Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-ca8-03-03563/USCOURTS-ca8-03-03563-0/pdf.json

Parties Involved:
Jo Anne B. Barnhart
Appellee
Robert Johnson
Appellant

Document Text:

1

The Honorable John F. Forster, Jr., United States Magistrate Judge for the

Eastern District of Arkansas

United States Court of Appeals

FOR THE EIGHTH CIRCUIT

___________

No. 03-3563

___________

Robert Johnson, *

*

Petitioner - Appellant, *

* Appeal from the United States 

v. * District Court for the Eastern

* District of Arkansas

Jo Anne B. Barnhart, Commissioner, * 

Social Security Administration, *

 *

Respondent - Appellee. *

*

___________

Submitted: May 14, 2004

 Filed: December 9, 2004 

___________

Before MORRIS SHEPPARD ARNOLD, BEAM, and MELLOY, Circuit Judges.

___________

MELLOY, Circuit Judge.

Petitioner-Appellant Robert Johnson appeals the district court’s1

 order

affirming the Commissioner’s determination that he was not disabled. We affirm.

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I. 

Johnson applied for supplemental security income (SSI) on March 10, 1997.

He alleged that he was disabled due to headaches, low back pain, hip pain, and pain

in his arms and hands. Johnson subsequently added depression as a claimed mental

impairment.

At the request of the Social Security Administration (SSA), Dr. Trent Marcus,

M.D., Johnson’s family physician, examined Johnson. Dr. Marcus diagnosed

Johnson to have chronic low back pain with osteoarthritis, non-cardiac chest pain,

headaches, hypertension, and possible depression. Dr. Marcus documented that

Johnson did not have neurological or psychiatric problems (other than the possible

depression). The physical exam showed that Johnson did not have difficulty with his

ears, neck, lungs, gait, coordination, or limb function. Dr. Marcus found Johnson to

have normal range of motion in his spine, shoulders, elbows, wrists, hands, hips,

knees, and ankles. 

On July 23, 1998, Dr. Richard C. Maddock, Ph.D., a psychologist, performed

a psychological evaluation of Johnson, also at the request of the SSA. Dr. Maddock

documented that the Wechsler Adult Intelligence Scale - Revised test revealed that

Johnson had a verbal IQ of 64, a performance IQ of 60, and a full scale IQ of 58. Dr.

Maddock recorded that on the Wide Range Achievement Test-3, Johnson had

difficulty with all areas, including understanding the instructions given to him. On

the Wahler Physical Symptoms Inventory test, Johnson’s results “strongly suggest[ed]

both somatic components to his complaints and malingering.” His score “suggested

[a] gross exaggeration of symptoms.” Results of the Minnesota Multiphasic

Personality Inventory-2 test, indicated that Johnson answered randomly to the

questions. Dr. Maddock concluded that little or no weight should be given to the

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results of the Minnesota Multiphasic Personality Inventory-2 test because it had not

been completed properly. Dr. Maddock determined that Johnson was malingering

and diagnosed him with alcohol abuse, borderline personality disorder, and hip and

back pain.

Johnson’s application was denied initially and on reconsideration. Following

a hearing at which Johnson was represented by counsel, an administrative law judge

(ALJ) denied Johnson’s disability application. On May 11, 2001, the Appeals

Council remanded the case for further administrative proceedings.

Dr. Maddock tested Johnson again on September 24, 2001 at the request of the

SSA. Dr. Maddock conducted a Full Psychological Test Battery, Mental Status and

Evaluation of Adaptive Functioning (Adult). Again, a Minnesota Multiphasic

Personality Inventory-2 test indicated Johnson answered randomly without regard to

the content of the question. Dr. Maddock concluded that little or no weight should

be given to this exam since Johnson’s psychological profile appeared to be invalid.

Dr. Maddock stated that failure to accurately respond to test items may have been due

to lack of cooperation, malingering, or to confusion on Johnson’s part. Dr. Maddock

also documented that Johnson’s Wechsler Memory Scale - Revised scores were not

consistent with his scores on the two other tests of intellectual ability. Dr. Maddock

stated that such large variations in test scores are unusual. Dr. Maddock also noted

that although Johnson complained of a poor memory, the scores indicated his memory

was particularly strong. However Dr. Maddock did note in his report that the

consistency of Johnson’s scores on the Wechsler Adult Intelligence Scale - Revised

indicated some degree of reliability as to those scores. Yet, Dr. Maddock was

concerned that the consistency of the scores might also have been due to malingering.

