Roxie Hollon, on Behalf of Joseph W. Hollon v. Commissioner of Social Security

447 F.3d 477, 2006 U.S. App. LEXIS 12497, 2006 WL 1375102
CourtCourt of Appeals for the Sixth Circuit
DecidedMay 22, 2006
Docket04-6163
StatusPublished
Cited by198 cases

This text of 447 F.3d 477 (Roxie Hollon, on Behalf of Joseph W. Hollon v. Commissioner of Social Security) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Roxie Hollon, on Behalf of Joseph W. Hollon v. Commissioner of Social Security, 447 F.3d 477, 2006 U.S. App. LEXIS 12497, 2006 WL 1375102 (6th Cir. 2006).

Opinion

OPINION

ROSEN, District Judge.

In this appeal, Plaintiff/Appellant Roxie Hollon (“Hollon”) challenges the district court’s decision affirming the determination of the Defendant/Appellee Commissioner of Social Security (the “Commissioner”) to terminate the payment of child’s Supplemental Security Income (“SSI”) benefits to Hollon’s son, Joseph W. Hollon (“Joseph”). Specifically, Hollon advances three contentions on appeal: (i) that the district court erred in declining to compel the Commissioner to consider new evidence of Joseph’s medical condition in the course of a remand to reconstruct a lost administrative record; (ii) that the Commissioner’s decision to terminate benefits was impermissibly based in part upon an invalid, less-than-knowing waiver of the right to a hearing that Hollon signed before she obtained the assistance of counsel; and (iii) that the Commissioner’s underlying benefit determination was not supported by substantial evidence. Finding no error, we affirm.

I. FACTUAL AND PROCEDURAL BACKGROUND

Joseph W. Hollon was born on December 3, 1989. In April of 1990, Joseph’s mother, Roxie Hollon, applied on his behalf for child’s Supplemental Security Income benefits, citing asthma as his impairment. On March 29, 1991, the Social Security Administration determined that Joseph’s asthma was disabling, and awarded child’s SSI benefits for the period beginning April 1, 1990.

A. The Termination of Joseph’s SSI Benefits and the Ensuing Administrative Proceedings

On April 16, 1999, the Social Security Administration notified Hollon that Joseph’s SSI benefits would cease in June of 1999, based on the agency’s determination that her son was no longer disabled. Hol-lon sought reconsideration of this decision, but the agency notified her on May 1, 2000 that it was adhering to its determination *480 that Joseph was no longer eligible for SSI benefits. Hollon was further advised of her right to seek review of this decision by an Administrative Law Judge (“ALJ”).

Hollon promptly requested an ALJ’s review in a Social Security Administration form submitted on May 3, 2000. This form included two check boxes, inviting Hollon to choose between “appear[ing] at a hearing” or allowing the ALJ to decide the matter “based on the evidence.” (Request for Hearing Form HA-501, Admin. Record at 52.) It appears that Hollon initially checked the box reflecting her desire for a hearing, but that she blackened this out and instead checked the box indicating that she did not wish to attend a hearing. (See id.) 1

In the course of reviewing the record, ALJ John M. Lawrence noted Hollon’s apparent election not to appear at a hearing, and sought to ensure that this accurately reflected Hollon’s wishes. Thus, the ALJ wrote to Hollon on March 6, 2001, stating:

In reviewing you[r] file, I noted that you waived your right to appear and give evidence, and you requested that a decision be made based on the evidence of record. After reviewing the evidence in your case, I feel that it may be to your benefit to appear and testify at a hearing.
If you should decide to appear at a hearing, you will be notified in advance of the time and place. Please mark below your choice, sign on the signature line of this letter, and return this letter to me as soon as possible.

(ALJ’s 3/6/2001 Letter, Admin. Record at 277.) Immediately below this text, Hollon was invited to express her preference regarding a hearing, and she responded by placing a check mark next to the line stating, “I do not wish to appear and testify at a hearing and request that a decision be made based on the evidence of record.” (Id.) She then signed and returned the letter to the ALJ, accompanied by a signed Form HA-4608 in which she confirmed the waiver of her right to appear before the ALJ. (See Form HA-4608, Admin. Record at 278.)

In a decision dated April 13, 2001, the ALJ found that Joseph’s SSI benefits had been properly terminated in June of 1999, two months after he ceased to be disabled within the meaning of the Social Security Act. The ALJ determined that Joseph suffered from the medically determinable impairment of asthma, but concluded that the severity of this condition had diminished since Joseph was found to be disabled in March of 1991. The ALJ further determined that Joseph’s impairment, while severe, did not meet or medically or functionally equal the requirements of any listing in the Listing of Impairments set forth at 20 C.F.R. pt. 404, subpt. P, app. 1. Finally, the ALJ found that Joseph’s impairment did not result in marked or severe functional limitations. 2

*481 On April 23, 2001, Hollon requested that the Appeals Council review the ALJ’s decision. Hollon was represented by counsel in this phase of the administrative proceedings, and her attorney submitted additional medical records from the Kentucky River Medical Center and a family physician. In a decision dated November 20, 2002, the Appeals Council denied Hollon’s request for review. The Appeals Council explained that the medical records provided by Hollon’s attorney had been considered and “made a part of the record,” but that neither the contentions of counsel nor the additional evidence “provide[d] a basis for changing the Administrative Law Judge’s decision.” (Appeals Council’s 11/20/2002 Decision, Admin. Record at 5-7.)

B. The District Court Proceedings and the Reconstruction of the Administrative Record

Hollon commenced this action in the U.S. District Court for the Eastern District of Kentucky on January 29, 2003, challenging the decision of the Commissioner of Social Security to terminate her son’s SSI benefits. Shortly thereafter, and before any answer was filed, the Commissioner moved for a so-called “sentence six” remand under 42 U.S.C. § 405(g), citing the agency’s inability to locate the record of the administrative proceedings regarding the cessation of Joseph’s benefits. Through this motion, the Commissioner requested an opportunity to search for the file, and to reconstruct the record if it could not be located within a reasonable period of time. Hollon responded that she had no objection to such a remand but, to the contrary, was already assisting the Commissioner in reconstructing the lost file. Accordingly, the district court entered an April 15, 2003 order granting the Commissioner’s motion and remanding the case for further administrative proceedings.

Over the next several months, Hollon and her present counsel 3 evidently sent two sets of records to the Appeals Council as part of the effort to reconstruct the administrative record. Initially, in March of 2003, Hollon and her counsel forwarded 350 pages of materials obtained from the attorney who had assisted Hollon in her administrative appeal.

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

Related

Cite This Page — Counsel Stack

Bluebook (online)
447 F.3d 477, 2006 U.S. App. LEXIS 12497, 2006 WL 1375102, Counsel Stack Legal Research, https://law.counselstack.com/opinion/roxie-hollon-on-behalf-of-joseph-w-hollon-v-commissioner-of-social-ca6-2006.