Richter v. R.I. Dept. of Human Serv.
Opinion of the Court
Plaintiff Richter filed an application for medical assistance benefits on July 1, 2005. As part of her application, she submitted records extending through July 5, 2005, including an AP-70 Information for Determination of Disability form ("AP-70"), an MA-63 Physician Examination Report for Determination of Disability form ("MA-63"), Newport Hospital records, and Rhode Island Hospital records.
In the AP-70 form, date stamped July 1, 2005, plaintiff Richter describes her injury as preventing her from working, writing: "Broken ankle/2 surgery [sic]; spasms, sharp shooting pain, can't sleep because of it under cast irritates incisions skin — stitches. I feel incisions hardware. Doctors orders to stay off right foot for three months — absolutely no weight bearing on foot/ankle. Foot must remain elevated." (AP-70, July 1, 2005, Ex. 8 at 1.) She also indicated that she needed to use a walker, a wheelchair, or crutches to get around. (Id. at 3.)
Plaintiff's treating physician, Dr. Krasinsky of the Rhode Island Hospital Orthopedic Clinic, completed the MA-63 Physician's Examination Report, answering "Yes" to the question of whether the impairment was expected to last 12 months, but indicating in the space next to the question, "Possibly last 12 mo. — not death[.]" (MA-63, July 8, 2005, Ex. 7 at 1) (emphasis in original.) He further noted on the next page that the condition was expected to last "6-12 mo." (Id. at 2.) Dr. Krasinsky found plaintiff Richter's prognosis to be "non-weight bearing immobilized for few months and then require rehab," meriting "close follow-up." (Id.) At the time of his review, he limited plaintiff to one hour of walking with crutches and 2-4 hours of sitting in an eight hour day; however she could not stand, reach, or bend. (Id. at 3.) He went on *Page 3 to prohibit plaintiff from lifting up to ten pounds or carrying up to five pounds and rated her ability to work at a consistent pace and respond to changes in work routine or environment as "markedly limited." (Id.)
The medical records from Newport Hospital consisted of plaintiff Richter's discharge summary as well as a patient progress note. (Authorization for Disclosure/Use of Health Information Form, DHS25M, July 1, 2005 Ex. 9.) Her discharge summary instructs that she should remain non-weight bearing on her right leg and that she should ice and elevate the leg. (Newport Hospital Discharge Summary, June 17, 2005, Ex. 9.) They also indicate that she was prescribed Percocet, Colace, Oxycontin, and Valium. Id. The Rhode Island Hospital records consisted of a discharge summary describing her surgeries. (RIH Discharge Summary, June 26, 2005, Ex. 9 at 1.) The discharge summary lists her condition as "stable and improved" and indicates no complications. (Id.) It also states that "she is to limit heavy lifting and strenuous activity." (Id.) Orthopedic notes from plaintiff's first post-operative visit also were included in the Rhode Island Hospital records. They indicate that plaintiff had fallen while in her splint, resulting in a trip to Newport Hospital to have X-rays taken. (RIH Orthopedic notes, July 5, 2005, Ex. 9.) She was told that her ankle "looked fine," although she did complain of increased swelling and pain. (Id.)
After reviewing her application, the Medical Assistance Review Team ("MART") sent plaintiff Richter a written denial of medical assistance on September 9, 2005, finding her "not aged sixty-five (65) or older, blind, or disabled." (Denial Letter, Sept. 9, 2005, Ex. 3.) Plaintiff Richter timely filed an administrative appeal from that decision on September 13, 2005.
A DHS hearing officer held a hearing on November 1, 2005 with respect to her appeal, at which plaintiff testified. At the hearing, the MART representative stated that in reaching its *Page 4 decision, the MART had relied on the same records that plaintiff had submitted previously with her application for medical assistance benefits, namely the AP-70 form, the MA-63 form, the Newport Hospital records, the Rhode Island Hospital records and also East Bay Community Action records. (Hr'g. Tr. of Nov. 1, 2005, Ex. 12, at 2-3.) The hearing revealed that the East Bay Community Action records were those of someone other than plaintiff Richter and had been erroneously included in the MART file. (Tr., Ex. 12 at 3-4.) The MART subsequently deleted these records from the file. (E-mail from Julie Hopkins, MART nurse, to Laurie DiOrio, Hearing Officer, Dec. 6, 2005, Ex. 10.)
At the hearing, plaintiff Richter described the nerve damage to her foot:
It's like deep numbing. Like, not like a pins and needles but when you press it, I know you're pressing it but I don't feel it. I mean, it hurts, ok? Um, the pain, to be honest, is not as bad as it was. Um, me and any drugs, we just don't mix so I try, especially if I have to go out the next day, I try not to take my pain medication the night before. Um, and most of the pain is especially in physical therapy. They've also found that I have a situation with the bottom of my foot, um, where when you put it down to walk on it, it actually feels like I'm stepping on glass. Not all, not every, not every single section.
