“[C]redibility determinations are the province of the ALJ, and we will not disturb a clearly articulated credibility finding supported by substantial evidence.” (internal citations omitted)
How later courts described this case
- “[C]redibility determinations are the province of the ALJ, and we will not disturb a clearly articulated credibility finding supported by substantial evidence.” (internal citations omitted)
- “A claimant bears the burden of establishing his RFC.” (citing Despain v. Berryhill, 926 F.3d 1024, 1027 (8th Cir. 2019))
Written by the judges who cited it.
The opinion
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 23-CV-80744-STRAUSS
ALICIA MARIE GAUGLIONE,
Plaintiff,
v.
MARTIN O’MALLEY,
Commissioner of Social Security,
Defendant.
__________________________________/
ORDER ON MOTIONS FOR SUMMARY JUDGMENT
THIS MATTER came before the Court upon Plaintiff’s Motion for Summary
Judgment/Initial Brief (“Plaintiff’s Motion”) [DE 16] and Defendant’s Cross-Motion for Summary
Judgment/Answer Brief (“Defendant’s Motion”) [DE 19]. The Court has reviewed both motions,
Plaintiff’s Reply [DE 20], the administrative record [DE 6], and all other filings in this case. For
the reasons discussed herein, Plaintiff’s Motion [DE 16] will be DENIED and Defendant’s Motion
[DE 19] will be GRANTED.
I. BACKGROUND & PROCEDURAL HISTORY
Plaintiff applied for disability insurance benefits on February 7, 2021, alleging a disability
onset date of August 2, 2020 (“Alleged Onset Date”). Tr. 17, 68-69, 75, 194-98. Plaintiff, who
was born in 1974, was 46 years old when she submitted her application for disability insurance
benefits. Her claim for benefits was denied initially and upon reconsideration. Tr. 17, 63-96.
Thereafter, Plaintiff appeared with counsel at a telephonic hearing before an Administrative Law
Judge (“ALJ”) on January 4, 2023; a vocational expert (“VE”) also appeared and testified at the
hearing. Tr. 37-62. On January 23, 2023, the ALJ issued her decision, finding that Plaintiff was
not disabled under the Social Security Act (from the Alleged Onset Date through the date of the
ALJ’s decision). Tr. 17-31. On March 27, 2023, the Appeals Council denied Plaintiff’s request
for review, thereby leaving the ALJ’s decision as the final decision of the Commissioner. Tr. 1-3.
Consequently, on May 5, 2023, Plaintiff filed this action seeking judicial review of the
Commissioner’s decision.
II. STANDARD OF REVIEW
In reviewing claims brought under the Social Security Act, a court’s role is limited.
Bloodsworth v. Heckler, 703 F.2d 1233, 1239 (11th Cir. 1983). The Commissioner’s findings of
fact must be affirmed if they are based upon “substantial evidence.” See 42 U.S.C. § 405(g);
Richardson v. Perales, 402 U.S. 389, 401 (1971); Moore v. Barnhart, 405 F.3d 1208, 1211 (11th
Cir. 2005). “Substantial evidence is . . . such relevant evidence as a reasonable person would
accept as adequate to support a conclusion.” Moore, 405 F.3d at 1211 (citing Crawford v. Comm’r
of Soc. Sec., 363 F.3d 1155, 1158 (11th Cir. 2004)). It “is something ‘more than a mere scintilla,
but less than a preponderance.’” Dyer v. Barnhart, 395 F.3d 1206, 1210 (11th Cir. 2005) (citation
omitted). “If the Commissioner’s decision is supported by substantial evidence, this Court must
affirm, even if the proof preponderates against it.” Id. (quoting Phillips v. Barnhart, 357 F.3d
1232, 1240 n.8 (11th Cir. 2004)). Courts “may not decide the facts anew, reweigh the evidence,
or substitute [their] judgment for that of the [Commissioner].” Id. (quoting Phillips, 357 F.3d at
1240 n.8); Bloodsworth, 703 F.2d at 1239. In addition to determining whether the Commissioner’s
factual findings are supported by substantial evidence, courts must determine whether the ALJ
applied the correct legal standards. Wilson v. Barnhart, 284 F.3d 1219, 1221 (11th Cir. 2002).
III. DISCUSSION
A. THE SEQUENTIAL EVALUATION
A “disability” is defined as an inability “to engage in any substantial gainful activity by
reason of any medically determinable physical or mental impairment which can be expected to
result in death or which has lasted or can be expected to last for a continuous period of not less
than twelve months.” 42 U.S.C. § 1382c(a)(3)(A). In making a disability determination, “the ALJ
must consider the evidence in its entirety, including: (1) objective medical facts or clinical
findings; (2) diagnoses of examining physicians; (3) subjective evidence of pain and disability as
testified to by the claimant . . . and (4) the claimant’s age, education, and work history.” Maffia v.
Comm’r of Soc. Sec., 291 F. App’x 261, 262-63 (11th Cir. 2008) (quoting DePaepe v. Richardson,
464 F.2d 92, 94 (5th Cir.1972)); see also Walden v. Schweiker, 672 F.2d 835, 839 (11th Cir. 1982).
To arrive at a determination as to disability, the ALJ must undertake the sequential
evaluation embodied in 20 C.F.R. § 404.1520. This process requires that the ALJ first determine
whether the claimant is presently engaged in substantial gainful activity. 20 C.F.R. § 404.1520(b).
If so, a finding of “no disability” is made.
If the claimant is not engaged in such work, then the ALJ must proceed to the second step
and determine whether the claimant suffers from a “severe impairment.” An impairment is severe
if it significantly limits the claimant’s physical or mental ability to perform basic work activities.
20 C.F.R. § 404.1520(c). If no severe impairment is found, then the ALJ will conclude that there
is no disability; if a severe impairment is found, then the ALJ will proceed to the next step of the
analysis. See id.
The third step requires the ALJ to determine whether the claimant’s impairment meets or
equals those listed in Appendix 1 of the Regulations. 20 C.F.R. § 404.1520(d). If so, the ALJ will
find the claimant disabled without considering age, education, and work experience. Id. If not,
the inquiry will proceed to the next stage.
Step four requires the ALJ to determine whether the claimant has the residual functional
capacity (“RFC”) to perform past relevant work. 20 C.F.R. § 404.1520(e). The Regulations define
RFC as “the most you can still do despite your limitations.” 20 C.F.R. § 404.1545(a)(1). This
determination takes into account “all of the relevant medical and other evidence,” including the
claimant’s own testimony and the observations of others. 20 C.F.R. § 404.1545(a)(3). The ALJ
must then compare the RFC with the physical and mental demands of the claimant’s past relevant
work to determine whether the claimant is still capable of performing that kind of work. If so, the
claimant is found not disabled. 20 C.F.R. § 404.1520(f).
If the claimant establishes an inability to return to past relevant work, the inquiry turns to
step five. “At step five the burden of going forward shifts to the [Commissioner] ‘to show the
existence of other jobs in the national economy which, given the claimant’s impairments, the
claimant can perform.’” Washington v. Comm’r of Soc. Sec., 906 F.3d 1353, 1359 (11th Cir. 2018)
(quoting Hale v. Bowen, 831 F.2d 1007, 1011 (11th Cir. 1987)). If the Commissioner points to
possible alternative employment, then the burden returns to the claimant to prove an inability to
perform those jobs. Id. At this fifth and final step, the ALJ must resolve whether the claimant is
actually capable of performing other work. See 20 C.F.R. §§ 404.1520(g), 404.1560(c).
