Court Opinion

ID: 9466676
Source: CourtListenerOpinion
Date Created: 2023-08-05 01:22:59.962829+00
Date Added: 2024-06-11T17:39:52.302420
License: Public Domain

FRIENDLY, Circuit Judge,
dissenting:
By dispensing with compliance with an admittedly valid regulation, 20 C.F.R. § 404.601(d), which requires a written application on the appropriate form for a wide variety of social security benefits, the majority opens the door of the federal fisc not simply to Mrs. Hansen, whom we at least know to have visited the HEW office and said something, but to thousands who merely will make a detailed claim that they have done so and whom there is no effective means of rebutting. Millions of dollars will have to be expended simply to ascertain whether conditions of eligibility claimed in a subsequent written application existed at the time of the alleged oral one.1 And all this because a minor HEW official has not followed a housekeeping rule that he suggest the filing of an application even though he considers the claim to be without merit, as may well have been true in this case on the facts before him.
A controlling decision of the Supreme Court has established for more than three decades that all courts must “observe the conditions defined by Congress for charging *950the public treasury.” Federal Crop Ins. Corp. v. Merrill, 332 U.S. 380, 385, 68 S.Ct. 1, 3, 92 L.Ed. 10 (1947). The claimants in Merrill had a far more appealing case than Mrs. Hansen’s desire to have the benefits that will be paid her in any event start from a year before her oral application rather than a year before her written one as the regulation provides. A committee acting as agent for the Federal Crop Insurance Corporation affirmatively advised the Merrills that the whole of their proposed crop of spring wheat would be insurable, whether planted on reseeded winter wheat acreage or not. So it could have been under the governing statute, but valid regulations issued by the Corporation provided no protection for spring wheat planted on reseeded winter wheat acreage. The bulk of the Merrills’ crop was so planted and perished. Insurance benefits were held to have been properly denied. Unlike the Merrills who committed themselves irretrievably to costly mistaken action on the basis of clearly erroneous advice, the most that can be said here is that, through what could have been entirely proper advice on the facts communicated to the field agent, Mrs. Hansen left the Social Security Office without having filed the written application essential to start the running of a retroactive year’s benefit period — action she was free to alter the next day.
In the thirty two years since Merrill no Supreme Court decision has gone counter to what that case has held. While some courts and commentators have sought to find a contrary indication in Moser v. United States, 341 U.S. 41, 47, 71 S.Ct. 553, 556, 95 L.Ed. 729 (1951), this is an instance of the wish being father to the thought. The four survivors of the Merrill majority joined in Moser; decision was placed on the ground that a claim to citizenship could be relinquished only be intelligent waiver, which Moser had not done; Merrill was not cited; and the opinion expressly said, “There is no need to evaluate these circumstances on the basis of any estoppel of the Government or the power of the Swiss Legation to bind the United States by its advice to petitioner.”
Montana v. Kennedy, 366 U.S. 308, 81 S.Ct. 1336, 6 L.Ed.2d 313 (1961), refused, under the most poignant circumstances, to prevent the Government from asserting that Montana’s birth had occurred outside rather than within the United States solely because of the misconduct of a federal official. Montana had been born in Italy of an Italian father and American mother, left Italy that same year with his mother for the United States, and had resided continuously in the United States for 55 years. The Court interpreted then applicable citizenship laws to the effect that Montana was not an American citizen because of his foreign birth. Montana argued that the United States should not be permitted to rely on the fact of his foreign birth because his mother, when pregnant with him, had tried to leave Italy for the United States, but was denied a passport by an American Consular Officer because of her pregnant condition, although in fact neither the United States nor Italy required a passport for United States citizens to return to America. Conceding the serious error, Justice Harlan nonetheless held that this action by a Government official “falls far short of misconduct such as might prevent the United States from relying on petitioner’s foreign birth,” and added that “In this situation, we need not stop to inquire whether, as some lower courts have held, there may be circumstances in which the United States is estopped to deny citizenship because of the conduct of its officials.” Id. at 314-15, 81 S.Ct. at 1341. If the giving of such misinformation to Mrs. Montana, resulting in her failing to exercise a right to return to her native land, with the consequence that her son who subsequently resided here for 55 years was denied American citizenship, fell “far short” of what was needed even to trigger inquiry, what are we to say of a situation where the head and front of the offending was an official’s failure to press an application into Mrs. Hansen’s hand?