(Tr., Ex. 12 at 8-9.) She further explained that when her physician removed her cast in July, "what happened was the toes were still pointed in and the doctor, actually one of the surgeons, Dr. Koe [sic] that did my surgery, who said `Oh, that doesn't look right.' So he went down and brought up the head of orthopedics for (inaudible) and that's when they discovered I have nerve damage." (Tr., Ex. 12 at 8.) She attributes her reduced range of motion to the nerve damage, putting it at "twenty-seven percent movement out of a hundred." (Tr., Ex. 12 at 7.)
During the hearing, the hearing officer explained to plaintiff Richter that she submit additional medical records to supplement those records that she had already submitted to allow DHS to "get a better picture" of how she was doing. (Tr., Ex. 12 at 26.) The record remained *Page 5 open through November 29, 2005, and plaintiff Richter submitted additional records. (Hr'g Dec'n dated Jan. 3, 2006, Ex. 11 at 3.)
Among these additional records were follow-up reports of Dr. Koh and Dr. Fitzgibbons from the Rhode Island Hospital Orthopedic Clinic. In the first examination of plaintiff Richter on August 2, 2005, Dr. Koh notes that "It looks like her common peroneal nerve is out. It was discussed with her that would take up to two years to recover. She was in some equinus. She could not get her ankle beyond neutral on passive range of motion." (Dr. Koh Rep., Aug. 2, 2005, Ex. 9.)2 Dr. Fitzgibbons conducted plaintiff's next post-operative examination and found that her incisions were "well healed, clean, dry and intact." (Fitzgibbons Rep., Aug. 12, 2005, Ex. 9.) Later that month, plaintiff Richter was able to forego the cast and use a Cam walker, with "partial weight bearing with 30 pounds of weight," and was prescribed physical therapy. (Dr. Koh Rep., Aug. 25, 2005, Ex. 9.) In September 2005, Dr. Koh diagnosed plaintiff Richter with "peroneal nerve palsy."3 (Dr. Koh Rep., Sept. 20, 2005, Ex. 9.)
Plaintiff Richter also submitted physical therapy records from Vanderbilt Rehabilitation Center. These records indicate that she was given short term goals4 with a four week timeframe and long term goals of walking independently and climbing stairs. (Vanderbilt Initial Eval., Sept. 14, 2005, Ex. 9 at 3.) As of October 11, 2005, nearly four weeks after the first evaluation, the short term goals were only "improved or partially met," and the long term goals had not been met. (Vanderbilt Re-eval., Oct. 11, 2005, Ex. 9.) *Page 6
Notes from her physical therapy sessions indicate the varying nature of her pain. On September 15, 2005, for example, the notes indicate that she was "only able to tolerate very light touch due to reports of very tender." (Vanderbilt PT notes, Sept. 15, 2005, Ex. 9.) On September 22, 2005, she was "able to tolerate moderate pressure at medial lateral malliolii;" however, on September 29, 2005, she refused manual therapy altogether "due to pain." (Vanderbilt PT notes, Sep. 22, 2005, Ex. 9; Vanderbilt PT notes, Sept. 29, 2005, Ex. 9.) In an effort to decrease sensitivity, she was instructed to desensitize with sand and rough surfaces. (Vanderbilt PT notes, Oct. 6, 2005, Ex. 9.)
The physical therapy notes also show improvement. Plaintiff Richter began bearing weight on her injured leg at the prescribed 30 pounds. (Dr. Koh Rep., Aug. 25, 2005, Ex. 9.) On September 20, 2005, Dr. Koh recommended that she begin increasing this weight by ten pounds per week. (Vanderbilt Physician Order, Sept. 27, 2005, Ex. 9.) She gradually progressed, with the notes on October 19, 2005 indicating that she was able to put 80 pounds on her right leg and was demonstrating correct weight bearing status, and the notes on November 8, 2005 stating "weight bearing to 110# this week." (Vanderbilt PT notes, Oct. 19, 2005, Ex. 9; Vanderbilt PT notes, Nov. 8, 2005, Ex. 9.)
