ELKINS, PRESIDENT, UNIVERSITY OF MARYLAND v. MORENO ET AL.
No. 77-154
Supreme Court of the United States
Argued February 22, 1978—Decided April 19, 1978
435 U.S. 647
David H. Feldman, Assistant Attorney General of Maryland, argued the cause for petitioner. With him on the briefs were Francis B. Burch, Attorney General, George A. Nilson, Deputy Attorney General, and Robert A. Zarnoch, Assistant Attorney General.
Alfred L. Scanlan argued the cause for respondents. With him on the brief was James R. Bieke.*
*A brief for the American Council on Education et al. as amici curiae urging reversal was filed by Sheldon Elliot Steinbach and by the Attorneys General of their respective States as follows: Robert F. Stephens of Kentucky, Francis X. Bellotti of Massachusetts, Anthony F. Troy of Virginia, Avrum Gross of Alaska, Carl R. Ajello of Connecticut, Richard R. Wier, Jr., of Delaware, Arthur K. Bolton of Georgia, Wayne L. Kidwell of Idaho, Theodore L. Sendak of Indiana, William J. Guste, Jr., of Louisiana, Joseph E. Brennan of Maine, A. F. Summer of Mississippi, John D. Ashcroft of Missouri, Paul L. Douglas of Nebraska, Robert List of Nevada, David H. Souter of New Hampshire, William F. Hyland of New Jersey, Toney Anaya of New Mexico, Louis J. Lefkowitz of New York, Rufus L. Edmisten of North Carolina, Allen I. Olson of North Dakota, James A. Redden of Oregon, Daniel R. McLeod of South Carolina, William Janklow of South Dakota, Robert B. Hansen of Utah, M. Jerome Diamond of Vermont, Chauncey H. Browning, Jr., of West Virginia, and V. Frank Mendicino of Wyoming.
Respondents, representing a class of nonimmigrant alien residents of Maryland,1 brought this action against the University of Maryland2 and its President, petitioner Elkins, alleging that the University‘s failure to grant respondents “in-state” status for tuition purposes violated various federal laws,3 the Due Process and Equal Protection Clauses of the
Because we find that the federal constitutional issues in this case cannot be resolved without deciding an important issue
I
In 1973 the University of Maryland adopted a general policy statement with respect to “In-State Status for Admission, Tuition, and Charge-Differential Purposes.” In relevant part, this statement provides:
“1. It is the policy of the University of Maryland to grant in-state status for admission, tuition and charge-differential purposes to United States citizens, and to immigrant aliens lawfully admitted for permanent residence in accordance with the laws of the United States, in the following cases:
“a. Where a student is financially dependent upon a parent, parents, or spouse domiciled in Maryland for at least six consecutive months prior to the last day available for registration for the forthcoming semester.
“b. Where a student is financially independent for at least the preceding twelve months, and provided the student has maintained his domicile in Maryland for at least six consecutive months immediately prior to the last day available for registration for the forthcoming semester.” Brief for Petitioner 7.
The term “domicile” is defined as “a person‘s permanent place of abode; namely, there must be demonstrated an intention to live permanently or indefinitely in Maryland.” Id., at 8. The policy statement also sets out eight factors to be considered in determining domicile, of which one is whether a student, or the persons on whom he is dependent, pays “Maryland income tax on all earned income including all taxable income earned outside the State.” Id., at 9.
II
In 1974, respondents Juan C. Moreno and Juan P. Otero applied for in-state status under the general policy statement. Each respondent was a student at the University of Maryland and each was dependent on a parent who held a “G-4 visa,” that is, a nonimmigrant visa granted to “officers, or employees of ... international organizations, and the members of their immediate families” pursuant to
These respondents took a “consolidated appeal” to the IRC, which also denied them in-state status in a letter which stated:
“The differential in tuition for in-state and out-of-state fees is based upon the principle that the State of Maryland should subsidize only those individuals who are subject to the full scope of Maryland tax liability. Such taxes support in part the University. The University of Maryland‘s present classification policies rest upon this principle of cost equalization. In examining the particulars of your case it is felt that neither you nor your parents are subject to the full range of Maryland taxes (e. g., income tax) and therefore the University must classify you as out-of-state with the consequential higher tuition rate.