B. ALJ’S APPLICATION OF THE SEQUENTIAL EVALUATION
After considering the evidence, the ALJ found that Plaintiff was not disabled between the
Alleged Onset Date and the date of the ALJ’s decision. See Tr. 17-31. Initially, the ALJ addressed
certain preliminary issues and outlined in detail the five steps of the sequential evaluation. Tr. 17-
19. Then, addressing the first step in the sequential evaluation, the ALJ found that Plaintiff had
not engaged in substantial gainful activity since the Alleged Onset Date. Tr. 19. Next, at step two,
the ALJ found that Plaintiff had “the following combination of severe impairments: Degenerative
Changes of the Cervical Spine, Major Depressive Disorder, and Post-Traumatic Stress Disorder.”
Tr. 19. At step three, the ALJ found that Plaintiff did not have an impairment or combination of
impairments that met or medically equaled the severity of any of the impairments listed in 20
C.F.R. Part 404, Subpart P, Appendix 1. Tr. 20.
The ALJ next assessed Plaintiff’s RFC, determining based on her consideration of the
entire record that Plaintiff has the RFC
to lift and/or carry 50 pounds occasionally and 25 pounds frequently, stand and/or
walk 6 hours total in an 8-hour workday, sit 6 hours total in an 8-hour workday,
frequently climb ramps and stairs, balance, stoop, kneel, crouch, and crawl, and
occasionally climb ladders, ropes and scaffolds. [Plaintiff] is able to concentrate
and persist for simple tasks.
Tr. 23. As part of this assessment, the ALJ noted that, in accordance with 20 C.F.R. § 404.1529
and SSR 16-3p, she considered all of Plaintiff’s symptoms and the extent to which her symptoms
could reasonably be accepted as consistent with the objective medical evidence and other evidence.
Tr. 23. Additionally, the ALJ stated that she considered the medical opinion evidence and prior
administrative medical findings in accordance with 20 C.F.R. § 404.1520c. Tr. 23. She then
proceeded to discuss the evidence of record in conjunction with discussing Plaintiff’s RFC. Tr.
23-29.
After assessing Plaintiff’s RFC, the ALJ found that Plaintiff is unable to perform her past
relevant work. Tr. 29. Therefore, the ALJ considered Plaintiff’s age, education, work experience,
and RFC to determine whether a significant number of jobs, that Plaintiff could perform, exist in
the national economy. Tr. 29-31. Relying on the VE’s testimony, the ALJ determined that Plaintiff
is able to perform three unskilled, medium exertion occupations: (1) Linen Room Attendant; (2)
Cleaner, Hospital; and (3) Marker, Laundry. Tr. 30. Additionally, the ALJ determined – also
based on the VE’s testimony – that even if Plaintiff’s RFC was reduced to lifting and/or carrying
20 pounds occasionally and 10 pounds frequently (a reduction that would bring Plaintiff down to
jobs at the light exertion level), Plaintiff would still be able to perform the following three
unskilled, light exertion jobs: (1) Garment Sorter; (2) Folder; and (3) Mail Clerk. Tr. 31. As a
result, the ALJ concluded that Plaintiff is capable of making a successful adjustment to other work
existing in significant numbers in the national economy. Tr. 31. In light of this conclusion, the
ALJ found that Plaintiff was not disabled. Tr. 31.
C. ANALYSIS
Plaintiff raises several contentions of error. First, Plaintiff contends that the ALJ erred in
evaluating the medical opinions of Dr. Anthony Tereo and Dr. David Appel. However, for the
reasons discussed in Section 1 below, even if the Court were to find that the ALJ did not evaluate
Dr. Tereo’s statements in accordance with the regulation governing the evaluation of medical
opinions (20 C.F.R. § 404.1520c), the ALJ would not have erred (or at least not committed harmful
error). That is because at least certain – if not all – of Dr. Tereo’s statements were not “medical
opinions” as defined under the regulations. Meanwhile others addressed issues reserved to the
Commissioner and, in the ALJ’s reasonable view, only addressed Plaintiff’s ability to perform her
past relevant work, which the ALJ found Plaintiff did not have the ability to do at any rate. As to
Dr. Appel, as discussed in Section 2 below, the ALJ evaluated his medical opinions under the
applicable regulation and her evaluation is supported by substantial evidence.
Second, Plaintiff contends that the ALJ erred in evaluating certain evidence regarding
Plaintiff’s physical limitations. As discussed in Section 3 below, Plaintiff has failed to demonstrate
reversible error. Third, Plaintiff contends that the ALJ erred in evaluating Plaintiff’s symptoms.
As discussed in Section 4 below, the Court disagrees.
Finally, Plaintiff contends that the ALJ erred by relying on the VE’s testimony. According
to Plaintiff, the VE’s testimony did not constitute substantial evidence because the ALJ’s
hypothetical to the VE did not include all of Plaintiff’s limitations. In this regard, the Eleventh
Circuit has explained that “[i]n order for a vocational expert’s testimony to constitute substantial
evidence, the ALJ must pose a hypothetical question which comprises all of the claimant’s
impairments.” Winschel v. Comm’r of Soc. Sec., 631 F.3d 1176, 1180 (11th Cir. 2011) (quoting
Wilson, 284 F.3d at 1227); see also Walker, 2022 WL 1022730, at *3 (“In order for a [VE’s]
testimony to constitute substantial evidence, the ALJ must pose a hypothetical question which
comprises all of the claimant’s impairments. However, the ALJ is not required to include findings
in the hypothetical that the ALJ had properly rejected as unsupported. In other words, the
hypothetical question need not list every symptom but must provide the VE with a complete picture
of the claimant’s RFC.” (internal quotation marks and citations omitted)). Here, it is evident that
the ALJ’s hypothetical to the VE included all of the limitations that the ALJ ultimately found to
exist in Plaintiff’s RFC. Compare Tr. 23, with Tr. 58.1 Therefore, the ALJ properly relied on the
VE’s testimony.
1 Plaintiff’s argument that the ALJ’s hypothetical to the VE failed to account for all of Plaintiff’s
limitations is based on the other arguments that Plaintiff makes in her motion. In other words,
Plaintiff takes issue with the ALJ’s RFC determination for the reasons discussed in Sections 1-4
below. Because Plaintiff’s arguments – those discussed in Sections 1-4 below – fail, and because
the ALJ’s hypothetical to the VE included all limitations the ALJ found Plaintiff to have (with the
ALJ only excluding findings from the hypothetical that the ALJ properly rejected as unsupported),
Plaintiff’s argument regarding the ALJ’s reliance on the VE’s testimony fails.
1. Dr. Tereo
The ALJ did not err in her evaluation of Dr. Tereo’s alleged medical opinions. The record
contains four letters from Dr. Tereo – letters dated September 30, 2020, January 20, 2021, April
14, 2021, and October 20, 2021 – that are at issue. Tr. 340, 344-46. The first letter (from
September 2020, addressed to the CFO of United Savings Bank) states that Plaintiff was being
treated by Dr. Tereo for PTSD and that her condition rendered her “unable to perform her work-
related duties at this time.” Tr. 345. The letter noted that “[t]his will be reviewed again in sixty
days.” Tr. 345. Similarly, the second letter (from January 2021, also addressed to the bank CFO)
stated that Plaintiff “continues to be unable to perform her work-related duties at the current time”
and “will be re-evaluated in sixty days.” Tr. 346. In his third letter (from April 2021, addressed
to the Bureau of Disability Determination), Dr. Tereo, stated, inter alia, that the loss of Plaintiff’s
son “exacerbated” her conditions, and that Plaintiff’s symptoms “are beyond normal grieving, and
her suicidal ideation places her in an at-risk population.” Tr. 340. Finally, Dr. Tereo’s October
2021 letter indicates, inter alia, that Plaintiff’s PTSD “devolved into a Major Depressive
Disorder,” that Plaintiff’s depression “significantly impacted her day-to-day functioning,” and that
Plaintiff “has difficulty with concentration, completing tasks and falling and staying asleep.” Tr.
