Opinion · Supreme Court of the United States
Mathews v. Lucas
Mathews v. Lucas, 49 L. Ed. 2d 651 (1976)
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1976-06-29
- Topic
- general
holding that "conditioning entitlement upon dependency is not impermissibly discriminatory" and that the statutory classifications are "reasonably related to the likelihood of dependency at death" | holding that “conditioning entitlement upon dependency is not impermissibly discriminatory” and that the statutory classifications are “reasonably related to the likelihood of dependency at death” | noting that “all legitimate children, are statutorily entitled ... to survivorship benefits regardless of actual dependency” | noting that "all legitimate children, are statutorily entitled ... to survivorship benefits regardless of actual dependency" | recognizing illegitimate children as semisuspect class because the law has long placed them in an inferior position relative to legitimate children | according heightened scrutiny to classifications based on illegitimacy despite mutability and political power of illegiti-mates | applying heightened scrutiny because, inter alia, illegitimacy "bears no relation to the individual's ability to participate in and contribute to society" | applying heightened scrutiny because, inter alia, illegitimacy “bears no relation to the individual’s ability to participate in and contribute to society” | examining the constitutionality under the Fifth Amendment’s Due Process Clause of a federal statute regulating eligibility of illegitimate children for insurance benefits | referring to Jimenez v. Weinberger, 417 U.S. 628, 94 S.Ct. 2496, 41 L.Ed.2d 363 (1974 | upholding the presumption that legitimate children, and some illegitimate children, were dependent on a deceased wage earner | permitting use of objective criteria in determining whether illegitimate children were in fact dependent upon decedent covered by the Social Security program | observing that illegitimate children do not “carry an obvious badge” | "visiting condemnation upon the child in order to express society’s disapproval of the parents’ liaisons 'is illogical and unjust’ ’’ | striking down a lawn-related ordinance that irrationally applied only to a certain subset of properties | subjecting official SCRAP, 412 U.S. 669, 678 (1973), and “stigmatization,” see distinctions based o n legitimacy to intermed iate scrutiny | examining the constitutionality under the Fifth Amendment’s Due Process Clause of a federal statute regulating eligibility of illegitimate children for insurance benefits | upholding the presumption that legitimate children, and some illegitimate children, were dependent on a deceased wage earner | upholding provision under the Social Security Act requiring illegitimate children of fully insured deceased in absence of certain other factors to prove dependency as a prerequisite to collecting survivors’ benefits | characterizing the historic discrimination faced by women and blacks as “sever[e] and pervasiv[e]” | upholding the denial of survivors' benefits under the Social Security Act to illegitimate children unless they are entitled to inherit under state intestacy law or are able to show paternity in one of several other ways, including written acknowledgment by the father, 42 U. S. C. § 402 (d | upholding the denial of survivors’ benefits under the Social Security Act to illegitimate children unless they are entitled to inherit under state intestacy law or are able to show paternity in one of several other ways, including written acknowledgment by the father, 42 U. S. C. § 402 (d | status of illegitimacy "is, like race or national origin, a characteristic determined by causes not within the control of the illegitimate individual” | presumption of dependency under Social Security Act of legitimate child of insured parent upon parent's death | “[T]he Secretary explains the design of the statutory scheme ... as a program to provide for all children of deceased [or disabled] insureds who can demonstrate their ‘need’ in terms of dependency” | presumption of dependency under Social Security Act of legitimate child of insured p
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delivered the opinion of the Court.
This case presents the issue of the constitutionality, under the Due Process Clause of the Fifth Amendment, of those provisions of the Social Security Act that condition the eligibility of certain illegitimate children for a surviving child’s insurance benefits upon a showing that the deceased wage earner was the claimant child’s parent and, at the time of his death, was living with the child or was contributing to his support.
