CLARE R. HOCHHALTER, Magistrate Judge.
Plaintiff Terri Mellon seeks judicial review of the Social Security Commissioner's decision to discontinue her benefits under the Social Security Act, 42 U.S.C. §§ 401-434. This court reviews the Commissioner's final decision pursuant to 42 U.S.C. § 405(g).
In October 2013, the Social Security Administration ("SSA") found that Mellon was disabled due to breast cancer with an onset date of April 12, 2013. (Doc. No. 11-3 at 2). The SSA later reviewed her file and found that her disability had ceased as of February 1, 2015.
On March 23, 2017, the ALJ issued a hearing decision confirming the denial of Mellon's request for continued benefits.
Mellon filed a Motion for Summary Judgment in the instant case on August 20, 2018. (Doc. No. 13). The SSA filed a Motion for Summary Judgment on September 18, 2018. (Doc. No. 15). Mellon filed her response on October 5, 2018. (Doc. No. 17).
Mellon was born in 1968. (Doc. No. 11-2 at 47). At the time of the hearing, she lived alone.
Mellon worked as a graphic designer from 1989 until April 2013 for various companies. (Doc. No. 11-2 at 50-53). Her most recent job was at a business called KK Bold; she was fired in April 2013.
Mellon's October 2013 disability finding was based on a primary diagnosis of breast cancer. (Doc. No. 11-3 at 2). Mellon's breast cancer was diagnosed and treated via multiple surgeries and rounds of chemotherapy in 2010 and 2011. (
Mellon's breast cancer met the criteria for Listing 13.10A when she first applied in 2013, automatically justifying a finding of disability. (
The SSA later found Mellon's disability had ceased as of February 1, 2015. Numerous medical records between February 2015 and Mellon's 2016 disability hearing reflect treatment for a variety of conditions such as lymphedema, depression, fatigue, and memory and attention difficulties.
The administrative record further contains a consultation with a neuropsychologist whom Mellon visited for cognitive testing pursuant to her oncologist's recommendation. (Doc. No. 11-21). Four state agency consultants also prepared evaluations of Mellon's physical and mental condition. (Doc. Nos. 11-19, 11-21).
Upon review of the entire record, the court can affirm, modify, or reverse the decision of the Commissioner, with or without remanding the case for rehearing. 42 U.S.C. § 405(g). To affirm the Commissioner's decision, the court must find that substantial evidence appearing in the record as a whole supports the decision.
The court may disturb an ALJ's decision only if the decision lies outside the available "zone of choice."
Mellon was found disabled in 2013, but her disability was found to have ended and her benefits were terminated in 2015. She appeals the decision to terminate her benefits. A person's disability benefits may be terminated if substantial evidence demonstrates medical improvement to the person's impairment or combination of impairments and the individual is now able to engage in substantial gainful activity.
The ALJ issued her written opinion on March 23, 2017. (Doc. No. 11-2).
The ALJ found that, through the date of the decision, Mellon had not engaged in substantial gainful activity. She next determined that the evidence established the following medically determinable impairments since February 1, 2015: history of breast cancer, cognitive/memory impairment, depressive disorder, fatigue, dysphagia, and lymphedema.
The ALJ then found none of the impairments, individually or in combination, equaled the severity of an impairment listed in 20 CFR Part 404, Subpart P, Appendix 1. She noted that Listing 13.10, breast cancer, was satisfied at the outset of Mellon's disability, but the records do not reflect cancer recurrence. The ALJ also found the listings for mental disorders were not satisfied.
The ALJ then concluded that medical improvement occurred by February 1, because Mellon's cancer had not recurred. She determined that this improvement was related to Mellon's ability to work.
Lastly, the ALJ found that Mellon's impairments present since February 1, 2015 did not cause more than a minimal impact on her ability to perform basic work activities, and as such, Mellon no longer had a severe impairment or combination of impairments. In making this finding, the ALJ underwent a two-step process which resulted in two specific conclusions. First, she determined that Mellon's medically determinable impairments could be expected to produce her alleged symptoms. But then, she found Mellon's statements regarding her symptoms and their intensity, persistence, and limiting effects were "not entirely consistent with the objective medical and other evidence."