The last of the series of Supreme Court decisions is INS v. Hibi, 414 U.S. 5, 94 S.Ct. 19, 38 L.Ed.2d 7 (1973) (per curiam). This involved a Filipino who applied for United States citizenship pursuant to the Nationali*951ty Act of 1940, which provided for naturalization of non-citizens who, like Hibi, served honorably in the United States Armed Forces during World War II. Although Hibi applied 17 years after the expiration of the time limit established by Congress under the Act, he argued that the Government was estopped from relying on the limit because of its “failure to advise him, during the time he was eligible, of his right to apply for naturalization,” and its failure to post naturalization officials in the Philippines. Id. at 7-8, 94 S.Ct. at 21-22. The Court declined to apply estoppel:
While the issue of whether “affirmative misconduct” on the part of the Government might estop it from denying citizenship was left open in Montana v. Kennedy, 366 U.S. 308, 314, 315 [, 81 S.Ct. 1336,1340,1341, 6 L.Ed.2d 313] (1961), no conduct of the sort there adverted to was involved here. We do not think that the failure to fully publicize the rights which Congress accorded under the Act of 1940, or the failure to have stationed in the Philippine Islands during all of the time those rights were available an authorized naturalization representative, can give rise to an estoppel against the Government. Id. at 8-9, 94 S.Ct. at 21-22.
The sole Second Circuit authority giving any shade of comfort to the plaintiff is Corniel-Rodriquez v. INS, 532 F.2d 301 (2 Cir. 1976).2 This involved a “young and naive” alien who sought admission to the United States as a “special immigrant”. Special immigrants are not subject to the general immigration quotas, and include immigrants from the western hemisphere holding a previously obtained work permit from the Secretary of Labor. Children of individuals who, like plaintiff’s father, had already obtained special immigrant visas were not required to have a work permit. By statute, however, they must not be married either at time of application for a visa or admission to the United States. A State Department regulation required immigration officials to warn individuals in plaintiff’s category that they would be inadmissible if “not unmarried at the time of application for admission.” A procedural note implementing the regulation provided that marriageable age applicants were to be given a written warning form informing them that they would become ineligible if they married prior to entry. Plaintiff received a special immigrant visa as an unmarried child of an individual who had been admitted as a special immigrant, but married after receiving his visa and before entry into the United States. The State Department thereupon sought her deportation. Plaintiff and her mother, who had accompanied her when she received her visa, both testified that they were given no warning, either oral or written, as to the consequences of such a marriage. No warning form appeared in plaintiff’s (INS file, nor was one attached to her visa. The Immigration Judge disbelieved plaintiff’s testimony, finding it insufficient to rebut the presumption of administrative regularity. The Board of Appeals held that regardless of what happened at the consulate office, the Government could deport petitioner for failure to comply with the statutory terms of admission.
*952Assuming that the consular official had not adhered to the mandatory regulations, Chief Judge Kaufman felt this constituted sufficient “affirmative misconduct” under the Hibi dictum. He specifically noted that the regulations requiring warnings “carried[d] the force of law [and] must be respected and enforced by the Government,” id. at 307, and distinguished Hibi as not involving any such violation of a regulation with the force of law, id. at 307 n. 17. In this respect, as will be seen, our case is like Hibi and unlike Corniel. In a footnote, the court further carefully restricted its ruling:
We do not, of course, suggest that noncompliance with any regulation, no matter how minor its impact or importance, will automatically prevent the Government from deporting an illegal alien. Our holding is limited to the extraordinary circumstances before us. Id. at 307 n. 18.