I
Robert Cuffee, now deceased, lived with Belmira Lucas during the years 1948 through 1966, but they were never married. Two children were born to them during these years: Ruby M. Lucas, in 1953, and Darin E. Lucas, in 1960. In 1966 Cuffee and Lucas separated. Cuffee died in Providence, R. I., his home, in 1968. He died without ever having acknowledged in writing his paternity of either Ruby or Darin, and it was never determined in any judicial proceeding during his lifetime that he was the father of either child. After Cuffee’s death, Mrs. Lucas filed an application on behalf of Ruby and Darin for surviving children’s benefits under i 202 (d)(1) of the Social Security Act, 70 Stat. 807, as amended, 42 U. S. C. § 402 (d)(1) (1970 ed. and Supp. IV), based upon Cuffee’s earnings record.
II
In operative terms, the Act provides that an unmarried son or daughter of an individual, who died fully or currently insured under the Act, may apply for and be
The District Court ultimately affirmed each of the factual findings of the administrative agency: that Robert Cuffee was the children’s father; that he never acknowledged his paternity in writing; that his paternity or support obligations had not been the subject of a judicial proceeding during his lifetime; that no common-law marriage had ever been contracted between Cuffee and Lucas, so that the children could not inherit Cuffee’s personal property under the intestacy law of Rhode Island; and that, at the time of his death, he was neither living with the children nor contributing to their support. 390 F. Supp. 1310, 1312-1314 (1975). None of these factual matters is at issue here.4
“[The Act] conditions eligibility on the basis of Congress’ views as to who is entitled to support and reflects society’s view that legitimate and ‘legitimated’ children are more entitled to support by or through a parent than are illegitimate children. But this is not a legitimate governmental interest, and thus cannot support the challenged classification. Gomez v. Perez, [409 U. S. 535 (1973)].” Id., at 1320. (Emphasis in original.)
With this conclusion, the District Court reversed the administrative decision and ordered the Secretary to pay benefits for both children. Jurisdictional Statement 28a.
The Secretary appealed directly to this Court. 28 U. S. C. § 1252. We noted probable jurisdiction and set the case for argument with Norton v. Mathews, post, p. 524. 423 U.S. 819 (1975).
Ill
The Secretary does not disagree that the Lucas children and others similarly circumstanced are treated differently, as a class, from those children — legitimate and illegitimate — who are relieved by statutory presumption of any requirement of proving actual dependency at the time of death through cohabitation or contribution: for children in the advantaged classes may be statutorily entitled to benefits even if they have never been dependent upon the father through whom they claim.7 Statutory
Although the District Court concluded that close judicial scrutiny of the statute's classifications was not necessary to its conclusion invalidating those classifications, it also concluded that legislation treating legitimate and illegitimate offspring differently is constitutionally suspect,8 390 F. Supp., at 1318-1319, and requires the judicial scrutiny traditionally devoted to cases involving discrimination along lines of race9 or national origin.10 Appellees echo this approach. We disagree.11
“is illogical and unjust. Moreover, imposing disabilities on the illegitimate child is contrary to the basic concept of our system that legal burdens should bear some relationship to individual responsibility or wrongdoing. Obviously, no child is responsible for his birth and penalizing the illegitimate child is an ineffectual — as well as an unjust — way of deterring the parent.” 406 U. S., at 175. (Footnote omitted.)
But where the law is arbitrary in such a way, we have had no difficulty in finding the discrimination impermissible on less demanding standards than those advocated here. New Jersey Welfare Rights Org. v. Cahill, 411 U. S. 619 (1973); Richardson v. Davis, 409 U. S. 1069 (1972); Richardson v. Griffin, 409 U. S. 1069 (1972); Weber, supra; Levy v. Louisiana, 391 U. S. 68 (1968). And such irrationality in some classifications does not in itself demonstrate that other, possibly rational, distinctions made in part on the basis of legitimacy are inherently untenable. Moreover, while the law has long
We therefore adhere to our earlier view, see Labine v. Vincent, 401 U. S. 532 (1971), that the Act’s discrimination between individuals on the basis of their legitimacy does not “command extraordinary protection from the majoritarian political process,” San Antonio School Dist. v. Rodriguez, 411 U. S. 1, 28 (1973), which our most exacting scrutiny would entail.13 See Jimenez, 417 U. S., at 631-634, 636; Weber, 406 U. S., at 173, 175-176.
