ROBERTA SCHWARTZ v. APPALACHIAN REGIONAL HEALTHCARE; IRENE STEEN, Administrative Law Judge; and WORKERS' COMPENSATION BOARD
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RENDERED: JUNE 14, 2002; 2:00 p.m.
NOT TO BE PUBLISHED
C ommonwealth O f K entucky
C ourt O f A ppeals
NO. 2001-CA-002508-WC
ROBERTA SCHWARTZ
APPELLANT
PETITION FOR REVIEW OF A DECISION
OF THE WORKERS' COMPENSATION BOARD
CLAIM NO. WC-98-58570
v.
APPALACHIAN REGIONAL HEALTHCARE;
IRENE STEEN, Administrative Law Judge;
and WORKERS’ COMPENSATION BOARD
APPELLEES
OPINION
AFFIRMING
** ** ** ** **
BEFORE:
BUCKINGHAM, GUIDUGLI and HUDDLESTON, Judges.
HUDDLESTON, Judge:
Roberta Schwartz appeals from a Workers’
Compensation Board opinion that affirmed an administrative law
judge’s finding that Schwartz’s preexisting congenital condition is
not related to nor was it aroused into a disabling reality by her
work injury.
In its opinion, the Board determined that the ALJ
had complied with its directive on remand to provide an explanation
for her conclusion “as it related to the ‘erroneous’ histories
relied upon by the physician in light of available medical reports”
and concluded that the evidence does not compel a result contrary
to that reached by the ALJ.
Schwartz’s
entire
occupational
employment in the healthcare industry.
history
consists
of
Eventually, she obtained a
masters degree in nursing administration.
Beginning in 1993,
Schwartz was employed by Appalachian Regional Healthcare as a
director of nursing at its hospital in South Williamson, Kentucky.
On November 1, 1998, while working in that capacity, she injured
herself when lifting a box of copier paper.
She has not worked
since that time.
Schwartz testified that the pain she felt upon lifting
the box felt as though “somebody struck [her] in the back of [her]
neck with a knife” and also described it as radiating down her
right side into her right arm, including her shoulder. Immediately
thereafter, a nursing supervisor escorted Schwartz to the emergency
room where she received pain medication and her arm was x-rayed and
placed
in
a
sling.
Following
the
injury,
she
continued
to
experience pain in her neck and right arm as well as numbness in
her right hand.
Two days after the incident, Schwartz met with her
initial treating physician, Dr. Desingu Raja.
At that time, she
complained of pain at the base of her neck and in her right arm and
shoulder.
Initially, Dr. Raja felt that Schwartz had suffered an
acute strain of the cervical spine with radiculopathy of the right
upper extremity and an acute strain of the lumbosacral spine to
mild degree.
He treated Schwartz conservatively with outpatient
physical therapy for approximately three weeks.
symptoms
persisted,
he
ordered
a
cervical
However, when her
magnetic
resonance
imaging (MRI) scan which suggested a cystic lesion in the spinal
-2-
cord and degenerative changes.
Based on these findings, Schwartz
underwent additional MRIs (thoracic and head) on December 21-22,
1998.
Both the cervical MRI scan and the thoracic MRI scan
revealed a large syrinx (cavity) which began in the upper cervical
region and extended into the upper thoracic spine.
the
head
showed
an
Arnold-Chiari
associated hydrocephalus.
Type
II
The MRI scan of
malformation1
with
In response to these results, Dr. Raja
recommended that Schwartz seek further evaluation.
He did not
specifically address the possibility that Schwartz’s malformation
may have been aroused by her work injury.
Dr. Raja referred Schwartz to Dr. Richard Mortara, a
neurosurgeon, who examined her on November 14, 1998, at which point
he diagnosed her as having an Arnold-Chiari malformation and
1
Exhibit A, a report from the National Organization for
Rare Disorders, Inc., defines Arnold-Chiari Syndrome as “a rare
malformation of the brain that is present at birth. Abnormalities
at the base of the brain include the displacement of the lower
portion of the brain (cerebellum) and/or brain stem through the
opening in the back of the skull (foramen magnum). A developmental
defect of the central nervous system may occur in some infants with
Arnold-Chiari Syndrome.
