Reid v. Social Security Administration, Commissioner of - Document 19
Court Description:
MEMORANDUM AND ORDER - It is ordered that judgment shall be entered pursuant to the fourth sentence of 42 U.S.C. § 405(g) AFFIRMING the Commissioners decision.Signed by District Judge John W. Lungstrum on 2/10/2012. (ses)
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IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF KANSAS
GWENDOLYN JOYCE REID,
)
)
Plaintiff,
)
)
v.
)
)
)
MICHAEL J. ASTRUE,
)
Commissioner of Social Security,
)
)
Defendant.
)
________________________________________ )
CIVIL ACTION
No. 11-1023-JWL
MEMORANDUM AND ORDER
Plaintiff seeks review of a partially favorable decision of the Commissioner of
Social Security (hereinafter Commissioner) awarding disability insurance benefits (DIB)
and supplemental security income (SSI) beginning June 1, 2008, under sections 216(i),
223, 1602, and 1614(a)(3)(A) of the Social Security Act. 42 U.S.C. §§ 416(i), 423,
1381a, and 1382c(a)(3)(A) (hereinafter the Act). Plaintiff complains that the
Commissioner did not find disability beginning January 1, 2006 as was alleged in
Plaintiff’s applications. Finding no error, the court ORDERS that judgment shall be
entered pursuant to the fourth sentence of 42 U.S.C. § 405(g) AFFIRMING the
Commissioner’s decision.
I.
Background
Plaintiff applied for both DIB and SSI in August 2006, alleging her disability
began January 1, 2006. (R. 14, 131-41). The applications were denied initially and upon
reconsideration, and Plaintiff requested a hearing before an Administrative Law Judge
(ALJ). (R. 14, 61-64, 82). Plaintiff’s request was granted, and Plaintiff appeared with a
non-attorney representative, Ms. Lenora L. Fairbank, for a hearing before ALJ Robert J.
Burbank on September 16, 2008. (R. 14, 27). A vocational expert also appeared at the
hearing, but testimony was taken only from Plaintiff. (R. 14, 27-60).
On January 22, 2009, ALJ Burbank issued his decision finding that because of a
back injury in June 2008, Plaintiff’s spinal disorder met the criteria of Listing 1.04, and
he awarded disability beginning June 1, 2008. (R. 14-26). The ALJ also found that
before June 1, 2008 Plaintiff’s impairments or combination of impairments did not meet
or medically equal any impairment in the Listing of Impairments. (R. 16-19). He found
that Plaintiff was able to perform the full range of sedentary work for the period between
January 1, 2006 and May 31, 2008, and that although she was unable to perform any of
her past relevant work, there were jobs in significant numbers in the economy that
Plaintiff was able to perform. (R. 19-25). Therefore the ALJ denied benefits for the
period of time from January 1, 2006 through May 31, 2008. (R. 25-26).
Plaintiff disagreed with the disability onset date determined by the ALJ and
requested Appeals Council review. (R. 8-9). The Appeals Council found no reason to
review the decision, and denied Plaintiff’s request. (R. 1-3). Therefore, the ALJ’s
2
decision is the final decision of the Commissioner. (R. 1); Blea v. Barnhart, 466 F.3d
903, 908 (10th Cir. 2006). Plaintiff now seeks judicial review. (Doc. 1).
II.
Legal Standard
The court’s jurisdiction and review are guided by the Act. Weinberger v. Salfi,
422 U.S. 749, 763 (1975) (citing 42 U.S.C. § 405(g)); Wall v. Astrue, 561 F.3d 1048,
1052 (10th Cir. 2009) (same); Brandtner v. Dep’t of Health and Human Servs., 150 F.3d
1306, 1307 (10th Cir. 1998) (sole jurisdictional basis in social security cases is 42 U.S.C.
§ 405(g)). Section 405(g) of the Act provides for review of a final decision of the
Commissioner made after a hearing in which the plaintiff was a party. It also provides
that in judicial review “[t]he findings of the Commissioner as to any fact, if supported by
substantial evidence, shall be conclusive.” 42 U.S.C. § 405(g). The court must determine
whether the factual findings are supported by substantial evidence in the record and
whether the ALJ applied the correct legal standard. Lax v. Astrue, 489 F.3d 1080, 1084
(10th Cir. 2007); accord, White v. Barnhart, 287 F.3d 903, 905 (10th Cir. 2001).
Substantial evidence is more than a scintilla, but is less than a preponderance; it is such
evidence as a reasonable mind might accept to support a conclusion. Wall, 561 F.3d at
1052; Gossett v. Bowen, 862 F.2d 802, 804 (10th Cir. 1988). The court may “neither
reweigh the evidence nor substitute [its] judgment for that of the agency.” Bowman v.
Astrue, 511 F.3d 1270, 1272 (10th Cir. 2008) (quoting Casias v. Sec’y of Health &
Human Servs., 933 F.2d 799, 800 (10th Cir. 1991)); accord, Hackett v. Barnhart, 395
3
F.3d 1168, 1172 (10th Cir. 2005). Whether substantial evidence supports the
Commissioner’s decision is not simply a quantitative exercise, for evidence is not
substantial if it is overwhelmed by other evidence or if it constitutes mere conclusion.
Gossett, 862 F.2d at 804-05; Ray v. Bowen, 865 F.2d 222, 224 (10th Cir. 1989).
An individual is under a disability only if that individual can establish that she has
a physical or mental impairment which prevents her from engaging in any substantial
gainful activity, and which is expected to result in death or to last for a continuous period
of at least twelve months. Thompson v. Sullivan, 987 F.2d 1482, 1486 (10th Cir. 1993)
(citing 42 U.S.C. § 423(d)); see also, Knipe v. Heckler, 755 F.2d 141, 145 (10th Cir.
1985) (quoting identical definitions of a disabled individual from both 42 U.S.C.
§§ 423(d)(1) and 1382c(a)(3)(A)); accord, Lax, 489 F.3d at 1084 (citing 42 U.S.C.
§§ 423(d)(1)(A), 1382c(a)(3)(A)). The claimant’s impairments must be of such severity
that she is not only unable to perform her past relevant work, but cannot, considering her
age, education, and work experience, engage in any other substantial gainful work
existing in the national economy. 42 U.S.C. §§ 423(d)(2)(A), 1382c(a)(3)(B).
The Commissioner uses a five-step sequential process to evaluate disability. 20
C.F.R. §§ 404.1520, 416.920 (2008); Wilson v. Astrue, 602 F.3d 1136, 1139 (10th Cir.
