Spellman v. Shalala

CourtCourt of Appeals for the Fifth Circuit
DecidedSeptember 7, 1993
Docket91-7390
StatusPublished

This text of Spellman v. Shalala (Spellman v. Shalala) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Spellman v. Shalala, (5th Cir. 1993).

Opinion

United States Court of Appeals,

Fifth Circuit.

No. 91-7390.

Neva SPELLMAN, Plaintiff-Appellant,

v.

Donna E. SHALALA, M.D.,1 Secretary of Health and Human Services, Defendant-Appellee.

Sept. 13, 1993.

Appeal from the United States District Court for the Northern District of Texas.

Before GOLDBERG, SMITH, and EMILIO M. GARZA, Circuit Judges.

EMILIO M. GARZA, Circuit Judge:

Neva Spellman appeals the district court's order granting summary judgment for the Secretary

of Health and Human Services ("Secretary"). Spellman argues that the Secretary erred in determining

the onset date of her disability and failed to give proper weight to her treating physician's opinion that

she was incapable of performing sedentary work. Because the Secretary failed to determine properly

the onset date of Spellman's disability, we affirm the district court's judgment in part and reverse and

remand in part.

I

Spellman is a sixty-nine year old woman with a high school education. She worked as an

assistant manager at a credit union for twenty six years, where she supervised thirteen employees,

occasionally travelled, and was on the telephone six hours a day. Between 1982 and 1985, Spellman

suffered from chronic pulmonary disease, gastroesophageal reflux, and several other physical

ailments.

The medical evidence also shows that Spellman complained to her doctors—who were

treating her physical maladies—that she did not sleep well, suffered from chronic fatigue, and was

depressed, anxious, and nervous. While Spellman was hospitalized for acute tracheal bronchitis in

1 Donna E. Shalala, M.D., is substituted for her predecessor Louis W. Sullivan, M.D., Secretary of Health and Human Services, pursuant to Fed.R.App.P. 43(c)(1). September 1982, her physician reported that she was depressed, and he treated her with Elavil, an

antidepressant drug, during her hospital stay.2 When Spellman was hospitalized for bronchitis in April

1983, her treating physician, Dr. Milton V. Davis,3 had Dr. Murray Pizette4 examine her to determine

the cause of some of her physical ailments. Spellman told Dr. Pizette that she had become more

depressed and anxious. Concluding that Spellman suffered from mixed anxiety depression, Dr.

Pizette prescribed Sinequan, an antidepressant and antianxiety drug. A couple of months later, the

dosage of Sinequan was increased from 25 mg twice a day to 75 mg twice a day. The record also

indicates that Spellman was taking Adapin, an antianxiety and antidepressant drug, in December

1983. In addition, there is evidence that Spellman was taking Xanax and Ativan, which were drugs

for treating anxiety, including anxiety related to depression. In April 1984, Dr. Davis submitted a

report to Spellman's disability insurer, stating that she was "incapable of minimal (sedentary) work"

due to her respiratory problems.

In 1986, three mental health experts5 examined Spellman; each concluded that Spellman

suffered from a histrionic personality disorder with resulting functional restrictions, particularly an

inability to cope with work-related stress and to behave in an emotionally stable manner. Dr. Mattar

also reported that Spellman was able to function quite well with her personality disorder for decades,

but that her pulmonary problems caused her to be depressed over time. In 1988, Spellman was again

examined by three mental health experts6, who found that she suffered from histrionic personality

2 There is also evidence that Spellman suffered from chronic fatigue and depression before September 1982. When Spellman was hospitalized for chest pain in 1979, she told her doctor that she suffered from chronic fatigue. The record also indicates that during her hospital stay she was given Elavil. In addition, a prescription for Elavil was refilled in May 1982. 3 Dr. Davis began treating Spellman in January 1983 for gastrointestinal and respiratory difficulties. Dr. Davis was a board-certified surgeon. 4 Dr. Pizette was a board-certified specialist in internal medicine. 5 The three mental health experts were Dr. Madison V. Scott, Ph.D., a psychologist and consultative examiner for the Social Security Administration, Dr. Enrique Vasallo, M.D., a board-certified psychiatrist, and Dr. Chip Mattar, Ph.D., a psychologist. 6 The three doctors were Dr. Scott, Dr. J. Randall Price, a psychologist, and Dr. Ben Goodwin, a psychiatrist. disorder accompanied by depressive symptoms. Dr. Goodwin also stated that Spellman had been

unable to function in a work setting for the past five to six years, and he opined that her mental

condition was deteriorating.

On October 24, 1983, Spellman first filed for disability insurance benefits under Title II of the

Social Security Act, 42 U.S.C. § 401 et seq. (1988), alleging disability from September 8, 1982—the

date she stopped working, due to lung problems. After her application was denied initially and on

reconsideration, Spellman requested a hearing. A preliminary hearing was held before an

Administrative Law Judge ("ALJ"), who found that Spellman was not disabled because her physical

impairments were not severe. After the Appeals Council denied Spellman's request for review, she

filed an action seeking judicial review in federal district court. The district court remanded the action

for further proceedings consistent with certain new mental impairment regulations promulgated by

the Secretary. After obtaining the mental status reports from Drs. Scott, Vassallo, and Mattar, and

holding a supplemental hearing, the ALJ determined that Spellman was not disabled due to her

physical and mental impairments.

After the Appeals Council adopted the ALJ's recommended decision, the district court

reopened Spellman's action and found that the determination that Spellman's mental disorder did not

prevent her from performing her past relevant work was not supported by substantial evidence. The

district court therefore remanded the case to the Secretary, who ordered another supplemental

hearing. Dr. Price testified at the hearing as a medical advisor. Dr. Price stated that Spellman's

depression appeared to decrease from 1986 through 1988, while she became more hysterical and

histrionic during that same time period. Dr. Price recommended that Spellman avoid job situations

requiring stressful social interaction, including her former occupation as assistant manager of a credit

union. A vocational expert also testified that Spellman's past work was very stressful and that a

person who had difficulty handling stress would be unable to perform Spellman's past work.

Subsequently, the ALJ found that Spellman was not disabled due to her mental impairment,

but the Appeals Council refused to adopt the ALJ's findings and conclusions with regard to

Spellman's alleged disability. The Appeals Council found that Spellman had chronic obstructive pulmonary disease, gastroesophageal reflux, and leg cramps. The Appeals Council also found that

Spellman had a mental impairment characterized by mood hysteria, a negative affect, depression, and

an inability to cope with work-related stress. The Appeals Council determined that Spellman's

physical impairments were severe as of September 8, 1982, but that she did not have a severe mental

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