The limited nature of the Corniel exception was speedily underscored in Goldberg v. Weinberger, 546 F.2d 477 (2 Cir. 1976), cert. denied, 431 U.S. 937, 97 S.Ct. 2648, 53 L.Ed.2d 255 (1977), which reiterated this circuit’s adherence to the Merrill-MontanaHibi rule. Plaintiff was receiving widow’s benefits from the SSA, and was told by the SSA that her marriage prior to the age of 60 would reduce but not terminate her benefits. In fact, the relevant statute provided that such remarriage would totally eliminate any widow’s benefits, while marriage after age 60 would only effect a reduction in benefits. Plaintiff remarried some two months prior to her sixtieth birthday and all her benefits were cut off. This court rejected her effort to invoke estoppel against the Government:
The government could scarcely function if it were bound by its employees’ unauthorized representations. Where a party claims entitlement to benefits under federal statutes and lawfully promulgated regulations, that party must satisfy the requirements imposed by Congress. Even detrimental reliance on misinformation obtained from a seemingly authorized government agent will not excuse a failure to qualify for the benefits under the relevant statutes and regulations. Id. at 481.
Judge Hays noted that the Ninth Circuit had “evinced a willingness to depart from the principle in certain circumstances,” but declined to embark this circuit on that course. Corniel was distinguished and limited:
Our decision in Corniel-Rodriquez v. I.N.S. ... is not to the contrary. We held there that estoppel may be invoked against the Government where there is “noncompliance with an affirmatively required procedure . . . .” 532 F.2d at 306-07. We took pains, however, to limit our decision to the specific facts of that case, particularly the fact that the government employee had failed to provide petitioner with a warning mandated by federal regulations. Id. and n. 18. No such regulation governs Social Security office employees. 546 F.2d at 481 n. 5 (emphasis in original).
Beyond this array of relevant Supreme Court and Second Circuit cases, two very recent decisions of the Eighth and Seventh Circuits are almost precisely in point. Leimbach v. Califano, 596 F.2d 300 (8 Cir. 1979), reversed a district court decision relied on by Judge Coffrin below. When Leimbach inquired at a SSA office concerning his children’s eligibility for benefits due to his wife’s decease, he was erroneously informed that the children were not eligible. Additional oral inquiries over the next five years received the same erroneous response. Leimbach discovered some seven years after his first inquiry that the children were in fact eligible. He applied in writing on the appropriate form for his children who then received benefits retroactive for one year. The Eighth Circuit reversed a district court decision granting the Leimbach children benefits as if they had applied during Leimbach’s first visit to the SSA office. Citing the Merrill rule, the court said that “courts have uniformly held that estoppel will not lie against the Agency where an applicant has simply received misinformation on which he relied to his *953detriment.” Id. at 304. Noting that the Hibi Court had left open the question whether affirmative misconduct by a government official might give rise to an estoppel against the government, and accepting Leimbach’s testimony that the agency representative had discouraged his filing an application, the court nonetheless stated that it found “nothing that would amount to affirmative misconduct” and “that at worst Mr. Leimbach was simply misinformed by Social Security employees concerning his children’s eligibility. Such action on the part of Agency employees, although regrettable, will not give rise to an estoppel against the government.” Id. at 305. Despite his general dislike of the principle of no estoppel against the Government, see Administrative Law of the Seventies, § 17.01 at 400 (1976), Professor Kenneth Culp Davis has written very recently of Leimbach, “A private party loses by lack of timely filing even though government employees misled him into believing that the filing was not required. The authorities the court cites support the decision, which is important because the pattern so often recurs.” 1980 Supplement to Administrative Law Treatise, 109 (1980).
Moreover, since the instant case was argued, the Seventh Circuit has followed Leimbach in Cheers v. Secretary of H.E.W., 610 F.2d 463 (7th Cir. 1979). Claimant sustained a severe injury which caused him to become a paraplegic. Since February 1968 he was eligible for disabled children’s benefits, but he did not file a written application until April 1976, at which point he was given benefits retroactive for one year. Claimant testified that he and others acting on his behalf had repeatedly inquired orally as to his eligibility for benefits between 1968 and 1975, but that he was consistently and incorrectly told that he was ineligible.3 The Government, claimant argued, should therefore be estopped to deny benefits because of his failure to file a written application. Acknowledging sympathy with the claimant’s plight, the court, speaking through Judge Pell, nonetheless declined to override “the well established principle that estoppel shall not operate against the Government in these circumstances.” at 469. See also Gressley v. Califano, 609 F.2d 1265, 7th Cir. (1979).