Because the ALJ concluded none of Mellon's impairments were severe, she found Mellon not disabled at step six and ended the analysis. She did not complete the last two steps, which would have included determining Mellon's residual functional capacity and deciding whether she has the RFC to perform any of her past work or other work.
In her brief, Mellon argues the ALJ's decision to classify her impairments as non-severe was erroneous. Specifically, Mellon claims that 1) her memory and concentration limitations are a severe impairment; 2) her lymphedema is a severe impairment; and 3) her conditions when considered together constitute a severe impairment.
The Eighth Circuit has dictated that if an impairment would have no more than a minimal effect on the claimant's ability to work, then it does not satisfy the requirement of step two.
Severity is not an "onerous requirement," but nor is it a "toothless standard."
The court will examine each impairment in turn to determine whether the ALJ's determination of non-severity was supported by substantial evidence.
The ALJ found that Ms. Mellon had a medically determinable impairment of cognitive/memory impairment, but the impairment was non-severe. The Court will summarize the record regarding Ms. Mellon's alleged cognitive and memory problems before turning to the legal arguments.
Mellon alleged cognitive and memory problems in her initial application for Social Security benefits. In July of 2013, pursuant to her initial Social Security application, Mellon was sent to Dr. Edward Kehrwald for a consultative exam regarding cognitive problems. (Doc. No. 11-17 at 21). In his report, he wrote Mellon "had many features associated with classical chemotherapy-related cognitive dysfunction, perhaps compounded by menopausal status and hormone therapy."
In May of 2013, Mellon consulted Dr. Brooks for a neuropsychological evaluation at the recommendation of her oncologist. (Doc. No. 11-17 at 5). Dr. Brooks found that she had normal psychological functioning overall, although a few tests showed "low average" results.
In a Function Report dated January 12, 2015, just before her disability was terminated, Mellon wrote her cognitive problems and memory issues made her confused and forgetful, making it hard to communicate. (Doc. No. 11-7 at 70). She described this as post-chemo cognitive impairment or "chemo brain."
At hearing in December 2016, Mellon testified she lost her job in 2013 due to her inability to concentrate and complete tasks despite "trying her hardest."
The CEO of KK Bold filled out a Work Activity Questionnaire in May 2013. (Doc. No. 11-6 at 12). He stated that Mellon was unable to complete her job duties without special assistance, and she needed extra help and lower quality standards. (Doc. No. 11-6 at 12). The questionnaire rated her productivity at 70% of other employees and noted she was frequently absent from work, and her work was unsatisfactory.
Mellon testified that her cognitive condition had not improved since her firing in 2013.
Mellon's father filled out a Third Party Function Report on January 12, 2015. He writes that Mellon "has a hard time keeping her focus and attention to casual things — loses her concentration in conversation on what she was asking." (Doc. No. 11-7 at 60).
On February 3, 2015, pursuant to the instant case, Mellon presented to Dr. Christine Kuchler for a psychological evaluation. (Doc. No. 11-19 at 31). Dr. Kuchler performed a record review, clinical interview, and several tests.
On February 25, 2015, Dr. Harold Hase signed a Psychiatric Review Technique declaring Mellon's psychiatric impairment — unspecified mild depressive disorder — was not a severe impairment. (Doc. No. 11-19 at 36, 39). He found she had mild difficulties in maintaining concentration, persistence, or pace, but noted no other functional limitations.
On April 10, 2015, Dr. Roger Larson completed a psychiatric review and concluded Mellon's psychiatric impairments were not severe. (Doc. No. 11-21 at 1). He noted her neuropsychological testing results were average, and that she prepares her own meals, cares for herself, does light housework, shops, drives, and socializes.
On May 4, 2015, Mellon completed a six-hour neuropsychological evaluation by Dr. David Brooks. (Doc. No. 11-21 at 28). Dr. Brooks administered tests of verbal fluency, memory, and problem-solving to determine Mellon's intellectual abilities. A few of Mellon's test results fell into the low average range, such as her performance on the Attention/Concentration Index Wide Range Assessment of Memory and Learning 2. Analyzing this result, Dr. Brooks noted "generally, Terri will perform rote memory tasks at a less efficient level to that of her age group. Performances at the level suggest the importance of considering such work style factors as distractibility, impulsivity, and other issues with executive abilities."