Relying on Weber, the Court, in Gomez v. Perez, 409 U. S. 535, 538 (1973), held that “once a State posits a judicially enforceable right on behalf of children to needed support from their natural fathers there is no constitutionally sufficient justification for denying such an essential right to a child simply because its natural father has not married its mother.” The same principle, which we adhere to now, applies when the judicially enforceable right to needed support lies against the Government rather than a natural father. See New Jersey Welfare Rights Org. v. Cahill, supra.
Consistent with our decisions, the Secretary explains the design of the statutory scheme assailed here as a program to provide for all children of deceased insureds who can demonstrate their “need” in terms of dependency at the times of the insureds’ deaths. Cf. Jimenez, 417 U. S., at 634. He authenticates this description by reference to the explicit language of the Act specifying that the applicant child’s classification as legitimate, or acknowledged, etc., is ultimately relevant only to the determination of dependency, and by reference to legislative history indicating that the statute was not a general welfare provision for legitimate or otherwise “approved” children of deceased insureds, but was intended just “to replace the support lost by a child when his father . . . dies . . . .” S. Rep. No. 404, 89th Cong., 1st Sess., 110 (1965).
Taking this explanation at face value, we think it clear that conditioning entitlement upon dependency at the time of death is not impermissibly discriminatory in providing only for those children for whom the loss of the parent is an immediate source of the need. Cf. Geduldig v. Aiello, 417 U. S. 484, 492-497 (1974); Jefferson v. Hackney, 406 U. S. 535 (1972); Richardson v. Belcher,
But appellees contend that the actual design of the statute belies the Secretary’s description, and that the statute was intended to provide support for insured decedents’ children generally, if they had a “legitimate” claim to support, without regard to actual dependency at death; in any case, they assert, the statute’s matrix of classifications bears no adequate relationship to actual dependency at death. Since such dependency does not justify the statute’s discriminations, appellees argue, those classifications must fall under Gomez v. Perez, supra. These assertions are in effect one and the same.14 The basis for appellees’ argument is the obvious fact that
A
Congress’ purpose in adopting the statutory presumptions of dependency was obviously to serve administrative convenience. While Congress was unwilling to assume that every child of a deceased insured was dependent at the time of death, by presuming dependency on the basis of relatively readily documented facts, such as legitimate birth, or existence of a support order or paternity decree, which could be relied upon to indicate the likelihood of continued actual dependency, Congress was able to avoid the burden and expense of specific case-by-case determination in the large number of cases where dependency is objectively probable. Such presumptions in aid of administrative functions, though they may approximate, rather than precisely mirror, the results that case-by-case adjudication would show, are permissible under the Fifth Amendment, so long as that lack of precise equivalence does not exceed the bounds of substan-tiality tolerated by the applicable level of scrutiny. See Weinberger v. Salfi, 422 U. S. 749, 772 (1975).15
In cases of strictest scrutiny, such approximations must be supported at least by a showing that the Govem-
B
Applying these principles, we think that the statutory classifications challenged here are justified as reasonable empirical judgments that are consistent with a design to qualify entitlement to benefits upon a child’s dependency at the time of the parent’s death. To begin with, we note that the statutory scheme is significantly different from the provisions confronted in cases in which the
“[T]he blanket and conclusive exclusion of appellants’ subclass of illegitimates is reasonably related to the prevention of spurious claims [of dependency] . Assuming that the appellants are in fact dependent on the claimant [father], it would not serve the purposes of the Act to conclusively deny them an opportunity to establish their dependency and their right to insurance benefits.” 417 U. S., at 636.
Hence, it was held that
“to conclusively deny one subclass benefits presumptively available to the other denies the former the equal protection of the laws guaranteed by the due process provision of the Fifth Amendment.” Id., at 637.
