JOHN M. BODENHAUSEN, Magistrate Judge.
This cause is on appeal from an adverse ruling of the Social Security Administration. The suit involves Applications for Disability Insurance Benefits under Title II of the Social Security Act and Supplemental Security Income under Title XVI of the Act. Plaintiff has filed a Brief in Support of his Complaint, and the Commissioner has filed a Brief in Support of her Answer. The parties consented to the jurisdiction of the undersigned pursuant to 28 U.S.C. § 636(c).
On July 19, 2011, Plaintiff David Lyle Ezell filed Applications for Supplemental Security Income and Disability Insurance Benefits under Title II of the Act, 42 U.S.C. §§ 401
At the hearing on May 14, 2013, Plaintiff testified in response to questions posed by the ALJ and counsel. (Tr. 27-43) Plaintiff last worked on March 31, 2008, the date of his automobile accident and his initial alleged disability onset date. (Tr. 30-31) Plaintiff's parents have supported him since that time. (Tr. 31) Plaintiff testified that he tries to help around the house and in his father's garden by planting potatoes, picking tomatoes, and watering. (Tr. 32) Plaintiff occasionally drives but not far. (Tr. 35) Plaintiff occasionally does the dishes and makes a few meals, but a healthcare provider usually prepares his meals. (Tr. 32-33) Plaintiff testified that he started receiving the services of a healthcare provider eight months after the accident. (
Plaintiff testified that turning his neck causes him pain. (Tr. 34) Dr. Andrew Gayle is his primary care doctor. (Tr. 33) Plaintiff has received numerous trigger-point injections as treatment for his neck pain with some pain relief. (Tr. 37-38) Plaintiff testified that no doctor has recommended any additional surgeries. (Tr. 38) In addition to his physical problems, Plaintiff testified that Dr. Salazar treats his mental problems. (Tr. 34) Plaintiff testified that he takes Valium and Celexa, and the medications help with his anger, but they cause him fatigue. (Tr. 36) Plaintiff indicated that he experiences crying spells and problems concentrating. (Tr. 39, 41) Plaintiff testified that he had difficulty getting comfortable, and this causes him problems sleeping at night. Plaintiff reported taking at least one to two naps a day, varying from thirty minutes to one hour to two hours in duration. (Tr. 37)
Plaintiff testified that he could not perform sedentary work because he cannot sit for a long period of time without having to lie down. (
Vocational Expert Mr. Bob Hammond testified at the hearing. (Tr. 45-50) The VE characterized Plaintiff's vocational background to include work experience as a tree trimmer, a sawmill worker, a truck driver, and a welder. (Tr. 45)
The ALJ asked the VE to assume someone similar to Mr. Ezell in age, education, and work experience who was limited to sedentary work, with the additional limitations that this individual would be able to only occasionally climb, stoop, balance, kneel, crouch, or crawl; only limited to reaching in front but no overhead reaching; and would be required to avoid concentrated exposures to vibration. (Tr. 45-46) The VE testified that such individual could perform work as an eyewear assembler, a circuit board screener, and a semiconductor bonder, all of the jobs at the sedentary exertional level.
Finally, the VE opined all jobs would be eliminated if he assumed a "third individual that was only occasionally able to sustain sufficient concentration, and persistence, or pace to do even the simplest task for eight hours a day, five days a week on a regular basis." (
In response to the question by Plaintiff's counsel, the VE classified how most of the jobs he cited are performed at a counter top with the individual alternating between standing or sitting throughout the shift. (Tr. 49) The VE further clarified that if the individual had to alternate between sitting and standing in excess of every thirty minutes, this would preclude the performance of competitive work inasmuch as that would take the individual away from persistency and pace by being off task more than six percent of the time. Counsel asked how many days the individual could miss each month before being terminated. (
In a Disability Report — Field Office, the DDS interviewer noted that Plaintiff walked with a cane and had to stand up a half an hour into the interview. (Tr. 154) The interviewer observed that Plaintiff "had a neck brace with him that he placed behind his head and leaned back against the wall." (
In his Disability Report — Appeal, Plaintiff did not allege any worsening or new impairments since he filed his last completed disability report. (Tr. 180)
The medical evidence in the record shows that Plaintiff has a history of back and neck pain, anxiety, stiffness in the left side of his body, and diabetes. (Tr. 210-689) Although the Court has carefully considered all of the evidence in the administrative record in determining whether the Commissioner's adverse decision is supported by substantial evidence, only the medical records relevant to the ALJ's decision and the issues raised by Plaintiff on this appeal are discussed.
