Herbert F. Small v. Joseph A. Califano, JR., Secretary of Health, Education and Welfare, 565 F.2d 797, 1st Cir. (1977)

565 F.
2d 797
Herbert F. SMALL, Plaintiff, Appellant,

v.
Joseph A. CALIFANO, Jr., Secretary of Health, Education and
Welfare, Defendant, Appellee.
No. 77-1268.
United States Court of Appeals,

First Circuit.
Argued Oct. 5, 1977.
Decided Nov. 22, 1977.
Gordon E. Stein, with whom Smith & Stein, Hallowell, Me, was on brief,
for plaintiff, appellant.
George Eng, Asst. Regional Atty., Dept. of Health, Ed., and Welfare,
Boston, Mass., for defendant, appellee.
Before COFFIN, Chief Judge, CAMPBELL, Circuit Judge, and CRARY,
District Judge.*
LEVIN H. CAMPBELL, Circuit Judge.
The only question which we believe to be of substance in this appeal from the
district court's decision upholding the Secretary's denial of social security
disability benefits, 42 U.S.C. 405(g), is whether the agency has made
sufficient findings to enable a court to afford meaningful review. Finding that it
has not, we remand for further proceedings.
Claimant Herbert F. Small initially applied for total disability social security
benefits on October 18, 1973. After exhausting the administrative process, he
received a hearing before an administrative law judge, whose determination of
no disability was affirmed without opinion by the Secretary. 42 U.S.C.
405(b). The record before the agency shows as follows:
Small had worked as a semi-skilled laborer in a variety of areas before settling
down as a shoe factory worker. His most recent job involved standing at a
machine and lifting 25 to 35 pound boxes, activities which became difficult and
uncomfortable as his back problems developed. He aggravated the back injury
while lifting a heavy object at work in January, 1973. After a layoff, he
attempted to resume work at the shoe factory but quit permanently in July
following further aggravation. Four doctors examined Small, and all agreed that
he suffered from some form of arthritis in his lower back. The essential dispute
involves the severity of the disease and the degree of his incapacitation.
4
Dr. Peddie, a GP who had treated Small since January 1973, reported that Small
evidenced loss of lumbar lordosis and marked limitation of movement, and
could stand and walk only with difficulty. Peddie concluded Small was
completely disabled. Dr. Dela Cruz, a neurosurgeon who examined Small in
September and October, 1973, reported that Small exhibited moderate
tenderness but that the physical and neurological findings essentially were
negative. He diagnosed Small as suffering from small amounts of osteoarthritis
and degenerating disc material. In October 1973 Dela Cruz recommended
vocational rehabilitation for Small but two months later reported to a private
insurer that Small was totally disabled. The prognosis was altered due to the
patient's age and limited education.
Two government doctors concurred in the diagnosis of arthritis but disagreed as

to the extent of disability. Dr. Walsh, a specialist in physical medicine and
rehabilitation, examined Small in November 1973. He observed some
limitations of flexion and extension and tenderness in the lumbosacral area, but
did not believe the indicated arthritis would require any greater vocational
limitation than avoidance of stooping and heavy lifting. Dr. Giesen, an
orthopedic surgeon, examined Small a month later. He could not detect any
physical dysfunction and offered three diagnoses:
61) early chronic degenerative arthritis;

