Opinions and documents
IN THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF OHIO
WESTERN DIVISION AT DAYTON
SHEILA N., :
:
Plaintiff, :
:
v. : Case No. 3:25-cv-00290
: Judge Michael J. Newman
: Magistrate Judge S. Courter M. Shimeall
COMMISSIONER OF :
SOCIAL SECURITY, :
:
Defendant. :
REPORT AND RECOMMENDATION
Plaintiff, Sheila N., brings this action under 42 U.S.C. § 405(g) and 1383(c)(3) for review
of a final decision of the Commissioner of Social Security (“Commissioner”) denying her
applications for social security disability insurance benefits (“DIB”) and supplemental security
income (“SSI”). This matter is before the United States Magistrate Judge for a Report and
Recommendation on Plaintiff’s Statement of Errors (ECF No. 8). For the reasons that follow, it is
RECOMMENDED that the Court OVERRULE Plaintiff’s Statement of Errors and AFFIRM the
Commissioner’s decision.
I. PROCEDURAL HISTORY
Plaintiff filed her applications for DIB and SSI on July 19, 2022, alleging disability as of
June 23, 2020, due to the following: anxiety; left atrial heart valve leaking and a hole in her heart;
manic depression; COPD; ABS with aortic valve stenosis; GERD; Barrett’s esophagus; dysphagia;
high cholesterol; and heart disease. (ECF No. 7, PAGEID #: 351.) Plaintiff’s applications were
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denied initially and upon reconsideration. (Id. at PAGEID #: 89–98, 111–21.) Plaintiff sought a
de novo hearing before an administrative law judge (“ALJ”). (Id. at PAGEID #: 159–60.) The
ALJ heard the matter on January 28, 2024, and, on August 2, 2024, issued a partially favorable
decision finding disability as of May 4, 2024, but not before. (ECF No. 7, PAGEID #: 37–60.)
The ALJ found that Plaintiff met the insured-status requirements of the Social Security Act
through June 30, 2008, and applied the five-step sequential process1 to evaluate her applications.
(ECF No. 7, PAGEID #: 43.)
• Step One: The ALJ found that Plaintiff had not engaged in substantial gainful
activity since June 23, 2020, the alleged onset date. (Id.)
• Step Two: The ALJ found that since the alleged onset date of disability, Plaintiff
had the following severe impairments: mitral valve disorder; hypertension;
hypotension; chronic obstructive pulmonary disease (COPD); cerebrovascular
accident (CVA); anxiety; depression; and bipolar disorder. (Id.)
• Step Three: The ALJ found that since June 23, 2020, Plaintiff did not have an
impairment or combination of impairments that meets or medically equals the
severity of one of the listed impairments in 20 CFR Part 404, Subpart P, Appendix
1. (Id.).
1 Social Security Regulations require ALJs to resolve a disability claim through a five-step
sequential evaluation of the evidence. See 20 C.F.R. § 404.1520(a)(4). Although a dispositive finding at
any step terminates the ALJ’s review, see Colvin v. Barnhart, 475 F.3d 727, 730 (6th Cir. 2007), if fully
considered, the sequential review considers and answers five questions:
1. Is the claimant engaged in substantial gainful activity?
2. Does the claimant suffer from one or more severe impairments?
3. Do the claimant’s severe impairments, alone or in combination, meet or
equal the criteria of an impairment set forth in the Commissioner’s Listing of Impairments,
20 C.F.R. Subpart P, Appendix 1?
4. Considering the claimant's residual functional capacity, can the claimant perform his or her
past relevant work?
5. Considering the claimant’s age, education, past work experience, and residual functional
capacity, can the claimant perform other work available in the national economy?
See 20 C.F.R. § 404.1520(a)(4); see also Henley v. Astrue, 573 F.3d 263, 264 (6th Cir. 2009); Foster v.
Halter, 279 F.3d 348, 354 (6th Cir. 2001).
