LARRY BROCK v. MANALAPAN MINING COMPANY; SPECIAL FUND; HON. IRENE STEEN, ADMINISTRATIVE LAW JUDGE; AND WORKERS' COMPENSATION BOARD
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RENDERED:
SEPTEMBER 15, 2006; 10:00 A.M.
NOT TO BE PUBLISHED
Commonwealth Of Kentucky
Court of Appeals
NO. 2006-CA-001048-WC
LARRY BROCK
v.
APPELLANT
PETITION FOR REVIEW OF A DECISION
OF THE WORKERS’ COMPENSATION BOARD
ACTION NO. WC-84-25962
MANALAPAN MINING COMPANY;
SPECIAL FUND; HON. IRENE STEEN,
ADMINISTRATIVE LAW JUDGE; AND
WORKERS' COMPENSATION BOARD
APPELLEES
OPINION
AFFIRMING
** ** ** ** **
BEFORE:
JUDGE.
ABRAMSON AND GUIDUGLI, JUDGES; BUCKINGHAM, 1 SENIOR
GUIDUGLI, JUDGE:
Larry Brock appeals from an opinion and order
of the Workers’ Compensation Board affirming an opinion and
order of the Administrative Law Judge (“ALJ”).
The ALJ
dismissed Brock’s claim on reopening against Manalapan Mining
Company.
Brock argues that the Board incorrectly failed to rule
that the ALJ erred when, after ruling on January 14, 2000, that
1
Senior Judge David C. Buckingham, sitting as Special Judge by assignment of
the Chief Justice pursuant to Section 110(5)(b) of the Kentucky Constitution
and KRS 21.580.
Brock’s low back problems were work-related, she later found on
November 11, 2005, that Brock’s low back complaints were due to
natural aging.
Brock also argues that he was denied procedural
due process when the ALJ failed to move the case along to a
resolution in a timely manner.
For the reasons stated below, we
affirm the opinion and order of the Workers’ Compensation Board.
We have closely examined the voluminous record in this
case, which spans a period of several years.
In the interest
of judicial economy, and because no good purpose is served in
rewriting the well-reasoned opinion of the Workers’ Compensation
Board, we adopt the Board’s opinion as that of this Court.
Board stated in relevant part as follows:
On appeal, Brock argues he was denied
due process in the proceedings below and
requests that the matter be remanded for
assignment to a different administrative law
judge for purposes of a fair and impartial
hearing. Brock argues the ALJ pressured him
to settle for an amount he believed
insufficient and then dismissed his claim
after he refused to do so. Brock submits
that the ALJ’s decision was vindictive and
constituted an abuse of discretion.
Manalapan responds that Brock’s
characterization of the ALJ’s conduct is
fallacious and unsupported by the record of
proceedings below. Manalapan points out
that the litigation of Brock’s claim on
reopening spanned a period of roughly seven
years, during which time Brock was
represented by counsel, had an opportunity
to testify by deposition and was provided
multiple hearings, all of which amounts to
more process than he was due. Manalapan
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The
notes that Brock first raised the issue of
due process after the ALJ’s decision
dismissing his claim, and also observes that
Brock does not question the presence of
substantial evidence to support the ALJ’s
decision.
Following Brock’s submission of a
brief, pro se, and Manalapan’s submission of
a response brief, an entry of appearance was
made and a reply brief filed on Brock’s
behalf by Hon. Bennett Clark, attorney at
law. In the reply brief, Brock argues that
the ALJ on reopening improperly set aside a
finding of fact rendered in the original
litigation of this matter and also
overlooked certain evidence in her summary
of the record. While we appreciate
counsel’s zealous efforts on Brock’s behalf,
we do not believe the matters raised in the
reply brief constitute reversible error on
the part of the ALJ.
After an exhaustive review of the
voluminous record of proceedings below, we
agree with Manalapan that Brock received
everything to which he was entitled under
due process of law and more. While we
appreciate that Brock disagrees with the
ALJ’s conclusion and is convinced that it
must be the product of bias, his allegations
failed to stand up under review. It is
plain from the record that the procedural
requirements of due process were met, and it
is clear from the opinion that the ALJ’s
dismissal was the result of a reasonable
exercise of discretion based on the
reliable, probative and material evidence
contained in the whole record. Accordingly,
we affirm.
