Jefferies v. Sugarman
Opinion of the Court
In this class action Mrs. Jefferies
The Westchester intervenors are in a different situation, and they perhaps present the issues in this case more clearly than does Mrs. Jefferies. They have from three to six minor children each and, since their husbands left the home, have continuously been receiving welfare benefits even when they have been employed. Thus, unlike Mrs. Jefferies, they have no history of being self-supporting in the regular economy. Each of them, with the approval of her caseworker, enrolled as a full-time student in a four-year college program, with a specific vocational objective. In June, 1971 each was advised that her welfare benefits would be terminated unless she enrolled in vocational training courses under the federal Work Incentive Program (WIN), 42 U.S.C. §§ 602(a) (19), 630 et seq. (1970).
By now it is well settled that legislative classifications in the welfare area are not subject to the rule requiring “strict scrutiny.” “If the classification has some ‘reasonable basis,’ it does not offend the Constitution simply because the classification ‘is not made with mathematical nicety or because in practice it results in some inequality.’ ” Dandridge v. Williams, 397 U.S. 471, 485, 90 S.Ct. 1153, 1161, 25 L.Ed.2d 491 (1970), quoting Lindsley v. Natural Carbonic Gas Co., 220 U.S. 61, 78, 31 S.Ct. 337, 55 L.Ed. 369 (1911). See also Jeffer
Furthermore, it appears from the deposition of defendant Wyman, and from the regulations, 18 N.Y.C.R.R. § 385.1(4) (a recipient is not “employable” if enrolled in an approved “two-year college program with a specific vocational objective”) that the distinction in New York is really between, two-year and four-year programs. It is urged that even this classification operates irrationally, since some recipients will need pre-vocational training before they enter a two-year program, and thus will receive assistance for more than two years, while a recipient who has less than two years of a four-year program to complete is denied benefits. However, it is clear that the distinction is based upon the state’s desire to use its limited welfare funds to secure at least some useful training to a larger number of people, and not to assist persons whose education has gone beyond a certain point. We cannot say that such a policy is irrational. It is true that there is dictum in Townsend v. Swank, 404 U.S. 282, 291-292, 92 S.Ct. 502, 30 L.Ed.2d 448 and n. 8 (1971) that might be thought to be contrary, but at least as applied to these facts it is entitled to little or no weight.
The plaintiffs’ contention that New York is infringing on their first amendment rights is plainly frivolous and need not detain us further.
Having found the plaintiffs’ constitutional claims to be without merit, we remand the case to Judge Tenney, who sought the three-judge court, for consideration of the pendent statutory claims. Rosado v. Wyman, 397 U.S. 397, 402-403, 90 S.Ct. 1207, 25 L.Ed.2d 442 (1970). See also Wyman v. Rothstein, 398 U.S. 275, 90 S.Ct. 1582, 26 L.Ed.2d 218 (1970); Boddie v. Wyman, 434 F.2d 1207, 1208 (2d Cir. 1970), aff’d mem., 402 U.S. 991, 91 S.Ct. 2168, 29 L.Ed.2d 157 (1971).
I
. Mrs. Jefferies’ name is erroneously spelled “Jeffries” in the complaint.
. A Mrs. Patricia Carson also moved to intervene, but the court did not rule on her motion at the time of argument. Mrs. Carson and her husband, the parents of an infant child, are both enrolled in four-year college programs and are studying to become teachers. Neither has employment skills, and the family has been receiving APDC benefits since July 1970.
Mrs. Carson thus challenges state practices in addition to those challenged by the main plaintiffs, and we therefore deny her motion to intervene. To the extent that she is a member of plaintiffs’ class, her rights are determined in accordance with this opinion.
