DocketNumber: C.A. No. P.C. 01-0940
Judges: SAVAGE, J.
Filed Date: 8/26/2002
Status: Precedential
Modified Date: 7/6/2016
it is declared to be the policy of this state to provide medical assistance for those persons in this state who possess the characteristics of persons receiving public assistance under the provisions of R.I. Gen. Laws §
40-5.1-9 or40-6-27 , and who do not have the income and resources to provide it for themselves or who can do so only at great financial sacrifice.
R.I. Gen. Laws §
Marie Almonte is a sixty-one year-old woman with a second grade education. She cannot read or write English. (Exh. 7C). She was employed as a machine operator for twelve years — a job that required her to sit for eight hours per day. (Exh. 7C). In 1999, back pain caused appellant Almonte to stop working, and she subsequently applied for benefits under the medical assistance program in June 2001.
Appellant Almonte's medical record demonstrates that she suffers from persistent spinal problems. X-rays of her cervical spine taken in 1998 reveal severe degenerative disease in her lower cervical spine, with marked degenerative disease of the cervical vertebrae located at C4-C7. (Exh 8A).
Dr. Collins, who has served as appellant Almonte's treating physician since September 1998, completed DHS's MA-63 form and found that Ms. Almonte suffers from consistent chronic back pain and degenerative joint disease of the cervical and thoracic spine. (Exhs. 7B and 8E). He concluded that her impairment is expected to last at least twelve months and that she has only a fair prognosis for eliminating or reducing her conditions through medication or treatment. (Exh. 8G). He determined that appellant Almonte's condition limited her physical activity. Id. According to Dr. Collins, she can walk for a maximum of two to three hours per day, sit for two to three hours per day, stand for one to two hours per day, reach for one to two hours per day, and sit or stand intermittently (with breaks) for a maximum of two to three hours per day. She cannot lift and carry more than ten pounds. (Exh. 7B). Dr. Collins diagnosed appellant Almonte as suffering from "chronic shoulder and back pain not helped by medicine." (Exh. 7B). He recommended occupational therapy, physical therapy and breast reduction surgery, but appellant Almonte has been unable to try to alleviate her condition because she is unable to afford the recommended treatment. (Tr. at 17). According to Dr. Collins, her impairments "significantly limit" her physical ability to do work activities and she is unable to sustain full time employment. (Exh. 8G). He noted that her pain, which is "moderate to severe," has not responded to conservative treatment (including medication) and that she is unable to afford the recommended treatment. Id. Dr. Collins found that her pain is of such severity as to preclude the concentration and productivity that is necessary to sustain work. Id.
From October 1999 to February 2000, appellant Almonte received chiropractic treatment from Dr. Kerry Kasegian-Langley. Her medical records document his persistent findings of decreased cervical range of motion, including paraspinal spasm and other muscle spasm, and mid-thoracic and cervical tenderness on palpation. (Exh. 7D). Moreover, Dr. Kasegian-Langley observed that appellant Almonte suffers from decreased cervical extension and guarded range of motion. Id.
Dr. Bernado reviewed appellant Almonte's medical records to determine her residual functional capacity for the Social Security Administration. He concluded that she she suffers from chronic back pain, characterized by severe degenerative disease in the lower cervical spine. (Exh. 8A). He found decreased cervical range of motion by 50% and severe restriction of range of motion in her right shoulder. Id. He also found tenderness by palpation in her cervical and thoracic spine. Id. He concluded that Ms. Almonte can lift up to twenty pounds, stand or walk for six hours out of eight and sit for eight hours out of eight. Id. He found her symptoms to be attributable to a medically determinable impairment, that the severity and duration of the symptoms were not disproportionate to the expected severity or duration on the basis of the impairment and that the severity of the symptoms and the effect on function were consistent with the medical and nonmedical evidence, including statements by the claimant and others, observations regarding her activities of daily living and alterations of her of usual behavior. Id.
Appellant Almonte applied for medical assistance benefits from DHS in June 2000. The Medical Assistance Review Team ("MART") from DHS denied her application for benefits on August 23, 2000. At the time, MART had no X-rays for appellant Almonte nor did it have any physician's reports indicating objective medical evidence to support her subjective symptoms or any records suggesting that her chronic back pain was severe. She appealed from that decision and sought an administrative hearing before a DHS Appeals Officer.
