Leimbach v. Califano

596 F.2d 300
CourtCourt of Appeals for the Eighth Circuit
DecidedApril 2, 1979
DocketNo. 78-1561
StatusPublished
Cited by30 cases

This text of 596 F.2d 300 (Leimbach v. Califano) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Leimbach v. Califano, 596 F.2d 300 (8th Cir. 1979).

Opinion

HENLEY, Circuit Judge.

The Secretary of Health, Education and Welfare (the Secretary) appeals the decision of the district court granting the children of appellee John Leimbach child’s insurance benefits retroactive to September, 1968. We reverse.

This is a dispute over the date on which John and Rosemary Leimbach’s two children became entitled to child’s insurance benefits under § 202(d) of the Social Security Act (the Act), 42 U.S.C. § 402(d). Rosemary Leimbach, the wage earner upon whose earnings record benefits are being sought, died on January 20,1967. And it is not disputed that her children became eligible for benefits in February of 1968, the effective date of the December, 1967 amendments to the Act which removed certain restrictions on eligibility for child’s insurance benefits based on the earnings record of married women. However, the Secretary and Mr. Leimbach disagree as to [302]*302when the children became entitled1 to receive these benefits.

On November 9, 1967 Mr. Leimbach applied to the Social Security Administration (the Agency) for lump-sum death benefits as the surviving spouse of his deceased wife. But he did not inquire as to his children’s eligibility for benefits until sometime in September of 1968. He was then erroneously informed at the local Agency office that the children were not eligible for child’s insurance benefits.2 Leimbach addressed additional oral inquiries concerning this matter to the Agency at various times during 1970, 1971 and 1972 but always received the same response. In early 1975 he independently learned of his children’s eligibility through a newspaper article. He then managed to reach a knowledgeable Agency employee who accepted a written application for child’s insurance benefits on June 26, 1975. The Agency, pursuant to § 202(3X1) of the Act, 42 U.S.C. § 402(j)(l), granted this application one year of retroac-tivity and found the children entitled to benefits effective June, 1974.

Mr. Leimbach sought an administrative reconsideration of this determination, asserting that his children were entitled to benefits as of September, 1968 when he first inquired about their eligibility and was erroneously informed that they were ineligible. An administrative hearing was held at which Leimbach testified concerning his numerous attempts to ascertain the rights of his children. The Administrative Law Judge (ALJ) expressed concern over the Agency’s repeated failure to provide Leim-bach with correct information but agreed with the Agency that the children’s retroac-five entitlement date was June, 1974 because Leimbach had failed to file until June of 1975 a written application as required by Agency regulations. See 20 C.F.R. § 404.-601(c) and (d); 20 C.F.R. § 404.613. The ALJ’s decision was affirmed by the Agency’s Appeals Counsel. Leimbach then brought this action in district court seeking judicial review of this final agency determination.

The district court granted Leimbach’s motion for summary judgment, awarding the Leimbach children benefits as if written application had been made in 1968. The court felt that its decision was controlled by the previous district court opinion in Holmes v. Weinberger, 423 F.Supp. 149 (E.D.N.Y.1976). The Holmes court, in effect, held the Agency’s written application requirement invalid as violative of the broad compensatory purposes of the Act. The Agency now appeals the district court’s judgment and asks that we reject the Holmes rationale and uphold the validity of the written application requirement.

In our view this case presents two distinct issues. First we must determine whether the Agency’s regulations requiring written applications as a condition precedent to entitlement are valid. Secondly, if these requirements are valid, we must then determine whether the actions of the Agency’s employees in misinforming Mr. Leim-bach about his children’s eligibility should estop the Agency from applying its regulations to bar the children’s entitlement until June of 1974.

Validity of the Regulations.

Since October of 1955 the Agency has operated under self-imposed regulations [303]*303requiring all applicants for child’s insurance benefits to file written applications on special forms supplied by it.3 In some instances the special forms need not be submitted, but the applications must always be in writing.4 Yet, from 1946 until the adoption of the present regulations in 1955, the Agency accepted oral applications in a limited number of circumstances. Regulation 403.-701(f)(2), for example, recognized oral applications where the applicant had not filed a written application because an Agency employee had failed to “inform [the applicant] concerning the requirements of the Act or the Administration’s regulations thereunder . . . .” 20 C.F.R. § 403.701(f)(2), cited in pertinent part at 423 F.Supp. 153. See also 20 C.F.R. §§ 403.701(b)(1) and (k)(l).

The Holmes court would apparently hold the Agency’s present regulations invalid and would require the Agency to recognize the oral application procedures embodied in its pre-1955 regulations as consistent with and required by the underlying compensatory policies and purposes of the Act. The court noted that the language of the Act only requires an “application” and does not specify that the application be in writing. See, e. g., 42 U.S.C. § 402(d)(1)(A). And it found nothing in the legislative history of the Act supporting the Agency’s view that a written application should be required. There, as here, the applicant had failed to comply with the written application requirement because of ill-conceived advice from Agency employees and would probably have qualified for benefits under the pre-1955 regulations. The court felt that such applicants were not mere “recipients of handouts” but were instead “beneficiaries of insured wage earners, ‘entitled to no less than a liberal and broad construction [of the Act] will allow.’ ” Holmes v. Wein-berger, supra, 423 F.Supp. at 154, citing Rosenberg v. Richardson, 538 F.2d 487, 490 (2d Cir. 1976). See also Tuck v. Finch, 430 F.2d 1075 (4th Cir. 1970); Crumpler v. Cali-fano, 443 F.Supp. 342 (E.D.Va.1978).

The Holmes decision, however, goes against the weight of numerous judicial decisions upholding the validity of the Agency’s written application requirement. See, e. g., Goff v. Weinberger, CCH UIR 114,470 (D.Conn.1975), aff’d, 538 F.2d 309 (2d Cir. 1976), cert. denied, sub nom. Goff v.

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596 F.2d 300, Counsel Stack Legal Research, https://law.counselstack.com/opinion/leimbach-v-califano-ca8-1979.