Concurring in Part
(concurring in part and dissenting in part):
Although I concur with the majority’s disposition of plaintiffs’ first amendment claims,
Under the Supreme Court’s ruling in Dandridge v. Williams, 397 U.S. 471, 90 S.Ct. 1153, 25 L.Ed.2d 491 (1970), the test for determining whether a state welfare classification is violative of equal protection is the traditional “rational basis” test:
“In the area of economics and social welfare, a State does not violate the Equal Protection Clause merely because the classifications made by its laws are imperfect. If the classification has some ‘reasonable basis,’ it does not offend the Constitution simply because the classification ‘is not made with mathematical nicety or because in practice it results in some inequality.’ ” (Citation omitted.) Id. at 485, 90 S.Ct. at 1161.
The Dandridge Court gave great weight to the fact that states have finite resources to devote to social welfare and that the federal Social Security Act gives them great latitude in dispensing them. As long as “a solid foundation for the regulation can be found” (Id. at 486, 90 S.Ct. at 1162.) in the state’s legitimate purpose in enacting the regulation, no constitutional violation will ensue.
Dandridge, therefore, sets forth four factors to be considered in determining whether a state welfare classification is violative of equal protection: (1) the state’s legitimate purpose in enacting the challenged regulation; (2) the means used to effect that purpose; (3) whether the means used are rationally related to the purpose sought to be achieved; and (4) whether the means used are such as to ensure the fiscal integrity of the state’s welfare program — i. e., whether the means used are economically sound.
In Dandridge, the purpose of the challenged regulation was to provide the greatest amount of aid to the largest number of needy people by the most economic method. The means used to effect that purpose was a maximum grant system whereby the state was able to provide grants to a larger number of family units by reducing the amount of the grants provided to very large family units. Clearly, the means were rationally related to the purpose of the regulation, and moreover, were such as to ensure the fiscal integrity of the state’s welfare program.
Applying the foregoing analysis to the instant case, the purpose of the federal AFDC-WIN program and accompanying state regulations which embody the academic-vocational distinction is to “help [AFDC recipients] to attain or retain capability for . . . maximum self-support and personal independence” (emphasis added) (42 U.S.C. § 601) and to restore “the families of . individuals [receiving AFDC] to independence and useful roles in their communities.” 42 U.S.C. § 630. The means adopted by the state to effect that purpose is to provide public assistance benefits to those enrolled in two-year college programs or vocational training courses, but not to those enrolled in four-year college programs.
The instant case differs from Dandridge, however, in that the means used by the state to effect the legitimate statutory purpose are not rationally related to the ends sought to be achieved, and moreover, are not such as to ensure the fiscal integrity of the state’s welfare program.
Townsend v. Swank, 404 U.S. 282, 92 S.Ct. 502, 30 L.Ed.2d 448 (1971) supports this view, for although that case was decided on statutory grounds, the Court strongly questioned the rationality of the academic-vocational distinction:
“The majority [of the court below] justified the classification as designed*178 to attain the twin goals of aiding needy children to become employable and self-sufficient, and of insuring fiscal integrity of the State’s welfare program. We doubt the rationality of the classification as a means of furthering the goal of aiding needy children to become employable and self-sufficient; we are not told what basis in practical experience supports the proposition that children with a vocational training are more readily employable than children with a college education.” Id. at 291, 92 S.Ct. at 508.2
The statistics cited to this Court with regard to the rationality of the academic-vocational distinction show that as of March 1971, 25,900 AFDC recipients had been referred to the WIN program since its inception in 1967. Of these 25,900, only 1,921 have successfully completed their training and are employed. Of these 1,921, a “predominant” number are still receiving welfare assistance. Depos. of Comm’r Wyman by Phillips, Ass’t Comm’r, at 23-25. It is apparent, therefore, that the academic-vocational distinction is not rationally related to the legitimate statutory purpose of enabling AFDC recipients to become financially independent and off the welfare roles.
The majority insists that these statistics show only that the WIN program is not working very well, but to me they demonstrate not only the irrationality of the academic-vocational distinction, but also unsound fiscal policy.