2010) (citing Williams v. Bowen, 844 F.2d 748, 750 (10th Cir. 1988)). “If a
determination can be made at any of the steps that a claimant is or is not disabled,
evaluation under a subsequent step is not necessary.” Wilson, 602 F.3d at 1139 (quoting
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Lax, 489 F.3d at 1084). In the first three steps, the Commissioner determines whether
claimant has engaged in substantial gainful activity since the alleged onset, whether she
has a severe impairment(s), and whether the severity of her impairment(s) meets or equals
the severity of any impairment in the Listing of Impairments (20 C.F.R., Pt. 404, Subpt.
P, App. 1). Williams, 844 F.2d at 750-51. After evaluating step three, the Commissioner
assesses claimant’s residual functional capacity (RFC). 20 C.F.R. §§ 404.1520(e),
416.920(e). This assessment is used at both step four and step five of the sequential
evaluation process. Id.
The Commissioner next evaluates steps four and five of the sequential process-determining whether claimant can perform her past relevant work; and whether, when
considering vocational factors of age, education, and work experience, claimant is able to
perform other work. Wilson, 602 F.3d at 1139 (quoting Lax, 489 F.3d at 1084). In steps
one through four the burden is on claimant to prove a disability that prevents performance
of past relevant work. Blea, 466 F.3d at 907; accord, Dikeman v. Halter, 245 F.3d 1182,
1184 (10th Cir. 2001); Williams, 844 F.2d at 751 n.2. At step five, the burden shifts to
the Commissioner to show that there are jobs in the economy within Plaintiff’s capability.
Id.; Haddock v. Apfel, 196 F.3d 1084, 1088 (10th Cir. 1999).
Plaintiff claims that the ALJ’s decision is not supported by substantial evidence;
that the ALJ did not perform a function-by-function assessment of Plaintiff’s capabilities,
but merely made a summary conclusion that she can perform the full range of sedentary
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work; and that the ALJ improperly weighed the treating source opinion of Dr. Shaver.
The Commissioner argues that the ALJ properly considered the medical opinions,
including Dr. Shaver’s opinion; that the ALJ properly assessed Plaintiff with the RFC for
a full range of sedentary work, which is a sufficiently definite RFC; and that substantial
record evidence supports the decision. The court finds no error in the Commissioner’s
decision. The court addresses the issues presented here in the order they would be
reached in applying the sequential evaluation process, and begins with the ALJ’s
evaluation of Dr. Shaver’s treating source opinion.
III.
Evaluation of the Treating Source Opinion
Plaintiff’s allegations of error in the evaluation of Dr. Shaver’s opinion are not
entirely clear. Plaintiff notes that the ALJ summarized Dr. Shaver’s opinions in his
decision, and then quotes two portions of the ALJ’s analysis. (Pl. Br. 10-11) (citing (R.
22); and quoting (R. 23)). Next, she notes that Dr. Shaver diagnosed Plaintiff with
systemic lupus erythematosus and fibromyalgia, and points to record evidence that a
consultative physician noted that Plaintiff’s cooperation was maximum and that Plaintiff
had severe difficulty squatting and rising from the sitting position. Id. at 11 (citing (R.
318, 319, 260, 261)). She also stated that “Dr. Shaver’s treatment notes indicate that
plaintiff’s complaints of pain were ‘consistent with previous visits.’” Id. (quotation marks
in Plaintiff’s Brief, but without citation to the record). The purpose of providing this
background information is not clear, because Plaintiff does not make any argument that
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this information shows error in the ALJ’s evaluation of Dr. Shaver’s opinion. To the
extent it may be an invitation to the court to reweigh the evidence and substitute its
judgment for that of the agency, that is contrary to the standard to be applied, and the
court will not do so. Bowman, 511 F.3d at 1272 (court will “neither reweigh the evidence
nor substitute [its] judgment for that of the agency”).
The court discerns in Plaintiff’s brief (after the initial summary discussed above)
three allegations of error regarding the evaluation of Dr. Shaver’s opinion. First, Plaintiff
asserts that the ALJ accorded controlling weight to Dr. Shaver’s opinion only to the
extent the opinion supports the finding that Plaintiff could perform sedentary work. (Pl.
Br. 11). Plaintiff implies that in according controlling weight to only a portion of the
opinion the ALJ picked and chose those parts of the opinion favorable to his decision, and
abstracted pieces of the evidence favorable to his decision while ignoring the evidence as
a whole. Id. (citing Robinson v. Barnhart, 366 F.3d 1078, 1083 (10th Cir. 2004); Lee v.
Barnhart, 117 Fed. Appx. 674, 678 n.2 (10th Cir. 2004); O’Connor v. Shalala, 873 F.
Supp. 1482, 1491 (D. Kan. 1995); Jones v. Sullivan, 804 F. Supp. 1398, 1406 (D. Kan.
1992); and Claasen v. Heckler, 600 F. Supp. 1507, 1511 (D. Kan. 1985)).
Next, Plaintiff argues it was error for the ALJ to discount Dr. Shaver’s opinion on
the basis that Plaintiff was referred to him “by her representative in connection with her
disability claim, not because of problematic symptoms.” (Pl. Br. 11) (quoting (R. 23)).
She argues this is so for three reasons: (1) Because that finding is factually incorrect;
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(2) Because “an ALJ’s assertion that a family doctor naturally advocates his patient’s
cause is not a good reason to reject his opinion,” (Pl. Br. 11-12) (quoting McGoffin v.
Barnhart, 288 F.3d 1248, 1253 (10th Cir. 2002)); and (3) Because an ALJ may not base
rejection of a treating source opinion on the ALJ’s own speculation. (Pl. Br. 12).
In her third allegation of error, Plaintiff asserts that the “ALJ’s primary complaint
with Dr. Shaver’s opinion is the part that indicates plaintiff would miss two or more days
of work a month due to symptoms.” Id. (citing (R. 226)). She asserts that the “ALJ
faulted Dr. Shaver for ‘uncritically accept[ing] as true most, if not all, of what the
claimant reported,’” and argues that Dr. Shaver is qualified as a rheumatologist and “is
best qualified to assign limitations based on his interpretation of the objective medical
evidence and plaintiff’s subjective complaints.” Id. She concludes her argument, “If Dr.
Shaver thinks plaintiff would miss work due to her symptoms, then the ALJ should have
agreed and not discounted his opinion for specious reasons. As a matter of fact, what Dr.
Shaver opined is exactly what happened with plaintiff’s last job.” Id.