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Before proceeding to Step Four, the ALJ set forth Plaintiff’s residual functional capacity
(“RFC”) as follows:
[Plaintiff] has the residual functional capacity to perform light work, as defined in
20 CFR 404.1567(b) and 416.967(b) except she can stand and/or walk for a total of
four hours in an eight-hour workday; she can never climb ladders, ropes, and
scaffolds; she can tolerate occasional concentrated exposure to dusts, odors, fumes,
and pulmonary irritants; and she should avoid exposure to unprotected heights,
dangerous machinery, and commercial driving. She can perform simple, routine[]
tasks, but not at a production rate pace and without strict performance quotas; she
can tolerate occasional, superficial[] contact with coworkers, supervisors, and the
public with “superficial contact” defined as retaining the ability to receive simple
instructions, ask simple questions, and receive performance appraisals, but lacking
the ability to engage in more complex social interactions such as persuading other
people or rendering advice; she cannot do any work requiring teamwork or tandem
tasks; and she can tolerate occasional changes in routine work setting, defined as
one to two per week.
(ECF No. 7, PAGEID #: 45–46.)
• Step Four: The ALJ determined that Plaintiff had no past relevant work. (Id. at
PAGEID #: 50.)
• Step Five: Relying on the vocational expert’s (“VE”) testimony, and considering
her age, education, work experience, and RFC, the ALJ concluded that there were
jobs that existed in significant numbers in the national economy that she could have
performed, such as a routing clerk, mail clerk, or office helper, prior to May 4,
2024. (Id. at PAGEID #: 50–51.) But, beginning on May 4, 2024, the date
Plaintiff’s age category changed, there were no jobs that exist in significant
numbers in the national economy that Plaintiff could perform. (Id. at PAGEID #:
51.) In other words, the ALJ concluded that Plaintiff was not disabled prior to May
4, 2024, but became disabled on that date and has continued to be disabled through
the date of this decision. (Id. at PAGEID #: 52.)
The Appeals Council denied Plaintiff’s request for review, and this matter is properly before
this Court. (Id. at PAGEID #: 24–29); (ECF No. 1.)
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II. RELEVANT RECORD EVIDENCE
The Undersigned has reviewed the portions of the administrative record relevant to
Plaintiff’s claimed errors. Rather than summarizing that information here, the Undersigned will
refer and cite to the record as necessary below.
III. STANDARD OF REVIEW
When reviewing a case under the Social Security Act, the Court “must affirm the
Commissioner’s decision if it ‘is supported by substantial evidence and was made pursuant to
proper legal standards.’” Rabbers v. Comm’r of Soc. Sec., 582 F.3d 647, 651 (6th Cir. 2009)
(quoting Rogers v. Comm’r of Soc. Sec., 486 F.3d 234, 241 (6th Cir. 2007)); see also 42 U.S.C.
§ 405(g) (“The findings of the Commissioner of Social Security as to any fact, if supported by
substantial evidence, shall be conclusive . . . .”). Under this standard, “substantial evidence is
defined as ‘more than a scintilla of evidence but less than a preponderance; it is such relevant
evidence as a reasonable mind might accept as adequate to support a conclusion.’” Rogers, 486
F.3d at 241 (quoting Cutlip v. Sec’y of Health & Hum. Servs., 25 F.3d 284, 286 (6th Cir. 1994)).
Although the substantial evidence standard is deferential, it is not trivial. The Court must
“‘take into account whatever in the record fairly detracts from [the] weight’” of the Commissioner’s
decision. TNS, Inc. v. NLRB, 296 F.3d 384, 395 (6th Cir. 2002) (quoting Universal Camera Corp.
v. NLRB, 340 U.S. 474, 487 (1951)). Nevertheless, “if substantial evidence supports the ALJ’s
decision, this Court defers to that finding ‘even if there is substantial evidence in the record that
would have supported an opposite conclusion.’” Blakley v. Comm’r of Soc. Sec., 581 F.3d 399, 406
(6th Cir. 2009) (quoting Key v. Callahan, 109 F.3d 270, 273 (6th Cir. 1997)). Finally, even if the
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ALJ’s decision meets the substantial evidence standard, “‘a decision of the Commissioner will not
be upheld where the SSA fails to follow its own regulations and where that error prejudices the
claimant on the merits or deprives the claimant of a substantial right.’” Rabbers, 582 F.3d at 651
(quoting Bowen v. Comm’r of Soc. Sec., 478 F.3d 742, 746 (6th Cir. 2007)).
