Coffin v. Sullivan, 89-1100

Decision Date09 February 1990
Docket NumberNo. 89-1100,89-1100
Citation895 F.2d 1206
Parties, Unempl.Ins.Rep. CCH 15245A Duane E. COFFIN, Appellant, v. Louis W. SULLIVAN, * Secretary of Health and Human Services, Appellee.
CourtU.S. Court of Appeals — Eighth Circuit

H. Edwin Detlie, Ottumwa, Iowa, for appellant.

Richard L. Richards, Des Moines, Iowa, for appellee.

Before FAGG and BEAM, Circuit Judges, and HEANEY, Senior Circuit Judge.

BEAM, Circuit Judge.

Duane E. Coffin appealed to the United States District Court for the Southern District of Iowa because an Administrative Law Judge (ALJ) denied Coffin's claims for Social Security Disability Insurance benefits under Title II of the Social Security Act, 42 U.S.C. Secs. 401-433 (1982 & Supp. V 1987), and Supplemental Security Income (SSI) benefits under Title XVI of the Act, 42 U.S.C. Secs. 1381-1383c (1982 & Supp. V 1987). On December 12, 1988, the district court 1 filed a Judicial Review Decision pursuant to 42 U.S.C. Sec. 405(g) (1982), and entered judgment in favor of the Secretary of Health and Human Services and against Coffin. We affirm.

I. BACKGROUND

Coffin was born on September 12, 1932, and worked from October of 1966 to November of 1982 as a semi-skilled machine operator and a wire cutter. Coffin was laid off in June of 1982, and drew unemployment compensation benefits at that time. Coffin was called back to his job one month later, but he was terminated in November of 1982 because of numerous absences. Coffin alleges that on December 21, 1984, he became "disabled" because of mental problems and difficulty with his arms, legs, and back. His conditions have been diagnosed as schizoaffective 2 disorder, severe degenerative osteoarthritis 3 of the neck with moderately severe radicular 4 symptoms of the left arm and hand, chronic lumbosacral 5 strain, recurrent carpal tunnel syndrome, 6 and intrinsic asthma.

In January of 1980, Coffin was hospitalized for one week at the Mental Health Institute in Mount Pleasant, Iowa, at which time he was diagnosed as having a manic-depressive illness in the early stages. Coffin's family doctor is Donal D. Hill, D.O., of Fairfield, Iowa. Dr. Hill treated Coffin primarily for asthma-related problems that Coffin suffered from during his lifetime. In June of 1983 Coffin visited with a Vocational Rehabilitation counselor and applied for services. Jack W. Brindley, M.D., examined Coffin and reported that Coffin could do any work that did not require lifting more than fifty pounds, or constant stooping or bending. Todd T. Langager, M.D., examined Coffin for breathing problems in July of 1983 and reported that Coffin would be restricted only in very physically demanding jobs.

Coffin was readmitted to the Mental Health Institute in Mount Pleasant, Iowa, in January of 1985. He was discharged with a diagnosis of a manic disorder in remission. Due to complaints of numbness in his hands, Coffin was referred to the University of Iowa Hospitals and Clinics. In May of 1985 Coffin underwent bilateral carpal tunnel release, and six weeks later was allowed to return to unrestricted activities.

Coffin applied for disability insurance benefits and SSI on March 15, 1985, and the Social Security Administration requested that Coffin be examined by W.C. Baumann, M.D. After examining Coffin in June of 1985, Dr. Baumann reported that Coffin's asthma would not interfere with reasonable factory work and that Coffin's manic-depressive state was in remission. Dr. Baumann also found that Coffin had no significant low back disorder and that the carpal tunnel syndrome was slowly resolving.

Richard E. Phelps, Ph.D., conducted a psychological evaluation of Coffin in June of 1985 and concluded that Coffin could perform simple, repetitive tasks. Also, Coffin could work if his job involved only minimal levels of stress and pressure. One month later, Coffin experienced pain and numbness in his left shoulder and fingers of his left hand. Coffin responded fairly well to treatment, but Dr. Hill reported that Coffin would have difficulty with manual work and prolonged sitting. Dr. Hill did not find Coffin 100 percent disabled, although he did believe Coffin would have problems with stressful jobs. Dr. Hill saw Coffin in March of 1986, and stated that the pain and numbness in Coffin's left hand was probably due to moderate median nerve damage from prolonged compression involving the past carpal tunnel syndrome. Dr. Hill said that the big question was who would hire Coffin with his educational background, psychological history, and physical limitations.