The Commissioner addresses each of Plaintiff’s arguments regarding evaluation of
Dr. Shaver’s opinion. (1) He acknowledges that an ALJ “may not ‘pick and choose
through an uncontradicted medical opinion,’ . . . [but asserts that] Dr. Shaver’s opinions
. . . were not uncontradicted.” (Comm’r Br. 16-17) (quoting Haga v. Astrue, 482 F.3d
1205, 1208 (10th Cir. 2007)). He asserts that the ALJ explained his bases for rejecting
most of Dr. Shaver’s opinion while accepting one segment of it. Id. at 17. (2) He argues
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that the ALJ’s finding that Plaintiff was referred to Dr. Shaver in connection with her
disability claim rather than in response to specific medical problems is but one sentence
of a lengthy analysis regarding Dr. Shaver’s opinion, and nonetheless reflects on
“Plaintiff’s credibility and her ability to perform sedentary work during an eight-hour
workday.” (Comm’r Br. 17). Finally, (3) the Commissioner recognizes Plaintiff’s
argument that the ALJ’s “primary complaint” is with Dr. Shaver’s assessment of a need to
miss two or more days of work a month. Id. However, he points to the ALJ’s statement
that Dr. Shaver merely accepted Plaintiff’s subjective allegations and to the ALJ’s finding
that Dr. Shaver’s opinion was not supported by any objective evidence, and argues that
these facts constitute proper bases to discount the opinion, particularly where the ALJ has
previously discounted the credibility of Plaintiff’s allegations of symptoms. Id. at 17-18.
A.
Standard for Evaluating Treating Source Opinion
Plaintiff’s brief properly summarizes the law regarding treating source opinions.
(Pl. Br. 9-10). As Plaintiff points out, the opinions of physicians or psychologists who
have treated a claimant for a period of time (treating sources)1 are generally given more
1
The regulations define three types of “acceptable medical sources:”
“Treating source:” an “acceptable medical source” who has provided the claimant
with medical treatment or evaluation in an ongoing treatment relationship. 20 C.F.R.
§§ 404.1502, 416.902.
“Nontreating source:” an “acceptable medical source” who has examined the
claimant, but never had a treatment relationship. Id.
“Nonexamining source:” an “acceptable medical source” who has not examined
the claimant, but provides a medical opinion. Id.
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weight than the opinions of those who have merely examined the claimant (nontreating
sources), or of those who formed an opinion only from reviewing the medical record
(nonexamining sources). (Pl. Br. 9) (citing Robinson, 366 F.3d at 1084). The opinion of
a nontreaing source is generally entitled to less weight than that of a treating source, and
the opinion of a nonexamining source who has never seen the claimant but formed an
opinion after simply reviewing the records is generally entitled to the least weight. Id.;
see also Doyal v. Barnhart, 331 F.3d 758, 762-63 (10th Cir. 2003); and Talbot v. Heckler,
814 F.2d 1456, 1463 (10th Cir. 1987) (citing Broadbent v. Harris, 698 F.2d 407, 412
(10th Cir. 1983), Whitney v. Schweiker, 695 F.2d 784, 789 (7th Cir. 1982), and Wier ex
rel. Wier v. Heckler, 734 F.2d 955, 963 (3d Cir. 1984)).
A treating source opinion about the nature and severity of a claimant’s
impairments must be given controlling weight if it is both well supported by clinical and
laboratory diagnostic techniques, and “not inconsistent” with the other substantial
evidence in the case record. (Pl. Br. 9) (citing Castellano v. Sec’y of Health & Human
Servs., 26 F.3d 1027, 1029 (10th Cir. 1994); 20 C.F.R. §§ 404.1527(d)(2),
416.927(d)(2)); see also Watkins v. Barnhart, 350 F.3d 1297, 1300-01 (10th Cir. 2003);
and Soc. Sec. Ruling (SSR) 96-2p, West’s Soc. Sec. Reporting Serv., Rulings 111-15
(Supp. 2011) (“Giving Controlling Weight to Treating Source Medical Opinions”).
If the treating source opinion is not given controlling weight, the inquiry does not
end. (Pl. Br. 9); see also Watkins, 350 F.3d at 1300. A treating source opinion is “still
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entitled to deference and must be weighed using all of the factors provided in 20 C.F.R.
§ 404.1527 and 416.927.” Watkins, 350 F.3d at 1300. Those factors are: (1) the length
of treatment relationship and frequency of examination; (2) the nature and extent of the
treatment relationship, including the treatment provided and the kind of examination or
testing performed; (3) the degree to which the physician’s opinion is supported by
relevant evidence; (4) consistency between the opinion and the record as a whole;
(5) whether or not the physician is a specialist in the area upon which an opinion is
rendered; and (6) other factors brought to the ALJ’s attention which tend to support or
contradict the opinion. (Pl. Br. 10) (citing Watkins, 350 F.3d at 1300-01); see also 20
C.F.R. §§ 404.1527(d)(2-6), 416.927(d)(2-6); and Drapeau v. Massanari, 255 F.3d 1211,
1213 (10th Cir. 2001).
After considering the regulatory factors, the ALJ must give reasons in the decision
for the weight he gives the treating source opinion. Watkins, 350 F.3d at 1301. “Finally,
if the ALJ rejects the opinion completely, he must then give ‘specific, legitimate reasons’
for doing so.” Id. (citing Miller v. Chater, 99 F.3d 972, 976 (10th Cir. 1996) (quoting
Frey v. Bowen, 816 F.2d 508, 513 (10th Cir. 1987)).
B.
The ALJ’s Consideration
In analyzing Plaintiff’s impairments and their severity at step two of the sequential
process, the ALJ acknowledged that Plaintiff has a history of lupus, right hip pain, and
low back pain. (R. 16). He stated that Plaintiff’s “[m]edical treatment was minimal until
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she was referred by her attorney2 to a rheumatologist in May, 20053.” He noted that the
rheumatologist to whom Plaintiff was referred was Dr. Shaver. (R. 16).
In his summaries of the medical evidence, the ALJ referred liberally to Dr.
Shaver’s treatment notes:
The claimant was referred by her representative to rheumatologist Timothy
Shaver, M.D., on May 25, 2007, reporting a history of lupus. Hip X-rays
were essentially negative, but there was evidence of early osteoarthritis in
the right knee. Dr. Shaver noted skin changes attributed to lupus and stated
that the claimant’s discomfort in the hands and feet could be related to
lupus. He prescribed Plaquenil 200. The claimant’s right knee was tender
and had crepitus, but was not significantly swollen. The claimant
repeatedly declined recommendations for knee injections. She was
diagnosed with fibromyalgia on August 27, 2007 after testing positive on 18
out of 18 tender points. Her symptoms did not significantly improve with
2
In arguing that the ALJ’s decision is not supported by substantial record evidence,
Plaintiff points out that the individual to whom the ALJ refers as Plaintiff’s “attorney”
both at page 16 and at page 20 in the decision was actually a non-attorney representative.
(Pl. Br. 5). Plaintiff is correct, and the court notes that the ALJ recognized that fact
repeatedly in his decision. (R. 14, 16, 23). Moreover, in the first paragraph of his
decision, the ALJ introduced Plaintiff’s representative as “Lenora L. Fairbank, a nonattorney representative.” (R. 14). On page 16, after stating Plaintiff was referred by her
attorney, in the next paragraph the ALJ stated that the “claimant was referred by her
representative to rheumatologist Timothy Shaver, M.D., on May 25, 2007.” (R. 16).