IV. ANALYSIS
Plaintiff asserts two errors: (1) the ALJ reversibly erred by failing to articulate the
persuasiveness of the consistency factor when evaluating the opinion of the consultative examiner,
Robert Kurzhals, Ph.D.; and (2) the ALJ reversibly erred by failing to follow the Commissioner’s
own Social Security Ruling 16-3p (“SSR”). (ECF No. 8, PAGEID #: 873–83; ECF No. 12 at
PAGEID #: 914–18.) The Court addresses each in turn.
A. The ALJ’s Evaluation of Dr. Kurzhals’ Opinion
Plaintiff first contends that the ALJ failed to properly evaluate the medical opinions of
consultative examiner, Dr. Kurzhals, under 20 C.F.R. § 404.1520c(c) with respect to the
consistency factor. (ECF No. 8, PAGEID #: 873–80.) The Commissioner counters that the ALJ
did articulate the persuasiveness of the consistency factor when evaluating the opinion of
consultative examiner Dr. Kurzhals, because he had previously discussed how he found Plaintiff’s
subjective statements inconsistent with the evidence in the record, and that any error was harmless.
(ECF No. 11, PAGEID #: 906–08.)
An ALJ’s RFC determination must be “based on all of the relevant medical and other
evidence” in a claimant’s case record. 20 C.F.R. §§ 404.1545(a)(1); 416.945(a)(1). The governing
regulations describe five categories of evidence: (1) objective medical evidence, (2) medical
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opinions, (3) other medical evidence, (4) evidence from nonmedical sources, and (5) prior
administrative medical findings. 20 C.F.R. §§ 404.1513(a)(1)–(5); 416.913(a)(1)–(5). An ALJ
need not “defer or give any specific evidentiary weight, including controlling weight, to any
medical opinion(s) or prior administrative finding(s) including those from [the claimant’s] medical
sources.” 20 C.F.R. § 404.1520c(a); 416.920c(a). Instead, an ALJ must use the following factors
when considering those categories of evidence: (1) Supportability; (2) Consistency;
(3) Relationship with the Claimant; (4) Specialization; and (5) Other Factors, such as “evidence
showing a medical source has familiarity with the other evidence in the claim or an understanding
of [the SSA’s] disability program’s policies and evidentiary requirements.” 20 C.F.R. §§
404.1520c(c)(1)–(5); 416.920c(c)(1)–(5). Although there are five factors, supportability and
consistency are the most important, and the ALJ must explain how they were considered. Id. And
even though an ALJ may discuss how they evaluated the other factors, they are not generally
required to do so. Id.
Here, Plaintiff only challenges the consistency factor. The consistency factor requires an
ALJ to consider the degree to which a medical opinion is consistent with evidence from other
medical and nonmedical sources. 20 C.F.R. § 404.1520c(c)(2). “ALJs must provide a ‘minimum
level of articulation . . . to provide sufficient rationale for a reviewing adjudicator or court.’” Farrah
W. v. Comm’r of Soc. Sec., No. 3:22-cv-374, 2024 WL 514496, at *8 (S.D. Ohio 2024) (citation
omitted), report and recommendation adopted, 2024 WL 865414 (S.D. Ohio Feb. 29, 2024). This
analysis does “not require those explanations to contain a specific level of detail, but instead
contemplate that the appropriate level of articulation will necessarily depend on the unique
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circumstances of each claim.” Timothy B. v. Comm’r of Soc. Sec., No. 2:22-cv-3834, 2023 WL
3764304, at *7 (S.D. Ohio June 1, 2023) (internal quotations omitted). However, “it is the
obligation of the ALJ ‘in the first instance to show his or her work, i.e., to explain in detail how the
factors actually were applied in each case, to each medical source.”’ Scott K. v. Comm’r of Soc.
Sec., No. 3:21-cv-129, 2022 WL 4484603, at *4 (S.D. Ohio Sept. 27, 2022) (citing Hardy v.
Comm’r of Soc. Sec., 554 F. Supp. 3d 900, 909 (E.D. Mich. 2021)).
“To analyze inconsistency, the ALJ should have explained specific instances of
inconsistency in the record, as opposed to a general statement concerning the record as a whole.”
