MEMORANDUM WITH REGARD TO PLAINTIFF’S MOTION FOR SUMMARY JUDGMENT (Docket No. 8) and DEFENDANT’S MOTION TO AFFIRM THE DECISION OF THE COMMISSIONER (Docket No. 11)
This matter is before the court pursuant to 42 U.S.C. § 405(g) of the Social'Security Act, which provides for judicial review of a final decision denying Social Security Disability (“SSDI”) benefits. Richard A. Barrett (“Plaintiff”) has filed a motion for summary judgment claiming that the decision of the Commissioner of the Social Security Administration (“Commissioner”) denying him benefits is not based on substantial evidence. The court has treated Plaintiff’s motion for summary judgment as a motion to reverse the Commissioner’s decision. In turn, the Commissioner has moved to affirm.
With the parties’ consent, this case has been assigned to the court pursuant to 28 U.S.C. § 636(c) for all purposes, including entry of judgment. For the reasons set forth below, the court will deny Plaintiff’s motion and allow the Commissioner’s motion.
I. DISABILITY STANDARD
An individual is entitled to SSDI benefits if he is under a disability prior to the expiration of his insured status. 42 U.S.C. §§ 423(a) and (d).
See Torres v. Secretary of Health & Human Servs.,
only if his physical or mental impairments are of such severity that he is not only unable to do his previous work but cannot, considering his age, education, and work experience, engage in any other kind of substantial gainful work which exists in the national economy, regardless of whether such work exists in the immediate area in which he lives, or whether a specific job vacancy exists for him, or whether he would be hired if he applied for work....
42 U.S.C. § 423(d)(2)(A).
See generally Bowen v. Yuckert,
When implementing the above standards, the Commissioner must use a sequential five-step analysis to determine whether a claimant is disabled. The analysis proceeds on the basis of the following questions.
First, is the claimant currently employed? If he is, the claimant is automatically considered not disabled.
Second, does the claimant have a severe impairment? A “severe impairment” means an impairment “which significantly limits his or her physical or mental capacity to perform basic work-related functions.” If the claimant does not have an impairment of at least this degree of severity, he is automatically considered not disabled.
Third, does the claimant have an impairment equivalent to a specific list of impairments contained in regulations’ Appendix 1? If the claimant has an impairment of so serious a degree of severity, the claimant is automatically found disabled....
... Fourth, does the claimant’s impairment prevent him from performing work of the sort he has done in the past? *33 If not, he is not disabled. If so, the agency asks the fifth question.
Fifth, does the claimant’s impairment prevent him from performing other work of the sort found in the economy: If so, he is disabled; if not, he is not disabled.
Goodermote v. Secretary of Health & Human Servs.,
II.PROCEDURAL HISTORY
Plaintiff, born February 2, 1942, has a high school education with past work experience as a machinist. (Administrative Record (“A.R”) 124.) Plaintiff applied for SSDI on November 4, 1992, alleging an inability to work since June 2, 1992, as a result of a back injury. (A.R.116-19.) The Social Security Administration denied the application initially, (A.R.151-52), and again upon reconsideration. (A.R.168-69). After a hearing before an Administrative Law Judge (“ALJ”) on September 23, 1994, the ALJ found that Plaintiff was not disabled. (A.R.255-73.)
The Appeals Council granted Plaintiffs request for review, and on May 26, 1995, remanded the case for further proceedings. (A.R.276-79.) The specifics of the remand order are described below. In essence, the Appeals Council required that the ALJ obtain additional medical evidence and give further consideration to Plaintiffs subjective complaints of pain. (A.R.276-79.) On April 22, 1996, after a second administrative hearing, the ALJ found that Plaintiff was not disabled. (A.R.12-18.) The Appeals Council denied Plaintiffs request for review on October 23,-1997, rendering the second hearing decision final and subject to judicial review. (A.R.2-3.) That decision is now before the court.
III. STANDARD OF REVIEW
A court may not disturb an administrative law judge’s decision if it is grounded in substantial evidence. 42 U.S.C. § 405(g). The Supreme Court has defined substantial evidence as “more than a mere scintilla.”
