SUGARMAN, ADMINISTRATOR, NEW YORK CITY HUMAN RESOURCES ADMINISTRATION, ET AL. v. DOUGALL ET AL.
No. 71-1222
Supreme Court of the United States
Argued January 8, 1973—Decided June 25, 1973
413 U.S. 634
Samuel A. Hirshowitz, First Assistant Attorney General of New York, argued the cause for appellants. With him on the briefs were Louis J. Lefkowitz, Attorney
Lester Evens argued the cause and filed a brief for appellees.*
MR. JUSTICE BLACKMUN delivered the opinion of the Court.
Section 53 (1) of the New York Civil Service Law reads:
“Except as herein otherwise provided, no person shall be eligible for appointment for any position in the competitive class unless he is a citizen of the United States.”1
Section 53 (2) of N. Y. Civ. Serv. Law (Supp. 1972-1973) makes a temporary exception to the citizenship requirement:
“2. Notwithstanding any of the provisions of this chapter or of any other law, whenever a department head or appointing authority deems that an acute shortage of employees exists in any particular class or classes of positions by reason of a lack of a sufficient number of qualified personnel available for recruitment, he may present evidence thereof to the state or municipal civil service commission having jurisdiction which, after due inquiry, may determine the existence of such shortage and waive the citizenship requirement for appointment to such class or classes of positions. The state commission or such municipal commission, as the case may be, shall annually review each such waiver of the citizenship requirement, and shall revoke any such waiver whenever it finds that a shortage no longer exists. A non-citizen appointed pursuant to the provisions of this section shall not be eligible for continued employment unless he diligently prosecutes the procedures for citizenship.”
It is to be observed that an appointment under this exception permits the alien to continue his employment only until, on annual
The four appellees, Patrick McL. Dougall, Esperanza Jorge, Teresa Vargas, and Sylvia Castro, are federally registered resident aliens. When, because of their alienage, they were discharged in 1971 from their competitive civil service positions with the city of New York, the appellees instituted this class action challenging the constitutionality of § 53. The named defendants, and appellants here, were the Administrator of the city‘s Human Resources Administration (HRA), and the city‘s Director of Personnel and Chairman of its Civil Service Commission. The appellees sought (1) a declaration that the statute was invalid under the First and Fourteenth Amendments, (2) injunctive relief against any refusal, on the ground of alienage, to appoint and employ the appellees, and all persons similarly situated, in civil service positions in the competitive class, and (3) damages for lost earnings. A defense motion to dismiss for want of jurisdiction was denied by Judge Tenney, 330 F. Supp. 265 (SDNY 1971). A three-judge court was convened. That court ruled that the statute was violative of the Fourteenth Amendment and the Supremacy Clause, and granted injunctive relief. 339 F. Supp. 906 (SDNY 1971).2 Judge Lumbard joined the court‘s opinion and judgment, but wrote separately in concurrence. Id., at 911. Probable jurisdiction was noted. 407 U. S. 908 (1972).
I
Prior to December 28, 1970, the appellees were employed by nonprofit organizations that received funds through HRA from the United States Office of Economic Opportunity. These supportive funds ceased to be available about that time and the organizations, with approximately 450 employees, including the appellees and 16 other noncitizens, were absorbed by the Manpower Career and Development Agency (MCDA) of HRA.3 The appellant Administrator advised the transferees that they would be employed by the city.4 The appellees in fact were so employed in MCDA. In February, however, they were informed that they were ineligible for employment by the city and that they would be dismissed under the statutory mandate of § 53 (1). Shortly thereafter, they were discharged from MCDA solely because of their alienage.5
Appellee Dougall was born in Georgetown, Guyana, in September 1927. He has been a resident of New York City since 1964. He was employed by MCDA as an administrative assistant in the staff Development Unit.
Appellee Jorge was born in November 1948 in the Dominican Republic. She has been a resident of New
Appellee Vargas was born in the Dominican Republic in June 1946. She has been a resident of New York City since 1963. She worked as a clerk-typist for the Puerto Rican Forum and in the same capacity for MCDA.
Appellee Castro was born in El Salvador in June 1944. She has resided in New York City since 1967. She was employed by the Puerto Rican Forum as an assistant counselor and then as a human resources technician and worked in the latter capacity for MCDA.
The record does not disclose that any of the four appellees ever took any step to attain United States citizenship.