However, on the vast majority of the numerous tests administered by Dr. Brooks, Mellon performed within the average or high average range.
On May 5, 2015, Mellon complained of memory impairment and cognitive deficits to her oncology clinical team. An MRI was ordered pursuant to these complaints and reports of headaches, but the results were normal. (Doc. No. 11-21 at 46.)
On July 2, 2015, Mellon visited her primary care doctor, Dr. Jondahl, for a re-check of depression. She also cited her short-term memory and concentration issues. (Doc. No. 11-22 at 16). He stated her depressive disorder was "fairly well controlled on current medication" and wrote "I spent quite a bit of time encouraging her to try to go out and do something, but she was very refractory to this."
On September 14, 2016, Mellon returned to Dr. Johndahl with a chief complaint of fatigue.
In her opinion, the ALJ determined Mellon did not have a severe mental impairment or combination of mental impairments.
Regarding the second functional area of interacting with others, the ALJ found Mellon has "mild" limitation, balancing evidence such as her social relationships with her prescription for Xanax.
The ALJ also considered evidence of Mellon's daily activities, such as adhering to a schedule, carrying out multi-step tasks like using a computer, paying bills, and driving, and taking her father's employees' lunch orders and bringing them food. She writes, "These daily activities reflect a greater degree of physical and cognitive ability than alleged."
Mellon disputes these determinations, noting Dr. Brooks's observation that Mellon's scores fell into the "low average" and "mildly impaired" ranges, respectively, on two different tests. The Commissioner responds by citing the variety of test results showing Mellon's cognitive function was average, as well as the opinions of state agency reviewing physicians concluding that Mellon was not severely impaired. The Commissioner also cites Mellon's ability to perform daily activities.
The court first notes that Mellon's complaints over the years regarding her memory and attention difficulties have stayed remarkably consistent. The older evidence strongly implies at least some cognitive impairment during this time period. For instance, in 2013, the state examining psychologist concluded she exhibited many symptoms associated with "classical chemotherapy-related cognitive dysfunction"; that same year, she was fired from her job and her employer detailed at length her inability to work at the level of other employees.
However, these events occurred before the period at issue. As the ALJ points out, the overwhelming majority of her cognitive tests since February 1, 2015, have showed average or high average functioning. Dr. Brooks in particular performed extensive testing in May 2015, and a glance at his extremely detailed 12-page report supports the ALJ's conclusions. He ultimately provided results for approximately 60 tests and sub-tests, and only five of these fell below the "average" range. Of these, three results were "low average," and two were "mildly impaired."
Mellon argues that the ALJ "ignored contradictory evidence," but this overstates the case. The ALJ explicitly acknowledged Mellon's slight impairments in her opinion. (
Mellon's lymphedema is another impairment which the ALJ found to be non-severe. This court will first summarize the record with regards to this particular condition.
Mellon alleges significant limitations stemming from this condition in her right hand and arm. In her Function Report dated January 1, 2015, before her benefits were terminated, Mellon stated her lymphedema causes swelling and pain in her right arm. (Doc. No. 11-7 at 75). She wrote her right arm was "terribly affected" and her ability to lift and reach was impacted. (Doc. No. 11-7 at 75).
Mellon testified at hearing that lymphedema was one of the physical conditions limiting her work. (Doc. No. 11-2 at 59). She explained how her lymphedema affected her computer use: "I am right handed so I'm used to using a mouse for everything I did. That's very — I don't know what the word is. It's not a comfortable feeling and I've tried to do left hand — excuse me — and that's nearly impossible."
Mellon testified her right arm was weaker than her left arm.
Mellon also stated that she has problems with her right arm when cleaning her condo because she becomes "worn out really easily" when doing activities such as pushing a vacuum, wiping surfaces, or putting dishes away.
Mellon treats the lymphedema with a "Flexi-Touch" pneumatic pump system, consisting of four parts that wrap around her hips, trunk, chest, and arm.
