Clark v. Astrue, No. 08-5801 (2d Cir. 2010)

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08-5801-cv Clark v. Astrue 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT August Term, 2009 (Argued: October 19, 2009 Decided: March 19, 2010) Docket No. 08-5801-cv ELAINE CLARK, RAYMOND GIANGRASSO, TONY GONZALES, JOHNNY L. HEATHERMAN, MONELL WHITE, individually, on behalf of themselves, and on behalf of all similarly situated, Plaintiffs-Appellants, v. COMMISSIONER MICHAEL J. ASTRUE, of the Social Security Administration, in his official capacity, SOCIAL SECURITY ADMINISTRATION, Defendants-Appellees. Before: NEWMAN, CALABRESI, KATZMANN, Circuit Judges. Plaintiffs in this putative class action challenge the Social Security Administration s interpretation of two provisions of the Social Security Act, which permit the Administration to suspend certain benefits of an individual who is violating the terms of her probation or parole. The Administration has interpreted these provisions to mean that a warrant alleging a probation or parole violation is sufficient and irrebuttable evidence that the party who was served with such a warrant is violating the terms of her probation or parole. The United States District Court for the Southern District of New York (Stein, J.) granted Defendants motion for summary judgment. We hold that the Administration s interpretation is contrary to the plain meaning of the Act. Accordingly, we vacate the District Court s decision and remand for further proceedings consistent with this opinion. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 STEVEN E. OBUS, Bettina B. Plevan, Brian S. Rauch, Russel L. Hirschhorn, Proskauer Rose LLP, New York, N.Y.; Gerald A. McIntyre, National Senior Citizens Law Center, Los Angeles, CA; Jennifer J. Parish, Urban Justice Center, New York, NY, for Plaintiffs-Appellants. JOHN E. GURA, JR., Assistant United States Attorney (David S. Jones, Assistant United States Attorney, of counsel), for Lev L. Dassin, Acting United States Attorney for the Southern District of New York, New York, NY, for Defendants-Appellees. Catherine M. Callery, Lynda J. Fisher, Louise M. Tarantino, Empire Justice Center, Rochester, N.Y.; Linda Landry, Disability Law Center Inc., Boston, MA, for Amici Curiae Empire Justice, et al., in support of PlaintiffAppellants. CALABRESI, Circuit Judge: Plaintiffs below appeal from the decision of the United States District Court for the 23 Southern District of New York (Stein J.) granting Defendants motion for summary judgment 24 and denying Plaintiffs motion for summary judgment. The District Court s decision is 25 VACATED and REMANDED for further proceedings consistent with this opinion. 26 27 BACKGROUND Plaintiffs-Appellants Elaine Clark, Raymond Giangrasso, Tony Gonzales, Johnny L. 28 Heatherman, and Monell White brought suit in the United States District Court for the Southern 29 District of New York (Stein, J.) against Defendants-Appellees the Social Security 30 Administration and its Commissioner, Michael J. Astrue, alleging that the Administration has 31 suspended Old-Age, Survivor, and Disability Insurance and Supplemental Security Income 32 benefits in a manner inconsistent with the authorizing statute. The District Court granted 33 Defendants motion for summary judgment and denied Plaintiffs motion for summary judgment. -2- 1 I. 2 A. 3 Title XVI and Title II of the Social Security Act provide benefits for qualifying 4 individuals. 42 U.S.C. §§ 402, 1382. Title XVI s Social Security Income (SSI) program 5 provides benefits to each aged, blind, or disabled individual who does not have an eligible 6 spouse and whose income and resources fall below a certain level. 42 U.S.C. § 1382(a). Title 7 II s Old-Age, Survivor, and Disability Insurance (OASDI) program provides benefits to insured 8 individuals, independent of need, who are, among other things, at least 62 years of age. 42 9 U.S.C. § 402. 10 Congress has passed two provisions authorizing the Social Security Administration to 11 suspend the benefits of an individual who is violating the terms of her probation or parole 12 (hereinafter suspension provisions ). As part of the Personal Responsibility and Work 13 Opportunity Reconciliation Act of 1996, Pub. L. No. 104-193, § 202, 110 Stat. 2105, 2185-86, 14 Congress passed the SSI program s suspension provision, which states: 15 16 17 18 19 20 21 22 23 24 25 26 27 28 No person shall be considered an eligible individual or eligible spouse for purposes of this subchapter with respect to any month if during such month the person is (i) fleeing to avoid prosecution, or custody or confinement after conviction, under the laws of the place from which the person flees, for a crime, or an attempt to commit a crime, which is a felony under the laws of the place from which the person flees, or, in jurisdictions that do not define crimes as felonies, is punishable by death or imprisonment for a term exceeding 1 year regardless of the actual sentence imposed; or (ii) violating a condition of probation or parole imposed under Federal or State law. -3- 1 42 U.S.C. § 1382(e)(4)(A) (emphasis added). Congress passed a similar provision for