446 U.S. at 242. Hopefully, defendants' activities in this case represent something other than standard operating procedure.
2. Sufficiency of the Evidence
The remaining issue is whether findings of a state hearing officer that result in the loss of a constitutionally protected property interest must be supported by a certain amount of evidence in order to satisfy due process. Courts have implemented such a requirement in many other situations where important interests are at stake, so clearly some quantum of evidence is mandatory. Because this case appears to be one of first impression, however, the Court still must determine which quantum is correct. A brief review of the standards that apply to other scenarios is instructive.
For example, in the context of good time credits for prisoners, which are constitutionally protected, revocation of such credits "does not comport with 'the minimum requirements of procedural due process,' . . . unless the findings of the prison disciplinary board are supported by some evidence in the record." Superintendent, Mass. Corr. Inst. v. Hill, 472 U.S. 445, 455, 86 L. Ed. 2d 356, 105 S. Ct. 2768 (1985) (quoting Wolff v. McDonnell, 418 U.S. 539, 558, 41 L. Ed. 2d 935, 94 S. Ct. 2963 (1974)) (emphasis added). "Some evidence" essentially is equivalent to a modicum of evidence, slightly more than no evidence at all. In other words, a due process examination of the evidence supporting a disciplinary committee's decision "does not require examination of the entire record, independent assessment of the credibility of witnesses, or weighing of the evidence. Instead, the relevant question is whether there is any evidence in the record that could support the conclusion reached by the disciplinary board." Hill, 472 U.S. at 455-56.
In the context of Social Security disability benefits, a topic much more on point, the Social Security Act provides for an even stricter standard of review, presumably based on due process concerns: "The findings of the Secretary as to any fact, if supported by substantial evidence, shall be conclusive." 42 U.S.C. § 405(g) (emphasis added). Substantial evidence is that quantum of evidence that "a reasonable mind might accept as adequate to support a conclusion," Richardson v. Perales, 402 U.S. 389, 401, 28 L. Ed. 2d 842, 91 S. Ct. 1420 (1971), and is generally viewed as equal to or less than a preponderance of the evidence. See Consolo v. Federal Maritime Comm'n, 383 U.S. 607, 620, 16 L. Ed. 2d 131, 86 S. Ct. 1018 (1966). When applying the substantial evidence test to a finding that an applicant was not disabled, the court "will not reweigh the evidence presented at the administrative hearing, . . . nor will it determine whether [the applicant] actually was disabled. [Rather,] absent an error of law by the Secretary, [a] court must affirm her decision if there is substantial evidence [in the record] to support it." White v. Shalala, 823 F. Supp. 621, 623 (N.D. Ind. 1993).
Here the Court arguably should go even one step further and reverse the hearing officer's decision if it is not supported by a preponderance of the evidence, because State Defendants were directed to hold at hearing at which they would bear the burden of proof. However, after considering the goals of the Mathews balancing test, as well as the similarities between the Social Security context and the present case, the Court holds that the revocation of plaintiff's disability pension does not comport with the requirements of due process unless the findings of the hearing officer are supported by substantial evidence.
See Mathews, 424 U.S. at 335. Cf. Hill, 472 U.S. at 454-55 (Supreme Court performing similar balancing to determine that "some evidence" is all that is needed in prison disciplinary case).
As the Court stated in its previous decision, initial determinations of disability entitlement may be undertaken with lesser care. Here, however, State Defendants had already made a determination based on plaintiff's unbiased standard medical reports and their own independent investigation that plaintiff was entitled to a disability pension. Applying Mathews, because State Defendants sought (1) to prove that plaintiff committed fraud and (2) to take his benefits away, the private interest that is affected by the official action in this case is an extremely important one and the risk of erroneous deprivation of such interest seems too high under anything less than a "substantial evidence" review. In regard to the other part of the test, the Government's interest does not alter the Court's conclusion because the additional fiscal and administrative burdens entailed by a requirement of substantial evidence appear to be insignificant.
After reviewing the record in this case, the Court concludes that the evidence before the hearing officer was not sufficient to meet the requirements imposed by the Due Process clause of the Constitution. Once again, the issue to be determined at the hearing was whether plaintiff fraudulently induced State Defendants into giving him a disability pension, not whether plaintiff was disabled in the first place. Despite this fact, the hearing officer considered a significant amount of evidence that simply was not relevant to the question at hand. The officer's Determination contains an entire section devoted to "Evidence (Medical)" that essentially was identical to the evidence relied on to support the state's initial determination that plaintiff was disabled. In reality, the hearing officer treated the hearing as if plaintiff was seeking benefits for the first time, even though the Court went to great lengths in its prior Order to remind State Defendants otherwise.