According to the medical records, Mellon has sought treatment several times since February 1, 2015, for lymphedema. On February 4, 2015, Mellon consulted an occupational therapist. (Doc. No. 11-20 at 41-45). The "history of present illness" section states "Duration: last 3-4 weeks started bothering again," and under notes, reads "2011 HPC 4 weeks of full therapy. Had compression sleeve and gauntlet glove. Stopped wearing during the summer as was too hot and uncomfortable."
On February 23, 2015, Mellon returned to for follow-up care. The therapist noted continued edema in her trunk, axillary, and right upper extremity.
Mellon returned for an hour of similar treatment approximately ten more times over the next few weeks, through March 11.
On March 16, Mellon returned to the clinic to receive paperwork for her edema sleeve in preparation for a flight. Dr. Johndahl, her primary care physician, noted "she has been treating lymphedema of her right arm since her mastectomy, on and off. It's been more of a problem in the last month . . ." He noted that there was no edema present in her right arm that day.
On a medical consultation dated April 8, 2015, Dr. Thomas Christianson performed a Physical Residual Functional Capacity Assessment related to the primary diagnosis of Mellon's lymphedema. He concluded Mellon's impairments established no exertional, postural, manipulative, visual, communicative, or environmental limitations. (Doc. No. 11-21, 3-10). He cites approximately seven medical records from the period of 2012 to 2015, summarizing them briefly. His report does not include a great deal of analysis, but he concludes Mellon's allegations of symptoms "appear to be overstated," as her memory testing showed normal cognitive capacity, she participates in a bowling team, drives, and prepares her own meals.
On July 2, 2015, Mellon visited Dr. Johndahl, her primary care physician. (Doc. No. 11-22 at 16). He noted she was using the Flexi-Touch pump system for her right arm lymphedema, and it was going well.
On March 17, 2016, Mellon visited Dr. Johndahl with a chief complaint of right-hand soreness and swelling for the past three days. (Doc. No. 11-22 at 13). The doctor noted she had not done home lymphedema treatments in several days because of the pain, and the pain had woken her from sleep.
In May of 2015, after the initial decision to terminate Mellon's disability but before her hearing with the ALJ, Mellon had a disability hearing with a disability hearing officer. (Doc. No. 11-4 at 15). This officer found that Mellon's lymphedema was a severe impairment.
The ALJ found Mellon's lymphedema was a medically determinable impairment, but determined it was not severe. Her main analysis was:
(Doc. No. 11-2 at 28).
Mellon argues her edema is indeed severe. She alleges that the ALJ failed to properly consider her testimony regarding the limiting effects of her edema, e.g., her difficulties with repetitive motion, lifting and carrying. She points out that lifting and carrying is a very different ability than the fingering tested by Dr. Brooks. She claims these symptoms significantly impact her ability to work. Mellon further avers the ALJ failed to properly consider her need to lie down and use the edema pump for an hour each day and argues this would be intolerable in any competitive employment.
In response, the Commissioner points to various examination notes in the medical record that made no findings of lymphedema, and reflected normal range of motion, strength, and movement. The Commissioner also cites Mellon's hearing testimony that the Flexi-Touch pumping system is effective, and cites case law for the proposition that impairments which are controlled by treatment are not disabling.
It is true that many of Mellon's providers did not note lymphedema or right arm dysfunction upon physical examinations occurring during the relevant time period. The ALJ specifically cites exhibit 27F, which in the current file is found at Doc. No. 11-23, pages 2-90. In these records, from an emergency room visit as well as four oncology visits between September 2015 and April 2016 note "no edema" during physical examination and lack any reference to any arm pain or swelling. (
On the other hand, as noted at least four times by Mellon's primary care physician and therapist, Mellon had been treating her lymphedema at home starting in February 2015.
The lack of medical records was not the only reason the ALJ found Mellon's lymphedema non-severe. Her opinion also stated, "Moreover, the claimant's sensory and motor functioning across both hands was `high average' as assessed in the neuropsychological examination." However, upon closer inspection, this examination does not seem to be particularly persuasive.
