Filed: Sep. 10, 2012
Latest Update: Mar. 26, 2017
Summary: FILED United States Court of Appeals UNITED STATES COURT OF APPEALS Tenth Circuit FOR THE TENTH CIRCUIT September 10, 2012 Elisabeth A. Shumaker Clerk of Court ANGELIQUE HARRIS, Plaintiff-Appellant, v. No. 11-5151 (D.C. No. 4:10-CV-00611-FHM) MICHAEL J. ASTRUE, Commissioner, (N.D. Okla.) Social Security Administration, Defendant-Appellee. ORDER AND JUDGMENT* Before HOLMES, Circuit Judge, BRORBY, Senior Circuit Judge, and EBEL, Circuit Judge. Angelique Harris sought children’s social security ben
Summary: FILED United States Court of Appeals UNITED STATES COURT OF APPEALS Tenth Circuit FOR THE TENTH CIRCUIT September 10, 2012 Elisabeth A. Shumaker Clerk of Court ANGELIQUE HARRIS, Plaintiff-Appellant, v. No. 11-5151 (D.C. No. 4:10-CV-00611-FHM) MICHAEL J. ASTRUE, Commissioner, (N.D. Okla.) Social Security Administration, Defendant-Appellee. ORDER AND JUDGMENT* Before HOLMES, Circuit Judge, BRORBY, Senior Circuit Judge, and EBEL, Circuit Judge. Angelique Harris sought children’s social security bene..
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FILED
United States Court of Appeals
UNITED STATES COURT OF APPEALS Tenth Circuit
FOR THE TENTH CIRCUIT September 10, 2012
Elisabeth A. Shumaker
Clerk of Court
ANGELIQUE HARRIS,
Plaintiff-Appellant,
v. No. 11-5151
(D.C. No. 4:10-CV-00611-FHM)
MICHAEL J. ASTRUE, Commissioner, (N.D. Okla.)
Social Security Administration,
Defendant-Appellee.
ORDER AND JUDGMENT*
Before HOLMES, Circuit Judge, BRORBY, Senior Circuit Judge, and EBEL,
Circuit Judge.
Angelique Harris sought children’s social security benefits and supplemental
security income based on allegations of a hearing disorder, bipolar disorder, and low
IQ. An administrative law judge (ALJ) denied benefits, finding that although
Ms. Harris had three severe impairments (borderline intellectual functioning, mood
disorder, and bipolar disorder), she had the residual functional capacity (RFC) to
*
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1(G). The case is therefore
ordered submitted without oral argument. This order and judgment is not binding
precedent, except under the doctrines of law of the case, res judicata, and collateral
estoppel. It may be cited, however, for its persuasive value consistent with
Fed. R. App. P. 32.1 and 10th Cir. R. 32.1.
perform a full range of work at all exertional levels provided that she was limited to
“simple routine tasks and only occasional public interaction.” App’x II at 23.
Ms. Harris was nineteen years old at the time of the ALJ’s decision. The Social
Security Administration’s Appeals Council denied review, a district court later
affirmed, and Ms. Harris has appealed. Our task is limited to determining whether
the agency’s “factual findings are supported by substantial evidence and whether
correct legal standards were applied.” Barnett v. Apfel,
231 F.3d 687, 689 (10th Cir.
2000). “Substantial evidence is such relevant evidence as a reasonable mind might
accept as adequate to support a conclusion.” Id. (internal quotation marks omitted).
In conducting our review, we cannot “reweigh the evidence” or “substitute our
judgment for that of the agency.” Id. (internal quotation marks omitted).
Ms. Harris’s first argument concerns a hypothetical question the ALJ posed to
a Vocational Expert (VE): whether a nineteen-year-old with a high school education,
no prior relevant work, and no exertional limitations could perform any work if she
were limited to simple, routine tasks and only occasional public interaction. In
response, the VE listed a number of unskilled jobs such an individual could perform,
including maid, hand packager, sorter, assembler, and laborer. The ALJ relied on the
VE’s testimony in determining that Ms. Harris was not disabled at step five of the
five-step sequential analysis applicable to social security claims. See Wall v. Astrue,
561 F.3d 1048, 1052 (10th Cir. 2009) (describing five-step evaluation process).
Ms. Harris contends the ALJ should have asked the VE to consider that, despite
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having graduated from high school, she reads at grade level 4.7, spells at grade level
3.7, and has a full-scale IQ of 71. She concludes that omitting this information
means the VE’s response does not provide substantial evidence in support of the
ALJ’s step-five determination.
