Filed: Mar. 15, 1999
Latest Update: Feb. 21, 2020
Summary: PUBLISH IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT _ No. 97-5812 _ D.C. Docket No. 97-1182-CV-DLG MARCIANO RODRIGUEZ, by his next best friend and guardian Lazaro Rodriguez; EMELINA RODRIGUEZ; et al., Plaintiffs-Appellants, versus UNITED STATES OF AMERICA; DONNA SHALALA, in her capacity as Secretary of Health and Human Services; et al., Defendants-Appellees. _ Appeal from the United States District Court for the Southern District of Florida _ (March 15, 1999) Before TJOFLAT, B
Summary: PUBLISH IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT _ No. 97-5812 _ D.C. Docket No. 97-1182-CV-DLG MARCIANO RODRIGUEZ, by his next best friend and guardian Lazaro Rodriguez; EMELINA RODRIGUEZ; et al., Plaintiffs-Appellants, versus UNITED STATES OF AMERICA; DONNA SHALALA, in her capacity as Secretary of Health and Human Services; et al., Defendants-Appellees. _ Appeal from the United States District Court for the Southern District of Florida _ (March 15, 1999) Before TJOFLAT, BL..
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PUBLISH
IN THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
________________________
No. 97-5812
________________________
D.C. Docket No. 97-1182-CV-DLG
MARCIANO RODRIGUEZ, by his next
best friend and guardian Lazaro Rodriguez;
EMELINA RODRIGUEZ; et al.,
Plaintiffs-Appellants,
versus
UNITED STATES OF AMERICA;
DONNA SHALALA, in her capacity as
Secretary of Health and Human Services;
et al.,
Defendants-Appellees.
_______________________
Appeal from the United States District Court
for the Southern District of Florida
_______________________
(March 15, 1999)
Before TJOFLAT, BLACK and CARNES, Circuit Judges.
CARNES, Circuit Judge:
This appeal involves a class action challenge to one provision of the
Welfare Reform Act of 1996, which is more formally known as the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. No.
104-193, 110 Stat. 2105 (1996). The challenged provision, codified as 8 U.S.C.
§ 1612, provides that only specified categories of aliens remain eligible for
Supplemental Security Income (“SSI”) or food stamps, or both. The plaintiffs
are a class of aliens who do not fit within any of the eligible categories. The
plaintiffs contend that the statute violates their Fifth Amendment right to equal
protection because it does not include among those eligible for benefits all legal
aliens.1
After determining that the Supreme Court’s decision in Mathews v. Diaz,
426 U.S. 67,
96 S. Ct. 1883 (1976), dictated application of the rational basis
test in assessing the constitutionality of § 1612, the district court concluded that
provision satisfied that level of scrutiny and dismissed the plaintiffs’ claim. We
agree and affirm.
1
The Welfare Reform Act excludes all illegal aliens from eligibility for SSI
and food stamp benefits. Because no members of the plaintiff class are illegal
aliens, we will for convenience use the term “alien” in the remainder of this
opinion as though it encompasses only legal aliens.
2
I. BACKGROUND
A. THE WELFARE REFORM ACT’S PROVISIONS AFFECTING THE
ELIGIBILITY OF ALIENS FOR SSI AND FOOD STAMP
WELFARE BENEFITS
The federal government provides SSI benefits to impoverished
individuals who are elderly, blind, or disabled, see 42 U.S.C. §§ 1381-1382c,
and food stamp benefits to low-income households, see 7 U.S.C. §§ 2011, et
seq. Prior to the Welfare Reform Act of 1996, aliens were eligible for both SSI
and food stamp benefits on the same basis as citizens. However, that act, along
with two subsequent amendments to it,2 restricts aliens’ eligibility for SSI and
food stamps. It does so in two ways.
First, with certain exceptions not relevant to this case, the Act provides
that “an alien who is not a qualified alien (as defined in [8 U.S.C. § 1641]) is not
eligible for any Federal public benefit [including SSI and food stamps].” 8
U.S.C. § 1611(a). Thus, § 1611(a) eliminates from eligibility for SSI and food
2
See Balanced Budget Act of 1997, Pub. L. No. 105-33, §§ 5301-5304,
5306, 5562-5563, 111 Stat. 251 (1997); Agricultural Research, Extension, and
Education Reform Act of 1998, Pub. L. No. 105-185, §§ 503–508, 112 Stat. 523
(1998).
3
stamps any alien who is not a “qualified alien.”3
The second way in which 8 U.S.C. § 1612 restricts the class of aliens who
can receive SSI and food stamps is through § 1612(a)(1). That provision
specifies that “[n]otwithstanding any other provision of law and except as
3
The Act defines “qualified alien” as follows:
[T]he term "qualified alien" means an alien who. . . is–
(1) an alien who is lawfully admitted for permanent residence under the
Immigration and Nationality Act [ 8 U.S.C. § 1101 et seq.],
(2) an alien who is granted asylum under section 208 of such Act [ 8 U.S.C.
