Machadio v. Apfel

• Decision Date: 01 August 2001
• Docket Number: Docket No. 01-6093,DEFENDANT-APPELLEE,PLAINTIFF-APPELLANT
• Citation: 276 F.3d 103
• Parties: (2nd Cir. 2002) PATRICIA MACHADIO,, v. KENNETH S. APFEL, COMMISSIONER OF SOCIAL SECURITY
• Court: U.S. Court of Appeals — Second Circuit

Page 103

276 F.3d 103 (2nd Cir. 2002)

PATRICIA MACHADIO, PLAINTIFF-APPELLANT, v. KENNETH S. APFEL, COMMISSIONER OF SOCIAL SECURITY DEFENDANT-APPELLEE.

Docket No. 01-6093

August Term, 2001

UNITED STATES COURT OF APPEALS For the Second Circuit

Argued Nov. 2, 2001.

Decided Jan. 2, 2002.

The plaintiff, who is proceeding pro se, appeals from a judgment of the United States District Court for the Eastern District of New York (Eugene H. Nickerson, J.) affirming the Commissioner of Social Security's denial of the application for Supplemental Security Income ("SSI") benefits she filed on behalf of her minor child, Charlene Machadio.

The appeal is denied, and the judgment is affirmed.

[Copyrighted Material Omitted]

Patricia Machadio, Brooklyn, New York, Pro Se

Philip J. Miller, (Varuni Nelson, Kathleen A. Mahoney), Assistant United States Attorneys, for Alan Vinegrad, United States Attorney, Eastern District of New York, for Appellee Kenneth S. Apfel.

Before: Walker, Chief Judge, Pooler, Katzmann, Circuit Judges.

Katzmann, Circuit Judge.

Patricia Machadio, pro se, appeals from a judgment of the United States District Court for the Eastern District of New York (Eugene H. Nickerson, J.) affirming the Commissioner of Social Security's (the "Commissioner") denial of the application for Supplemental Security Income ("SSI") benefits she filed on behalf of her minor child, Charlene Machadio ("Charlene"). The district court denied the plaintiff's motion for appointment of counsel but allowed the plaintiff, who is not an attorney, to proceed in this action on behalf of her child without representation. Thus, this case presents the issue of whether a non-attorney parent may bring a pro se action on behalf of her child appealing an administrative denial of disability benefits.

We find that she may do so under certain circumstances, and also affirm the district court's order affirming the denial of benefits.

BACKGROUND

On April 29, 1996, the plaintiff filed an application for SSI benefits on behalf of Charlene, who was eleven at the time. The basis for the application was that Charlene was disabled due to scoliosis. The application was denied initially as was the plaintiff's motion for reconsideration. After a hearing, an administrative law judge found that Charlene was not disabled in a decision dated February 27, 1998. The Appeals Council denied the plaintiff's request for review on November 3, 1998.

The plaintiff filed this action in her own name on December 10, 1998. The Commissioner moved for judgment on the pleadings on October 7, 1999, and simultaneously notified the district court of precedent indicating that the plaintiff, who is a non-attorney, could not bring this action on behalf of Charlene without counsel. The plaintiff requested that the district court appoint counsel on December 6, 1999. On September 20, 2000, the district court denied the plaintiff's request to appoint counsel but held that the plaintiff could proceed in the action without counsel. The district court granted the Commissioner's motion for judgment on the pleadings and upheld the Commissioner's denial of SSI benefits by memorandum and order dated March 29, 2001. This appeal followed.

DISCUSSION

I.

Initially, we must consider whether the district court erred by allowing the plaintiff to pursue this action on behalf of her child without representation by counsel. See Wenger v. Canastota Cent. Sch. Dist., 146 F.3d 123, 125 (2d Cir. 1998)(reviewing non-attorney's representation of child sua sponte).

Litigants in federal court have a statutory right to choose to act as their own counsel. 28 U.S.C. § 1654 ("In all courts of the United States the parties may plead and conduct their own cases personally or by counsel. . . ."). However, an individual who is not licensed as an attorney "may not appear on another person's behalf in the other's cause." Iannaccone v. Law, 142 F.3d 553, 558 (2d Cir. 1998); see also Eagle Assoc. v. Bank of Montreal, 926 F.2d 1305, 1308 (2d Cir. 1991). We have specifically held that a "non-attorney parent must be represented by counsel in bringing an action on behalf of his or her child." Cheung v. Youth Orchestra Found. of Buffalo, Inc., 906 F.2d 59, 61 (2d Cir. 1990). In reaching this conclusion, we reasoned that non-attorney parents are not trained to represent competently the interests of their children in "claims that require adjudication," and that minors "are entitled to trained legal assistance so their rights may be fully protected." Id.