Later, in his analysis of Dr. Shaver’s opinion, the ALJ confirmed his understanding that
Plaintiff “was referred to Dr. Shaver by her representative.” (R. 23). The court finds
merely typographical errors and no prejudice in the ALJ’s reference to Plaintiff’s
representative as an attorney.
3
This is another typographical error. Plaintiff’s first visit with Dr. Shaver was
May, 2007, and the ALJ provided the correct date in the very next paragraph as noted in
footnote 2 above. (R. 16); see also, (R. 322). As Plaintiff points out, the Index
erroneously refers to Dr. Shaver’s opinion as “dated 11/29/2005,” although it was actually
dated November 29, 2007. (Pl. Br. 10). In his analysis of the opinion evidence, the ALJ
identified the correct dates. (R. 22).
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Plaquenil, causing Dr. Shaver to attribute them primarily to fibromyalgia
(exhibit 10F) [(R. 314-24)].
(R. 16-17).
During his initial evaluation on May 25, 2007, Dr. Shaver also noted
crepitus in the right knee, but stated that the claimant had normal range of
motion in the upper and lower extremities and very little difficulty using the
fingers and toes (despite the claimant’s reports to the contrary). There was
no definite evidence of synovitis although the claimant’s hands were puffy.
There was normal range of motion in the cervical spine, but decreased
flexion and extension of the lumbar spine. Straight leg raising was
negative. The claimant was ambulatory with a cane and reflexes were intact
(exhibit 10F/7, 9) [(R. 320, 322)]. During an examination on November 26,
2007, the claimant had no synovitis in the fingers, toes, or wrists and no
paresthesia in the hands. Pinch strength was mildly diminished (exhibit
10F/5) [(R. 318)]. On January 28, 2008, Dr. Shaver noted that the claimant
had mildly positive straight leg raising on the right, but reasonable range of
motion in the spine (exhibit 10/4) [(R. 317)]. Dr. Shaver stated on March
27, 2008 that the claimant had good mobility in the shoulders, elbows,
wrists, and small joints of the hands with no synovitis, although the left
wrist was mildly swollen and there was tenderness in the shoulders. The
claimant’s reported weakness in the hip girdle region was not substantiated
objectively (exhibit 10F/3) [(R. 316)].
(R. 17-18).
The ALJ applied the correct legal standard to evaluating Dr. Shaver’s opinion.
First, he summarized Dr. Shaver’s opinion, and explained why he did not give it
controlling weight:
As for the opinion evidence, rheumatologist Timothy S. Shaver, M.D.,
completed a medical source statement on November 29, 2007 stating that he
had treated the claimant for lupus and fibromyalgia since May, 2007 and
had seen her every 2 to 3 months since that date. He stated that the claimant
was subject to widespread myofascial pain aggravated by activity and
causing tenderness, muscle spasm, paresthesias most prominent in the
hands, and impaired sleep, but no limitation of spinal motion, and
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exacerbated by depression, anxiety, and psychological factors. Dr. Shaver
stated that the claimant’s symptoms would frequently interfere with
concentration and attention, and kept the claimant from standing and
walking longer than 2 hours of an 8-hour workday or sitting longer than 4
hours of an 8-hour workday, as well as necessitating position changes every
30 to 45 minutes. He recommended sedentary lifting restrictions, but
opined that the claimant would have to take unscheduled 10 minute breaks
once or twice a day and could only rarely stoop and bend. He also stated
that the claimant could not grasp or turn items with her hands or reach more
than 10% of a day or engage in fine manipulation more than 25% of an
average work day and would be expected to miss 2 days of work each
month due to her symptoms (exhibit 1F) [(R. 221-26)]. Dr. Shaver repeated
these recommendations on August 5, 2008 (exhibit 11F) [(R. 325-28)].
In this case, Dr. Shaver’s opinion is not supported by his objective findings,
which showed crepitus but no swelling in the knee. The claimant had
normal range of motion in the upper and lower extremities and very little
difficulty using the fingers and toes. There was no synovitis although the
claimant’s hands were puffy. There was no paresthesia in the hands. Pinch
strength was only mildly diminished. There was normal range of motion in
the cervical spine and reasonable range of motion in the lumbar spine.
Straight leg raising was negative. The claimant was ambulatory with a cane
and reflexes were intact (exhibit 10F) [(R. 314-24)]. Dr. Shaver apparently
relied quite heavily on the subjective report of symptoms and limitations
provided by the claimant, and seemed to uncritically accept as true most, if
not all, of what the claimant reported. Yet, as explained elsewhere in this
decision, there exist good reasons for questioning the reliability of the
claimant’s subjective complaints. Because Dr. Shaver’s opinion is not
supported by his objective findings, it has not been given controlling weight
except in his recommendation for sedentary work restrictions, which is
supported by the evidence.
Since it cannot be entitled to controlling weight, Dr. Shaver’s opinion must
be analyzed to determine the appropriate weight that can be given to this
opinion as noted in Watkins v Barnhart, 350 F 3d 1297, 1300 (10th Cir.
2003).
(R. 22-23). Next, he explained the weight he accorded to Dr. Shaver’s opinion, and stated
his reasons for assigning that weight:
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Dr. Shaver is a rheumatologist who has seen the claimant every 2 to 4
months. His treatment records are well documented, [(1)] but do not reflect
significant limitations in functioning. There is [(2)] no evidence that the
claimant could not complete an 8-hour workday at a sedentary exertional
level prior to June 1, 2008. The claimant was referred to Dr. Shaver by her
representative in connection with her disability claim, [(3)] not because of
problematic symptoms. Dr. Shaver’s objective findings are largely
consistent with those of consultative medical sources, [(4)] but his
conclusions are not supported by these findings. Therefore, his opinion has
been given controlling weight, as noted above, only in support of sedentary
work restrictions. It has not been given substantial weight in any other area.
(R. 23) (numbering added for ease in identifying the ALJ’s reasons for discounting Dr.
Shaver’s opinion).
C.
Analysis
As the ALJ found, Dr. Shaver first submitted a medical source statement of his
opinion regarding the nature and severity of Plaintiff’s impairments and the limitations
presented by those impairments on November 29, 2007. (R. 22-23) (citing Ex. 1F (R.