Richardson v. Perales,
IV. FACTUAL BACKGROUND
A. Medical Evidence Prior to First Administrative Hearing
Plaintiff first began having problems with his back in 1981 and underwent sur *34 gery. (A.R.193-94.) In June 1992, Plaintiff saw Dr. Kuhrt Wieneke and complained of renewed low back pain radiating to Ms right foot. (A.R.194-95.) Magnetic resonance imaging (MRI) conducted on June 30, 1992, showed an extruded disc fragment at L4-5 and a small disc herniation at L5-S1. (A.R.195.) After performing a disc excision in September, (A.R.178), Dr. Wieneke reported that Plantiff was “doing fairly well” with “some recurrent low back and buttock pain” and recommended a Nautilus exercise program three times per week. (A.R.194.)
After Plaintiff applied for SSDI benefits, Dr. Robert Miceli, at the request of the Social Security Administration, reviewed the medical evidence and evaluated Plaintiffs residual functional capacity. (A.R. 140-47.) Dr. Miceli found that, despite his impairments, Plaintiff was capable of light work. (A.R.141.) Soon thereafter, Dr. Oscar Cartaya, another agency physician, reviewed the medical records and affirmed Dr. Miceli’s assessment. (A.R.147.)
Dr. Robert Van Uitert, a neurologist, evaluated Plaintiff on January 4, 1993. (A.R.218-19.) Plaintiff reported to Dr. Van Uitert that his back pain had increased after a period of post-surgical improvement. Plaintiff also reported numbness and paresthesia in both hands, as well as intermittent tinnitus, which Dr. Van Uitert attributed to carpal tunnel syndrome. A subsequent back examination revealed tenderness and spasms, and elec-tromyographic and nerve conduction studies revealed some chronic degenerative changes in plaintiffs legs. Noting that the cause of Plaintiffs leg pain was not entirely clear, Dr. Van Uitert recommended a repeat MRI. (A.R.218-19.)
Plaintiff saw again Dr. Wieneke on January 21, 1993, at which time Plaintiff complained of left thigh pain and weakness in his left leg. (A.R.194.) Dr. Wieneke did not yet have the MRI results. Upon examination, Plaintiff walked briskly with no limp and straight leg raising was negative. Dr. Wieneke noted that Plaintiff had “recently applied for and [was] turned down by [the Social Security Administration]. I agree [Plaintiff] is not sufficiently disabled to qualify for disability.” (A.R.194.)
Physical therapy notes from February 1993, indicate that Plaintiff was tolerating aerobic exercises three times each week with periods of one to two weeks with little or no pain, but paresthesia two to three times a week. (A.R.191.) Dr. Wieneke noted in March of 1993 that further surgery at L3-4 might be necessary due to chrome multilevel lumbar disc disease. (A.R.193.)
Dr. Van Uitert’s notes from April of 1993 state that, although he still complained of lower back pain and hand numbness, Plaintiff was walking well. (A.R. 229.) In May, Plaintiff reported dyspnea, and in June his doctor noted that Plaintiff had been placed on Coumadin for pulmonary embolus. (A.R.228.) In August, Dr. Van Uitert noted that Plaintiffs complaints of low back pain were probably secondary to scarring. (A.R.227.)
In September of 1993, Plaintiff also reported neck pain. A cervical x-ray revealed mild degenerative joint disease. (A.R.226.) However, an MRI in October revealed no disc herniation. (A.R.212.) Dr. Van Uitert’s notes from November and December attribute Plaintiffs lower back pain to scar tissue and his neck pain to muscular strain. (A.R.217, 225.) In a January 1994 letter to Plaintiffs insurance carrier, Dr. Van Uitert opined that Plaintiff was not able to return to gainful employment primarily because of back pain due to scar tissue. (A.R.217.)
An examination by Dr. Van Uitert in February of 1994, revealed low back pain, tenderness and spasm. (A.R.224.) In March, Plaintiff reported that his neck and back pain were more tolerable, but still present. (A.R.223.) In May, Dr. Van Ui-tert noted that Plaintiff had begun physical therapy. (A.R.222.) The physical therapy notes indicate that Plaintiff reported improvement after treatment, but *35 had increased pain when cutting the grass. (A.R.241.) In August, Dr. Van Uitert indicated that Plaintiff complained of pain in the lower back and right leg and reported that “MRI shows only scaring on right.” (A.R.221.) Physical therapy was discontinued in that month. (A.R.249.)