the 2 OASDI program in the Social Security Protection Act of 2004, Pub. L. No. 108-203, § 203, 118 3 Stat. 493, 509: 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 (1)(A) Notwithstanding any other provision of this subchapter, no monthly benefits shall be paid under this section or under section 423 of this title to any individual for any month ending with or during or beginning with or during a period of more than 30 days throughout all of which such individual (i) is confined in a jail, prison, or other penal institution or correctional facility pursuant to his conviction of a criminal offense, (ii) is confined by court order in an institution at public expense in connection with (I) a verdict or finding that the individual is guilty but insane, with respect to a criminal offense, (II) a verdict or finding that the individual is not guilty of such an offense by reason of insanity, (III) a finding that such individual is incompetent to stand trial under an allegation of such an offense, or (IV) a similar verdict or finding with respect to such an offense based on similar factors (such as a mental disease, a mental defect, or mental incompetence), (iii) immediately upon completion of confinement as described in clause (i) pursuant to conviction of a criminal offense an element of which is sexual activity, is confined by court order in an institution at public expense pursuant to a finding that the individual is a sexually dangerous person or a sexual predator or a similar finding, (iv) is fleeing to avoid prosecution, or custody or confinement after conviction, under the laws of the place from which the person flees, for a crime, or an attempt to commit a crime, which is a felony under the laws of the place from which the person flees, or, in jurisdictions that do not define crimes as felonies, is punishable by death or imprisonment for a term exceeding 1 year regardless of the actual sentence imposed, or (v) is violating a condition of probation or parole imposed under Federal or State law. -4- 1 2 42 U.S.C. § 402(x)(1)(A) (emphasis added). In 2004, Congress also provided for circumstances in which suspended benefits should be 3 reinstated (hereinafter good-cause provisions ). See Social Security Protection Act of 2004, 4 Pub. L. 108-203, § 203, 118 Stat. at 509. The good-cause provision as it applies to the OASDI s 5 suspension provision reads as follows: (iii) Notwithstanding subparagraph (A), the Commissioner shall, for good cause shown, pay the individual benefits that have been withheld or would otherwise be withheld pursuant to clause (iv) or (v) of subparagraph (A) if the Commissioner determines that 6 7 8 9 10 11 12 13 14 15 16 17 18 19 42 U.S.C. § 402(x)(1)(B)(iii) (emphasis added). The SSI program s good-cause provision is to 20 the same effect: 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 (I) a court of competent jurisdiction has found the individual not guilty of the criminal offense, dismissed the charges relating to the criminal offense, vacated the warrant for arrest of the individual for the criminal offense, or issued any similar exonerating order (or taken similar exonerating action), or (II) the individual was erroneously implicated in connection with the criminal offense by reason of identity fraud. (B) Notwithstanding subparagraph (A), the Commissioner shall, for good cause shown, treat the person referred to in subparagraph (A) as an eligible individual or eligible spouse if the Commissioner determines that (i) a court of competent jurisdiction has found the person not guilty of the criminal offense, dismissed the charges relating to the criminal offense, vacated the warrant for arrest of the person for the criminal offense, or issued any similar exonerating order (or taken similar exonerating action), or (ii) the person was erroneously implicated in connection with the criminal offense by reason of identity fraud. 42 U.S.C. § 1382(e)(4)(B) (emphasis added). B. On June 30, 2000, the Social Security Administration enacted a regulation implementing the 1996 suspension provision. 65 Fed. Reg. 40,493-94. That regulation states: -5- (1) Suspension of benefit payments because an individual is a fugitive as described in paragraph (a)(1) or (a)(2) of this section or a probation or parole violator as described in paragraph (a)(3) of this section is effective with the first day of whichever of the following months is earlier 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 20 C.F.R. § 416.1339(b). The Administration has not adopted an analogous implementing 22 regulation for the OASDI suspension provision. 