Claudio-Montanez v. Kijakazi

Court of Appeals for the Second Circuit·Decided December 20, 2022·No. 21-2027·Unpublished

Opinion

21-2027 Claudio-Montanez v. Kijakazi

UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT

SUMMARY ORDER

RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1, 2007, IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND THIS COURT’S LOCAL RULE 32.1.1. WHEN CITING A SUMMARY ORDER IN A DOCUMENT FILED WITH THIS COURT, A PARTY MUST CITE EITHER THE FEDERAL APPENDIX OR AN ELECTRONIC DATABASE (WITH THE NOTATION “SUMMARY ORDER”). A PARTY CITING TO A SUMMARY ORDER MUST SERVE A COPY OF IT ON ANY PARTY NOT REPRESENTED BY COUNSEL.

At a stated term of The United States Court of Appeals for the Second Circuit, held at the Thurgood Marshall United States Courthouse, 40 Foley Square, in the City of New York, on the 20th day of December, two thousand twenty-two.

PRESENT:

GUIDO CALABRESI,

BETH ROBINSON,

Circuit Judges

PAUL A. ENGELMAYER *,

District Judge

ANA CLAUDIO-MONTANEZ, Plaintiff-Appellant,

v. No. 21-2027 KILOLO KIJAKAZI, ACTING COMMISSIONER OF SOCIAL SECURITY, Defendant-Appellee.

* Judge Paul A. Engelmayer of the United States District Court for the Southern District of New York, sitting by designation.

FOR APPELLANT: PETER A. GORTON, Lachman & Gorton, Endicott, NY.

FOR APPELLEE: MOLLY E. CARTER (Michael J. Pelgro, Regional Chief Counsel, on the brief), Office of the General Counsel, Social Security Administration, Boston, MA, for Carla B. Freedman, United States Attorney for the Northern District of New York, Albany, NY.

Appeal from an order of the United States District Court for the Northern District of New York (Peebles, M.J.).

UPON DUE CONSIDERATION WHEREOF, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the judgment of the district court entered on July 23, 2021 is VACATED and REMANDED.

Plaintiff-appellant Ana Claudio-Montanez appeals a decision of the district court affirming the Social Security Commissioner’s (Commissioner) denial of her applications for disability insurance benefits and supplemental security income.

Claudio-Montanez sought disability benefits based on myriad physical and mental limitations. In a lengthy decision including a thorough review of the medical record, the Administrative Law Judge (ALJ) concluded that Claudio- Montanez had the Residual Functional Capacity (RFC) to perform sedentary work, and that she could perform past relevant work as a hair braider. Claudio-

Montanez challenges the ALJ’s RFC determination on appeal. In particular, Claudio-Montanez emphasizes the impact of impairments to her feet on her ability to meet the sitting and/or standing demands of sedentary work and the combined impact of her impairments on her ability to maintain acceptable levels of attention and/or attendance. We assume the parties’ familiarity with the underlying facts, procedural history, and arguments on appeal, to which we refer only as necessary to explain our decision to vacate and remand.

When reviewing challenges to the Commissioner’s denial of an application for disability insurance benefits or supplemental security income, we focus on the administrative ruling rather than the district court’s decision. Rosa v. Callahan, 168 F.3d 72, 77 (2d Cir. 1999). In so doing, we “conduct a plenary review of the administrative record to determine if there is substantial evidence, considering the record as a whole, to support the Commissioner’s decision and if the correct legal standards have been applied.” Cichocki v. Astrue, 729 F.3d 172, 175–76 (2d Cir. 2013). 1 Substantial evidence is evidence that “a reasonable mind might accept as adequate to support a conclusion.” Rosa, 168 F.3d at 77.

1 In quotations from caselaw and the parties’ briefing, this opinion omits all internal quotation marks, alterations, footnotes, and citations, unless otherwise noted.

For the reasons set forth below, we conclude that the ALJ’s erroneous determination that Claudio-Montanez’s longtime podiatrist, Dr. Joseph Hogan, was an unacceptable medical source was not harmless, and that this error, in combination with others, compromised the ALJ’s conclusions as to the extent of Claudio-Montanez’s ability to stand and her need for positional changes. In addition, we remand for reconsideration of the ALJ’s conclusions concerning Claudio-Montanez’s attentional and attendance capabilities. I. Dr. Hogan’s Opinions The Commissioner does not dispute that the ALJ erred in concluding that Dr. Hogan was not an acceptable medical source. At issue is whether this error was harmless. We conclude it was not.

An ALJ must follow a two-step analysis to determine the appropriate weight to give a treating physician’s opinion. See Estrella v. Berryhill, 925 F.3d 90, 95 (2d Cir. 2019).

First, “the ALJ must decide whether the opinion is entitled to controlling weight.” Id. An ALJ must afford a treating physician’s opinion controlling weight if it is well-supported by medically acceptable clinical and laboratory diagnostic techniques and not inconsistent with other substantial evidence in the record. See

20 C.F.R. § 416.927(c)(2);2 see also Rosa, 168 F.3d at 78-79. “The ALJ is not permitted to substitute [her] own expertise or view of the medical proof for the treating physician’s opinion or for any competent medical opinion.” Greek v. Colvin, 802 F.3d 370, 375 (2d Cir. 2015).

Second, if the ALJ determines that the opinion is not entitled to controlling weight, the ALJ must determine how much weight, if any, to give it. See 20 C.F.R. § 416.927(c)(2)-(6); see also Rosa, 168 F.3d at 78-79. In so doing, the ALJ must explicitly consider the “Burgess factors.” Estrella, 925 F.3d at 95-96. These are: “(1) the frequency, length, nature, and extent of treatment; (2) the amount of medical evidence supporting the opinion; (3) the consistency of the opinion with the remaining medical evidence; and (4) whether the physician is a specialist.” Id.; see also Burgess v. Astrue, 537 F.3d 117, 129 (2d Cir. 2008).

A. Step One: Controlling Weight to Acceptable Medical Source.

At step one, the ALJ wrongly found that Dr. Hogan’s opinions did not warrant “controlling weight” because he was not an acceptable medical source.

2 The Commissioner amended the regulations regarding the treating physician rule for claims filed on or after March 27, 2017. See 20 C.F.R. § 416.920c. That revision softened the treating physician rule such that a medical source’s “treatment relationship” with a claimant is a factor considered when assessing the persuasiveness of medical source opinions, rather than a basis for affording controlling weight to the treating physician’s opinion. We apply the pre-2017 version of the regulations, id. § 416.927, in effect when Claudio-Montanez filed her claim.

See App’x 63;3 see also 20 C.F.R. § 416.902(a)(4) (defining licensed podiatrist as acceptable medical source for impairments of the foot, or foot and ankle, depending on the state of podiatrist’s practice).4

B. Step Two: Application of the Burgess Factors to Determine Weight of Evidence.

Having concluded that Dr. Hogan was not an acceptable medical source, the ALJ did not explicitly apply the Burgess factors. Instead, the ALJ concluded that Dr. Hogan’s opinions warranted little weight because they were not well- supported given the “scant chronically positive objective clinical findings.” App’x 58-59.

We recognize that an ALJ’s failure to explicitly apply the Burgess factors may be harmless if a “searching review of the record” reveals that the ALJ applied the substance of the treating physician rule. Estrella, 925 F.3d at 96. But if the ALJ has

Citations to “App’x” are to Appellant’s appendix. Citations to “CAR” are to the certified 3

administrative record.

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