Westover v. Comm’r of Soc. Sec., No. 4:24-CV-02204-SL, 2025 WL 2611399, at *9 (N.D. Ohio
Sept. 9, 2025), report and recommendation adopted, 2025 WL 2720743 (N.D. Ohio Sept. 24,
2025); see also Farrah W., 2024 WL 514496, at *7 (finding that the ALJ failed to properly evaluate
the consistency factor when he did not compare the expert’s opinion to the plaintiff’s treatment
history or other evidence from the record).
In February 2023, Dr. Kurzhals psychologically evaluated Plaintiff relating to her claim for
mental disability benefits. (ECF No. 7, PAGEID #: 732–37.) Plaintiff reported that her last mental
health treatment was in 2010 and that she has learned how to deal with her symptoms in the years
since. (Id. at PAGEID #: 734.) Plaintiff presented as clean and appropriately groomed, had normal
speech, displayed no evidence of hallucinations or abnormal thought content, and was friendly and
cooperative. (Id. at PAGEID #: 735.) She reported feeling depressed and was occasionally tearful,
and also reported feeling anxious and displayed a tense demeanor. (Id.). Dr. Kurhzals noted that
Plaintiff showed fair attention and concentration and was able to understand and follow simple
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directions. (Id.). He felt that Plaintiff’s intellectual functioning was in the average range. (Id.).
He further noted Plaintiff reported she was diagnosed with “manic depression” around 2010 when
she last received mental health treatment, but the symptoms she described and her presentation were
more consistent with her history of trauma. (Id. at PAGEID #: 736.)
As noted by the ALJ, Dr. Kurzhals did not provide his opinion in functional terms or note
the degree of limitation as to the four areas of mental functioning (“Paragraph B criteria”). 20
C.F.R. § 416.920a. Instead, Dr. Kurzhals summarized Plaintiff’s subjective complaints and his own
observations to conclude that the information suggests “there may be limitation” or “there is a
limitation” as to each category. (Id. at PAGEID #: 736–37.)
Based on this lack of specificity, the ALJ determined that Dr. Kurzhals’ examination report
was “not persuasive.” The ALJ summarized Dr. Kurzhals’ opinion as follows:
After completing a consultative psychiatric examination of the claimant, Robert
Kurzhals, Ph.D. concluded there “may be limitation” in the claimant’s ability to
understand, remember, and carry out instructions; there “may be limitations” in her
ability to sustain concentration and persist in work-related activity at a reasonable
pace; “there is limitation” in the claimant’s ability to maintain effective social
interaction on a consistent and independent basis, with supervisors, coworkers, and
the public; and “there is limitation” in the claimant’s ability to deal with normal
pressures in a competitive work setting (Ex. 12F/6). This opinion, to the extent it is
an opinion, is not persuasive. It does not express the claimant’s residual capacity in
functional terms, nor does it describe the degree to which the claimant is limited in
any of the functional domains. Nonetheless, it is based on an examination of the
claimant. However, it appears that Dr. Kurzhals relied, at least in part, on the
claimant’s subjective reporting about the frequency and severity of her symptoms
in providing his statements.
(ECF No. 7, PAGEID #: 50.)
Upon review, the Undersigned agrees with Plaintiff that the ALJ erred with respect to his
consistency analysis. The ALJ does not compare Dr. Kurzhals’ opinion to other medical evidence
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or nonmedical evidence. Even though Dr. Kurzhals’ opinion was vague and provided no degree
for Plaintiff’s mental limitations, that did not excuse the ALJ from analyzing the opinion under the
relevant factors. See Tracy F. v. Comm’r of Soc. Sec., No. 2:23-CV-00188, 2023 WL 8614065, at
*7 (S.D. Ohio Dec. 13, 2023), report and recommendation adopted, No. 2:23-CV-00188, 2024 WL
689322 (S.D. Ohio Feb. 20, 2024) (“Today, an ALJ who dismisses a psychological opinion solely
because it is ‘speculative’ risks running afoul of the new articulation requirements.”)