We disagree. In order for a VE’s response to a hypothetical question to
constitute substantial evidence supporting an ALJ’s disability determination, the
question must “relate with precision all of [the] claimant’s impairments.” Hargis v.
Sullivan,
945 F.2d 1482, 1492 (10th Cir. 1991) (internal quotation marks omitted).
The ALJ’s hypothetical did that here. First, it is indisputable that Ms. Harris actually
graduated from high school, albeit with almost half of her time spent in special
education classes for all core subjects. Hence, it was proper for the ALJ to inform
the VE that Ms. Harris had a high school education. Second, there is substantial
evidence supporting the limitation in the ALJ’s hypothetical to simple, routine tasks
to the extent that limitation was meant to account for Ms. Harris’s IQ and literacy
level.
The ALJ credited an assessment by Dr. B. Todd Graybill, who evaluated
Ms. Harris at the agency’s request. Dr. Graybill administered an IQ test, which
yielded a verbal score of 74, a performance score of 73, and a full-scale score of 71,
and he reported that Ms. Harris’s attention and concentration were “significantly
impaired” and her social skills “naïve.” App’x II at 330. Nonetheless, he opined that
Ms. Harris “was able to understand, retain, and follow simple directions,” and that
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she was “able to read, write, and perform simple arithmetic calculations.” Id. at 329.
The ALJ also gave weight to a mental RFC assessment completed by a
non-examining state-agency physician and two non-examining state-agency
psychologists, who found Ms. Harris not significantly limited in her ability to make
simple, work-related decisions; to understand, remember, and carry out simple
instructions; to maintain attention and concentration for extended periods; and to
sustain an ordinary routine without special supervision.
In contrast, the ALJ rejected almost all of a mental RFC assessment prepared
by Ms. Harris’s treating physician, Dr. John Mallgren, who found that she had
marked limitations in nine mental activities and moderate limitations in the
remaining four. Except for Dr. Mallgren’s opinion that Ms. Harris had poor insight
and judgment, which the ALJ found supportive of the limitation to simple, routine
tasks, the ALJ reasoned that Dr. Mallgren’s assessment was not consistent with the
objective medical evidence, and Ms. Harris has not challenged the ALJ’s rejection of
that assessment. We therefore conclude that substantial evidence supports the
limitation to simple, routine tasks despite Ms. Harris’s IQ score and literacy level,
and the ALJ was not required to include information regarding those characteristics
in the hypothetical to the VE in order to rely on the VE’s responses as substantial
evidence supporting the step-five finding.1
1
Before proceeding to Ms. Harris’s next argument, we pause to acknowledge
the Commissioner’s argument that she has made no attempt to show that omitting her
(continued)
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Ms. Harris next claims that the limitation in the ALJ’s RFC to simple, routine
tasks is not supported by substantial evidence for another reason: the evidence shows
she needs step-by-step instructions and close supervision to complete almost any
work-related task successfully. She claims that those limitations are not consistent
with the basic mental abilities required to perform simple, routine tasks. We again
disagree. Substantial evidence supports the limitation to simple, routine tasks as it
relates to Ms. Harris’s need for instructions and supervision. Among that evidence
are the findings of Dr. Graybill and the state-agency non-examining reviewers,
discussed above. Further, the ALJ considered, in detail, the many treatment notes
IQ and literacy level from the hypothetical prejudiced her with regard to the unskilled
jobs identified by the VE that provided the basis for the ALJ’s step-five finding.
Indeed, the only statement in her briefs we perceive as approaching such a showing
of prejudice is that, although it is clear a high school graduate could perform the jobs
the VE identified, it is unclear whether someone with Ms. Harris’s IQ and literacy
level could. See Aplt. Opening Br. at 11-12. Contrary to her argument, placing the
burden on Ms. Harris to show prejudicial error is not tantamount to shifting the
Commissioner’s step-five burden to her. The burden to show prejudicial error on
appeal rests with Ms. Harris. See Shinseki v. Sanders,
556 U.S. 396, 409 (2009)
(“[T]he burden of showing that an error is harmful normally falls upon the party
attacking the agency’s determination.”). In any event, our disposition of Ms. Harris’s
first issue is based on the evidence, not on any failure by her to show prejudicial
error. Nor does our foregoing analysis and conclusion involve the doctrine of
harmless error, which Ms. Harris claims the Commissioner has relied on. That
doctrine permits us “to supply a missing dispositive finding . . . where, based on
material the ALJ did at least consider (just not properly), we could confidently say
that no reasonable administrative factfinder, following the correct analysis, could
have resolved the factual matter in any other way.” Allen v. Barnhart,
357 F.3d
1140, 1145 (10th Cir. 2004). The ALJ considered Ms. Harris’s IQ and literacy level
and accounted for them in the hypothetical with the restriction to simple routine
tasks, a finding that, as we have concluded above, is supported by substantial
evidence.
