Lopez v. Social Security Administration Commissioner
MEMORANDUM OPINION. Signed by Honorable Barry A. Bryant on August 7, 2014. (mll)
IN THE UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF ARKANSAS
LISA R. LOPEZ
Civil No. 4:13-cv-04049
Commissioner, Social Security Administration
Lisa Lopez (“Plaintiff”) brings this action pursuant to § 205(g) of Title II of the Social Security
Act (“The Act”), 42 U.S.C. § 405(g) (2010), seeking judicial review of a final decision of the
Commissioner of the Social Security Administration (“SSA”) denying her applications for Disability
Insurance Benefits (“DIB”), Supplemental Security Income (“SSI”), and a period of disability under
Titles II and XVI of the Act. The parties have consented to the jurisdiction of a magistrate judge to
conduct any and all proceedings in this case, including conducting the trial, ordering the entry of a final
judgment, and conducting all post-judgment proceedings. ECF No. 4.1 Pursuant to this authority, the
Court issues this memorandum opinion and orders the entry of a final judgment in this matter.
Plaintiff filed applications for disability benefits on October 25, 2011. (Tr. 14, 146-158).
Plaintiff alleged she was disabled due to heart disease, enlarged heart, fluid retention, cervical cancer,
back injury, obesity, and thyroid problems. (Tr. 182). Plaintiff alleged an onset date of July 25, 2011.
(Tr. 182). These applications were denied initially and again on reconsideration. (Tr. 65-68).
The docket numbers for this case are referenced by the designation “ECF No. ____” The transcript pages
for this case are referenced by the designation “Tr.”
Thereafter, Plaintiff requested an administrative hearing on her applications and this hearing request
was granted. (Tr. 84-86).
Plaintiff’s administrative hearing was held on August 21, 2012. (Tr. 27-64). Plaintiff was
present and she represented herself at this hearing. Id. Plaintiff, Medical Expert (“ME”) Sterling
Moore, and Vocational Expert (“VE”) Russell Bowden testified at this hearing. Id. At the time of this
hearing, Plaintiff was forty-five (45) years old, and had a high school education. (Tr. 31-32).
On September 11, 2012, the ALJ entered an unfavorable decision denying Plaintiff’s
applications for DIB and SSI. (Tr. 14-22). In this decision, the ALJ determined Plaintiff met the
insured status of the Act through December 31, 2015. (Tr. 16, Finding 1). The ALJ also determined
Plaintiff had not engaged in Substantial Gainful Activity (“SGA”) since July 25, 2011, her alleged
onset date. (Tr. 16, Finding 2).
The ALJ determined Plaintiff had the severe impairments of obesity, degenerative disc disease,
status post cervical carcinoma, sleep apnea, and osteopenia. (Tr. 16, Finding 3). The ALJ also
determined, however, that Plaintiff did not have an impairment or a combination of impairments that
met or medically equaled one of the listed impairments in the Listing of Impairments in Appendix 1
to Subpart P of Regulations No. 4 and No. 16 (“Listings”). (Tr. 17, Finding 4).
In this decision, the ALJ evaluated Plaintiff’s subjective complaints and determined her RFC.
(Tr. 17-20, Finding 5). The ALJ indicated he evaluated Plaintiff’s subjective complaints and found
her claimed limitations were not fully credible. (Tr. 18). The ALJ also determined, based upon his
review of Plaintiff’s subjective complaints, the hearing testimony, and the evidence in the record, that
Plaintiff retained the RFC for light work except she must be able to change positions every thirty
minutes for one to two minutes; can never climb ladders, ropes or scaffolds; and can occasionally
bend, kneel, stoop, crawl and climb ramps and stairs. (Tr. 17, Finding 5).
The ALJ evaluated Plaintiff’s Past Relevant Work (“PRW”). (Tr. 20). The ALJ found Plaintiff
was unable to perform any PRW. (Tr. 20, Finding 6). The ALJ, however, also determined there was
other work existing in significant numbers in the national economy Plaintiff could perform. (Tr. 20,
Finding 10). The ALJ based his determination upon the testimony of the VE. Id. Specifically, the VE
testified that given all Plaintiff’s vocational factors, a hypothetical individual would be able to perform
the requirements of a representative occupation such as a mail clerk or office helper with
approximately 130,000 such jobs in the region and 1,300,000 such jobs in the nation and as a
telephone clerk, office clerk, or order clerk with approximately 17,800 such jobs in the region and
178,000 such jobs in the nation. Id. Based upon this finding, the ALJ determined Plaintiff had not
been under a disability as defined by the Act from July 25, 2011 through the date of the decision. (Tr.
21, Finding 11).
Thereafter, Plaintiff requested the Appeals Council review the ALJ’s unfavorable decision.