344.
After discussing the content of Dr. Tereo’s four letters, the ALJ stated that she found Dr.
Tereo’s opinions to be unpersuasive. Tr. 25-26. The ALJ explained:
First and foremost, the undersigned notes that Dr. Tereo’s statements on September
30, 2020 and January 20, 2021 seemingly relate to [Plaintiff’s] inability to engage
in past work activity. (See Exhibit 7F, Pages 2-3). Dr. Tereo’s opinion regarding
[Plaintiff’s] inability to perform her past work is actually consistent with the
conclusions reached in this decision. As for Dr. Tereo’s additional statements, the
undersigned finds they are vague as he fails to provide a function-by-function
assessment of [Plaintiff’s] mental capabilities. As discussed throughout this
Decision, [Plaintiff’s] records do support a finding that [Plaintiff] endures certain
limitations. However, the [RFC] indicated provides the most accurate assessment
of [Plaintiff’s] mental capabilities based on the totality of the evidence and the
objective findings contained therein.
Tr. 26.
Plaintiff contends that the ALJ erred in evaluating Dr. Tereo’s opinions because his
opinions find support in the record and because the ALJ cannot discount medical opinions solely
based on the form in which they were rendered. See [DE 16] at 14. However, the ALJ did not err.
First, Plaintiff has failed to show that the ALJ was unreasonable in concluding that Dr.
Tereo’s first two letters pertained to Plaintiff’s inability to perform her past work (as opposed to
any work). The letters were apparently directed at her then-employer and appeared to address her
“work-related duties” in that particular job.2 In other words, the ALJ’s characterization of Dr.
Tereo’s statements regarding Plaintiff’s ability to work was both rational and reasonable.
Therefore, it is not this Court’s place to second-guess the ALJ’s characterization. Additionally,
Dr. Tereo did not opine that Plaintiff’s condition would likely prevent her from working for at
least 12 months3 – only that she could not “perform her work-related duties” at “this time” or “the
current time” and that she would be evaluated again in 60 days.
Second, the ALJ found that Dr. Tereo’s subsequent letters contained vague statements that
failed to include any function-by-function assessment of Plaintiff’s mental capabilities. As
Defendant argues, the fact that Dr. Tereo did not address Plaintiff’s ability to perform any
particular function(s) means that Dr. Tereo did not actually provide a “medical opinion” (as
2 The ALJ even noted that Dr. Tereo’s opinion regarding Plaintiff’s inability to perform her past
work was actually consistent with the ALJ’s conclusions.
3 As noted above, a “disability” is defined as an inability “to engage in any substantial gainful
activity by reason of any medically determinable physical or mental impairment which can be
expected to result in death or which has lasted or can be expected to last for a continuous period
of not less than twelve months.” 42 U.S.C. § 1382c(a)(3)(A) (emphasis added).
defined under the regulations). “A medical opinion is a statement from a medical source about
what you can still do despite your impairment(s) and whether you have one or more impairment-
related limitations or restrictions in the abilities” to perform various demands of work activities.
20 C.F.R. § 416.913(a)(2) (emphasis added); see also Staheli v. Comm’r, SSA, 84 F.4th 901, 906
n.2 (10th Cir. 2023) (recognizing that for a statement from a medical source to qualify as a
“medical opinion,” it must address “both what the claimant can still do despite her impairment(s)
and whether she has one or more impairment-related limitations or restrictions in specified
abilities” (cleaned up)). Such demands include mental demands of work activities, “such as
understanding; remembering; maintaining concentration, persistence, or pace; carrying out
instructions; or responding appropriately to supervision, co-workers, or work pressures in a work
setting.” 20 C.F.R. § 416.913(a)(2)(i)(B); see also Gregory v. Comm’r, Soc. Sec. Admin., No. 21-
14103, 2023 WL 4542674, at *8 n.9 (11th Cir. July 14, 2023). “Mere diagnostic statements or
‘judgments about the nature and severity of . . . impairments’ are not ‘medical opinions.’” Austin
v. Kijakazi, 52 F.4th 723, 729 n.3 (8th Cir. 2022).
Here, although Dr. Tereo noted that Plaintiff had difficulty with concentration, completing
tasks, and sleeping, he did not address what Plaintiff could still do despite her impairments or the
extent to which she was limited in any specified abilities. Nor did he address Plaintiff’s ability to
perform any specific functions in the work setting. Cf. Dye v. Comm’r of Soc. Sec., No. 5:20-CV-
459-NPM, 2022 WL 970186, at *4 (M.D. Fla. Mar. 31, 2022) (“None of the statements in
Downey’s letter assess the extent to which Dye can perform any particular function in a work
setting, and so they do not constitute ‘medical opinions’ for purposes of the applicable regulatory
regime.”). Rather, Dr. Tereo merely included several generalized – and arguably vague (as the
ALJ described them) – statements without providing the substance necessary for his statements to
qualify as “medical opinions” under the regulations. Therefore, Plaintiff has not shown that the
ALJ was required to provide any further discussion of Dr. Tereo’s statements. Moreover, contrary
to Plaintiff’s argument, the ALJ did not discount Dr. Tereo’s statements solely based on the form
in which they were rendered but rather based on their substance (or lack thereof).
Furthermore, even if Dr. Tereo’s statements regarding Plaintiff’s ability to work could
technically qualify as a “medical opinions,” the ALJ did not err in finding them unpersuasive. That
is because statements that a claimant is not “able to work” or that her RFC prevents her “from
doing past relevant work” are “[s]tatements on issues reserved to the Commissioner,” which are
“inherently neither valuable nor persuasive.” 20 C.F.R. § 404.1520b(c)(3)(i), (vi); see also Glasby
v. Soc. Sec. Admin., Comm’r, No. 21-12093, 2022 WL 1214015, at *2 (11th Cir. Apr. 25, 2022).
Therefore, the ALJ was “specifically relieved from providing any analysis about how such
evidence was considered.” Miller v. Kijakazi, No. 22-60541, 2023 WL 234773, at *2 (5th Cir.
Jan. 18, 2023) (citing 20 C.F.R. § 404.1520b(c)).
For the foregoing reasons, the ALJ did not err in evaluating Dr. Tereo’s statements.
2. Dr. Appel
The ALJ did not err in evaluating Dr. Appel’s opinion. Unlike Dr. Tereo, Dr. Appel did
provide a “medical opinion.” Therefore, the ALJ was required to evaluate his opinion in
accordance with 20 C.F.R. § 404.1520c (which applies to medical opinions for claims filed after
March 27, 2017). Under this regulation, an ALJ “will not defer or give any specific evidentiary
weight, including controlling weight, to any medical opinion(s) or prior administrative medical
finding(s).” 20 C.F.R. § 404.1520c(a); see also Planas on behalf of A.P. v. Comm’r of Soc. Sec.,
842 F. App’x 495, 498 (11th Cir. 2021) (noting that the requirement to assign weight to medical
opinions has been omitted from the revised regulation). Rather, the ALJ must evaluate the
persuasiveness of medical opinions and prior administrative medical findings based upon five
factors: “(1) supportability; (2) consistency; (3) relationship with the claimant; (4) specialization;
and (5) ‘other factors that tend to support or contradict’ the opinion” or finding. Walker v. Soc.
Sec. Admin., Comm’r, No. 21-12732, 2022 WL 1022730, at *2 (11th Cir. Apr. 5, 2022) (citing 20
C.F.R. § 404.1520c(c)(1)-(5)). Supportability and consistency are the most important factors. 20
C.F.R. § 404.1520c(a). Although an ALJ is no longer required to provide a specific weight to
medical opinions – a requirement under the prior regulation, see 20 C.F.R. § 404.1527 – the ALJ
still needs to articulate how persuasive the ALJ finds medical opinions and prior administrative
medical findings to be. 20 C.F.R. § 404.1520c(b).