23 24 (i) The month in which a warrant or order for the individual's arrest or apprehension, an order requiring the individual's appearance before a court or other appropriate tribunal (e.g., a parole board), or similar order is issued by a court or other duly authorized tribunal on the basis of an appropriate finding that the individual (A) Is fleeing, or has fled, to avoid prosecution as described in paragraph (a)(1) of this section; (B) Is fleeing, or has fled, to avoid custody or confinement after conviction as described in paragraph (a)(2) of this section; (C) Is violating, or has violated, a condition of his or her probation or parole as described in paragraph (a)(3) of this section[.] C. The Social Security Administration further construed Congress s suspension provisions 25 in its sub-regulatory Program Operations Manual System (POMS). The POMS states that SSI 26 benefits should be suspended under the following circumstances: The month in which a warrant, a court order or decision, or an order or decision by an appropriate agency in the United States (e.g. parole board) is issued which finds that the individual is wanted in connection with a crime that is a felony or for attempting to commit a crime that is a felony or is violating a condition of his or her probation or parole[.] 27 28 29 30 31 32 33 POMS § SI 00530.010(A). Suspended SSI benefits may be reinstated effective with the first 34 month throughout which the individual does not have an active warrant pending for a . . . 35 violation of a condition of his or her parole or probation. Id. at § 00530.020(A). 36 With respect to the OASDI suspension provision, the POMS states: -6- Unless good cause is found . . . payment is prohibited for any month in which a beneficiary (including juveniles) has an unsatisfied warrant for more than 30 continuous days for: . . . [v]iolation of a condition of Federal or State probation/parole. 1 2 3 4 5 6 POMS § GN 02613.010(A)(1). And as is the case for SSI benefits, OASDI benefits may be 7 reinstated effective with the first month throughout which the individual does not have: . . . a 8 warrant pending for violation of a condition of parole or probation. POMS § GN 9 02613.500(A)(1). D. 10 11 Defendant Michael J. Astrue explains in his brief to this Court the process by which the 12 Administration suspends SSI and OASDI benefits based on a determination that an individual is 13 violating the terms of her probation or parole. The Administration first collects warrant data 14 from federal, state, and local law enforcement agencies. Using the Federal Bureau of 15 Investigation s National Crime Information Center uniform offense codes, the Administration 16 identifies those warrants issued on the basis of an alleged parole or probation violation. Next, 17 the Administration verifies the identities of the individuals against whom the warrants were 18 issued and, once verified, matches those names with individuals receiving SSI and OASDI 19 benefits. The names are forwarded to the Office of the Inspector General (OIG). The OIG then 20 sends to the law enforcement agencies a form that requests verification (1) of the code offense, 21 (2) that reasonable measures were used in the warrant s issuance to avoid identity fraud, and 22 (3) that the warrant remains open. 23 After the Administration verifies a warrant, it sends a notice to the benefits recipient. For 24 OASDI recipients, the notice states that the recipients have 30 days to advise the Administration 25 that they wish to protest the suspension by showing good cause why benefits should not be 26 suspended. For SSI beneficiaries, the notice states that recipients have 10 days to advise the -7- 1 Administration that they wish to show good cause why their benefits should not be suspended. 2 As to both OASDI and SSI benefits, if the recipients do not respond, the Administration 3 suspends their benefits. If the recipients do respond, they have 90 days to show good cause. 4 POMS §§ GN 002613.025(B)(3)(c), GN 02613.030, SI 00530.015(B)(3)(c). Benefits will 5 continue for 90 days or until the Administration determines that the recipient has failed to show 6 good cause to keep benefits from being suspended. Although recipients may appeal the initial 7 good-cause determination through multiple levels of administrative review, and ultimately to a 8 federal court, see 42 U.S.C. § 405(g), 1383(c)(3); 20 C.F.R. § 404.981, 416.1481, benefits 9 remain suspended throughout the appeal process. 10 11 Individuals with an arrest warrant for an alleged parole or probation violation can also have their benefits reinstated by showing good cause. 12 Two types of good cause exist: mandatory and discretionary. A recipient can establish 13 mandatory good cause by showing, among other things, a document from the issuing court or 14 tribunal indicating that a warrant was issued in error or that the warrant was vacated. POMS §§ 15 GN 02613.025(B), SI 00530.015(B). Discretionary good cause, in contrast, does not require 16 showing that the warrant has been vacated or quashed. To be eligible, recipients must first 17 demonstrate (1) that the underlying offense and the subsequent parole or probation violation 18 were nonviolent and not drug related; and (2) that they have not committed any felony crimes 19 since the warrant was issued. In addition, they have to satisfy one of two other sets of 20 requirements. Recipients can either provide evidence that the law enforcement agency that 21 issued the warrant is unwilling to act on the warrant, or recipients can show (a) that the warrant 22 is the only existing warrant and is at least 10 years old; and (b) that the beneficiary lacks the 23 mental capacity to resolve a warrant, is incapable of managing payments, is legally incompetent, -8- 1 has appointed a representative payee to handle his payments, or is residing in a long-term care 2 facility. Id. II. 3 Plaintiffs are all SSI or OASDI benefits recipients whose benefits were suspended on the 4 5 basis of an arrest warrant asserting that they were violating a term of their probation or parole. 