See also Weinberger v. Wiesenfeld, 420 U. S. 636, 645 (1975); cf. Labine v. Vincent, 401 U. S., at 539. But this conclusiveness in denying benefits to some classes of afterborn illegitimate children, which belied the asserted legislative reliance on dependency in Jimenez, is absent here, for, as we have noted, any otherwise eligible child may qualify for survivorship benefits by showing contribution to support, or cohabitation, at the time of death. Cf. Vlandis v. Kline, 412 U. S. 441, 452-453, n. 9 (1973), distinguishing Starns v. Malkerson, 326 F. Supp. 234 (Minn. 1970), summarily aff’d, 401 U. S. 985 (1971).
It is, of course, not enough simply that any child of a deceased insured is eligible for benefits upon some show
“[I]t is clearly rational to presume the overwhelming number of legitimate children are actually dependent upon their parents for support. Likewise . . . the children of an invalid marriage . . .*514 would typically live in the wage earner's home or be supported by him. . . . When an order of support is entered by a court, it is reasonable to assume compliance occurred. A paternity decree, while not necessarily ordering support, would almost as strongly suggest support was subsequently obtained. Conceding that a written acknowledgment lacks the imprimatur of a judicial proceeding, it too establishes the basis for a rational presumption. Men do not customarily affirm in writing their responsibility for an illegitimate child unless the child is theirs and a man who has acknowledged a child is more likely to provide it support than one who does not.”
Similarly, we think, where state intestacy law provides that a child may take personal property from a father’s estate, it may reasonably be thought that the child will more likely be dependent during the parent’s life and at his death.17 For in its embodiment of the popular
To be sure, none of these statutory criteria compels the extension of a presumption of dependency. But the constitutional question is not whether such a presumption is required, but whether it is permitted. Nor, in ratifying these statutory classifications, is our role to hypothesize independently on the desirability or feasibility of any possible alternative basis for presumption. These matters of practical judgment and empirical calculation are for Congress. Drawing upon its own practical experi
Reversed.
Section 202 (d)(1) of the Act, as set forth in 42 U. S. C. § 402 (d) (1), provides in pertinent part:
“Every child (as defined in section 416 (e) of this title) ... of an individual who dies a fully or currently insured individual, if such child—
“ (A) has filed application for child’s insurance benefits,
“(B) at the time such application was filed was unmarried and (i) either had not attained the age of 18 or was a full-time student and had not attained the age of 22 .. . and
“(C) was dependent upon such individual—
“(ii) if such individual has died, at the time of such death, . . .
“shall be entitled to a child’s insurance benefit for each month, beginning with the first month after August 1950 in which such child becomes so entitled to such insurance benefits . . . .”
Section 216 (e), 42 U. S. C. §416 (e), includes, under the definition of child, inter alia, “the child ... of an individual,” certain legally adopted children, certain stepchildren, and certain grandchildren and stepgrandehildren. Additionally, § 216 (h) (2) (A) of the Act, 42 U. S. C. § 416 (h) (2) (A), provides:
“In determining whether an applicant is the child ... of a fully or currently insured individual for purposes of this subchapter, the Secretary shall apply such law as would be applied in determining the devolution of intestate personal property ... by the courts of the State in which [such insured individual] was domiciled at the time of his death .... Applicants who according to such law would have the same status relative to talcing intestate personal property as a child . . . shall be deemed such.”
Section 202 (d)(3) of the Act, 42 U. S. C. §402 (d)(3), provides in pertinent part:
“A child shall be deemed dependent upon his father or adopting father or his mother or adopting mother at the time specified in paragraph (1) (C) of this subsection unless, at such time, such individual was not living with or contributing to the support of such child and—
“(A) such child is neither the legitimate nor adopted child of such individual, or
“(B) such child has been adopted by some other individual.”
Additionally, any child who qualifies under §216 (h)(2)(A), see n. 1, supra, is considered legitimate for § 202 (d) (3) purposes, and thus dependent.
