Janice Edmonson DUTHU, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary of Health and Human Services, Defendant-Appellee

886 F.2d 97, 1989 U.S. App. LEXIS 15708, 1989 WL 111672
CourtCourt of Appeals for the Fifth Circuit
DecidedOctober 16, 1989
Docket88-3841
StatusPublished
Cited by10 cases

This text of 886 F.2d 97 (Janice Edmonson DUTHU, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary of Health and Human Services, Defendant-Appellee) 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
Janice Edmonson DUTHU, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary of Health and Human Services, Defendant-Appellee, 886 F.2d 97, 1989 U.S. App. LEXIS 15708, 1989 WL 111672 (5th Cir. 1989).

Opinion

E. GRADY JOLLY, Circuit Judge:

Because of her unfamiliarity with the intricacies of the Social Security Act and Social Security Administration (“SSA”) regulations, Janice Duthu relied on erroneous information given to her by SSA employees, resulting in the loss of approximately five years of benefit payments due to her children. Mrs. Duthu contends that it is inequitable for the SSA to deny those benefits on the basis of her lack of knowledge *98 of the technicalities of rules with which the SSA’s own employees are unfamiliar. We sympathize with Mrs. Duthu and her children, and acknowledge the irony of a bureaucratic system which, in effect, may require laypersons to know more about SSA regulations than the SSA’s own employees are required to know. Nevertheless, the SSA’s actions were not of the character to estop the SSA from requiring compliance with its regulations.

I

In December 1979 Janice Duthu learned that her children’s father, her former husband James R. Dugan, had disappeared en route to Venezuela and was presumed dead as a result of a plane crash. In January 1980 Mrs. Duthu telephoned the SSA office in Houma, Louisiana, and inquired about filing an application for surviving child’s insurance benefits on behalf of her two children. An employee erroneously informed her that she could not file an application for benefits until she obtained more evidence of her ex-husband’s death, and that, without evidence of death, she would have to wait seven years to file.

Mrs. Duthu did not accept this answer as the final word. In March 1980 Mrs. Duthu, with her mother along, went to the SSA office and an employee told them that it would be futile to file an application without evidence of her former husband’s death. When Mrs. Duthu asked the employee to make a written record that she had attempted to file and that she intended to do so when she had evidence of Mr. Dugan’s death, he told her that such a written record would not be noticed by the SSA office.

About two or three years later, with hope rising from desperation, Mrs. Duthu returned to the SSA office yet again, and attempted once more to apply for surviving child’s insurance benefits. Another SSA employee, identified by her as Mrs. Castan-za, told her that she could not apply until she produced evidence of Mr. Dugan’s death. Mrs. Duthu insisted that Mrs. Cas-tanza make a written record of her visit and attempt to file, but Mrs. Castanza told her that such a record would not do any good and would waste the SSA’s time.

Finally, believing that seven years had passed since Mr. Dugan’s disappearance, Mrs. Duthu returned to the SSA office in October 1985. Mrs. Castanza informed her that she could not file for one more year. Mrs. Duthu again asked Mrs. Castanza to make a written record of her attempt to file; again, Mrs. Castanza refused.

After hearing of Mrs. Duthu’s plight and frustrations, a friend suggested that she contact Mrs. Tregg, an SSA administrator. In November 1985 Mrs. Tregg told Mrs. Duthu that she could file for benefits immediately, and that she could have applied for benefits in January 1980, when Mrs. Duthu first telephoned the SSA to inquire about filing for benefits.

II

On December 16,1985 Mrs. Duthu filed a formal written application for surviving child’s insurance benefits on behalf of her children James and Kelly Dugan. The SSA ruled that their father died in a plane crash on December 18, 1979; that Kelly was not entitled to surviving child’s insurance benefits because she did not meet the age requirements during the months for which the application applied (May through November 1985); and that James was entitled to receive surviving child’s insurance benefits effective May 1985. The SSA upheld this determination on reconsideration and the case was referred to an administrative law judge (“AU”) for an administrative hearing and de novo review.

The AU found that the actions of the SSA employees constituted affirmative misconduct, and held that the government was estopped from requiring compliance with its regulations requiring filing of a written application. The AU determined that the children were entitled to receive surviving child’s insurance benefits effective March 1980 based on Mrs. Duthu’s oral application for benefits at that time. On its own motion, the Appeals Council reviewed and modified the AU’s decision, holding that Kelly was not entitled to receive any bene *99 fits, and James was entitled to receive benefits only as of May 1985.

Mrs. Duthu, Kelly, and James sought review in district court. Their case was referred to a magistrate, who recommended that summary judgment be entered in their favor. The district court sustained the Secretary’s objection to the magistrate’s recommendation and granted the Secretary’s motion for summary judgment.

Ill

Mrs. Duthu and her children appeal to this court, contending that the actions of the SSA employees constituted affirmative misconduct estopping the Secretary from enforcing the regulation requiring written application for benefits. The applicable law, however, supplies us with no basis for affording relief to Mrs. Duthu for the ineptitude of the government’s employees.

Under the Social Security Act, the filing of a formal application for child’s insurance benefits is a prerequisite to the receipt of such benefits. 42 U.S.C. § 402(d)(1)(A). The application must be in writing and on a form prescribed by the Secretary. 20 C.F.R. § 404.610, 404.611. Because Mrs. Duthu did not file a written application until December 1985, her children cannot claim benefits for a period in excess of six months prior to that date. 20 C.F.R. § 404.603. Mrs. Duthu argues, however, that the Secretary should be estopped from denying benefits to her children for the period from March 1980 (the date of her first visit to the SSA office) to December 1985 because her failure to file a written application was the result of misconduct on the part of SSA employees.

A private individual asserting estoppel against the government bears a heavy burden. Heckler v. Community Health Services, 467 U.S. 51, 60, 104 S.Ct. 2218, 2224, 81 L.Ed.2d 42 (1984). Erroneous oral statements by a government agent, without more, are insufficient to apply estoppel. Id. at 64, 104 S.Ct. at 2226. In a case involving somewhat similar circumstances, the Supreme Court held that an SSA field representative's erroneous oral statements regarding an applicant’s eligibility, and the representative’s failure to recommend that the applicant file a written application, did not estop the SSA from denying retroactive retirement benefits under 42 U.S.C. § 402(j). See Schweiker v. Hansen, 450 U.S. 785, 101 S.Ct. 1468, 67 L.Ed.2d 685 (1981).

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Abu-Awad v. United States
294 F. Supp. 2d 879 (S.D. Texas, 2003)
Cole v. Barnhart
Fifth Circuit, 2002
United States v. Bloom
925 F. Supp. 426 (E.D. Louisiana, 1996)
Federal Deposit Insurance v. Royal Park No. 14, Ltd.
800 F. Supp. 477 (N.D. Texas, 1992)
Federal Deposit Insurance v. Spain
796 F. Supp. 241 (W.D. Texas, 1992)
Gibson v. Resolution Trust Corp.
750 F. Supp. 1565 (S.D. Florida, 1990)
United States v. Carl Robert Christy
911 F.2d 725 (Fourth Circuit, 1990)

Cite This Page — Counsel Stack

Bluebook (online)
886 F.2d 97, 1989 U.S. App. LEXIS 15708, 1989 WL 111672, Counsel Stack Legal Research, https://law.counselstack.com/opinion/janice-edmonson-duthu-plaintiff-appellant-v-louis-w-sullivan-md-ca5-1989.