At the administrative hearing on January 10, 2001, appellant Almonte testified that she filed an application for medical assistance benefits because "I'm sick. I can't work. I can't do anything." (Tr. at 14). When asked to describe her back pain, she stated "Pain. Complete pain. I cannot sleep. If I turn on my side, I can't sleep, and if I sleep with my face down, I can't sleep either." Id. She claimed that she sleeps about an hour per night. Id. at 17. When asked to describe her shoulder pain, she stated "Everything hurts. Everything from the top to like the nerves-something wrong with this arm." Id. at 15. She stated that she could not lift her arms at all before the pain appears. Id. Ms. Almonte takes Motrin and a high dosage of Vioxx. Id. at 17.
Appellant Almonte testified further that she cannot work, that she cannot bend or reach above her head and that she can stand for only one or two hours. Id. at 18. She stated that she can sit for only one or two hours and walk slowly for one or two hours. Id. at 19. She indicated that she does no household chores except making beds. (Exh. 7C). She drives a car but also needs help getting places. Id. She also needs help with food preparation. Id. Ms. Almonte testified that she cannot obtain occupational therapy because she cannot afford it. (Tr. at 17).
Following the hearing, the Hearing Officer gave MART seven days to review appellant Almonte's X-rays and the additional medical records submitted on her behalf that it had not reviewed at the time it denied her request for benefits in August 2000. (Tr. at 22). DHS never ordered any consultative examinations of Ms. Almonte, ostensibly because of time constraints. Id. Although appellant Almonte had such an examination as part of her evaluation for social security disability, DHS did not obtain a copy of that evaluation before the administrative hearing in January 2001. Counsel for Ms. Almonte objected at the hearing to expanding the record after the fact to include that evaluation, and the Hearing Officer sustained that objection. Id. at 25.
Following the administrative hearing, MART reviewed appellant Almonte's X-rays. (Exh. 11). It is unclear what medical records it reviewed from August 2000 through January 2001. MART issued its decision finding appellant Almonte "not disabled" on January 17, 2001. Id. It noted in its decision, after reviewing the X-rays, that she had chronic neck and back pain and decreased range of motion and tenderness. Id.
On January 30, 2001, the Hearing Officer issued her decision denying appellant Almonte's request for medical assistance benefits. (Exh. 12). She found that pain would not interfere with appellant Almonte's ability to sustain work activity. Id. In this regard, the Hearing Officer noted that "the appellant stood in the waiting area without apparent difficulty, walked to the hearing room and sat through the proceeding with no observable indication of distress." Id. She thought that the information from appellant Almonte's treating physician regarding her pain was contradicted by his assessment of her mental abilities on the MA-63 form that could not be reconciled with further medical evaluations in the record. Id.
The Hearing Officer noted, based on her reading of the opinion of appellant Almonte's treating physician, that Ms. Almonte "can walk and sit for 2-3 hours, stand for 1-2 hours, bend for an hour, stand and sit intermittently for 2-3 hours, and bend, lift and carry up to ten pounds occasionally." Id. She noted that the record indicated an additional limitation restricting overhead lifting and carrying. Id. The Hearing Officer concluded that appellant Almonte could not return to her previous job as a machine operator (where she worked for twelve years at a job that required her to sit for eight hours per day). Id. Nonetheless, the Hearing Officer found that "she would be able to perform sedentary work which requires lifting no more than ten pounds, standing and walking about two hours, and sitting for a total of six (the appellant can stand and sit intermittently) as these are all within the capabilities described by her treating physician." Id. Finally, the Hearing Officer opined that "[h]er long work history would suggest she has the transferable skills which would overcome her lack of formal education and age." Id.
Appellant Almonte filed a timely appeal to this Court from the DHS Hearing Officer's decision. She argues that the Hearing Officer erred in improperly rejecting the opinion of her treating physician, giving improper weight to the Hearing Officer's own limited personal observations of the appellant in contrast to the expert opinion evidence in this case, giving insufficient weight to the medical evidence and other testimony regarding the appellant's pain and in determining her residual functional capacity to do sedentary work. Appellant Almonte seeks a reversal of the Hearing Officer's decision and attorneys' fees.
DHS counters that the Hearing Officer does not have to give the treating physician's opinion controlling weight and that the Hearing Officer can make her own credibility findings as to the appellant. It argues that the Hearing Officer's decision was substantially justified such that any attorneys' fee request must be denied. DHS seeks to have the Hearing Officer's decision affirmed.
