MARK A. KEARNEY, District Judge.
After the Social Security Administration considered her disabled for most of her childhood, Stephanie Hindsman believes she remains disabled as a young adult and is entitled to disability benefits under federal law. She claims she cannot work as a young adult because of post-traumatic stress disorder, bipolar disorder, mood disorder, borderline personality disorder, a specific learning disability, and borderline intellectual functioning. An Administrative Law Judge, after considering and citing substantial evidence, disagreed and the Acting Commissioner of the Social Security Administration, Nancy A. Berryhill,
Stephanie Hindsman is currently twenty-seven years old with an eleventh-grade education. On November 18, 2005, shortly before her fourteenth birthday, Ms. Hindsman's mother applied for disability benefits on her behalf.
The Agency redetermined Ms. Hindsman's eligibility for benefits when she reached age eighteen.
At Ms. Hindsman's request, Administrative Law Judge ("ALJ") John M. Fitzpatrick scheduled a hearing on September 30, 2014.
At the January 15, 2014 hearing, Ms. Hindsman testified she is disabled because she is "not a people person" and, although she would like a job, she is unable to work because she has arthritis, becomes nervous around people and "shut[s] down," meaning she "pause[s]," and has an anger problem.
Ms. Hindsman appealed from ALJ Fitzpatrick's February 28, 2014 opinion to the Appeals Council. The Appeals Council denied Ms. Hindsman's request for review.
On remand, the Appeals Council ordered the ALJ provide Ms. Hindsman the opportunity to update the record with medical evidence; provide her access to the record; admit evidence into the record and provide an exhibit list; obtain supplemental evidence from a vocational expert to clarify the effect of the assessed limitations on her occupational base, including hypothetical questions to reflect the specific capacity and limitations established by the record as a whole; the ALJ must ask the vocational expert to identify examples of appropriate jobs and the incidence of jobs in the national economy and identify; and other requirements.
ALJ Morales-Rosa held a hearing on January 26, 2017. Experienced disabilities attorney Claire Grandison represented Ms. Hindsman.
On August 8, 2017, Ms. Hindsman filed this case seeking judicial review under 42 U.S.C. § 405(g) of ALJ Morales-Rosa's April 13, 2017 decision. We referred the case to the Honorable Marilyn Heffley, United States Magistrate Judge, for a report and recommendation.
Ms. Hindsman argues we should not adopt Judge Heffley's Report and Recommendation. She argues Judge Heffley erred in finding ALJ Morales-Rosa (1) did not err in her evaluation of Ms. Hindsman's mental impairments because Judge Heffley ignored the ALJ's legal errors in failing to discuss non-medical evidence (school records) as required, improperly weighed evidence, and incorrectly defined the ability to adapt or manage oneself; (2) did not err in relying on testimony of the vocational expert because, under case law from this District, the ALJ's hypothetical to the vocational expert did not include all limitations supported by the evidence; and (3) did not violate legally binding policies in Social Security Ruling 11-2p because Judge Heffley ignored the requirement the ALJ must consider all non-medical evidence, including school records, and because the ALJ did not examine the functional effects of Ms. Hindsman's cognitive impairments and did not evaluate how she would be expected to function in the absence of extra help and accommodations. Ms. Hindsman contends the ALJ's decision is not supported by substantial evidence and is replete with legal errors and must be reversed and remanded to the Commissioner.
We conduct a de nova review of Ms. Hindsman's objections.
An ALJ must determine whether the claimant is disabled when examining a challenge to the Commissioner's initial decision denying benefits. Under Title XVI of the Social Security Act ("Act"), a disabled person may be entitled to supplemental security income.
The Commissioner applies a five-step evaluation to determine if a claimant is disabled.
After reviewing the record evidence, ALJ Morales-Rosa applied the five-step evaluation and found Ms. Hindsman is not disabled under the Act. Step one is not applied in this case because it is not used for re-determining disability at age eighteen.
At step two, ALJ Morales-Rosa determined Ms. Hindsman suffers from several severe impairments: history of learning disorder or borderline intellectual functioning; mood disorder, not otherwise specified; borderline personality disorder; and post-traumatic stress disorder.
At step three, ALJ Morales-Rosa considered Ms. Hindsman's mental health evaluation and treatment reports, and found her impairments do not meet or equal the criteria of Listings 12.04 (depressive, bipolar, and related disorders), 12.11 (neurodevelopment disorders), or 12.15 (trauma and stressor-related disorders). Criteria "B" in Listings 12.04, 12.11, and 12.15 all require evidence supporting extreme limitation of one, or marked limitation of two, in the areas of (1) understand, remember, or apply information; (2) interact with others; (3) concentrate, persist, or maintain pace; and (4) adapt or manage oneself.
