Rivera-Figueroa v. Secretary of Health and Human Services, RIVERA-FIGUERO

• Decision Date: 07 October 1988
• Docket Number: No. 88-1461,P,RIVERA-FIGUERO,88-1461
• Citation: 858 F.2d 48
• Parties: , Unempl.Ins.Rep. CCH 14235A Ramonalaintiff, Appellant, v. SECRETARY OF HEALTH AND HUMAN SERVICES, Defendant, Appellee.
• Court: U.S. Court of Appeals — First Circuit

Page 48

858 F.2d 48

23 Soc.Sec.Rep.Ser. 274, Unempl.Ins.Rep. CCH 14235A

Ramona RIVERA-FIGUEROA, Plaintiff, Appellant, v. SECRETARY OF HEALTH AND HUMAN SERVICES, Defendant, Appellee.

No. 88-1461.

United States Court of Appeals First Circuit.

Submitted Sept. 16, 1988.

Decided Oct. 7, 1988.

William Dominguez Torres, Rio Piedras, P.R., and Juan A. Hernandez Rivera, Bayamon, P.R., on brief for plaintiff, appellant.

Tami T. Martin, Office of Gen. Counsel, Social Sec. Div., Dept. of Health and Human Services, Washington, D.C., Daniel F. Lopez Romo, U.S. Atty., Jose Blanco, Asst. U.S. Atty., Hato Rey, P.R., Donald A. Gonya, Chief Counsel for Social Sec., Randolph W. Gaines, Deputy Chief Counsel for Social Sec. Litigation, and A. George Lowe, Chief, Disability Litigation Branch, Baltimore, Md., on brief for defendant, appellee.

Before BOWNES, BREYER and TORRUELLA, Circuit Judges.

PER CURIAM.

Claimant sought disability benefits on the basis of vertigo and a mental impairment. The Secretary concluded claimant could not return to her past medium exertional level work as a cook's helper because of dizziness but could perform "a full range of medium work." Applying grid rules 203.11 (advanced age, limited education, unskilled past work, RFC for medium work) and 203.12 (advanced age, limited educational, past semi-skilled work-skills not transferable, RFC for medium work) which direct a finding of not disabled, the Secretary denied benefits.

Claimant was born on July 3, 1929. She was educated up to first year high school. She worked for many years as a cook's helper, a job which required her to stand or walk eight hours per day and lift up to 50 pounds. The vocational expert at the first hearing classified this job as unskilled, while the VE at the second hearing said it was "semi-skilled, low level, which means that the skills of that type of job do not give [claimant] any advantage over those people who have performed unskilled work all their life." In 1974, claimant was injured at work when some boxes fell on her head. She received a 75% disability rating from the State Insurance Fund (SIF) with diagnoses of depressive neurosis class III (moderate severe) and trauma to left ear. She filed for disability in 1983, claiming to have been totally disabled since November 8, 1979.

On June 30, 1984 when claimant last met the insured status requirement, claimant was 54, a person closely approaching advanced age as defined in 20 C.F.R. Sec. 404.1563(c). Indeed, within a few days she turned 55, which is classified as advanced age. If claimant were functionally restricted to light work (instead of medium as the Secretary found) and if her past cook's helper job were unskilled (as the first VE testified), then the relevant grid rule would be rule 202.09 (closely approaching advanced age, illiterate in English, unskilled past work), which would have directed a finding of disabled. If, instead, claimant had been four days older when insured status expired and she were limited to light work, then grid rule 202.02 (advanced age, limited education, skilled or semi-skilled past work-skills not transferable) would direct a finding of disabled even if the cook's helper job qualified as semi-skilled work. If claimant were functionally restricted to sedentary work, grid rule 201.10 (closely approaching advanced age, limited education, skilled or semi-skilled past work-skills not transferable) also would have directed a finding of disabled. And, of course, if claimant has a significant mental impairment or some other nonexertional impairment, the grid could not be used to direct a finding of not disabled. Burgos Lopez v. Secretary, 747 F.2d 37, 41-42 (1st Cir.1984) (error to apply grid where claimant had a nonexertional mental impairment). We highlight these rules to illustrate the borderline situation presented.