A sac (myelomeningocele or herniated
pouch) may bulge through an abnormal opening in the spinal column
and may contain portions of the spinal cord, spinal membranes,
and/or cerebrospinal fluid. Some infants may also have abnormal
accumulations of cerebrospinal fluid in the skull (hydrocephalus).”
Chiari Type I is used to describe individuals who have an extension
into the spinal canal without a myelomeningocele. Chiari Type II
refers to this brain malformation along with myelomeningocele.
Synonyms
include
ACM,
Arnold-Chiari
Malformation
and
Cerebellomedullary Malformation Syndrome.
Symptoms include vomiting, muscle weakness in the head and
face, difficulty swallowing (dysphagia) and varying degrees of
mental impairment. Paralysis of the arms and legs can also occur.
Adults and adolescents with the syndrome who previously exhibited
no symptoms may begin to do so as they mature including
involuntary, rapid, downward eye movements, dizziness, headaches,
vomiting, double vision, deafness, leg muscle weakness, an impaired
ability to coordinate movement and episodes of acute pain in and
around the eyes. The cause is unknown.
-3-
cerebromalcia.
During her examination with Dr. Mortara, Schwartz
relayed that she had experienced an episode in the past consisting
of numbness under her left breast area and was told that she had
swelling in the spinal cord.2
Dr. Mortara suspected that the
November injury was an event that caused her condition to “be
brought into reality.”
His examination of Schwartz revealed “no
particular limitation of movement at this time.”
However, he felt
that Schwartz’s symptoms were progressive and recommended immediate
surgery.3
Pursuant to a request from the workers’ compensation
carrier,
Schwartz
consulted
Dr.
neurosurgeon, for a second opinion.
Phillip
Hylton,
another
Having reviewed the MRIs of
Schwartz’s brain, cervical spine and thoracic spine, he concurred
with Dr. Mortara as to the diagnosis4 and urgent need for surgery,
noting that once the malformations become symptomatic they can
produce progressive neurological loss.
Dr. Hylton indicated that,
although she initially denied having previously experienced direct
2
ARH submitted records from Dr. Henry Altman, Schwartz’s
family physician, which indicate that she saw him in October 1989
at which time she indicated that she had recently seen a
neurologist concerning numbness on the left side of her thorax and
been diagnosed with syringomyelia.
Syringomyelia is a rare,
slowly progressive neurological disorder characterized by a syrinx
(cavity) in the spinal cord.
It is often associated with
craniovertebral abnormalities such as Arnold-Chiari syndrome. ARH
also submitted hospital records indicating that Schwartz was
admitted there in December 1996 for several conditions, including
the syringomyelia which was considered stable at that time but
could lead “to parasthesias in the upper limbs.”
3
Apparently, some adults with the syndrome may benefit
from a procedure which enlarges the opening in the back of the
skull, relieving intracranial pressure in the area.
4
“Chiari malformation associated with the syrinx and
hydrocephalus due to obstruction at the fourth ventricular flow.”
-4-
symptoms, upon extensive questioning, Schwartz said that she had
experienced numbness around her left thorax in the past and noted
painful, “shock-like” sensations radiating into her arms with
valsalva5 or sneezing.
At the time, she noted some difficulty with
urinary urgency but no incontinence.
With regard to causation, Dr. Hylton determined that the
condition
was
clearly
a
pre-existing
one
but
indicated
that
valsalva such as Schwartz may have experienced with the lifting
accident
reality.”
can
“acutely
Dr.
Hylton
arouse
also
this
condition
acknowledged
that
into
it
is
disabling
possible
Schwartz had undiagnosed and unexplained symptoms prior to the
accident which were not apparent to her and were not disabling.
He
did not assess an impairment rating.
On July 26, 1999, Dr. James W. Templin, a specialist in
occupational medicine, evaluated Schwartz pursuant to a request
from her attorney.
At that time, Schwartz complained of chronic
neck, shoulder and arm pain coupled with generalized upper body
weakness.
Dr. Templin completed a medical history and his report
indicates that her symptoms “were said to be the result of injuries
she sustained in a work-related accident.”
Schwartz informed Dr.
Templin that she had begun to notice a clumsiness when attempting
to use her right hand several days after the accident as well as a
decreased level of sensation in both arms, the right more so than
the left.