That said, as the Magistrate Judge explained in Tracy F., finding an error does not always
require reversal. Id. Instead, the Undersigned finds that, under these circumstances, the
Commissioner has the better of the arguments on this issue. That is, even if the ALJ did err in
evaluating the consistency factor, any error was harmless because Dr. Kurzhals’ opinion was vague,
did not opine a specific degree of limitations, and thus, would not have been instructive in the ALJ’s
crafting of the RFC. See Howard H. v. Comm’r of Soc. Sec., No. 2:20-CV-4932, 2022 WL 765217,
at *4 (S.D. Ohio Mar. 14, 2022) (finding harmless error when the ALJ discounted a vague medical
opinion noting a “somewhat elevated risk” in certain categories because, even if the opinions were
given “full credence” on consistency, “they still would not be ‘stated using vocationally relevant
terms’” or “guide the ALJ to a more limited residual functional capacity”).
Plaintiff contends that any error of law requires reversal, but that is not necessarily the case.
(ECF No. 8, at PAGEID #: 880.) Although the Sixth Circuit has not yet addressed whether a
harmless error analysis can be applied to an ALJ’s failure to explain the supportability or
consistency factors under 20 C.F.R. § 404.1520c(b)(2), district courts in this Circuit have found
that the harmless error analysis articulated in Wilson v. Comm’r of Soc. Sec., 378 F.3d 541 (6th Cir.
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2004) can be applied to an ALJ’s evaluation of a medical-source opinion under those new
regulations. See, e.g., Neal B. v. Comm’r of Soc. Sec. Admin., No. 3:23-CV-75, 2024 WL 963713,
at *4 (S.D. Ohio Mar. 5, 2024) (citing Musolff v. Comm’r of Soc. Sec., No. 1:21-CV-1739, 2022
WL 1571864, at *13 (N.D. Ohio Apr. 27, 2022) (citing cases), report and recommendation
adopted, No. 1:21-CV-1739, 2022 WL 1568478 (N.D. Ohio May 17, 2022); see also Jason M. v.
Comm’r of Soc. Sec. Admin., No. 3:21-CV-00272, 2022 WL 4591305, at *6–7 (S.D. Ohio Sept. 30,
2022)); Wilson C. v. Comm’r of Soc. Sec., No. 3:20-cv-457, 2022 WL 4244215, at *6–7 (S.D. Ohio
Sept. 15, 2022). Courts have reasoned that, because 20 C.F.R. § 404.1520c “is part of the regulatory
framework that replaced the treating physician rule and its concomitant good reasons requirement,”
it logically follows that Wilson’s harmless error analysis would apply to its replacement, as they
aim to achieve the same goals. See Burba v. Comm’r of Soc. Sec., No. 1:19-CV-905, 2020 WL
5792621, at *4 (N.D. Ohio Sept. 29, 2020) (finding that the “regulatory predecessor to 20 C.F.R. §
404.1520c, 20 C.F.R. § 1527(d)(2)” share the same goals).
The Undersigned agrees with the analysis set forth by other courts in this Circuit and
therefore finds that “an ALJ’s failure to explain his consideration of the supportability and
consistency factors when determining the persuasiveness of a medical opinion can only be excused
as harmless error if: (1) the medical opinion is patently deficient, (2) the ALJ adopted the medical
opinion or made findings consistent with the opinion, or (3) the goal of the regulation was otherwise
met.” Wilson, 2022 WL 4244215, at *6–7 (citing Wilson, 378 F.3d at 547). But, “[s]uch an error
cannot be excused as harmless for other reasons, including where substantial evidence in the record
may support the ALJ’s conclusion regarding the persuasiveness (or lack thereof) of the medical
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opinion.” Bryan W. v. Comm’r of Soc. Sec. Admin., No. 1:22-CV-00281, 2023 WL 5847649, at *5
(S.D. Ohio Sept. 11, 2023) (collecting cases).