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from Grand Lake Mental Health Center, where Ms. Harris was seen between August
2008 and January 2010. Most of those notes show that Ms. Harris was oriented, was
euthymic in mood with appropriate affect, had a fair or good attention span, had a
linear thought process, and was doing well on medications. Although some of the
treatment notes indicate poor attention span, slowed thought process, or racing
thought process, we cannot say, in view of the record evidence as a whole, that those
few notes overwhelm the other evidence supporting the ALJ’s finding that Ms. Harris
has the mental RFC to perform simple, routine tasks. See Wall, 561 F.3d at 1052
(explaining that our review for substantial evidence “must be based upon the record
taken as a whole” and that “evidence is not substantial if it is overwhelmed by other
evidence in the record” (brackets and internal quotation marks omitted)).
The RFC limitation to simple, routine tasks is also substantially supported by
non-medical opinions, to the extent that the ALJ gave any weight to those opinions.
The ALJ considered a letter from Ms. Harris’s construction-trades instructor at a
vocational technology school, where Ms. Harris was in her sixth semester of a
program normally completed in four semesters. The instructor stated he modified
Ms. Harris’s curriculum by giving her extra time, limiting her reading “by orally
explaining instructions and materials,” modifying her grading, and limiting her
homework. App’x II at 95. The ALJ rejected the instructor’s opinion that Ms. Harris
“would probably need some kind of supported employment” to work successfully,
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id., because that opinion was beyond the instructor’s expertise, but otherwise the ALJ
considered the instructor’s letter to support the RFC finding.
The ALJ also considered the testimony of Ms. Harris’s older sister, who was
Ms. Harris’s guardian and with whom Ms. Harris lived. Ms. Harris’s sister testified
that Ms. Harris has a problem listening to authority figures, that she must be
constantly supervised when doing chores or cooking, and that she performs
household chores poorly and burns food when cooking. The ALJ gave little weight
to that testimony because it was inconsistent with the record evidence, apparently
including Ms. Harris’s own contrary reports of her ability to do household work, and
because Ms. Harris’s sister, who, together with her husband, was collecting disability
benefits, may have been motivated by the possibility of secondary gain to exaggerate
Ms. Harris’s limitations.
Ms. Harris points out that the ALJ did not discuss the opinion of Ms. Harris’s
special education teacher that she had serious problems learning and applying new
material and “requires simplified instructions broken down into chunks.” Id.
at 361-62. Nor, as Ms. Harris further notes, did the ALJ discuss an observation set
out in a Grand Lake treatment note that Ms. Harris’s “cognitive limitations make
verbal exchanges difficult due to lack of understanding.” Id. at 231. But these
opinions and observations are not inconsistent with the limitation to simple, routine
tasks set out in the ALJ’s RFC finding, and an ALJ is not required to discuss every
piece of evidence consistent with the ALJ’s findings. See Clifton v. Chater, 79 F.3d
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1007, 1009-10 (10th Cir. 1996) (explaining that “an ALJ is not required to discuss
every piece of evidence” but the ALJ “must discuss the uncontroverted evidence he
chooses not to rely upon, as well as significantly probative evidence he rejects”).
Ms. Harris’s final argument concerns the ALJ’s adverse credibility finding.
She first contends that the ALJ’s finding regarding the credibility of her claim to
need step-by-step instructions and close supervision violates the requirement that a
credibility finding be “closely and affirmatively linked to substantial evidence and
not just a conclusion in the guise of findings,” Huston v. Bowen,
838 F.2d 1125, 1133
(10th Cir. 1988) (footnote omitted). We see no error.
