Clаimant Linda S. Thompson alleges a disability due to back problems and pain. She applied for disability benefits and supplemental security income benefits on January 20, 1990, alleging a disability beginning on December 12, 1989. Her application was denied initially by the Social Security Administration and on review before both an administrative law judge (AU) and the Appeals Council of the Social Security Administration. Ms. Thompson then sought review in federal district court, where the administrative actions were upheld by the district judge based on a magistratе judge’s recommendation. Ms. Thompson appeals from the district court’s adverse ruling. We exercise jurisdiction under 42 U.S.C. § 405(g) and reverse and remand for further proceedings. 1
Ms. Thompson was forty-two years old at the time of her application, with a history of back problems going back to 1981 or 1982. She has an eighth grade education and work experience in such jobs as patient care and wood hauling. Her benefits hearing before the AU lasted only ten minutes. She was represented by an attorney, who interviewed her. (Ms. Thomрson is represented by a different attorney on appeal.) The AU did not ask any questions. There were no other witnesses. Ms. Thompson’s medical records from three treating physicians were on file. The AU made his decision on the record before him at the time of the benefits hearing. He did not order a consultative examination or call a vocational expert to evaluate the impact of Ms. Thompson’s impairments on her ability to work.
At the hearing, Ms. Thompson’s attorney asked her somewhat superficial questions about the nature of her back problem and pain, her medical treatment and medication, and the impact of her pain on her daily activities.
See generally
Transcript, R. Vol. I, 21-29. He elicited testimony from
As previously mentioned, the AU asked no questions. In general, the questions and answers were superficial and cursory. It appears that Ms. Thompson’s attorney cut off a couple of her answers. Id. at 22-23. There was no testimony explaining, nor does it appear in the medical evidence, what facet syndrome is. See id. at 21-29, 102-10. In addition, Ms. Thompson’s attorney did not ask her what precipitated her claim for benefits in 1989, what effect her back problem by itself had on her daily activities, whether the prescription medication she had taken but could not afford to continue was effective against her pain, whether the prescription medication allowed her to work, whether that medication had any adverse side effects, or what othеr measures, if any, she took to combat her pain. Id. at 21-29.
After the hearing, the AU determined that Ms. Thompson’s allegations of disabling pain were not credible but that she suffered some pain. The AU also found, without any evidence, that even though Ms. Thompson had established that she was unable to return to her past relevant work, all of which required at least medium exertion, she retained the residual functional capacity (RFC) to do sedentary work. The AU then found, without vocational testimony and disregarding Ms. Thompson’s back problems and рain, that Ms. Thompson could do the full range of sedentary work. Finally, the AU found, disregarding his finding that Ms. Thompson suffered pain, that based on her RFC category, age, work experience, and education, she was not disabled under the “grids,” that is, the medical-vocational guidelines, 20 C.F.R., Pt. 404, Subpt. P, App. 2, Rule 201.24. Decision of Administrative Law Judge, R. Vol. I at 10-11.
Ms. Thompson asserts four points of error: (1) the AU failed in his duty to develop the record because the ten-minute hearing was too brief and because the AU did not ask Ms. Thompson any questions about her back problems and pain; (2) the AU should have ordered a consultative examination and called a vocational expert; (3) the AU improperly relied on the grids for the ultimate conclusion of nondisability because Ms. Thompson’s pain, a nonexertional impairment, precluded conclusive reliance on the grids; and (4) the AU’s finding that the Secretary carried his burden on step five to show that Ms. Thompson retains the RFC to perform the full range of sedentary work and most sedentary jobs, is not supported by substantial evidence. We agree.
I
To qualify for disability benefits, a claimant must establish a severe physical or mental impairment expected to result in death or last for a continuous period of twelve months which prevents the claimant from engaging in substantial gainful activity. 42 U.S.C. § 423(d)(1)(A). The Secretary has established a five-part sequential evaluation process for determining disability.
See
20 C.F.R. §§ 404.1520(a)-(f), 416.-920;
Williams v. Bowen,
The first four steps аre not at issue here — the AU determined that Ms. Thompson’s claim was still under evaluation after
The AU denied benefits at step five. On step five, after the claimant has established at step four that he or she cannot return to his or her past relevant work, the burden shifts to the Secretary to show that the claimant retains the residual functional capacity (RFC) to do other work that exists in the national economy.
See Hargis v. Sullivan,
II
How the AU should proceed on step five to make the ultimate determination that the claimant is disablеd or not depends on whether the claimant alleges an exertional impairment (strength-related), or a nonex-ertional impairment (pain or mental problems), or.both. Ms. Thompson established an exertional impairment, her back trouble, and alleges a nonexertional impairment, pain.
The grids contain tables of rules which direct a determination of disabled or not disabled on the basis of a claimant’s RFC category, age, education, and work experience.