6 Three of the five plaintiffs were ultimately found not to have been violating a condition of their 7 probation or parole. One plaintiff s case remains unresolved. The fifth plaintiff died during the 8 course of these proceedings, also with her case unresolved. 1 III. 9 Plaintiffs filed this suit in the United States District Court for the Southern District of 10 11 New York (Stein, J.) on December 28, 2006. Shortly after the filing of the complaint, two 12 plaintiffs moved for a temporary restraining order and all the plaintiffs moved for a preliminary 13 injunction. The District Court denied the motions and concluded with respect to the latter 14 motion that Plaintiffs were not likely to succeed on the merits. Following discovery, the parties cross-moved for summary judgment, which the District 15 16 Court granted to Defendants. See Clark v. Astrue, No. 06 Civ. 15521, 2008 WL 4387709 17 (S.D.N.Y. Sept. 22, 2008). The Court concluded that [t]he suspension provisions themselves 18 are silent as to how the [Administration] is to determine whether a Social Security recipient is 19 violating probation or parole. Id. at *7. But it found support for Defendants position in the 20 2004 good-cause provisions. The Court reasoned that because Congress enacted the good-cause 21 provisions, which authorize the Administration to reinstate suspended benefits when the warrant 22 for a criminal offense is vacated, it follows that Congress also contemplated that a warrant 1 The plaintiffs stories are provided in greater detail in the District Court s decision. Clark v. Astrue, No. 06 Civ. 15521, 2008 WL 4387709 (S.D.N.Y. Sept. 22, 2008). -9- 1 constitutes a sufficient basis on which to suspend benefits in the first instance. Id. The District 2 Court rejected Plaintiffs argument that because the good-cause provisions apply only to 3 warrants for a criminal offense, they do not apply to suspensions on the basis of a parole or 4 probation violation, as these do not constitute an independent criminal offense. The District 5 Court stated that there is . . . no indication in the statute that Congress intended to draw a 6 distinction between warrants for criminal offenses and warrants for probation and parole 7 violations. It also stated that under Plaintiffs reading, the good-cause provisions would be 8 almost entirely inapplicable to benefits suspended on the basis of parole or probation violations. 9 Id. 10 The District Court further found that this Court s decision in Fowlkes v. Adamec, 432 11 F.3d 90 (2d Cir. 2005), somewhat paradoxically, supported Defendants interpretation of the 12 suspension provisions. Fowlkes addressed a different ground on which the Administration can 13 suspend SSI and OASDI benefits: when a recipient is fleeing prosecution, custody, or 14 confinement for a felony criminal offense. Prior to Fowlkes, the Administration had a policy of 15 suspending benefits solely on the basis of the issuance of an arrest warrant for a felony offense. 16 In Fowlkes, we held that the Administration s practice, as embodied in its POMS, is contrary to 17 the plain meaning of the Act because the Act s use of the word fleeing is understood to mean 18 the conscious evasion of arrest or prosecution. Id. at 96. Because an arrest warrant can issue 19 without a finding that one has such intent, the fact of a warrant is an insufficient basis on which 20 to suspend benefits. See id. at 97. In contrast with Plaintiffs reliance on Fowlkes, the District 21 Court distinguished the case on the ground that the warrant here is not over-inclusive, and that in 22 Fowlkes, the Second Circuit gave no indication that it would take issue with the -10- 1 [Administration s] suspension of benefits on the basis of a warrant that did indicate that the 2 recipient was fleeing to avoid prosecution. Clark, 2008 WL 4387709, at *10. 3 The District Court additionally held that even if the Administration s interpretation is not 4 compelled by the plain language of the Act, its interpretation of the Act, whether embodied in a 5 regulation or in its POMS, is entitled to substantial deference. Id. at *8. Because the Court 6 found that the Administration s practice is consistent with its POMS and implementing 7 regulation, both of which reasonably interpret the Act, it concluded that Plaintiffs claims must 8 fail. Id. at *9-11. 