B. 1991p Administrative Hearing
At the administrative hearing in August of 1994, Plaintiff testified that he lived in a trailer with his mother, sometimes cut the lawn and drove short distances. (A.R.41-43, 46.) Plaintiff also stated that he cooked, took his mother shopping and cleaned the bathroom. (A.R.45-48.) Plaintiffs other activities included reading and building model cars. (A.R.50.) Plaintiff also testified that he had trouble sleeping when his leg was acting up, that he went to a health club three times a week for exercise, and that he could only sit still for five minutes at a time. (A.R.50-54.) As indicated, the ALJ found Plaintiff ineligible for SSDI benefits.
C. Appeals Court Review and Remand
After review of the decision, the Appeals Council remanded the case so that the ALJ could gather further evidence. The Appeals Council specifically ordered the ALJ to retrieve existing medical evidence from Drs. Wieneke and Van Uitert pertaining to Plaintiffs orthopedic impairment. The Appeals Council noted that the ALJ should also request to see any existing evidence as to Plaintiffs “headaches, tinnitus, and numbness of the hands, and any findings regarding his anxiety and depression.” (A.R.278.) If the ALJ found this evidence insufficient to assess Plaintiffs impairments, the Appeals Council continued, additional evidence should be obtained in order to make a proper evaluation. In addition, the Appeals Council directed the ALJ to further evaluate Plaintiffs subjective complaints of pain. Finally, if necessary, the ALJ was to gather evidence from a vocational expert to explore possible work options. (A.R.278.)
D. Evidence Gathered on Remand
Upon remand, the ALJ obtained additional records from Dr. Van Uitert, as well as new information from Dr. James Whit-tum. (A.R.282-87.) Dr. Wieneke was no longer treating Plaintiff.
Dr. Van Uitert’s first entry in his updated records is dated October of 1994, at which time Plaintiff reported some improvement. Records dated November of that year also indicate that Plaintiffs back pain was somewhat better and that his neck pain had diminished. (A.R.286-87.) In December, however, Dr. Uitert’s notes indicate that Plaintiffs pain began to worsen. (A.R.286.) In January of 1995, Plaintiff reported that he had stopped seeing a chiropractor and, in March, Dr. Ui-tert noted that Plaintiff was no longer on medication. (A.R.285.) In August, Plaintiff seemed to be doing fairly well, and in November the doctor noted that Plaintiff had good days and bad days. (A.R.284.)
Dr. James Whittum first saw Plaintiff in June of 1995 for complaints of left shoulder pain. Plaintiff reported being quite active with Nautilus and had tried unsuccessfully to relieve the pain by changing his exercise regimen. Dr. Whittum diagnosed bursitis, gave Plaintiff an injection for pain relief and advised him about proper exercise. In July, Plaintiff reported excellent relief from the injection. However, in November, Plaintiff reported recurrence of shoulder pain and another injection was administered. A spur was noted on x-rays and an MRI of the shoulder in November revealed a rotator cuff tear as well as moderate arthritis. (A.R.280-82.) None of the evidence received by the ALJ indicated that Plaintiff was being treated for any psychiatric illness. (A.R.16.)
E. Hearing on Remand
At the second hearing in January of 1996, Plaintiff stated that he was planning to have shoulder surgery. (A.R.97.) In *36 fact, surgery was performed on March 27, 1996. (A.R.10, 280). Plaintiff also indicated that he took blood pressure medication and Tylenol, (A.R.100), did his own shopping, cooking and laundry, and still read and built model cars. (A.R.102.) Plaintiff noted that he owned a standard transmission truck and had driven about 13,000 miles in the past year. (A.R.103-04.) Plaintiff also testified that he had lower back, neck and shoulder pain, and could sit for only about ten or fifteen minutes before needing to get up and move around. (A.R.108-09.)
After considering the evidence, the ALJ decided that Plaintiff was not disabled. The ALJ found that Plaintiff did not have an impairment or a combination of impairments listed in or medically equivalent to one listed in Appendix 1. The ALJ also found that, although Plaintiff was unable to perform his past relevant work as a machinist, he had the residual functional capacity for the full range of light work, unreduced by nonexertional factors. Based on his age, education and work experience — and using medical-vocational guidelines' — the ALJ found that Plaintiff was not disabled. (A.R.17-18.) The Appeals Council declined further review.