See
20 C.F.R. Pt. 404, Subpt. P, App. 2. “Under the Secretary’s own rеgulations, however, ‘the grids may not be applied conclusively in a given case unless the claimant’s characteristics precisely match the criteria of a particular rule.’ ”
Frey v. Bowen,
RFC, “residual functional capacity,” is defined by the regulations as what the claimant can still do despite his or her limitations.
Davidson v. Secretary of Health & Human Servs.,
Light work involves lifting no more than 20 pounds at a time with frequent lifting or carrying of objects weighing up to 10 pounds_ [A] job is in this category when it requires a good deal of walking or standing, or when it involvessitting most of the time with some pushing and pulling of arm or leg controls.
Id. § 404.1567(b).
Sedentary work involves lifting no more than 10 pounds at a time and occasionally lifting or carrying articles like docket files, ledgers, and small tools. Although a sedentary job is defined as one which involves sitting, a certain amount of walking and standing is often necessary in carrying out job duties.
Id. § 404.1567(a). “[SJitting should generally total approximately 6 hours of an 8-hour workday.” Soc.Sec.Rul. 83-10.
“The grids should not be applied conclusively in a particular case ... unless the claimant could perform the full range of work required of that [RFC] category on a daily basis and unless the claimant possesses the physical capacities to perform most of the jobs in that range.”
Hargis,
In summary, an AU may not rely conclusively on the grids unless he finds (1) that the claimant has no significant nonex-ertional impairment, (2) that the claimant can do the full range of work at some RFC level on a daily basis, and (3) that thе claimant can perform most of the jobs in that RFC level. Each of these findings must be supported by substantial evidence. In this case, the AU erred in all three.
(1) NONEXERTIONAL IMPAIRMENT, PAIN
Ms. Thompson established an exer-tional impairment, back trouble, on step two, and alleges a nonexertional impairment, pain, which must be evaluated on step five. She asserts that the AU failed to adequately consider her subjective complaints of pain.
A claimant’s subjective allegation of pain is not sufficient in itself to establish disability.
Gatson v. Bowen,
The framework for the proper analysis of Claimant’s evidence of pain is set out in Luna v. Bowen,834 F.2d 161 (10th Cir.1987). We must consider (1) whether Claimant established a pain-producing impairment by objective medical evidence; (2) if so, whether there is a “loose nexus” betweеn the proven impairment and the Claimant’s subjective allegations of pain; and (3) if so, whether, considering all the evidence, both objective and subjective, Claimant’s pain is in fact disabling.
Musgrave v. Sullivan,
“Objective” evidence is any evidence, whether physiological or psychologi
The claimant is not requirеd to produce medical evidence proving the pain is inevitable.
Frey,
Ms. Thompson met the first two prongs of this three-part inquiry. The Secretary does not argue otherwise. On October 26, 1989, Dr. Chandler made a diagnosis of lumbar strain and possible herniated disc. R. Vol. I at 107. His examination on that date revealed that Ms. Thompson experienced pain doing straight leg lifts, which increased when he flexed either of her feet. Id. On both November 28 and December 12, 1989, Dr. Nardone reported that Ms. Thompson’s range of motion was restricted and that “[pjalpation reveals deep tenderness at L4-5.” Id. at 108, 110. On December 22, 1989, Dr. Nardone reported that Ms. Thompson was “tender over the left paravertebral area.” Id. at 108.
Because objective medical evidence showed that Ms. Thompson had a back problem producing pain, the ALJ was required to consider her assertions of severe pain and to “decide whether he believe[d them].”
Luna,
When determining the credibility of pain testimony, the ALJ should consider such factors as
“the levels of medication and their effectiveness, the extensiveness of the attempts (medical or nonmedical) to obtain relief, the frequency of medical contacts, the nature of daily activities, subjective measures of credibility that are peculiarly within the judgment of the ALJ, the motivation of and relationship between the claimant and other witnesses, and the consistency or compatibility of nonmedical testimony with objective medical evidence.”
Hargis,
The ALJ found Ms. Thompson’s allegations of disabling pain were not credible primarily because she was neither pursuing medical treatment nor taking prescription medicine. Decision, R. Vol. I at 9-10. He also relied on the evidence from her application for benefits that she undertook minimal daily activities such as visiting neighbors and doing light housework. Id. at 9. (Her testimony at the hearing, however, was that she basically could not do anything.) In addition, the AU relied on Ms. Thompson’s medical evidence, which indicates that she did not have a herniated disc, and her CT scan and myelogram were normal. Id. at 9, 108-10. The AU’s conclusion was that Ms. Thompson stopped pursuing medical treatment or prescription medicine because her pain lessened. Id. at 9. Although he does not state it, the AU necessarily rejected Ms. Thompson’s explanation that she failed to pursue medical treatment or prescription medicine because she could not afford it. He agreed she had some pain, which would become severe with strenuous physical activity. Id.
Second, before the AU may rely on the claimant’s failure to pursue treatment or take medication as support for his determination of noncredibility, he or she should consider “(1) whether the treatment at issue would restore claimant’s ability to work; (2) whether the treatment was prescribed; (3) whether the treatment was refused; and, if so, (4) whether the refusal was without justifiable excuse.”