To obtain disability insurance benefits, Claimant must establish that he was disabled within the meaning of the Social Security Act not later than the date his insured status expired, in this case September 30, 2013.
On April 1, 2008, Plaintiff presented in the emergency room at Poplar Bluff Regional Medical Center for treatment of injuries sustained in a motor vehicle accident. (Tr. 551) A computerized tomography scan showed a fracture of the right facet of C7. (Tr. 557) Dr. Ray listed acute cervical strain in the clinical impression. (Tr. 551) Plaintiff was discharged home in a stable and improved condition, and Dr. Ray found he could be appropriately treated on an outpatient basis. (
Between September 29, 2009, and May 18, 2011, Dr. Yuli Soeter treated Plaintiff at the Pain Clinic at Poplar Bluff Regional Medical Center. (Tr. 239-99, 446-549) Plaintiff presented at the pain clinic on September 29, 2009 on referral by Dr. Andrew Gayle. (Tr. 297, 547) Plaintiff reported having chronic neck pain that had been ongoing for a couple of years after a motor vehicle accident. Although Plaintiff had cervical spine surgery fourteen months earlier, he still experienced pain, and physical therapy helped "a little." Plaintiff reported any activity caused his pain to worsen. (
During treatment on May 27, 2010, Plaintiff stated "that he is much improved since first being treated at this clinic" and "he had been able to increase his exercise regimen and build his muscle and strength back up in the left upper extremity." (Tr. 275, 516) Plaintiff reported that Elavil provided him pain relief and enhanced his sleep. Dr. Soeter's examination showed muscle spasms with trigger point areas and motor strength of 5 out of 5 in Plaintiff's upper extremities. Dr. Soeter administered a trigger point injection and continued his Elavil prescription. (Tr. 274-75, 515-16) On June 24, 2010, Plaintiff reported that his range of motion and his activities had increased since undergoing the trigger point injections to the point where he had been working in the garden digging, shoveling, and weeding. (Tr. 272, 512) Plaintiff was grateful for the relief he had received from Amitriptyline, and he received a trigger point injection. (Tr. 271-72, 511-12) During treatment on July 22 and August 19, 2010, Plaintiff complained of continued pain, and he received trigger point injections. (Tr. 265-69, 507-09) In follow-up on September 16, October 7, and November 4, 2010, Plaintiff received trigger point injections, and he reported being able to increase his activity after having these injections, but he still experienced significant pain. (Tr. 256-64, 496-505) Plaintiff noted that the Xylocaine Gel helped his discomfort, but he discontinued taking Keppra due to the side effects of nausea and agitation. (Tr. 260)
Plaintiff returned for trigger point injections on January 4 and March 2 and 30, 2011. (Tr. 247-55, 484-93) Plaintiff stated "it is worth going through the procedure to have relief for several weeks" but he still complained of pain. (Tr. 248) Plaintiff requested refills of Xylocaine Gel and Elavil, and he stated that both medications helped him control his pain. (Tr. 251) Plaintiff also requested trigger point injections, and he reported doing well with that treatment. (
On June 15, 2011, Plaintiff complained of significant burning pain with a history of spinal enthesopathy and cervicalgia. (Tr. 239, 478) Plaintiff explained how his pain started after he killed a three-foot long snake with a water hose, and in the process of killing the snake, he was very physical resulting in a significant increase in pain. (
On August 8, 2011, Plaintiff complained of burning and tingling radiation from his neck down to his shoulder. (Tr. 384, 474) Plaintiff attributed his pain to increased activity. To decrease Plaintiff's pain and improve his function, Dr. Soeter administered a trigger point injection and converted his Xylocaine Jelly to Xylocaine Ointment to provide better pain relief and he also increased Plaintiff's dosage of Elavil. (Tr. 382, 384) In follow-up treatment on September 8, 2011, Plaintiff reported he had approximately 50% relief for two weeks, and he had increased activity so the pain had returned. (Tr. 392, 470) Dr. Soeter refilled the Xylocaine Ointment and administered a trigger point injection. (Tr. 390, 392) During treatment on October 12, 2011, Dr. Soeter noted Plaintiff has a history of