Here, applying the Wilson test, the Undersigned finds that any failure by the ALJ to address
the consistency factor was harmless because, under the first Wilson factor, Dr. Kurzhals’ opinion
was patently deficient due to its lack of articulable degree of mental functional limitations. The
Sixth Circuit has found medical opinions to be patently deficient when they lack evidentiary support
or sufficient explanation, such as in the case of a check-box form. See Hernandez v. Comm’r of
Soc. Sec., 644 F. App’x 468, 474–75 (6th Cir. 2016) (finding an ALJ’s failure to meet the regulatory
requirements was harmless error because the check box form without evidentiary support was
“weak evidence at best” and met the Sixth’s Circuit’s “patently deficient” standard); see also
Shepard v. Comm’r of Soc. Sec., 705 F. App’x 435, 441 (6th Cir. 2017) (finding that a doctor’s
“conclusory opinion, which provided no supporting findings or records and consisted largely of one
word answers, circles, and checkmarks” failed under Hernandez). Arguably, a medical assessment
that lacks any quantifiable (or more specific) estimate as to a plaintiff’s degree of functional
limitation is just as unhelpful as a check-box form opining a degree of limitation without
explanation. Indeed, in this case, even if the ALJ found Dr. Kuzhals’s opinion to be persuasive,
there were no tangible, specific restrictions to incorporate into the RFC. See Anissa H. v. Comm’r
of Soc. Sec., No. 2:21-CV-5315, 2023 WL 1857822, at *8 (S.D. Ohio Feb. 9, 2023), report and
recommendation adopted, 2023 WL 2692415 (S.D. Ohio Mar. 29, 2023) (finding a medical opinion
to be patently deficient when it “provided no functional limitations and no specific assessments on
which the ALJ could otherwise rely” such that any error by the ALJ was harmless); see also Penn
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v. Comm'r of Soc. Sec., No. 1:19-CV-00389, 2020 WL 1288809, at *3 (N.D. Ohio Mar. 18, 2020)
(finding a medical opinion to be “patently deficient in that it gave no actual functional limitations”
such that harmless error applied to the ALJ’s analysis of the opinion). Thus, the Undersigned finds
that Dr. Kuzhals’ opinion was patently deficient because it lacked any degree or specification as to
Plaintiff’s mental functional limitations such that the ALJ’s failure to analyze the consistency factor
with respect to the opinion was harmless error.
Moreover, the Undersigned finds that Plaintiff has not demonstrated any prejudice by the
ALJ’s rejection of Dr. Kurzhals’ opinion. As the Commissioner argues, the ALJ’s RFC did include
limitations with respect to Plaintiff’s mental functioning, finding that Plaintiff had moderate
limitations in understanding, remembering, or applying information; interacting with others;
concentrating, persisting, or maintaining pace; and adapting or managing itself. (ECF No. 11, at
PAGEID #: 908) (citing ECF No. 7, at PAGEID #: 44–45.) Plaintiff has not articulated any
additional limitations opined by Dr. Kurzhals that should have been included and were not. See
Tracy F., 2023 WL 8614065, at *5 (finding no prejudice when plaintiff failed to identify any opined
mental RFC limitation that the ALJ rejected). As such, Plaintiff has failed to demonstrate she was
prejudiced by the ALJ’s rejection of Dr. Kurzhals’ opinion.
Finally, Plaintiff further contends that the ALJ’s error is not harmless because Dr. Kurzhals’
opinion is arguably consistent with Plaintiff’s treatment provider, Amanda Saunders, FNP. (ECF
No. 8, at PAGEID # 880.) This too fails to persuade. The ALJ found Ms. Saunders’ opinion to be
unpersuasive because it lacked evidentiary support for the extreme limitations—limitations the ALJ
found contradicted Ms. Saunders’ own treatment notes and the other record evidence. (ECF No. 7,
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at PAGEID #: 49–50.) Plaintiff does not articulate, however, how Ms. Saunders’ opinion is
consistent with Dr. Kurzhals’ opinion. Nor does the Undersigned otherwise find that Ms.
Saunders’s check-box form, which notes only extreme limitations with little explanation, is
consistent with Dr. Kurzhals’ vague, non-specific opinion that “there may be limitation” or “there
is limitation” in her mental functioning. (Compare ECF No. 7, at PAGED #: 862–64, with PAGEID
#: 736–37.)
For these reasons, the Undersigned recommends that Plaintiff’s first statement of error be
overruled.
B. The ALJ’s Evaluation of Plaintiff’s Subjective Complaints
Plaintiff next argues that the ALJ erred by finding her allegations not credible because she
did not seek mental health treatment without considering possible reasons for that failure. (ECF
No. 8, PAGEID #: 883.)