It should be noted that the Social Securi7 ty officers involved in Leimbach a.nd Cheers were subject to the same provisions in the Claims Manual on which Judge Oakes so heavily relies. Furthermore, in both cases this provision was violated not once, as here, but several times over many years. Finally, whatever one is to make of the majority’s substance/procedure distinction, see infra, the sole basis for denying benefits in Leimbach and Cheers was the same failure to file a written application present in this case.
Even the Ninth Circuit, whose occasional departures from Merrill this court has expressly declined to follow, Goldberg v. Weinberger, supra, 546 F.2d at 481, see also N.Y. Athletic Supply Co., Inc. v. United States, 450 F.Supp. 469, 471 (S.D.N.Y.1978) (Frankel, J.), has recognized limits on the application of estoppel against the Government in cases like this which the majority ignores. In Santiago v. INS, 526 F.2d 488 (9 Cir. 1975) (en banc), cert. denied, 425 U.S. 971, 96 S.Ct. 2167,48 L.Ed.2d 794 (1976), the court declined to apply estoppel against the Government because “the central complaint of each petitioner is . the failure to inform or inquire,” id. at 493, and such *954failure to inform did not constitute “affirmative misconduct” as required by the Hibi dictum. See also Oki v. INS, 598 F.2d 1160 (9 Cir. 1979) (per curiam). Here Mrs. Hansen’s complaint also focuses on Connelly’s failure to inquire more deeply into her eligibility and to inform her that she should file a written application. United States v. Ruby, 588 F.2d 697 (9 Cir. 1978), cert. denied, 442 U.S. 917, 99 S.Ct. 2838, 61 L.Ed.2d 284 (1979), indicates that the Ninth Circuit’s “affirmative misconduct” limit is two-pronged. The court there declined to estop the Government because the conduct complained of, although affirmative, could not properly be characterized as misconduct. As will be discussed below, it is similarly not clear here that what Agent Connelly affirmatively did, namely to tell Mrs. Hansen that she was ineligible, was “misconduct” of any sort. Even more closely on point is Simon v. Caiifano, 593 F.2d 121 (9 Cir. 1979). An HEW trainee was filling out a benefits application for a claimant. Without asking the claimant if she had any children, the trainee wrote “None” in the answer to the question “How many children do you have who may be eligible for benefits?” The claimant signed the application without reading it. In fact she had two children who were eligible for benefits. When she discovered their eligibility two years later, she sought benefits calculated from the date of her previous application, arguing that the Government should be es-topped from denying that the children had also applied at that time. The court declined to estop the Government, for two reasons, both applicable to the case before us. First, “the trainee was guilty of negligence, but that negligence does not amount to affirmative misconduct.” Id. at 123. Second, Mrs. Simon’s children were awarded benefits retroactive for one year from their filing, as Mrs. Hansen’s have, and the court did not believe that the loss of retroactive benefits for another year “is of such magnitude and is so serious that HEW should be estopped from enforcing the express terms of the Act.” Id.
These decisions have been set forth at some length so that it may be appreciated how far today’s decision departs from a solid and well-articulated body of doctrine that funds contributed by all citizens, with definite limitations upon their use, are not to be diverted to a person not within these limitations simply because the Federal Government has not been able to secure perfect performance from its hundreds of thousands of employees scattered throughout the continent. To be sure, the Supreme Court has left open whether a case might arise in which misconduct by a Government official was so egregious as to justify a departure from Merrill and we found such a case in Corniel-Rodriquez. But the applicability of the Merrill principle to run of the mill cases like this has become so well established that stare decisis requires a court to adhere to it, however strongly a judge may dislike the result.4 In fact, it would be *955hard to find a spongier factual launching pad for the majority’s takeoff than this.