The District Court, in reaching its conclusion that
II
As is so often the case, it is important at the outset to define the precise and narrow issue that is here presented. The Court is faced only with the question
Neither is the Court reviewing a legislative scheme that bars some or all aliens from closely defined and limited classes of public employment on a uniform and consistent basis. The New York scheme, instead, is indiscriminate. The general standard is enunciated in the
Apart from the classified civil service, New York has an unclassified service.
Other constitutional and statutory citizenship requirements round out the New York scheme. The
We thus have constitutional provisions and a number of statutes that, together, constitute New York‘s scheme for the exclusion of aliens from public employment. The present case concerns only
III
It is established, of course, that an alien is entitled to the shelter of the
A. Appellants argue, however, that
It is at once apparent, however, that appellants’ asserted justification proves both too much and too little. As the above outline of the New York scheme reveals, the State‘s broad prohibition of the employment of aliens applies to many positions with respect to which the State‘s proffered justification has little, if any, relationship. At the same time, the prohibition has no application at all to positions that would seem naturally to fall within the State‘s asserted purpose. Our standard of review of statutes that treat aliens differently from citizens requires a greater degree of precision.
In Graham v. Richardson, 403 U. S., at 372, we observed that aliens as a class “are a prime example of a ‘discrete and insular’ minority (see United States v. Carolene Products Co., 304 U. S. 144, 152-153, n. 4 (1938)),” and that classifications based on alienage are “subject to close judicial scrutiny.” And as long as a quarter century ago we held that the State‘s power “to apply its laws exclusively to its alien inhabitants as a class is confined within narrow limits.” Takahashi v. Fish Comm‘n, 334 U. S., at 420. We therefore look to the substantiality of the State‘s interest in enforcing the statute in question, and to the narrowness of the limits within which the discrimination is confined.
Applying this standard to New York‘s purpose in confining civil servants in the competitive class to those persons who have no ties of citizenship elsewhere,
Section 53 is neither narrowly confined nor precise in its application. Its imposed ineligibility may apply to the “sanitation man, class B,” Perotta v. Gregory, 4 Misc. 2d 769, 158 N. Y. S. 2d 221 (1957), to the typist, and to the office worker, as well as to the person who directly participates in the formulation and execution of important state policy. The citizenship restriction sweeps indiscriminately. Viewing the entire constitutional and statutory framework in the light of the State‘s asserted interest, the great breadth of the requirement is even more evident.
B. Appellants further contend, however, that the State‘s legitimate interest is greater than simply limiting to citizens those high public offices that have to do with the formulation and execution of state policy. Understandably relying on this Court‘s decisions in Crane v. New York, 239 U. S. 195 (1915), Heim v. McCall, 239 U. S. 175 (1915), and Clarke v. Deckebach, 274 U. S. 392 (1927), appellants argue that a State constitutionally may confine public employment to citizens. Mr. Justice (then Judge) Cardozo accepted this “special public interest” argument because of the State‘s concern with “the restriction of the resources of the state
Appellants argue that our rejection of the special-public-interest doctrine in a public assistance case does not require its rejection here. That the doctrine has particular applicability with regard to public employment is demonstrated, according to appellants, by the decisions in Crane and Heim that upheld, under
C. The State would tender other justifications for
“There is no offer of proof on this issue and [appellants] would be hard pressed to demonstrate that a permanent resident alien who has resided in New York or the surrounding area for a number of years, as have [appellees], and whose family also resides here, would be a poorer risk for a career position in New York ... than an American citizen who, prior to his employment with the City or State, had been residing in another state.” 339 F. Supp., at 909.
Appellants further assert that employment of aliens in the career civil service would be inefficient, for when aliens eventually leave their positions, the State will
We hold that
Because of this conclusion, we need not reach the issue whether the citizenship restriction is in conflict with Congress’ comprehensive regulation of immigration and naturalization. See Graham v. Richardson, 403 U. S., at 376-380.