72) early disc disintegration;
83) anxiety neurosis manifested as lower back pain.
9
He did not give an opinion as to what physical or work restrictions, if any, were
placed on Small by his problem.
10
A private insurer paid Small total disability benefits as defined under its policy
for a period of twelve weeks. The Veterans Administration initially balked at
granting him disability benefits, apparently because of Dr. Giesen's
observations, but after a hearing that agency decided to credit the conclusions
of Small's doctors and awarded 100% disability payments. These
determinations were, of course, not conclusive of disability under 42 U.S.C.
423. Cutler v. Weinberger, 516 F.2d 1282 (2d Cir. 1975); Moon v. Celebrezze,
340 F.2d 926 (7th Cir. 1965).
11
The only additional evidence introduced at the HEW hearing was the testimony
of Small and his wife concerning the extent of his discomfort and limitations.
Small portrayed himself essentially as a cripple, unable to do much more than
lie in bed or walk around the house. He could drive in emergencies or perform
other light chores, but even these tasks cost him enormous pain. He testified
that he could neither stand nor sit for any prolonged period.
12
The HEW administrative law judge plainly did not credit the Smalls' testimony.
In his opinion denying disability he concluded:
13
Basically,
the findings of disability and the opinions as to disability by the doctors
involved in the claim are based upon the claimant's complaints. . . . It appears that
all of the doctors who have examined the claimant have tended to give him the
benefit of the doubt, that doubt being that they cannot find upon examination
conditions to support the complaints. Of particular interest to the Administrative
Law Judge is that muscle spasm is not present and, apparently, has not been present.
This, of course, is one of the classic symptoms. The Administrative Law Judge is
unable to accept the finding of disability, and the opinions of the attending
physicians. Stated very simply, in the opinion of the Administrative Law Judge the
clinical and laboratory findings do not support the diagnosis and the opinion of the
attending physicians. It is the opinion of the Administrative Law Judge that the
claimant, who testified to having been a military policeman, is able to perform a
civilian version of that work which is certainly available within the region, that is to
say, guard and security work. The Administrative Law Judge is unconvinced that
this claimant is disabled within the meaning of the Social Security Act. His
complaints of pain, considered together with the findings of the doctors, appear to
the Administrative Law Judge to be exaggerated.
14
Small remained free to file any new claim for disability benefits until his
eligibility expires on March 31, 1978.
15
We note initially that the administrative law judge made no findings as to

whether Small could return to his former employment. This is an unfortunate
omission, although it is the least serious of several. While the judge made it
clear that he felt Small was exaggerating his complaints, the lack of any finding
that he could return to the shoe factory, coupled with the reference to guard and
security work, suggests that the administrative law judge assumed the previous
job to be too taxing. Indeed, it is doubtful if substantial evidence would exist to
support a finding of fitness for former work, since the former work involved
lifting and stooping which even the government's doctor thought Small should
avoid. And there are no findings to suggest that Small could resume his old
employment without engaging in lifting or stooping. See Pelletier v. Secretary
of HEW, 525 F.2d 158, 161 (1st Cir. 1975). Accordingly it would appear that
Small made out a prima facie case of entitlement by proving his inability to
perform his previous work. 42 U.S.C. 423(d)(1), (2); Hernandez v.
Weinberger, 493 F.2d 1120 (1st Cir. 1974). Once such a prima facie case has
been made, the burden shifts to the Government to show that there is other
work that the claimant is able to perform. Id. at 1122.
16
In Hernandez, supra, a young woman suffering from varicose veins could no

longer work as an industrial laundry worker because of her inability to remain
standing for long periods. Benefits were denied on the assumption that she still
could engage in light or sedentary work. No vocational evidence was
introduced, and the agency did not specify the type of work she could perform.
We agreed that
17 evidence of capacity to do specific jobs is put forward and the jobs named are
once
commonly known to "exist in the national economy" it is permissible for the
Secretary to take notice of this fact.
18
Id. at 1123. But we concluded that there was inadequate evidence, even
assuming the appropriateness of taking administrative notice of the existence of
certain jobs, that, "considering claimant's age, education, work experience and
impairment, there are jobs which she could perform." We pointed to the lack of
evidence on the skills of the particular claimant and the availability of work
which matches these skills. Id. at 1123. Consequently the case was remanded to
the agency for such a determination.
19
The problem here is not a lack of evidence of matching skills. The