Brock was born February 15, 1953, and
resides in East Bernstadt, Kentucky. He has
a ninth grade education and no specialized
vocational training. He was only 31 years
old when he first injured his back while
shoveling coal for Manalapan. His injury
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occurred August 3, 1984, and he filed the
original application for benefits on March
14, 1985, alleging permanent, total
disability.
In the initial litigation, evidence was
submitted from four physicians. Dr. Galen
Smith diagnosed a herniated lumbosacral disc
and assigned a 10% permanent impairment
rating, with restrictions that would
preclude Brock from returning to work in the
coal mines. Dr. Robert Matheny offered a
similar diagnosis and restrictions to that
of Dr. Smith, but assigned a 20% impairment
rating. Dr. O.M. Patrick found only
degenerative changes on the radiopathic
studies and assigned a 0% impairment rating,
though he restricted Brock from performing
heavy lifting and repetitive bending and
stooping. Dr. T.R. Miller found narrowing
of the lumbrosacral disc space and
degenerative changes, for which he assigned
a 5% impairment rating.
A hearing was held before a referee on
June 27, 1985, and the “old” Board rendered
a decision on September 15, 1986. Taking
into consideration the factors set out in
Osborne v. Johnson, 432 S.W.2d 800 (1968),
the old Board concluded that Brock was not
permanently and totally disabled, though he
did lack the capacity to return to work in
the coal mines. The old Board determined
Brock could perform less strenuous work with
appropriate vocational guidance and
training. Brock was awarded permanent
income benefits based on a 70% occupational
disability, which was apportioned equally
between Manalapan and the Special Fund.
Brock never returned to gainful
employment after his injury with Manalapan.
He later applied for and was awarded social
security disability benefits. On April 27,
1998, he filed a motion to reopen his award,
alleging a worsening of condition due to his
work-related back injury. He attached to
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his motion to reopen the reports of treating
neurosurgeon Dr. John Gilbert, who assessed
more stringent medical restrictions than
were in evidence in Brock’s original claim,
and treating pain management specialist Dr.
James Templin, who opined that Brock did not
appreciate significant reduction in his pain
despite participation in a four-week pain
management program, and remained unable to
work. Brock also attached to his motion to
reopen the report of psychologist Dr. Elmer
Maggard, who concluded that Brock had
developed a psychiatric impairment as a
result of his work-related injury.
Over Manalapan’s objection, the claim
was reopened and assigned to an arbitrator
for the taking of proof and a decision on
the merits. Brock testified by deposition
in the proceedings before the arbitrator on
September 11, 1998. For his case-in-chief,
Brock relied on the expert reports from Drs.
Templin, Gilbert and Maggard attached to his
motion to reopen. Following a Benefit
Review Conference on October 2, 1998, the
arbitrator rendered a Benefit Review
Determination on March 10, 1999, favorable
to Brock. Manalapan requested a de novo
hearing by an administrative law judge.
By order issued April 23, 1999, the
matter was assigned to the ALJ for the
taking of proof and a final hearing. The
ALJ held a pre-hearing conference on August
3, 1999, and a final hearing on August 16,
1999. At the final hearing, Brock was
questioned by his counsel and counsel for
Manalapan. The ALJ engaged in extensive
questioning, as well, in an apparent effort
to inform herself on whether the surgery
requested by Brock and contested by
Manalapan was reasonable, necessary and
related to his original work injury. The
claim was placed in abeyance at the final
hearing to allow Brock to undergo additional
treatment. In an order issued January 14,
2000, the ALJ granted Brock’s motion to
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compel Manalapan to pay for treatment for
Brock’s work-related low back condition,
including the surgery proposed by Dr. ElNaggar.
Brock’s attorney withdrew from
representation at that point and the matter
languished in abeyance until an entry of
appearance on Brock’s behalf was made by new
counsel, who requested that the claim be
removed from abeyance and scheduled once
more for a final hearing. The ALJ granted
the motion in an order issued May 9, 2002,
which also set the matter for a formal
hearing on June 26, 2002. In an order
issued June 28, 2002, the hearing was
continued to September 23, 2002, upon a
joint request by the parties after
settlement discussions failed and the need
for time to file additional evidence arose.