Eliza L. Pineda, M.D., submitted a report on Coffin's condition in October of 1985. Dr. Pineda had first examined Coffin in April of 1985 and she indicated that Coffin was in remission because she had not observed any overt or blatant affective or psychotic symptoms since that time. Dr. Pineda opined that Coffin could not handle a full-time job, but that a part-time, non-intellectual job would be within his capacity.

Pursuant to a subsequent report issued by Dr. Pineda, in August of 1986 an Iowa District Court ordered Coffin to continue outpatient treatment at the Community Health Center of Henry, Louisa, and Jefferson Counties in Iowa. Sharon Moore, a mental health advocate, issued a report dated October 1, 1986, which concluded that Coffin was walking a thin line and that the extra pressure of a job could cause Coffin to relapse into his previous mental condition.

Because Coffin's applications for disability insurance benefits and SSI were denied through the reconsideration level, Coffin filed a request for a hearing before an ALJ on June 13, 1986. On August 20, 1986, the ALJ held a hearing in Oskaloosa, Iowa. Coffin appeared with his attorney, his wife, and his mother-in-law. After the hearing, the ALJ sent written interrogatories to Marion S. Jacobs, a vocational expert, who was not present at the hearing. In the interrogatories, the ALJ described a hypothetical claimant with characteristics such as "the inability to concentrate at a level of greater than 5 on a scale of 1 to 10 (with work at a level of 10 involving the greatest amount of concentration)," and asked Jacobs what type of jobs this claimant could perform. Jacobs responded that the hypothetical person could work as a home telephone solicitor or a hotel night clerk, and that there were numerous Iowa and national positions available in these fields.

The ALJ sent copies of the proposed interrogatories to Coffin's attorney and informed the attorney that Coffin had the right to object to these interrogatories or propose his own questions. The ALJ also sent copies of Jacob's answers to Coffin's attorney and gave Coffin the opportunity to offer comments or submit additional evidence. Coffin's attorney did not respond to either of these proposals.

On February 3, 1987, the ALJ made the following relevant findings:

3. The medical evidence establishes that the claimant has a schizoaffective disorder in remission, intrinsic asthma, and is status post bilateral carpal tunnel release, but that he does not have an impairment or combination of impairments listed in, or medically equal to one listed in Appendix 1, Subpart P, Regulations No. 4.

4. The allegations of the claimant cannot be considered credible when evaluated together with the reports from the treating and consulting physicians, the types and dosages of medication, the reason for which the claimant terminated work activities, and the reports from his physical therapists.

5. The claimant has the residual functional capacity to perform the requirements of work except that which involves lifting more than 20 pounds on occasion or ten pounds routinely, engaging in repetitive hand operations or fine manipulation, work which does not allow him to alternate positions at will, stooping or bending more than occasionally, or concentrating at a level of greater than 5 (on a scale of 1 to 10, with 10 representing the greatest concentration) (20 CFR 404.1545 and 416.945) ....

11. Although the claimant's limitations do not allow him to perform the full range of work at any level of endeavor, considering his age, education, past work experience, and residual functional capacity, the vocational expert identified unskilled jobs which exist "in significant numbers" in the national economy that he could perform. Examples of such jobs are: an at-home telephone solicitor or a night clerk at a motel/hotel. The vocational expert cited the indicence [sic] of these jobs, each of which exists in significant numbers in the national economy.

13. [sic] The claimant was not under a "disability," as defined in the Social Security Act, at any time through the date of this decision (20 CFR 404.1520(f) and 416.920(f)).

App. at 31-32.

On May 17, 1987, the Appeals Council of the Social Security Administration denied Coffin's request for review. Thus, the ALJ's decision was the final order of the Secretary. Pursuant to 42 U.S.C. Sec. 405(g), Coffin sought judicial review of the Secretary's decision in the United States District Court for the Southern District of Iowa. On December 12, 1988, the district court entered judgment in favor of the Secretary.

On appeal, Coffin argues that: (1) the district court erred in applying a scope of review which was too narrow; (2) giving Coffin the opportunity to rebut the post-hearing reports did not fulfill Coffin's right to a decision based on evidence adduced at the hearing; (3) the district court erred in concluding that Coffin waived his right to challenge the interrogatories; (4) the district court erred in finding that the Eighth Circuit approved the use of post-hearing interrogatories; (5) the ALJ ignored the opinions of Coffin's treating physicians; (6) the ALJ's hypothetical question posed to the vocational expert was not based on substantial evidence in the record; and (7) the decision of the Secretary should be reversed rather than...

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