DocketNumber: 72-792
Judges: Powell, Burger, Douglas, Stewart, White, Blackmun, Rehnquist, Marshall, Brennan
Filed Date: 6/21/1973
Status: Precedential
Modified Date: 10/19/2024
delivered the opinion of the Court.
The question before us is whether the Social Security Act of 1935, 49 Stat. 620, as amended, bars a State from
The Work Rules were enacted by New York in 1971
To achieve this, the Work Rules establish a presumption that certain recipients of public assistance are employable
Like the Work Rules, WIN is designed to help individuals on welfare “acquire a sense of dignity, self-worth, and confidence which will flow from being recognized as a wage-earning member of society . . . ,” 42 U. S. C. § 630 (1970 ed., Supp. I). The program was enacted as part of the 1967 amendments to the Social Security Act,
In the court below, appellees, New York public assistance recipients subject to the Work Rules, challenged those Rules as violative of several provisions of the Constitution and as having been pre-empted by the WIN provisions of the Federal Social Security Act. The three-judge District Court rejected all but the last contention. 348 F. Supp. 290 (WDNY 1972). On this point, it held that “for those in the AFDC program, WIN preempts”
I
The holding of the court below affects the Work Rules only insofar as they apply to AFDC recipients. 348 F. Supp., at 297, 300 and n. 5. New York’s Home Relief program, for example — a general state assistance plan for which there is no federal reimbursement or support
This Court has repeatedly refused to void state statutory programs, absent congressional intent to pre-empt them.
“If Congress is authorized to act in a field, it should manifest its intention clearly. It will not be presumed that a federal statute was intended to supersede the exercise of the power of the state unless there is a clear manifestation of intention to do so. The exercise of federal supremacy is not lightly to be presumed.” Schwartz v. Texas, 344 U. S. 199, 202-203 (1952).
This same principle relates directly to state AFDC programs, where the Court already has acknowledged that States “have considerable latitude in allocating their AFDC resources, since each State is free to set its own standard of need and to determine the level of benefits by the amount of funds it devotes to the program.” King v. Smith, supra, at 318-319; Dandridge v. Williams, supra, at 478; Jefferson v. Hackney, supra, at 541. Moreover, at the time of the passage of WIN in 1967, 21 States already had initiated welfare work requirements as a condition of AFDC eligibility.
Appellees argue, nonetheless, that Congress intended to pre-empt state work programs because of the comprehensive nature of the WIN legislation, its legislative hist
Appellees also rely, as did the District Court, on the legislative history as supporting the view that “the WIN legislation is addressed to all AFDC recipients, leaving no employable recipients to be subject to state work rules.” Brief for Appellees 29. The court below pointed to no specific legislative history as supportive of its conclusion. Appellees do cite fragmentary statements
“Under your committee’s bill, States would be required to develop a program for each appropriate relative and dependent child which would assure, to the maximum extent possible, that each individual would enter the labor force in order to become self-sufficient. To accomplish this, the States would have to assure that each adult in the family and each child over age 16 who is not attending school is given, when appropriate, employment counseling, testing, and job training.” H. R. Rep. No. 544, 90th Cong., 1st Sess., 16 (1967).18 (Emphasis supplied.)
At best, this statement is ambiguous as to a possible congressional intention to supersede all state work programs.
In sum, our attention has been directed to no relevant argument which supports, except in the most peripheral way, the view that Congress intended, either expressly or impliedly, to pre-empt state work programs. Far more would be required to show the “clear manifestation of [congressional] intention” which must exist before a federal statute is held “to supersede the exercise” of state action. Schwartz v. Texas, 344 U. S., at 202-203.
Persuasive affirmative reasons exist in this case which also strongly negate the view that Congress intended, by the enactment of the WIN legislation, to terminate all existing state work programs and foreclose additional state cooperative programs in the future. Wé note, first, that WIN itself was not designed on its face to be all embracing. Federal work incentive programs were to be established only in States and political subdivisions
“in which [the Secretary of Labor] determines there is a significant number of individuals who have attained age 16 and are receiving aid to families with dependent children. In other political subdivisions, he shall use his best efforts to provide such programs either within such subdivisions or through the provision of transportation for such persons to political subdivisions of the State in which such programs are established.” 42 U. S. C. § 632 (a) (1970 ed., Supp. I).
This section constitutes an express recognition that the federal statute probably would be limited in scope and application.
Even in the districts where WIN does operate, its reach is limited. In New York, according to federal estimates, there are 150,000 WIN registrants for the current fiscal year, but the Secretary of Labor has contracted with the State to provide services to only 90,000 registrants, of whom the majority will not receive full job training and placement assistance.