When symptoms of disabling severity are alleged, the ALJ must follow a two-step process
to evaluate those symptoms. See SSR 16-3p; 20 C.F.R. § 404.1529(c)(2), (3). First, the ALJ must
evaluate whether the individual has a medically determinable impairment that could reasonably be
expected to produce the alleged symptoms. Id. These symptoms must be supported by medical
signs or laboratory findings. Id. Second, the ALJ must evaluate the intensity, persistence, and
functional limitations of those symptoms by considering objective medical evidence and other
evidence according to seven factors. 20 C.F.R. § 404.1529(c)(2), (3). Relevant here, these factors
include: (1) daily activities; (2) the location, duration, frequency, and intensity of pain or other
symptoms; (3) precipitating and aggravating factors; (4) the type, dosage, effectiveness, and side
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effects of any medication taken to alleviate pain or other symptoms; (5) treatment, other than
medication, received for relief of pain or other symptoms; (6) any measures used to relieve pain or
other symptoms; and (7) other factors concerning functional limitations and restrictions due to pain
or other symptoms. See 20 C.F.R. § 404.1529(c)(3)(i)–(vii). While the ALJ is not required to
analyze all seven factors, he must show that he considered the relevant evidence. Kimberly C. v.
Comm’r of Soc. Sec., No. 1:22- cv-637, 2023 WL 6807955, at *3 (S.D. Ohio Oct. 16, 2023) (citing
Roach v. Comm’r Soc. Sec., No. 1:20-cv-01853, 2021 WL 4553128, at *10–11 (N.D. Ohio Oct. 5,
2021)).
Finally, even though the ALJ’s assessment of subjective complaints must be supported by
substantial evidence and reflect consideration of the entire record, it is the ALJ—not the reviewing
court—who determines whether Plaintiff’s reported symptom are consistent with the record as a
whole. See Rogers v. Comm’r of Soc. Sec., 486 F.3d 234, 247 (6th Cir. 2007); Molly M. v. Comm’r
of Soc. Sec., No. 3:20-cv-274, 2022 WL 336412, at *5 (S.D. Ohio Feb. 4, 2022) (“[I]t is not in this
Court’s province to reweigh the evidence or decide questions of credibility.”). When an ALJ finds
contradictions between medical evidence and a claimant’s subjective reports, “discounting
credibility to a certain degree is appropriate.” Walters v. Comm’r of Soc. Sec., 127 F.3d 525, 531
(6th Cir. 1997). Therefore, “absent a compelling reason,” an ALJ’s credibility determination should
not be disturbed. Smith v. Halter, 307 F.3d 377, 379 (6th Cir. 2001).
Here, the ALJ applied the relevant factors and found that Plaintiff’s medically determinable
impairments could reasonably be expected to cause the alleged symptoms, but that Plaintiff’s
statements concerning the intensity, persistence, and limiting effects of these symptoms were
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inconsistent with the record evidence. (ECF No. 7, PAGEID #: 47.) To arrive at this conclusion,
the ALJ relied on Plaintiff’s mild diagnostic testing and clinical observations, her conservative
treatment, and her “robust range of activities of daily living” to discount the severity of her
symptoms. (Id.)
The ALJ further discussed Plaintiff’s mental health treatment based on anxiety and
depression symptoms:
Despite alleging disability based on anxiety and depression, [Plaintiff] did not
receive specialized mental health treatment at any point during the period at
issue. Indeed, she told a consultative examiner that her last mental health
treatment was in 2010 and that she has learned how to deal with her symptoms
in the years since (Ex. 12F/3). She presented for a new patient appointment with
her primary care provider in September 2022 where she endorsed decreased
mood, anxiety, and poor memory; however, findings on a mental status
examination were within normal limits (Ex. 7F/2). In October 2022, she was
reportedly diagnosed with bipolar disorder and started on lithium but was
unable to sleep and went to the emergency room (Ex. 6F/4). She was alert and
oriented with normal motor function and normal mood, affect, and judgment
(Ex. 6F/6). After an unremarkable workup, she declined Ativan and was
discharged home (Ex. 6F/7). She underwent a consultative psychiatric
evaluation in February 2023 (Ex. 12F). She presented as clean and appropriately
groomed, had normal speech, displayed no evidence of hallucinations or
abnormal thought content, and was friendly and cooperative (Ex. 12F/4). She
reported feeling depressed and was occasionally tearful (Ex. 12F/4). She also
reported feeling anxious and displayed a tense demeanor (Ex. 12F/4). She
showed fair attention and concentration and was able to understand and follow
simple directions; the examiner felt that her intellectual functioning was in the
average range (Ex. 12F/4). Aside from these findings, mental status
examinations elsewhere in the record were normal throughout the relevant
period (Ex. 2F/7; 5F/20; 6F/6; 7F/2, 4, 8; 18F/3).
