Roberts v. Commissioner of the Social Security Administration
644 F.3d 931
9th Cir.2011Background
- Roberts applied for SSI disability on October 17, 2005, alleging impairments including bilateral carpal tunnel, degenerative disc disease, Hepatitis C, and hearing loss.
- Initial denial and reconsideration led to a hearing before an ALJ, who found severe impairments but concluded Roberts could perform work in the national economy, so not disabled.
- Roberts was represented at earlier agency stages, but his counsel withdrew before the ALJ hearing, leaving him unrepresented at the hearing.
- Roberts argued the ALJ failed to ensure he had sufficient information to decide about representation, potentially affecting the outcome.
- Statutory disclosure under 42 U.S.C. § 406(c) and 20 C.F.R. § 404.1706 regarding the availability of legal assistance was provided in notices.
- Court held that HALLEX guidance is nonbinding and Thompson-type enhanced disclosures are not required; §406(c) disclosures sufficed, so there was no agency error; district court's decision affirmed.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether ALJ failure to provide enhanced representation information affected outcome | Roberts argues ALJ should have ensured informed choice about representation. | Commissioner contends HALLEX is not binding and statutory disclosures suffice. | No; enhanced disclosure not required. |
| Whether required disclosure extends beyond § 406(c) standards | Thompson-like disclosures should be provided to pro se claimants. | Lamay controls; §406(c) suffices; no extra disclosure required. | Held no additional disclosure required beyond § 406(c). |
Key Cases Cited
- Parra v. Astrue, 481 F.3d 742 (9th Cir. 2007) (HALLEX not binding; not reviewed for compliance)
- Lamay v. Comm'r of Soc. Sec., 562 F.3d 503 (2d Cir. 2009) (statutory disclosures under § 406(c) sufficient; no broadened duties)
- Thompson v. Sullivan, 933 F.2d 581 (7th Cir. 1991) (enhanced disclosure required in some circuits)
- Edwards v. Sullivan, 937 F.2d 580 (11th Cir. 1991) (inform claimants about free legal representation)
- Clark v. Schweiker, 652 F.2d 399 (5th Cir. 1981) (disclosure requirements for representation)