Swartz v. Barnhart

188 F. App'x 361
CourtCourt of Appeals for the Sixth Circuit
DecidedJuly 13, 2006
Docket04-2437
StatusUnpublished
Cited by22 cases

This text of 188 F. App'x 361 (Swartz v. Barnhart) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Swartz v. Barnhart, 188 F. App'x 361 (6th Cir. 2006).

Opinion

OBERDORFER, District Judge.

Plaintiff-appellant, Agnes I. Swartz, is a 66-year old woman with significant physical and mental impairments. The present appeal concerns her application for Social Security Disability Insurance Benefits for the period from September 1992, when she was last employed, through December 31, 1997, when her “insured status” expired. 1 An administrative law judge ruled that she was not entitled to any benefits because during that time she had the “residual functional capacity” to perform a significant number of jobs in the national economy. For the reasons that follow, we conclude that the Administrative Law Judge’s decision is not supported by substantial evidence. We REVERSE and REMAND for further proceedings in accordance with the following opinion.

I. LEGAL STANDARDS

In order to qualify for Social Security Disability Insurance Benefits, Swartz must have been “disabled” during the period of her disability insurance coverage. In this context, a disability is defined as “an inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or that 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). Federal regulations establish a five-part sequential evaluation process for determining when a claimant is disabled. 20 C.F.R. § 404.1520(a)(4). As soon as a determination of disabled or not disabled can be made, the evaluation process ends. Id. In order, the five steps are: (1) if the claimant is “doing substantial gainful activity,” he or she is “not disabled”; (2) if the claimant does “not have a severe medically determinable physical or mental impairment that meets the duration requirement ... or a combination of impairments that is severe and meets the duration requirement,” the claimant is “not disabled”; (3) if the claimant has a severe impairment and the “medical severity” of the claimant’s impairment(s) “meets or equals” a listed impairment, the claimant is “disabled”; (4) if the “medical severity” does not meet or equal a listed impairment, the claimant’s “residual functional capacity” is assessed and if the claimant can do his or her “past relevant work,” the claimant is “not disabled”; and (5) if the claimant cannot do his or her “past relevant work,” but has *363 the residual functional capacity, taking into account the claimant’s “age, education, and work experience” to “make an adjustment to other work,” the claimant is “not disabled.” Id. “Residual functional capacity” is defined as “the most that [an individual] can still do despite [his or her] limitations.” 20 C.F.R. § 404.1545.

II. FACTS

Agnes Swartz was born in 1940. According to her sister, Eunice Good, Swartz suffered from childhood encephalitis. As a result, Good says, Swartz has “always had difficulty with learning new skills and problem solving,” “has difficulty retaining information and cannot follow through on more complex instructions,” and “is easily confused and frustrated with many domestic tasks,” “can do housecleaning, but cannot cook and plan a meal,” “requires some level of support in her home environment,” and “[o]utside of her home environment she is easily overwhelmed.” AR 251.

Swartz graduated from high school, but with a very mediocre academic record. She then worked for a number of years as a nurse’s aide for various employers. During her entire adulthood, Swartz never lived alone, residing with either her parents, now deceased, and/or one or more of her sisters.

In June 1992, Swartz started work as a nurse’s aide at a long-term care facility. After a 90-day probationary period, she received performance evaluations from her direct supervisor and from the director of nursing at the facility, Jane Henderson. AR 405-07. Her direct supervisor rated her performance on a scale of 1 to 5 (with 1 being outstanding, 2 being very good, 3 being satisfactory, 4 being needs improvement, and 5 being unsatisfactory) as follows:

Job Knowledge 3
Productivity 4
Quality 3
Relationships with Others 5
Dependability 3
Work Habits 4
Initiative 4
Acceptance of Supervision and Directions 4

She also commented that Swartz “[n]eeds lots of improvement—needs to communicate” in her relationships to others and rated Swartz’s overall performance as “needs improvement,” especially Swartz’s ability to communicate with families and associates and to complete tasks in a timely manner. AR 406.

Henderson’s evaluation similarly stated that Swartz’s work performance “need[ed] improvement,” identifying the “primary areas requiring improvement” as Swartz’s “ability to communicate satisfactorily with residents, families and other staff members,” her “ability to complete [her] assigned responsibilities in a more timely manner,” and her “limited availability for work” as a part-time employee. AR 407. Henderson recommended an additional 60-day probationary period for Swartz. Instead of consenting to an extension of her probationary period, Swartz quit. She has not worked since.

According to Swartz, she has always had problems keeping up with the work at her jobs, although she would often “work extra” to get it all done. AR 37-38. And according to Dolores Swartz, Swartz’s sister-in-law and a nurse, who both knows Swartz personally and has occasionally worked with her, Swartz “tried very hard, did very good work but it was slow work.” AR 43.

Between the time she ceased working and December 31, 1997, the end of the insured period, Swartz never saw a psychiatrist or sought any other form of mental health treatment. However, she did have significant contact during that time with her family physician, Dr. Michael Wagner, *364 who subsequently offered his perspective on “some of Agnes’ emotional/cognitive problems” prior to December 31, 1997. In Dr. Wagner’s opinion, Swartz had suffered from a number of mental health problems for her entire life. In a written statement, dated December 3, 2002, Dr. Wagner explained:

In the office I have been treating her for nine years now, she always presented with a flat affect. She typically comes in with a relative to the appointments. When she was living with her sister Leona, she would accompany her during the examination. This is so her sister would have a handle on what advice I have given to Agnes due to the problems that Agnes has understanding what I have told her. Agnes has always been slow to respond to questions. She needs to think about the question before she responds. She appears to have low self-esteem. She can become easily upset.

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188 F. App'x 361, Counsel Stack Legal Research, https://law.counselstack.com/opinion/swartz-v-barnhart-ca6-2006.