We turn to the evidence. Claimant testified she has pains in her back, hands, head, and legs, her hands swell, and she experiences dizzy spells during which she loses consciousness and falls down. She was seeing Dr. Gonzalez Pimental monthly and taking the medications he prescribed. She did not visit people, but got along with family and neighbors.

State Insurance Fund records indicated as follows. Following her work accident, claimant developed an emotional condition, diagnosed in January 1979 as depressive neurosis with features of anxiety. She began treatment in March 1979 with Dr. Gonzalez Pimental. At that time, claimant complained of irritability, headaches, nervousness. She was logical, coherent, and realistic. Hygiene was fair. Affect was appropriate. Intellectual capacity, judgment, and insight were impaired. Chronic invalidism was noted. In April 1979, Dr. Gonzalez Pimental recommended continued psychotherapy. In February 1980, claimant was referred to Dr. Hoyos to determine the need for additional treatment. Claimant at that time reported arthritis, stomach pain, headaches, swollen legs, chest pain, and inability to go out alone. She said she spent her day sitting, did not watch television because the noise bothered her, did not do household chores, got along well with everyone, and was able to care for her personal needs. Dr. Hoyos found her to be alert, cooperative, logical, coherent, but somewhat anxious and depressed. Claimant spoke a lot. Memory was conserved, thought organized, and concentration and judgment fair. Claimant was not oriented in time. Dr. Hoyos diagnosed anxiety neurosis moderate to severe. He recommended further psychiatric treatment. As a result, five more treatment sessions with Dr. Gonzalez Pimental were authorized. In his June 15, 1981 report at the conclusion of these sessions, Dr. Gonzalez Pimental said claimant at the first session had appeared tranquil and had been logical, realistic, relevant, coherent, oriented, and somewhat verbose. Judgment and insight were adequate. Mood was depressed. As the sessions progressed, claimant showed a tendency toward marked invalidism and insecurity. She complained much of insomnia, headaches, shortness of breath, and anxiety. She claimed to see shadows and hear voices. She started to isolate, seemed to deepen in her depression, and frequently mentioned suicide as a solution. Dr. Gonzalez Pimental noted claimant had "little motivation and interest to rehabilitate herself and overcome her conflicts." He felt claimant had improved very little during the treatment and had "few resources to function adequately at present." He diagnosed depressive neurosis moderate severe and prescribed vistaril and limbitrol. Neither Dr. Gonzalez Pimental nor any other SIF doctor described in lay terms how, employment wise, claimant was restricted or what types of jobs she could handle despite her mental condition.

From June 15, 1981, the date of Dr. Gonzalez Pimental's final report, until November 1983, when three doctors responded to questionnaires sent by the Secretary, there are no contemporaneous medical records. Dr. Vazquez, the first questionnaire respondent, indicated that he had first seen claimant in May 1976 at which time claimant had a urinary tract infection and shoulder pain. Since 1978, he said, claimant had been limited by bursitis, urinary tract infections, and generalized complaints of joint pain. Dizzy spells, spastic reflexes, diminished pulse, edema, and severe tension headaches were noted. He said claimant had an emotional disorder secondary to long term arthritis. She had been treated with tranquilizers, anti-depressants, analgesics, and anti-inflammatory drugs. Claimant's last visit had been on August 8, 1983. How often Dr. Vazquez had treated claimant or how he felt she was restricted functionally were not indicated.

Dr. Cabrera, the second respondent, indicated she had seen claimant on three occasions in 1981 and then again on November 19, 1983. She noted no dizzy spells, but inflammation of wrists and knees, edema, severely limited cervical motion, and thoraco-lumbar scoliosis. Claimant was described as slow of speech, forgetful, disoriented at times, and very anxious and depressed. Dr. Cabrera diagnosed severe cervical and lumbar spasm, migraine, severe anxiety neurosis with severe depression, and arthritis. She wrote that claimant's prognosis was "very poor" and that claimant was totally and permanently disabled.

The third doctor to...