EDUARDO C. ROBRENO, District Judge.
Yvette Miller ("Plaintiff"), on behalf of minor plaintiff J.W., brought this action pursuant to 42 U.S.C. § 405(g), seeking judicial review of the decision by Carolyn W. Colvin ("Commissioner" or "Defendant") — acting Commissioner of the Social Security Administration ("SSA") — denying J.W.'s application for Supplemental Security Income ("SSI"). Upon consideration of the administrative record, submitted pleadings, Magistrate Judge Timothy R. Rice's Report and Recommendation ("R&R"), and Plaintiff's Objections thereto, the Court will overrule Plaintiff's Objections, adopt the R&R, and grant judgment to the Commissioner.
In November 2010, Plaintiff sought SSI on behalf of her daughter, J.W., alleging disability. R. 15. The claim was initially denied, and Plaintiff filed a written request for a hearing, which was granted. R. 15.
At the time of the hearing with the Administrative Law Judge ("ALJ"), J.W. was ten years old, 4 feet 3 inches tall,
During the administrative hearing, J.W. did not respond to the ALJ's questions.
After the hearing, the ALJ applied the three-step analysis laid out in 20 C.F.R. § 416.924 and denied benefits to J.W., finding that J.W. is not disabled for purposes of the Social Security Act. R. 15-26. The Appeals Council denied J.W.'s request for review. R. 1-3.
Plaintiff commenced the present action in November 2014, seeking judicial review of the ALJ's decision pursuant to 42 U.S.C. § 405(g). ECF No. 3. On August 27, 2015, Magistrate Judge Timothy R. Rice issued a Report and Recommendation, recommending that Plaintiff's request for review be denied and judgment be entered in the Commissioner's favor. ECF No. 14. Plaintiff filed an Objection, ECF No. 15, to which the Commissioner responded, ECF No. 17. Plaintiff then filed a reply, ECF No. 18, and the matter is now ripe for disposition.
The Court undertakes a de novo review of the portions of the R&R to which Plaintiff has objected.
In reviewing the Commissioner's final determination that a person is not disabled and, therefore, not entitled to Social Security benefits, the Court may not independently weigh the evidence or substitute its own conclusions for those reached by the ALJ.
Substantial evidence constitutes that which a "reasonable mind might accept as adequate to support a conclusion."
An ALJ uses a three-part analysis to determine whether a child is disabled for
Here, the ALJ determined that J.W. is not disabled. At step one, the ALJ found that J.W. was not engaged in substantial gainful activity. R. 18. At step two, the ALJ found that J.W. had a "severe" impairment of a mood disorder.
Judge Rice recommends that Plaintiff's request for review be denied and judgment entered for the Commissioner. R&R 19. Plaintiff objects to the recommendation, arguing that Judge Rice erred by (1) finding that the ALJ adequately explained his determination that J.W.'s mood disorder does not satisfy the listing requirements; (2) finding that the ALJ was not required to consider certain instances of J.W.'s self-injurious behavior; (3) finding that substantial evidence supported the ALJ's determination that J.W. has a less than marked impairment in the domain of interacting and relating with others; (4) finding that substantial evidence supported the ALJ's determination that J.W. has a less than marked impairment in the domain of self-care; (5) finding that the ALJ did not err in failing to mention two GAF scores; (6) finding that the ALJ did not fail to consider J.W.'s capacity to function outside of a highly structured setting; (7) finding that the ALJ was not required to discuss J.W.'s obesity; and (8) finding that remand for consideration of J.W.'s Individualized Education Program ("IEP"), which was completed two months after the ALJ's decision, is not required. Each objection is discussed in turn.
Plaintiff argues that the ALJ failed to sufficiently explain why J.W.'s mood disorder does not medically equal the severity of a listed impairment. Objs. 1-2. When a child does not have a listed impairment, the ALJ must determine whether the child has an impairment or combination of impairments that (1) medically or (2) functionally equals the severity of a listed impairment.
Here, the ALJ determined that J.W.'s mood disorder does not meet, medically equal, or functionally equal the severity of one of the listed impairments. R. 18. The ALJ explained that "although the medical evidence documents persistent complaints and some observations of a depressed or irritable mood, decreased appetite, sleep disturbance, suicidal thoughts, and hallucinations," the record "does not support marked limitations of at least two of [the Part B categories]." R. 18.
