GREGORY K. FRIZZELL, CHIEF JUDGE.
Before the court is the Report and Recommendation of United States Magistrate Judge Gerald B. Cohn on the judicial review of a decision of the Commissioner of the Social Security Administration denying disability benefits to Annette Scott ("Plaintiff"). [Doc. No. 15]. The Magistrate Judge recommends that the Commissioner's decision be affirmed. For the reasons set forth below, the court agrees, overrules the objections, and adopts the Report and Recommendation.
On August 7, 2013, Plaintiff applied for disability insurance benefits and supplemental security income based upon alleged disability beginning June 24, 2013. The Social Security Administration ("SSA") denied Plaintiff's application both initially and on reconsideration. As a result, Plaintiff requested and received a hearing before Administrative Law Judge ("ALJ") B.D. Crutchfield. On December 1, 2014, the ALJ issued a written decision finding that Plaintiff was not disabled and denying benefits. [Doc. No. 9]. Because the SSA Appeals Council denied review of that decision, the ALJ's denial of benefits represents the Commissioner's final decision for purposes of this appeal. 20 C.F.R. §§ 404.981, 416.1481. After U.S. Magistrate Judge Gerald B. Cohn recommended that the Commissioner's decision be affirmed
Pursuant to Fed. R. Civ. P. 72(b)(3), the court "must determine de novo any part of [a] magistrate judge's disposition ... properly objected to. The district judge may accept, reject, or modify the recommended dispositions; receive further evidence; or return the matter ... with instructions." In the disability benefits context, de novo review is limited to determining "whether the factual findings are supported by substantial evidence in the record and whether the correct legal standards were applied." Doyal v. Barnhart, 331 F.3d 758, 760 (10th Cir. 2003). On review, the court will "neither reweigh the evidence nor substitute [its] judgment for that of the agency." White v. Barnhart, 287 F.3d 903, 905 (10th Cir. 2001) (quotation marks and citation omitted).
Plaintiff objects to the ALJ's written decision on the basis that the ALJ failed to discuss Plaintiff's testimony about her inability to read and failed to find that she was illiterate. Plaintiff contends that these failures infected the ALJ's Step 5 analysis. [Doc. No. 16, p. 6]. The court disagrees.
First, Plaintiff argues that the ALJ erred by failing to discuss Plaintiff's testimony about her inability to read. Although "[a]n ALJ is not required to discuss every piece of evidence," she "must discuss the uncontroverted evidence [s]he chooses not to rely upon, as well as significantly probative evidence [s]he rejects." Clifton v. Chater, 79 F.3d 1007, 1009-10 (10th Cir. 1996); see also 42 U.S.C. 405(b)(1) (directing that any unfavorable determination "shall contain a statement of the case ... setting forth a discussion of the evidence, and stating the Commissioner's determination and the reason or reasons upon which it is based").
The evidence in the record regarding Plaintiff's education is not entirely consistent. On the one hand, there is strong evidence that Plaintiff is literate. She obtained her G.E.D. [Doc. No. 9, pp. 24, 190], worked in previous jobs requiring basic reading and writing skills [Doc. No. 9, pp. 107, 190], indicated in several places that she was able to read and write [Doc. No. 9, pp. 188, 204, 216], and seems to have personally signed and written several documents [Doc. No. 9, pp. 131-32, 150, 433-42]. On the other hand, Plaintiff seizes upon several items in the record to argue that she is illiterate — Plaintiff was unable to read her social security card during the hearing [Doc. No. 9, pp. 16-17], testified before the ALJ that she was illiterate and unable to read or write for herself [Doc. No. 9, pp. 16-17 (stating that she was illiterate), 44-45 (stating that she "can't read good")], obtained her G.E.D. only through an eight year church program [Doc. No. 9, pp. 24, 44-45], and received assistance filling out and writing certain documents in the record [Doc. No. 9, pp. 24, 45, 121-22, 210, 230-32 (stating that Plaintiff's case manager "helped [her] write [the] letter")]. However, the record as a whole indicates that Plaintiff's difficulties reading and writing were more likely due to poor eyesight than to poor literacy. [Doc. No. 9, pp. 17 (stating that Plaintiff has never worn glasses), 32 (listing her vision as a sign of disability), 37 (elaborating that she "can't see little things"), 44 (explaining that she "couldn't see" the numbers on her social security card), 216 (reporting that she "can't see too good")].