221-26)). The ALJ found that “Dr. Shaver repeated these recommendations on August 5,
2008.” (R. 23) (citing Ex. 11F (R. 325-28)). Plaintiff asserts that “the last page of the
second opinion does not appear in the record,” and that “[t]he ALJ made no mention of
this omission, and presumably the final page was omitted when the transcript for this
court was compiled.” (Pl. Br. 10). In stating this information, Plaintiff’s brief insinuates
that the ALJ erred, and the court will address that insinuation before addressing the three
errors alleged specifically. A comparison of Exhibit 1F with Exhibit 11F reveals that
much of the second medical source statement is identical to the first. In fact, it appears
15
that when Dr. Shaver prepared the second statement he copied the first three pages of his
first medical source statement, and merely noted changes and added additional
information. Compare, (R. 222-26), with (R. 326-28).
The only differences between the two medical source statements appear in Dr.
Shaver’s response to questions 5 “c” and “d” on page two of the statement. Question 5c
states, “If nerve root compression is thought to be present in the lower back, please
specify straight leg raising (SLR) findings (degrees).” On the first statement, Dr. Shaver
inserted “N/A” (R. 223), whereas on the second statement in August 2008, Dr. Shaver
scratched out the previously inserted “N/A,” and inserted “Not formally measured.” (R.
327). Question 5d is a two part questions which states, “Please specify the results of any
imaging studies (MRI, CT, myelography) that are compatible with nerve root
compression,” and “Has the patient had surgery since the above imaging studies?” On the
first statement, Dr. Shaver inserted “N/A,” with regard to nerve root compression, and
checked the “No” block with regard to surgery.” (R. 223). On the second statement, Dr.
Shaver scratched out the previously inserted “N/A” with regard to nerve root
compression, and inserted “MRI on 6/20/08 shows stenosis at L5-S1 (R) neural foramen.”
(R. 327). With regard to surgery, on the second statement Dr. Shaver left the “No” block
checked, and also inserted “Referred to a surgeon.” The record reflects no other
difference(s) between Dr. Shaver’s two medical source statements.
16
Although Plaintiff asserts that the last page is missing from the second medical
source statement, in actuality the second statement does not include pages which would
equate to the last two pages of the first medical source statement. Compare, Ex. 1F (R.
222-26) (medical source statement pages numbered 1-5); with Ex. 11F (R. 326-28)
(medical source statement pages numbered 1-3). However, Plaintiff’s explanation for this
discrepancy is not supported by the evidence. In the numbering provided by the
Commissioner in identifying the exhibits in his electronic files before the case was
numbered for this court’s use, each page of Exhibit 11F was identified and numbered in
the upper right corner of the page as “Page 1 of 4,” through “Page 4 of 4.” (R. 325-28).
There is no break in the numbering in the exhibit, and the numbering provided, in stating
“Page _ of 4,” does not leave room for an assertion that Exhibit 11F as it appeared in
proceedings before the Commissioner consisted of either five or six pages. Therefore, it
is clear that Exhibit 11F consisted of only 4 pages when it was first admitted into the
Commissioner’s electronic case record. If this was error, Plaintiff was given the
opportunity to correct the error at the hearing, and she did not do so. The record reveals
that at the administrative hearing exhibits 1F through 12F were admitted after Plaintiff
stated she had no objection to any exhibits in the case file. (R. 30). Plaintiff has not
shown error in the record provided to the court, either. The last page of Exhibit 11F (R.
328) and the first page of Exhibit 12F (R. 329) are consecutively numbered in the “Court
Transcript Index;” in the “Medical Records,” “Exhibits” list; and in the administrative
17
record. (Doc. 9) (Attach. 1 & Attach. 8, Index1); (R. 328-29). Plaintiff asserts that
“presumably” the allegedly missing page was “omitted when the transcript for this court
was compiled,” but she did not specifically allege error in the record, nor did she make a
motion to correct the record or a motion to remand for the Commissioner to correct the
record. Perhaps more importantly, she does not even attempt to show that the “missing”
page(s), if produced, would be different than the last two pages of Dr. Shaver’s first
statement. And, she does not argue that the “error,” if error were shown, prejudiced her.
Finally, to the extent that Plaintiff may be alleging that the differences on the
second page of Dr. Shaver’s second medical source statement require remand because
they were not mentioned by the ALJ, the court finds remand is not necessary. The ALJ’s
discussion of Dr. Shaver’s opinions quoted above is contained within his assessment of
Plaintiff’s RFC for the period “[p]rior to June 1, 2008, the date the claimant became
disabled.” (R. 19) (RFC assessment (R. 19-24)). As discussed above, Dr. Shaver’s
second medical source statement was dated August 5, 2008, after Plaintiff injured her
back in June 2008, and the only changes reflected in the form relate to the MRI
performed on June 20, 2008, also after Plaintiff injured her back. These changes are
simply not relevant to the time period under consideration, and the ALJ’s failure to
specifically discuss them is not error. As to the limitations in the second statement which
were relevant to the period at issue here, the ALJ was correct to find that Dr. Shaver
repeated his first recommendations in the second medical source statement.
18
The court now returns to the three allegations of error explicitly raised by Plaintiff.
In the first allegation, Plaintiff implied that the ALJ picked and chose within Dr. Shaver’s
opinion using only those parts favorable to the decision, and abstracted pieces of the
evidence favorable to the decision, all while ignoring the evidence as a whole. Although
the law is clear that an ALJ may not “pick and choose through an uncontradicted medical
opinion, taking only those parts that are favorable to a finding of nondisability,” Haga,
482 F.3d at 1208 (citing Robinson, 366 F.3d at 1083), as the Commissioner argues, Dr.
Shaver’s opinion is not uncontradicted. Moreover, as quoted, above, the ALJ
summarized Dr. Shaver’s opinion and Dr. Shaver’s treatment notes, and explained which
parts of Dr. Shaver’s opinion were contradicted, how they were contradicted, and the
weight he accorded Dr. Shaver’s opinion. This is not error.
The cases cited by Plaintiff do not require a different result. In Robinson, the court
noted that the ALJ “failed to articulate the weight, if any, he gave [the opinion at issue],
and he failed also to explain the reasons for assigning that weight or for rejecting the
opinion altogether.” Robinson, 366 F.3d at 1082-83. The court noted that the ALJ stated
the opinion was “vague and conclusive,” but that the ALJ did not say that the opinion was
not well-supported, and the court explained that it was unable to ascertain how or why the
ALJ found the opinion “vague and conclusive.” Id. 366 F.3d at 1083. The court noted
that the “ALJ clearly gave [the] opinion some weight, because he relied on it for his
opinion that claimant was stable on medication.” Id. Therefore, the court found error,
19
and stated the principle that an “ALJ is not entitled to pick and choose from a medical
opinion, using only those parts that are favorable to a finding of nondisability.” Id.