She also reported that she had developed dysesthesia
5
As defined by the Board, a Valsalva maneuver is an
attempt to force air from the lungs while closing off the throat.
-5-
involving her left chest wall and breast area and an overall
balance disorder and had noticed a decrease in mental acuity.
Dr. Templin reviewed the various MRIs taken in December
1998, confirming the large syrinx which originated in the upper
cervical
region
and
extended
into
the
upper
thoracic
spine,
degenerative changes of the cervical spine, and the Arnold-Chiari
Type II malformation and associated hydrocephalus.
The results of
Schwartz’s neurological examination were essentially normal with
the exception of some noticeable motor ataxia, particularly with
respect to her right hand.
It was Dr. Templin’s opinion that the
November 1998 injury was the source of Schwartz’s problems as it
had aroused a preexisting, dormant condition into a symptomatic
state.
Although there was a notation on the MRI reflecting
degenerative changes of the cervical vertebrae with some osteophyte
formation and bulging at the C2-3 and C6-7 level, Dr. Templin did
not assign a percentage of impairment to the natural aging process.
Instead, he assigned an overall impairment of 21% in accordance
with the American Medical Association (AMA) Guides to Evaluation of
Permanent
Impairment,
apportioned
condition and the work injury.
restrictions
on
Schwartz’s
equally
between
the
dormant
Dr. Templin imposed numerous
movement,
i.e.,
lifting,
bending,
walking, standing, sitting, . . . , finding that she could not
return to the type of work performed at the time of injury.
Pursuant to Kentucky Revised Statutes (KRS) 342.315, the
ALJ referred Schwartz to a university evaluator, Dr. Phillip A.
Tibbs,
a
neurosurgeon
and
professor
of
neurosurgery
rehabilitation medicine at the University of Kentucky.
-6-
and
Consistent
with the provisions of that statute, Dr. Tibbs was provided with
all medical records pertinent to Schwartz’s claim.6
Schwartz saw
Dr. Tibbs for a neurological consultation on December 8, 1999, at
which time she complained of headaches, weakness in holding up her
head, decreased balance, pain on sneezing and moving around,
moderate
difficulty
with
urinary
retention
and
urinary
tract
infections, weakness and numbness in her right arm, sleep apnea,
depression and a memory disorder.
probable
that
malformation
Schwartz
that
is
suffers
congenital
Dr. Tibbs found it medically
from
in
an
Arnold-Chiari
nature.
In
Type
addition,
I
he
diagnosed her as having hydromyelia, hydrocephalus and cervical
disc disease with a right C6 radiculopathy.
With
reasonable
respect
medical
to
causation,
probability”
that
Dr.
Tibbs
found
Schwartz’s
“within
injury
was
responsible for the cervical radiculopathy but did not believe that
the hydrocephalus or Arnold-Chiari malformation could properly be
attributed to the work injury.
He attributed 50% of her condition
to the effects of the natural aging process, i.e., the cervical
disc disease.
Based on the cervical disc disease and related
radiculopathy, Dr. Tibbs assessed a 10% impairment rating to the
body as a whole, attributable to the injury in question.
Dr. Tibbs
clarified that this percentage excludes any impairment that is
attributable
to
injury-related
depression,
deferring
to
the
evaluating psychiatrist in that regard.
6
The referral order shows that Dr. Tibbs was provided with
the records of Dr. Mortara, Dr. Templin, Dr. Raja, Dr. Weitzel, Dr.
Altman and hospital records from Williamson ARH.
-7-
According to Dr. Tibbs:
“One presumes that this was a
dormant condition that became symptomatic as a consequence of this
otherwise trivial injury.”
He also speculated that Schwartz
appeared to be exaggerating the severity of the pain she was
experiencing as it was “exacerbated by an associated affective
disturbance
of
depression.”
Consistent
with
the
previous
recommendations, Dr. Tibbs recommended surgery, drainage of the
cyst and possible ventricular shunting.7
In addition to the medical evidence summarized above, the
ALJ considered the report and deposition of Dr. William Weitzel, a
psychiatrist.
In August 1999, Dr. Weitzel conducted a psychiatric
evaluation (included psychiatric testing, a clinical examination
and an interview) of Schwartz, ultimately assessing an overall
psychiatric impairment of 15%.