9 DISCUSSION 10 I. 11 The Administration s current practice takes a warrant alleging a probation or parole 12 violation as sufficient and irrebuttable evidence that one is violating the conditions of probation 13 or parole. We review an agency s interpretation of its own authorizing statute according to the 14 two-step framework from Chevron U.S.A., Inc. v. Natural Res. Def. Council, Inc., 467 U.S. 837 15 (1984). We recently explained this analysis as follows: 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 At step one, we consider whether Congress has directly spoken to the precise question at issue. If the intent of Congress is clear, that is the end of the matter; for the court, as well as the agency, must give effect to the unambiguously expressed intent of Congress. To ascertain Congress s intent, we begin with the statutory text because if its language is unambiguous, no further inquiry is necessary. Only if we determine that Congress has not directly addressed the precise question at issue will we turn to canons of construction and, if that is unsuccessful, to legislative history to see if those interpretative clues permit us to identify Congress s clear intent. If, despite these efforts, we still cannot conclude that Congress has directly addressed the precise question at issue, we will proceed to Chevron step two, which instructs us to defer to an agency s interpretation of the statute it administers, so long as it is reasonable. -11- 1 Snell Island SNF LLC v. NLRB, 568 F.3d 410, 415 (2d Cir. 2009) (quoting N.Y. State Office of 2 Children & Family Servs. v. U.S. Dep t of Health & Human Servs. Admin. for Children & 3 Families, 556 F.3d 90, 97 (2d Cir. 2009)). 4 In the suspension provisions, Congress authorizes the Social Security Administration to 5 suspend SSI and OASDI benefits upon certain factual triggers. But what are those factual 6 triggers and upon what showing can one determine that the facts underlying those triggers exist? 7 Two triggers are relevant to this case. The trigger we addressed in Fowlkes requires a 8 determination that one is, among other things, fleeing to avoid prosecution . . . for a crime . . . 9 which is a felony (hereinafter fugitive felon provision ). 42 U.S.C. §§ 1382(e)(4)(A)(i), 10 402(x)(1)(A)(iv). The trigger at issue here requires a determination that one is violating a 11 condition of probation or parole (hereinafter probation or parole violation provision ). 42 12 U.S.C. §§ 1382(e)(4)(A)(ii), 402(x)(1)(A)(v). The issue before us is whether the fact of a 13 warrant, issued on the basis of probable cause or reasonable suspicion to believe that one is 14 violating a condition of probation or parole, is equivalent to a determination that one is in fact 15 violating a condition of probation or parole. We find that it is not and therefore that the 16 Administration s practice is contrary to the plain meaning of the Act. 17 The law often speaks of facts, but it usually operates on probabilities. In the civil 18 context, a finding that X is more likely than not true is the equivalent to a finding that X is true. 19 See, e.g., Pulsifier v. Walker, 159 A. 426, 427 (N.H. 1932) ( The court . . . found that the 20 probabilities are that the option of renewal clause was in the original draft as appears in the 21 document as signed. In legal effect this is equivalent to a definite finding that the proviso was 22 in the original draft. ). By contrast, probable cause is a lower standard than preponderance of 23 the evidence. United States v. Juwa, 508 F.3d 694, 701 (2d Cir. 2007); cf. Illinois v. Gates, 462 -12- 1 U.S. 213, 243 n.13 (1983) ( [P]robable cause requires only a probability or substantial chance of 2 criminal activity, not an actual showing of such activity. By hypothesis, therefore, innocent 3 behavior frequently will provide the basis for a showing of probable cause[.] ). The Administration argues that, in the context before us, it may treat something as true 4 5 based on a factual probability below a preponderance of the evidence. Specifically, it asserts that 6 pursuant to these statutes, Congress s requirement that X be true can be reduced to a requirement 7 that one have probable cause to believe, or a reasonable suspicion that, X is true. While 8 Congress may in some instances set a lower probabilistic threshold, 2 we disagree that it has done 9 so here. And we hold, more generally, that unless it specifies clearly to the contrary, when 10 Congress provides that a fact triggers civil legal consequences, it is requiring a finding that the 11 fact is more likely than not true. When Congress has intended a lower probabilistic showing to trigger legal consequences, 12 13 it has done so explicitly. For example, in a revocation-of-parole provision in the Parole 14 Commission Phaseout Act of 1996, Pub. L. No. 104-232, 110 Stat. 3055, Congress expressly 15 conditioned legal consequences on a determination of probable cause to believe that [one] has 16 violated a condition of [one s] parole. 18 U.S.C. § 4214(a)(1)(A) (expires in 2011); see also id. 17 (stating that the Commission shall prepare a digest upon a finding of probable cause ). Courts 18 have tended to do the same. See, e.g., Morrissey v. Brewer, 408 U.S. 471, 483-88 (1972) 19 (distinguishing an appropriate determination that the individual has in fact breached the 20 conditions of parole from the preliminary hearing to determine whether there is probable 21 cause or reasonable ground to believe that the arrested parolee has committed acts that would 22 constitute a violation of parole conditions ); Calhoun v. N.Y. State Div. of Parole Officers, 999 2 See infra n.5. -13- 1 F.2d 647, 652-54 (2d Cir. 1993) (finding it a violation of due process to detain a defendant based 2 on a finding of probable cause for a parole violation but before a final revocation hearing). 