It is evident that WIN is a partial program which stops short of providing adequate job and training opportunities for large numbers of state AFDC recipients. It would be incongruous for Congress on the one hand to promote work opportunities for AFDC recipients and on the other to prevent States from undertaking supplementary efforts toward this very same end. We cannot
Moreover, the Department of Health, Education, and Welfare, the agency of Government responsible for administering the Federal Social Security Act — including reviewing of state AFDC programs — has never considered the WIN legislation to be pre-emptive. HEW has followed consistently the policy of approving state plans containing welfare work requirements so long as those requirements are not arbitrary or unreasonable.
New York, furthermore, has attempted to operate the Work Rules in such a manner as to avoid friction and overlap with WIN. Officials from both the State Department of Labor and a local Social Service Department testified below that every AFDC recipient appropriate for WIN was first referred there, that no person was to be referred to the state program who was participating in WIN, and that only if there was no position available for him under WIN, was a recipient to be referred for employment pursuant to state statute.
In this context, the dissenting opinion's reliance on Townsend v. Swank, 404 U. S. 282 (1971), Carleson v. Remillard, 406 U. S. 598 (1972), and King v. Smith, 392 U. S. 309 (1968), is misplaced. In those cases it was clear that state law excluded people from AFDC benefits who the Social Security Act expressly provided would be eligible. The Court found no room either in the Act’s
Ill
We thus reverse the holding below that WIN preempts the New York Work Rules. Our ruling establishes the validity of a state work program as one means of helping AFDC recipients return to gainful employment. We do not resolve, however, the question of whether some particular sections of the Work Rules might contravene the specific provisions of the Federal Social Security Act.
This last question we remand to the court below. That court did not have the opportunity to consider the issue of specific conflict between the state and federal programs, free from its misapprehension that the Work Rules had been entirely pre-empted. Further, the New York Legislature amended the Work Rules in 1972 to provide, among other things, for exemption of persons engaged in full-time training and vocational rehabilitation programs from the reporting and check pickup requirements (N. Y. Laws 1972, c. 683), for monthly rather than semi-monthly payments of shelter allowances {id., c. 685) and, most significantly, for a definition of an “employable” AFDC recipient which is claimed by New York to be identical to that now used
We deem it unnecessary at the present time to intimate any view on whether or to what extent particular provisions of the Work Rules may contravene the purposes or provisions of WIN. Such a determination should be made initially by the court below, consistent with the principles set forth in this opinion.
The judgment of the three-judge District Court is reversed and the cases are remanded for further proceedings consistent with this opinion.
It is so ordered.
The basic provisions of the Work Rules at the time this action was brought are set forth in § 131 of the New York Social Services Law (Supp. 1971-1972) :
“4. No assistance or care shall be given to an employable person who has not registered with the nearest local employment agency of the department of labor or has refused to accept employment in which he is able to engage.
“A person shall be deemed to have refused to accept such employment if he:
“a. fails to obtain and file with the social services district at least semi-monthly a now certificate from the appropriate local employment office of the state department of labor stating that such employment office has no order for an opening in part-time, full-time, temporary or permanent employment in which the applicant is able to engage, or
“b. willfully fails to report for an interview at an employment office with respect to employment when requested to do so by such office, or
“c. willfully fails to report to such office the result of a referral to employment, or
“d. willfully fails to report for employment. Such willful failures or refusals as above listed shall be reported immediately to the social services district by such employment office.
“For the purposes of this subdivision and subdivision five, a person shall be deemed employable if such person is not rendered unable to work by: illness or significant and substantial incapacitation, either mental or physical, to the extent and of such duration that such illness or incapacitation prevents such person from performing services; advanced age; full-time attendance at school in the case of minor, in accordance with provisions of this chapter; full-time, satisfactory participation in an approved program of voca*408 tional training or rehabilitation; the need of such person to provide full-time care for other members of such person’s household who are wholly incapacitated, or who are children, and for whom required care is not otherwise reasonably available, notwithstanding diligent efforts by such person and the appropriate social services department to obtain others to provide such care. A person assigned to and participating in a public works project under the provisions of section one hundred sixty-four or three hundred fifty-k of this chapter shall be deemed to be employable but not employed.
"Every employable recipient of public assistance or person who is deemed not to be employable by reason of full-time satisfactory participation in an approved program of vocational training or rehabilitation shall receive his public assistance grants and allowances in person from the division of employment of the state department of labor, in accordance with regulations of the department.”
Section 350-k of New York Social Services Law provides for public works project employment for employable recipients of AFDC who cannot be placed in regular employment.
Special Message to the New York State Legislature, Mar. 29, 1971 (Brief for Appellant N. Y. State Depts. 9).
For the statutory definition of persons deemed “employable” see n. 1, supra.