In his opinion, Schwartz’s IQ
placed her in the normal range but she engaged in some symptom
exaggeration as reflected by her clinical scales which showed
distress arising from perceptions of bodily dysfunction, obsessive
compulsion, the need for control, hypochondriasis, hysteria and
depression.
impairment
Dr.
stemmed
Weitzel
from
also
felt
pre-existing,
conditions aroused by the injury.
that
Schwartz’s
dormant,
entire
nondisabling
He expressed concern that
Schwartz’s cognitive functioning would become more impaired since
her level of dementia will increase as the disease progresses.
7
In his letter to the ALJ, Dr. Tibbs noted that “The
patient appears to be immobilized by anxiety regarding the
potential complications of such a procedure, and it is her right to
decline.” This description is consistent with Schwartz’s initial
hesitation at the prospect of undergoing the procedure as
documented by Dr. Hylton.
-8-
At the time of the evaluation, Dr. Weitzel felt that
Schwartz
was
standpoint
not
alone.
occupationally
However,
at
disabled
his
from
a
deposition,
psychiatric
Dr.
Weitzel
attempted to clarify his position regarding the 15% impairment
rating by explaining that he had addressed the emotional issues
relating
to
Schwartz’s
condition
while
Dr.
Robert
Phillip
Granacher, the neuropsychiatrist who examined Schwartz, had focused
on the neurological components.
According to his testimony, the
ALJ should have combined both of their impairment ratings in order
to arrive at an appropriate functional impairment rating for
Schwartz.
At times, however, he also indicated that Dr. Granacher
had addressed both aspects in assessing a 25% impairment.
Dr. Granacher performed a neuropsychiatric examination on
Schwartz in September 1999.
According to his testimony, the
numbness that Schwartz experienced in the area of her left thorax
was at the level of her spinal cord where the syrinx is located.
While he indicated that syringomyelia can remain static or cease to
progress even if it does become symptomatic, he felt that in
Schwartz’s case the progression is obvious.
He opined that her
condition had existed long before 1989 when it was officially
diagnosed.
Upon reviewing her MRIs, Dr. Granacher concluded that
her condition is in no way associated with the lifting incident as
evidenced by the fact that the deterioration of her corpus callosa
indicates that the pressure has been there for a long period of
time causing destruction of the nerve fibers in her brain.
A complete neurological examination revealed neurological
deficits which were primarily affecting her right side but both
-9-
sides to some degree.
Upon completing a battery of psychological
testing to ascertain Schwartz’s level of cognitive function, Dr.
Granacher concluded that she suffers from a neurocognitive disorder
caused by the Arnold-Chiari malformation.
While he questioned the
genuineness of her efforts during the examination, he was not
prepared to say outright that she was exaggerating her symptoms
given the diagnosis. Ultimately, he assessed an overall functional
impairment rating of 25% with 75% apportioned to the active, preinjury, neurological deformity and the remaining 25% to the work
incident.
He qualified that assessment by saying that the 25%
would only be relevant if the neurosurgeons had found evidence of
an
actual
work-related
injury
as
Schwartz
would
not
have
a
psychiatric impairment relative to the incident if they did not,
explicitly relying on the opinions of Dr. Mortara and Dr. Hylton.
When reviewing Schwartz’s medical history, Dr. Granacher observed
that she had failed to mention her previous loss of sensation and
numbness to the neurosurgeons.
At the hearing before the ALJ, Schwartz testified that
she
has
refused
to
undergo
surgical
intervention.
As
a
consequence, her workers’ compensation benefits were terminated on
March 28, 1999.
In her testimony, Schwartz indicated that she has
experienced an increased number of headaches since the injury and
continues to suffer from pain in her neck and right shoulder which
radiates to her fingertips.
She also suffers from memory loss,
dizziness, loss of balance, numbness in her right arm, difficulties
with her left arm and has even begun to experience problems with
her feet.
According to Schwartz, these symptoms are becoming
-10-
progressively worse and she is also suffering from depression now
due to her inability to perform her prior job or even do household
chores.
Schwartz admitted that the numbness in her left thoracic
region which persists today first occurred several years prior to
her injury but indicated that she had continued to work as it had
not bothered her in terms of performing her job.