3 The Administration does not argue that, in practice, warrants, like those before us, are 4 generally based on evidence sufficient to satisfy a more-likely-than-not probabilistic threshold. 5 As a result, we do not address what relevance, if any, such a showing would have. Plaintiffs, 6 moreover, provide evidence to the contrary. They cite to the statements of several attorneys 7 from various jurisdictions to support their claim that warrants are issued on the basis of nothing 8 more than an allegation. Appellants Brief at 17-18 (discussing procedures in New York, Ohio, 9 Florida, and California). And, Amici Curiae Empire Justice, et al., proffer numerous 10 explanations for why a warrant, although perhaps adequately supported by probable cause, 3 11 might not satisfy the higher more-likely-than-not evidentiary burden: A recipient might receive 12 permission from her probation or parole officer to leave the state, but that permission might 13 never have been properly recorded; probation- or parole-related documents might have been sent 14 to the wrong address; fees duly paid by a recipient might not have been properly recorded; or the 15 recipient might have qualified for a fee waiver. See Brief for Empire Justice, et al., as Amici 16 Curiae Supporting Plaintiffs-Appellants, at 16-17, 20. Under any of these circumstances, the 17 warrant might well be valid but the Administration would not be justified in suspending benefits. 3 For conceptual clarity, it is worth distinguishing situations in which a warrant wrongly issued from those in which although the warrant correctly issued, the preponderance of the evidence does not support a finding that the recipient is violating a condition of probation or parole. The Administration s POMS recognizes situations in which a warrant was wrongly issued because it was erroneously issued in the beneficiary s name. POMS § GN 02613.025(B)(4)(c). Under those circumstances, there was never probable cause to believe that the recipient had violated the conditions of her probation or parole. In other cases, however, there might have been probable cause to believe a violation had been committed, but upon further investigation, it might appear that the preponderance of the evidence does not support a finding that the recipient in fact violated probation or parole. -14- 1 It is nonetheless possible that a warrant, coupled with adequate procedural safeguards, 2 could satisfy a more-likely-than-not probabilistic showing, and therefore constitute a finding 3 within the meaning of the Act. A warrant might, in some circumstances, be sufficient to create a 4 presumption of an actual violation, in which case the burden of showing no violation might shift 5 to the recipient. The recipient, having been informed of the basis for the warrant and given an 6 opportunity to present evidence, might then be required to demonstrate that, despite the warrant, 7 she is not violating the conditions of her probation or parole. We do not address the sufficiency 8 or necessity of these procedures here. We mention them only in response to the Administration s 9 argument that, pursuant to Plaintiffs interpretation of the Act, benefits may only be suspended 10 after a final revocation hearing. Today s holding does not go so far. II. 11 12 Defendants make several arguments why the Social Security Act should not be read to 13 require a finding that it is more likely than not that one is violating a condition of probation or 14 parole before benefits can be suspended: (1) such a requirement is more difficult to administer; 15 (2) the suspension provisions language suggests that Congress desired the Administration to act 16 promptly; (3) Congress approved of the Administration s current practice in the 2004 good-cause 17 provisions; and (4) we approved of the Administration s current practice in Fowlkes. We 18 address these arguments in turn. 19 A. 20 Defendants argue that the most objective and clearly ascertainable indication that a 21 beneficiary is violating applicable conditions is the issuance of a violation warrant and that the 22 Social Security Administration is not equipped to independently investigate and adjudicate 23 whether each beneficiary . . . is violating any applicable conditions. Appellees Br. at 29-30. -15- 1 We do not doubt that a warrant may be the most easily ascertainable indication that one is 2 violating the conditions of her probation or parole. But if, as discussed above, that indication is 3 insufficient, then the fact that it is easily ascertainable does not cure its insufficiency. And while 4 it may be the case that the Administration is not equipped to determine on a case-by-case basis 5 whether an individual is violating a condition of probation or parole, that is precisely what, we 6 conclude, Congress has required it to do before it may suspend benefits. That Congress requires 7 the Administration to do something it cannot easily do does not change the fact that Congress 8 