IV
While we rule that
Neither do we hold that a State may not, in an appropriately defined class of positions, require citizenship as a qualification for office. Just as “the Framers of the Constitution intended the States to keep for themselves, as provided in the Tenth Amendment, the power to regulate elections,” Oregon v. Mitchell, 400 U. S. 112, 124-125 (1970) (footnote omitted) (opinion of Black, J.); see id., at 201 (opinion of Harlan, J.), and id., at 293-294 (opinion of STEWART, J.), “[e]ach State has the power to prescribe the qualifications of its officers and the manner in which they shall be chosen.” Boyd v. Thayer, 143 U. S. 135, 161 (1892). See Luther v. Borden, 7 How. 1, 41 (1849); Pope v. Williams, 193 U. S. 621, 632-633 (1904). Such power inheres in the State by virtue of its obligation, already noted above, “to preserve the basic conception of a political community.” Dunn v. Blumstein, 405 U. S., at 344. And this power and responsibility of the State applies, not only to the qualifications of voters, but also to persons holding state elective or important nonelective executive, legislative, and judicial positions, for officers who participate directly in the formulation, execution, or review of broad public policy perform functions that go to the heart of representative government. There, as Judge Lumbard phrased it in his separate concurrence, is “where citizenship bears some rational relationship to the special demands of the particular position.” 339 F. Supp., at 911.
The judgment of the District Court is
Affirmed.
MR. JUSTICE REHNQUIST, dissenting.*
The Court in these two cases holds that an alien is not really different from a citizen, and that any legislative classification on the basis of alienage is “inherently suspect“. The
Two factual considerations deserve more emphasis than accorded by the Court‘s opinions. First, the records in Nos. 71-1222 and 71-1336 contain no indication that the aliens suffered any disability that precluded them, either as a group or individually, from applying for and being granted the status of naturalized citizens. The appellees in No. 71-1222, as far as the record discloses, took no steps to obtain citizenship or indicate any affirmative desire to become citizens. In No. 71-1336, appellant was eligible for naturalization but “elected to remain a citizen of the Netherlands,” 162 Conn. 249, 250, 294 A. 2d 281, 282, and deliberately chose not to file a declaration of intent under
Second, the appellees in No. 71-1222 all sought to be employees of administrative agencies of the New York City government. Of the 20 members of the class repre-
I
The Court, by holding in these cases and in Graham v. Richardson, 403 U. S. 365 (1971), that a citizen-alien classification is “suspect” in the eyes of our Constitution, fails to mention, let alone rationalize, the fact that the Constitution itself recognizes a basic difference between citizens and aliens. That distinction is constitutionally important in no less than 11 instances in a political document noted for its brevity.
Not only do the numerous classifications on the basis of citizenship that are set forth in the Constitution cut against both the analysis used and the results reached by the Court in these cases; the very Amendment which the Court reads to prohibit classifications based on citizenship establishes the very distinction which the Court now condemns as “suspect.” The first sentence of the
“All persons born or naturalized in the United States and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside.”
In constitutionally defining who is a citizen of the United States, Congress obviously thought it was doing something, and something important. Citizenship meant something, a status in and relationship with a society which is continuing and more basic than mere presence or residence. The language of that Amendment carefully distinguishes between “persons” who, whether by birth or naturalization, had achieved a certain status, and “persons” in general. That a “citizen” was considered by Congress to be a rationally distinct subclass of all “per-sons” is obvious from the language of the Amendment.
It is unnecessary to venture into a detailed discussion of what Congress intended by the Citizenship Clause of the
This Court has held time and again that legislative classifications on the basis of citizenship were subject to the rational-basis test of equal protection, and that the justifications then advanced for the legislation were rational. See Clarke v. Deckebach, 274 U. S. 392 (1927); Terrace v. Thompson, 263 U. S. 197 (1923); Porterfield v. Webb, 263 U. S. 225 (1923); Webb v. O‘Brien, 263 U. S. 313 (1923); Frick v. Webb, 263 U. S. 326 (1923); Patsone v. Pennsylvania, 232 U. S. 138 (1914); Blythe v. Hinckley, 180 U. S. 333 (1901); Hauenstein v. Lynham, 100 U. S. 483 (1880).
This Court explicitly held that it was not a violation of the Equal Protection Clause for a State by statute to limit employment on public projects to citizens. Heim v. McCall, 239 U. S. 175 (1915); Crane v. New York, 239 U. S. 195 (1915). Even if the Court now considers that the justifications for those enactments are
To reject the methodological approach of these decisions, the Court now relies in part on the decisions in Truax v. Raich, 239 U. S. 33 (1915), and Takahashi v. Fish Comm‘n, 334 U. S. 410 (1948). In Truax, supra, the Court invalidated a state statute which prohibited employers of more than five persons from employing more than 20% noncitizens. The law was applicable to all businesses. In holding that the law was invalid under the Equal Protection Clause, the Court took pains to explain that the decision was not meant to disturb prior holdings, 239 U. S., at 39, and specifically noted that “it should be added that the act is not limited to persons who are engaged on public work or receive the benefit of public moneys.” Id., at 40. Indeed, Heim and Crane were decided after Truax, as was Clarke, which held that a State could constitutionally prohibit aliens from engaging in certain types of businesses. If anything, Truax was limited by these later decisions.
