Frank Aubeuf v. Richard Schweiker, Secretary of Health and Human Services

649 F.2d 107, 1981 U.S. App. LEXIS 13602
CourtCourt of Appeals for the Second Circuit
DecidedMay 4, 1981
Docket939, Docket 80-6190
StatusPublished
Cited by258 cases

This text of 649 F.2d 107 (Frank Aubeuf v. Richard Schweiker, Secretary of Health and Human Services) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Frank Aubeuf v. Richard Schweiker, Secretary of Health and Human Services, 649 F.2d 107, 1981 U.S. App. LEXIS 13602 (2d Cir. 1981).

Opinions

SAND, District Judge.

Frank Aubeuf appeals from a judgment of the United States District Court for the Northern District of New York, Howard G. Munson, J., affirming the decision of the Secretary of Health and Human Services that Mr. Aubeuf is not entitled to disability benefits under 42 U.S.C. § 423 or to supplemental security income benefits under 42 U.S.C. § 1382c(a)(3)(A). Mr. Aubeuf argues that there is no substantial evidence to support the findings of the Administrative Law Judge (ALJ) that he is not suffering from disabling pain and that he retains the functional capacity to engage in sustained work activity as a security person. We find, inter alia, that the ALJ applied an erroneous legal standard and reverse with instructions to remand the matter to the Secretary for further proceedings in accordance with this opinion.

I. Background

In August 1977, Mr. Aubeuf filed applications for disability insurance and supplemental security income benefits. His applications were denied, and, after a hearing [110]*110and review by the Appeals Council, the Secretary affirmed that denial. Mr. Aubeuf and a vocational expert testified at the hearing, and reports and office notes of various physicians were submitted.

Mr. Aubeuf, a 33 year old functionally illiterate man, injured his back in August, 1975 while lifting a railroad tie in the course of his employment as a landscape foreman. He was hospitalized and underwent exercise therapy in the care of Dr. Brod. In the spring of 1976 he returned to landscaping work. Mr. Aubeuf soon left this job because of a personal conflict and fear of reinjuring his back. He then worked in a plating factory where he reinjured his back lifting a heavy rod. He was again hospitalized and unable to work. Dr. Brod again prescribed a program of exercise and walking.

In September, 1976, Mr. Aubeuf entered a vocational rehabilitation program and worked as a cook in á restaurant. However, Mr. Aubeuf left this job in December, 1976 because the temperature differential between the cooler and the kitchen, and the need to stand at a table and bend over (e. g., to peel potatoes) aggravated his back injury and caused him severe pain.

Mr. Aubeuf then moved to Texas in the hope that the warmer climate would be beneficial to him. He worked in a factory for a short time, but testified that he left that job because of continued back pain. Mr. Aubeuf then returned to New York.

At the hearing, Mr. Aubeuf testified that since his injury he has been in constant pain, that he has experienced intermittent momentary paralysis below the waist, and that the treatments he has received have not alleviated his pain.

Mr. Aubeuf’s primary treating physician since his injury has been Dr. Brod.1 Dr. Brod’s office notes from December 19,1975 through April 27, 1978 were submitted to the ALJ. Dr. Brod’s early notes indicate consistent back pain, several hospitalizations, and a course of treatment consisting of physical therapy, medication and exercise. In his February 13, 1976 through August 27, 1976 notes, Dr. Brod refers to Mr. Aubeuf’s walking program, pursuant to which he was walking up to 15 miles per day.2 However, Dr. Brod’s notes in October, 1976 and thereafter indicate that Mr. Aubeuf’s condition generally deteriorated, with a few periods of improvement.3 No mention is made of walking therapy after August 27, 1976. Dr. Brod ultimately concluded, on July 21, 1977, that the two years of conservative therapy had been ineffective, and that the possibility of a myelogram, a bone scan, and a laminectomy should be explored.

On November 1, 1977, Mr. Aubeuf was admitted to the hospital for a myelogram but had a bad reaction to a shot of Demoral, which led to his discharge. The myelogram was performed on November 7, 1977, and on November 29, 1977, Dr. Brod noted that it indicated a defect at the L5-S1 facet. Dr. Brod consulted with Dr. Yuan, and reported on January 12, 1978 that they were in agreement that surgery was not indicated “because of the remote possibility of relieving pain significantly with this surgery,” and that alternate treatments should be explored.

Dr. Smyth examined Mr. Aubeuf on November 30, 1977 and reached a contrary conclusion with respect to surgery. He also found that Mr. Aubeuf’s pain had worsened [111]*111since the myelogram and that Mr. Aubeuf walked “with a slight forward stoop”; that “there is a slight tilt of the lumbar spine to the right”; that “all movements of the lumbar spine are markedly restricted and on bending forward 15 degrees he experiences referred pain to the right thigh”; and that examination revealed positive straight leg raising with some atrophy and sensory impairment. Dr. Smyth concluded that Mr. Aubeuf was “partially disabled, moderate to marked in degree,” and that after a laminectomy he would within one and a half years still be permanently partially disabled, but only mild in degree.

Mr. Aubeuf was examined by Dr. Kalmarides on February 2, 1978. Dr. Kalmarides found positive straight leg raising at 10 degrees on the right side and 20 degrees on the left side, and “definite blurring of the L4-L5 facet in the right oblique view with . .. evidence of loss of the joint space in this area.” He also found “blurring of the joint space at the facet between L3 and L4 in the left oblique view.” Dr. Kalmarides’ opinion was that Mr. Aubeuf was suffering from “spondylitis of the Marie-Strumpell type.” Dr. Kalmarides also noted Mr. Aubeuf’s severe back pain, recommended against surgery without further conservative therapy, and considered Mr. Aubeuf as “temporary totally disabled.”

At the hearing, the vocational expert, after reviewing the exhibits, was asked whether Mr. Aubeuf could perform any jobs, assuming that his back impairment limits his ability to bend severely, limits his ability to sit for prolonged periods, but does not restrict his ability to use his arms and hands or his ability to walk. The vocational expert answered that Mr. Aubeuf could not return to his former employment, but could work as a cook or as a security person. He described the duties of a security person or guard as primarily involving walking and standing, checking people in and out and punching a time clock. He testified that 200 security person positions exist in the region where Mr. Aubeuf resides. The vocational expert was next asked to assume that Mr. Aubeuf was suffering from lower back pain which would interfere with his ability to concentrate for a continuous period of eight hours. He responded that “there is nothing he could do.” The vocational expert also testified that Mr. Aubeuf could not work if, in addition to his other limitations, he was subject to momentary attacks of paralysis below the waist.

In his decision, the ALJ reviewed portions of the medical reports and the testimony, and found that Mr. Aubeuf is not so disabled as to prevent him from performing any substantial gainful activity. The ALJ found that Mr. Aubeuf cannot return to his former employment; that he cannot sit for prolonged periods of time; that his ability to bend is limited; that he retains a normal range of motion of the arms and hands; and that there is no restriction on his ability to walk. The ALJ concluded, based on the vocational expert’s testimony, that Mr.

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Bluebook (online)
649 F.2d 107, 1981 U.S. App. LEXIS 13602, Counsel Stack Legal Research, https://law.counselstack.com/opinion/frank-aubeuf-v-richard-schweiker-secretary-of-health-and-human-services-ca2-1981.