(ECF No. 7, PAGEID #: 48.)
Plaintiff contends that the ALJ failed to consider legitimate reasons why she failed to
comply with or seek treatment, and that his failure to do so violated the applicable regulations.
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Upon review, however, the Undersigned finds that the ALJ gave proper consideration to the
relevant factors when evaluating Plaintiff’s subjective complaints. First, contrary to what Plaintiff
asserts, the ALJ did not discredit her subjective symptoms solely because she refused medication
and did not seek treatment. In fact, the ALJ noted and considered Plaintiff’s own self-reported
statement that she had “learned how to deal with her symptoms” as a reason for not seeking
treatment. (See id.) Additionally, the ALJ is permitted to consider Plaintiff’s refusal of medication
when assessing the severity of her subjectively reported symptoms. See Kestel v. Comm’r of Soc.
Sec., 756 F. App’x 593, 599 (6th Cir. 2018) (finding that noncompliance with mental health
treatment may reflect the impairment rather than a lack of symptoms, but an ALJ may nonetheless
view noncompliance as an adverse factor when the record does not explain the absence of treatment
or when the claimant’s explanations are inconsistent). Here, there was no indication that Plaintiff’s
failure to seek treatment was another symptom of her mental health impairment. Finally, the ALJ
also considered and cited to numerous instances where Plaintiff had normal mental health findings.
(ECF No. 7, PAGEID #: 48 (citing ECF No. 7, at PAGEID #: 452, 568, 707, 709, 711, 867).)
Accordingly, the ALJ did not discredit Plaintiff’s subjective symptoms based only on her
lack of treatment and refusal to take medication. Instead, he based his evaluation on consideration
of the relevant factors. The Undersigned therefore finds no compelling reasons to supplant the
ALJ’s credibility analysis and therefore recommends that Plaintiff’s second statement of error be
overruled.
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V. CONCLUSION
Based on the foregoing, it is RECOMMENDED that Plaintiff’s Statement of Errors be
OVERRULED, and that the Commissioner’s decision be AFFIRMED.
VI. PROCEDURE ON OBJECTIONS
If any party seeks review by the District Judge of this Report and Recommendation, that
party may, within fourteen (14) days, file and serve on all parties objections to the Report and
Recommendation, specifically designating this Report and Recommendation, and the part in
question, as well as the basis for objection. 28 U.S.C. § 636(b)(1); Fed. R. Civ. P. 72(b). Response
to objections must be filed within fourteen (14) days after being served with a copy. Fed. R. Civ.
P. 72(b).
The parties are specifically advised that the failure to object to the Report and
Recommendation will result in a waiver of the right to de novo review by the District Judge and
waiver of the right to appeal the judgment of the District Court. See, e.g., Pfahler v. Nat’l Latex
Prod. Co., 517 F.3d 816, 829 (6th Cir. 2007) (holding that “failure to object to the magistrate
judge’s recommendations constituted a waiver of [the defendant’s] ability to appeal the district
court’s ruling”); United States v. Sullivan, 431 F.3d 976, 984 (6th Cir. 2005) (holding that defendant
waived appeal of district court’s denial of pretrial motion by failing to timely object to magistrate
judge’s report and recommendation). Even when timely objections are filed, appellate review of
issues not raised in those objections is waived. Robert v. Tesson, 507 F.3d 981, 994 (6th Cir. 2007)
(“[A] general objection to a magistrate judge’s report, which fails to specify the issues of contention,
does not suffice to preserve an issue for appeal . . . .” (citation omitted)).
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IT IS SO ORDERED.
/s/ S. Courter M. Shimeall
S. COURTER M. SHIMEALL
UNITED STATES MAGISTRATE JUDGE
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