To begin, we know little of what really happened. Mrs. Hansen’s interview with Connelly took place in the spring of 1974. When she testified three years later, she had no accurate memory of the date until Connelly’s records revealed it. On her own account of the episode she had revealed to Connelly no details of her marital history save for a claim of divorce from someone and a reference to “two Riegel boys”.5 Connelly, of course, could remember nothing with respect to this particular interview out of thousands he had conducted; this is one of the strong reasons for requiring applications to be in writing. I do not read the ALJ’s decision as accepting the claimant’s credibility beyond the facts, found by him, that she went to the office with the purpose of filing a written application under the then recently enacted amendment relating to divorced mother’s insurance benefits, that she was told she was ineligible, and that she' left without having filed a written application. The colorful details are the claimant’s, after three years of brooding, and hers alone.6
It is undisputed that, under 42 U.S.C. § 402(g)(1), Mrs. Hansen was not entitled to benefits on account of the “two Riegel boys” unless Riegel was dead. She does not claim to have told Connelly anything to that effect, it is not even wholly clear that she then knew it, and Connelly had no reason to conjecture that a man who then would have been only 43 was dead. Connelly’s advice as to Mrs. Hansen’s ineligibility was thus not wrong on the basis of what he was proved to have known. This would not suffice to create an estoppel even against a private company. See, e. g., Gladden v. Pargas, Inc., 575 F.2d 1091, 1094 (4 Cir. 1978) (“Estopped parties’ knowledge, either actual or implied, that the representations were untrue when made” is an essential element of estoppel); Kenneally v. First National Bank of Anoka, 400 F.2d 838, 843 (8 Cir. 1968), cert. denied, 393 U.S. 1063, 89 S.Ct. 716, 21 L.Ed.2d 706 (1969) (same); Special Event Entertainment v. Rockefeller Center, Inc., 458 F.Supp. 72, 76 (S.D.N.Y. 1978) (same). The majority’s frequent talk of Connelly’s furnishing “misinformation” is thus wholly misplaced. Nothing in the ALJ’s findings suggests misconduct on the part of Connelly and the Reconsideration Branch stated that “it is highly improbable that [Connelly] would have informed Mrs. Hanson [sic] that she was not eligible for benefits on the account of Wallace Riegel if she did in fact meet all the requirements for entitlement to benefits.”
Judge Oakes, but not Judge Newman, seeks to find misconduct of the sort he considers sufficient for an application of estoppel against the Government by reference to the provisions of the Claims Manual advising agents to recommend the filing of written applications. This ignores that the Claims Manual was not a regulation having the force of law such as the regulations in Corniel, supra, 532 F.2d at 307, but was simply an internal agency handbook, never made the subject of proceedings under 5 U.S.C. § 553 as a regulation would have had to be, and expressly stating that it had no
*956legal effect.7 Clearly it is in the public interest for an agency with over 80,000 employees, making more than 1,250,000 disability determinations alone a year, with 215,300 reconsiderations, see 1 Davis, Administrative Law Treatise § 1.8 (2d ed. 1978), to issue housekeeping instructions to its employees in the interest of uniform, fair and efficient administration. But it is perplexing why an agency that issues such instructions should be held to a higher legal standard of dealing with its clients than one that does not. This is all the more so in view of the fact that within the last year the Supreme Court has so strongly emphasized this very point, United States v. Ca-ceres, 440 U.S. 741, 755-56, 99 S.Ct. 1465, 1473-74, 59 L.Ed.2d 733 (1979).8 Dealing with a failure of the IRS, before undertaking consensual electronic surveillance, to implement safeguards provided in an Internal Revenue Service Manual, beyond those constitutionally or statutorily demanded, the Court said:
we cannot ignore the possibility that a rigid application of an exclusionary rule to every regulatory violation could have a serious deterrent impact on the formulation of additional standards to govern prosecutorial and police procedures. . [S]ince the content, and indeed the existence, of the regulations would remain within the Executive’s sole authority, the result might well be fewer and less protective regulations. In the long run, it is far better to have rules like those contained in the IRS Manual, and to tolerate occasional erroneous administration . than either to have no rules except those mandated by statute, or to have them framed in a mere precatory form.9