requires it. 4 9 B. 10 Defendants further argue that Congress s use of the present tense is contemplates 11 prompter suspension than our interpretation of the suspension provisions permits. This argument 12 is circular. True enough, as soon as one knows that a recipient is in violation, benefits should be 13 suspended. But the question before us is at what point does one know that a violation has 14 occurred? If under the relevant statute, read in an ordinary way, one cannot know that a 15 violation has occurred until there is a determination that it is more likely than not that a violation 16 has occurred, then to act sooner is to act prematurely. Once one determines that a recipient is 17 more likely than not violating a condition of probation or parole, benefits can be suspended 4 We also note that many of the same reasons that the Social Security Administration is not readily equipped to make this determination apply to the benefits recipients and make them, as compared to the Agency, even less qualified to defend their benefits. The warrants that provide the bases for benefits suspensions are often issued decades earlier by far flung jurisdictions. While it may be expensive for the Administration to investigate such warrants, it is frequently impossible for the often-poor benefits recipients to travel to these jurisdictions and, once there, to navigate the legal bureaucracies and have their warrants quashed. -16- 1 retroactively as of the date that the recipient began violating probation or parole. But prompter 2 action is not appropriate. 5 C. 3 The District Court relied heavily on Congress s 2004 good-cause provisions, 42 U.S.C. 4 5 §§ 402(x)(1)(B)(iii), 1382(e)(4)(B). These provisions require the Administration to reinstate 6 benefits suspended on the basis of the fugitive felon provision or the probation or parole 7 violation provision when certain conditions are met. Significantly, the good-cause provisions do 8 not specify which good causes apply to benefits suspended on the basis of the fugitive felon 9 provision and which apply to benefits suspended on the basis of the probation or parole violation 10 provision. The good causes requiring reinstatement of benefits are: (I) a court of competent jurisdiction has found the individual not guilty of the criminal offense, dismissed the charges relating to the criminal offense, vacated the warrant for arrest of the individual for the criminal offense, or issued any similar exonerating order (or taken similar exonerating action), or 11 12 13 14 15 16 17 18 19 Id. Defendants argue that by including among the good causes situations in which a court has 20 vacated the warrant for arrest of the individual for the criminal offense, it necessarily approved 21 of the Administration s practice of suspending benefits on the basis of a warrant that alleged a 22 probation or parole violation. We disagree. (II) the individual was erroneously implicated in connection with the criminal offense by reason of identity fraud. 23 First, as discussed above, a warrant is certainly evidence that one is violating a condition 24 of probation or parole. And in some circumstances a warrant might even be sufficient (although 25 not irrebuttable) evidence. Because a warrant is relevant evidence of a violation, benefits may, 26 in appropriate circumstances, be suspended based, either entirely or in part, on the existence of a 5 As stated earlier, Congress could, of course, have clearly provided that suspension take place on mere suspicion that a violation occurred, or when probable cause of a violation exists, but it has not done so. We intimate no view about the constitutionality of such provisions. -17- 1 warrant. The subsequent vacatur of such a warrant would of course undermine the ground on 2 which the benefits were suspended. And this both explains and justifies Congress s decision to 3 allow reinstatement of benefits upon the vacatur of the warrant. It does not follow from this, 4 however, that Congress meant that all warrants are sufficient bases on which to suspend benefits. Second, it is far from clear that the language on which Defendants and the District Court 5 6 seize applies to probation or parole violations. Violating a condition of probation or parole is not 7 generally an independent criminal offense. 6 As the Supreme Court has stated: [R]evocation of parole is not part of a criminal prosecution and thus the full panoply of rights due a defendant in such a proceeding does not apply to parole revocations. Parole arises after the end of the criminal prosecution, including imposition of sentence. Supervision is not directly by the court but by an administrative agency, which is sometimes an arm of the court and sometimes of the executive. Revocation deprives an individual, not of the absolute liberty to which every citizen is entitled, but only of the conditional liberty properly dependent on observance of special parole restrictions. 