Brock testified once more by deposition on
May 29, 2002. He filed the testimony of his
then treating surgeon, Dr. Lockstadt, who
had actually performed the fusion procedure
recommended by Dr. El-Naggar.
At the hearing on September 23, 2002,
the ALJ again placed the claim in abeyance
for 60 days when Brock advised he might
undergo another surgical procedure.
Following a telephonic status conference,
the ALJ scheduled the matter once more for a
final hearing on July 1, 2003. At this
third hearing, the claim was placed in
abeyance for 60 days more while the parties
attempted to negotiate a settlement. The
record is then void of activity for nearly
two years, when the ALJ issued an order for
a telephonic status conference to take place
May 5, 2005. The parties apparently reached
a tentative settlement after that, but the
agreement was never finalized. Brock moved
the ALJ to set a final hearing, which was
held September 14, 2005.
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At the final hearing, the ALJ noted
that proof filed on Brock’s behalf consisted
of his own testimony and the testimony of
Drs. El-Naggar, Lockstadt, Templin, Gilbert
and Maggard. Brock was questioned once more
by his counsel and counsel for Manalapan.
The ALJ frequently interjected questions of
her own over the course of Brock’s
examination, in an apparent effort to
clarify matters relating to his medical
state and the amount of workers’
compensation benefits he could draw without
seeing a reduction in his social security
disability benefits. There was a
disagreement between Brock and his counsel
regarding the amount he could receive in
workers’ compensation benefits without
experiencing an offset in his social
security disability benefits. When Brock
attempted to explain what he had learned
from the Social Security Administration
(“SSA”), the ALJ understood Brock to be
questioning the veracity of his attorney and
suggested that he attorney might be inclined
to withdraw from representation of Brock.
It should be noted that the foregoing
exchange occurred after Brock’s counsel had
passed the witness, when Brock expressed a
desire to say something on his own behalf
and the ALJ directed him to “go right
ahead.” At the close of the exchange
between Brock and the ALJ, he requested
leave to obtain documentation from the SSA
verifying the information he had been
provided and file it with the ALJ. Though
proof time was long expired, the ALJ
permitted Brock to submit this additional
information. The record contains a letter
written to the ALJ from E. Jeff Howson,
Field Office Manager for the SSA, confirming
that Brock could receive the maximum award
of $294.87 per week in workers’ compensation
benefits without it affecting the amount
payable on his social security record. This
letter appears to have been faxed to the ALJ
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by Brock on September 15, 2005, the day
after the final hearing.
There was another point, too, in the
final hearing when the ALJ allowed Brock the
opportunity to testify without the
constraints of the usual question and answer
format. At the close of questioning by
counsel, near the end of the hearing, the
ALJ stated, “All right. Anything else you
want to tell us here today, Mr. Brock, since
this, I think, will be our last go around?”
Following the final hearing, the
parties were given an opportunity to
supplement the briefs they had previously
filed, when the matter had first gone to
hearing on August 16, 1999. Only at that
point was Brock’s claim on reopening
submitted for decision. As previously
noted, the ALJ issued an opinion and
dismissal of Brock’s claim on November 11,
2005. The thrust of the ALJ’s decision was
that Brock had experienced no worsening of
his physical condition due to his workrelated back injury or increase in
occupational disability since the time of
his original award. Her particular findings
and conclusions were as follows:
Based upon the record herein, it
is the opinion of this ALJ that
Plaintiff’s motion to reopen his award
for an increase in benefits must fail.
In reviewing the medical records, I am
not persuaded that Plaintiff even had a
herniated disc as a result of the
injury in 1984, but rather that the
myelographic studies performed by Dr.
Bean, had only shown this as being an
incidental finding. Dr. Bean had never
recommended surgery and had never found
a positive SLR. The disc defect at L5S1 had been observed to be located on
the right, but Plaintiff has
persistently complained of pain in
basically the entire left side of his
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body. Degenerative changes were noted
at the time and the more persuasive
evidence indicated that Plaintiff had
suffered from arousal of these, but
basically on a strain/sprain. Dr. O.M.