(Tr. 9-10). See 20 C.F.R. § 404.968. The Appeals Council declined to review this unfavorable
decision. (Tr. 5-8). On May 14, 2013, Plaintiff filed the present appeal. ECF No. 1. The Parties
consented to the jurisdiction of this Court on May 14, 2013. ECF No. 4. Both Parties have filed
appeal briefs. ECF Nos. 15, 17. This case is now ready for decision.
2. Applicable Law:
In reviewing this case, this Court is required to determine whether the Commissioner’s findings
are supported by substantial evidence on the record as a whole. See 42 U.S.C. § 405(g) (2010);
Ramirez v. Barnhart, 292 F.3d 576, 583 (8th Cir. 2002). Substantial evidence is less than a
preponderance of the evidence, but it is enough that a reasonable mind would find it adequate to
support the Commissioner’s decision. See Johnson v. Apfel, 240 F.3d 1145, 1147 (8th Cir. 2001). As
long as there is substantial evidence in the record that supports the Commissioner’s decision, the Court
may not reverse it simply because substantial evidence exists in the record that would have supported
a contrary outcome or because the Court would have decided the case differently. See Haley v.
Massanari, 258 F.3d 742, 747 (8th Cir. 2001). If, after reviewing the record, it is possible to draw two
inconsistent positions from the evidence and one of those positions represents the findings of the ALJ,
the decision of the ALJ must be affirmed. See Young v. Apfel, 221 F.3d 1065, 1068 (8th Cir. 2000).
It is well established that a claimant for Social Security disability benefits has the burden of
proving his or her disability by establishing a physical or mental disability that lasted at least one year
and that prevents him or her from engaging in any substantial gainful activity. See Cox v. Apfel, 160
F.3d 1203, 1206 (8th Cir. 1998); 42 U.S.C. §§ 423(d)(1)(A), 1382c(a)(3)(A). The Act defines a
“physical or mental impairment” as “an impairment that results from anatomical, physiological, or
psychological abnormalities which are demonstrable by medically acceptable clinical and laboratory
diagnostic techniques.” 42 U.S.C. §§ 423(d)(3), 1382(3)(c). A plaintiff must show that his or her
disability, not simply his or her impairment, has lasted for at least twelve consecutive months. See 42
U.S.C. § 423(d)(1)(A).
To determine whether the adult claimant suffers from a disability, the Commissioner uses the
familiar five-step sequential evaluation. He determines: (1) whether the claimant is presently engaged
in a “substantial gainful activity”; (2) whether the claimant has a severe impairment that significantly
limits the claimant’s physical or mental ability to perform basic work activities; (3) whether the
claimant has an impairment that meets or equals a presumptively disabling impairment listed in the
regulations (if so, the claimant is disabled without regard to age, education, and work experience); (4)
whether the claimant has the Residual Functional Capacity (RFC) to perform his or her past relevant
work; and (5) if the claimant cannot perform the past work, the burden shifts to the Commissioner to
prove that there are other jobs in the national economy that the claimant can perform. See Cox, 160
F.3d at 1206; 20 C.F.R. §§ 404.1520(a)-(f). The fact finder only considers the plaintiff’s age,
education, and work experience in light of his or her RFC if the final stage of this analysis is reached.
See 20 C.F.R. §§ 404.1520, 416.920 (2003).
In her appeal brief, Plaintiff claims the ALJ’s disability determination is not supported by
substantial evidence in the record. ECF No. 15. Specifically, Plaintiff claims the following: (1) the
ALJ failed to consider her impairments in combination, (2) the ALJ erred in his RFC determination,
and (3) the ALJ erred in his credibility determination. Id. In response, the Defendant argues the ALJ
did not err in any of his findings. ECF No. 17.
A. Combination of Impairments
Plaintiff argues the ALJ erred by failing to consider all of her impairments in combination.
However, under the facts in the present case and after a thorough review of the ALJ’s opinion and the
record in this case, this Court finds the ALJ properly considered Plaintiff’s impairments in
The Social Security Act requires the ALJ to consider the combined effect of all of the
claimant’s impairments without regard to whether any such impairment, if considered separately,
would be of sufficient severity. See 20 C.F.R. § 404.1523 (2006). In the present action, in reviewing
these claimed impairments, the ALJ stated Plaintiff “does not have an impairment or combination of
impairments that meets or medically equals one of the listed impairments in 20 CFR Part 404, Subpart
P, Appendix 1.” (Tr. 17, Finding 4) (emphasis added). The ALJ also found, “after consideration of
the entire record,” the Plaintiff had the RFC to perform light work with limitations. (Tr. 17, Finding
5). The ALJ went on to state Plaintiff’s RFC would not preclude her from performing other work that
exists in significant numbers in the national economy. (Tr. 20, Finding 10).