“You have raised the question of domicile. It is our opinion that a holder of a G-4 visa cannot acquire the requisite intent to reside permanently in Maryland, such intent being necessary to establish domicile.” Id., at 51, 86.
A final appeal was made to President Elkins, who advised Moreno and Otero as follows:
“It is the policy of the University of Maryland to grant in-state status for admission, tuition and charge-differential purposes only to United States citizens and to immigrant aliens lawfully admitted for permanent residence. Furthermore, such individuals (or their parents) must display Maryland domicile. This classification policy reflects the desire to equalize, as far as possible, the cost of education between those who support the University of Maryland through payment of the full spectrum of Maryland taxes, and those who do not. In reviewing these cases, it does not appear that the parents pay Mary-
land income tax. It is my opinion, therefore, that the aforesaid purpose of the policy, as well as the clear language of the policy, requires the classification of Mr. Moreno and Mr. Otero as ‘out-of-state.’
“The University‘s classification policy also distinguishes between domiciliaries and non-domiciliaries of Maryland. In this regard, it is my opinion, and the position of the University, that the terms and conditions of a G-4 nonimmigrant visa preclude establishing the requisite intent necessary for Maryland domicile. Thus, because Mr. Moreno and Mr. Otero are not domiciliaries of Maryland, and because of the underlying principle of cost equalization, I am denying the requests for reclassification.” App. 12A.
Respondent Clare B. Hogg‘s experience was similar. Her application for in-state status was initially rejected because:
“[T]he policy for the determination of in-state status limits the ability to establish an in-state classification to United States citizens and immigrant aliens admitted to the United States for permanent residence. As the person upon whom you are dependent holds a G-4 visa, and as you hold a G-4 visa, in my judgment you are not eligible for an in-state classification.
“Also, the person upon whom you are dependent does not pay Maryland income tax on all earned income, including income earned outside the state. I feel this further weakens your request for reclassification as this is an important criteria [sic] in determination of domicile.” Record 106.
However, the IRC stated on appeal:
“It is the opinion of the IRC that a holder of a nonimmigrant visa, including the G-4 visa you hold, cannot acquire the requisite intent to reside permanently in
Maryland, such intent being necessary to establish domicile.” Id., at 111.
No mention was made of failure to pay taxes or of respondents’ nonimmigrant status. See ibid. Yet on final appeal to President Elkins, these reasons, as well as respondent Hogg‘s lack of domicile, were recited in a letter virtually identical to those sent respondents Moreno and Otero as grounds for denying in-state status. See App. 13A.
Unable to obtain in-state status through the University‘s administrative machinery, respondents filed a class action against the University and petitioner Elkins, seeking a declaration that the class should be granted in-state status and seeking permanently to enjoin the University from denying in-state status to any present or future class member on the ground that such class member or a parent on whom such class member might be financially dependent
“(a) is the holder of a G-4 visa; (b) pays no Maryland State income tax on a salary or wages from an international organization under the provisions of an international treaty to which the United States is a party; or (c) is not domiciled in the State of Maryland by reason of holding such a visa or paying no Maryland State income tax on such salary or wages under the provisions of such a treaty.” Id., at 11A.
The District Court, on cross-motions for summary judgment, limited the relief granted to a declaration and enforcing injunction restraining petitioner Elkins from denying respondents “the opportunity to establish ‘in-state’ status” solely because of an “irrebuttable presumption of non-domicile.” 420 F. Supp., at 565. The court specifically refused to grant respondents in-state status, holding that the facts with respect to the respondents’ fathers, on whom each respondent was dependent, were in dispute. Id., at 564-565. Similarly, the court did not indicate whether the University could or could
With respect to the “irrebuttable presumption” issue, the
III
A
In this Court, petitioner argues that the University‘s in-state policy should have been tested under standards set out in Weinberger v. Salfi, 422 U. S. 749 (1975), and its progeny, since in petitioner‘s view these cases have effectively overruled Vlandis. As an alternative argument, petitioner asserts that the District Court should be reversed because its conclusions on points of Maryland and federal law were erroneous and in fact it is universally true that a G-4 visa holder cannot become a Maryland domiciliary.