Patrick did not even think that
Plaintiff warranted an impairment
rating and the remaining ratings ranged
from 5-20%. Plaintiff appears to have
immediately settled into a disability
role in spite of being only 31 years of
age at the time, which correlates very
much with the psychological profile
assessed by Dr. Shraberg. Be that as
it may, the old Board gave Plaintiff a
70% award and Plaintiff had already
filed for Social Security benefits.
Plaintiff has undertaken a most
inactive lifestyle and has sought
treatment from myriads of physicians,
most of whom do not indicate that
surgery was at all appropriate. We are
now 22 years out from the original
injury and as was pointed out,
Plaintiff’s inactivity has caused
hastening of his natural old [aging]
processes. Plaintiff has graduated to
large amounts of narcotic and other
medications and now Dr. El-Naggar is
considering implanting a nerve
stimulator, as these medications are no
longer seemingly working. Although the
physicians with a more conservative
approach did not recommend surgery, as
there was no instability, nerve root
impingement or neurological deficits,
in their opinion, Plaintiff proceeded
to have fusion surgery by Dr.
Lockstadt, of which he now claims did
not help him at all, in the long run,
even though the procedure was performed
successfully and the fusion is solid.
None of the treatments or procedures
have been of any help and Plaintiff has
been cautioned against any further
surgery. Based upon these findings and
the fact that Plaintiff never attempted
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to return to work in any of the 22
years since the injury herein, I cannot
state that he is any more
occupationally disabled now that he was
then, nor am I persuaded that his
physical condition has changed as a
result of his earlier injury, but
rather believe that the change in his
medical condition is due to age related
change and inactivity.
As it concerns the issues of
whether Plaintiff’s thorasic [sic] and
neck problems are related to the
initial injury, I am again finding in
favor of the Defendant, as per my
earlier ruling in this matter. I found
no evidence that there was any injury
to anything other than the low back in
1984. The medical evidence does not
bear it out, nor does the old Board’s
opinion. The Plaintiff, by way of
history to his various treating
physicians have [sic] indicated that
his thorasic [sic] and neck problems
were basically part of the injury
herein and as a consequence, those
doctors have erroneously related these
problem areas to the 1984 injury. [sic]
Likewise, in regards to the
psychological complaints, I am
persuaded by Dr. Shraberg’s assessment
that Plaintiff has non work related
issues of long standing. In reviewing
his evidence, he pretty well predicted
that any surgical procedure would be
considered as not being successful and,
unfortunately, it appears that he was
correct.
Thus, based upon the record
herein,
IT IS HEREBY ORDERED AND ADJUDGED
that Plaintiff’s motion to reopen his
award for an increase in benefits shall
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be and it is hereby DISMISSED.
Plaintiff’s thorasic [sic] and neck
problems are found not to be work
related, as is his psychological claim.
Brock filed a petition for reconsideration
on November 28, 2005, citing to testimony by
Dr. Goodman in which the physician conceded
that Brock’s work-related injury had
deteriorated over time and asserting that
the medical evidence establishing a
worsening of condition was uncontroverted.
The ALJ issued an order on December 13,
2005, denying Brock’s petition for
reconsideration.
At that point, Brock’s attorney
terminated his representation and Brock
proceeded to prosecute his claim pro se. On
December 19, 2005, Brock filed a pleading
titled “Motion/Request for Another
Hearing/Rehearing in Reopening Case Because
Judge in First Hearing Did Not Conduct
Hearing Fairly.” The essence of Brock’s
plea was that the ALJ denied him due process
by refusing to allow him to present all
evidence relevant to disposition of his
claim on reopening and by prejudging the
merits of his claim. Brock asserted that
the ALJ exerted pressure on him to settle
his claim for an amount he believed to be
inadequate and became angry with him when he
refused to settle his claim. Brock further
asserted that the ALJ overstepped the bounds
of her role as fact-finder by crossexamining him at his final hearing and
abused her discretion by dismissing his
claim out of vindictiveness. He requested
that his claim be assigned to a different
administrative law judge for a new hearing
and an impartial determination on the
merits.