The ALJ's written decision does not discuss any of the above evidence, concluding simply that Plaintiff "has at least a high school education and is able to communicate in English." [Doc. No. 9, p.
The record does not controvert the fact that Plaintiff worked in two professions requiring basic reading and writing skills, or that she obtained a GED in 2009. See Smith v. Colvin, No. 15-cv-9368-JWL, 2016 WL 6804927, at *5 (D. Kan. Nov. 17, 2016) (stating "there is simply no evidence in the record that Plaintiff did not get a GED... [and] [t]he arguments of counsel are not evidence"). Prior work experience and recent education are appropriate factors for an ALJ to consider when determining education level. Castellano v. Colvin, No. 13-CV-02147-RM, 2015 WL 7567728, at *5-7 (finding no error in ALJ's conclusion that plaintiff was not illiterate, despite statements by plaintiff that he could not read, where plaintiff had a tenth grade education and prior work experience requiring basic reading and writing skills); POMS DI 2500.001 (17)(e) (listing as relevant "recent education that provides for direct entry into skilled or semiskilled work"). Additionally, multiple documents in the record were personally written or filled out by Plaintiff. [Doc. No. 9, pp. 131-32, 150, 433-42]. Plaintiff's primary explanation for her difficulty reading — poor vision — further undermines the probative value of her evidence. [Doc. No. 9, pp. 37, 44, 216]. Because of the strong evidence that Plaintiff was literate, any evidence to the contrary was simply not substantially probative. Vititoe v. Colvin, 549 Fed.Appx. 723, 729 (10th Cir. 2013) (holding a medical opinion to be "not significantly probative" where the opinion was "contrary to other substantial record evidence").
Regardless, discussion of Plaintiff's evidence of illiteracy would not change the outcome of the case on remand. "[T]he burden of showing that an error is harmful normally falls upon the party attacking the agency's determination." Vititoe, 549 Fed. Appx. at 730 (quoting Shinseki v. Sanders, 556 U.S. 396, 409, 129 S.Ct. 1696, 173 L.Ed.2d 532 (2009)). Plaintiff attempts to meet this burden by arguing that the ALJ's failure to discuss the evidence of illiteracy harmed Plaintiff, because if the ALJ would have concluded that she was illiterate then Plaintiff would have qualified for disability. [Doc. No. 16, pp. 17-19]. However, this argument fails because Plaintiff mistakenly assumes that discussion of the evidence would have caused the ALJ to conclude that she was illiterate. Such a conclusion is unlikely. Davison v. Colvin, 596 Fed.Appx. 675, 679-80 (10th Cir. 2014) (concluding that "conflicting evidence concerning [plaintiff's] ability to fill out certain forms ... was insufficient to suggest a reasonable possibility that a severe impairment exists"); See Beaver v. Colvin, No. CIV-15-277-SPS, 2016 WL 5408157, at *5 (E.D. Ok. Sept. 28, 2016) (rejecting plaintiff's claim of illiteracy based primarily on plaintiff's subjective testimony, where plaintiff's testimony and documents in the record indicated that plaintiff could read). As a result, the court concludes that even if the ALJ erred by failing to discuss Plaintiff's testimony about her inability to read, such error was harmless.
Second, Plaintiff argues that the ALJ erred by failing to find that Plaintiff was illiterate. An ALJ's findings must be supported by substantial evidence, which is "such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Doyal, 331 F.3d at 760; see also Lax v. Astrue, 489 F.3d 1080, 1084 (10th Cir. 2007) (characterizing substantial evidence as "more than a scintilla, but less
WHEREFORE, the court overrules Plaintiff's objections [Doc. No. 16], and adopts the Magistrate Judge's Report and Recommendation [Doc. No. 15].
IT IS SO ORDERED this 14
MAGISTRATE JUDGE COHN.
On August 7, 2013, Annette Scott ("Plaintiff") filed as a claimant for disability benefits under Title II and XVI of the Social Security Act, 42 U.S.C. §§ 401-433, 1382-1383 ("Act"), with a last insured date of December 31, 2017,
On May 3, 2016, Plaintiff filed the above-captioned action pursuant to 42 U.S.C. § 405(g) to appeal a decision of Defendant denying social security benefits. (Doc. 1). On August 18, 2016, Defendant filed an administrative transcript of proceedings. (Doc. 9). On October 20, 2016, Plaintiff filed a brief in support of the appeal. (Doc. 10 ("Pl. Br.")). On December 20, 2016, Defendant filed a brief in response. (Doc. 12 ("Def. Br.")). On January 5, 2017, Plaintiff filed a reply brief. (Doc. 13 ("Reply")).