As discussed at length above, Mellon completed a six-hour neuropsychological evaluation with Dr. David Brooks. (Doc. No. 11-21, p. 28). As Dr. Brooks explains, Mellon was referred by her oncologist because of challenges with memory.
It is apparent from the face of his evaluation that Dr. Brooks did not intend it to be an exhaustive analysis of the function of Mellon's upper right extremity. He had been primarily concerned with her memory and attention. While the undersigned has no reason to doubt his expertise in his field, Dr. Brooks is not an M.D., but rather holds a Ph.D. in clinical neuropsychology. The ALJ's citation to these narrow test results is not substantial evidence on the record as a whole when viewed in light of Mellon's much broader complaints of right-hand pain and dysfunction.
The ALJ also cites Mellon's extensive daily activities, such as independent living in a condominium, preparation of simple meals and independence in housekeeping, etc. (Doc. No. 11-2 at 30). She "is physically able to lift and carry groceries, cleaning products, and the like. She is able to use her hands to use the computer, drive a car, or use cooking implements and hand tools."
The ALJ also points to Mellon's testimony regarding the use of her Flexi-Touch pump system and its effectiveness as evidence her lymphedema is non-severe. The Commissioner cites
Lastly, the ALJ mentions the opinions of state agency consultants Ralph Kilzer, M.D., and Thomas Christianson, M.D., stating that these opinions are given great weight. Dr. Christianson's evaluation specifically addresses Mellon's lymphedema.
It appears that Dr. Christianson did not examine Mellon personally. As such, he is a non-examining source. Various Eighth Circuit cases discuss the weight to be given non-examining sources.
There are several aspects of Dr. Christianson's assessment which call into doubt the ALJ's decision to give it great weight. It is given in checklist format, and his analysis is cursory, consisting of brief summaries of medical records and spanning about half a page overall. For instance, he summarizes Mellon's February 23, 2015 visit to an occupational therapist for lymphedema treatment by saying "Claimant have lymphedema issues in her R arm. Sensation intact, shws has normal ROM of her right arm and L arem [sic]." But he does not mention the hour of therapy she received that day, the measurements taken of her arm, or any details of the course of her disease, such as the other 10 visits she made to the therapist that month. Furthermore, his assessment took place in April 2015, over a year and a half before the hearing. Thus he had no opportunity to evaluate Mellon's 2016 report of lymphedema-related pain. For all of these reasons, the court disagrees with the ALJ's decision to give his analysis great weight.
Overall, the court finds multiple weaknesses in the ALJ's rationale for finding Mellon's lymphedema non-severe. Keeping in mind the Eighth Circuit's caution that "great care" must accompany a decision to find an impairment non-severe, this court cannot conclude that substantial evidence on the record as a whole shows Mellon's lymphedema had no more than a minimal impact on her ability to work. It is entirely possible that Mellon is not disabled; this court makes no findings regarding the ultimate issue. But the ALJ did not even reach the issue of Mellon's residual functional capacity and resulting employability, and her decision to terminate the analysis is not supported by substantial evidence.
In the face of a finding of an improper denial of benefits, but the absence of overwhelming evidence to support a disability finding by the Court, out of proper deference to the ALJ the proper course is to remand for further administrative findings.
As such, this Court remands Mellon's case so the Social Security Administration may make further findings on Mellon's lymphedema and its severity. If Mellon's lymphedema is found to be severe, then the ALJ must continue the analysis and determine Mellon's residual functional capacity by considering all her impairments, severe and non-severe alike.
In her last point, Mellon cites her conditions of hip pain, chest pain, mental impairments, depression, fatigue, dysphagia, and lymphedema, and argues that these conditions in combination with one another constitute a severe impairment.
The ALJ found Mellon had the medically determinable impairments of: history of breast cancer, cognitive/memory impairment, depressive disorder, fatigue, dysphagia, and lymphedema, but none of these were severe. She stated that since February 1, 2015, Mellon no longer had "a severe impairment or combination of impairments." (Doc. No. 11-2 at 26).