Plaintiff first claims that the ALJ erroneously relied upon section 12.04, which lists the Part B criteria for adults, rather than section 112.04, which lists the Part B criteria for children. Objs. 2. It is true that the ALJ stated that "the claimant's mood disorder does not satisfy
The ALJ stated that "the medical evidence discussed below does not support marked limitations of at least two of the following: age-appropriate cognitive/communicative functioning; age appropriate social functioning; age appropriate personal functioning; or maintaining concentration, persistence, or pace." R. 18. These categories are taken verbatim from the section 112.04 Part B criteria applicable to children.
Plaintiff next argues that Judge Rice and the ALJ failed to consider J.W.'s everyday functioning as compared with other children of the same age who do not have impairments when determining whether her mood disorder meets or equals a listed impairment. Objs. 4-5. Policy interpretation rulings state that children age six and older usually attend school, SSR 09-2p, 2009 WL 396032 (Feb. 18, 2009), and the functional equivalence assessment is to consider "how the child functions every day and in all settings compared to other children the same age who do not have impairments," SSR 09-1p, 2009 WL 396031 (Feb. 17, 2009).
Here, after listing the skills and characteristics that a school-aged child without an impairment should display, the ALJ considered J.W.'s everyday functioning, as demonstrated by Plaintiff's testimony; J.W.'s school records; a report from Dr. Schwartz, a psychologist who provided a consultative examination; and a report from Ms. Diana Polizzi-Ilisio, J.W.'s teacher. R. 22. This evidence shows that J.W. completed homework under supervision, worked independently, showed focus, and appeared to be goal oriented, but often took longer to complete work accurately without mistakes.
Plaintiff also contends that the ALJ erred in finding that J.W. has a less than marked limitation in ability to care for herself. Objs. 3-5. Plaintiff argues that the ALJ failed to discuss certain instances in which J.W. engaged in self-harm — namely, a time that she attempted to jump from a seventeenth story balcony and another time that she swallowed a bottle of Ambisol medication.
In the domain of self-care, the ALJ considers how well the claimant can "maintain a healthy emotional and physical state"; how the claimant "cope[s] with stress and changes in [her] environment"; and whether the claimant "take[s] care of [her] own health, possessions, and living area." 20 C.F.R. § 416.926a(k). The regulations provide that a claimant of J.W.'s age should act independently in conducting most day-to-day activities (e.g., dressing and bathing); recognize her own competency and difficulty in different activities; identify circumstances in which she feels good or bad about herself; begin to develop an understanding of right and wrong; begin to demonstrate consistent control over behavior; and know when behaviors are unsafe or otherwise not good for one's person.
Although the ALJ did not mention the Ambisol and balcony events by name, the ALJ discussed Albert Einstein Healthcare Network records that specifically memorialized the Ambisol event, and the ALJ recognized that those records document J.W.'s self-injurious behaviors. R. 19 (citing Ex. 3F ("Office Treatment Records, dated 11/02/2010, from Albert Einstein Medical Center")). The ALJ also discussed reports from Dr. Yu and Dr. Kapoor, which specifically referenced the porch incident. R. 20 (citing Exs. 8F, 9F);
Plaintiff further argues that "J.W.'s need for home schooling to address her mental health symptoms indicates that she does not engage in many of the activities that other children perform such as playing with classmates, responding to teachers and caring for herself without the assistance of her mother." Objs. 4. But the ALJ adequately considered J.W.'s home schooling. The ALJ noted that J.W. "has been homeschooled since September 2012 in part because teachers previously reported the claimant's fights with peers." R. 24. The ALJ further noted that Plaintiff "is better able to help [J.W.] cope with outbursts now that she is homeschooled." R. 25.
And, in any event, substantial evidence supports the ALJ's finding that J.W. has "a less than marked limitation in [the domain of self-care] based on persistent impulse control problems and self-injury improved with more consistent mental health treatment and more intense supervision while homeschooled." R. 25. For example, Dr. Yu noted that J.W. does not engage in significant risk-taking behaviors and poses
Plaintiff next argues that substantial evidence does not support the ALJ's decision that J.W. has a less than marked limitation in interacting and relating with others. Objs. 4.
In analyzing this domain, the ALJ considers how well the claimant can "initiate and sustain emotional connections with others, develop and use the language of [his or her] community, cooperate with others, comply with rules, respond to criticism, and respect and take care of the possessions of others." 20 C.F.R. § 416.926a(i). The regulations provide that a claimant of J.W.'s age should be able to develop more lasting friendships with like-aged children; begin understanding how to work in groups to create projects and solve problems; increasingly understand another's point of view and tolerate differences; and be able to talk to people of all ages, share ideas, tell stories, and speak in a manner that both familiar and unfamiliar listeners readily understand.