Plaintiff was born in May 1962 and thus was classified by the regulations as an individual closely approaching advanced age through the date of the ALJ decision. (Tr. 14); 20 C.F.R. § 404.1563(d). Plaintiff alleged disability due to an irregular heart, high blood pressure, and arthritis in the knees. (Tr. 60). Plaintiff completed the fifth grade and stated that it took her eight years of studying through a church in order to obtain a GED in 2009. (Tr. 21, 41-42, 187). Plaintiff never had a driver's license (Tr. 48) and past relevant work included work as an order picker and a home health aide. (Tr. 52).
In a disability report dated August 16, 2013, Plaintiff indicated that she could read English, write more than just her name in English, she was the one who was completing her application, and that she
Earnings reports demonstrate that from 1999 to 2010, Plaintiff met the earning threshold for four quarters of coverage, with the highest annual income totaling $57,715. (Tr. 176).
To receive disability or supplemental security benefits under the Act, a claimant bears the burden to demonstrate an "inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months." 42 U.S.C. § 423(d)(1)(A);
42 U.S.C. §§ 423(d)(2)(A), 1382c(a)(3)(B). Plaintiff must demonstrate the physical or mental impairment "by medically acceptable clinical and laboratory diagnostic techniques." 42 U.S.C. §§ 423(d)(3), 1382c(a)(3)(D).
Social Security regulations implement a five-step sequential process to evaluate a disability claim. 20 C.F.R. §§ 404.1520, 416.920;
In reviewing a decision of the Commissioner, the Court is limited to determining whether the Commissioner has applied the correct legal standards and whether the decision is supported by substantial evidence.
Plaintiff argues the ALJ erred "by failing to discuss [P]laintiff's testimony about her inability to read and by failing to find that [P]laintiff was illiterate." (Pl. Br. at 5-9). However, the issue is whether substantial evidence supports the ALJ's conclusion that Plaintiff had an educational level of "at least a high school education" pursuant to sections 404.1564 and 416.964 of the code. (Tr. 104 (citing 20 C.F.R. §§ 404.1564, 416.964)).
An applicant's education level is determined by several factors that would impact the amount of knowledge and skills the person would possess, including "formal schooling or other training which contributes to [an individual's] ability to meet vocational requirements," "past work experience and the kinds of responsibilities [the individual] had when [he or she was] working," and the individual's "daily activities, hobbies, or the results of testing...." 20 C.F.R. §§ 404.1564(a), 416.964(a);
"An applicant's educational level may be roughly approximated as one of several categories based on an evaluation of an applicant's education and past experiences."
Essential to Plaintiff's argument is her assumption the ALJ could not rely on the uncontroverted testimony that Plaintiff had a GED because, according to Plaintiff, the "clear implication of the `church group'
Plaintiff also cites the SSA's Program Operations Manual System (POMS) DI 25001.001 (17)(a) quoting under the section addressing illiteracy, "[r]egardless of formal education level, this [illiterate category] should be applied to claimants who cannot speak, understand, read, or write a simple message in English such as instructions or inventory lists." POMS DI 25001.001 (17)(a) (effective from Jan. 2014 to Jan. 2015). Courts have generally addressed the import of formal education
Moreover, subsection (e) of Plaintiff's cited POMS stated ALJs are also to consider "[r]ecent education that allows a claimant to do a particular semi-skilled or skilled job." POMS DI 25001.001 (17)(e). Plaintiff completed her GED in 2009 (Tr. 187) to "help her qualify for a job" (Pl. Br. at 8) and was working a semi-skilled job as home health aide from 1998 to 2013 (Tr. 52, 65) and as a home health aide, she earned $43,362.45 in 2008, $54,065.49 in 2009, and $57,715.33 in 2010. (Tr. 176). The Court agrees with Defendant that Plaintiff's previous work permits an inference that Plaintiff needed to read and write in order to carry out the job duties of her prior relevant work.
Additionally, a remand would not result in the ALJ concluding Plaintiff was illiterate.