Respondents reply that Vlandis was distinguished, not overruled, by Salfi, and, as distinguished, Vlandis covers this case. Moreover, they assert that the District Court correctly interpreted federal and Maryland law. Because the University‘s policy would on this view discriminate against a class of aliens who could become Maryland domiciliaries, they also argue, as they did in the District Court,6 that they should prevail on equal protection grounds even if they cannot prevail under Vlandis.7 Cf. Nyquist v. Mauclet, 432 U. S. 1 (1977).
Although the parties argue this case in terms of due process, equal protection, and Vlandis versus Salfi, the gravamen of their dispute is unquestionably whether, as a matter of federal and Maryland law, G-4 aliens can form the intent necessary to allow them to become domiciliaries of Maryland. The University has consistently maintained throughout this litigation that, notwithstanding other possible interpretations of
If we are to reverse the courts below, therefore, we must overrule or further limit Vlandis as, of course, petitioner has asked us to do. Before embarking on a review of the consti-
B
Petitioner has argued, and respondents do not appear to disagree, that, if as a matter of federal law a nonimmigrant alien is required to maintain a permanent residence abroad or must state that he will leave the United States at a certain future date, then such an alien‘s subjective intent to reside permanently or indefinitely in a State would not create the sort of intent needed to acquire domicile. It is not clear whether this argument is based on an understanding of the common law of Maryland defining intent or whether it is based on an argument that federal law creates a “legal disability,” see Restatement (Second) of Conflict of Laws § 15 (1) (1971), which States are bound to recognize under the Supremacy Clause. See Nyquist v. Mauclet, 432 U. S., at 4; id., at 20 n. 3 (REHNQUIST, J., dissenting); Seren v. Douglas, 30 Colo. App. 110, 114-115, 489 P. 2d 601, 603 (1971) (semble); Gosschalk v. Gosschalk, 48 N. J. Super. 566, 574-575, 138 A. 2d 774, 779 (1958) (semble), aff‘d, 28 N. J. 73, 145 A. 2d 327 (1958); Gosschalk v. Gosschalk, 28 N. J. 73, 75-82, 145 A. 2d 327, 328-331 (1958) (dissenting opinion). But cf. Williams v. Williams, 328 F. Supp. 1380, 1383 (V. I. 1971). In any case, we need not decide the effect of a federal law restricting nonimmigrant aliens
After extensive study, Congress passed the Immigration and Nationality Act of 1952, 66 Stat. 163, as amended,
The second class of aliens, nonimmigrant aliens, is established by § 101 (a) (15) of the Act. This section creates 12 subcategories of aliens who may come to the United States without need for a quota allocation. See
Although nonimmigrant aliens can generally be viewed as temporary visitors to the United States, the nonimmigrant classification is by no means homogeneous with respect to the terms on which a nonimmigrant enters the United States. For example, Congress expressly conditioned admission for some purposes on an intent not to abandon a foreign residence or, by implication, on an intent not to seek domicile in the United States. Thus, the 1952 Act defines a visitor to the United States as “an alien ... having a residence in a foreign country which he has no intention of abandoning” and who is coming to the United States for business or pleasure.
By including restrictions on intent in the definition of some nonimmigrant classes, Congress must have meant aliens to be barred from these classes if their real purpose in coming to the United States was to immigrate permanently. Moreover,
But Congress did not restrict every nonimmigrant class. In particular, no restrictions on a nonimmigrant‘s intent were placed on aliens admitted under
Under present law, therefore, were a G-4 alien to develop a subjective intent to stay indefinitely in the United States, he would be able to do so without violating either the 1952 Act, the Service‘s regulations, or the terms of his visa. Of course, should a G-4 alien terminate his employment with an international treaty organization, both he and his family would lose
their G-4 status. Ibid. Nonetheless, such an alien would not necessarily be subject to deportation nor would he have to leave and re-enter the country in order to become an immigrant.
Beginning with the 1952 Act, Congress created a mechanism, “adjustment of status,” through which an alien already in the United States could apply for permanent residence status. See
“Where adverse factors are present in a given application, it may be necessary for the applicant to offset these by a showing of unusual or even outstanding equities. Generally, favorable factors such as family ties, hardship, length of residence in the United States, etc., will be considered as countervailing factors meriting favorable exercise of administrative discretion. In the absence of adverse factors, adjustment will ordinarily be granted, still as a matter of discretion.” Matter of Arai, 13 I. & N. Dec. 494, 496 (1970) (emphasis added), modifying Matter of Ortiz-Prieto, 11 I. & N. Dec. 317 (BIA 1965).
