Smith v. Commissioner of Social Security
Opinion
OPINION
Ricky Lee Smith filed an application for supplemental security income resulting from disability. A hearing was conducted before an administrative law judge (“ALJ”). The ALJ issued an unfavorable decision, finding that Smith was not disabled under the Social Security Act. The notice of.decision stated that Smith had sixty days to file a written appeal with the Appeals Council ‘if he disagreed with the ALJ’s decision. Smith’s attorney claimed he timely mailed a request for review to the Appeals Council, but was unable to provide any. independent evidence of this. The Social Security Administration did not receive the request until approximately four months after the time for appeal had expired. Finding no good cause for the untimeliness, the Appeals Council dismissed the appeal. Smith subsequently filed a civil complaint seeking review of the Appeals Council’s dismissal of his untimely request for review. The district court dismissed his complaint for lack of jurisdiction and because Smith made no colorable constitutional claims.
On appeal to this court, Smith alleges that he suffered due process violations because: (1) his request for Appeals Council review was timely submitted but dismissed as untimely, (2) a different ALJ signed his hearing decision than the one that presided over his hearing, and (3) the ALJ referenced Smith’s 1988 favorable supplemental security income decision in his unfavorable decision denying income for new medical conditions, but failed to attach a copy of it as an exhibit. We hold that an Appeals Council decision to refrain from considering an untimely petition for review is not a “final decision” subject to judicial review in federal court. Further, for the reasons explained below, each of Smith’s due process arguments fail. Therefore, we AFFIRM the order of the district court.
I. FACTUAL AND PROCEDURAL BACKGROUND
On September 18, 1987, Smith filed an application for supplemental security in *815 come resulting from disability. On October 13, 1988, an ALJ issued a favorable decision. Smith received benefits until 2004, when he was found to be over the resource limit.
Smith-filed another application for supplemental security income on August 7, 2012, alleging additional medical conditions as a result of his original disability. The claim was initially denied, and denied again upon reconsideration.
Smith timely filed a request for a hearing before an ALJ. A hearing was conducted by videoconference before ALJ Robert Bowling on February 18, 2014. On March 26, 2014, ALJ Don Paris signed a decision on behalf of ALJ Bowling denying Smith’s claim. Pursuant to the governing regulations, Smith had' sixty days to appeal the decision to the Appeals Council. He claims that he mailed a written request for review to the Appeals Council on April 24, 2014. 1 On September 21, 2014, Smith faxed a correspondence to the Society Security Administration, inquiring as to the status of his appeal, and attaching a copy of his written request, which was dated April 24, 2014. A claims representative informed Smith in a letter dated. October 1, 2014, that his request had not been placed in the “electronic folder,” and that if the Appeals Council had received the request, it would have mailed a receipt. The representative mailed a completed request for review form to the Appeals Council along with Smith’s written request for review, The representative informed Smith that his appeals request was filed as of that day, October 1, 2014. On November 6, 2015, the Appeals Council dismissed the request for review as untimely, having found no good cause to extend the time for filing because Smith’s attorney could not provide evidence indicating that it was sent within the appropriate time.
Smith filed a civil action seeking review of the Appeals Council’s dismissal. Smith alleged in his complaint that the Appeals Council improperly dismissed his request for review and that he suffered due process violations. The Commissioner moved to dismiss the complaint for lack of subject matter jurisdiction, and alternatively, for failure to state a claim. The district court determined that there was no judicial review available because the Appeals Council’s dismissal of Smith’s request for appeal as untimely did not constitute a final' decision and Smith made no colorable constitutional claims. It subsequently granted- the Commissioner’s motion. Smith filed a motion for relief from the court’s order, which the court denied. He ndw appeals.
II. ANALYSIS
A. Jurisdiction
The threshold question is whether the decision of the Appeals Council not to consider Smith’s untimely request for review was a “final decision” subject to judicial review under
We. review de novo a district court’s dismissal for lack of subject matter jurisdiction.
See Willis v. Sullivan,
In
Califano v. Sanders,
We have not directly addressed the issue at hand in a published opinion, but we have addressed similar issues on which we can rely. In
Hilmes v. Secretary of Health & Human Services,
Turning to our sister circuits, the majority view is that the Appeals Council’s decision to hear an untimely request for review is discretionary, and refusals of such requests do not constitute “final decisions” reviewable by district courts.
See, e.g., Brandtner v. Dep’t of Health & Human Servs.,
*817 The Eighth Circuit expressed compelling reasoning for determining that the dismissal of an appeal for failure to timely file is not a final decision:
The Appeals Council may dismiss a request for review if it is not filed within the stated time.20 C.F.R. § 404.971 (1984). Such dismissal is binding and not subject to further review.Id. 404 .972. Such action does not address the merits of the claim, and thus cannot be considered appealable, as can the Appeals Council’s decisions and denials of timely requests for review. Seeid. § 404.981. As we stated in Sheehan, “If the claimant may obtain review in this situation [late filing of an appeal] the Secretary’s orderly procedures for processing disability claims mean little or nothing. If claimant may avoid the timely exhaustion of remedies requirement, any claimant could belatedly appeal his claim at any time and always obtain district court review of an ALJ’s decision.”
