Harris ex rel. N.L.K. v. Berryhill
Harris ex rel. N.L.K. v. Berryhill
Opinion of the Court
Plaintiff Teena Harris ("plaintiff"), on behalf of her minor son, N.L.K., appeals from a denial of continued Social Security benefits by the Commissioner of Social Security ("the Commissioner"), based on the Commissioner's finding that N.L.K. was not disabled.
Plaintiff protectively filed an application for Supplemental Security Income on November 29, 2012, on N.L.K.'s behalf. That claim was initially denied on March 22, 2013. Plaintiff requested a hearing, which was held on July 25, 2014 before Administrative Law Judge ("ALJ") William M. Weir. (Dkt. # 7 at 16). On April 21, 2015, the ALJ issued a decision concluding that N.L.K. was not disabled. (Dkt. # 7 at 16-33). That decision became the final decision of the Commissioner when the Appeals Council denied review on August 12, 2016. (Dkt. # 7 at 1-3). Plaintiff now appeals.
Plaintiff has moved (Dkt. # 10) and the Commissioner has cross moved (Dkt. # 13) for judgment on the pleadings pursuant to Fed. R. Civ. Proc. 12(c). For the reasons that follow, I find that the Commissioner's decision is not supported by substantial evidence, and that the ALJ failed to complete the record. The Commissioner's cross motion (Dkt. # 13) is denied, plaintiff's motion (Dkt. # 10) is granted, and the matter is remanded for further proceedings.
DISCUSSION
I. Relevant Standards
Because the claimant is a child, a particularized, three-step sequential analysis is used to determine whether he is disabled. First, the ALJ must determine whether the child is engaged in substantial gainful activity. See
At step three, the ALJ examines whether the claimant's impairment meets or equals the criteria of a listed impairment. If the impairment meets or medically equals the criteria of a listing and meets the durational requirement (
The Commissioner's decision that N.L.K. is not disabled must be affirmed if it is supported by substantial evidence, and if the ALJ applied the correct legal standards. See
II. The ALJ's Decision
The ALJ initially found that since the November 29, 2012 application date, N.L.K. (then six years old) has had the following severe impairments: attention deficit hyperactivity disorder ("ADHD"), Oppositional Defiant Disorder ("ODD") and asthma. The ALJ proceeded to analyze whether N.L.K. has any "marked" or "extreme" limitations in any of the six domains of functioning. Based on the medical, educational and testimonial evidence presented, the ALJ concluded that since November 29, 2012, N.L.K. has had no limitation in acquiring and using information, a less than marked limitation in attending and completing tasks, a less than marked limitation in interacting and relating with others, no limitation in moving about and manipulating objects, and less than marked limitations in health and physical well-being. The ALJ accordingly concluded that N.L.K. is "not disabled." (Dkt. # 7 at 16-33).
III. The ALJ's Duty to Complete the Record
Plaintiff argues that the record contains a significant gap, and that the ALJ's decision is therefore not supported by substantial evidence. The Court concurs.
Specifically, although the ALJ found that N.L.K. had severe impairments including ADHD and ODD-both mental impairments -the record contained almost no evidence concerning those conditions, despite the fact that N.L.K. had been receiving frequent and regular health treatment at the Monsignor Carr Institute (the "Institute") since November 21, 2012, when he was six years old. Although plaintiff's counsel and the ALJ made multiple requests for treatment records and/or a mental health assessment from the Institute, those requests were apparently met with a woefully insufficient response, consisting chiefly of an initial evaluation from November 2012, a "progress note summary" indicating that N.L.K. had received treatment at the Institute at least 42 times between February 2013 and October 2014, a prescription list, and an individualized action plan from March 2013. (Dkt. # 7 at 283-86, 437-44). No treatment notes were produced.
*369"Because a hearing on disability benefits is a non-adversarial proceeding, the ALJ generally has an affirmative obligation to develop the administrative record." Perez v.Chater ,
Furthermore, the ALJ's duty is particularly pressing where the records sought are "central to the disability determination." Carr v. Commissioner,
The fact that the essential treatment records were requested, but not received, "does not obviate the ALJ's independent duty to develop the record," particularly since the ALJ could have exercised his power to subpoena them, but did not. Benjamin v. Colvin,
Ultimately, an ALJ is expected to make "every reasonable effort" to fully and fairly develop the record, taking into account the circumstances of the case. Carr,
CONCLUSION
For the foregoing reasons, I find that the ALJ failed to fulfill his duty to complete the record, and that his decision is therefore not supported by substantial evidence. The plaintiff's motion for judgment on the pleadings (Dkt. # 10) is granted, and the Commissioner's cross motion for judgment on the pleadings (Dkt. # 13) is denied. The Commissioner's decision is reversed, and the matter is remanded for further proceedings, including the issuance of a subpoena for N.L.K.'s complete treatment *370records from the Monsignor Carr Institute.
IT IS SO ORDERED.
Reference
- Full Case Name
- Teena HARRIS O/B/O N.L.K. v. Nancy A. BERRYHILL, Acting Commissioner of Social Security
- Cited By
- 16 cases
- Status
- Published