At step four, ALJ Morales-Rosa considered all the medical evidence and concluded Ms. Hindsman has a residual functional capacity to perform work activity at all exertional levels, restricted to performing simple, routine tasks and limited to make simple work-related decisions, with occasional interaction with supervisors and co-workers, but never with the public.
At step five, the ALJ considered Ms. Hindsman's age, education, work experience, and residual functional capacity and found there are a significant number of jobs in the national economy she can perform, including as a hand packer, bakery racker, and artificial flower sticker.
We address each of Ms. Hindsman's three objections to Judge Heffley's Report and Recommendation. Ms. Hindsman's first objection contains three parts: she contends the ALJ "committed legal error" by failing to discuss school records in her decision; failed to properly weigh evidence in two areas of Criteria "B" of the relevant Listings; and incorrectly defined another area of Criteria "B". Ms. Hindsman next objects to the ALJ's hypothetical posed to the vocational expert because it did not include limitations regarding concentration, persistence, or pace as supported by the evidence. Ms. Hindsman lastly objects to ALJ's failure to consider school records required by Social Security Ruling 11-2p. After careful analysis of these objections and de novo review of the ALJ's findings, we adopt Judge Heffley's Report and Recommendation and find, constrained by the existing federal law, Ms. Hindsman is not presently entitled to disability benefits.
Ms. Hindsman argues the ALJ failed to discuss school records when applying the "understand, remember, or apply information" area and failed to provide adequate evidence of how she weighed evidence on the "interact with others" area of Criteria "B" of the relevant Listings.
Ms. Hindsman argues the ALJ's failure to discuss school records runs afoul of our court of appeals' holding in Cotter v. Harris which requires an ALJ's decision to "be accompanied by a clear and satisfactory explication of the basis on which it rests."
In addition to the ALJ's failure to discuss school records, Ms. Hindsman contends the ALJ failed to analyze how other mental impairments limited her ability to understand, remember, and apply information. Ms. Hindsman points to school records showing emotional needs in addition to cognitive deficits contributed to her need for special education, and records showing significant behavioral issues including anxiety, depression, aggression, conduct problems, threatening others, tantrums, and comments wishing she were dead. Ms. Hindsman points to a January 2010 evaluation showing she "frequently gets into fights with family [and] in school."
Ms. Hindsman argues the ALJ's failure to consider school records not only violates Cotter but is also inconsistent with Social Security Ruling 11-2p, and, without indication of whether and how the ALJ considered school records of both cognitive and psychological symptoms, judicial review is impossible and the decision is not supported by substantial evidence.
On the "interact with others" area of Criteria "B", Ms. Hindsman argues the ALJ cherry-picked evidence and failed to account for the practical effects of Ms. Hindsman's limitations showing her symptoms so severe as to interfere with her ability to work and keep herself and those around her safe. Ms. Hindsman points to her hearing testimony regarding conflicts with others in previous attempts at work; records from the treating mental health provider showing incidents of anger put herself and others at risk of harm including a fist fight with her mother and punching walls when angry, and aggressive behavior resulting in incarceration for assault. Ms. Hindsman argues despite this "compelling" evidence, the ALJ nevertheless concluded she "has had meaningful relationships with others" but provided no citation or specifics about the relationships to which she referred and the record contains no support for this conclusion. Ms. Hindsman objects to the ALJ's citation to Ms. Hindsman's characterization of her family relationship as "okay, a little shaky" as only supporting her contention she has a limitation in her interaction with others. Ms. Hindsman challenges the ALJ's explanation for her finding at step two of only moderate limitations.
We find no Cotter violation in the ALJ's treatment of school records. Following Cotter, our court of appeals in Burnett v. Comm'r of Soc. Sec. Admin. held an ALJ must identify the reasons for her decision because "a bare conclusion is beyond meaningful judicial review."
Our analysis confirms ALJ Morales-Rosa studied Ms. Hindsman's diagnosis of a learning disorder and borderline intellectual functioning and noted Ms. Hindsman received special education services.
The ALJ discussed Ms. Hindsman's testimony, including her testimony of her troubled history in jobs she attributed to her temper, frustration and anger around other people, and function reports completed by Ms. Hindsman and her grandmother.
ALJ's final decision and her findings of fact are supported by substantial evidence. ALJ Morales-Rosa's decision properly reviewed relevant evidence regarding Ms. Hindsman's cognitive functioning and is supported by substantial evidence. The ALJ thoroughly discussed a January 3, 2011 clinical psychological disability evaluation and individual intellectual evaluation for disability conducted by consultant Charles Johnson, Psy.D.
The ALJ discussed records from Northwestern Human Services from 2011 to July 2013, noting Ms. Hindsman's reports of being depressed, angry, and experiencing trouble getting along with others.