Section 202 (d)(3), as set forth in 42 U. S. C. §402 (d)(3), provides in pertinent part that “a child deemed to be a child of a fully or currently insured individual pursuant to section 416 (h) (2) (B) or section 416 (h) (3) . . . shall be deemed to be the legitimate child of such individual,” and therefore presumptively dependent. Section 216 (h) (2) (B), as set forth in 42 U. S. C. §416 (h)(2)(B), provides:
“If an applicant is a son or daughter of a fully or currently insured individual but is not (and is not deemed to be) the child of such insured individual under subparagraph (A), such applicant shall nevertheless be deemed to be the child of such insured individual if*500 such insured individual and the mother or father, as the case maybe, of such applicant went through a marriage ceremony resulting in a purported marriage between them which, but for a legal impediment described in the last sentence of paragraph (1)(B), would have been a valid marriage.”
The specified last sentence of §216 (h)(1)(B), 42 U. S. C. §416 (h)(1) (B), in turn, refers only to
"an impediment (i) resulting from the lack of dissolution of a previous marriage or otherwise arising out of such previous marriage or its dissolution, or (ii) resulting from a defect in the procedure followed in connection with such purported marriage.”
Section 216(h)(3), as set forth in 42 U. S. C. §416 (h)(3), provides:
"An applicant who is the son or daughter of a fully or currently insured individual, but who is not (and is not deemed to be) the child of such insured individual under paragraph (2) of this subsection, shall nevertheless be deemed to be the child of such insured individual if:
“(C) In the case of a deceased individual—
"(i) such insured individual—
“(I) had acknowledged in writing that the applicant is his son or daughter,
“(II) had been decreed by a court to be the father of the applicant, or
“(III) had been ordered by a court to contribute to the support of the applicant because the applicant was his son or daughter, “and such acknowledgment, court decree, or court order was made before the death of such individual, or
“(ii) such insured individual is shown by evidence satisfactory to the Secretary to have been the father of the applicant, and such insured individual was living with or contributing to the support of the applicant at the time such insured individual died.”
Upon the original petition for review under §205 (g), the District Court affirmed the administrative findings that had then been made, but remanded the case to the Secretary for him to determine the common-law status of the relationship between the children’s parents, a question left unconsidered in the first administrative proceeding. After an adverse determination on this point and an unsuccessful administrative appeal, Lucas, on behalf of the children, again timely sought review in the District Court, presenting the common-law marriage question and asserting a constitutional challenge to the Act. The District Court affirmed the administrative conclusion of no common-law marriage, and then turned to the constitutional questions that are the subject of this appeal.
See, e. g., Jimenez v. Weinberger, 417 U. S., at 637; United States Dept. of Agriculture v. Moreno, 413 U. S. 528, 533 n. 5 (1973); Frontiero v. Richardson, 411 U. S. 677, 680 n. 5 (1973) (plurality opinion).
The District Court affirmed the Secretary’s factual findings in a “Memorandum and Order” entered August 30, 1974, Viewing the constitutional claim as one requiring the convention of a three-judge district court under 28 U. S. C. §§ 2282 and 2284, the single District Judge did not reach that issue. A three-judge District Court was convened, but disbanded when appellees’ renewed motion for summary judgment omitted their earlier request for in-junctive relief. The constitutional claim thus was correctly determined by a single District Judge.
It adds nothing to say that the illegitimate child is also saddled with the procedural burden of proving entitlement on the basis of facts the legitimate child need not prove. The legitimate child is re
Appellees do not suggest, nor could they successfully, that strict judicial scrutiny of the statutory classifications is required here because, in regulating entitlement to survivorship benefits, the statute discriminatorily interferes with interests of constitutional fundamentally. Weinberger v. Salfi, 422 U. S. 749, 768-770 (1975); Dandridge v. Williams, 397 U. S. 471 (1970).
The Court, of course, has found the privacy of familial relationships to be entitled to procedural due process protections from disruption by the State, whether or not those relationships were legitimized by marriage under state law. Stanley v. Illinois, 405 U. S. 645 (1972). But the concerns relevant to that context are only tangential to the analysis here, since the statutory scheme does not interfere in any way with familial relations.