Smith v. Heckler,
B. Due Process
The Supreme Court recognized that when a constitutional challenge is raised to an otherwise unappealable order, “access to the courts is essential to the decision of such questions.”
Sanders,
Smith claims that his due process rights were violated because: (1) the Appeals Council denied his request for review as untimely after he allegedly timely mailed the request, (2) a different ALJ signed the unfavorable decision than the ALJ that held his hearing, and (3) his 1988 decision was referenced by the ALJ but not attached to the decision as an exhibit. Smith argues that the district court’s dismissal of his appeal is not supported by substantial evidence, actual evidence, the Commissioner’s own regulations and policies, or judicial rulings. We address each argument in turn.
1. Request for Review
Smith does not argue that he lacked notice of the filing requirements. He instead argues that he did, in fact, timely file his notice of appeal. The district court determined that aside from his attorney’s own testimony, Smith was not able to provide any proof that he mailed his written request on April 24, 2014. The court concluded that “[a]bsent independent evidence, such as a postmark or dated receipt, this Court cannot reverse the Appeals Council’s determination that the written request for appeal was untimely.”
Smith v. Comm’r,
No. 5:16-cv-00003-DLB (E.D. Ky. Jan. 12, 2017). Smith claims on appeal that this finding is contrary to the Commissioner’s own regulations, specifi
*818
cally
In
McKentry v. Secretary of Health & Human Services,
The same reasoning applies here. Just as a dated piece of paper in, the Department’s file was not proof of mailing in
McKentry,
in this case, Smith’s dated request for appeal and his attorney’s testimony that he timely mailed the request is not proof that the request was actually mailed. Further, the Social Security Administration has no record of ever timely receiving, the request and Smith was unable to provide a postmark or dated receipt. Taking into account this lack of independent evidence, there is no presumption of receipt.
See Hobt v. Comm’r of Soc. Sec.,
Smith also relies on
Smith’s reliance on § 404.630 is misplaced. Smith’s request was not considered filed until October 1, 2014, the date it was received by the Administration. Not only was the postmark absent, but there is no evidence that his request for appeal was ever mailed to the Administration during the appeals period because the agency never received anything from him. Other than his attorney’s assertion that he timely mailed the request, Smith was unable to provide any “other evidence” to the Administration or the district court.
Smith also relies on the HALLEX.
3
The relevant provision, 1-2-0-40, states that ordinarily a request for a hearing is considered filed as of the date it is received by the Social Security Administration office.
Request for Hearing Filing Requirements,
HALLEX (May 1, 2017), https://www.ssa. gov/OP_Home/hallex/I-02/I-2-0-40.html. However, the agency will also accept as the date of filing a postmark date on the envelope in which the request was mailed, if using the date of receipt would result in a loss of the claimant’s rights.
This is similar to pur analysis above. This argument also fails to persuade us because Smith’s request for appeal was not received by.the seventieth day after the date on the notice of.the decision being appealed. It was received four months after the time for appeal had expired. Additionally, none of the cases that Smith cites provide any support for his contentions.
2. Signature
Smith next argues that, because ALJ Paris signed the decision on behalf of ALJ Bowling, the presiding ALJ, this violated the procedures set forth in the HAL-LEX, denied him due process, and constituted fraud. This argument lacks merit. The relevant HALLEX provision, 1-2-8-40, explains that when an ALJ conducts a hearing but becomes unavailable to' sign the decision, the Hearing Office Chief ALJ may sign the decision on behalf of the presiding ALJ, if the presiding ALJ has approved the’final draft decision.
Administrative Law Judge Conducts Hearing but Is Undvailable to Issue Decision,
HAL-LEX,(Mar. 10, 2016), https://www.ssa.gov/ OP_Home/hallex/I-02/I-2-8-40.html. Therefore, ALJ Paris, as the Hearing Office Chief AL J, had the authority to sign the hearing decision if ALJ Bowling, the presiding ALJ, was unavailable. The record supports the district court’s determination that the. Commissioner complied with the HALLEX requirements because the signature on the ALJ’s decision plainly states that ALJ Paris was signing for ALJ Bowl
*820
ing. The actions were appropriate under the HALLEX and Smith did not suffer due process violations.
See Creech v. Comm’r of Soc. Sec.,
3. Exhibit
Finally, Smith argues that his due process rights were violated when his 1988 decision was referenced by the ALJ but not included as an exhibit in the decision. He did not raise this argument with the district court, and therefore it is forfeited.
See Harper v. Sec’y of Health & Human Servs.,
III. CONCLUSION
In,.sum, we find that the district court lacked jurisdiction to review the Appeals Council’s dismissal of the untimely request for review and that Smith fails to make any colorable constitutional claims. We AFFIRM.
. Smith’s attorney asserts that he timely mailed a written request for review using first-class mail in his court filings and in his correspondence with the Social Security Administration. However, other than his own testimony, he is unable to provide any proof that he mailed the request on April 24, 2014.
. Smith also claims that
. Smith cites HALLEX provision I-2-505B in his brief, which does not exist. We can assume that he is referring to 1-2-0-40 instead, which covers the filing requirements for requests for hearings.
Reference
- Full Case Name
- Ricky Lee SMITH, Plaintiff-Appellant, v. COMMISSIONER OF SOCIAL SECURITY, Defendant-Appellee
- Cited By
- 8 cases
- Status
- Published