Takahashi, supra, involved a statute which prohibited aliens “ineligible for citizenship” under federal law from receiving commercial fishing licenses. A State whose classification on the basis of race would have been legitimately “suspect” under the
The third, and apparently paramount, “decision” upon which the Court relied in Graham, and which is merely quoted in the instant decisions, is a footnote from United States v. Carolene Products Co., 304 U. S. 144 (1938), a case involving a federal statute prohibiting the interstate shipment of filled milk. That footnote discussed the presumption of constitutionality of statutes and stated:
“Nor need we enquire whether similar considerations enter into the review of statutes directed at particular religious, Pierce v. Society of Sisters, 268 U. S. 510, or national, Meyer v. Nebraska, 262 U. S. 390; Bartels v. Iowa, 262 U. S. 404; Farrington v. Tokushige, 273 U. S. 284, or racial minorities, Nixon v. Herndon, [273 U. S. 536]; Nixon v. Condon, [286 U. S. 73]; whether prejudice against discrete and insular minorities may be a special condition, which tends seriously to curtail the operation of those political processes ordinarily to be relied upon to protect minorities, and which may call for a
correspondingly more searching judicial inquiry.” Id., at 152-153, n. 4.
On the “authority” of this footnote, which only four Members of the Court in Carolene Products joined, the Court in Graham merely stated that “classifications based on alienage . . . are inherently suspect” because “[a]liens as a class are a prime example of a ‘discrete and insular’ minority . . . for whom such heightened judicial solicitude is appropriate.” 403 U. S., at 372. As Mr. Justice Frankfurter so aptly observed:
“A footnote hardly seems to be an appropriate way of announcing a new constitutional doctrine, and the Carolene footnote did not purport to announce any new doctrine . . . .” Kovacs v. Cooper, 336 U. S. 77, 90-91 (1949) (concurring opinion).
Even if that judicial approach were accepted, however, the Court is conspicuously silent as to why that “doctrine” should apply to these cases.
The footnote itself did not refer to “searching judicial inquiry” when a classification is based on alienage, perhaps because there was a long line of authority holding such classifications entirely consonant with the
The mere recitation of the words “insular and discrete minority” is hardly a constitutional reason for prohibiting state legislative classifications such as are involved here, and is not necessarily consistent with the theory
Our society, consisting of over 200 million individuals of multitudinous origins, customs, tongues, beliefs, and cultures is, to say the least, diverse. It would hardly take extraordinary ingenuity for a lawyer to find “insular and discrete” minorities at every turn in the road. Yet, unless the Court can precisely define and constitutionally justify both the terms and analysis it uses, these decisions today stand for the proposition that the Court can choose a “minority” it “feels” deserves “solicitude” and thereafter prohibit the States from classifying that “minority” differently from the “majority.” I cannot find, and the Court does not cite, any constitutional authority for such a “ward of the Court” approach to equal protection.
The only other apparent rationale for the invocation of the “suspect classification” approach in these cases is that alienage is a “status,” and the Court does not feel it “appropriate” to classify on that basis. This rationale would appear to be similar to that utilized in Weber v. Aetna Casualty & Surety Co., 406 U. S. 164 (1972), in which the Court cited, without discussion, Graham. Id., at 176 n. 14. But there is a marked difference between a status or condition such as illegitimacy, national origin, or race, which cannot be altered by an individual and the “status” of the appellant in No. 71-1336 or of the appellees in No. 71-1222. There is nothing in the record indicating that their status as aliens cannot be changed by their affirmative acts.
II
In my view, the proper judicial inquiry is whether any rational justification exists for prohibiting aliens from employment in the competitive civil service and from admission to a state bar.
“State legislatures are presumed to have acted within their constitutional power despite the fact that, in practice, their laws result in some inequality. A statutory discrimination will not be set aside if any state of facts reasonably may be conceived to justify it.” McGowan v. Maryland, 366 U. S. 420, 425-426 (1961).