Mellon criticizes the ALJ's failure to discuss her hip pain and chest pain, arguing the ALJ was required to look at the claimant as a "whole person" and failed to do so. Mellon concludes that these impairments, in combination with each other and with her mental impairments, depression, fatigue, dysphagia, and lymphedema, constitute severe impairments which limit her ability to perform work. The Commissioner responds simply that the medical record and Mellon's daily activities support the ALJ's conclusion.
Mellon previously argued both her memory problems and lymphedema are severe when considered individually. This argument differs: Mellon does not allege, for example, that her fatigue or hip pain are themselves severe. Rather, she alleges her impairments "as a whole" reach the level of severity, i.e., cause more than a minimal effect on her ability to work.
The law regarding combined impairments is explained in the Code of Federal Regulations:
20 C.F.R § 404.1523(c)
As stated above, the non-severity of Mellon's lymphedema is not based upon substantial evidence. It logically follows that the non-severity of her lymphedema plus her other impairments is not based upon substantial evidence. Upon remand, the ALJ should revisit not only the lymphedema as directed above, but consider whether Mellon's other impairments in combination with the lymphedema caused more than a minimal impact on her ability to work.
Furthermore, if the ALJ re-examines the evidence and finds even a single severe impairment or combination of impairments, any non-severe impairments must still be taken into account when determining Mellon's residual functional capacity:
20 C.F.R. § 404.1545
But the analysis does not end here because in her third argument, Mellon alleges an impairment — hip pain — which the ALJ does not find to be medically determinable at all
Mellon sought treatment multiple times for right hip pain back in the spring of 2012. Her doctors acknowledged the possibility that Arimidex was causing her hip pain and eventually directed her to temporarily stop taking it. (e.g., Doc. No. 11-18 at 21, 25, 32). Mellon was ultimately diagnosed with a stress fracture in her right hip. (Doc. No. 11-18 at 21, 15). In June 2012, her oncologist noted improving pain in her right hip and decided to resume the Arimidex, suggesting over the counter pain medications to control her musculoskeletal symptoms. (Doc. No. 11-16 at 75). Mellon's hip pain is mentioned occasionally thereafter during this time period. (
Turning to the evidence generated after February 1, 2015, Mellon complained of trouble with her right hip in a September 2015 visit to her oncologist. (Doc. No. 11-23 at 25). Dr. Gray ordered a PET scan to determine whether her cancer had recurred.
On October 12, 2015, Mellon returned to follow up on the previously-ordered scan and stated she was feeling much better, though she still experienced hip pain and occasional chest pain.
In October 12, 2016, Mellon visited her oncologist for a follow-up. He noted she was feeling "quite well" with no major problems, and she was tolerating the Arimidex "quite well."
On her Function Report dated January 12, 2015, Mellon stated that she suffered from a weak right hip due to a fracture from medicine. (Doc. No. 11-7 at 70). She wrote her right hip affected her ability to do house and yard work.
There was little testimony elicited at hearing about Mellon's hip pain. The following exchange occurred between Mellon and the ALJ:
Neither the ALJ nor Mellon returned to the subject of Mellon's hip pain. Mellon later mentions her treatment at the Cleveland Clinic for her hip fracture, but there is no further discussion of her injury or any of the symptoms.
The ALJ did not list hip pain as a medically determinable impairment. A medically determinable impairment is one "that results from anatomical, physiological, or psychological abnormalities which are demonstrable by medically acceptable clinical and laboratory diagnostic techniques."
On the face of the record, there are several abnormalities supported by medical evidence that could cause Mellon's alleged hip pain. She suffered a clinically-documented stress fracture sometime in 2012 and multiple doctors identify musculoskeletal symptoms caused by Arimidex. It is unclear why this evidence is insufficient to establish Mellon's right hip pain as a medically determinable condition. The ALJ did briefly note Mellon's improving hip pain. But she did not explicitly discuss whether it was medically determinable or give any justification for finding it was not. This court cannot conclude that the ALJ's decision is supported by substantial evidence without any insight into her rationale. Upon remand, the ALJ should make specific findings regarding Mellon's hip condition.
Mellon's Motion for Summary Judgment (Doc. No. 13) is