Nonetheless, § 404.1520c makes clear that in doing so, an ALJ is “not required to articulate
how [the ALJ] considered each medical opinion or prior administrative medical finding from one
medical source individually.” 20 C.F.R. § 404.1520c(b)(1). In other words, if a single source
offers multiple medical opinions or multiple administrative medical findings, an ALJ only needs
to collectively address the source’s opinions or findings in a single analysis rather than including
a separate analysis for each opinion or finding. 20 C.F.R. § 404.1520c(b)(1). In doing so, the ALJ
must explain how he or she considered the factors of supportability and consistency, but the ALJ
is generally not required to explain how he or she considered the other three factors. 20 C.F.R. §
404.1520c(b)(2)-(3). Under the supportability factor, “[t]he more relevant the objective medical
evidence and supporting explanations presented by a medical source are to support his or her
medical opinion(s) or prior administrative medical finding(s), the more persuasive the medical
opinions or prior administrative medical finding(s) will be.” 20 C.F.R. § 404.1520c(c)(1). Under
the consistency factor, “[t]he more consistent a medical opinion(s) or prior administrative medical
finding(s) is with the evidence from other medical sources and nonmedical sources in the claim,
the more persuasive the medical opinion(s) or prior administrative medical finding(s) will be.” 20
C.F.R. § 404.1520c(c)(2).
Here, Dr. Appel completed a Mental Residual Functional Capacity Assessment. Tr. 367-
70. Therein, Dr. Appel opined that Plaintiff has “extreme” limitations in the area of understanding
and memory and in the area of sustained concentration and persistence. Tr. 368-69. Dr. Appel
also opined that Plaintiff has mostly “extreme” limitations – and a few “marked” limitations – in
the areas of social interaction and adaptation. Tr. 369-70. Additionally, Dr. Appel stated, inter
alia, that he does not believe Plaintiff “is able to work at all,” that her capacity to “leave the house
without being triggered to the point of being dysfunctional is limited,” that he did not see how she
would be able to regularly show up for work or manage simple tasks, that her capacity to focus is
significantly limited, and that her capacity to handle basic stressors is insufficient. Tr. 370.
According to Dr. Appel, Plaintiff’s impairment would substantially interfere with her ability to
work on a regular and sustained basis at least 20% of the time. Tr. 370.
After summarizing the opinions Dr. Appel provided in his assessment, the ALJ explained
that she found his opinions to be unpersuasive because “they are unsupported by and inconsistent
with the medical record as a whole.” Tr. 26. According to the ALJ, “[b]ased on the totality of the
evidence . . . there are specific and legitimate reasons to reject Dr. Appel’s unreasonably restrictive
assessment. The totality of the medical records simply fails to support Dr. Appel’s opinions . . . .”
Tr. 26. The ALJ explained:
As discussed, [Plaintiff’s] records do indicate she endures certain mental
limitations; however, the undersigned finds Dr. Appel’s opinions overstate her
limitations and are not supported by the longitudinal medical evidence of record.
In so finding, the undersigned reiterates that Dr. Appel’s treatment records from
March 16, 2022 through September 7, 2022 indicate his own mental status
examinations of [Plaintiff] consistently resulted in generally unremarkable
findings. (See Exhibit 14F, Pages 13-14, 29-30, 45-46, 61-62, 77-78, 94-95, and
111-112). The discrepancy between Dr. Appel’s opinions and his own objective
findings renders his opinions less persuasive. In addition, while Dr. Appel noted
extreme limitations in essentially all areas of functioning, which would indicate
hospitalization or institutionalization, the medical evidence of record shows
[Plaintiff] has never been hospitalized. Again, Dr. Appel’s opinions are not
supported by the longitudinal medical evidence of record.
. . .
Overall, it is evident Dr. Appel relied quite heavily on the subjective report of
symptoms and limitations provided by [Plaintiff]. He also seems to have
uncritically accepted as true most, if not all, of what [Plaintiff] reported. Yet, as
explained throughout this decision, there exist good reasons for questioning the
reliability of [Plaintiff’s] subjective complaints. Specifically, there is insufficient
medical evidence to corroborate [Plaintiff’s] assertions regarding the extent of her
alleged limitations.
Tr. 26-27.
As the foregoing discussion shows, the ALJ evaluated both the consistency and
supportability of Dr. Appel’s opinion in connection with evaluating its persuasiveness. Thus, as
an initial matter, the ALJ conducted the evaluation mandated under § 404.1520c for medical
opinions.
Nevertheless, Plaintiff argues that the ALJ erred in a few ways. First, Plaintiff notes in
passing that Dr. Appel’s opinion is consistent with Dr. Tereo’s opinion. However, as discussed in
the preceding section, the ALJ did not err with respect to her treatment of Dr. Tereo’s statements.
Moreover, the ALJ’s discussion of the evidence shows she reasonably found the other evidence of
record to be largely inconsistent with Dr. Appel’s opinions. For instance, earlier in her decision,4
the ALJ explained how Dr. Byron Pack and Dr. Barbara Lewis found no more than “mild” or
“moderate” limitations in the functional areas where Dr. Appel found mostly “extreme”
limitations. See Tr. 22. And after discussing Dr. Appel’s opinions, the ALJ further elaborated on
4 Significantly, the Eleventh Circuit and other circuits have explained that “it is proper to read the
ALJ’s decision as a whole, and . . . it would be a needless formality to have the ALJ repeat
substantially similar factual analyses.” Raper v. Comm’r of Soc. Sec., 89 F.4th 1261, 1275 (11th
Cir. 2024) (citations omitted).
the persuasiveness of Dr. Lewis’s opinions – which are clearly inconsistent with Dr. Appel’s
opinions – stating as follows:
There are very few objective medical findings that would support a finding of
disability premised on [Plaintiff’s] mental impairments. Dr. Barbara Lewis, a State
agency psychological consultant, completed a mental [RFC] assessment of
[Plaintiff] and opined that [Plaintiff’s] mental functioning did not prevent her from
performing all work activity. It was her opinion that [Plaintiff] was capable of
maintaining sufficient concentration for tasks. According to Dr. Lewis, [Plaintiff]
was able to “understand, retain, and carry out simple instructions”, “perform routine
tasks on a sustained basis”, and “adapt over time to most changes and task
demands”. Ultimately, Dr. Lewis determined that while [Plaintiff] “does suffer
from some degree of limitation from mental health issues, the symptom severity
noted would not preclude the completion of simple tasks.” (Exhibit 6A, Page 7).
To the extent consistent with the [RFC] indicated, the undersigned finds the
opinions of Dr. Lewis persuasive as they are supported by the objective medical
findings and the other substantial evidence of record.
Tr. 27.
In her decision, the ALJ also discussed a psychological consultative examination
performed by Dr. Luis Zaldivar, noting that notwithstanding Plaintiff’s complaints, she “was alert,
attentive, and cooperative” and able “to put her thoughts together and provide a background
history.” Tr. 24. Additionally, notwithstanding Plaintiff’s complaints of a lack of motivation and
being sad and teary, Dr. Zaldivar indicated that Plaintiff could communicate “in full sentences,
relate stories, and sustain a conversation.” Tr. 24. The ALJ also noted that Dr. Zaldivar reported
Plaintiff “remained ‘oriented in all spheres,’ possessed ‘adequate’ memory,” and was able to add
and subtract (albeit not multiply). Tr. 24. Moreover, the ALJ discussed Dr. Zaldivar’s notation
that Plaintiff was able to get “along with people, hold simple conversations with acquaintances,
and behave in a socially appropriate manner.” Tr. 24. Ultimately, with one limited exception, the
ALJ found that Dr. Zaldivar’s examination and report were generally supportive of the RFC the
ALJ assessed. Tr. 24.