For purposes of this motion, the Court has considered only the evidence that might be relevant to a determination of whether plaintiff defrauded the state. This evidence includes, exclusively, (1) the videotapes; (2) the testimony of Mr. Cotten and Mr. McKotch; (3) the testimony of plaintiff, Mrs. Lindner, Mr. Bach, Jay Lefford, Mrs. Heelas, and Mrs. Armstrong; and (4) the testimony of Dr. Cohen after he witnessed the videotape. Considering all this information together, the Court finds that plaintiff's disability pension has been revoked on a quantum of evidence clearly below the "substantial evidence" standard. In fact, the Court believes that some question exists in regard to whether State Defendants had "some evidence" for their decision.
The strongest evidence supporting the revocation of plaintiff's benefits consisted of a videotape of a man working on a roof who was said to be plaintiff, but even the hearing officer admitted that "I am unable to identify the face of the man on the roof." (Determination at 10.) The only witnesses that supported the contention that the man was plaintiff were the State Defendants' private investigator, Mr. Cotten, and Mr. McKotch, Jay Lefford's neighbor who "was clearly a hostile witness," "did not get along" with the Leffords, and "had nothing to do with them." (Id. at 4.) Plaintiff countered with the testimony of two witnesses, Mrs. Lindner and Mr. Bach, both of whom testified that plaintiff was far away at Ashland University, Ohio, on the day that Mr. Cotten and Mr. McKotch claimed he was on a roof in Falconer, New York. The hearing officer categorized both of these witnesses as "uninterested," yet essentially ignored their testimony, stating that "I can conclude only that someone has got the dates wrong."
As if Mrs. Lindner and Mr. Bach were not enough to counter the videotape, plaintiff testified that the house depicted was not his son's house as Mr. Cotten and Mr. McKotch claimed. According to the hearing officer, plaintiff "pointed out differences in the decorative groove of a window, the location of tree branches near the roof, and a white marking on a tree as shown on the tape." (Id. at 5.) This seemingly important evidence apparently also may have been ignored; the hearing officer failed to mention it in his discussion of the evidence presented. Jay Lefford, plaintiff's son, also took the stand and testified that (1) the house was not his and (2) although he had done some roofing work on his own house his father had not helped him. Finally, Mrs. Heelas and Mrs. Armstrong both testified that Jay Lefford had borrowed ladders from them to fix his roof, but that they had not seen any of the work itself.
Dr. Cohen, the only other possibly relevant witness, was shown the videotape and asked his impressions. After admitting that he was unable to identify plaintiff as the person depicted, the doctor stated that "if that person was, in fact, [plaintiff], he would change his opinion about [plaintiff's] disability, and strongly feel that he was capable of working as a firefighter." (Id. at 9.) The Court admits that if it were established with any certainty that plaintiff was the person depicted in the videotape, such testimony might carry some weight. But based on the conflicting evidence on the identity issue, the Court believes Dr. Cohen's opinion was only marginally relevant, if at all. The hearing officer obviously concluded otherwise, explaining -- to the Court's amazement -- that "I was particularly impressed by Dr. Cohen's testimony, and I can only speculate on the effect . . . a viewing of the tapes by the other doctors would have on their opinions." (Id. at 11.)
The Court has not examined the entire record, independently assessed the credibility of witnesses, or reweighed the evidence in this case. It also has not determined whether plaintiff fraudulently induced the state into providing him with benefits. The only question that has been addressed in this part of the analysis is whether there is substantial evidence in the record that could support the conclusion reached by the hearing officer. From the Court's perspective, there is not.
C. JAMESTOWN DEFENDANTS
Plaintiff's claims against Jamestown Defendants were dismissed in the Court's February 5, 1995, Order. Thus to the Court's knowledge, plaintiff has no further federal claims against them. This fact is important because Jamestown Defendants have indicated a willingness to withdraw any remaining counterclaims against plaintiff -- assuming plaintiff had no more quarrel with them. The Court consequently resolves all issues before it in regard to the Jamestown Defendants by dismissing their counterclaims against plaintiff. In the Court's view, any further disputes plaintiff has with Jamestown Defendants do not flow from due process violations, so plaintiff should pursue possible remedies against them in state court.
This case is unique -- the Court's equitable powers of review apply because State Defendants already have violated plaintiff's due process rights at least once, and the Court has directed them not to do so again. Although plaintiff was granted a hearing, State Defendants' decision to revoke plaintiff's benefits was not based on substantial evidence. Plaintiff consequently was not afforded due process before being deprived of a constitutionally protected property interest, and the deprivation must be reversed. State Defendants are directed to reinstate the determination dated January 6, 1994, granting plaintiff a performance of duty disability retirement allowance, until such time as they establish that he has committed fraud via a hearing at which at least substantial evidence is presented in their favor. They are also directed to pay plaintiff his performance of duty disability retirement allowance retroactively to February 10, 1994, with a set off for amounts received by him because of his service retirement allowance.
IT IS SO ORDERED.
January 31, 1996
Binghamton, New York
HON. THOMAS J. McAVOY
Chief U.S. District Judge