cervicalgia, left upper extremity radicular pain, cervical post laminectomy syndrome, and spinal enthesopathy. (Tr. 400, 467) Plaintiff received refills of his medications and a trigger point injection. (Tr. 398-400) Although Plaintiff reported good pain relief from the trigger point injection on November 9, 2011, he complained of burning pain in his left upper arm after he fell in a barn. (Tr. 407, 464) An intracranial CT scan showed no problems. Dr. Soeter provided the medication refills and administered a trigger point injection. (Tr. 405, 407) On December 7, 2011, Plaintiff reported that his burning pain was significantly better, but he indicated that he still needed a trigger point injection and medication refills. (Tr. 414, 461) Dr. Soeter administered the injection and ordered the medication refills. (Tr. 412, 414)
Plaintiff returned on January 5, 2012, and reported continued use of Elavil and Xylocaine Jelly without any side effects or problems and requested further trigger point injections. (Tr. 421, 457) Dr. Soeter administered the trigger point injections. (Tr. 419, 421) In follow-up on February 22, 2012, Plaintiff stated he used Xlyocaine Gel for pain control and Elavil at bedtime for pain control. (Tr. 429, 454) Plaintiff reported that his pain increased due to his missed appointment. Dr. Soeter administered a trigger point injection and refilled his Xylocaine Gel and Elavil prescriptions. (Tr. 427, 429) On March 22, 2012, Dr. Soeter administered a trigger point injection to decrease Plaintiff's pain and improve his function and provided a prescription for a functional capacity test. (Tr. 664) Dr. Soeter noted that he had received a letter from Plaintiff's counsel asking him to rate Plaintiff's disability and noted that he would write a prescription for a physical therapist who would have the appropriate equipment and certification to rate Plaintiff's disability. (
On May 1, 2012, Plaintiff returned to the clinic complaining of burning pain and neck pain. Dr. Soeter noted that Plaintiff had responded to the current medication regimen well so he prescribed Xylocaine Gel and Elavil and administered a trigger point injection. (Tr. 447-48) Dr. Soeter encouraged Plaintiff to continue the range of motion exercises. (Tr. 661) During treatment on May 22, 2012, Plaintiff requested a trigger point injection be administered and asked Dr. Soeter to rate his disability. (Tr. 451)
Between June 25, 2012, and March 18, 2013, Dr. Ross Andreassen treated Plaintiff's arm and neck pain. (Tr. 571-618) On June 25, 2012, Dr. Andreassen evaluated Plaintiff's cervical pain on referral by Dr. Gayle and rated that pain as moderate-to-severe. (Tr. 614, 650-55) Dr. Andreassen found Plaintiff's functional impairment to be moderate and interfered only with some daily activities such as sleeping. Plaintiff advised that applying heat relieved the pain. (
Plaintiff returned on October 3 and 31, 2012, for follow-up treatment for his neck pain. (Tr. 594-601) Plaintiff reported that the pain medications were helping to improve his daily functioning, and he had no adverse reactions to the medications. Examination showed some cervical tenderness and Dr. Andreassen continued Plaintiff's medication regimen. (
Between September 21, 2009, and June 15, 2011, Dr. Juan Carlos Salazar, of Poplar Bluff Psychiatry Services, treated Plaintiff's depressive disorder every two months and rated his GAF score between 55 and 64. (Tr. 216-36) On November 20, 2009, Plaintiff reported improvement in his pain and attributed that improvement to his treatment at a pain clinic. (Tr. 219) On March 23, 2010, Plaintiff reported that he was better overall and had no adverse drug reactions. (Tr. 222) During treatment on June 29, 2010, Plaintiff reported no drug reactions. (Tr. 228) In an April 26, 2011, Psychiatric Diagnostic Interview Note, Plaintiff reported having been given pain pills for his neck injury which he used occasionally. (Tr. 234-25) Dr. Salazar noted that Plaintiff had a significant substance abuse history due to his regular marijuana usage and methamphetamine usage. On June 15, 2011, Plaintiff reported that he was sore from catching and physically battling a snake with a water hose. (Tr. 231) Plaintiff reported that he did not have any depressive symptoms or any drug reactions. (
Between August 8, 2011, and March 5, 2012, Dr. Salazar treated Plaintiff's depressive disorder every two months and rated his GAF score between 55 and 65. (Tr. 433-42)