Plaintiff argues the ALJ erred by failing to acknowledge Plaintiff's testimony about her leg and knee limitations and "never mentioned or discussed the objective findings on physical examination of the OSU physicians concerning `guarded' Lachman's and `positive' McMurray's signs for the left knee." (Pl. Br. at 9-12). Plaintiff further asserts the ALJ erred in giving great weight to the agency non-examining physicians who made their opinions prior
From February 2014 to October 2014, Plaintiff received treatment from OSU Medical Health Center. (Tr. 322-429). During an emergency visit on February 12, 2014, Dr. Schiesel examined Plaintiff and noted she had a normal gait and no leg pain or swelling. (Tr. 337). On February 19, 2014, Plaintiff sought treatment from Dr. Maxey for crepitus, decreased mobility, joint tenderness and limping that had begun one month earlier. (Tr. 328-31). Dr. Maxey noted Plaintiff did not demonstrate any joint instability, numbness or weakness. (Tr. 328). Dr. Maxey noted a guarded Lachman's test and a positive McMurray's test. (Tr. 328). On March 6, 2014, Dr. Maxey noted Plaintiff did not do everything that was recommended to alleviate her knee pain; however, Plaintiff reported that her "knee pain [was] slowly getting better" and Plaintiff did not believe it warranted an x-ray. (Tr. 332). Upon examination, Dr. Maxey noted Plaintiff's knees were "normal." (Tr. 334). On August 5, 2014, the musculoskeletal examination indicated visual overview of all four extremities were normal. (Tr. 415).
Plaintiff lists instances in the record illustrating subjective complaints of knee and leg symptoms and some of the observations made by OSU physicians. (Pl. Br. at 9-12). However, the evidence is not significantly probative, as it does not lend support to the possibility of the ALJ concluding Plaintiff met the requirements for disability benefits. The ALJ met the requirements of Social Security Ruling 96-8p. The undersigned finds no error in the ALJ's omission of Plaintiff's testimony or omitting specific reference to the OSU examination observations of a guarded Lachman's and positive McMurray's signs for the left knee given: 1) the ALJ discussed the OSU records and testimony (Tr. 100); 2) the ALJ noted the OSU record (Tr. 101) where Plaintiff stated her knee pain started a month prior and it improved since the last visit; 3) the brevity of the flare-up with the knee and leg symptoms would not meet the durational requirement of 42 U.S.C. § 423(d)(1)(A) and 20 C.F.R. § 404.1509 which require that the medically determinable impairment "has lasted or can be expected to last for a continuous period of not less than 12 months;" and 4) notwithstanding the observations cited by Plaintiff, there was no significant alteration in treatment to address any alleged knee and leg impairment and the ALJ noted that during the treatment at OSU, there was either no pain medication noted or only aspirin (Tr. 102-03).
"Ultimately, the outcome of the case depends on the demonstration of the functional limitations of the disease or impairment...."
To evaluate the "intensity and persistence" of Plaintiff's alleged impairment, sections 404.1529(c), 416.929(c) enumerate the factors that the ALJ is to consider in totality. There is a distinction between what an adjudicator must "consider" and what the adjudicator must "discuss" in the disability determination.
The ALJ extensively reviewed and accurately summarized the totality of the relevant evidence through the date of the decision. (Tr. 99-103). Moreover, the ALJ reasonably relied on Dr. Krishnamurthi's October 2013 consultative evaluation (Tr. 312-19), Dr. Baldwin's November 2013 non-examining opinion (Tr. 68-71), and Dr. Post' January 2014 non-examining opinion (Tr. 75, 80-81).
Plaintiff does not direct the Court to evidence demonstrating significant deterioration of symptoms that would meet the durational requirement following the opinions of Drs. Baldwin and Post; as such a showing would lend support to the possibility of an ALJ reaching a different conclusion.
Plaintiff asserts the ALJ erred in his assessment of Plaintiff's credibility. (Pl. Br. at 13-15). Where a medically determinable physical or mental impairment that could reasonably be expected to produce the individual's pain or other symptoms, however, the severity of which is not substantiated by objective medical evidence, the ALJ must make a credibility finding on the claimant's subjective statements. SSR 96-7p (effective from July 1996 to March 2016 and superseded by SSR 16-3p). The credibility finding must be based on a consideration of the entire case record, considering several factors in totality. SSR 96-7p; 20 C.F.R. §§ 404.1529, 416.929 (version effective from June 2011 to March 2017). The ALJ may consider a number of factors in assessing a claimant's credibility, including "the levels of medication and their effectiveness, the extensiveness of the attempts... 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,... and the consistency or compatibility of nonmedical testimony with objective medical evidence."