Finally, Dr. Maddock administered the Computerized Assessment of Response Bias

exam. This test is given when a person is believed to be malingering. Johnson’s test

results indicated strong evidence of malingering. Despite unreliable test results due

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to Johnson’s malingering, Dr. Maddock diagnosed Johnson with alcohol abuse and

mild mental retardation. Dr. Maddock questioned the reliability of his conclusions,

however, because Dr. Maddock believed that Johnson had not been open and honest

during the interview and there was evidence of malingering and exaggeration of

symptoms. 

 

At a subsequent administrative hearing on November 20, 2001, Johnson was

again represented by counsel and presented testimony, including the opinion of a

vocational expert. On December 26, 2001, the ALJ found that: 1) Johnson was not

under a disability as defined by the Social Security Act; 2) Johnson did not meet or

equal any of the listed impairments listed in Appendix 1, Subpart P, Regulation No.

4; and 3) Johnson’s past relevant work did not require the performance of workrelated activities precluded by his physical and mental residual functional capacity.

The ALJ denied Johnson’s application. On March 27, 2002, the Appeals Council

denied Johnson’s request for review, making the ALJ’s decision the Commissioner’s

final decision. 

Johnson sought judicial review of the Commissioner’s final decision. On

September 15, 2003, a magistrate judge affirmed the Commissioner’s administrative

decision. Johnson appeals that decision. 

II.

We review de novo the district court’s decision to uphold the denial of social

security benefits. Pettit v. Apfel, 218 F.3d 901, 902 (8th Cir. 2000). “Our review

of the Commissioner’s decision . . . is deferential, and we do not substitute our own

view of the evidence for that of the Commissioner.” Kelley v. Barnhart, 372 F.3d

958, 960 (8th Cir. 2004). We review the decision to ensure that it “is supported by

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substantial evidence in the record as a whole.” Gaddis v. Chater, 76 F.3d 893, 895

(8th Cir. 1996); see also Dixon v. Barnhart, 353 F.3d 602, 604 (8th Cir. 2003).

Substantial evidence is evidence that a reasonable mind would find adequate to

support a decision, considering both evidence that detracts from and evidence that

supports the Commissioner’s decision. Young v. Apfel, 221 F.3d 1065, 1068 (8th

Cir. 2000). The mere fact that some evidence may support a conclusion opposite to

that reached by the Commissioner does not allow this Court to reverse the decision

of the ALJ. Gaddis v. Chater, 76 F.3d 893, 895 (8th Cir. 1996). “If, after review,

we find it possible to draw two inconsistent positions from the evidence and one of

those positions represents the Commissioner’s findings, we must affirm the decision

of the Commissioner.” Nguyen v. Chater, 75 F.3d 429, 431 (8th Cir. 1996). 

In evaluating disability claims, we conduct a five-step sequential evaluation:

1) is the claimant engaging in substantial gainful activity; 2) does the claimant have

severe impairment(s); (3) does the impairment or combination of impairments meet

or equal an impairment listed in the listing of impairments in 20 C.F.R. Part 404,

Appendix 1, Subpart P (2003); 4) does the impairment or combination of

impairments prevent the claimant from doing past relevant work; and 5) does the

impairment or combination of impairments prevent the claimant from doing any

other work which exists in significant numbers in the national economy. 20 C.F.R.

§ 404.1520(a)-(f) (2003). In this case, the ALJ concluded at the third step that Mr.

Johnson’s impairments do not meet or equal an impairment in the listings. The ALJ

went on to conclude at step four that Johnson’s limitations do not preclude him from

returning to past relevant work. We conclude that these findings are supported by

substantial evidence.

Appellant argues that the ALJ committed an error at step three by not finding

that Johnson did not meet or equal a listed impairment. The burden of proof is on

the plaintiff to establish that his or her impairment meets or equals a listing. See

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Sullivan v. Zebley, 493 U.S. 521, 530-31 (1990). To meet a listing, an impairment

must meet all of the listing’s specified criteria. Id. at 530 (“An impairment that

manifests only some of these criteria, no matter how severely, does not qualify.”).