The ALJ likewise discussed and relied on Dr. Jonathan Black’s psychological consultative
examination. The ALJ summarized Dr. Black’s examination, in part, as follows:
According to Dr. Jonathan Black, while the claimant did exhibit “some difficulty
maintaining her attention”, she “demonstrated fair task persistence” and remained
“oriented to person, place, time, and situation”. (Exhibit 9F, Pages 2 and 3). The
claimant also exhibited “fair abilities of abstraction”, a “fair fund of information”,
and the ability “to perform simple arithmetic calculations”. At this time, the
claimant also possessed “fair” insight and judgment while reporting she “manages
her own finances”. (Exhibit 9F, Page 3).
Tr. 25. And the ALJ concluded that Dr. Black’s objective medical findings supported the ALJ’s
RFC determination. Tr. 25.
Notably, Plaintiff has not argued that the ALJ erred in finding the bulk of the evidence to
be inconsistent with Dr. Appel’s opinions. Moreover, my own review indicates that the ALJ
reasonably found Dr. Appel’s opinions (that Plaintiff suffers from mostly “extreme” mental
limitations) to be largely inconsistent with the medical evidence of record regarding Plaintiff’s
mental limitations (e.g., evidence from Dr. Pack, Dr. Lewis, Dr. Zaldivar, and Dr. Black). Thus,
the ALJ’s consistency determination regarding Dr. Appel’s opinions is supported by substantial
evidence.
Plaintiff’s arguments regarding the ALJ’s treatment of Dr. Appel’s opinions seem to
implicate the supportability factor more than the consistency factor. However, the ALJ’s
supportability determination as to Dr. Appel is also supported by substantial evidence.
As to supportability, Plaintiff takes issue with three specific statements the ALJ made
regarding Dr. Appel, see [DE 16] at 15-17: (1) “Dr. Appel’s treatment records . . . indicate his own
mental status examinations of [Plaintiff] consistently resulted in generally unremarkable findings”;
(2) “while Dr. Appel noted extreme limitations in essentially all areas of functioning, which would
indicate hospitalization or institutionalization, the medical evidence of record shows [Plaintiff] has
never been hospitalized”; and (3) “Overall, it is evident Dr. Appel relied quite heavily on the
subjective report of symptoms and limitations provided by [Plaintiff].”
In connection with evaluating the foregoing statements (particularly the first and third), it
is necessary to examine Dr. Appel’s treatment records. See Tr. 371-489. As reflected therein, Dr.
Appel appears to have met with Plaintiff seven times between March 2022 and September 2022.
His records begin by summarizing information that appears to have been provided by Plaintiff –
in an HPI section and a past psychiatric history section, among other sections. See, e.g., Tr. 376-
79. Thereafter, Dr. Appel addresses Plaintiff’s appearance and behavior/psychomotor, as well as
the results of a mental status exam he performed during each appointment. With respect to
Plaintiff’s appearance, Dr. Appel noted (for all seven appointments) that Plaintiff was “healthy,
well-groomed, [and] well-dressed.” Tr. 382, 399, 415, 431, 447, 464, 481. And he noted, with
respect to behavior (for all seven appointments), that Plaintiff was “cooperative with good
grooming and eye contact.” Tr. 383, 399, 415, 431, 447, 464, 481.
The results of Plaintiff’s mental status exams were also the same for all seven
appointments, with the exception of Dr. Appel’s notations regarding Plaintiff’s “mood and affect.”
Specifically, in the mental status exam section of his reports for all seven appointments, Dr. Appel
reported the following (putting aside for a moment “mood and affect”): (1) speech – “regular rate,
rhythm and volume; (2) thought processes and content – “appropriate, logical”; (3) associations –
“linear and goal directed”; (4) abnormal or psychotic thoughts – “no S/HI, A/VH, IOR, RIS or
psychotic symptoms”; (5) judgment and insight – “fair”; (6) orientation – “alert, oriented to person,
place, time and situation”; (7) recent and remote memory – “intact”; (8) attention/concentration –
“alert, pays attention”; (9) language – “articulate, coherent”; and (10) fund of knowledge – “age
appropriate.” Tr. 383-84, 399-400, 415-16, 431-32, 447-48, 464-65, 481-82. As to “mood and
affect,” Dr. Appel noted as follows for each session: (1) March – “dythymic, ok, constricted” (Tr.
383); (2) April – “dythymic, ok, constricted, tearful at times” (Tr. 399); (3) May – “dythymic, ok,
constricted, appropriately tearful at times” (Tr. 415); (4) June – “dythymic, ‘sad,’ constricted,
appropriately tearful at times” (Tr. 431); (5) July – “dythymic, ‘sad,’ constricted, appropriately
tearful at times” (Tr. 447); (6) August – “dythymic, ‘sad,’ constricted, appropriately tearful at
times” (Tr. 464); and (7) September – “ok euthymic, fairly broad” (Tr. 481).
Plaintiff first argues that the ALJ erred in characterizing the findings from Dr. Appel’s
mental status exams as “generally unremarkable findings.” According to Plaintiff, by
characterizing the findings in this manner, the ALJ improperly focused on findings supporting her
conclusion, omitted consideration of findings to the contrary, and improperly substituted her lay
opinion for the opinion of a medical expert. The Court disagrees. The ALJ made clear that she
reviewed all of Dr. Appel’s mental status exams, see Tr. 25, 26, and as the preceding paragraph
shows, the ALJ’s conclusion that the findings were generally unremarkable is both reasonable and
rational. In fact, of the 11 categories evaluated as part of the mental status exams, only 1 category
(mood/affect) would not be “unremarkable.” But the findings for the other 10 categories were
unremarkable and reasonably support the ALJ’s conclusion that Dr. Appel’s mental status exam
observations do not support his opinion of “extreme” limitations.5
5 Plaintiff also indicates in her motion that “fair” judgment/insight is not “unremarkable.”
However, the ALJ specifically noted Dr. Appel’s finding that Plaintiff had fair judgment and
insight. Tr. 25. And even if fair judgment and insight could not be considered “unremarkable,” 9
of 11 categories were still clearly unremarkable. Moreover, the question is whether Dr. Appel’s
consistent observations of “fair” judgment (along with his other observations) support his
assessment of “extreme” mental limitations. Dr. Appel did not find that judgment and insight were
“poor.” Yet, he still assessed mostly “extreme” mental limitations. The bottom line though is, as
stated above, the ALJ reasonably and rationally found that Dr. Appel’s mental status exams
revealed generally unremarkable findings. Thus, the ALJ reasonably found that the mental status
exam findings did not support Dr. Appel’s opinions.
Nor does the ALJ’s observation that Dr. Appel appeared to rely heavily on Plaintiff’s
subjective complaints undermine the ALJ’s decision. It is true, as Plaintiff contends, that mental
health professionals may take into account a plaintiff’s subjective complaints and that it is
improper to find a psychiatrist’s medical opinion unpersuasive solely because he offers an opinion
that takes into account such complaints. The problem here though is that is difficult to conclude
how and why Dr. Appel found such extreme limitations, unless, as the ALJ concluded, Dr. Appel
“seems to have uncritically accepted as true most, if not all, of what [Plaintiff] reported.” Tr. 27.