The court shall not substitute its judgment for that of the agency as to the weight of the evidence on questions of fact. The court may affirm the decision of the agency or remand the case for further proceedings, or it may reverse or modify the decision if the substantial rights of the appellant have been prejudiced because the administrative findings, inferences, conclusions, or decisions are:
(1) in violation of constitutional or statutory provisions;
(2) in excess of the statutory authority of the agency;
(3) made upon unlawful procedure;
(4) affected by other errors of law;
(5) clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record; or
(6) arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion.
On review, this Court does not weigh the evidence upon which the agency's findings of fact are based, but reviews the record to determine if there is substantial evidence to support the administrative decision.Bunch v. Board of Review, Rhode Island Dept. of Employment and Training,
1. Is the claimant engaged in substantial activity?
2. If not, is the impairment severe?
3. If severe, does it meet or equal an impairment listed in the Supplemental Security Income (SSI) regulations?
4. If it does not meet or equal SSI regulations, does the impairment prevent the claimant from doing past relevant work?
5. Considering age, education, work experience and residual functional capacity, does the impairment(s) prevent the claimant from doing other work in the national economy?
See
Under step one of the regulations, the hearing officer considers whether the claimant is engaged in substantial activity. If a claimant is found to be engaged in substantial activity, the disability claim will be denied. Bowen v. Yuckert,
If the claimant is not able to perform past relevant work, the hearing officer must proceed to step five. Holley v. Chater,
The medical vocational guidelines, referred to as the "Grid," establish a matrix system that categorizes disabling conditions based on the claimant's age, education and work experience. 20 C.F.R. Pt. 404, Subpt. P, App. 2 § 200(a) (2001). The purpose of the Grid is to encourage uniform treatment of claims. The Grid is meant to reflect the potential occupational base remaining for a claimant in light of his or her physical limitations. 20 C.F.R. Pt. 404, Subpt. P, App. 2 § 200(c) (2001). If the claimant suffers only from an exertional limitation, otherwise known as a strength-related impairment, then the Grid reveals whether the claimant is disabled. Ortiz, 890 F.2d at 524. If, under the Grid, the claimant's condition results in a finding of disabled, then the hearing officer has no discretion, but must find the claimant disabled.Id.; Cooper v. Sullivan,
When the claimant is over 55 years of age, and can no longer perform vocationally relevant past work, as in this case, then the relevant section of the Grid provides that the hearing officer must find that the claimant has transferable skills that allow for direct entry into skilled sedentary work in order for the hearing officer to conclude that the claimant is capable of engaging in substantial gainful employment. 20 C.F.R. Pt. 4, Subpt. P, App. 2, § 201.01(d). Thus, when a claimant is over 55 years of age and can no longer perform relevant past work, DHS has a more difficult burden to show that the claimant can perform substantial gainful employment at step five of the analysis.
There were two ways for DHS to meet this burden: (1) by the testimony of a vocational expert, or (2) by reference to the Grid. Since no vocational expert testified at the hearing, the Hearing Officer is presumed to have applied the "Grid." Individuals who meet the criteria of the Grid are presumed disabled unless the presumption of disability is rebutted by a showing that the individual has skills that are directly transferable to sedentary work. Jeffcoat v. Secretary of Health HumanServ.,
Because appellant Almonte is over the age of fifty-five and could not return to her past employment, the Hearing Officer only could have concluded that Ms. Almonte was not disabled if DHS found that Ms. Almonte had transferable skills allowing direct entry into skilled sedentary work. Dikeman v. Halter,
According to the regulations, transferable skills are most meaningful among jobs where: 1) the same or lesser degree of skill is required; 2) the same or similar tools and machines are used; and 3) the same or similar raw materials, products, processes or services are involved.
Significantly, the Hearing Officer in this case never made any findings indicating that appellant Almonte's limited education, inability to read or write English and employment as a machine operator gave her the necessary skills to transfer, at age 61, to sedentary work. Her job as a machine operator required her to sit for eight hours per day. (Exh. 7C.) The Hearing Officer acknowledged that appellant Almonte can no longer sit for eight hours per day and suggested that, at most, she could sit and stand intermittently for six hours per day. The Hearing Officer's decision assumes-without setting forth any factual predicate-that appellant Almonte must have the transferable skills needed to perform sedentary work due to her prior work experience. As the Grid mandates a presumptive finding of disabled, the Hearing Officer was required to make findings of fact, based on the evidence, to rebut the presumption that appellant Almonte was not disabled because she possessed skills directly transferable to sedentary work. The Hearing Officer's failure to make specific findings indicating how appellant Almonte has transferable skills allowing direct entry into sedentary work constituted error of law at step five of the sequential evaluation. See Dikeman, 245 F.3d at 1185. There is simply a dearth of evidence in the record to support a finding of transferable skills.