Manalapan responded to Brock’s motion,
taking exception to his characterization of
ALJ Steen’s conduct in the matter and noting
that there was no legal authority for the
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relief requested, in any event. Brock’s
pleading came before the Chief
Administrative Law Judge on the Frankfort
motion docket. In an order entered February
10, 2006, the Chief ALJ, noting that there
is no provision in Kentucky’s Workers’
Compensation Act or the accompanying
Administrative Regulations for a hearing as
requested by Brock, denied the motion.
In the meantime, on January 3, 2006,
Brock filed a notice of appeal to the Board.
In his brief, Brock reiterates the
assertions made in his motion for rehearing.
He argues that he was denied due process in
the proceedings below and requests that the
matter be remanded for assignment to a
different administrative law judge for
purposes of a fair and impartial hearing.
Brock argues that the ALJ’s consideration of
his claim was tainted by her anger with him
for refusing to settle his claim. He
believes she had essentially already made up
her mind to dismiss his claim and that her
prejudgment of his claim precluded him from
receiving a fair hearing and an impartial
decision.
The 14th Amendment to the United States
Constitution prohibits any state from
depriving a person of his property without
“due process of law.” Section 2 of the
Kentucky Constitution provides, “Absolute
and arbitrary power over the lives, liberty
and property of freemen exists nowhere in a
republic, not even in the largest majority.”
The Kentucky Supreme Court has interpreted
the state constitutional provision to
encompass the same due process and equal
protection interests reflected in the
federal document, to wit:
Section 2 of the Kentucky
Constitution provides the
Commonwealth shall be free of
arbitrary action. With respect to
adjudications, whether judicial or
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administrative, this guarantee is
generally understood as a due
process provision whereby Kentucky
citizens may be assured of
fundamentally fair and unbiased
procedures. Smith v. O’Dea, 939
S.W.2d 353 (Ky.App. 1997). As
noted in Pritchett v. Marshall,
375 S.W.2d 253 (Ky. 1963), the
state is enjoined against
arbitrariness by Section 2 of the
Kentucky Constitution which, we
have held is ‘a concept we
consider broad enough to embrace
both due process and equal
protection of the laws, both
fundamental fairness and
impartiality.’ Id. at p. 253.
Commonwealth Natural Resources and
Environmental Protection Cabinet v. Kentec
Coal Co., Inc., 177 S.W.3d 718 (Ky. 2005).
The Supreme Court has offered the
following guidance with respect to the
specific elements required of “due process”:
We have held that ‘due
process of law’ and the ‘law of
the land’ are synonymous and mean
that no citizen shall be deprived
of his life, liberty or property
without reasonable notice and
opportunity to be heard according
to regular and established rules
of procedure. Board of Levee
Commissioners of Fulton County v.
Johnson, 178 Ky. 287, 199 S.W. 8,
L.R.A. 1918E, 202; Fleenor v.
Hammons, 6 Cir., 116 F.2d 982, 132
A.L.R. 1241. In Milner v. Gibson,
249 Ky. 594, 61 S.W.273, 277, it
was said:
‘It is an established rule that an
enactment accords due process of
law, if it affords a method of
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procedure, with notice, and
operates on all alike. A statute
is consistent with due process
where it gives the power of
preliminary procedure to a board
or commission, and the final
hearing and determination to the
courts.’
Pacific Live Stock Co. v. Lewis,
241 U.S. 440, 36 S.Ct. 637, 60
L.Ed. 1084.
Parrish v. Claxon Truck Lines, 13 P.U.R.3d
363, 286 S.W.2d 508 (Ky. 1956).
Addressing the elements of due process
in a worker’s compensation claim, the Court
of Appeals of Kentucky in Bently v. Aero
Energy, Inc., 903 S.W.2d 912 (Ky.App. 1995),
held as follows:
The components of procedural
due process in the context of
administrative proceedings are
well settled and, in this
Commonwealth, are outlined by the
following language in Kentucky
Alcohol Beverage Control Board v.
Jacobs, Ky., 269 S.W.2d 189, 192
(1954):
In order that the requirements of
due process of law be satisfied,
the litigant must be afforded
procedural due process as well as
substantive due process. This
includes a hearing, the taking and
weighing of evidence, if such is
offered, a finding of fact based
upon consideration of the
evidence, the making of an order
supported by substantial evidence,
and, where the party’s
constitutional rights are
involved, a judicial review of the
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administrative action. (Citations
omitted).