8 9 10 11 12 13 14 15 16 17 Morrissey, 408 U.S. at 480 (internal citation omitted); see also United States v. Aspinall, 389 18 F.3d 332, 342 (2d Cir. 2004) (finding that it has long been established that probation revocation, 19 like parole revocation, is not a stage of a criminal prosecution (internal quotation marks 20 omitted)), abrogated on other grounds by United States v. Booker, 543 U.S. 220 (2005).; Knight 21 v. Estelle, 501 F.2d 963, 964 (5th Cir. 1974) ( A parole revocation hearing is not a criminal 22 proceeding. Its purpose is not to assess guilt or to assign blameworthy acts to the various 23 discrete pigeonholes of the criminal laws. Rather it is held to determine whether the attempt by 24 parole to restore the parolee to the ranks of the carriers and remove him from those of the carried 25 has failed. (footnote omitted)). 6 Of course, it may be a condition of one s probation or parole that one not commit crimes. But conduct that is not otherwise criminal, such as drinking alcohol, does not become criminal simply because the conduct constitutes a violation of one s probation or parole. -18- For this reason, the warrants referred to in the good-cause provisions are probably best 1 2 read to refer to warrants for felony criminal offenses, thereby providing the basis for reinstating 3 benefits suspended under the fugitive felon provision. 7 The District Court disagreed, noting, 4 Under plaintiffs reading, the good-cause provisions would either be entirely inapplicable to 5 persons who violated their probation or parole because the provisions refer exclusively to 6 criminal offenses throughout, or else would apply only in the rare instances in which such 7 persons were able to have their underlying convictions vacated. 2008 WL 4387709, at *8. We 8 agree that the nearly exclusive concern of the good-cause provisions with fugitive felons is odd. 9 But it is not so odd that it justifies reading out of the statute the word criminal, which Congress 10 used repeatedly in the relevant parts of the statutes. 11 D. 12 Finally, our decision in Fowlkes does not support Defendants interpretation of the 13 suspension provisions. Defendants argue, and the District Court reasoned, that because the 14 defect in the warrant that this Court pointed out in Fowlkes does not apply to probation or parole 15 violations, Fowlkes can be read as implicitly approving of Defendants use of warrants as 16 sufficient and irrebuttable evidence in such cases. This logic is problematic for two reasons. 17 First, just because Fowlkes is distinguishable from this case does not mean that it supports 18 Defendants position. A court is not obligated to identify every problem in a problematic agency 19 practice, nor every defect in a problematic warrant. Second, the factual trigger in Fowlkes is significantly different from the factual trigger in 20 21 this case. The trigger for the probation or parole violation provision is the actual violation of a 22 condition of one s probation or parole. The trigger for the fugitive felon provision is, among 7 After Fowlkes, however, such a warrant, without evidence of intent, would not be a sufficient ground on which to suspend benefits. -19- 1 other things, the act of fleeing a felony prosecution; it is not the act of committing the felony. 2 Because of this difference, a warrant means something quite different in the two contexts. In the 3 probation or parole violation context, a warrant is evidence amounting perhaps to probable 4 cause that one is in fact violating a condition of one s probation or parole. In the fugitive felon 5 context, an outstanding arrest warrant for a felony is effectively an element of the offense; it is 6 arguably direct evidence that the recipient is in fact wanted in connection with a crime that is a 7 felony. POMS § SI 00530.010. We of course need not address whether, but for the defect in 8 the Administration s interpretation of the provisions noted in Fowlkes, such an outstanding arrest 9 warrant would always constitute more-likely-than-not evidence that one is in fact fleeing a 10 felony prosecution. We simply note that the Administration, and this Court, might reasonably 11 treat warrants differently in the two contexts. III. 12 13 Because we find that the Social Security Administration s practice is contrary to the plain 14 meaning of the Social Security Act, we do not address whether the Administration s practice is 15 consistent with its own implementing regulation. We similarly do not need to address what 16 degree of deference would be accorded to an agency s interpretation of an act when that 17 interpretation is, as is arguably true in this case, expressed only in its operations manual and not 18 in regulations implementing the act. 19 20 CONCLUSION For the foregoing reasons, we hold that the Social Security Administration s practice of 21 treating a warrant alleging that a recipient is violating a condition of probation or parole as 22 sufficient and irrebuttable evidence that the recipient is in fact violating a condition of probation 23 or parole is inconsistent with the plain meaning of the Social Security Act. We therefore vacate -20- 1 the District Court s grant of summary judgment for Defendant and its denial of summary 2 judgment for Plaintiffs and remand for further proceedings consistent with this opinion. -21-

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