Woods v. Heckler
Woods v. Heckler
Opinion of the Court
MEMORANDUM OPINION
The plaintiff, Richard J. Woods, has filed this action challenging the final decision of the Secretary of Health and Human Services denying plaintiff's claims for disability insurance benefits and supplemental security income benefits under the Social Security Act, as amended, 42 U.S.C. §§ 416(i) and 423, and 42 U.S.C. § 1381 et seq. Jurisdiction of this court is pursuant to 42 U.S.C. § 405(g) and 42 U.S.C. § 1383(c)(3). As reflected by the memoranda and argument submitted by the parties, the issues before this court are whether the Secretary’s final decision is supported by “substantial evidence,” and if it is not, whether plaintiff has met the burden of proof as prescribed by and pursuant to the Act. Stated briefly, “substantial evidence” has been defined as such relevant evidence, considering the record as a whole, as might be found ade
In an opinion eventually adopted as the final decision of the Secretary, an Administrative Law Judge (AU) found that plaintiff was not under such a disability so as to establish entitlement to benefits under either of the Federal Programs. While the AU found that plaintiff suffers from several impairments, the AU concluded that the conditions are not so severe, either singly or in combination, so as to constitute or contribute to a disability within the meaning of the Act. See 42 U.S.C. § 423 (disability insurance) and 42 U.S.C. § 1382c(a)(3) (supplemental security income).
Woods filed applications for a period of disability and disability insurance benefits under Title II of the Act, and for supplemental security income benefits under Title XVI of the Act on April 10, 1980. He was born on May 24, 1951, and was 27 years of age at the time of his applications for benefits under Titles II and XVI of the Act. He was 29 years of age at the time the AU rendered his decision on February 18, 1981.
The court’s review of the record reflects that the AU committed at least five errors in his adjudication decision in the case sub judice, namely: 1. He made an inappropriate use of the “grids” or Medical Vocational Guidelines set out in the Secretary’s regulations in finding Woods not to be disabled
I.
Inappropriate Use of “Grids”
The ALJ relied on a straightforward application of the Medical Vocational Guidelines set out in 20 C.F.R., Pt. 404, Subpt. P, Appendix 2 to find Woods not disabled. The AU used the sequential evaluation of disability provided in 20 C.F.R. §§ 404.1520 and 416.920 to find that: 1. Woods was not presently working; 2. That he had a severe impairment; 3. That he did not have an impairment listed in Appendix 1 to Pt. 404, Subpt. P; 4. That he was unable to engage in his past relevant employment in the construction field; but 5. That by taking administrative notice under the “grids” in Appendix 2 to Pt. 404, Subpt. P there was alternate employment in the national economy that Woods could perform. The AU’s use of the “grids” in Woods’ case is fatally flawed, because there is not “substantial evidence” in the record to support the AU’s conclusion that, “The claimant is suffering from no non-exertional limitation of (sic) combination of limitations which would significantly affect his residual functional capacity____” Tr. 17-18. This conclusion is totally contrary to, and at odds with, all of the medical evidence of record because, without exception, each doctor who expressed any opinion about Woods opined that he suffered from chronic, and unrelenting pain. The issue of pain will be discussed at greater length in the following Part II. Not only is the AU’s conclusion concerning Woods’ lack of a non-exertional impairment unsupported by any evidence in the record, but the unquestionable existence of pain of the nature and to the extent shown in this case precludes the straightforward use of the “grids” under the Secretary’s regulations. See 20 C.F.R., Pt. 404, Subpt. P, Appendix 2, § 200.00(e).
II.
Pain
The AU failed to give proper weight to the overwhelming, yea undisputed, evidence of Woods’ severe, chronic, persistent and unrelenting pain, which very nearly established his disability and entitlement to benefits, standing alone, and which in combination with his severe musculoskeletal problems (which were the source of his pain) did establish same. Pain of sufficient severity can be disabling in and of itself.
III.
Sit and Squirm Jurisprudence
The AU, in arriving at his decision that Woods was not disabled, seemed to rely in substantial part on his own expertise and his observations of plaintiff at the AU’s hearing to determine that Woods was not disabled. The AU in his decision observed, inter alia, as follows:
While claimant may experience some pain and discomfort, there are no significant signs or circumstances present in this case to indicate that they are of such severity as to preclude him from engaging in any substantial gainful activity. Claimant exhibited no significant observable physical signs which could be related to severe pain or discomfort. His ability to get about on a regular basis and otherwise function physically appears generally unimpeded. At the hearing, the claimant did not appear to be preoccupied with personal discomfort. He answered questions alertly and his thoughts did not wander. His general appearance suggested no obvious abnormalities. The Administrative Law Judge, therefore, does not find the claimant’s allegations of pain and discomfort to be supported by the preponderance of the objective medical and other evidence of record.