That is because Dr. Appel’s treatment records are primarily comprised of Plaintiff’s reports and
the results of Plaintiff’s mental status exams (which the ALJ reasonably found were generally
unremarkable). Thus, without further explanation from Dr. Appel to support his opinions, it is
difficult to see how Dr. Appel’s opinions are supported by anything other than virtually wholesale
reliance on Plaintiff’s subjective complaints, particularly when his mental status exams
substantially conflict with those complaints. Regardless, the ALJ did not discount Dr. Appel’s
opinions solely because he relied on Plaintiff’s subjective complaints.6
Regarding the ALJ’s observation that Dr. Appel’s assessment of mostly extreme
limitations “would indicate hospitalization or institutionalization,” but that the evidence does not
show Plaintiff has ever been hospitalized, it is unclear without further explanation from the ALJ
6 In support of her argument regarding Dr. Appel’s reliance or lack thereof on Plaintiff’s subjective
complaints, Plaintiff contends that Dr. Appel’s treatment records “are replete with his own
observations, including uncontrollable crying, depressed mood, and constricted affect, which
support a determination that he did not exclusively rely upon [Plaintiff’s] self-report of symptoms
in assessing the marked to extreme limitations.” [DE 16] at 17 (citing Tr. 383, 415, 431). Based
on the citations Plaintiff provides, Plaintiff is evidently pointing to the mood/affect section of Dr.
Appel’s mental status exams. As discussed above, however, the mood/affect section was the only
category from Plaintiff’s mental status exams that was not “unremarkable.” Moreover, Dr. Appel
never indicated that he observed “uncontrollable crying” as Plaintiff contends. Rather, as noted
above, Dr. Appel indicated that Plaintiff was “appropriately tearful at times.” Tr. 415, 431
(emphasis added).
why Dr. Appel’s assessment “would indicate hospitalization or institutionalization.” Nonetheless,
it is evident that the ALJ primarily discounted the persuasiveness of Dr. Appel’s opinions both
because they were inconsistent with the bulk of the medical evidence of record (something Plaintiff
does not appear to dispute) and unsupported by Dr. Appel’s treatment notes. In other words, even
assuming the ALJ’s hospitalization statement was improper, it is obvious that her evaluation of
Dr. Appel’s opinions (and the ALJ’s ultimate determination) would not change in light of all of
the evidence she pointed to in support of her decision to find Dr. Appel’s opinions unpersuasive.7
And the evidence the ALJ pointed to undoubtedly qualifies as substantial evidence.
3. Plaintiff’s Physical Limitations
As noted above, in determining Plaintiff’s physical limitations, the ALJ found that Plaintiff
is capable of lifting/carrying 50 pounds occasionally and 25 pounds frequently, standing/walking
6 hours in an 8-hour workday, and sitting 6 hours in an 8-hour workday. In other words, the ALJ
found that Plaintiff is capable of performing work at the “medium” exertional level. See 20 C.F.R.
§ 404.1567(c); SSR 83-10. In addition to limiting Plaintiff to work at the medium exertional level,
the ALJ limited Plaintiff to “frequently climb[ing] ramps and stairs, balanc[ing], stoop[ing],
kneel[ing], crouch[ing], and crawl[ing], and occasionally climb[ing] ladders, ropes and scaffolds”
(the ALJ also included a non-physical limitation). Tr. 23.
Plaintiff contends that the ALJ erred in evaluating her physical limitations for two reasons:
(1) the ALJ improperly discounted objective medical evidence from Dr. Mark Rogovin reflecting
7 Cf. Malloy v. Kijakazi, No. CV 22-2133, 2024 WL 69139, at *11 (E.D. Pa. Jan. 5, 2024)
(“Plaintiff also argues that the ALJ substituted her lay opinion for that of the medical experts when
she stated that Dr. Friedman’s opinions ‘suggest the claimant should be institutionalized if she
indeed had no ability to function.’ I agree with Plaintiff that the ALJ’s statement was inappropriate
and lacking foundation. However, the isolated comment did not ‘cross the line into the ALJ
substituting [her] opinion for those of her doctors’ requiring remand.” (internal citation omitted)).
positive straight leg testing and reduced range of motion in Plaintiff’s cervical spine, shoulder, hip,
and knees; and (2) the ALJ improperly “declined to assess additional limitations because [Plaintiff]
did not undergo a new MRI” (her most recent MRI was in 2008). [DE 16] at 17-18.
However, Plaintiff has failed to show that the ALJ’s evaluation of Plaintiff’s physical
limitations is not supported by substantial evidence. With respect to Plaintiff’s MRI argument, the
ALJ did not decline to assess greater limitations due to Plaintiff not receiving a new MRI. Rather,
the ALJ explained that notwithstanding what Plaintiff’s 2008 MRI revealed – bulges at C3-C4
through C5-C6 and disc herniation at C5-C6 – Plaintiff was able to continue working until her
Alleged Onset Date (roughly 12 years after the 2008 MRI). Tr. 27. Thus, the ALJ reasonably
determined that “it is evident this impairment has not prevented work activity” and “[t]he fact that
this impairment did not prevent [Plaintiff] from working throughout that period strongly suggests
that it would not currently prevent work.” Tr. 27. And significantly, the ALJ also found, pointing
to specific medical evidence of record, that “[t]here is no evidence [Plaintiff’s] physical condition
has, in any way, deteriorated.” Tr. 27. In other words, the ALJ did not decline to assess greater
limitations merely because Plaintiff did not undergo a new MRI. Rather, the ALJ determined that
Plaintiff was physically capable of working before the Alleged Onset Date and that the record was
devoid of evidence showing that Plaintiff’s physical condition deteriorated on or after the Alleged
Onset Date.8 Therefore, Plaintiff’s MRI argument is unavailing.
8 Notably, it was Plaintiff’s burden to establish her RFC and to produce supporting evidence. See
Swink v. Saul, 931 F.3d 765, 770 (8th Cir. 2019) (“A claimant bears the burden of establishing his
RFC.” (citing Despain v. Berryhill, 926 F.3d 1024, 1027 (8th Cir. 2019))); Santos v. Soc. Sec.
Admin., Comm’r, 731 F. App’x 848, 852 (11th Cir. 2018) (“A claimant bears the burden of proof
for establishing the existence of a disability and must produce evidence in support of a claim,
including at the RFC stage.” (citing Ellison v. Barnhart, 355 F.3d 1272, 1276 (11th Cir. 2003); 20
C.F.R. §§ 404.1545(a)(3), 416.945(a)(3))).
Plaintiff’s first argument – that the ALJ improperly discounted certain objective medical
evidence from Dr. Rogovin – requires some further consideration, however. By way of
background, the ALJ recognized “that Dr. Rogovin’s examination did indicate decreased ranges
of motion to [Plaintiff’s] cervical spine, shoulders, hips, knees, ankles, and toes. Straight leg raise
testing was also positive.” Tr. 28. But the ALJ deemed such findings “unconvincing,” stating that
these types of findings are based primarily upon [Plaintiff’s] subjective complaints
regarding her pain and physical limitations. The objective findings referred to result
directly from [Plaintiff’s] reports of pain, for example a [plaintiff’s] complaints of
pain in performing range of motion exercises or general complaints of tenderness.
Despite [Plaintiff’s] subjective reports of pain, however, x-rays of [Plaintiff’s]
shoulders, ankles, and knees were all deemed normal. (Exhibits 11F and 12F). The
inconsistency between [Plaintiff’s] subjective complaints and the objective imaging
reports renders her complaints less persuasive.
Tr. 28.
It is questionable whether it was proper for the ALJ to consider such findings unconvincing
on the basis that they were based primarily on Plaintiff’s subjective complaints. But even if
improper, the ALJ cited a significant amount of evidence to support her physical RFC
determination.9 The plethora of evidence the ALJ pointed to undoubtedly qualifies as substantial
evidence, and Plaintiff has failed to demonstrate harmful error – even assuming the ALJ erred in
finding the results of Dr. Rogovin’s straight leg testing and range of motion testing unconvincing.