This case is not like Robinson. Here, as quoted above, the ALJ summarized both
Dr. Shaver’s opinion and his treatment notes. Plaintiff does not argue that the summaries
are erroneous, or that they did not include particular, significant, relevant facts. The court
finds no material errors or misrepresentations in the summaries. Here, the ALJ applied
the correct standard for weighing treating physician opinions. The first thing he decided
was whether the opinion was worthy of controlling weight, and he gave his reasons for
withholding controlling weight except to the extent that Dr. Shaver recommended
sedentary work restrictions--because the opinion is inconsistent with Dr. Shaver’s
objective findings. (R. 23). Next, the ALJ explained that except for according
controlling weight to the sedentary work restrictions, he would not accord substantial
weight to Dr. Shaver’s opinion, and he stated four reasons for discounting the opinion:
(1) Dr. Shaver’s treatment records do not reflect significant limitations in functioning;
(2) there is no evidence that Plaintiff could not complete an 8-hour workday at a
sedentary exertional level; (3) Plaintiff was referred to Dr. Shaver primarily in connection
with her disability claim; and although Dr. Shaver’s objective findings are largely
consistent with those of consultative medical sources, (4) his conclusions are not
supported by his findings. The ALJ in this case provided both the findings and the
reasons the Robinson court found lacking.
20
The other cases Plaintiff cites are to a similar effect. The error the court found in
Lee was that the ALJ relied upon the report of an agency consultant which failed to
discuss a contrary opinion, and that the ALJ also failed to discuss the contrary opinion.
117 Fed. Appx. 674, 678 & n.2. In O’Connor, the court found error because the ALJ
ignored the evidence as a whole, but selectively abstracted pieces of evidence favorable to
his decision. 873 F. Supp. 1482 at 1491. In Jones and Claasen, the ALJ mischaracterized
or ignored evidence favorable to the claimant and overemphasized evidence favorable to
his decision. 804 F. Supp. 1398 at 1406; 600 F. Supp 1507 at 1511. The difference here
is that Plaintiff points to no evidence which was ignored, mischaracterized,
underemphasized, or overemphasized in the decision at issue.
Plaintiff next provided three reasons she believes it was error for the ALJ to
discount Dr. Shaver’s opinion on the basis that Plaintiff was referred to Dr. Shaver
because of her disability claim rather than because of “problematic symptoms.” She
argues (1) that the ALJ’s finding is factually incorrect, (2) that an ALJ may not reject a
physician’s opinion on the basis that a physician naturally advocates his patient’s cause,
and (3) that an ALJ may not reject a treating source opinion based upon the ALJ’s own
speculation. (Pl. Br. 11-12). As Plaintiff’s brief suggests, one of the reasons the ALJ
gave for discounting Dr. Shaver’s opinion was because “claimant was referred to Dr.
Shaver by her representative in connection with her disability claim, not because of
problematic symptoms.” (R. 23).
21
Prior to making the finding complained of here, the ALJ had already found that
Plaintiff saw Dr. Shaver primarily to secure evidence for her disability application:
The claimant currently utilizes medication for high blood pressure, Propoxy
for pain, Ibuprofen 800 for pain and swelling, and Abuterol inhaler for
asthma (exhibit 14E) [(R. 215-17)]. She has generally denied medication
side effects (exhibits 2E; 9E) [(R. 145-53, 199-205)]. Nevertheless, the
claimant has not generally received the type of medical treatment one would
expect for a totally disabled individual. Although she lost her job on
January 1, 2006 reportedly due to excessive absenteeism from back and hip
pain and the effects of lupus, she did not seek consistent medical treatment
until May, 2007, when her attorney referred her to Dr. Shaver. This would
suggest that her symptoms were not as problematic as alleged. She did not
have a history of physical therapy, epidural injections, chiropractic
management, or a TENS unit in regard to back pain (exhibit 4F/1) [(R.
259)]. The claimant’s cane was not prescribed and was not medically
necessary (exhibit 4F/1) [(R. 259)]. She did not begin using a crutch until
her back injury in June, 2008 (exhibit 13F) [(R. 331-423)]. She has utilized
Hunter Health Clinic since 2005, which is a free medical clinic, showing
that she had access to medical care, but chose not to pursue it. The record
suggests that the claimant saw Dr. Shaver primarily in order to generate
evidence for this application and appeal, rather than in a genuine attempt to
obtain relief from the allegedly disabling symptoms.
(R. 20).
With the exception of the first two sentences, Plaintiff quotes this paragraph in her
brief, and it appears to be the basis for her argument that the ALJ’s decision is not
supported by substantial evidence. (Pl. Br. 4-7). Therefore, the court will address
Plaintiff’s allegations regarding this paragraph before continuing to address the
evaluation of Dr. Shaver’s opinion. Plaintiff appears to take issue with the evidentiary
support for most of the factual findings in this paragraph, and the court will address each
argument. In this regard, it is important to note two factors which must be considered.
22
First, the court may not reweigh the evidence or substitute its judgment for that of
the Commissioner. Frantz v. Astrue, 509 F.3d 1299, 1300 (10th Cir. 2007); Hackett, 395
F.3d at 1172; White, 287 F.3d at 905. The starting point in the court’s review is the
rationale presented in the Commissioner’s decision and not what another party, or even
the court, might view as a “proper” weighing of the evidence. 42 U.S.C. § 405(g) (“The
findings of the Commissioner of Social Security as to any fact, if supported by substantial
evidence, shall be conclusive.”).
Second, Plaintiff must demonstrate 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.” Lax, 489 F.3d at 1084
(citations, quotations, and bracket omitted); see also, Consolo v. Fed. Maritime Comm’n,
383 U.S. 607, 620 (1966). Therefore, it is insufficient for Plaintiff merely to show that
the evidence might support a different finding, she must show that the ALJ’s finding is
erroneous, or is contrary to the record evidence.
The ALJ cited record evidence in support of his findings that Plaintiff takes
medications and that she has denied side effects from medication. And, Plaintiff makes
23
no attempt to contest those findings. Nor does Plaintiff contest the findings that her cane
was not prescribed or medically necessary, that she did not use a crutch until her back
injury in June 2008, and that she used a free medical clinic, Hunter Health Clinic, since
2005, showing that she had access to medical care.
Plaintiff appears to admit that she was laid off from her job in January 2006, and
she quotes her hearing testimony for the proposition that she was laid off because she
missed too many days of work each month because her legs, her back, and her right hip
were hurting her, her eyesight was real blurry, and she had really bad headaches. (Pl. Br.
5-6) (citing (R. 36)). Yet, she objects to the ALJ’s characterization that “her last job
ended ‘reportedly due to excessive absenteeism,’” and argues that “[t]here is nothing in
the record to warrant the ALJ’s apparent skepticism about how plaintiff lost her last job.”