Frey,
In addition, the AU may nоt rely on minimal daily activities as substantial evidence that a claimant does not suffer disabling pain.
Frey,
All that is left as “substantial evidence” for the AU’s determination of non-credibility is the medical evidence that Ms. Thompson’s CT scan and myelogram were normal and she did not have a herniated disc. However, her doctor still believed Ms. Thompson was in pain, changed his diagnosis and sсheduled another appointment to see her. R. Yol. I at 108;
cf. Campbell,
Third, even if the AU’s finding of non-credibility were supported by substantial evidence,
[this court’s] review does not end ... with [its] determination that the аdministrative law judge’s decision that the claimant does not suffer from disabling pain is supported by substantial evidence. The Secretary must demonstrate that sufficient jobs exist in the national economy that the claimant may perform given the level of pain [she] suffers.
Hargis,
Pain, even if not disabling, is still a nonexertional impairment to be taken into consideration, unless there is substantial
(2) FULL RANGE OF RFC-LEVEL WORK
An AU’s finding regarding the claimant’s noncredibility does not compel a finding of not disabled. Rather, the credibility determination is just a step on the way to the ultimate decision. The AU must also determine whether the claimant has an RFC level and can perform the full range of work at his or her RFC level on a daily basis.
Frey,
The AU determined that Ms. Thompson retained the RFC to do sedentary work. This finding must be supported by substantial evidence. It appears not to be supported by any evidence at all, however. “[A] sedentary job is defined as one which involves sitting, [but] a certain amount of walking and standing is often necessary in carrying out job duties.” 20 C.F.R. § 404.1567(a). “[Setting should generally total approximately 6 hours of an 8-hour workday.” Soc.Sec.Rul. 83-10. In making his finding that Ms. Thompson could do the full range of sedentary work, the AU relied on the
absence of contraindication
in the medical records. R. Vol. I at 9. The absence of evidence is not evidence. The AU’s reliance on an omission effectively shifts the burden back to the claimant. It is not her burden, however, to prove she cannot work at any level lower than her past relevant work; it is the Sec-, retary’s burden to prove that she can.
See Gatson,
Granted, Ms. Thompson’s medical records are inconclusive; after all, she discontinuеd treatment while Dr. Nardone was still trying to pin down a diagnosis. The AU, however, finding no evidence upon which to make a finding as to RFC, should have exercised his discretionary power to order a consultative examination of Ms. Thompson to determine her capabilities.
Compare Diaz v. Secretary of Health & Human Servs.,
(3) MOST JOBS IN RFC LEVEL
The AU concluded that Ms. Thompson could perform a significant number of sedentary jobs. R. Vol. I at 10. He gives no basis at all for this conclusion. He made it despite his other findings that Ms. Thompson has back problems and experiences back and lеg pain, and without naming one job that Ms. Thompson could perform.
The AU should have called a vocational expert to determine what limitation Ms. Thompson’s acknowledged back and leg pain might impose on her capacity to do sedentary work.
See Musgrave,
The AU clearly erred in relying conclusively on the grids because the required underlying findings were not supported by substantial evidence. “Where exertional limitations prevent the claimant from doing the full range of work specified in [her] assigned residual functional capacity, or where nonexertional impairments are also present, the grids alone cannot be used to determine the claimant’s ability to perform alternative work.”
Campbell,
If the claimant is not so disabled, the AU must then make a second individualized determination using the grids only as “a framework for consideration of how much the individual’s work capability is further diminished in terms of any types of jobs that would be contraindicated by the nonexertional limitations.”
Frey,
Ill
Ms. Thompson argues that the AU failed in his duty to fully develop the record due to the brevity of the hearing. The preceding discussion should make clear that this argument has merit. It matters that Ms. Thompson was not asked enough questions or the right questions at the hearing because her answers were needed by the AU as evidence to support his determination of her credibility. It matters that the AU did not order a consultative examination or call a vocational expert because the medical evidence in the record is inconclusive and does not provide substantial support for findings of Ms. Thompson’s RFC level or how many jobs she can perform despite her impairments.
“It is well established that ‘a Social Security disability hearing is a nonadver-sarial proceeding, in which the AU has a basic duty of inquiry, “to inform himself about facts relevant to his decision and to learn the clаimant’s own version of those facts.” ’ ”
Casias,
It is difficult to compare this case point for point with other cases that discuss the brevity issue because they do not give many facts.
See Musgrave,
For the above reasons, the case is remanded for further proceedings, including
The judgment of the United States District Court for the Eastern District of Oklahoma is REVERSED, and the case is REMANDED to the agency for further proceedings consistent with this opinion.
Notes
. After examining the briefs and appellate record, this panel has determined unanimously that oral argument would not materially assist the determination of this appeal. See Fed. R.App.P. 34(a); 10th Cir.R. 34.1.9. The case is therefore ordered submitted without oral argument.