Plaintiff does not address the totality of the evidence, for example: (1) records indicating that Plaintiff's current medications often did not include any pain medication, records indicating that Plaintiff treated her pain with aspirin; (2) repeated examinations wherein physicians observed that Plaintiff had a normal gait, nearly full range of motion, was able to move off of the examination table without difficulty, and walked without the need for ambulatory devices; and (3) expert medical opinions which support the ALJ's conclusion.
With regards to pain medication: (1) on October 30, 2013, Plaintiff's listed medications included Vasotec, hydralazine, simvastin, and Maxalt (Tr. 312); (2) on June 11, 2014, Plaintiff's listed medications included: simvastatin, Coreg, amlodipine, and Lisinopril (Tr. 424); (3) on August 5, 2014, Plaintiff's listed medications included: aspirin, fluoxetine, Remeron, simvastatin, Coreg, amlodipine, and Lisinopril (Tr. 414); and (4) on October 7, 2014, Plaintiff's listed medications were: aspirin, fluoxetine, Remeron, simvastatin, Coreg, amlodipine, and Lisinopril (Tr. 427). The record supports the ALJ's observation of Plaintiff's medications comprising of "Bayer chewable aspirin, Excedrin Extra Strength Aspirin, Fluoxetine, and Seroquel XR. There are no prescription drugs for relief of pain noted on either medication list." (Tr. 103).
With regard to examinations and medical opinions: (1) on October 30, 2013, Dr. Krishnamurthi's examination findings regarding Plaintiff's leg and knee impairments generally were unremarkable and noted although Plaintiff demonstrated "slightly reduced" range of motion in the left knee and pain with movement of the left ankle and walked with a slight limp on the left leg due to pain in the left knee, her gait was stable (Tr. 313); (2) on November 12, 2013, Dr. Baldwin reviewed the medical record and opined Plaintiff was able to stand and/or walk for a total of about six hours in an eight-hour day, Plaintiff's knee range of motion was limited slightly, but was well within the functional range (Tr. 71); (3) on January 30, 2014, state agency
The ALJ extensively discussed the material evidence throughout the decision and the ALJ's references to the records indicated the ALJ considered the evidence Plaintiff claims was omitted. (Tr. 99-103). The evidence not explicitly discussed was not significantly probative as such evidence does not demand a different conclusion than the one the ALJ reached and if such omissions were error, it would be harmless.
Plaintiff fails to meet her burden in demonstrating how the omission would change the outcome of the case.
Defendant argues the ALJ's decision is supported by substantial evidence because Plaintiff's past relevant work indicates the necessity to read. (Def. Br. at 4-5). In the reply brief, Plaintiff states this argument amounts to a "post-hoc justification" and cites to
As discussed above, the undersigned finds no error in the ALJ's lack of discussion of Plaintiff's testimony regarding illiteracy. Even if the ALJ erred in failing to discuss Plaintiff's testimony regarding illiteracy, the undersigned finds such error as harmless and a remand would not change the outcome of the case based on the record as it currently stands.
Often when defendants cite to evidence in the record that supports the ALJ's decision, such is to enable the court's assessment of the legal issue of
In exploring the tension between harmless error and the
Two considerations counsel a cautious, if not skeptical, reception to this idea. First, if too liberally embraced, it could obscure the important institutional boundary preserved by
With these caveats, it nevertheless may be appropriate to supply a missing dispositive finding under the rubric of harmless error in the right exceptional circumstance, i.e., 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.
The Court concludes its consideration of Plaintiff's prior work history in addition to Plaintiff's representations she obtained a GED were permissible as part of its examination of the entire record to determine whether substantial evidence supported the ALJ's determination of Plaintiff's educational level. As the discussion regarding consideration of prior work history was in the context of Plaintiff's argument the ALJ should not have relied on Plaintiff's
For the reasons set forth above, the undersigned
In accordance with 28 U.S.C. § 636(b) and Federal Rule of Civil Procedure 72(b)(2), a party may file specific written objections to this report and recommendation. Such specific written objections must be filed with the Clerk of the District Court for the Northern District of Oklahoma within fourteen days, no later than September 8, 2017.
If specific written objections are timely filed, Federal Rule of Civil Procedure 72(b) (3) directs the district judge to:
SUBMITTED on August 25, 2017.