(Pl. Br. 5-6). To the best of the court’s comprehension, this is an argument about nothing
because the ALJ found Plaintiff’s allegations of disabling symptoms prior to June 1, 2008
are not credible, and Plaintiff did not allege that the credibility finding is erroneous. It is
not surprising that the ALJ’s characterization of Plaintiff’s testimony might reveal a hint
of skepticism. Moreover, the point of the sentence at issue is that if Plaintiff lost her job
due to excessive absenteeism caused by an inability to work because of symptoms; then
such severe, disabling symptoms should have caused Plaintiff to seek more consistent
medical treatment even before her representative referred her to Dr. Shaver in May, 2007.
Contrary to Plaintiff’s assertion, this is record evidence supporting the ALJ’s skepticism.
24
Plaintiff next objects to the ALJ’s finding that Plaintiff’s representative4 referred
Plaintiff to Dr. Shaver. Plaintiff points to Dr. Shaver’s initial treatment note which
indicates that he was “seeing [Plaintiff] in consultation for Dr. Deanna Snyder and Lenora
Fairbank from Hunter Health to evaluate [Plaintiff] for lupus and for recommendation for
continued treatment.” (R. 322). As Plaintiff acknowledges, Lenora Fairbank was her
representative before the ALJ. (Pl. Br. 5); (R. 14). Moreover, Dr. Shaver specifically
suggested that Ms. Fairbank had referred Plaintiff for his care. (R. 322). The fact that
Plaintiff was referred for treatment by her disability representative suggests that she was
seeking to document a record of disability rather than primarily seeking relief for
symptoms. Dr. Shaver’s apparent assumption that Ms. Fairbank was Plaintiff’s physician
is irrelevant to the ALJ’s finding. The ALJ might properly assume that if severe
symptoms were an issue, Plaintiff would have sought an earlier referral without direction
from her representative. Plaintiff’s argument that she was also referred by her primary
care physician does not preclude the ALJ’s understanding, because even when a disability
representative seeks referral, the referral will usually require action by the primary
physician. The fact that Plaintiff later developed an extended treatment relationship with
Dr. Shaver does not change the inference which might properly be drawn from the fact
that the referral was recommended in the first instance by the disability representative.
4
In the paragraph at issue, the ALJ referred to the representative as plaintiff’s
“attorney,” but in footnote 2 above, the court has already addressed this issue and found
no prejudicial error.
25
Plaintiff argues that despite the ALJ’s finding that she has not received the
treatment one would expect for a totally disabled individual, she has received treatment
by Dr. Shaver, a rheumatologist, who treats lupus and fibromyalgia and who did not
prescribe a TENS unit or epidural injections. (Pl. Br. 4). This argument misses the point
of the decision. The ALJ was not suggesting that Plaintiff should have had different
treatment. Rather, the sense of the ALJ’s statement was that before seeing Dr. Shaver,
Plaintiff was not seeking the extensive treatment one would expect for an individual who
alleges disability. Moreover, the ALJ’s reference to no treatment by a TENS unit or by
epidural injections “in regard to back pain,” contains a citation to Exhibit 4F/1, and in
context is clearly a reference to Dr. Henderson’s statements in Exhibit 4F at page 1 that
Plaintiff reported a history of low back pain, and that there was “no history of physical
therapy, MRI, epidural injections, chiropractic management, or TENS unit.” (R. 259).
Plaintiff explains her failure to seek consistent medical treatment until May 2007
by suggesting that she used Hunter Health Clinic, but that when she did not obtain relief
from the general practitioners at Hunter Health she sought out Dr. Shaver, a specialist.
(Pl. Br. 7). Although this statement might provide an alternative explanation why
Plaintiff sought treatment with Dr. Shaver in May 2007, it says nothing regarding her
failure to seek consistent treatment before that time. Finally, Plaintiff characterizes this
finding as the ALJ’s improper reliance upon a failure to pursue treatment without first
considering whether such refusal was justified under the Frey test.
26
However, the Frey test is not required in situations such as here, where treatment
was not prescribed or recommended, but where the ALJ was simply considering “what
attempts plaintiff made to relieve [her symptoms] . . . in an effort to evaluate the veracity
of plaintiff’s contention that [her symptoms were] so severe as to be disabling.” Qualls v.
Apfel, 206 F.3d 1368, 1372 (10th Cir. 2000) (citing Hargis v. Sullivan, 945 F.2d 1482,
1489 (10th Cir. 1991); Luna v. Bowen, 834 F.2d 161, 165-66 (10th Cir. 1987)); see also
Allen v. Apfel, No. 99-3249, 2000 WL 796081 (10th Cir. June 21, 2000); Billups v.
Barnhart, 322 F. Supp. 2d 1220, 1226 (D. Kan. 2004).
Here, the ALJ was not suggesting that Plaintiff failed to follow prescribed or
recommended treatment, in fact, he noted that Plaintiff received additional treatment
when she was referred to Dr. Shaver in May, 2007. Rather, the ALJ was concerned that
Plaintiff’s symptoms were not as severe as she alleged because she sought and received
little consistent medical treatment before she was referred to Dr. Shaver. This is a factor
upon which the ALJ properly relied in evaluating the credibility of Plaintiff’s allegations.
Kepler v. Chater, 68 F.3d 387, 391 (10th Cir. 1995); Wiley v. Chater, 967 F. Supp. 446,
451 (D. Kan. 1997).
As the discussion above indicates, the ALJ’s finding that “claimant was referred to
Dr. Shaver by her representative in connection with her disability claim, [and] not
because of problematic symptoms” (R. 23) is not “factually incorrect” as alleged by
Plaintiff, but is supported by substantial record evidence. Contrary to Plaintiff’s further
27
allegations in this regard (Pl. Br. 11-12), the ALJ did not assert that Dr. Shaver (or any
other family doctor) naturally advocates his patient’s cause. The decision reveals no such
statement. Moreover, the ALJ did not reject Dr. Shaver’s opinion based upon mere
speculation, but as discussed his finding is supported by substantial record evidence.