Each of these elements was more than
satisfied in the proceedings below. Brock
testified by deposition in the proceedings
before the arbitrator on September 11, 1998,
and testified by deposition in the de novo
proceedings before the ALJ on May 29, 2002.
He presented expert reports and testimony
from Drs. Templin, Gilbert, El-Naggar,
Lockstadt, and Maggard. The ALJ held a prehearing conference on August 3, 1999, and no
less than four hearings, on August 16, 1999;
September 23, 2002; July 1, 2003; and
September 14, 2005. Brock was permitted
after the final hearing to file the letter
from the SSA confirming his eligibility to
receive maximum workers’ compensation
benefits, and he points to no other evidence
he intended to file that was disallowed by
the ALJ. We believe it is beyond debate
that, procedurally speaking, Brock received
all the process that is due under the law
and more.
Of course, the thrust of Brock’s
argument is that the ALJ’s decision was not
based upon reasoned and impartial
consideration of the evidence, but upon bias
and vindictiveness for Brock’s refusal to
settle his claim. Brock’s allegations
against the ALJ are neither borne out by the
record, nor by the ALJ’s decision.
Although the ALJ expressed displeasure
at Brock’s failure to file documentation
from the SSA prior to the final hearing, she
nonetheless granted him leave to do so.
This was a matter within the ALJ’s
discretion. Typically, a motion for
extension of proof time must be filed no
later than five days before the deadline
sought to be extended and must be supported
by facts establishing that timely production
was not possible. See 803 KAR 25:010,
Section 15. The regulations allow the ALJ
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to order additional discovery or proof
between the time of the benefit review
conference and the final hearing upon motion
“with good cause shown.” 803 KAR 25:010,
Section 13(15). Thus, the ALJ’s grant of
leave to Brock to file the SSA documentation
after a final hearing that took place more
than seven years after the date on which his
claim was reopened seems to us an
extraordinary exercise of discretion in
Brock’s favor.
Brock points to the ALJ’s questioning
of him at the September 14, 2005, final
hearing as evidence of bias. He argues,
“[S]he took over as if she was the lawyer
representing my employer.” We disagree with
Brock’s characterization of the ALJ’s
conduct. Brock would do well to recall that
the ALJ also questioned him extensively at
his first hearing on August 16, 1999, in an
apparent effort to inform herself on whether
the surgery requested by Brock and contested
by Manalapan was reasonable, necessary and
related to his original work injury.
Following the hearing, the ALJ issued an
order directing Manalapan to pay for the
contested surgery on Brock’s low back.
We read the ALJ’s questioning of Brock
at the September 14, 2005, hearing as an
effort by the ALJ to parse out the truth
with respect to Brock’s social security
offset figure. It should be noted that we
believe such issue to be irrelevant to the
ALJ’s consideration of the merits of Brock’s
claim on reopening. That being said, we
also believe that, had the ALJ already made
up her mind to dismiss Brock’s claim, as he
asserts, she would have had no concern for
how much he could draw in workers’
compensation benefits without experiencing
an offset in social security benefits. The
ALJ’s granting of Brock’s request to make a
statement after his counsel had finished
direct examination is another example of
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discretion exercised in Brock’s favor that
perhaps has not been appreciated by him.
While it is true that an administrative
law judge is well-advised to exercise
restraint in questioning a claimant
directly, lest she be seen as assuming the
role of advocate for one party or the other,
it is also the case that the ALJ has broad
discretion in her role as fact-finder. The
ALJ is charged with conducting hearings,
supervising the presentation of evidence
and, in receiving evidence, making rulings
affecting the competency, relevancy and
materiality thereof. See KRS 342.230(3).
As trier of fact, the ALJ is the gatekeeper
and arbiter of the evidence both
procedurally and substantively. Dravo Lime
Co., Inc. v. Eakins, 156 S.W.3d 283 (Ky.
2005). In reviewing the record of
proceedings below, it is plain that over the
course of the seven years Brock’s claim on
reopening was in litigation, the ALJ
exercised an abundance of discretion in his
favor.
We appreciate Brock’s assertion that
not everything that transpired between the
parties and the ALJ is of record. However,
it is worth emphasizing here that no such
objection was raised until after the ALJ
rendered a decision unfavorable to Brock.