C
For the reasons stated above, the question, whether G-4 aliens can become domiciliaries of Maryland is potentially dispositive of this case and is purely a matter of state law. Therefore, pursuant to
“Are persons residing in Maryland who hold or are named
in a visa under 8 U. S. C. § 1101 (a) (15) (G) (iv) (1976 ed.) , or who are financially dependent upon a person holding or named in such a visa, incapable as a matter of state law of becoming domiciliaries of Maryland?”29
So ordered.*
MR. JUSTICE REHNQUIST, with whom THE CHIEF JUSTICE joins, dissenting.
The University of Maryland, like all state universities, differentiates in tuition between “in-state” and “out-of-state” students. The two categories of students are delineated in the University‘s general policy statement on “In-State Status for Admission, Tuition, and Charge-Differential Purposes.” Part 1 of the policy statement provides:
“It is the policy of the University of Maryland to grant in-state status for admission, tuition and charge-differential purposes to United States citizens, and to immigrant
aliens lawfully admitted for permanent residence in accordance with the laws of the United States, in the following cases: “a. Where a student is financially dependent upon a parent, parents, or spouse domiciled in Maryland for at least six consecutive months prior to the last day available for registration for the forthcoming semester[, or]
“b. Where a student is financially independent for at least the preceding twelve months, and provided the student has maintained his domicile in Maryland for at least six consecutive months immediately prior to the last day available for registration for the forthcoming semester.” Brief for Petitioner 7 (emphasis added).
As is clear from the policy statement, domicile is not the sole criterion upon which the University of Maryland determines “in-state” tuition status. The University first looks to see whether the student is either a “United States citizen” or an “immigrant alien lawfully admitted for permanent residence“; if the student satisfies this initial requirement, the University must then determine whether the student (or his parents) are domiciled in Maryland.
Respondents are nonimmigrant aliens who hold G-4 visas. Pursuant to the University‘s tuition policy, they were denied lower in-state tuition rates despite the fact that they and their parents reside in Maryland. As explained by the Assistant Director of Admissions in a letter to respondent Clare B. Hogg, the principal reason for classifying respondents as out-of-state students for purposes of tuition was nonimmigrant status; as a secondary factor, the Assistant Director of Admissions noted that respondents would probably not be able to pass the second hurdle of domicile:1
“[T]he policy for determination of in-state status limits
the ability to establish an in-state classification to United States citizens and immigrant aliens admitted to the United States for permanent residence. As the person upon whom you are dependent holds a G-4 visa, and as you hold a G-4 visa, in my judgment you are not eligible for an in-state classification. “Also, the person upon whom you are dependent does not pay Maryland income tax on all earned income, including income earned outside the state. I feel this further weakens your request for reclassification as this is an important criteria in determination of domicile.” Record 106.
Respondents brought suit in federal court alleging that the University‘s in-state tuition policy is, among other things, in violation of the Due Process and Equal Protection Clauses of the Fourteenth Amendment. The District Court for the District of Maryland held that the University‘s policy creates an irrebuttable presumption in contravention of Vlandis v. Kline, 412 U. S. 441 (1973). The Court of Appeals for the Fourth Circuit affirmed. We granted certiorari to decide whether the lower courts were correct in their holding.
The Court, rather than deciding the due process issue upon
“Are persons residing in Maryland who hold or are named in a visa under
8 U. S. C. § 1101 (a) (15) (G) (iv) (1976 ed.) , or who are financially dependent upon a person holding or named in such a visa, incapable as a matter of state law of becoming domiciliaries of Maryland?”
I would unhesitatingly join the Court‘s certification if I felt that resolution of the question posed to the Court of Appeals of Maryland were necessary to decide the issue before us. But I am convinced that we can decide the due process issue without resolution of Maryland domicile law and thus that certification will only result in needless delay.