These statements are sufficient under Eighth Circuit precedent to establish that the ALJ
properly considered the combined effect of a claimant’s impairments. See Hajek v. Shalala, 30 F.3d
89, 92 (8th Cir. 1994) (holding that statements such as “the evidence as a whole does not show that
the claimant’s symptoms . . . preclude his past work as a janitor” and “[t]he claimant’s impairments
do not prevent him from performing janitorial work . . .” sufficiently establish that the ALJ properly
considered the combined effects of the plaintiff’s impairments).
Thus, pursuant to the Eighth Circuit’s holding in Hajek, this Court finds the ALJ properly
considered Plaintiff’s impairments in combination. Plaintiff has alleged she suffers from a number
of impairments. However, this Court is not required to find a claimant is disabled simply because he
or she has alleged a long list of medical problems. The ALJ’s opinion sufficiently indicates the ALJ
properly considered the combined effect of Plaintiff’s impairments, and the ALJ properly considered
the severity of the combination of Plaintiff’s impairments. See Hajek, 30 F.3d at 92.
Prior to Step Four of the sequential analysis in a disability determination, the ALJ is required
to determine a claimant’s RFC. See 20 C.F.R. § 404.1520(a)(4)(iv). This RFC determination must
be based on medical evidence that addresses the claimant’s ability to function in the workplace. See
Stormo v. Barnhart, 377 F.3d 801, 807 (8th Cir. 2004). The ALJ should consider “‘all the evidence
in the record’ in determining the RFC, including ‘the medical records, observations of treating
physicians and others, and an individual’s own description of his limitations.’” Stormo v. Barnhart,
377 F.3d 801, 807 (8th Cir. 2004) (quoting Krogmeier v. Barnhart, 294 F.3d 1019 (8th Cir. 2002)).
The Plaintiff has the burden of producing documents and evidence to support his or her claimed RFC.
See Cox, 160 F.3d at1206; 42 U.S.C. §§ 423(d)(1)(A), 1382c(a)(3)(A).
The ALJ, however, bears the primary responsibility for making the RFC determination and for
ensuring there is “some medical evidence” regarding the claimant’s “ability to function in the
workplace” that supports the RFC determination. Lauer v. Apfel, 245 F.3d 700, 703-04 (8th Cir.
2001). Furthermore, this Court is required to affirm the ALJ’s RFC determination if that determination
is supported by substantial evidence on the record as a whole. See McKinney v. Apfel, 228 F.3d 860,
862 (8th Cir. 2000).
In this matter, the ALJ determined Plaintiff retained the RFC to perform the light work with
limitations. (Tr. 17, Finding 5). Plaintiff argues the ALJ erred in this RFC determination when he
found Plaintiff could perform light work in a clerical position. ECF No. 21. However, substantial
evidence supports the ALJ’s RFC determination.
Plaintiff alleged she became disabled on July 25, 2011, after sustaining a back injury on the
job. (Tr. 41). A CT examination following this injury showed no evidence of acute osseous
abnormality; the lumbar spine had normal alignment; and there was no evidence of acute compression
deformity or subluxation. (Tr. 309). Plaintiff’s physician, Dr. Hasmukh Patel restricted Plaintiff to
lifting no more than five pounds, and prescribed over-the-counter medication. (Tr. 373). On
September 2, 2011, Dr. Patel stated an MRI examination confirmed much of the CT’s findings, and
further showed evidence of minimal bulging at L5-S1; no evidence of significant disc bulging or
herniation at any point in Plaintiff’s lumbar spine. (Tr. 319).
On September 21, 2011, Plaintiff was seen by Dr. James Arthur for complaints of back pain.
(Tr. 301). Dr. Arthur indicated the range of motion in Plaintiff’s lumbar spine was reduced, prescribed
the pain reliever Flexrill, and Plaintiff was to remain off work until she returned to his office for a
follow up examination. (Tr. 298- 300). On October 5, 2011, Dr. Arthur administered a series of
epidural steroid injections at L4-5. (Tr. 296). Following this, Dr. Arthur assessed Plaintiff with a
twenty pound lifting limit, and released Plaintiff to return to work, effective November 20, 2011. (Tr.
Substantial evidence supports the ALJ’s RFC determination finding Plaintiff capable of
performing a limited range of light work. Plaintiff has the burden of establishing her claimed RFC.
See Goff v. Barnhart, 421 F.3d 785, 790 (8th Cir. 2005) (quoting Eichelberger v. Barnhart, 390 F.3d
584, 590 (8th Cir. 2004)). Because Plaintiff has not met her burden in this case and because the ALJ’s
RFC determination is supported by sufficient medical evidence, this Court finds the ALJ’s RFC
determination should be affirmed.