More importantly, however, we find nothing
in the ALJ’s decision to suggest that it was
based on anything other than reasoned
consideration of the evidence. It is for
this reason that Brock’s appeal ultimately
must fail.
Abuse of discretion has been defined,
in relation to the exercise of judicial
power, as that which “implies arbitrary
action or capricious disposition under the
circumstances, at least an unreasonable and
unfair decision.” See Kentucky National
Park Commission v. Russell, 301 Ky. 187, 191
S.W.2d 214 (Ky. 1945). We believe the
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evidence as set out by the ALJ in her
opinion and dismissal is evidence of
substance that supports her finding that
Brock failed to show he suffered a worsening
of condition and increase in occupational
disability. There is nothing in the record
of proceedings or the decision itself to
suggest the ALJ dismissed Brock’s claim for
any reason other than those set out in her
findings of fact and conclusions of law.
It is well-established that Brock, as
the claimant in a workers’ compensation
claim, bore the burden of proving each of
the essential elements of his claim before
the ALJ. Snawder v. Stice, 576 S.W.2d 276
(Ky.App. 1979). Since Brock was
unsuccessful before the ALJ, the question on
appeal is whether the evidence compels a
different conclusion. Wolf Creek Collieries
v. Crum, 673 S.W.2d 725 (Ky.App. 1984).
Compelling evidence is defined as evidence
that is so overwhelming that no reasonable
person could reach the same conclusion as
the ALJ. REO Mechanical v. Barnes, 691
S.W.2d 224 (Ky.App. 1985).
As fact-finder, the ALJ has the
authority to determine the quality,
character and substance of the evidence.
Squade D Co. v. Tipton, 862 S.W.2d 308 (Ky.
1993); Paramount Foods Inc. v. Burkhardt,
695 S.W.2d 418 (Ky. 1985). Similarly, the
ALJ has the sole authority to judge the
weight and inferences to be drawn from the
evidence. Miller v. East Kentucky
Beverage/Pepsico, Inc., 951 S.W.2d 329 (Ky.
1997); Luttrell v. Cardinal Aluminum Co.,
909 S.W.2d 334 (Ky.App. 1995). Where the
evidence is conflicting, the ALJ may choose
whom and what to believe. Pruitt v. Bugg
Brothers, 547 S.W.2d 125 (Ky. 1977). The
ALJ may believe part of the evidence and
disbelieve other parts, even when it comes
from the same witness or the same party’s
total proof. Magic Coal v. Fox, 19 S.W.3d
88 (Ky. 2000); Whittaker v. Rowland, 998
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S.W.2d 479 (Ky. 1999); Halls Hardware Floor
Co. v. Stapleton, 16 S.W.3d 327 (Ky.App.
2000). Furthermore, it is well-established
that the ALJ, as fact-finder and ultimate
arbiter of all issues in controversy, has
broad authority to draw all reasonable
inference from the record. Jackson v.
General Refractories Co., 581 S.W.2d 10 (Ky.
1979).
Mere evidence contrary to the ALJ’s
decision is not adequate to require reversal
on appeal. Whittaker v. Rowland, supra, at
482. In order to reverse the decision of
the ALJ, it must be shown there was no
substantial evidence of probative value to
support her decision. Special Fund v.
Francis, 708 S.W.2d 641 (Ky. 1986).
Although it is obvious from Brock’s brief
that he feels he has been dealt with
unfairly, we nonetheless find ample evidence
of substantial probative value to support
the ALJ’s ultimate determination, in the
reports of Drs. Goodman and Primm and in the
testimony of Brock himself regarding his
physical condition and occupational status
over the years since his original award.
We acknowledge Brock’s argument that,
in summarizing Dr. Goodman’s testimony, the
ALJ overlooked Dr. Templin’s September 9,
1996, correspondence confirming that his
earlier reference to a motor vehicle
accident (“MVA”) was incorrect. Dr. Goodman
had cited to Dr. Templin’s reference to an
MVA as the cause of Brock’s cervical
condition and worsening low back condition.
We agree that, in light of Dr. Templin’s
subsequent correction of the erroneous
reference in his earlier report to a motor
vehicle accident, it would have been error
for the ALJ to have dismissed Brock’s claim
based on the occurrence of the alleged MVA.