This latter point is particularly evident when one examines the way in which the academic-vocational distinction operates. Theoretically, the state sets forth two conditions an AFDC recipient must meet in order to qualify for assistance while engaged in training under either the WIN program or the state work rule: (1) her program must be of a maximum duration of two years, and (2) it must lead to a specific vocational objective. Although specifying a two-year maximum, the state actually provides benefits to AFDC recipients engaged in training for more than two years if, for instance, the recipient needs pre-vocational training to complete her basic literacy or to obtain her high school equivalency certificate. But New York has clearly demonstrated that it does not provide public assistance benefits to enable a recipient to matriculate at a four-year college, even if she has less than two years to complete for her degree, solely because she would be engaged in academic rather than vocational training. Depos. of Comm’r Wyman by Phillips, Ass’t Comm’r, at 37.
So while the state is willing to provide benefits for more than two years to a welfare recipient who, even after receiving vocational training, is not likely to get off the welfare rolls, it is unwilling to provide such assistance for four years or less to enable a recipient who has the requisite aptitude to obtain a degree that would ensure her becoming financially independent.
It is just this latter situation which is presented most sharply by the Westchester intervenors. Each of the three Westchester intervenors is estranged from her husband; each has from three to six minor dependent children; each
The majority holds that the academic-vocational distinction “is based upon the state’s desire to use its limited welfare funds to secure at least some useful training to a larger number of people.” But I question the “usefulness” of vocational training for those AFDC recipients, like the plaintiffs herein, for whom such training will not make it possible for them to become financially independent, and who, moreover, possess the intellectual capacity to pursue a course of study which would ensure such a result.
I am not suggesting that the state be required to provide public assistance benefits to all AFDC recipients who desire to enroll in four-year college programs. Whether any particular AFDC recipient would be accorded benefits while pursuing academic training should depend, as it has in the past,
On the basis of the foregoing analysis, I would find for the plaintiffs.
. Plaintiffs attempt to come within the more stringent “compelling state interest” test set forth in Shapiro v. Thompson, 394 U.S. 618, 89 S.Ct. 1322, 22 L.Ed. 2d 600 (1969), by alleging that the academic-vocational classification challenged herein infringes upon their first amendment rights of free association. The only case even possibly supporting such an argument is Cole v. Housing Authority, 312 F.Supp. 692 (D.R.I.), aff’d, 435 F.2d 807 (1st Cir. 1970), wherein the court struck down a two-year residency requirement for admission to public housing as violative of the equal protection clause on the grounds that it limited access to a necessity of life (shelter) and tended directly to infringe upon the constitutional right to travel and indirectly to diminish familial and consen
. The Court further stated that “a classification which channels one class of people, poor people, into a particular class of low paying, low status jobs would plainly raise substantial questions under the Equal Protection Clause.” Townsend v. Swank, supra, 404 U.S. at 292 n. 8, 92 S.Ct. at 908.
. It is important to note that the instant case is distinguishable from Money v. Swank, 432 F.2d 1140 (7th Cir. 1970), cited by the majority in support of its holding that the academic-vocational distinction does not violate the equal protection clause. There, as in Napper v. Wyman, 305 F.Supp. 429 (S.D.N.Y. 1969) (which has a similar holding), the plaintiffs sued the state for tuition grants. Here, plaintiffs seek only living expenses ; their tuition is completely financed by scholarships and loans.
. It appears that until the end of 1969, the Department of Social Services did authorize attendance at four-year colleges for individual welfare recipients on a discretionary basis. Depos. of Comm’r Wyman by Phillips, Ass’t Comm’r, at 3-4.
Reference
- Full Case Name
- Fannie JEFFERIES, Individually and on Behalf of All Other Persons Similarly Situated, Plaintiff, v. Jule SUGARMAN, as Commissioner of the Department of Social Services of the City of New York, and George K. Wyman, as Commissioner of the Department of Social Services of the State of New York, Defendants
- Cited By
- 8 cases
- Status
- Published