 ALJ decision, however the opinions can neither be considered material, nor representative of changed circumstances. These three opinions offer little probative value because of their inconsistencies and reliance on Mount's subjective reports. This evidence also falls short of demonstrating that there is a reasonable probability the Secretary would have reached a different disposition of the disability claim if presented with this evidence. See
Mount attempts to make a number of arguments against the ALJ's evaluation of his credibility (Id. at p.4-5) by claiming that the ALJ's credibility determination is not supported by substantial evidence (Id. at p. 5).
When the ALJ evaluates credibility, a claimant's statement that he is experiencing pain or other symptoms will not, taken alone, establish that he is disabled. See 20 C.F.R. § 404.1529(a);
In determining whether a claimant suffers from debilitating pain and other symptoms, the Sixth Circuit applies the two-part test set forth in
The ALJ offered several reasons supporting his decision to discount Mount's credibility. First, the ALJ considered the conservative nature of Mount's treatment and evidence indicating that his condition showed some improvement with medication (
Additionally, the ALJ considered evidence indicating that Mount possibly over-reported his symptoms (Tr. 35). Dr. Jones observed that testing suggested some over-reporting or embellishment of symptoms and observed that Plaintiff's pain behavior was not consistent with his allegations (Tr. 424). Over-reporting or exaggerating can cast doubt on credibility.
The ALJ also took into account Plaintiff's daily activities in evaluating credibility, finding that Plaintiff could prepare simple meals, do light household chores, drive a car, listen to music, watch television, and manage his bills if needed (Tr. 36). See
The ALJ also noted that the record included some evidence of non-compliance with Plaintiff's medication regimen (Tr. 34). Mount specifically claims this finding is not supported by medical evidence in the record (
The undersigned rejects Mount's argument. The ALJ properly identified evidence in the record indicating some non-compliance of behalf of Mount with his medication and treatment (Tr. 34). For instance, Dr. Peters noted that Plaintiff needed to better follow his treatment instructions (Tr. 377). Records from the Portland Family Health Center also demonstrated that Mount refused to take medication to treat his mental impairments including Lithium, Depakote, and Seroquel (Tr. 394-95). Additionally, Dr. Larson's treatment notes indicated that Mount felt his "anxiety [was] a huge barrier to change and [was] unsure he want[ed] to work on it at this time" (Tr. 385).
Social Security Ruling 82-59 governs whether an Administrative Law Judge must question a claimant about non-compliance with treatment or medication at the administrative hearing. The ruling provides that a claimant who is found to have disability under the five step analysis, but who does not follow treatment prescribed by his or her physician that can restore her ability to work, must have a good reason for not following that treatment in order to be found disabled.
Further, Courts in this Circuit have found SSR 82-59 inapplicable "in cases where the ALJ has considered the noncompliance only as one factor in assessing the claimant's credibility or in cases where no prior disability ruling was made by an ALJ that was thereafter undone by a claimant's noncompliance with treatment recommendations."
Further, an 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."
Mount argues that although the ALJ considered his combination of impairments at step three of the sequential evaluation process, the ALJ failed to consider the combined effect of his orthopedic and mental illnesses prior to step four (DN 14, Plaintiff's Fact & Law Summary at p. 10). The Commissioner responds the ALJ's decision reflects that he did consider the impairments in combination (DN 15, Defendant's Fact & Law Summary at p. 22-23).
A disability may result from multiple impairments, no one of which alone would constitute a full disability.
Mount admits that the ALJ considered his combination of impairments at Step Three (Finding No. 5) when the ALJ states "[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" (DN 14, Plaintiff's Fact & Law Summary at p. 10) (citing Tr. 28). Instead, Mount claims the ALJ failed to consider his combination of impairments "prior to Step Four."
Here, the ALJ's finding No. 6, which includes the RFC determination, expressly refers to "the claimant's medically determinable impairments" (plural) (Tr. 31). Further, the ALJ discussed both the evidence relating to Mount's physical impairments (Tr. 32-34) and mental/psychological impairments (Tr. 34-36). Therefore, the ALJ's finding at the fourth step reflects that the ALJ considered all of Mount's impairments in combination.
Mount objects to Finding No. 9 claiming "[a]lthough Mount has completed 12 years of education, the psychological evaluation by Dr. Jones does not support this conclusion" (DN 14, Plaintiff's Fact & Law Summary at p. 10). It is well-established that "issues adverted to in a perfunctory manner, unaccompanied by some effort at developed argumentation, are deemed waived."
Mount objects to Finding No. 10, Finding No. 11, and Finding No. 12 because he believes the ALJ's evaluation in Finding No. 6 was erroneous (DN 14, Plaintiff's Fact & Law Summary at p. 10). Since Mount's arguments are based on his previous challenges to the ALJ's findings, which have been evaluated above, the undersigned concludes there is no merit to Mount's additional challenges.
This is a final and appealable Order and there is no just cause for delay.