When the hearing officer closed the record on November 29, 2005, the additional records received from plaintiff Richter after the hearing and the testimony at the hearing were reviewed by the MART, and it indicated that its initial decision remained unchanged. (Hopkins E-mail, Ex. 10.) In the E-mail, the MART erroneously cited the follow-up physical therapy evaluation dated October 11, 2005 for the proposition that plaintiff already had met all of her short term goals. (Id.) The MART correctly noted, however, that she had not yet met her long term goals. (Id.) The MART further stated that "it can be expected that she will continue to improve." (Id.) *Page 7
On January 3, 2006, the hearing officer issued a decision denying her application for medical assistance benefits.5 The hearing officer found that plaintiff Richter satisfied the requirements of step one of the sequential evaluation process, namely, that she was not engaged at the time of the hearing in substantial gainful activity. (Hr'g Dec'n, Ex. 11 at 3.) Under step two of the evaluation process, the hearing officer looked at two factors: whether the injury was severe, and whether it was expected to last 12 months. After noting that "there is no evidence that might suggest that the appellant won't expect a full recovery within 12 months from the point of onset," the hearing officer determined that "the appellant does certainly have a condition that is now severe, but should not be so at 12 months post onset." (Id. at 4.) She explained that after a review of all of the records presented to her, "the evidence in this matter does not effectively demonstrate the presence of a severe impairment." (Id.) Although the hearing officer couched the decision in terms that could imply a finding that plaintiff should be expected to recover within 12 months, the hearing officer's ultimate conclusion was that plaintiff Richter did not meet her burden of proving that she fulfilled the duration requirement in step two of the five-step sequential evaluation process (namely that her impairment could be expected to last for at least 12 months).
Plaintiff Richter filed a timely appeal from that decision to this Court. She seeks reversal on the grounds that the hearing officer did not give appropriate consideration to Dr. Krasinsky's opinion in the MA-63 form, failed to conduct a de novo review by improperly deferring to the MART's decision, and failed to make adequate findings of fact by not stating her reasons for *Page 8 disregarding the opinion of Dr. Krasinsky. The DHS counters that the decision should be upheld because the finding that plaintiff Richter was not disabled was supported by the evidence of record and made pursuant to the applicable legal standards.
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 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 error 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.
In reviewing an agency decision, this Court is limited to an examination of the certified record in deciding whether the agency's decision is supported by substantial evidence. Center for Behavioral Health v.Barros,
To determine whether a particular individual is disabled, the DHS is required to employ the five-step sequential evaluation method set forth in the federal regulations. See
1. Is the claimant engaged in substantial gainful 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 the second step, the impairment must be severe and must fulfill the duration requirement of
The claimant bears the burden of establishing a prima facie case of disability. Drouin v. Sullivan,
As the treating physician, Dr. Krasinsky qualifies as an acceptable medical source under
In characterizing the opinion of Dr. Krasinsky, plaintiff Richter focuses on the fact that Dr. Krasinsky checked a box on the MA-63 form indicating "yes" in response to the question of whether her impairment was expected to last 12 months and that he wrote on the next page that the condition was expected to last "6-12 mo." DHS counters with the evidence that Dr. Krasinsky wrote the words "possibly last 12 mo." next to the checked box on the MA-63 form, claiming that the physician failed to opine that plaintiff's impairment is expected to last at least 12 months.
To satisfy the duration requirement in
Here, while Dr. Krasinsky checked "yes" in response to the question of whether plaintiff Richter's impairment was expected to last 12 months, he qualified that answer by writing "possibly last 12 mo." in the area next to that question. He further qualified his opinion by writing "6-12 mo." on the opposite side of the MA-63 form, defining the expected duration of the impairment as at most 12 months. As such, Dr. Krasinsky's opinion does not contain the *Page 13 requisite degree of positiveness as to the probability that plaintiff Richter's impairment will last at least 12 months.
Indeed, this Court's review of the evidence of record indicates that it contains no medical opinion evidence suggesting, to a reasonable degree of medical certainty, that it is probable, or more likely than not, that plaintiff Richter's impairment will last for at least 12 months. At most, the evidence merely suggests that possibility. While the hearing officer did not explicitly comment on the failings of Dr. Krasinsky's opinion, or the evidence in general in this regard, she did conclude that "there is no evidence to suggest that the [plaintiff] won't expect a full recovery within 12 months from the point of onset." (Hr'g Dec'n, Ex. 11 at 4). The hearing officer's decision in this regard is thus supported by the substantial evidence of record. Plaintiff Richter simply failed to meet her burden of proving, through competent medical evidence, that her impairment met the duration requirement of federal law.6
The record does not reveal the lack of a de novo hearing. While the hearing officer did make the above statement, her decision reveals that she reviewed the AP-70 form, the MA-63 form, and the medical records from Rhode Island Hospital and Newport Hospital. (Decision, Ex. 11, at 3.) After reviewing these records, as well as the records submitted after the hearing, she appropriately cited the lack of evidence indicating that plaintiff's injury would last at least 12 months and on that basis concluded that plaintiff Richter was not disabled. (Hr'g Dec'n, Ex. at 4.) *Page 15
Case-law data current through December 31, 2025. Source: CourtListener bulk data.