She denied having
experienced
injury,
similar
symptoms
prior
to
her
further
testifying that she was unable to recall being diagnosed with
syringomyelia and believes that the swelling in her breast area
caused the numbness.
In a thorough and detailed opinion, the ALJ found that
Schwartz’s
malformation
and
associated
conditions,
i.e.,
syringomyelia and hydrocephalus, were in no way caused by or
aroused into disabling reality as a consequence of the minor work
injury.
In so finding, the ALJ said, in relevant part, that:
It is very clear from the record that Plaintiff was not
honest with the neurosurgeons who saw her for the injury
sub judice, relative to her prior history of an actual
diagnosis of this situation many years prior to the
evaluation,
by,
especially,
Dr.
Tibbs
who,
in
this
instance, is afforded presumptive weight. As stated, Dr.
Tibbs had “presumed” that this was a dormant condition,
however, other evidence through especially Dr. Granacher,
clearly reveals that Plaintiff had had complaints as a
sequela of this disease already when she was in her
forties.
Unfortunately for this Plaintiff her condition
appears to be one of the progressive types rather than
-11-
the static type. I find the problems associated with her
underlying disease to be merely coincidental with the
sprain/strain which she suffered at the time she lifted
the box of paper. She does have evidence of degenerative
disc disease in her neck and the UK evaluator found that
50% of her problems were due to natural aging processes.
In using the DRE model under which Dr. Tibbs assessed the
10% impairment, I do not feel that to exclude 50% as
attributable
to
the
natural
aging
process
would
be
correct, as I believe this has already been taken into
consideration when using the DRE model.
The ALJ also concluded that any emotional or psychiatric problems
Schwartz suffers from are related to the serious nature of the
underlying disease rather than the lifting incident.
Ultimately,
she determined that Schwartz has a 10% occupational disability.
On appeal to the Board, Schwartz argued that there is
uncontradicted
evidence
confirming
that
the
Arnold-Chiari
malformation was aroused by the November 1998 injury, namely the
opinions of Dr. Mortara, Dr. Hylton and Dr. Tibbs.
She emphasized
the fact that Dr. Granacher, the only other doctor to testify
regarding
this
issue,
regarding causation.
explicitly
deferred
to
their
judgment
Schwartz also took issue with the ALJ’s
characterization of the histories she provided to Dr. Templin and
Dr. Tibbs, highlighting the fact that both doctors were given
copies of the reports compiled by Dr. Mortara and Dr. Hylton, both
of which noted her previous numbness in the left thoracic region.
In significant part, the Board concluded as follows:
-12-
We cannot accept Schwartz’s contention that the
evidence compels a finding in her favor regarding the
arousal of the Arnold-Chiari malformation.
The opinions
regarding causation given by Dr. Hylton and Dr. Mortara
are equivocal at best.
Dr. Hylton stated that it was
possible for a Valsalva maneuver to arouse this condition
into
disabling
reality,
but
did
not
state
within
reasonable medical probability that this is what he
believed happened.
Dr. Mortara stated he suspected that
the injury aroused the malformation.
Dr. Tibbs stated
that “one presumes that the malformation was a dormant
condition that became symptomatic as a result of the
injury.”
It is unclear, however, whether this is a
statement
made
probability.”[8]
within
While
“reasonable
Dr.
Granacher
medical
felt
that
Schwartz’s current impairment was due, at least in part,
to her work-related injury, he explicitly based this
opinion on the opinions of Drs. Mortara and Hylton.
Since the causation opinions of Drs. Mortara and Hylton
are equivocal with respect to this workers’ compensation
claim, Dr. Granacher’s causation opinion must also be
regarded
as
equally
equivocal.
The
only
definite
statement of causation was made by Dr. Templin who felt
that the Arnold-Chiari malformation had been aroused by
the injury.
However, it is unclear from Dr. Templin’s
8
See Markwell and Hartz, Inc. v. Pigman, Ky., 473 S.W.2d
842 (1971).
-13-
report whether he was aware that Schwartz had manifested
some symptoms prior to the injury.