C. ALJ’s Credibility Determination
Plaintiff also claims the ALJ erred in his credibility determination. ECF No. 15. In response,
Defendant argues the ALJ properly evaluated and discredited Plaintiff’s subjective complaints pursuant
to the directives of Polaski. ECF No. 17, Pages 5-8.
In assessing the credibility of a claimant, the ALJ is required to examine and to apply the five
factors from Polaski v. Heckler, 739 F.2d 1320 (8th Cir. 1984) or from 20 C.F.R. § 404.1529 and 20
C.F.R. § 416.929.2 See Shultz v. Astrue, 479 F.3d 979, 983 (2007). The factors to consider are as
Social Security Regulations 20 C.F.R. § 404.1529 and 20 C.F.R. § 416.929 require the analysis of two
additional factors: (1) “treatment, other than medication, you receive or have received for relief of your pain or other
symptoms” and (2) “any measures you use or have used to relieve your pain or symptoms (e.g., lying flat on your
back, standing for 15 to 20 minutes every hour, sleeping on a board, etc.).” However, under Polaski and its progeny,
the Eighth Circuit has not yet required the analysis of these additional factors. See Shultz v. Astrue, 479 F.3d 979,
follows: (1) the claimant’s daily activities; (2) the duration, frequency, and intensity of the pain; (3)
the precipitating and aggravating factors; (4) the dosage, effectiveness, and side effects of medication;
and (5) the functional restrictions. See Polaski, 739 at 1322.
The factors must be analyzed and considered in light of the claimant’s subjective complaints
of pain. See id. The ALJ is not required to methodically discuss each factor as long as the ALJ
acknowledges and examines these factors prior to discounting the claimant’s subjective complaints.
See Lowe v. Apfel, 226 F.3d 969, 971-72 (8th Cir. 2000). As long as the ALJ properly applies these
five factors and gives several valid reasons for finding the Plaintiff’s subjective complaints are not
entirely credible, the ALJ’s credibility determination is entitled to deference. See id.; Cox v. Barnhart,
471 F.3d 902, 907 (8th Cir. 2006). The ALJ, however, cannot discount Plaintiff’s subjective
complaints “solely because the objective medical evidence does not fully support them [the subjective
complaints].” Polaski, 739 F.2d at 1322.
When discounting a claimant’s complaint of pain, the ALJ must make a specific credibility
determination, articulating the reasons for discrediting the testimony, addressing any inconsistencies,
and discussing the Polaski factors. See Baker v. Apfel, 159 F.3d 1140, 1144 (8th Cir. 1998). The
inability to work without some pain or discomfort is not a sufficient reason to find a Plaintiff disabled
within the strict definition of the Act. The issue is not the existence of pain, but whether the pain a
Plaintiff experiences precludes the performance of substantial gainful activity. See Thomas v. Sullivan,
928 F.2d 255, 259 (8th Cir. 1991).
Plaintiff argues the ALJ erred in assessing her credibility as it related to the limiting effects of
her impairments and did not fully consider her subjective complaints as required by Polaski. The
983 (2007). Thus, this Court will not require the analysis of these additional factors in this case.
Defendant argues the ALJ properly evaluated Plaintiff’s subjective complaints of pain in compliance
In the present action, this Court finds the ALJ properly addressed and discounted Plaintiff’s
subjective complaints. In his opinion, the ALJ addressed the factors from Polaski and 20 C.F.R. §
416.929, and stated inconsistencies between Plaintiff’s testimony and the record. (Tr. 18-20).
Specifically, the ALJ noted the following: (1) Absence of objective medical findings to support
Plaintiff’s alleged disabling pain, (2) Plaintiff’s described activities of daily living are not limited to
any serious degree, (3) No physician has placed a level of limitation on Plaintiff’s activities
comparable to those described by Plaintiff, (4) Plaintiff has not required regular treatment for any
impairment, and (5) Plaintiff relied on over-the-counter medication for pain and reported no side
effects from medication. Id.
These findings are valid reasons supporting the ALJ’s credibility determination, and this Court
finds the ALJ’s credibility determination is supported by substantial evidence and should be affirmed.
See Lowe, 226 F.3d at 971-72. Accordingly, the ALJ did not err in discounting Plaintiff’s subjective
complaints of pain.
Based on the foregoing, the undersigned finds that the decision of the ALJ, denying benefits
to Plaintiff, is supported by substantial evidence and should be affirmed. A judgment incorporating
these findings will be entered pursuant to Federal Rules of Civil Procedure 52 and 58.
ENTERED this 7th day of August 2014.
/s/ Barry A. Bryant
HON. BARRY A. BRYANT
U.S. MAGISTRATE JUDGE
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