Ms. Almonte would be able to perform sedentary work which requires lifting no more than ten pounds, standing and walking about two hours and sitting for a total of six (the appellant can sit and stand intermittently) as these are all within the capabilities described by her treating physician. (Exh.12).
Sedentary work requires the physical capacity to sit approximately for six hours out of an eight hour workday and to stand or walk no more than the remaining two hours.
Appellant Almonte's treating physician, Dr. Collins, opined that Ms. Almonte cannot satisfy the physical requirements of sedentary work, namely sitting for six hours in an eight hour day. The Hearing Officer concluded — contrary to this opinion — that appellant Almonte could perform sedentary work.
If the Hearing Officer rejects the opinion of the treating physician, specific reasons must be given by the Hearing Officer for doing so.
The Hearing Officer also appeared to rely improperly on her own personal observations of Ms. Almonte's medical condition during the administrative hearing. "A hearing officer is permitted to take notice of a claimant's demeanor during an administrative hearing, however the [hearing officer] is not free to reject a claimant's credibility on the account of the claimant's failure to sit and squirm during the hearing."Cline v. Sullivan,
In addition to improperly applying the five step process mandated by federal law for determining disability status, the Hearing Officer failed to follow the federal regulations in evaluating appellant Almonte's subjective complaints of pain that are documented in the medical records and described by Ms. Almonte at her administrative hearing. Under
Furthermore, it is the opinion of this Court that it would be improper to remand this case to DHS for further proceedings as it would simply delay the receipt of benefits by appellant Almonte. Macera v. Cerra, No. 2000-80-A., slip op. at 7 (R.I., filed February 8, 2002) (refusing to remand when further factfinding is unnecessary and would serve no useful purpose); Desrosiers v. Rhode Island Department of Human Services, C. A. No. 01-1578 (Super.Ct.) (March 1, 2002) (Nugent, J.); Randall v.Sullivan,
Additionally, pursuant to R.I. Gen. Laws §
Counsel shall agree upon an appropriate form of order and judgment, reflective of this decision, and submit it to the Court forthwith for entry.
Bowen v. Yuckert , 107 S. Ct. 2287 ( 1987 )
St. Pius X Parish Corp. v. Murray , 1989 R.I. LEXIS 74 ( 1989 )
Victor M. ORTIZ, Plaintiff, Appellant, v. SECRETARY OF ... , 890 F.2d 520 ( 1989 )
Hung NGUYEN, Plaintiff, Appellant, v. Shirley S. CHATER, ... , 172 F.3d 31 ( 1999 )
Marie McDaniel v. Otis R. Bowen , Secretary of Health and ... , 800 F.2d 1026 ( 1986 )
Shirley Randall v. Louis W. Sullivan, M.D., Secretary of ... , 956 F.2d 105 ( 1992 )
Jack C. JEFFCOAT v. SECRETARY OF HHS , 910 F. Supp. 1187 ( 1995 )
Dikeman v. Halter , 245 F.3d 1182 ( 2001 )
Newport Shipyard, Inc. v. Rhode Island Commission for Human ... , 1984 R.I. LEXIS 632 ( 1984 )
Caswell v. George Sherman Sand & Gravel Co. , 1981 R.I. LEXIS 1021 ( 1981 )
Costa v. Registrar of Motor Vehicles , 1988 R.I. LEXIS 92 ( 1988 )
Bunch v. Board of Review, Rhode Island Department of ... , 1997 R.I. LEXIS 68 ( 1997 )
Milardo v. Coastal Resources Management Council , 1981 R.I. LEXIS 1263 ( 1981 )
Holley v. Chater , 931 F. Supp. 840 ( 1996 )
Sigrid R. CLINE, Appellant, v. Louis W. SULLIVAN, Appellee , 939 F.2d 560 ( 1991 )
Irene M. COOPER, Plaintiff-Appellant, v. Louis M. SULLIVAN, ... , 880 F.2d 1152 ( 1989 )