See ibid. These provisions for employment of recipients in public works projects have not been implemented, as the HEW Regional Commissioner indicated that such projects would not be approved for federal aid. Brief for Appellant N. Y. State Depts. 13.
See n. 1, supra, and Social Services Administrative Letter, 71 PWD-43 which reads in relevant part:
“[T]he Laws of 1971 place a renewed and expanded emphasis on restoring all employable recipients of public assistance to employment in the regular economy. Accordingly, all unemployed employable persons applying for or receiving public assistance are not only required to register at the New York State Employment Service district office in their community, and report there regularly for appropriate employment counseling services and job referral, but, effective July 1, they will also pick up their assistance checks there. The penalty for not cooperating in this procedure is ineligibility for public assistance whether the individual is the grantee head of family, single person living alone, or non-grantee non-head of family.” App. 53-54.
In 1971, further amendments dealing with WIN were enacted. Act of Dec. 28, 1971, Pub. L. 92-223, § 3, 85 Stat. 803.
Ҥ 602. State plans for aid and services to needy families with children; contents; approval by Secretary.
“(a) A State plan for aid and services to needy families with children must . . .
“(19) provide—
“(A) that every individual, as a condition of eligibility for aid under this part, shall register for manpower services, training, and employment as provided by regulations of the Secretary of Labor, unless such individual is—
“(i) a child who is under age 16 or attending school full time; “(ii) a person who is ill, incapacitated, or of advanced age;
“(iii) a person so remote from a work incentive project that his effective participation is precluded;
“(iv) a person whose presence in the home is required because of illness or incapacity of another member of the household;
“(v) a mother or other relative of a child under the age of six who is caring for the child; or
“ (vi) the mother or other female caretaker of a child, if the father or another adult male relative is in the home and not excluded by clause (i), (ii), (iii), or (iv) of this subparagraph (unless he has failed to register as required by this subparagraph, or has been found by the Secretary of Labor under section 633 (g) of this title to have refused without good cause to participate under a work incentive program or accept employment as described in subparagraph (F) of this paragraph).”
States are penalized by a reduction in assistance if they fail to certify to the Secretary of Labor at least 15% of the average number of those registered each year. 42 IT. S. C. § 603 (c) (1970 ed., Supp. I).
The District Court and the parties in this case have used the word “pre-emption” in a rather special sense. This litigation does not involve arguable federal pre-emption of a wholly independent state program dealing with the same or a similar problem. Cf., e. g., Huron Portland Cement Co. v. Detroit, 362 U. S. 440, 446 (1960). AFDC is a federal statutory program, of which the WIN program is a part. The State Work Rules also were promulgated as part of the implementation of AFDC, and are therefore not wholly independent of the federal program. With this caveat, however, we will preserve the District Court’s usage, which has the advantage of focusing attention on the critical question: whether Congress intended WIN to provide the exclusive mechanism for establishing work rules under AFDC.
The court found additional points of conflict between the state and federal programs with regard to procedures for termination of
We postponed consideration of the question of jurisdiction to the hearing on the merits. We now conclude that the constitutional questions raised by appellees were not so insubstantial as to deprive the three-judge District Court of jurisdiction.
As to appellees’ due process claim, the court below directed the State to implement suitable means of informing Home Relief recipients of their hearing rights. Id., at 299. The State stipulates that this has been done. Tr. of Oral Arg. 19-20. The only issue which we address on this appeal is whether the state program is superseded in whole or in part by federal law.
The AFDC program is jointly financed by the States and the Federal Government. Dandridge v. Williams, 397 U. S. 471, 473 (1970).
Appellees’ position is also one of “complete exclusion” of the Work Rules, at least with regard to AFDC recipients. Tr. of Oral Arg. 34; Brief for Appellees in Response to Brief for the United States as Amicus Curiae 2-3.
See Brief for the United States as Amicus Curiae 12. The information was derived from a survey of state plans conducted by the Department of Health, Education, and Welfare.
No express intention to eliminate co-existing state work programs appears either at the time of the original 1967 enactment oí WIN, see S. Rep. No. 744, 90th Cong., 1st Sess., 26, 145-157; H. R. Rep. No. 1030, 90th Cong., 1st Sess., 58-59, or at the time of the 1971 amendments, n. 6, supra.
The court below asserted that the legislative history was supportive of a pre-emptive intent, 348 F. Supp., at 297.
In view of our remand, Part III, infra, we do not reach the issue of specific alleged conflicts. In sum, however, they are not sufficient to indicate pre-emptive intent, especially in light of the impressive evidence to the contrary.
Other citations to similar effect appear in Brief for Appellees 29-30.