(Tr. 17; emphasis added). This type of “sit and squirm” jurisprudence has been discredited in this Circuit and in this Court. Hicks v. Heckler, 756 F.2d 1022 (4th Cir. 1985); Van Huss v. Heckler, supra. The AU seemed to rely in large measure upon his own opinion and observations to discount the overwhelming weight of the evidence, especially concerning the pain issue and its disabling effect. The AU’s observations and opinions are not entitled to any weight when they are, as in the case sub judice, unsupported by but contrary to all the evidence of record. There is no “substantial evidence” in the record to support the AU’s observations and opinions concerning the severity of Woods’ chronic and severe pain.
IV.
Failure to Give Proper Weight to Treating Physician
The AU’s decision is flawed because of his failure to give proper weight
In order to properly evaluate claimant’s orthopedic condition, the Administrative Law Judge requested claimant receive a post-hearing orthopedic evaluation. Accordingly, on December 18, 1980, claimant was seen by Dr. Walter T. Henderson, an orthopedic surgeon. Essentially, Dr. Henderson’s findings corresponded with those of Drs. Cupp and Derian. Dr. Henderson indicated that the compression fracture at the 1st lumbar vertebra was contributing to a weak and painful back. Fractures in the thoracic area did not, in Dr. Henderson’s opinion, seem to be of any great consequence. In completing a physical capacities evaluation form, Dr. Henderson found claimant capable of performing some forms of light work activity and sedentary work without restriction.
(Tr. 16; emphasis added). The court observes that the record reflects that at the time Dr. Henderson made his “one-shot” consultative examination pursuant to the AU’s request
The undersigned places great weight of evidence on the findings and opinions of Dr. Henderson, who examined the claimant on December 18, 1980, and notes that his findings and opinions are not inconsistent with those of Dr. Derian, Cupp and Bray.
V.
Combination of Impairments
The AU found the obvious in holding that Woods was unable to engage in his past relevant work as a construction worker or other relevant past employment. This finding alone established a prima facie case of disability for Woods, and it became incumbent upon the Secretary to come forward with evidence of the existence of alternate employment. Hall v. Harris, 658 F.2d 260 (4th Cir. 1981). As discussed in Part I above, the “grids” could not be used for that purpose in this case because of Woods’ well-established and undisputed non-exertional pain impairment and because the evidence that the AU placed principal reliance on for his finding that plaintiff could perform some forms of light work and sedentary work without restriction. The AU gave a preclusive effect to the physical capacities evaluation (PCE) form filled out by Dr. Henderson. See Tr. 161 for Dr. Henderson’s PCE. A correct interpretation of the Henderson PCE establishes the second reason that the AU’s use of the “grids” was inappropriate in the case sub judice, because his finding as shown thereon indicates that Woods is unable to perform a full-range of either light or sedentary work because he does not have bilateral pedal dexterity and cannot operate foot controls, pedals, etc. with both feet. Under § 201.00(h) of Pt. 404, Subpt P, Appendix 2, the inability to engage in a full-range of sedentary work as in Woods’ case, makes a finding of disabled appropriate.
The medical evidence clearly establishes that Woods is disabled due to his combination of impairments as discussed above; that he is not able to engage in his past relevant employment as a construction worker or other relevant employment; that he is not able to engage in any substantial gainful activity due to his inability to engage in a full-range of sedentary work; and that he is entitled to a period of disability and to disability insurance benefits under Title II of the Act and to supplemental security income under Title XVI of the Act, if he meets the remaining statutory criteria.
The court is constrained to conclude that the Secretary’s final decision is not supported by “substantial evidence.” Defendant’s motion for summary judgment must be denied. Upon the finding that plaintiff has met the burden of proof as prescribed by and pursuant to the Act, judgment will be entered for plaintiff. The final decision of the Secretary will be reversed and the case remanded for the establishment of
. Woods’ being a younger individual was perhaps the principal reason for the disallowance of benefits in his case.