However, there is nothing in her decision to
indicate that the ALJ attributed any portion
of Brock’s condition to an intervening
accident. The portion of her decision cited
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in Brock’s reply brief is no more than an
accurate summary of Dr. Goodman’s testimony
paraphrasing an inaccurate medical history
recorded by Dr. Templin. The ALJ also noted
that Dr. Goodman attributed Brock’s cervical
and thoracic complaints and his worsening
lumbar condition to the natural aging
process combined with total inactivity.
More importantly, the ALJ herself did
not attribute any portion of Brock’s
condition to an intervening MVA. Rather,
she dismissed his claim for impairment to
the cervical and thoracic spines based on
the lack of evidence “that there was any
injury to anything other than the low back
in 1984.” Nowhere in her “Findings of Fact
and Conclusions of Law” does the ALJ suggest
that she was persuaded to dismiss Brock’s
cervical and thoracic claims by Dr.
Templin’s erroneous reference to an MVA.
While it would have been better, perhaps,
for the ALJ to have referenced specifically
the letter from Dr. Templin correcting his
earlier mistake, such mention would have
been gratuitous. The ALJ did consider that
“Dr. Templin causally related the entirety
of Plaintiff’s problems and impairment to
the injury in 1984.” As the fact-finder, it
was within the ALJ’s discretion to reject
Dr. Templin’s opinion. Magic Coal Co. v.
Fox, supra; Pruitt v. Bugg Brothers, supra.
Brock is correct, of course, that the
ALJ does not have the discretion to set
aside findings of fact made by the “old”
Board in the original litigation of Brock’s
claim and issue a nunc pro tunc judgment on
reopening. However, we disagree with that
characterization of the ALJ’s decision. In
his reply brief, Brock asserts, “At page 12
of her decision, under the ALJ Findings of
Fact and Conclusions of Law Judge Steen
found that the ‘old Board’ had made an error
in its factual finding when it found that
the 1984 work injury had resulted in a
herniated lumbar disc.” We read no such
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allegation of error on the part of the “old”
Board in the ALJ’s decision on reopening.
Rather, the ALJ sets out her opinion that
Brock’s work-related injury was basically a
lumbar strain arousing pre-existing
degenerative changes and then notes, “Be
that as it may, the old Board gave Plaintiff
a 70% award and Plaintiff had already filed
for Social Security benefits.” This
statement is entirely accurate, of course.
Contrary to the suggestion in Brock’s
reply brief, the “old” Board did not make a
finding of fact that he had suffered a
herniated disc as a result of the original
work injury. The “old” Board merely
summarized the evidence of record, which
included medical opinions ranging from 0%
impairment for a low back strain to 20% for
a herniated disc, and then found that Brock
had a 70% occupational disability. In 1984,
occupational disability rather than
permanent impairment was the standard by
which an award of permanent partial
disability benefits was measured at that
time. In other words, the findings of the
ALJ on reopening in no way contradict the
findings of the “old” Board in the original
litigation.
On reopening, the ALJ is obligated to
make a comparison of the claimant’s
condition at the time of the original award
and his condition at the time of reopening.
The claimant is required to show a change in
his physical condition attributable to his
work-related injury since the date of the
original award. Newberg v. Davis, 841
S.W.2d 164 (Ky. 1992); Continental Air
Filter Co. v. Blair, 681 S.W.2d 427 (Ky.
1984). We read the ALJ’s findings of fact
as reasonable explication of the rationale
underlying her conclusion that Brock had not
made such a showing. One might infer from
the ALJ’s verbiage that she believes the
“old” Board’s award of 70% occupational
disability benefits was excessive in light
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of the medical evidence. However, even if
the ALJ intended such an inference, it does
not constitute reversible error.
Having adopted the Board’s analysis, and for the
foregoing reasons, we affirm the opinion of the Workers’
Compensation Board.
ALL CONCUR.
BRIEF FOR APPELLANT:
Bennett Clark
Lexington, Kentucky
BRIEF FOR APPELLEE, MANALAPAN
MINING COMPANY:
Gayle G. Huff
Harlan, Kentucky
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