Similar considerations apply to imposition of civil liability. Here it is far better to have thousands of field agents behaving as the Field Manual instructed them than to put the Government at risk that every alleged failure by an agent to follow instructions to the last detail in one of a thousand cases will deprive it of the benefit of the written application requirement which experience has taught to be essential to the *957honest and effective administration of the Social Security Laws.10
We are told there is a significant distinction between substance and procedure, which apparently has been lost on other courts, since in the latter case Congress really wants the claimant to have the benefit, so that estoppel will advance the substantive purpose whereas refusal to estop will frustrate it. We are thus to ignore the directive of Merrill that courts must “observe the conditions defined by Congress for charging the public treasury,” 332 U.S. at 385, 68 S.Ct. at 3, because “[t]he only people who will gain from this decision are those who are substantively qualified: those whom Congress intended to receive the benefit.” The hollowness of the substance/procedure distinction was exposed long ago in Guaranty Trust Co. v. York, 326 U.S. 99, 108, 65 S.Ct. 1464, 1469, 89 L.Ed. 2079 (1945). Congress did not wish all those eligible for divorced mother’s security benefits to receive them as from the date of their eligibility. It wished such benefits to flow only to those applying for them as prescribed by HEW for a period beginning not earlier than a year before the application. This is substance in the sense that it significantly affects the result, not “merely the manner or means by which a right to recover . . . is enforced.” Guaranty Trust Co. v. York, supra, 326 U.S. at 109, 65 S.Ct. at 1470. The fact that in no event may payment for preapplication benefits exceed one year does not bespeak an overmastering Congressional desire that no eligible applicant shall go unpaid. Thus, the linchpin of Judge Newman’s opinion — that Congress intended all those who were eligible to receive benefits — completely fails. There is simply no legitimate basis for a court, pursuing its own ideas of what would be desirable, to isolate one aspect of a governmental program as the “pertinent policy” while relegating other aspects, whether provided by Congress itself or the agency to which Congress has entrusted administration of the program, to some inferior status.
To sum up, no one supports affirmance of the district court’s order on the grounds on which it was rested, namely, that the regulation requiring a written application was invalid or that Connelly refused to allow Mrs. Hansen to file one. Affirmance likewise cannot rest on the new ground of *958misconduct now brought forward. What Connelly affirmatively told Hansen, namely, that she was not eligible, has never been determined to be misconduct, based on the information provided him; surely it was nothing like the clear affirmative misconduct in Merrill. Neither is what Connelly did not tell Hansen, that she should apply in writing though he considered her ineligible, misconduct in any legally relevant sense, as pointed out last term in Caceres. Finally the majority is also dispensing with the “affirmative misconduct” prerequisite based on the Hibi dictum and our Corniel decision, since in no realistic sense can Con-nelly’s failure to encourage Hansen to apply in writing be deemed affirmative conduct. The majority is simply disregarding the Supreme Court’s decisions in Merrill, Montana and Hibi, and placing ourselves in square conflict with the decisions of most, indeed probably all other courts of appeals in similar cases — and all this on an exceedingly weak set of facts and a newly found jurisprudential distinction which cannot survive analysis. There are some rules of federal law that had best left unchanged until Congress decides to alter them even when the result is much harsher than here. This is one of them.
The judgment should be reversed with instructions to dismiss the complaint.

. Judge Newman’s concession, fn. 10, that where expensive investigation would be required, “the appropriateness of an estoppel might be tenuous, indeed” points to another defect of the majority opinions — namely, that they fail to furnish a workable rule that can be readily understood and economically employed.