. Woods incurred a fracture of the talus (the ankle bone), a fracture of the 7th and 8th thoracic vertebrae and the 1st lumbar vertebra. See Tr. 131.
. Woods’ earning record also reflects that he had earnings between 1972 and 1979 that varied from $3,007.89 in 1972 to $12,371.32 in 1975, $10,508.13 in 1977, $16,758.29 in 1978, to a low of $1,006.66 in 1979 (the year in which he alleged an onset of disability in December). See Tr. 69.
. This court, in a memorandum opinion and order entered on February 1, 1982, remanded this case to the Secretary for inappropriate use of the "grids," and suggested that the Secretary must come forward with particularized proof of the existence of alternate employment Woods could perform given the evidence in the case. By some quirk the Secretary appealed this interlocutory order, and the appeal was stayed by the Court of Appeals for the Fourth Circuit pending the decision of the Supreme Court in the case of Heckler v. Campbell, 461 U.S. 458, 103 S.Ct. 1952, 76 L.Ed.2d 66 (1983). Campbell was used as the Court's vehicle to adjudicate the essential validity of the "grids.” This court was one of the first district courts in the nation to uphold the validity of the "grids” in the case of Phillips v. Harris, 488 F.Supp. 1161 (W.D.Va. 1980). After the court’s decision in Campbell, the Fourth Circuit Court remanded this interlocutory appeal back to this court for its consideration in the light of Heckler v. Campbell, supra. This court, for cogent reasons set out herein, holds to its February 1, 1982 opinion and order that the Secretary’s use of the "grids" in this case is inappropriate. It is of passing interest to note
. 20 C.F.R., Pt. 404, Subpt. P, App. 2, § 200.00(e) says, in part: "Since the rules are predicated on an individual’s having an impairment which manifests itself by limitations in meeting the strength requirements of jobs, they may not be fully applicable where the nature of an individual's impairment does not result in such limitations, e.g., ... sensory____"
. Van Huss was cited with approval by the Fourth Circuit Court in Hammond.
. This finding is in conformity with the standard for evaluating pain now statutorily provided in the Social Security Disability Benefits Reform Act of 1984, Pub.L.No. 98-460, § 3 (enacted October 9, 1984). Section 3(a)(1), which amends section 223(d)(5) of the Social Security Act, 42 U.S.C. § 423(d)(5) states:
*1454 An individual’s statement as to pain or other symptoms shall not alone be conclusive evidence of disability as defined in this section; there must be medical signs and findings, established by medically acceptable clinical or laboratory diagnostic techniques, which show the existence of a medical impairment that results from anatomical, psyiological, or psychological abnormalities which could reasonably be expected to produce the pain or other symptoms alleged and which, when considered with all evidence required to be furnished under this paragraph (including statements of the individual or his physician as to the intensity and persistence of such pain or other symptoms which may reasonably be accepted as consistent with the medical signs and findings), would lead to a conclusion that the individual is under a disability. Objective medical evidence of pain or other symptoms established by medically acceptable clinical or laboratory techniques (for example, deteriorating nerve or muscle tissue) must be considered in reaching a conclusion as to whether the individual is under a disability.
. The AU apparently requested an orthopedic examination because of Dr. Cupp’s observation that a further orthopedic consultation was needed. See Tr. 147.
. 20 C.F.R., Pt. 404, Subpt. P, App. 2, § 201.-00(h) says, in part: "However, a finding of disabled is not precluded for those individual under age 45 who do not meet all of the criteria of a specific rule and who do not have the ability to perform a full range of sedentary work. The following examples are illustrative: Example 1: An individual under age 45 with a high school education can no longer do past work and is restricted to unskilled sedentary jobs because of a severe medically determinable cardiovascular impairment (which does not meet or equal the listings in Appendix 1). A permanent injury of the right hand (Woods' left foot) limits the individual to sedentary jobs which do not require bilateral manual dexterity. None of the rules in Appendix 2 are applicable to this particular set of facts, because this individual cannot perform the full range of work defined as sedentary. Since the inability to perform jobs requiring bilateral manual dexterity (Woods lacks bilateral pedal dexterity) significantly compromises the only range of work for which the individual is otherwise qualified (i.e., sedentary), a finding of disabled would be appropriate." (Emphasis added).
Reference
- Full Case Name
- Richard J. WOODS v. Margaret M. HECKLER Secretary of Health and Human Services
- Status
- Published