Dr. Andrew Gayle, Plaintiff's primary care physician, treated him from November 11, 2009, through October 29, 2012. A radiology examination of his right shoulder on November 11, 2009, showed diastasis of the AC joint. (Tr. 340)
During a recheck of hyperlipidemia on May 10, 2010, Plaintiff reported that his back/joint pain was a little better. (Tr. 327) During treatment for diabetes on July 9, 2010, Dr. Gayle encouraged Plaintiff to exercise. (Tr. 321) In follow-up treatment on December 8, 2010, Plaintiff presented for a recheck of anxiety, and Dr. Gayle observed Plaintiff was not anxious. (Tr. 311-12) On June 23, 2011, Plaintiff presented for an evaluation of neck pain, and he reported "[t]he onset of the neck pain has been sudden following an incident not at work (fell this am left shoulder hit neck) and has been occurring for 2 hours." (Tr. 301) Dr. Gayle's examination revealed tenderness of his posterior neck. (Tr. 302) Dr. Gayle prescribed a soft collar for Plaintiff to wear over the weekend and, if his symptoms worsened, Dr. Gayle directed him to return for treatment. (Tr. 302)
An x-ray of his cervical spine on July 9, 2010, showed post surgical changes of his upper and lower cervical spine, degenerative changes with some mild disc space narrowing, and natural foramina. (Tr. 344-45) The reviewing doctor noted no change since the previous examination on January 26, 2009. (
On November 7, 2011, Plaintiff reported being hit in the head with a car door four days earlier and being knocked to the ground. (Tr. 367) Plaintiff sought treatment in the emergency room. Plaintiff stated that he felt better, but he was still having some pain and stiffness in his neck. (Tr. 367)
On March 28, 2012, Plaintiff returned for a recheck of his diabetes and hypertension. (Tr. 645-49) Dr. Gayle made the diagnosis of hyperlipdemia and directed Plaintiff to keep the scheduled follow-up treatment with an endocrinologist. (Tr. 647) Plaintiff returned on June 8 and July 25, 2012, for recheck appointments with Dr. Gayle. (Tr. 636-40) During follow-up treatment on October 29, 2012, Plaintiff admitted that he had failed to follow-up with an endocrinologist, and he has poor compliance with treatment noting he stopped taking Levimir. (Tr. 628) Dr. Gayle resumed Plaintiff's Levimir prescription and ordered to diet and monitor his blood sugar closely. (Tr. 629).
On September 9, 2011, Plaintiff presented at Southeast Endocrinology for treatment of his diabetes by Dr. Wu Wen. (Tr. 188) Dr. Wen listed family history, obesity and sedentary lifestyle as Plaintiff's risk factors. (
On March 1, 2013, Plaintiff returned for treatment at the Piedmont Family Clinic and admitted that he had not been taking his diabetes medications and consequently was having problems with diabetes. (Tr. 564) Dr. Toney restarted Plaintiff's diabetes medications. (Tr. 563) In follow-up treatment on March 22, 2013, Plaintiff reported he was doing well; Dr. Toney refilled Plaintiff's medication regimen and addressed his tobacco abuse. (Tr. 560)
An cervical spine computed tomography on June 2, 2009, revealed interval anterior cervical discectomy and fusion at C6-C7, and degenerative changes of the cervical spine, and postoperative changes of the posterior element fusion from C2-C3 through C3-C4 levels. (Tr. 212-13) An MRI of Plaintiff's cervical spine showed interval postsurgical findings of anterior fusion C6-C7 with myelomalacia and atrophy affecting the cord at this level. (Tr. 214-15)
A radiography of Plaintiff's cervical spine on July 6, 2010, revealed anterior cervical fusion at C6-C7 and posterior cervical fusion at C2-C3 and C-3-C4. (Tr. 210) The radiologist noted there to be no acute fracture or other abnormalities. (
From April 13, 2009 through March 31, 2014, Plaintiff received in-home personal care assistant from Genesis Home Care for three hours a day from April 1, 2010 through March 31, 2014, authorized by the Missouri Division of Senior and Disability Services. (Tr. 671-689)