. Judge Newman’s citation of Miller v. United States, 500 F.2d 1007 (2 Cir. 1974), is unavailing. That case recognized the rule that “the government is not estopped by an unauthorized act of one of its agents,” id. at 1010 (emphasis in original), and ruled against the Government because it considered the Government agent’s action, although erroneous, to have been authorized. Further, the case presented a conflict between what the court considered to be two equally valid statutory provisions — the question was simply which one to apply. Here there is no competing statute or regulation permitting Mrs. Hansen to file orally. Finally, Miller focused on the “flexible approach” it discerned in 26 U.S.C. § 6532 which, inter alia, allows the Government and the taxpayer to extend the limitations period by agreement. See DeGregory v. United States, 395 F.Supp. 171, 175 (E.D.Mich.1975). Here, Congress has specifically limited its flexibility for those who fail to file appropriately to an award of up to one year retroactive benefits, which Hansen has received, see infra. The other Second Circuit case cited, Podea v. Acheson, 179 F.2d 306 (1950), made no mention of estoppel and, contrary to the implication of footnote 3 of the concurring opinion, the Supreme Court did not approve of Podea in Montana but rather specifically declined to inquire into its correctness.

. While the Seventh Circuit noted that there was little factual support for the contention that claimant even communicated with Social Security employees or relied upon misinformation furnished by them, in its estoppel discussion the court assumed arguendo that claimant’s testimony was accurate, at 468-69; see also id. at 468 n. 6. The inability to either credit or rebut a claimant’s testimony with any degree of certainty is a common phenomenon in oral application cases, including the present one. See, e. g., Leimbach v. Califano, supra, 596 F.2d at 302, n. 2. Knowing that the claimant actually visited the SSA office, as we do here, is of little help in reconstructing the content of the interview. As the Cheers court noted, it is precisely such difficulties which “underl[y] and justify the need for regulations that require written applications.” at 467 — and should discourage the use of estoppel to evade them.

. Tuck v. Finch, 430 F.2d 1075 (4 Cir. 1970), is not a true departure from this line of authority, even if it were correctly decided. Tuck orally inquired about his eligibility for disability benefits and was informed, correctly, that he was ineligible as he had not worked the requisite amount of time prior to disability. Tuck, however, could adjust his self-employment income in tax returns in order to qualify himself, if he did this within three years, three months and fifteen days from the relevant year of self-employment; if Tuck applied during this period, but adjusted his income later, the SSA could change their records accordingly. Tuck’s visit to the SSA office was within the period but he did not apply in writing until after it had expired. The court held that the unwritten informal application satisfied the statute and allowed Tuck to qualify himself for disability benefits. One ground for decision was that Tuck was illiterate. The court pointed out that “[wjhile a written application might be expected from a literate person, an illiterate often can do little other than make an oral request to the official to whom he has been referred.” Id. at 1077. Beyond this the Tuck court seemed confused about the Secretary’s regulations. It stated for some unarticulated reason that “[u]se of a form . . . does not appear to be mandatory,” and did not cite to 20 C.F.R. § 404.601(d) which clearly made it so. Because of this the case is neither one of “estoppel” or even of misconduct, and the court never used these words or cited any of the relevant cases applying them. The conclusion that Tuck is not an estoppel case is fortified by Montgomery County v. Ball, 416 F.Supp. 737, 742-44 (D.Md. 1975), vacated on other grounds, 561 F.2d 1120 *955(4 Cir. 1977), cert. denied, 435 U.S. 994, 98 S.Ct. 1644, 56 L.Ed.2d 83 (1978). Although bound by Tuck, the district court, citing Merrill, flatly stated that “[a] government agency cannot be held responsible for the erroneous statements and representations made by its agents.”

. The claim as ultimately filed in 1975 showed she had married Wallace Riegel, Jr. on August 14, 1954 and divorced him on May 8, 1960, and that she had married James Hansen on November 25, 1961 and divorced him on April 16, 1964. The birth certificates of the Riegel boys show they were bom on July 4, 1956 and April 29, 1958. The blanks on the application relating to the date, place and nature of Riegel’s death were marked “N.A.” and the question “[i]s there a surviving parent (or parents)?” was answered with a check in the “No” box. In fact Riegel had died on February 8, 1967 and was buried by his mother.

. Mrs. Hansen’s mother’s brief testimony supported only the assertions that Mrs. Hansen went in to apply for benefits and emerged upset because of Connelly’s question concerning her marital status.