In her final argument regarding the ALJ’s weighing of Dr. Shaver’s opinion,
Plaintiff asserts that the ALJ’s “primary complaint” with the doctor’s opinion was that he
opined Plaintiff would miss two or more days of work in a month. (Pl. Br. 12). Although
the ALJ included this factor in his summary of Dr. Shaver’s opinion (R. 22-23) (“would
be expected to miss 2 days of work each month due to her symptoms”), and this factor, if
accepted, would require a finding of disability; there is simply no indication in the
decision under review that this factor was the ALJ’s “primary complaint,” or that it was
more prominent than any other factor in evaluating Dr. Shaver’s opinion. Moreover, this
factor is not the only factor in Dr. Shaver’s opinion which by itself would require a
finding of disability if accepted. Dr. Shaver also opined that Plaintiff cannot sit for more
than four hours in a workday, and would require additional, unscheduled ten minute
breaks once or twice each day. Either of these limitations, if accepted, would require a
finding of disability, but there is no indication in the decision that the ALJ focused
“primarily” on any one limitation suggested by Dr. Shaver (other than the sedentary work
restrictions). Plaintiff notes that Dr. Shaver is a board-certified specialist in rheumatology
who is better qualified than anyone else in this case to assign limitations. (Pl. Br. 12). He
28
concludes his argument by stating, “If [Dr. Shaver] thinks plaintiff would miss work due
to her symptoms, then the ALJ should have agreed and not discounted his opinion by
specious reasons.” The court has considered each reason suggested by Plaintiff, and has
not found any to be specious or unsupported. Moreover, Plaintiff’s argument ignores the
fact that it is the ALJ’s duty to weigh the medical opinions. The regulations require that a
treating source opinion must be accepted by an ALJ and may not be discounted (it must
be given controlling weight) only in those situations in which the opinion is both wellsupported by medically acceptable clinical and laboratory diagnostic techniques, and “not
inconsistent with the other substantial evidence in” the case record. 20 C.F.R.
§§ 404.1527(d)(2), 416.927(d)(2). However, as discussed above, the ALJ specifically
considered whether Dr. Shaver’s opinion must be given controlling weight in this case,
and he concluded that the recommendation for sedentary work restrictions must be given
controlling weight but that no other portion of Dr. Shaver’s opinion was worthy of even
substantial weight. (R. 23). The ALJ explained his evaluation, and gave reasons for that
evaluation. Those reasons are supported by substantial record evidence, and Plaintiff has
not shown error in the ALJ’s evaluation.
III.
Function-By-Function Assessment
Plaintiff also argues that the ALJ failed to assess her individual functional
limitations, but merely made a summary conclusion that she can perform the full range of
sedentary work. (Pl. Br. 7-8). Plaintiff quotes SSR 96-8p for the proposition that an ALJ
29
must make a function-by-function assessment of Plaintiff’s capabilities before expressing
RFC in terms of the exertional categories such as “sedentary.” Id. at 8. She then asserts
that the “RFC below does not limit plaintiff function-by-function, but only generally
limits her to sedentary work,” and she argues that “[l]eaving out how long plaintiff can
stand or how much she can lift, the very two functions that distinguish one exertional
category from another in the regulations, is not the type of function-by-function
assessment required by SSR. 96-8p.” Id.
The Commissioner issued SSR 96-8p “[t]o state the Social Security
Administration’s policies and policy interpretations regarding the assessment of residual
functional capacity (RFC) in initial claims for disability benefits.” West’s Soc. Sec.
Reporting Serv., Rulings 143 (Supp. 2011). The Ruling explains that assessment of RFC
involves a function-by-function consideration of each work-related ability before
expressing the RFC in terms of the exertional categories of “sedentary,” “light,” and so
forth. Id. at 143, 145-46. Failure to perform a function-by-function assessment may
result in an improper finding at step four regarding plaintiff’s ability to perform her past
relevant work as she actually performed it. Id. Moreover, because certain occupations do
not require the capacity to meet all the strength demands of the full range of work in a
particular exertional category, a failure to do a function-by-function assessment may
result in improper findings at step four regarding plaintiff’s ability to perform her past
relevant work as it is generally performed in the national economy or at step five
30
regarding plaintiff’s ability to perform other work in the national economy. Id. at 145-46
(also see examples 1-3, p. 146).
Here, Plaintiff appears to be focusing on the ALJ’s statement of his RFC
assessment in finding number five (R. 19) (“claimant had the residual functional capacity
to perform the full range of sedentary work”), rather than focusing on the analysis upon
which the ALJ based his RFC assessment. (R. 19-24). With regard to the two functions
Plaintiff specifically suggests were left out of the ALJ’s RFC assessment--standing and
lifting--the court notes that the decision includes the ALJ’s analysis:
prior to June, 2008, the claimant did not have any injuries or impairments of
a catastrophic or disabling nature. Lupus symptoms were primarily sun
intolerance and skin lesions. Physical examinations failed to reveal any
significant problems with ambulation, sitting, bending, grasping or reaching
despite the claimant’s use of a cane, which had not been prescribed. Due to
a combination of back and (nonsevere) knee pain, obesity, and joint pain
attributed to lupus and/or fibromyalgia, there are some reasonable
limitations on what the claimant is capable of physically performing, and
the entire world of work is not open to the claimant. These limitations have
been accounted for in the determination of the claimant’s residual
functional capacity for the time period prior to June 1, 2008, which
restricted the claimant to lifting no more than 10 pounds occasionally and
only nominal weight frequently and standing and/or walking no more than 2
hours of an 8-hour workday.
(R. 22) (emphasis added). The ALJ clearly made a function-by-function analysis of
standing and lifting. The court notes that the quoted paragraph is not the only instance in
which the ALJ considered and discussed functional limitations. Such functional analysis
occurs throughout the RFC assessment regarding finding number five. One instance of
such analysis was quoted by Plaintiff as an example of the ALJ’s “specious reasoning:”
31
The interviewing claims representative stated that when filing a request for
reconsideration, the claimant walked with a limp and appeared tired and
weary (exhibit 5E) [Tr. 176]. The medical evidence confirms that the
claimant walked with a limp, which was a basis for sedentary work
restrictions. The claimant is also subject to a certain degree of fatigue
related to fibromyalgia and lupus as well as obesity, which has also been
considered in establishing sedentary work restrictions. (Tr. 22).
(Pl. Br. 6) (quoting the ALJ’s decision (R. 22)).
Plaintiff, rather sarcastically, “argues that ‘a certain degree of fatigue’ is
inconsistent with sedentary work, as naps are not allowed in the workplace.” (Pl. Br. 7).
Plaintiff is correct that naps are not allowed in the workplace--at least not outside of
normal break times. Nonetheless, the court agrees with the ALJ’s suggestion that “a
certain degree of fatigue” is common in the workplace, and work at the sedentary level
will aggravate that fatigue less than work requiring greater exertion. The ALJ does not
suggest that Plaintiff needs to nap in the workplace or that she will be able to nap in the
workplace. Conversely, he found that Plaintiff’s allegations of symptoms, including
fatigue, are not credible. Therefore, in context, he found that Plaintiff’s fatigue, although
present, is not as severe as she alleges, and will not be excessively aggravated by
sedentary work.
The court has addressed each error alleged by Plaintiff, and finds no error in the
decision at issue.
IT IS THEREFORE ORDERED that judgment shall be entered pursuant to the
fourth sentence of 42 U.S.C. § 405(g) AFFIRMING the Commissioner’s decision.
32
Dated this 10th day of February 2012, at Kansas City, Kansas.
s:/ John W. Lungstrum
John W. Lungstrum
United States District Judge
33