The ALJ found that Plaintiff met the insured status requirements of the Social Security Act through September 30, 2013. (Tr. 11) Plaintiff has not engaged in substantial gainful activity since May 28, 2010, the amended onset date. The ALJ found Plaintiff has the severe impairments of disorders of the back and affective disorders, but no impairment or combination of impairments listed in, or medically equal to one listed in Appendix 1, Subpart P, Regulations No. 4. (Tr. 11-12) The ALJ found that Plaintiff has the residual functional capacity to perform a full range of sedentary work "except he can occasionally climb, stoop, balance, kneel, crouch, and crawl; he can occasionally reach overhead bilaterally; he must avoid concentrated exposure to vibration; and he is limited to unskilled work." (Tr. 13) The ALJ found Plaintiff is unable to perform any past relevant work. (Tr. 16) Plaintiff has at least a high school education and is able to communicate in English. The ALJ found that, considering Plaintiff's age, education, work experience, and residual functional capacity, there are jobs existing in significant numbers in the national economy he could perform including an eyewear assembler, circuit board screener, and semi-conductor bonder. (Tr. 17) The ALJ concluded Plaintiff has not been disabled within the meaning of the Social Security Act at any time from May 28, 2010, the alleged onset date, through the date of the decision. (
To be eligible for DIB and SSI, Plaintiff must prove that he is disabled.
The Commissioner has promulgated regulations outlining a five-step process to guide an ALJ in determining whether an individual is disabled. First, the ALJ must determine whether the individual is engaged in "substantial gainful activity." If he is, then he is not eligible for disability benefits. 20 C.F.R. § 404. 1520(b). If he is not, the ALJ must consider step two which asks whether the individual has a "severe impairment" that "significantly limits [the claimant's] physical or mental ability to do basic work activities." 20 C.F.R. § 404.1520(c). If the claimant does not have a severe impairment, he is not eligible for disability benefits. If the claimant has a severe impairment the ALJ proceeds to step three in which he must determine whether the impairment meets or is equal to one determined by the Commissioner to be conclusively disabling. If the impairment is specifically listed, or is equal to a listed impairment, the claimant will be found disabled. 20 C.F.R. § 404.1520(d). If the impairment is not listed, or is not the equivalent of a listed impairment, the ALJ proceeds to step four which asks whether the claimant is capable of doing past relevant work. If the claimant can still perform past work, he is not disabled. 20 C.F.R. § 404.1520(e). If the claimant cannot perform past work, the ALJ proceeds to step five in which the ALJ determines whether the claimant is capable of performing other work in the national economy. In step five, the ALJ must consider the claimant's "age, education, and past work experience." Only if a claimant is found incapable of performing other work in the national economy will she be found disabled. 20 C.F.R. § 404.1520(f);
Court review of an ALJ's disability determination is narrow; the ALJ's findings will be affirmed if they are supported by "substantial evidence on the record as a whole."
In reviewing the Commissioner's decision, the Court must review the entire administrative record and consider:
Plaintiff contends that the ALJ's decision is not supported by substantial evidence on the record as a whole, because the ALJ failed to properly assess his credibility and RFC. Plaintiff also contends the ALJ failed to fully and fairly develop the record.
Plaintiff contends that the ALJ's decision is not supported by substantial evidence on the record as a whole, because the ALJ failed to properly assess his credibility and RFC.
The Eighth Circuit has instructed that, in the course of making an RFC determination, the ALJ is to consider the credibility of a claimant's subjective complaints in light of the factors set forth in
The factors identified in
In this case, the ALJ concluded that Plaintiff's "allegations concerning the intensity, persistence and limiting effects of his symptoms are less than fully credible because those allegations are greater than expected in light of the objective evidence of record," and his "statements concerning the intensity, persistence and limiting effects of these symptoms [were] not credible to the extent they are inconsistent with the [ALJ's RFC] assessment." (Tr. 14) In evaluating Plaintiff's credibility, the ALJ determined that he was not fully credible, in part, because of his routine and conservative treatment since the amended onset date, and improvement in pain and psychiatric symptoms with treatment.