In determining whether a non-attorney individual is attempting to bring an action on behalf of another, the "threshold question" is "whether a given matter is plaintiff's own case or one that belongs to another." Iannaccone, 142 F.3d at 558 (citing Phillips v. Tobin, 548 F.2d 408, 411 (2d Cir. 1976)). In Iannaccone, we considered whether a pro se plaintiff who was the administrator of his father's estate could bring an action on behalf of the estate. We held that the plaintiff in Iannaccone could not bring an action litigating an interest specific to the estate when "the personal interests of the estate, other survivors, and possible creditors . . . will be affected by the outcome of the proceedings." Iannaccone, 142 F.3d at 559. On the other hand, we held that the plaintiff in Iannaccone could bring an action to recover social security benefits for which he was the only claimant because in that case it was "plaintiff's own interest being litigated. . . ." Iannaccone, 142 F.3d at 560.

This case lies somewhere in between the two actions in Iannaccone. While this is not a case where only the plaintiff's interest is at stake, neither is it one affecting the interests of multiple parties with different interests. Under the Commissioner's regulations, the interests of the plaintiff and Charlene are closely intertwined. Generally, when an individual entitled to SSI benefits is under the age of 18, the Commissioner pays benefits to a "representative payee." 20 C.F.R. § 416.610(b). The Commissioner's preferred choice of the "representative payee" is the "natural or adoptive parent who has custody of the beneficiary. . . ." Id. at § 416.621(b)(1). Among other responsibilities, the "representative payee" must "[u]se the payments he or she receives only for the use and benefit of the beneficiary in a manner and for the purposes he or she determines, under the guidelines in this subpart, to be in the best interests of the beneficiary. . . ." Id. at § 416.635(a). As a natural parent with custody of Charlene, the plaintiff would likely be Charlene's "representative payee" and receive any SSI benefits to which Charlene is entitled.

While any such payments would ultimately be used for Charlene's benefit, the plaintiff has a significant stake in the outcome of the litigation because Charlene's qualification for disability benefits will affect the plaintiff's responsibility for the expenses associated with Charlene's condition. See Harris v. Apfel, 209 F.3d 413 416-17 (5th Cir. 2000). As Charlene's parent, the plaintiff is currently responsible for the costs of Charlene's alleged disability. If Charlene qualifies for disability benefits, then the federal government will assume some of the costs associated with Charlene's condition, freeing the plaintiff's limited resources for other living expenses. Therefore, while it is Charlene's condition that determines whether the government will pay benefits, this also is a case where the plaintiff's interest is squarely at stake.

It is useful to note that non-attorney parents may represent their children in administrative proceedings before the Commissioner. The Commissioner is authorized by statute to "prescribe rules and regulations governing the recognition of agents or other persons, other than attorneys as hereinafter provided, representing claimants before the Commissioner of Social Security. . . ." 42 U.S.C. § 406. Under the promulgated regulations, a claimant may be represented by an attorney or "any person who is not an attorney" before the Commissioner who:

(1) Is generally known to have a good character and reputation;

(2) Is capable of giving valuable help . . . in connection with [the claimant's] claim;

(3) Is not disqualified or suspended from acting as a representative in dealing with [the Commissioner]; and

(4) Is not prohibited by any law from acting as a representative.

20 C.F.R. § 416.1505(b). The representative has the power to obtain information, submit evidence, make statements about facts and law, and make any request in the proceedings before the Commissioner. Id. at § 416.1510(a). While we have acknowledged that section 406 does not authorize non-attorney representation of claimants in federal court, Iannaccone, 142 F.3d at 558-59, we are informed by both Congress's judgment as indicated in section 406 and the Commissioner's implementing regulations, that non-attorneys who meet the standards of 20 C.F.R. § 416.1505 have the basic competence needed to represent claimants in proceedings involving the denial of SSI...