V. DISCUSSION
A.
Plaintiff claims that the ALJ improperly relied upon evidence from Dr. Wieneke, one of Plaintiffs treating physicians, concerning his condition shortly after surgery in January of 1993, rather than Dr. Van Uitert’s observations before Plaintiffs initial 1994 hearing. Plaintiff claims that Dr. Van Uitert’s evaluations prove that he is disabled.
See generally Diaz Zayas v. Comm’r of Social Sec. Admin.,
As an initial matter, it is unclear why Plaintiff focuses on claimed deficiencies in the first administrative hearing. Although the ALJ incorporated by reference a summary of the evidence contained in that decision, (A.R.15), the record reflects that any deficiencies therein were fully addressed at the second hearing. Thus, it appears to the court that the ALJ fully complied with the Appeals Council’s mandate to gather and review additional evidence. (A.R.16, 283-87.) In particular, the ALJ obtained updated medical reports from Dr. Van Uitert, as well as new evidence from Dr. Whittum. (A.R.16, 280-87.) As indicated, Plaintiff was no longer under Dr. Wieneke’s care.
Unfortunately for Plaintiff, the additional evidence was found to be corroborative of conclusions reached at the first administrative hearing. Given this record, it is unreasonable to conclude that Dr. Wien-eke’s dated medical records were given controlling weight, since they were merely one of many factors considered by the ALJ. (A.R.16-17.) At bottom, the record reflects that there was substantial evidence in the record for the ALJ to otherwise reach his conclusion that Plaintiff was not disabled.
B.
As required by the Appeals Council, the ALJ also reevaluated Plaintiffs subjective complaints of pain. Where the objective medical evidence does not substantiate the alleged degree of limitation due to pain, subjective evidence of pain may be introduced.
Avery v. Secretary of Health & Human Servs.,
Plaintiffs primary complaint to his doctors concerned back and shoulder pain. The updated medical information indicates that Plaintiff opted for exercise as treatment for these conditions, as opposed to physical therapy. (A.R.16.) The evidence also shows that Plaintiffs complaints of pain were sporadic, (A.R.16), and that he was taking over-the-counter Tylenol for pain as suggested. Other medication was not prescribed due to possible adverse interactions with Coumadin. (A.R.112.) In addition, the record indicates that, as part of his prescribed physical therapy, Plaintiff exercised and used a hot tub to relieve pain, all of which, Plaintiff acknowledged, seemed to help. (A.R.101.)
The court finds substantial evidence of record to support the ALJ’s conclusion that, although some limitations had been placed on Plaintiff because of his pain, those limitations were not significant. First, Plaintiff once again described his daily activities at the second administrative hearing. (A.R.84-113.) In concluding that Plaintiffs daily activities had not been severely limited, the ALJ properly relied on the fact that Plaintiff did his own shoveling and snow blowing, took care of his two pets and did his own cooking, cleaning, shopping and laundry. Second, Plaintiff demonstrated that he remained active with a daily exercise regimen. (A.R.102, 109-11.) Although Plaintiff exercised in lieu of physical therapy, the ALJ did not unreasonably rely upon that evidence in determining that Plaintiff was not suffering disabling pain. The court cannot say that the ALJ’s conclusions — that Plaintiffs pain had not severely limited him and that he was capable of performing light work— were not based on substantial evidence.
C.
Finally, Plaintiff claims that, “[e]ven accepting all of the findings of the administrative law judge, [Plaintiff] would, as a matter of law be determined to be disabled as of February 2, 1997, the date on which [he] reached age 55.” (Pl.Mem. (Docket No. 09) at 5-6.) Plaintiff passed this milestone more than one year after the second administrative hearing and more than nine months after the ALJ rendered his decision.
Pursuant to the Medical-Vocational Guidelines, otherwise know as the “Grid,” set out at 20 C.F.R. Part 4, subpart P, App. 2, a person is considered to be of “advanced age” upon reaching the age of fifty-five. One is deemed to be “approaching advanced age” from the age of fifty to fifty-four. As the First Circuit has explained, “[t]he grid is designed to help the [Commissioner], when appropriate, satisfy his burden of proving the existence of other jobs in the economy that the claimant can perform.”