administrative law judge could properly decide from Small's military police
background that he had the experience and training to do guard and security
work. What is lacking are findings of the most rudimentary sort explaining the
judge's assumption that Small was physically qualified for guard and security
work. Besides stating that he "is unable to accept the opinions of the attending
physicians", and that Small's complaints are "exaggerated", the judge made no
attempt to describe Small's actual level of function as he saw it, nor did he
describe the particular sort of guard and security work he has in mind, nor was
there any evidence in the record descriptive of such work. We are left guessing
whether the judge saw Small as partially impaired but nonetheless well able to
perform certain types of undescribed jobs which the judge felt existed within
the general guard-security area, or else as virtually problem free and hence able
to perform physically taxing work of almost any sort. Without some indication
of what the judge had in mind, we cannot fairly review Small's claim in terms
of whether this is substantial evidence to support the Secretary's findings. If
partial impairment was found to exist, vocational evidence might well be
required to demonstrate the type of employment available to Small. If there was
no disability at all, the judge could take administrative notice of such common
jobs as security guards.1
20
The Secretary has an obligation both to claimants and to reviewing courts to

make full and detailed findings in support of his ultimate conclusion. 42 U.S.C.
405(b); Baerga v. Richardson, 500 F.2d 309, 312 (3d Cir. 1974), cert. denied,
420 U.S. 931, 95 S.Ct. 1133, 43 L.Ed.2d 403 (1975); Choratch v. Finch, 438
F.2d 342, 343 (3d Cir. 1971); Williams v. Celebrezze, 359 F.2d 950, 952 (4th
Cir. 1966); Weicht v. Weinberger, 403 F.Supp. 244, 246 (D.Md.1975); Chester
v. Mathews, 403 F.Supp. 110, 113 (D.Md.1975); Szumowski v. Weinberger,
401 F.Supp. 1015 (E.D.Pa.1975); Davis v. Weinberger, 390 F.Supp. 813, 816
(M.D.Pa.1975). Because the Secretary has not discharged his obligation here,
the case must be remanded to him for further findings and, but only if
necessary, the taking of additional evidence relating both to the extent of
Small's actual disability and to the requirements of any proposed alternative
employment.
21
Remanded for proceedings in accordance with this opinion.
Of the Central District of California, sitting by designation
A comparison between this case and McLamore v. Weinberger, 538 F.2d 572
(4th Cir. 1976), where administrative notice was permitted, is instructive. There
a claimant had made a prima facie case of entitlement by showing a back injury
had rendered him unable to work as a general laborer, his previous occupation.
But the agency took into account the claimant's age (26), high school education,
and relatively slight injury in determining alternative work as available
Finally, the judge administratively noticed specific light and sedentary jobs in
South Carolina's Job Guide which fit the claimant's physical and mental
capacities. The Job Guide, published by the South Carolina Employment
Security Commission in 1973, is used by both federal and state agencies to
assist in vocational placement. The pamphlet contained numerous job
opportunities available in the South Carolina economy. The administrative

judge selected cloth examiner, spotter trainee (in the laundry industry),
telephone solicitor, transit clerk in banking, machine presser and cashier as
among specific jobs which a person of McLamore's qualifications could
perform.
Id. at 574-575. The court sustained the Secretary's determination. Here, by
contrast, findings have not been made as to what physical constraints Small is
believed to have, if any. Without such findings and without our knowing what
type of guard and security jobs the judge was thinking of for Small it is
impossible for us to tell whether his determination is supported by substantial
evidence combined with a properly limited use of administrative notice. An
unknown physical condition cannot be matched to an undescribed job.

Herbert F. Small v. Joseph A. Califano, JR., Secretary of Health, Education and Welfare, 565 F.2d 797, 1st Cir. (1977)

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Herbert F. Small v. Joseph A. Califano, JR., Secretary of Health, Education and Welfare, 565 F.2d 797, 1st Cir. (1977)

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565 F.

Herbert F. SMALL, Plaintiff, Appellant,

United States Court of Appeals,

Small had worked as a semi-skilled laborer in a variety of areas before settling

Two government doctors concurred in the diagnosis of arthritis but disagreed as

61) early chronic degenerative arthritis;

We note initially that the administrative law judge made no findings as to

In Hernandez, supra, a young woman suffering from varicose veins could no

The problem here is not a lack of evidence of matching skills. The

The Secretary has an obligation both to claimants and to reviewing courts to

Remanded for proceedings in accordance with this opinion.

Of the Central District of California, sitting by designation

opportunities available in the South Carolina economy. The administrative

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