The ALJ tied her credibility finding to substantial evidence in the record. The
ALJ found that Ms. Harris was not credible regarding her daily activities. At the
hearing, she testified to fairly limited activities, stating that other than attending
school a few hours a day, she just laid around the house. But elsewhere in the record,
in particular in her filings with the agency and in the information she provided to
Dr. Graybill, she stated she cooked, performed household chores when provided
step-by-step instructions, mowed the yard, talked on the phone, visited friends,
swam, played football, attended school, attended church, and went shopping. It was
proper for the ALJ to consider inconsistency between Ms. Harris’s hearing testimony
and her filings when evaluating her credibility. See SSR 96-7p,
1996 WL 374186,
at *5 (“One strong indication of the credibility of an individual’s statements is their
consistency, both internally and with other information in the case record.”); id.
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(“The [ALJ] must also look at statements the individual made to [the agency] at each
prior step of the administrative review process[.]”).
The ALJ also discussed Ms. Harris’s testimony that, while working at an
Arby’s restaurant for a short while during high school, she gave a customer five
dollars in nickels because she could not count out five one dollar bills, characterizing
it as “inconsistent and unpersuasive, and [apparently] more an example of her not
wanting to follow directions as opposed to being unable to follow directions.” App’x
II at 29. That characterization is consistent with other evidence the ALJ discussed,
including Ms. Harris’s own statement in a function report she submitted to the
agency that she does not like people telling her what to do; her report to a Grand
Lake counselor that she “ha[d] been unable to maintain employment because she
thinks she should only be doing what her job title indicates and nothing else,” id.
at 232; and her sister’s testimony that she does the opposite of what authority figures
tell her to do. In short, the ALJ adequately tied her adverse finding regarding the
credibility of Ms. Harris’s claim to need step-by-step instructions and close
supervision to substantial evidence in the record. To the extent Ms. Harris’s
argument requires us to reweigh the evidence, we are prohibited from doing so.
Barnett, 231 F.3d at 689.
Ms. Harris also takes issue with the ALJ’s statement that her activities of daily
living could not be “objectively verified,” App’x II at 28, contending that this shows
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the ALJ applied an improper standard. We previously rejected this same argument in
Wall v. Astrue, concluding that
the ALJ’s statement that Claimant’s daily limitations could not be
“objectively verified with any reasonable degree of certainty” did not
state a standard by which the ALJ made his adverse determination of
Claimant’s credibility. Rather, the ALJ’s statement was merely a
common sense observation that the ALJ would not treat Claimant’s
testimony as “strong evidence” of her disability due to his prior
determination that Claimant’s testimony was not “fully credible.”
Claimant simply misconstrues the ALJ’s comment in suggesting
otherwise.
561 F.3d at 1070 (citations omitted). We reach the same conclusion here.
Ms. Harris’s final contention about the ALJ’s adverse credibility finding
focuses on the ALJ’s statement that “[a]nother factor influencing the conclusions
reached in this decision is [Ms. Harris’s] generally unpersuasive appearance and
demeanor while testifying at the hearing,” App’x II at 29. Ms. Harris contends that
the ALJ did not state specifically what it was about her demeanor that caused the ALJ
to find her not credible. But the ALJ emphasized that Ms. Harris’s demeanor was
only one factor in the credibility finding, as is proper, see Qualls v. Apfel,
206 F.3d
1368, 1373 (10th Cir. 2000) (observing that while an ALJ “may not rely solely on his
personal observations to discredit a plaintiff’s allegations, he may consider his
personal observations in his overall evaluation of the claimant’s credibility”). Based
on this acknowledgment, and in view of the other evidence supporting the ALJ’s
adverse credibility finding, we conclude that the ALJ adequately tied her adverse
credibility finding to substantial evidence in the record even without consideration of
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Ms. Harris’s demeanor. Accordingly, we need not determine whether the ALJ erred
in not specifically stating what it was about Ms. Harris’s demeanor that contributed
to the adverse credibility finding.2
The judgment of the district court is AFFIRMED.
Entered for the Court
Jerome A. Holmes
Circuit Judge
2
Ms. Harris also claims that the ALJ did not address a letter from her manager
at Arby’s. The manager reported that Ms. Harris had a number of performance
problems, including following instructions and making simple change, and that
Ms. Harris quit because she was unable to handle others watching her constantly and
telling her what to do. However, the ALJ never saw that letter; it was submitted to
the Appeals Council after the ALJ had issued her decision. The Appeals Council
concluded that it did not support a more restrictive RFC than that found by the ALJ.
In the absence of argument that the Appeals Council erred in its determination, we
will not speculate on the matter.
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