Sherwin v. Secretary of Health & Human Servs.,
The ALJ found that, based on Plaintiffs age, i.e., “closely approaching advanced age,” high school education, work skills (which skills were deemed nontransferable), and exertional capacity for light work, the Grid directed a conclusion that Plaintiff was not disabled. (A.R.17-18.) See 20 C.F.R. Pt. 404, Subpart P, App. 2, Table 2, § 202.14. The same profile, but with a classification of “advanced age,” Plaintiff asserts, would have resulted in a finding of disability. Id. at §§ 204.04 and 202.06.
If nothing else, Plaintiffs argument reveals the central role one’s age plays in determining disability at the boundary of advanced age. Plaintiff does not claim, however, that the Grid ought not have been used or should have been used for guidance only. The use of the Grid only as a guide is most often appropriate when a claimant has nonexertional impairments.
Arce Crespo v. Secretary of Health & Human Servs.,
As a preliminary matter, the court notes that Plaintiff did not advance this argument before the ALJ. Nowhere in the record is there documentary or testimonial evidence urging the ALJ to categorize Plaintiff as being of “advanced age,” rather than simply “approaching advanced age.” The first time Plaintiff raised the issue was in a letter to the Appeals Council dated March 12, 1997, (A.R.4-5), in which Plaintiff noted that he turned fifty-five on February 2, 1997, subsequent to the ALJ’s decision of April 22,1996. As indicated, the Appeals Council denied review, concluding that Plaintiffs contentions did not provide a basis for changing the ALJ’s decision.
Similarly, Plaintiffs assertion that the court should now enter judgment on his behalf as a matter of law, simply because he turned fifty-five during the course of his appeal, must be rejected. Even though the Appeals Council’s declination of review on October 23, 1997, arose well after Plaintiff turned fifty-five, federal regulations make clear that
all
requirements for entitlement must be met before the administrative law judge’s decision. See 20 C.F.R. § 404.620. That decision “is the relevant cut-off point for determination of all factors on which the determination of disability vel non is based, including the claimant’s age.”
Crady v. Secretary of Health & Human Servs.,
Still, an administrative law judge may not apply the Grid “mechanically in a borderline situation.” 20 C.F.R. § 404.1563(a).
See Sherwin,
In perhaps the best analysis to date, the Tenth Circuit recently explored the regulatory history of the “borderline” language in section 404.1563(a).
See Daniels v. Apfel,
Interestingly enough, Social Security Ruling 82-46c actually adopts and incorporates the First Circuit’s decision in
Fogg v. Schweiker,
The Tenth Circuit In
Daniels
also discusses the application of “a few days or months” to “borderline situations.” None of the cases cited by the court, nor any case which this court has found, would deem as borderline the nine month gap present here between the ALJ’s decision and Plaintiffs fifty-fifth birthday.
Compare Daniels,
Given that Plaintiff was more than one year away from his fifty-fifth birthday when the ALJ heard his case, and more than nine months away when the decision was rendered, there is little wonder why Plaintiff did not raise the age issue until the matter was on appeal to the Appeals Council. Under these circumstances, the court cannot say that the ALJ ought to have pursued the issue on his own.
Cf. Daniels,
Plaintiffs claim is made more difficult by another fact. Plaintiff did not turn fifty-five until after his insured status for purposes of SSDI eligibility expired on December 31, 1996. A disability, of course, must be shown to exist prior to the expiration of one’s insured status.
See
20 C.F.R. § 404.131(b)(2). While the court is not prepared to conclude that this factual scenario in and of itself, would automatically preclude Plaintiff from demonstrating that he was eligible for SSDI prior to the expiration of his insured status, it certainly precludes the court from finding him eligible as a matter of law.
Compare Hilliard,
Of course, Plaintiff may have since become eligible for Supplemental Security Income (“SSI”) benefits, eligibility for which is not dependent on an insured status. A claimant is entitled to SSI benefits, if, among other things he is needy and under a disability. See 42 U.S.C. §§ 1381a and 1382c(a)(3). Plaintiff could certainly apply for such benefits, if he has not done so already. However, the question of SSI eligibility is not before the court.
VI. CONCLUSION
For the foregoing reasons, Defendant’s motion to affirm the decision of the Commissioner will be allowed. Plaintiffs motion to reverse will be denied. A separate order shall issue.
Notes
. In
Kane,