“Medical equivalence must be based on medical findings.” 20 C.F.R. § 416.926(b)

(2003); Sullivan, 493 U.S. at 531 (“a claimant . . . must present medical findings

equal in severity to all the criteria for the one most similar listed impairment”). 

The specified criteria for 20 C.F.R. Pt. 404, Subpt. P, App. 1, § 12.05 B and C

regarding mental retardation are as follows. A person must have “significantly

subaverage general intellectual functioning with deficits in adaptive functioning

initially manifested during the developmental period; i.e., . . . before age 22.” Level

of intellectual functioning requirements are satisfied by evidence of “[a] valid verbal,

performance, or full scale IQ of 59 or less” or “[a] valid verbal, performance, or full

scale IQ of 60 through 70 and a physical or other mental impairment imposing an

additional and significant work-related limitation of function[.]” 20 C.F.R. Pt. 404,

Subpt. P, App. 1, § 12.05 B and C. 

Johnson claims that psychological testing performed in 1998 and 2001 by Dr.

Richard Maddock demonstrates that he meets the listing for mental retardation since

it showed mild mental retardation and a low IQ. The SSA counters that the 1998 and

2001 tests Johnson points to fail to provide evidence that his impairments meet the

criteria of § 12.05 B or C, since Dr. Maddock stated that his tests were unreliable on

account of malingering by Johnson. The ALJ concluded that Johnson was not under

a disability within the meaning of the Social Security Act at any time through the

date of its decision.

The ALJ’s conclusion is supported by substantial evidence in the record.

Principally, the ALJ discounted the results of both psychological evaluations on

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which Johnson relied due to evidence that Johnson malingered during the

examinations and due to the fact that the ALJ failed to find evidence of a lack of

adaptive functioning by Johnson. 

While an IQ test is helpful in determining whether an applicant has a mental

impairment, it is not the only evidence that may be examined. Other information

which indicates an individual’s ability to function can be used to discredit the results

of the IQ test. Holland v. Apfel, 153 F.3d 620, 622 (8th Cir. 1998). We have held

that an ALJ may reject IQ scores if they are inconsistent with the rest of the record.

Clark v. Apfel, 141 F.3d 1253, 1255 (8th Cir. 1998). Test results should be

examined to assess consistency with daily activities. Id. In this case, the ALJ

appropriately took into consideration Dr. Maddock’s conclusions that Johnson

malingered and that Johnson did not display the significant limitations in adaptive

functioning that 12.05 requires. 

In his first report from 1998, Dr. Maddock stated that Johnson’s Wahler

Physical Symptoms Inventory score showed strong indications of malingering and

that Johnson answered items on the Minnesota Multiphasic Personality Inventory-2

randomly. Dr. Maddock’s September 2001 report also noted that Johnson’s behavior

showed indications that he answered randomly to many items without regard to

content. Dr. Maddock concluded that little or no weight should be given to the

information. The Computerized Assessment of Response Bias verified malingering

and response bias. Dr. Maddox stated that Johnson “wanted to receive or continue

benefits[,] and [that Johnson] felt the best way to do that would be to embellish or

exaggerate a disability,” and that Johnson was not open and honest during his

interview. Finally, the Weschler Memory Scale-Revised presented scores

inconsistent with other test scores and with Johnson’s complaints of a poor memory

(they showed a strong memory). 

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The record also indicates that Johnson did not display the significant

limitations in adaptive functioning that 12.05 requires. 20 C.F.R. Pt. 404, Subpt. P,

App. 1, § 12.05 B and C. In fact, the district court stated in its review that

“[Johnson] testified that he would still be working at the time of the hearing had he

not been fired[,]” and “that he was looking for work at the time of the hearing.” 

Thus, ample evidence exists in the record to support the conclusion of the ALJ.

Johnson failed to meet his burden of proof in demonstrating that he meets the

requirements of 12.05 because: 1) he failed to provide a valid IQ test due to

continual malingering; and 2) his ability to function despite a possible limited IQ.

Accordingly, the Social Security Administration’s determination was reasonable. 

The judgment of the district court is affirmed.

______________________________

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