Here, the ALJ considered J.W.'s school and treatment records; reports indicating that J.W. spoke with an imaginary friend; J.W.'s initial difficulty interacting with two healthcare providers; J.W.'s ability to interact with other providers; and Plaintiff's report that J.W. displayed "behavioral problems at home albeit with better control." R. 24. The ALJ concluded that "this evidence supports a less than marked limitation" in the domain of interacting and relating with others.
Substantial evidence supports the ALJ's finding. Plaintiff initially reported no limitation in this functional domain, stating that J.W. has friends her own age, can make new friends, generally gets along with adults, and plays team sports. R. 159. J.W.'s school records from September 2010 similarly state that J.W. cooperates well, handles conflict and redirection well, transitions easily, shows respect for authority figures, and works well in groups. R. 396. During J.W.'s partial hospitalization, her parents reported occasionally defiant behavior at home and slight academic problems at school, but did not report any behavioral problems at school. R. 341. The record includes reports of hallucinations, but at least one record acknowledged the possibility of exaggeration.
Plaintiff also argues that the ALJ erred in failing to discuss J.W.'s Global Assessment Functioning ("GAF") scores of 15 from November 2, 2010,
"A GAF score is a `numerical summary of a clinician's judgment of [an] individual's overall level of functioning.'"
The Court recently discussed the applicability of GAF scores and the standard to be applied in the Social Security Disability context:
Here, the ALJ's failure to mention two GAF scores does not require remand. First, failure to discuss the score of 15 does not require remand, because consideration of the omitted score would not have been material to the ALJ's decision.
Likewise, the ALJ's failure to consider the GAF score of 50
Moreover, the ALJ otherwise addressed the issues raised in Ms. Smutzler's report containing the GAF score. R. 20 (citing 12F at 27-30), 26 (citing 12F at 28-29).
Finally, the ALJ did not err in affording little weight to Dr. Aledo's GAF score of 50 from January 2013. "An ALJ may reject a treating physician's opinion outright only on the basis of contradictory medical evidence, but may afford a treating physician's opinion more or less weight depending upon the extent to which supporting explanations are provided."
In this case, Dr. Aledo's report containing the GAF score of 50 contradicts other medical evidence. In his report, Dr. Aledo stated that J.W. had received a GAF score no greater than 50 since January 2012. R. 422. Yet J.W. received a GAF score of 60 in October 2012. R. 383. As such, the ALJ explained that J.W.'s "GAF score of 60 in October 2012 contradicts Dr. Aledo's report of a GAF score no greater than 50 since January 2012." R. 21.
Moreover, Dr. Aledo's GAF score is not entitled to significant weight, because it is unsupported.
Plaintiff next argues that the ALJ failed to consider J.W.'s capacity to function
Section 416.924a(b)(5)(iv)(C) of the Social Security regulations provides that
20 C.F.R. § 416.924a(b)(5)(iv)(C).
But "[t]he regulation does not command the ALJ to explicitly discuss his consideration of these factors in the decision."
Here, the ALJ properly assessed J.W.'s functional capacity both inside and outside of structured settings. He considered all of the medical, non-medical, and educational evidence addressing J.W.'s behavior while in public school and while homeschooled. R. 19, 23, 25, 35, 38-39. The ALJ concluded that J.W.'s symptoms outside of a highly structured setting significantly improved after partial hospitalization and with consistent therapy. R. 25. The ALJ noted that upon discharge for partial hospitalization, J.W. received GAF scores in the 60s, representing mild symptoms or limitations. R. 19. Also, the ALJ recognized that J.W. worked independently on school work but may need additional reinforcement to begin a task. R. 22. Accordingly, the ALJ's decision adequately reflects the effect of J.W.'s environment — both in and out of a highly structured setting — on her symptoms.
Plaintiff argues that J.W.'s difficulty functioning outside of a structured setting is demonstrated by "the initial clinical impression of Ms. Smutzler after J.W.'s discharge from partial hospitalization indicating that J.W. has angry outbursts and no other friends other than her imaginary friend."
As previously discussed, "when the medical testimony or conclusions are conflicting, the ALJ is not only entitled but required to choose between them."
In sum, the ALJ considered J.W.'s symptoms while in public school and her symptoms while homeschooled. The ALJ also considered J.W.'s symptoms in a structured setting by recognizing that J.W.'s symptoms improved with partial hospitalization. And the ALJ addressed J.W.'s symptoms outside of a structured setting by recognizing that her symptoms continued to improve with outpatient therapy following her release. As such, the Court will overrule Plaintiff's objection.
