Claudio-Montanez v. Kijakazi

CourtCourt of Appeals for the Second Circuit
DecidedDecember 20, 2022
Docket21-2027
StatusUnpublished

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

Bluebook
Claudio-Montanez v. Kijakazi, (2d Cir. 2022).

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-

2 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.

3 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

4 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.

5 See App’x 63;3 see also 20 C.F.R. § 416

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Related

Burgess v. Astrue
537 F.3d 117 (Second Circuit, 2008)
Tolbert v. Queens College
242 F.3d 58 (Second Circuit, 2001)
Brault v. Social Security Administration
683 F.3d 443 (Second Circuit, 2012)
Selian v. Astrue
708 F.3d 409 (Second Circuit, 2013)
Cichocki v. Astrue
729 F.3d 172 (Second Circuit, 2013)
United States v. Pauling
924 F.3d 649 (Second Circuit, 2019)
Estrella v. Berryhill
925 F.3d 90 (Second Circuit, 2019)
Rucker v. Kijakazi
48 F.4th 86 (Second Circuit, 2022)
Greek v. Colvin
802 F.3d 370 (Second Circuit, 2015)
Lamond v. Astrue
440 F. App'x 17 (Second Circuit, 2011)

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Claudio-Montanez v. Kijakazi, Counsel Stack Legal Research, https://law.counselstack.com/opinion/claudio-montanez-v-kijakazi-ca2-2022.