Perhaps the most revealing legislative expressions confirm, subsequent to enactment, a congressional desire to preserve supplementary state work programs, not to supersede them. In the wake of the invalidation of the New York Work Rules by the three-judge District Court, members of the New York congressional delegation became concerned that the court had misconstrued the intent of Congress. The following colloquy occurred between Senator Buckley of New York and Senator Long of Louisiana, Chairman of the Finance Committee which considered WIN prior to approval by the Senate:
“Mr. Buckley. Was it ever the intention of Congress at that time to have the provisions of the WIN statutes preempt the field of employment and training for ADC recipients?
“Mr. Long. I did not have that in mind. . . .
“Mr. Buckley. ... So far as the distinguished chairman is con*417 cerned, was it ever the intention of at least this body to have a preemption in this field?
■ “Mr. Long. It was never our intention to prevent a State from requiring recipients to do something for their money if they were employable. . . .” 118 Cong. Rec. 36819 (1972).
In the House of Representatives, a similar dialogue took place between Congressman Carey of New York and Congressman Mills, Chairman of the House Ways and Means Committee, which considered the WIN program:
“Mr. Carey of New York. . . . My specific question for the chairman has to do with the intent of the Congress in authorizing the WIN program in 1967 and in amendments to that program in subsequent years. It is my understanding that Congress intended, through the WIN program, merely to assist the States in the critical area of guiding able-bodied welfare recipients toward self-sufficiency — and not to supersede individual State programs designed to achieve the same end. Under this interpretation, New York and other States could operate their own programs as supplementary to the Federal WIN program. Is my understanding of the congressional intent in this area correct?
“Mr. Mills of Arkansas. I agree with the interpretation of my friend, the gentleman from New York, on the matter, so long as the State program does not contravene the provisions of Federal law.” 118 Cong. Rec. 36931 (1972).
The WIN guidelines, issued by the United States Department of Labor, provide, according to appellants, for establishment of WIN programs only in those areas where there are at least 1,100 potential WIN enrollees. Brief for Appellant N. Y. State Depts. 37.
See id,., at 37-38. Title 42 U. S. C. § 602 (a) (19) (A) (iii) (1970 ed., Supp. I) may also have contemplated limited application of WIN, since it exempts from WIN registration “a person so remote from a work incentive project that his effective participation is precluded.”
See Brief for the United States as Amicus Curiae 15, citing U. S. Dept, of Labor, Manpower Administration, contract No. 36-2-0001-188, modification No. 3, June 30, 1972. The Government contends further that “the current level of WIN funding is such that no more than one-fifth of the WIN registrants will receive the full job training and placement assistance contemplated by the Act.” Ibid.
Brief for Appellant N. Y. State Depts. 38,17.
Brief for California as Amicus Curiae 3.
Brief for Appellant N. Y. State Depts. 15; App. 192. Appellants claim further that from January to June 1972, “there were 2,657 job placements under the WIN Program,” and 5,323 placements under the Work Rules. Id., at 18. These figures must be qualified, however, with the observation that many of the job placements are temporary; that many of those placed under the Work Rules may have been recipients of forms of assistance other than AFDC (while the number of WIN placements counts only AFDC recipients); and that single recipients may have been referred or placed — and thus statistically tabulated- — on more than one occasion. See Brief for Appellees 33-36. None of these observations, however, obscures the basic fact that the Work Rules materially contribute toward attainment of the objective of WIN in restoring employable AFDC recipients as wage-earning members of society. See 42 U. S. C. § 630 (1970 ed., Supp. I).
See Brief for the United States as Amicus Curiae 3, filed by the Solicitor General and joined in by the General Counsel of HEW.
Ibid.
Excerpts from depositions of Nelson Hopper, Director of the Employment Service Bureau of the New York State Dept, of Labor, and George Demmon, Senior Employment Counsellor, Erie County Dept. of Social Services, App. 226, 234. See also Brief for Appellant N. Y. State Depts. 17, and Tr. of Oral Arg. 7.
In considering the question of possible conflict between the state and federal work programs, the court below will take into account our prior decisions. Congress “has given the States broad discretion,” as to the AFDC program, Jefferson v. Hackney, 406 U. S. 535, 545 (1972); see also Dandridge v. Williams, 397 U. S., at 478; King v. Smith, 392 U. S. 309, 318-319 (1968), and “[s]o long as the State’s actions are not in violation of any specific provision of the Constitution or the Social Security Act,” the courts may not void them. Jefferson, supra, at 541. Conflicts, to merit judicial rather than cooperative federal-state resolution, should be of substance and not merely trivial or insubstantial. But if there is a conflict of substance as to eligibility provisions, the federal law of course must control. King v. Smith, supra; Townsend v. Swank, 404 U. S. 282 (1971); Carleson v. Remillard, 406 U. S. 598 (1972).