The ALJ gave sufficient reasons for his adverse credibility finding and substantial evidence in the record supports the ALJ's reasoning. Although the ALJ did not specifically mention
Regarding back pain, the ALJ noted Plaintiff received routine and conservative treatment since the amended onset date, i.e., outpatient medication management and trigger point injections. This is a proper consideration.
Next, the ALJ noted that the various forms of treatment have been generally successful in controlling Plaintiff's pain and mental health symptoms.
Plaintiff's activity level further undermines his assertion of total disability.
Further, the Court has not found any examining physician's treatment notes stating that Plaintiff was disabled or unable to work, or imposing mental or functional limitations on his capacity for work.
The medical records are inconsistent with Plaintiff's alleged exertional limitations. For example, numerous treating sources encouraged Plaintiff to exercise, and they never imposed any restrictions on Plaintiff's activities. On May 27, 2010, Plaintiff stated "that he is much improved since first being treated at this clinic" and "he had been able to increase his exercise regimen and build his muscle and strength back up in the left upper extremity." (Tr. 275, 516) One provider noted that Plaintiff was able to undergo exercise testing and to participate in an exercise program and encouraged him to increase his activity level. Also, Dr. Andreassen made findings that Plaintiff's pain had only a moderate interference with daily activities.
Additionally, "[a]n ALJ may discount a claimant's subjective complaints if there are inconsistencies in the record as a whole."
In reviewing the record in this case, therefore, the Court is satisfied that the ALJ complied with the standards outlined in
After engaging in a proper credibility analysis, the ALJ incorporated into Plaintiff's RFC those impairments and restrictions found to be credible.
An independent vocational expert testified in response to hypothetical questions that incorporated the same limitations as the RFC, and opined that such individual could perform work as an eyewear assembler, a circuit board screener, and a semiconductor bonder.
Furthermore, Plaintiff's contention that the ALJ failed to consider how his pain interfered with his ability to concentrate is without merit. First, the medical record is devoid of any reporting of this limitation to any treatment provider by Plaintiff. No treatment provider noted such a limitation. Second, as discussed above, the ALJ properly discounted Plaintiff's subjective complaints.
Therefore, the undersigned finds that the ALJ did, in fact, consider Plaintiff's pain in making his RFC determination. Although the lack of objective medical evidence supporting Plaintiff's subjective complaints may not be the sole basis for rejecting those complaints, it is a proper consideration.
The undersigned finds, therefore, that the ALJ's RFC determination is supported by substantial evidence on the record as a whole. "It is not the role of [the reviewing] court to reweigh the evidence presented to the ALJ or to try the issue in this case de novo."
Plaintiff also contends the ALJ failed to fully and fairly develop the record. Plaintiff argues that the ALJ should have recontacted his treating physician to ask for his opinion on Plaintiff's ability to perform work-related functions. Plaintiff's argument appears to rest on a passage in the ALJ's decision in which the ALJ concluded that "there is no medical source statement from any source that suggests functional limitations more restrictive than the [RFC] found in this decision, and no medical source statement of functional limitations from any treating source." (Tr. 15) As explained below, the lack of an opinion from Plaintiff's treating source does not, in this case, necessitate a finding that the ALJ failed to properly develop the record.
"A social security hearing is a non-adversarial proceeding, and the ALJ has a duty to fully develop the record."
Although it is an ALJ's duty to develop the record; it is the claimant's duty to prove his RFC.
In the instant case, there was sufficient medical evidence, as well as Plaintiff's own testimony, for the ALJ to determine that although Plaintiff had pain, it was not disabling pain. The medical records evidenced improvement with consistent, conservative treatment. Further, neither the medical records nor the treating doctors suggested any significant functional limitations. The record provides a sufficient basis for the ALJ's decision, and he was not required to further develop the record.
For the foregoing reasons, the ALJ's decision is supported by substantial evidence on the record as a whole. Although Plaintiff articulates why a different conclusion might have been reached, the ALJ's decision, and, therefore, the Commissioner's, was within the zone of choice and should not be reversed for the reasons set forth above. An ALJ's decision is not to be disturbed "`so long as the . . . decision falls within the available zone of choice. An ALJ's decision is not outside the zone of choice simply because [the Court] might have reached a different conclusions had [the Court] been the initial finder of fact.'"