Ms. Hindsman's mental health treatment provider at Northwestern Human Services prescribed medication to treat mood disorder and possibly bipolar disorder and recurrent depression.
ALJ Morales-Rosa reviewed the records from Northwestern Human Services where she returned for treatment in November 2013.
ALJ Morales-Rosa reviewed April 2014 and 2015 treatment notes from Northwestern Human Services showing Ms. Hindsman missed over half of her appointments for treatment from October 2013 to April 2014, and records from April 2015 when Ms. Hindsman again reported symptoms including anger, depression, a bad temper, anxiety and panic attacks but with a mental status exam with findings similar to previous exams but with agitated behavior; anxious, irritable, and depressed mood.
ALJ Morales-Rosa considered the opinions of state agency reviewing psychologists Louis Poloni, Ph.D. and James Cunningham, Ed.D. Dr. Poloni conducted a mental RFC assessment on January 11, 2011.
Dr. Cunningham conducted a mental RFC assessment on May 5, 2011.
Nicole O'Neill Young, Psy.D. examined Ms. Hindsman in September 2015.
ALJ Morales-Rosa additionally acknowledged a range of global assessment functioning ("GAF") scores, some which might suggest mental limitations of greater severity while others are more consistent with mental limitations of mild to moderate severity. The ALJ considered the GAF scores and explained why they are not dispositive of impairment severity or the ability to meet the mental demands of work, and explained why she gave GAF scores only limited weight.
Based on all this evidence, the ALJ concluded the medical evidence does not fully support Ms. Hindsman's testimony she experiences symptoms and limitations preventing her from work. ALJ Morales-Rosa gave great weight to Dr. Young's testimony as generally consistent with the record as a whole. Dr. Young's assessment, as Judge Heffley found, is the most limiting of Ms. Hindsman's cognitive abilities; that is, Dr. Young's assessment found more restrictions on Ms. Hindsman's abilities than the assessments of Dr. Poloni and Dr. Cunningham. The ALJ gave only partial weight to the opinions of Dr. Poloni and Dr. Cunningham.
Ms. Hindsman also argues the ALJ's decision errs because she incorrectly defined "adapt or manage oneself." Ms. Hindsman argues the ALJ restricted her discussion to limitations in the ability to adapt or manage oneself in the context of basic daily activities without acknowledging difficulties in regulating emotions or controlling behavior.
The relevant Social Security regulation regarding the "adapt or manage oneself' area in Criteria "B" provides:
Applying a de nova review, we disagree with Ms. Hindsman's objection. For largely the same reasons discussed above, ALJ Morales-Rosa considered Ms. Hindsman's testimony regarding her difficulty in controlling her emotions causing problems in work, but found Ms. Hindsman's reports inconsistent with the medical evidence. We disagree the record evidence shows "at least marked limitations" in the ability to adapt or manage oneself. In support of the "marked limitations" argument, Ms. Hindsman cites records from Northwestern Human Services. However, the ALJ considered these records and explained why she found inconsistencies between Ms. Hindsman's reports and mental status examination. For example, the ALJ explained while the Northwestern Human Services records show Ms. Hindsman reporting her symptoms of anger, aggression, depression, anxiety and panic attacks, mental status examinations found her alert, oriented, neat, clean, and appropriate in appearance, cooperative, guarded, and agitated in behavior, mood anxious, irritable, depressed, but appropriate in affect, thought content, logical and organized thought processes, appropriate perceptions, normal and coherent speech, fair in judgment and insight, and no impairment/good concentration and attention.
Ms. Hindsman next objects to Judge Heffley's analysis of the ALJ's hypothetical to vocational expert Patricia Scutt, arguing the hypothetical did not account for limitations in Ms. Hindsman's concentration, persistence, or pace as supported by the evidence. We disagree with Ms. Hindsman but not for the reasons cited by Judge Heffley.
ALJ Morales-Rosa posed three hypotheticals to the vocational expert. In the first hypothetical, the ALJ asked whether an individual the same age as Ms. Hindsman, with no exertional limitations, only non-exertional for simple and routine tasks, simple work-related decisions, frequent contact with supervisors, co-workers, and the public could perform any work in the national economy.
In the third hypothetical, the ALJ asked whether a person with the same assumptions as the second hypothetical plus the person will be off-task twenty percent of a normal workday could perform the identified jobs.