The University apparently classifies nonimmigrant aliens as out-of-state students for a number of reasons. All parties agree that a major factor is the University‘s conclusion that nonimmigrant aliens lack the legal capacity to become Maryland domiciliaries for tuition purposes. But this is not the only consideration underlying the classification, as is evidenced by the fact that citizenship or immigrant status is a requirement separate from and preceding domicile. According to
Because the University‘s conclusion as to domicile plays a major role in its decision not to award nonimmigrant aliens in-state tuition status, counsel for petitioner admitted at oral argument that “it is entirely possible that the university would change its policy” in the face of a contrary decision by the Maryland Court of Appeals. Tr. of Oral Arg. 9. But a change in the University‘s in-state tuition policy would be neither automatic nor inescapable. The University might still decide that the other considerations such as cost equalization by themselves dictate continuation of the current policy. According to counsel for petitioner, “that judgment is one that would be made by the regents, and [as] I have suggested previously . . . it is well within the discretion of the regents.” Id., at 15.
The above facts clearly establish that the University of Maryland has not created an irrebuttable presumption. The University has not determined that domicile is the sole relevant factor in determining tuition rates and then prevented respondents from presenting proof on the question of domicile.4
“does not purport to speak in terms of the bona fides of [domicile], but then make plainly relevant evidence of such bona fides inadmissible. As in Starns v. Malkerson, 326 F. Supp. 234 (Minn. 1970), summarily aff‘d, 401 U. S. 985 (1971), the benefits here are available upon compliance with an objective criterion, one which the Legislature considered to bear a sufficiently close nexus with underlying policy objectives to be used as the test for eligibility. Like the plaintiffs in Starns, [respondents] are completely free to present evidence that they meet the specified requirements; failing in this effort, their only constitutional claim is that the test they cannot meet is not so rationally related to a legitimate legislative objective that it can be used to deprive them of benefits available to those who do satisfy that test.” Id., at 772.
Because it is clear that the University of Maryland has not created an irrebuttable presumption of non-Maryland domicile, it is unnecessary to decide, as the Court apparently believes
In summary, I agree with the Court that important and controlling issues of state law should initially be decided by state, not federal, courts. But because I do not believe that resolution of the Maryland law of domicile is necessary to decide the due process question before us, I dissent from today‘s certification.8
Notes
“All persons now residing in Maryland who are current students at the University of Maryland, or who chose not to apply to the University of Maryland because of the challenged policies but would now be interested in attending if given an opportunity to establish in-state status, or who are currently students in senior high schools in Maryland, and who
“(a) hold or are named within a visa under
...
.“(G)... (iv) officers, or employees of ... international organizations [recognized under the International Organizations Immunities Act, 59 Stat. 669,
Respondents Moreno and Otero are dependents of employees of the Inter-American Development Bank. App. 6A, 7A. Respondent Hogg is the dependent of an employee of the International Bank for Reconstruction and Development. Id., at 9A. The complaint states that respondent Moreno has resided in Maryland for 15 years, Otero for 10 years, and Hogg for 5 years. Id., at 4A. The Court does not appear to argue that domicile is the sole reason for the University of Maryland‘s out-of-state classification of nonimmigrant aliens. Instead, the Court concludes that domicile is the “‘paramount’ and controlling concern” of the University. Ante, at 659, and n. 8. The Court supports its conclusions not with citations from the pleadings or affidavits of the parties but with references to briefs and memoranda filed by their counsel. Counsel for petitioner is, of course, charged with the legal defense of the validity of the policy statement promulgated by the Board of Regents and enforced by petitioner, but counsel is not authorized, in the absence of more authority than is shown here, either to rewrite or to predict how the Regents might rewrite its policy. Thus whatever the “surprise” that the Court foresees petitioner will experience from the view taken of the Regents’ policy statement, see ante, at 659 n. 8, will stem not from this dissent but from the Court‘s willingness to attribute to ambiguous statements by counsel for a state agency the implied authority to rewrite the agency‘s regulations or to predict the manner in which the agency might rewrite them. Even the selected statements of counsel do not unequivocally support the Court‘s conclusion. As noted earlier, supra, at 673, while counsel for petitioner suggested that “the odds are reasonably high” that the University will modify its policy if the Court of Appeals of Maryland concludes that G-4 aliens can become domiciled in Maryland, he also emphasized that the University‘s other concerns, such as cost equalization, might lead the Regents to continue out-of-state classification of nonimmigrant aliens. Domicile, in other words, is not the sole concern of the University and may well not even be a “controlling concern.” See also Brief for Petitioner 29-32; Tr. of Oral Arg. 19-21 (out-of-state classification of nonimmigrant aliens “serve[s] many purposes other than measuring domicile“; “the policy is clearly intended to serve other purposes“).