Although the ALJ premised her opinion regarding arousal
of the malformation largely on the fact that Schwartz failed to
inform Dr. Templin and Dr. Tibbs about her previous numbness, it
was unclear to the Board whether they relied on a faulty history as
they had access to other medical records which did contain an
accurate medical history. Accordingly, the Board remanded the case
for
further
consideration
with
instructions
for
the
ALJ
to
determine exactly what information Dr. Templin and Dr. Tibbs relied
upon in forming their opinions before disregarding them.9
On
remand,
the
ALJ
emphasized
Schwartz’s
extensive
medical background and the fact that she had declined to undergo
the proposed decompression surgery, reasoning that Schwartz might
have declined since she did not view the situation as urgent
because she had possessed knowledge of her condition since she was
in her forties.
In the ALJ’s estimation, Dr. Mortara, Dr. Hylton
and Dr. Tibbs were of the opinion that Schwartz’s condition was in
the acute stages because she insisted that she had experienced a
completely new set of symptoms since the injury.
Accordingly, the
ALJ concluded that the doctors would have reported differently if
9
An example of why further analysis was deemed necessary
was correctly pointed out by the Board which observed that the ALJ
said that Dr. Mortara did not address causation in any way. To the
contrary, in his letter to Dr. Raja, Dr. Mortara did in fact say
that he suspected that the November 1998 injury caused the
malformation to be brought into reality.
-14-
they had been provided with an accurate history.10
Based upon the
totality
of
of
testimony,
the
the
evidence
ALJ
and
her
remained
perception
convinced
that
Schwartz’s
Schwartz
had
deliberately misstated the facts concerning her condition.
On review after remand, the Board found that the ALJ had
complied with its directive in that, “[a]s she proceeded through an
analysis of the evidence from Drs. Hylton, Tibbs and Mortara, she
referred to statements contained in those reports which support
what we believe to be a reasonable inference on the part of the
ALJ,
which
is
for
the
fact
finder
and
not
this
Board.”
Acknowledging that there was evidence which would have supported a
finding
that
there
is
a
causal
connection
between
the
symptomatology from the Arnold-Chiari syndrome and the work injury,
the Board also noted that there was equivocation on the part of the
physicians as to that possibility.
compel a contrary result.
As such, the evidence did not
In an opinion rendered on October 31,
2001, the Board affirmed the decision of the ALJ, and that opinion
is the subject of the present appeal.
In a workers’ compensation claim, the claimant bears the
burden of proving each of the essential elements of her claim.11
Where the party that bears the burden of proof before the ALJ is
unsuccessful, the question on appeal is whether the evidence
10
“The lack of adequate review of medical records by the
physicians is regrettable, although sometimes understandable based
upon their time frames, however, physicians base their conclusions
upon the medical history as they get it from the patient, and when
that information is false everything thereafter becomes skewed.”
11
Snawder v. Stice, Ky. App., 576 S.W.2d 276, 280 (1979).
-15-
compels a different result.12
Compelling evidence is defined as
evidence that is so overwhelming no reasonable person could reach
the same conclusion as the ALJ.13
It is not enough for Schwartz to
show there is merely some evidence that would support a contrary
conclusion.14
As long as the ALJ’s opinion is supported by any
evidence of substance, it cannot be said that the evidence compels
a different result.15
The ALJ, as fact finder, has the sole authority to
determine the weight, credibility, substance and inferences to be
drawn from the evidence.16
The ALJ may choose to believe parts of
the evidence and disbelieve other parts, even when it comes from
the same witness or the same party’s total proof.17
Furthermore,
the Board may not substitute its judgment for that of the ALJ in
matters
involving
the
questions of fact.18
weight
to
be
afforded
the
evidence
on
The function of the Court of Appeals when
reviewing the Board’s decision is to correct it only where the
Court
perceives
the
Board
has
“overlooked
or
misconstrued
12
Wolf Creek Collieries v. Crum, Ky. App., 673 S.W.2d 735,
736 (1984).
13
REO Mechanical v. Barnes, Ky. App., 691 S.W.2d 224, 226
(1985).
14
McCloud v. Beth-Elkhorn Corp., Ky., 514 S.W.2d 46, 47
(1974).
15
Special Fund v. Francis, Ky., 708 S.W.2d 641, 643 (1986).
16
419
Paramount Foods, Inc. v. Burkhardt, Ky., 695 S.W.2d 418,
(1985).
17
Caudill v. Maloney’s Discount Stores, Ky., 560 S.W.2d 15,
16 (1977).