Specifically, in support of her physical RFC determination, the ALJ pointed to the
following evidence: (1) Plaintiff’s report in July 2021 “that she has no physical problems”; (2) Dr.
9 Cf. Reeve v. Kijakazi, No. 22-36018, 2023 WL 7411537, at *3 (9th Cir. Nov. 9, 2023) (“ALJ
Ross’s discounting of Dr. Liu’s pinprick and range of motion testing based on Dr. Thompson's
testimony that pinprick and range of motion tests are ‘subjective findings’ appears to run counter
to the Administration’s own regulations. . . . However, we have observed previously that even
objective medical tests may be subject to manipulation. We need not resolve whether ALJ Ross
erred in describing Dr. Liu’s testing methods as subjective because, even if we exclude all of the
improper and questionable reasons, the remaining reasons adequately support the decision to
discount Dr. Liu’s opinion.” (internal citations omitted)).
Rogovin’s statement that his May 2022 evaluation of Plaintiff revealed “no obvious clubbing,
cyanosis, or edema” to Plaintiff’s extremities; (3) “[e]xamination of [Plaintiff’s] extremities and
musculoskeletal system confirmed ‘no other sign of joint deformity,’ no ‘obvious paravertebral
spasm,’ and no ‘swelling, tenderness, increased heat, lesion, or other abnormality’”; (4) Plaintiff
“exhibited full ‘5/5’ strength throughout her upper and lower extremities and Dr. Rogovin
observed the claimant was able to get ‘up and down from the exam table independently without
complaints’ as well as ambulate ‘with a steady, independent, unremarkable gait’”; (5) “x-rays of
[Plaintiff’s] shoulders, ankles, and knees were all deemed normal”; (6) in August 2022, Plaintiff
“reported no muscle aches, cramps, weakness, joint swelling or warmth, arthritis, stiffness, gout,
bone pain, neck pain, back pain, arthralgias/joint pain, decreased motion in arms/legs, or swelling
in the extremities”; (7) no neurological symptoms or limitations were reported; (8) “examination
of [Plaintiff’s] musculoskeletal system, neurological system, and extremities [in August 2022]
resulted in unremarkable findings”;10 (9) “unremarkable objective findings were also made upon
examination” in September and October 2022; and (10) Dr. Steven Arkin’s prior administrative
medical findings, which the ALJ found to be persuasive.11 Tr. 27-28.
10 In fact, the August 2022 examination of Plaintiff’s musculoskeletal system that the ALJ pointed
to revealed, inter alia, full range of motion in Plaintiff’s cervical spine. Tr. 507.
11 Regarding Dr. Arkin, the ALJ explained:
According to Dr. Steven Arkin, [Plaintiff] retains the ability to perform medium
exertion level work (occasionally lifting and/or carrying 50 pounds, frequently
lifting and/or carrying 25 pounds, standing and/or walking for a total of about 6
hours in an 8 hour workday, sitting for a total of about 6 hours in an 8 hour workday,
and unlimited pushing and/or pulling other than as shown for lifting and/or
carrying). Furthermore, he opined that [Plaintiff] had only minimal postural
limitations with no manipulative, visual, communicative, or environmental
restrictions. (Exhibit 6A, Pages 5-6). The undersigned finds Dr. Arkin’s opinions
to be highly persuasive as they are supported by and consistent with the totality of
the evidence.
Tr. 28.
In light of all of the evidence the ALJ pointed to, the Court is hard-pressed to find that
further consideration of Dr. Rogovin’s straight leg raising and range of motion testing would
change the ALJ’s ultimate determination regarding Plaintiff’s physical limitations. Therefore,
Plaintiff has failed to satisfy her burden of establishing harmful error. See Raper, 89 F.4th at 1274
n.11 (“[T]he burden of showing that an error is harmful normally falls upon the party attacking the
agency's determination.” (citation omitted)).
4. ALJ’s Subjective Symptom Analysis
Plaintiff has failed to demonstrate reversible error with respect to the ALJ’s evaluation of
Plaintiff’s subjective complaints. When a claimant attempts to prove that she is disabled by
providing testimony regarding her pain or other symptoms, she must show: “(1) evidence of an
underlying medical condition; and (2) either (a) objective medical evidence confirming the
severity of the alleged pain; or (b) that the objectively determined medical condition can
reasonably be expected to give rise to the claimed pain.” Raper, 89 F.4th at 1277 (quoting Wilson,
284 F.3d at 1225). This standard applies to both complaints regarding subjective pain and
complaints regarding other subjective conditions. Holt v. Sullivan, 921 F.2d 1221, 1223 (11th Cir.
1991). If the objective medical evidence shows that a claimant’s impairment “could reasonably
be expected to produce” the pain or symptoms alleged by the claimant, “the ALJ must evaluate
the intensity and persistence of the claimant’s alleged pain and consider ‘all of the available
evidence’ from both medical and nonmedical sources.” Harvey v. Soc. Sec. Admin., Comm’r, No.
22-10281, 2022 WL 17175649, at *3 (11th Cir. Nov. 23, 2022) (citing 20 C.F.R. § 416.929(c)(1));
see also 20 C.F.R. § 404.1529(c)(1).
An ALJ considers the following factors when evaluating a claimant’s statements regarding
the intensity of her symptoms:
(1) the claimant’s daily activities; (2) the location, duration, frequency, and
intensity of the claimant’s pain or other symptoms; (3) any precipitating and
aggravating factors; (4) the type, dosage, effectiveness, and side effects of
medication; (5) the claimant’s treatments other than medication; (6) any measures
used to relieve pain; and (7) other factors concerning a claimant’s functional
limitations and restrictions based on pain or other symptoms.
Raper, 89 F.4th at 1277 (citing 20 C.F.R. § 416.929(c)(3)(i)-(vii)); see also 20 C.F.R. §
404.1529(c)(3)(i)-(vii). “The ALJ must consider these factors in relation to other evidence in the
record and whether the claimant’s statements conflict with other evidence.” Raper, 89 F.4th at
1277 (citing 20 C.F.R. § 416.929(c)(4)); see also 20 C.F.R. § 404.1529(c)(4). Nonetheless, an
“ALJ need not discuss every piece of evidence if the ALJ’s decision is not a broad rejection and
there is enough for us to conclude that the ALJ considered the claimant’s medical condition as a
whole.” Raper, 89 F.4th at 1277 (citing Dyer, 395 F.3d at 1210).
In order to discredit a claimant’s subjective complaints, an ALJ must “clearly ‘articulate
explicit and adequate reasons’ for discrediting the claimant’s allegations of completely disabling
symptoms.” Dyer, 395 F.3d at 1210 (citing Foote v. Chater, 67 F.3d 1553, 1561-62 (11th Cir.
1995)). Provided that an ALJ does so and that the ALJ’s findings are supported by substantial
evidence, courts will not disturb the ALJ’s determination. See Mitchell v. Comm’r, Soc. Sec.
Admin., 771 F.3d 780, 782 (11th Cir. 2014) (“[C]redibility determinations are the province of the
ALJ, and we will not disturb a clearly articulated credibility finding supported by substantial
evidence.” (internal citations omitted)).
Here, the ALJ preliminarily made clear that she conducted her subjective symptom analysis
in accordance with 20 C.F.R. § 404.1529 and SSR 16-3p. Tr. 23. She also set forth the pain
standard, provided an overview of Plaintiff’s hearing testimony (regarding why Plaintiff alleges
she cannot work), and indicated she took into account the 7 factors relevant to evaluating the
intensity of a Plaintiff’s symptoms (i.e., the 7 factors in § 404.1529(c)(3)). See Tr. 23-24.