Before discussing this question, a preliminary reflection on the Court‘s opinions is warranted. Perhaps the portions of the opinions that would most disturb native-born citizens and especially naturalized citizens who have worked diligently to learn about our history, mores, and political institutions and who have successfully completed the rigorous process of naturalization, is the intimation, if not statement, that they are really not any different from aliens. The Court concludes that, because aliens residing in our country must pay taxes and some of them (but not appellant in No. 71-1336) might at one time have been subject to service in the Armed Forces, the two “groups” are indistinguishable for purposes of equal protection analysis. Compulsory military service has been ended by Congress.2 Given the ubiquity
The opinion of the Court in No. 71-1222 would appear to answer this question in the negative, but it then proceeds to state that there is a difference between aliens and citizens for purposes of participation and service in the political arenas. Unless the Court means that citizenship only has meaning in a political context, the analytical approach of the Court is less than clear, hardly convincing, and curiously conflicts with the high non-political value that the Court has heretofore ascribed to citizenship. If citizenship is not “special,” the Court has wasted a great deal of effort in the past. Cf. Afroyim v. Rusk, 387 U. S. 253 (1967); Trop v. Dulles, 356 U. S. 86 (1958).
These statutes do not classify on the basis of country of origin; the distinctions are not between native Americans and “foreigners,” but between citizens and aliens. The process of naturalization was specifically designed by Congress to require a foreign national to demonstrate that he or she is familiar with the history, traditions, and institutions of our society in a way that a native-born citizen would learn from formal education and basic social contact. Congress specifically provided that an alien seeking citizenship status must demonstrate “an understanding of the English language” and “a knowledge and understanding of the fundamentals of the history, and of the principles and form of government, of the United
“Through the system of citizenship classes sponsored by the Immigration and Naturalization Service and the local school system, the alien is aided in preparing himself for citizenship, and every effort is made to give him fundamental and uniform knowledge of our political and social structure. In order that he may intelligently use this fundamental and uniform knowledge and so that he may be a complete and thoroughly integrated member of our American society, the committee [House Judiciary Committee] feels that he should have a basic knowledge of the common language of the country and be able to read, write, and speak it with reasonable facility.” H. R. Rep. No. 1365, 82d Cong., 2d Sess., 78 (1952) (emphasis added).
See also
In No. 71-1222, I do not believe that it is irrational for New York to require this class of civil servants to be citizens, either natural born or naturalized. The proliferation of public administration that our society has witnessed in recent years, as a result of the regulation of conduct and the dispensation of services and funds, has vested a great deal of de facto decisionmaking or policymaking authority in the hands of employees who would not be considered the textbook equivalent of policymakers of the legislative or “top” administrative variety. Nevertheless, as far as the private individual who must seek approval or services is concerned, many of these “low level” civil servants are in fact policymakers. Goldberg v. Kelly, 397 U. S. 254 (1970), implicitly recognized that those who apply facts to individual cases are as much “governors” as those who write the laws or regulations the “low-level” administrator must “apply.” Since policymaking for a political community is not necessarily the exclusive preserve of the legislators, judges, and “top” administrators, it is not irrational for New York to provide that only citizens should be admitted to the competitive civil service.
But the justification of efficient government is an even more convincing rationale. Native-born citizens can be expected to be familiar with the social and political institutions of our society; with the society and political mores that affect how we react and interact
In No. 71-1336 the answer is not as clearcut. The States traditionally have had great latitude in prescribing rules and regulations concerning technical competence and character fitness, governing those who seek to be ad-
More important than these emoluments of their position, though, is the tremendous responsibility and trust that our society places in the hands of lawyers. The liberty and property of the client may depend upon the competence and fidelity of the representation afforded by the lawyer in any number of particular lawsuits. But by virtue of their office lawyers are also given, and have increasingly undertaken to exercise, authority to seek to alter some of the social relationships and institutions of our society by use of the judicial process. No doubt an alien even under today‘s decision may be required to be learned in the law and familiar with the language spoken in the courts of the particular State involved. But Connecticut‘s requirement of citizenship reflects its judgment that something more than technical skills are needed to be a lawyer under our system. I do not believe it is irrational for a State that makes that judgment to require that lawyers have an understanding of the American political and social experience, whether gained from growing up in this country, as in the case of a native-born citizen, or from the naturalization process, as in the case of a foreign-born citizen. I suppose the Connecticut Bar Examining Committee could itself administer tests in American history, government, and so-
I would therefore reverse the judgment in No. 71-1222 and affirm that in No. 71-1336.
Notes
It is noteworthy, as well, that the 40th Congress considered and very nearly proposed a version of the