18
Ky. Rev. State. (KRS) 342.285(2).
-16-
controlling
statutes
or
precedent,
or
committed
an
error
in
assessing the evidence so flagrant as to cause gross injustice.”19
In the present case, there is evidence of substance which
supports the ALJ’s decision. In addressing the issue of causation,
Dr.
Mortara
and
Dr.
Hylton
used
language
which
can
only
be
categorized as equivocal, i.e., “suspect” that the injury was an
event that caused the malformation to be brought into reality and
“possible” to arouse this condition into disabling reality due to
valsalva, respectively.
injury
was
at
least
While Dr. Granacher felt that Schwartz’s
partially
responsible
for
her
current
impairment, he explicitly based his opinion on those of Dr. Mortara
and Dr. Hylton.
It stands to reason that if their opinions are
viewed as equivocal, Dr. Granacher’s opinion must be as well.
Similarly, Dr. Tibbs “presume[d]” that the malformation was a
dormant condition that became symptomatic due to the injury.
of
these
statements
probability.”
Mortara’s
reflect
a
lack
of
“reasonable
All
medical
While the ALJ initially failed to consider Dr.
statement
regarding
causation,
on
appeal
the
Board
specifically directed her attention to it, but the ALJ clearly did
not find it persuasive in light of the evidence as a whole.
Dr. Tibbs further indicated that Schwartz’s condition was
“identified in the process of work up” of her current complaints,
lending credence to the ALJ’s finding that he was unaware of
Schwartz’s prior symptoms and diagnosis, regardless of the reason.
Further support for the ALJ’s conclusion that the physicians relied
19
Western Baptist Hospital v. Kelly, Ky., 827 S.W.2d 685,
687-688 (1992).
-17-
upon
“erroneous”
statement
that
histories
Schwartz
is
found
might
in
have
Dr.
had
Hylton’s
telling
“undiagnosed
and
unexplained” symptoms which were “unapparent” to her. While we are
not
convinced
that
Schwartz
was
intentionally
deceptive,
her
initial failure to fully disclose her background to Dr. Hylton, her
failure to report her previous numbness to Dr. Templin and her
insistence that she had never experienced any of the symptoms she
described to Dr. Tibbs prior to the incident in question could be
interpreted as deceptive, particularly given Schwartz’s education
and employment history.
Whatever her motivation, the inquiry is a
factual one and the result is the same.
The only definite statement as to causation was made by
Dr. Templin and it is unclear from his report whether he was aware
that
Schwartz
had
manifested
symptoms
prior
to
the
injury.
However, he did find within a reasonable medical probability that
Schwartz’s condition could not be attributed to her injury.
His
opinion is afforded presumptive weight under KRS 342.315(2).
There is no dispute that Dr. Templin and Dr. Tibbs had
access to medical reports which contain the omitted information.
Dr. Templin expressly referred to the reports prepared by Dr.
Mortara and Dr. Hylton, both of which note the prior numbness.
Likewise,
the
referral
form
attached
to
Dr.
Tibbs’s
report
indicates that he was given copies of those same reports in
addition to the records of Dr. Altman which document the previous
diagnosis of syringomyelia and related numbness in the left thorax.
The ALJ possessed knowledge of all of these factors and remained of
the opinion that Schwartz had misled the doctors, resulting in
-18-
inadequate medical histories which, in turn, led to incorrect
medical opinions, either directly or indirectly.
It is not the
function of this Court to question the ALJ’s wisdom with regard to
factual determinations or the assessment of credibility.
recitation
of
unassailable.
a
history
by
a
physician
does
not
“The
render
it
If the history is sufficiently impeached, the trier
of fact may disregard the opinions based on it.”20
Because the evidence as to causation is ambiguous, it
does not compel a finding in favor of Schwartz.
The Board’s
opinion is affirmed.
ALL CONCUR.
BRIEF FOR APPELLANT:
BRIEF FOR APPELLEES:
Robert J. Greene
KELSEY E. FRIEND LAW FIRM
Pikeville, Kentucky
James G. Fogle
FERRERI & FOGLE
Louisville, Kentucky
20
Osborne v. Pepsi-Cola, Ky., 816 S.W.2d 643, 547 (1991).
-19-
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