Plaintiff next contends that the ALJ erred in failing to discuss J.W.'s obesity. Objs. 7-9. Judge Rice concluded that the ALJ was not required to discuss J.W.'s obesity, because J.W. did not identify obesity as an impairment. R&R 16-17 (citing R. 143, 181). But Plaintiff argues that the ALJ was put on notice of obesity as an impairment by the record's references to J.W.'s weight, which, according to Plaintiff, showed that J.W.'s obesity negatively impacted her mental health. Objs. 9.
An ALJ must "consider the effects of obesity not only under the listings but also when assessing a claim at other steps of the sequential evaluation process, including when assessing an individual's residual functional capacity." SSR 02-1p, 2002 WL 34686281 (Sept. 12, 2002). Generally, the claimant must identify obesity as an impairment or offer evidence as to its effect on performance.
Here, J.W. never identified obesity as an impairment, R. 143, 181, and Plaintiff never mentioned obesity as a condition contributing to J.W.'s impairments during the hearing before the ALJ.
But "even if we assume — in accordance with common sense — that the administrative record's evidence" of J.W.'s obesity sufficed to alert the ALJ that obesity could be a factor, Plaintiff "has not specified how that factor would affect" the ALJ's three-step analysis.
Lastly, Plaintiff argues that the case should be remanded for consideration of J.W.'s fifth grade IEP, which was completed two months after the ALJ's decision, and which recommended that J.W. receive special education due to ongoing self-injurious behavior. Objs. 9-10. Judge Rice determined that remand is unnecessary because the ALJ considered similar evidence. R&R 17-18. Plaintiff objects, arguing that the IEP "would have made a difference in the ALJ's analysis because the ALJ found that instances of self-injury decreased in response to treatment." Objs. 9 (citing R. 25). Plaintiff also contends that the IEP contradicts the ALJ's finding that J.W. has difficulty reading at the appropriate grade level "with no evidence of additional significant academic deficits."
A remand for new evidence is appropriate if (1) the evidence is new, (2) the evidence is material, and (3) there is "good cause" for the claimant's failure to present the evidence to the ALJ. 42 U.S.C. § 405(g). To be "new," evidence cannot be "merely cumulative of what is already in the record."
Here, contrary to Plaintiff's objections, the IEP's indication that J.W. struggles in reading and math and would benefit from special education due to ongoing self-injurious behavior does not require remand. First, the IEP's report that J.W. struggles in reading and math is not "new," because it is cumulative of evidence already in the record. The ALJ found that "the record consistently documents the claimant's difficulty reading." R. 21. The ALJ also noted that Plaintiff "is able to help the claimant with her homework more," and "[a]n adviser has recommended an individualized education program" where "a counselor told [Plaintiff] that the claimant reads at a third grade level." R. 22. The ALJ found that J.W. "seems to show some problems in reading ... and maybe math." R. 42. Indeed, the ALJ considered a record replete with reports that J.W. had some difficulty in math.
Second, the IEP's report that J.W. suffered from ongoing self-injurious behavior is not material, because it is consistent with the ALJ's conclusion. The ALJ determined that J.W.'s self-injurious behavior "significantly improved" with treatment; the ALJ did not determine that treatment stopped it entirely. R. 25. The ALJ explained that "although the record demonstrates more frequent reports of self-injury and problems managing emotions and anger during limited or incomplete outpatient treatment earlier in the relevant period, the claimant's symptoms significantly improved with partial hospitalization as well as consistent therapy," which "suggest[ed] less significant symptoms and limitations with consistent mental health treatment." R. 25. The ALJ recognized that J.W. "continues to experience outbursts that include screaming, saying she wants to die, slapping herself, and kicking walls."
The IEP similarly reports that J.W.'s "mood changes and irritability, as well as her negative statements about lack of friends, people not liking her, and just not caring anymore" evidences that she "is experiencing socio-emotional needs that should continue to be addressed through professional counseling services, medication therapy, and hospitalization if and when necessary." R. 217. The need for continued professional counseling services and therapy is consistent with the ALJ's conclusion that J.W.'s self-injurious behavior is appropriately addressed by continued mental health treatment. Therefore, because there is no "reasonable possibility that the new evidence would have changed the outcome,"
For the foregoing reasons, the Court finds the ALJ's decision to be supported by substantial evidence, overrules Plaintiff's Objections, and adopts the Report and Recommendation, thereby awarding judgment to the Commissioner. An appropriate order follows.
(1) Plaintiff's Objection (ECF No. 15) is overruled;
(2) The Court
(3) Plaintiff's request for review is
(4) Judgment is entered in this matter in favor of Defendant; and
(5) The case shall be marked