Ultimately, the ALJ explained that she was “not persuaded [Plaintiff] experiences symptoms of a
severity and frequency as to preclude the modest level of work reflected in the above RFC
determination.” Tr. 29.
The ALJ provided substantial evidence to support her decision to discount Plaintiff’s
subjective complaints. As indicated in detail in Section 2 above, the ALJ found, inter alia, that:
(1) the results of Dr. Appel’s mental status examinations – which the ALJ reasonably and rationally
concluded were generally unremarkable – were inconsistent with Plaintiff’s subjective complaints;
(2) Dr. Lewis’s opinions (which were inconsistent with Plaintiff’s complaints regarding the
limiting effects of her symptoms) were persuasive; and (3) the psychological consultative
examinations performed by Dr. Zaldivar and Dr. Black were generally supportive of the limitations
the ALJ found to exist (and thus inconsistent with the extent of limitations alleged by Plaintiff).
Additionally, as indicated in detail in Section 3 above, the ALJ likewise relied upon at least 10
pieces of evidence – including objective medical evidence, prior administrative medical findings,
and Plaintiff’s statement in July 2021 that she did not have any physical problems – in concluding
that Plaintiff was not as physically limited as Plaintiff alleged. Succinctly, the ALJ pointed to
specific reasons for discounting Plaintiff’s subjective complaints, and the range of evidence the
ALJ relied upon in discounting Plaintiff’s subjective complaints undoubtedly qualifies as
substantial evidence.
Nevertheless, Plaintiff argues that the ALJ erred in evaluating Plaintiff’s subjective
complaints regarding her mental health symptoms for two reasons: (1) the ALJ’s statement that
Plaintiff was not persistent in mental health treatment is not supported by substantial evidence;
and (2) the ALJ failed to consider side effects caused by Plaintiff’s medications.
Relevant to Plaintiff’s first contention of error, the ALJ stated: “Despite the claimant’s
difficulties, however, there is no indication the claimant obtained any sort of persistent mental
health treatment for a significant period of time. This lack of treatment is contradictory to the
claimant’s allegations of disability.” Tr. 24. The extent to which this statement is supported by
the record is somewhat unclear. Plaintiff’s Motion, as well as certain of Plaintiff’s statements in
the record, indicate that Plaintiff began seeing Dr. Tereo (for mental health treatment) in January
2021 (roughly 5 months after the Alleged Onset Date). See [DE 16] at 3; Tr. 90, 91. However,
the record contains a letter from Dr. Tereo indicating that Plaintiff was under his care as early as
September 30, 2020 (just under 2 months after the Alleged Onset Date). See Tr. 345. As to
Plaintiff’s frequency of treatment with Dr. Tereo, Plaintiff states in her motion that she treated
with him weekly. And Dr. Tereo did indicate in one letter that Plaintiff “will continue her weekly
sessions.” Tr. 346. However, as indicated in Section 1 above, the record only contains 4 brief
letters from Dr. Tereo. It does not contain any treatment records from him. Additionally, contrary
to Plaintiff’s Motion, it does not appear that Plaintiff did obtain consistent treatment with Dr.
Tereo. In fact, Plaintiff indicated in August 2021 that she had not seen Dr. Tereo for over 3 months
(contrary to her contention that she met with him weekly). See Tr. 246-47.
Plaintiff also indicates that she had been treated by a therapist since August 2021 (1 year
after the Alleged Onset Date) and that she would continue to treat with a therapist weekly. [DE
16] at 19. However, what the record indicates is that Plaintiff treated with her therapist 9 times
over 6 months (not weekly). Tr. 347. The therapist recommended that Plaintiff continue treatment
weekly, Tr. 347, but there does not appear to be any indication in the record that Plaintiff did ever
obtain weekly treatment (and certainly not consistently). Plaintiff additionally notes that she
treated with Dr. Appel between May 2022 and September 2022. And the record does indicate that
Plaintiff treated with Dr. Appel monthly during those 5 months (as well as in March and April
2022).
Ultimately, it is less than clear whether the ALJ’s persistent treatment statement is
supported. What is clear is that the ALJ should have provided further context for her statement.
Nonetheless, the persistent treatment statement was only one of several reasons the ALJ offered
for discounting Plaintiff’s symptoms. And given that the ALJ’s persistent treatment statement is
not clearly wrong, the abundance of other reasons the ALJ offered provide substantial evidence
for the ALJ’s credibility determination.
Plaintiff’s second subjective symptom argument – regarding the ALJ’s consideration or
lack thereof of medication side effects – does not fare any better. According to Plaintiff, although
she testified that she experienced depression and constipation as medication side effects, “[t]he
ALJ played doctor and remarked that depression was a condition, not a side effect, and would not
allow Ms. Guaglione to further discuss her depression as a side effect.” [DE 16] at 20.
Additionally, Plaintiff argues that the ALJ did not consider her constipation at all. Relevant to
Plaintiff’s side effect argument, the following exchange occurred between the ALJ and Plaintiff at
the hearing:
Q Do you take your medications as prescribed?
A Yes, Your Honor.
Q Do you have any side effects?
A I do.
Q What are they?
A Depression. Constipation.
Q Depression as a side effect of which medication?
A I don’t know offhand. I don’t know.
Q I think that’s your condition, not side effect. You’re taking medication to treat
depression.
A Yeah. Like I said, I think that -- one of my friends, or two of them had told me
that this is bad to be on --
Q Okay. So one of your friends --
A It’s not --
Q One of your friends?
A Yeah.
Q Is this a medical doctor?
A Not a doctor. No.
Q Okay, so that’s hearsay. We’re not going to talk about that.
A Yeah.
Q Are you having any side effects from the medications you’re taking?
A No. Uh-uh. Just the constipation.
Q Has any other treatment besides medication been recommended for your
problems?
A No.
Q Are you taking anything for the constipation?
A Yes.
Q What?
A Miralax.
Q Does it help?
A Yeah. Not right away. Yeah. Not right away. And Colace, because it’s just -- you
know, obviously too hard, so.
Tr. 48-49.
As the foregoing exchange shows, the ALJ did not act improperly in addressing Plaintiff’s
depression. And as Defendant argues, the ALJ made clear in her decision that she considered
Plaintiff’s depression. Thus, even if the ALJ had not questioned Plaintiff’s initial characterization
of depression as a side effect, the Court does not see how the ALJ’s decision would have been any
different. As to Plaintiff’s side effect of constipation, it is true that the ALJ did not expressly
mention the side effect in her written decision. However, as mentioned above, an “ALJ need not
discuss every piece of evidence if the ALJ’s decision is not a broad rejection and there is enough
for us to conclude that the ALJ considered the claimant’s medical condition as a whole.” Raper,
89 F.4th at 1277 (citing Dyer, 395 F.3d at 1210). And here, it is evident that the ALJ’s decision is
not a broad rejection and that the ALJ considered Plaintiff’s medical condition as a whole.
Moreover, the ALJ’s decision notes that she considered the relevant factors (including medication
side effects). See Tr. 23-24. Also, Plaintiff has not provided any indication regarding how her
constipation affects her RFC.
For the foregoing reasons, the ALJ’s decision, including her subjective symptom
evaluation, is supported by substantial evidence.
CONCLUSION
For the reasons discussed above, it is ORDERED and ADJUDGED that Plaintiffs
Motion [DE 16] is DENIED and Defendant’s Motion [DE 19] is GRANTED. The Court will
enter a separate Final Judgment affirming the final decision of the Commissioner.
DONE AND ORDERED in Fort Lauderdale, Florida this 29th day of March 2024.
United States Magistrate Judge
30