Ms. Hindsman's objection is based on hypotheticals one and two, arguing the ALJ did not include all limitations supported by the evidence. Ms. Hindsman contends because the ALJ found "moderate limitations" in concentration, persistence, or pace her hypothetical limiting Ms. Hindsman to simple and routine tasks and simple work-related decisions "does not come close" to addressing Ms. Hindsman's limitations in concentration, persistence, or pace. She argues our court of appeals' decision in Ramirez v. Barnhart
Ms. Hindsman's argument misses the mark. Judge Heffley appears to have also partially missed the import of the third hypothetical, regardless of how we interpret the first two hypotheticals. The ALJ's third hypothetical specifically incorporated limitations relating to concentration, persistence, or pace by including an assumption an individual will be off-task twenty percent of a normal work day. Ms. Hindsman concedes the third hypothetical properly incorporated her limitations in concentration, persistence, or pace "through the restriction regarding time off task, clearly distinguishing it from the earlier hypothetical that failed to account for that limitation."
Ms. Hindsman's objection is really to the ALJ's decision the record supports the second hypothetical; an individual the same age as Ms. Hindsman, with no exertional limitations, only non-exertional for simple and routine tasks, simple work-related decisions who can never have contact with the public and occasionally with supervisors and co-workers. The ALJ chose not to credit the third hypothetical, explaining at the hearing why she did not allow Ms. Hindsman's counsel to inject a "marked" limitation into the hypothetical:
This is a credibility determination. The ALJ also explained why she discredited Ms. Hindsman's self-reported symptoms, finding while Ms. Hindsman's "medically determinable impairments could reasonably be expected to produce many of her alleged symptoms . . . her own statements concerning the intensity, duration and limiting effects of these symptoms are not fully consistent with the evidence."
We overrule Ms. Hindsman's objection on the hypothetical question to the vocational expert. The ALJ asked the hypothetical. But as she previewed in asking the third hypothetical, she did not find the fact basis for this third hypothetical to be valid. Regardless of how we interpret the first two hypotheticals, ALJ Morales-Rose's third hypothetical addressed the limitation.
Ms. Hindsman complains, as she does in her first objection, the ALJ violated Social Security Ruling 11-2p. Ms. Hindsman makes two objections to Judge Heffley's Report and Recommendation: (1) the report and recommendation's finding the ALJ is not required to discuss school records is in direct conflict with Social Security regulations and SSR 11-2p; (2) the report and recommendation incorrectly found the ALJ met her obligation to consider school records.
At issue here is Social Security Ruling 11-2p (the "Ruling" or "SSR 11-2p"). It explains the Agency's policy on documenting and evaluating disability in young adults.
Ms. Hindsman first objects to the portion of Judge Heffley's Report and Recommendation rejecting her mischaracterization of the language of the Ruling. Ms. Hindsman interprets the report and recommendation as finding the Ruling an optional consideration by the ALJ. Ms. Hindsman contends the Policy requires the ALJ consider school records and include all limitations supported by the evidence in the decision. We disagree with Ms. Hindsman's interpretation of the report and recommendation.
Judge Heffley cites McCarl v. Colvin
Ms. Hindsman next objects to Judge Heffley's finding the ALJ met her obligation to consider school records. As we found, ALJ Morales-Rosa recognized the school records documenting special education services and a diagnosis of learning disorder and borderline intellectual functioning. Although Ms. Hindsman concedes the ALJ noted the school records show special education services and a diagnosis of a learning disorder, she argues the ALJ failed to explain the functional limitations of these diagnoses. She also argues without any explanation about the specific limitations caused by her impairments, it is impossible to know whether the ALJ considered the functional effects of the limitations. Ms. Hindsman cites SSR 11-2p's "Extra Help and Accommodations" section. There, the Agency considers "how independently a young adult is able to function, including whether the young adult needs help from other people or special equipment, devices, or medications to perform day-to-day activities. If a young adult can function only if he or she receives more help than would generally be provided to people without medical impairments, [the Agency] consider[s] how well the young adult would function without the extra help."
Ms. Hindsman argues because the ALJ noted special education services, without explaining the type or extent of services, the ALJ failed to satisfy the requirement to consider how Ms. Hindsman would be expected to function without extra help and accommodation. Ms. Hindsman points to her 2010 IEP showing modifications and specially designed instruction in the form of small group testing, simplified directions, and small group instruction.
We disagree with Ms. Hindsman's argument. First, she does not explain how school modifications—small group testing, simplified directions, and small group instruction—is inconsistent with the RFC found by the ALJ. The ALJ considered the diagnoses evidenced in school records as reflected in the RFC, restricting Ms. Hindsman to performing simple, routine tasks and limited to making simple work-related decisions, with occasional interaction with supervisors and co-workers, but never with the public.
In the accompanying Order, we approve and adopt Judge Heffley's Report and Recommendation on all grounds except on slightly different grounds on the hypothetical posed to the vocational expert. We deny Ms. Hindsman's request for review and enter judgment in favor of the Commissioner.