“(b) students whose parents do not pay Maryland income tax on income earned from an international organization under the provisions of an international treaty ... may not be granted in-state status because of the ‘principle of cost equalization’ and because the University‘s ‘policy reflects the desire to equalize, as far as possible, the cost of education between those who support the University of Maryland through payment of the full spectrum of Maryland taxes, and those who do not‘....” App. 5A (Complaint ¶ 13 (b)).
See App. 16A (Answer ¶ 13). The University similarly disavowed any intent to exclude respondents solely on the basis of failure to pay state income taxes in its responses to respondents’ requests for admission. See Record 134 (¶ 2 (d)) (denying that tax exemption given some G-4 visa holders is “relevant to the determination made pursuant to the ... University of Maryland policy“); id., at 135 (¶ 3 (d)) (same); id., at 139 (¶ 6 (d)) (same); id., at 136 (¶ 4 (d)) (denying the relevance for in-state tuition purposes of the fact that a person may pay Maryland state taxes on less than 50% of his earned income); id., at 141 (¶ 8 (d)) (same); id., at 142 (¶ 9 (d)) (same); id., at 140 (¶ 7 (d)) (denying the relevance for in-state tuition purposes of the fact that a person may pay Maryland state taxes on only “unearned” income). Finally, the University admitted as fact that
“an ‘immigrant student’ who is financially dependent upon a parent who is an immigrant lawfully admitted for permanent residence ... may be granted in-state status, whether or not the parent on whom such student is financially dependent currently pays Maryland income tax, provided that such parent can exhibit all of the other relevant domiciliary criteria....” Id., at 142.
Since no party has suggested a difference between immigrant and nonimmigrant aliens other than the possibility that the latter cannot become domiciliaries, the University‘s admission tends to confirm that the tax issue is not determinative of in-state status for any group of aliens.
For the reasons set out above, we, like the District Court, do not now decide whether the University would be barred by the Supremacy Clause from denying in-state status on tax grounds. Because the tuition policy of the University of Maryland is controlled by Weinberger v. Salfi and not Vlandis v. Kline, the Court need not decide, as amici 29 States urge us to do, whether Vlandis should be overruled.
Indeed, respondents argued below against abstention, see n. 15, infra, on the same grounds now argued by our Brother REHNQUIST against certification, namely: “[T]he Maryland common law of domicile is not at issue in this case. No ‘clarification’ of the Maryland common law of domicile is needed. Such common law principles, standing alone, do not set the tuition charged by the University of Maryland.” Record 272. And peti- tioner countered: “What [respondents] apparently fail to understand is that the [University‘s] ‘In-State Policy’ is structured upon and reflects [the University‘s] understanding of the Maryland common law of domicile.” Id., at 340. While I agree with the Court‘s conclusion that holders of G-4 visas are not prevented as a matter of federal law from establishing Maryland domicile, I find it unnecessary to address the five pages of dicta that accompany that conclusion. I am nonetheless troubled by the Court‘s unsupported dictum that the United States may not be able to deport, under certain unspecified circumstances, a G-4 alien who terminates his employment with an international treaty organization. Ante, at 667.
Similar sentiments are expressed in petitioner‘s brief in this Court. See Brief, at 11, 12, 28, 30, 34, and 35 n. 20. And petitioner‘s counsel stated at oral argument that if the Court of Appeals of Maryland determined that a person with a G-4 visa is capable of forming the requisite intent to establish domicile, “the odds are reasonably high that the case would become moot because the university would change its policy, but that judgment is one that would be made by the regents....” Tr. of Oral Arg. 14-15.
“This Court often has remarked that the equitable practice of abstention is limited by considerations of ’ “the delay and expense to which application of the abstention doctrine inevitably gives rise.” ’ ... As we have also noted, however, the availability of an adequate certification procedure ‘does, of course, in the long run save time, energy, and resources and helps build a cooperative judicial federalism.’ ...
” ... [T]he availability of certification greatly simplifies [Pullman abstention] analysis.” (Footnotes omitted.)