. “The CM is a compilation of instructions for the use of SSA personnel in claims cases. However, it does not have the force or effect of law, and understanding its instructions presupposes a familiarity with the Act and the regulations.”

. Caceres was not new doctrine. See Sullivan v. United States, 348 U.S. 170, 172-74, 75 S.Ct. 182, 184, 99 L.Ed. 210 (1954) (Executive Order and Circular Letters from Department of Justice requiring approval of Department before presentation of evidence to grand jury “simply a housekeeping provision of the Department” whose violation had no legal effect); American Farm Lines v. Black Ball Freight Services, 397 U.S. 532, 90 S.Ct. 1288, 25 L.Ed.2d 547 (1970) (I.C.C. rule specifying contents of application for temporary operating authority under § 210a of the Interstate Commerce Act does not preclude grant of authority to non-complying applicant); United States v. Lockyer, 448 F.2d 417, 420-21 (10 Cir. 1971) (defendant taxpayer cannot take advantage of provision in Internal Revenue Audit Technique Handbook and Internal Revenue Manual instructing when revenue agent must suspend investigation on finding an indication of fraud).

. While the factual circumstances of Caceres differ from those of the present case, these differences are not significant so far as the relevance of the quoted language is concerned. Caceres involved a criminal prosecution, but Justice Stevens noted that even in agency adjudications “it seems clear that agencies are not required, at the risk of invalidation of their action, to follow all of their rules, even those properly classified as ‘internal’.” 440 U.S. at 754 n. 18, 99 S.Ct. at 1473 n. 18. The Caceres opinion also noted that the taxpayer had not relied on the IRS Manual provision and that its violation had not affected his conduct. Id. at 753, 99 S.Ct. at 1472. This discussion was in the course of determining whether the Due Process clause was violated, however, and no one suggests that Hansen has a constitutional claim. Furthermore, the SSA went to considerable lengths to ensure that the Claims Manual not be considered to create any rights that did not otherwise exist. Not only did the Manual explicitly state that it did not have the force or effect of law, note 7, supra, but it also provided that it was never to be cited in any correspondence with the public. Indeed, although open to the public under the Administrative Procedure Act, 5 U.S.C. § 552(a)(2)(C), the Manual provided that it was not to be offered to the public “unless the inquirer specifically wishes to see the CM.”

. It is worth noting how small Connelly’s violation of the relevant passage of the Claims Manual actually was. This reads:
2003. Administrative Policy of Acceptance of Application,
a) General
Where an individual is inquiring about possible current entitlement to [Retirement, Survivors (including Mothers’) Disability, Health Insurance] benefits, his interests will ordinarily be best served by filing an application immediately so that retroactive title II benefits will be better protected and a determination made on his entitlement. He will also have the right of appeal in the event he is not satisfied with the determination. The individual must make the actual decision of whether or not to file, but he should be fully informed of the application requirements and the advantages of filing. Unless filing is obviously disadvantageous or the question is one of filing for reduced title II benefits only, it will be appropriate to suggest to the individual that he files an application. Resolve any doubtful situation in favor of suggesting that the individual file since he may withdraw his application later if he wishes.
A delay in filing should never be suggested because there is no doubt as to the inquirer’s eligibility or because extensive development may be necessary. An application should be obtained and development made for a determination. Do not deter an individual from filing solely on the basis that he is not eligible This is true even where he is clearly ineligible. Every inquirer should receive an explanation of the application requirements and an application should be taken if he indicates that he wishes to file. If an individual makes no mention that he wishes to file but is not satisfied with the information about his eligibility, it should be suggested that he file an application so that a determination may be made.
The first two sentences are a description of the applicant’s best interest, not an order to the agent. There was no need to inform Mrs. Hansen of the application requirement since she knew all about it. Connelly’s breach lay in not advising her or fully informing her of the advantages of filing and suggesting that she file. He did not “deter an individual from filing solely on the basis that he is not eligible.” He simply advised, perhaps correctly on the few facts confided to him, that she was not eligible and did not press her to file.