See Loving v. Virginia, 388 U. S. 1, 11 (1967); Bolling v. Sharpe, 347 U. S. 497 (1954).
See Oyama v. California, 332 U. S. 633, 644-646 (1948); Korematsu v. United States, 323 U. S. 214, 216 (1944); Hirabayashi v. United States, 320 U. S. 81, 100 (1943).
That the statutory classifications challenged here discriminate
The significance of this consideration would seem to be suggested by provisions enabling the parents to legitimatize children born illegitimate. Compare Weber, 406 U. S., at 170-171, with Labine v. Vincent, 401 U. S. 532, 539 (1971). Of course, the status of “dependency” as recognized by the statute here is wholly within the control of the parent.
In Rodriguez the Court identified a “suspect class” entitled to the protections of strict judicial scrutiny as one “saddled with such disabilities, or subjected to such a history of purposeful unequal treatment, or relegated to such a position of political powerlessness as to command extraordinary protection from the majoritarian political process.” 411 U. S., at 28.
We are not bound to agree with the Secretary’s description of the legislative design if the legislative history and the structure of the provisions themselves belie it. Weinberger v. Wiesenfeld, 420 U. S. 636, 648 n. 16 (1975) ; Jimenez v. Weinberger, 417 U. S., at 634. Appellees are unable, however, to summon any meaningful legislative history to support their position regarding the congressional design. They rely largely upon a section of the House-Senate Conference Committee Report on the 1965 Amendments to the Social Security Act, reproduced at 111 Cong. Rec. 18383 (1965), partially explaining, id., at 18387, the addition of §216 (h)(3), set forth in n. 3, supra, to the Act:
“A child would be paid benefits based on his father’s earnings without regard to whether he has the status of a child under State inheritance laws if the father was supporting the child or had a legal obligation to do so.”
But the clause’s reference to legal obligations to support hardly establishes that the statute was designed to replace any potential source of lifetime support; in our view the passage appears only to be a partial description of the actual effect of §§ 416 (h) (3) (C) (i) (II) and (III), set forth in n. 3, supra, not an enunciation of the general purpose of the Act.
Thus, appellees, in order to make their case, must ultimately rely upon the asserted failure of the legislative product adequately to fit the purported legitimate aim.
That these provisions may thus reflect a “secondary” purpose of Congress is, of course, of no moment. McGinnis v. Royster, 410 U. S. 263, 274-277 (1973).
Vacated and remanded for further proceedings in light of Jimenez, 418 U. S. 902 (1972); adhered to on remand, 390 F. Supp. 1084 (1975); aff'd sub nom. Norton v. Mathews, post, p. 524.
The Secretary, pointing out that §202 (d)(3), as set forth in 42 U. S. C. §402 (d)(3), in specific terms provides only that "a child deemed to be a child of a fully or currently insured individual pursuant to section 416 (h) (2) (B) or section 416 (h) (3) . . . shall be deemed to be the legitimate child of such individual,” urges that we misconstrued the statute in Jimenez, 417 U. S., at 631 n. 2, in concluding that an applicant qualifying as a child under § 216 (h) (2) (A) is to be considered as a legitimate child and therefore dependent under § 202 (d) (3). We have no question, however, as to the correctness of that conclusion. First, it is only through operation of § 216 (h) (2) (A) that the recognition of “legitimacy” by state law under § 202 (d) (3) (A) as giving rise to a presumption of dependency takes on a consistent operational meaning. Second, §§ 216 (h) (2) (B) and (3) specifically exclude any child qualified under § 216 (h) (2) (A); if a § 216 (h) (2) (A) child were not considered legitimate under §202 (d)(3), this would have the anomalous effect that an illegitimate child who had been acknowledged in a written statement by the in
Appellees do not suggest, and we are unwilling to assume, that discrimination against children in appellees’ class in state intestacy laws is constitutionally prohibited, see Labine v. Vincent, 401 U. S. 532 (1971), in which case appellees would be made eligible for benefits under § 216 (h) (2) (A).