§ 1158],
(3) a refugee who is admitted to the United States under section 207 of
such Act [ 8 U.S.C. § 1157],
(4) an alien who is paroled into the United States under section 212(d)(5) of
such Act [ 8 U.S.C. § 1182(d)(5)] for a period of at least 1 year,
(5) an alien whose deportation is being withheld under section 243(h) of
such Act [ 8 U.S.C. § 1253(h)] (as in effect immediately before the effective
date [April 1, 1997] of section 307 of division C of Public Law 104-208) or
section 241(b)(3) of such Act [8 U.S.C. § 1251(b)(3)] (as amended by
section 305(a) of division C of Public Law 104-208).
(6) an alien who is granted conditional entry pursuant to section 203(a)(7)
of such Act as in effect prior to April 1, 1980 [ 8 U.S.C. § 1153(a)(7)]; or
(7) an alien who is a Cuban and Haitian entrant (as defined in section
501(e) of the Refugee Education Assistance Act of 1980).
8 U.S.C. § 1641(b). In addition, the term “qualified alien” also includes certain
“battered aliens” as defined in 8 U.S.C. § 1641(c).
The plaintiffs contend that some of them are “qualified aliens” and others are
not. Nonetheless, we have relegated the definition of “qualified alien” to a
footnote and discuss it no further, because none of the plaintiffs fit within the
fourteen categories of aliens eligible for benefits set forth in § 1612(a)(2), and that
alone defeats their eligibility for SSI and food stamp benefits.
4
provided in [8 U.S.C. § 1612(a)(2)], an alien who is a qualified alien . . . is not
eligible for [SSI and food stamps].” (emphasis added) Unless an alien falls into
one of the fourteen categories of qualified aliens listed in 8 U.S.C. § 1612(a)(2),
he is ineligible for SSI and food stamps. The fourteen categories that are
eligible, i.e. excepted from ineligibility, are as follows4:
(1) A permanent resident legal alien who has either worked or can be
credited with “40 qualifying quarters”5 of work in the United States is
eligible for SSI and food stamps, see 8 U.S.C. § 1612(a)(2)(B);
(2) An alien who is “lawfully residing in any State” and is either a veteran
with an honorable discharge, an active duty service member, or the spouse
or unmarried dependent child of such veteran or active duty service
member is eligible for SSI and food stamps, see 8 U.S.C. § 1612(a)(2)(C);
(3) An alien who “is lawfully residing in the United States” and “was a
member of a Hmong or Highland Laotian tribe” who provided assistance
to the United States military in the Vietnam era is eligible for food stamps,
see 8 U.S.C. § 1612(a)(2)(K);
(4) An alien who is a refugee admitted to the United States pursuant to 8
U.S.C. § 1157 is eligible for SSI and food stamps for seven years after the
alien’s admission, see 8 U.S.C. § 1612(a)(2)(A)(i);
(5) An alien who is granted asylum in the United States pursuant to 8
U.S.C. § 1158 is eligible for SSI and food stamps for seven years after
4
We have rearranged the order for the convenience of later reference.
5
The term “qualifying quarters” is defined in Title II of the Social Security
Act, 42 U.S.C. § 401 et seq.
5
asylum is granted, see 8 U.S.C. § 1612(a)(2)(A)(ii);
(6) An alien whose deportation is withheld, pursuant to 8 U.S.C. §
1253(h) because of fear of persecution is eligible for SSI and food stamps
for seven years the deportation is withheld, see 8 U.S.C. §
1612(a)(2)(A)(iii);
(7) An alien who is a Cuban or Haitian entrant pursuant to the Refugee
Education Assistance Act of 1980 is eligible for SSI and food stamps for
seven years after such status is granted, see 8 U.S.C. § 1612(a)(2)(A)(iv);
(8) An alien who is admitted to the United States as an “Amerasian
immigrant,”–an alien fathered by a United States citizen and born in
Vietnam between January 1, 1962 and January 1, 19766–is eligible for SSI
and food stamps for seven years after admission to the United States, see
8 U.S.C. § 1612(a)(2)(A)(v);
(9) “[A]n alien who was lawfully residing in the United States on August
22, 1996" and is “blind or disabled”7 is eligible for SSI and is also eligible
for food stamps if he “is receiving benefits or assistance for blindness or
disability,”8 see 8 U.S.C. § 1612(a)(2)(F);
(10) An alien who was “lawfully residing in the United States on August
22, 1996" and, on that date, was 65 years of age or older is eligible for
food stamps, see 8 U.S.C. § 1612(a)(2)(I);
(11) An alien who was “lawfully residing in the United States” on August
6
See Foreign Operations, Export Financing, and Related Programs
Appropriations Act § 584, as contained in Pub .L. No. 100-202, 101 Stat. 1329
(1987).
7
The term “blind or disabled” is defined in 42 U.S.C. § 1382.
8
The term “receiving benefits or assistance for blindness or disability” is
defined in 7 U.S.C. § 2012(r).
6
22, 1996 and is currently under 18 years of age is eligible for food stamps,
see 8 U.S.C. § 1612(a)(2)(J);
(12) “[A]n alien who is lawfully residing in the United States and who
was receiving [SSI] benefits on August 22, 1996" is eligible for SSI, see
8 U.S.C. § 1612(a)(2)(E);
(13) An alien who is receiving SSI benefits “for months after July 1996"
pursuant to an application filed before January 1, 1979 remains eligible for
SSI if “the Commissioner of Social Security lacks clear and convincing
evidence that such individual is . . . ineligible” for SSI benefits because of
the Welfare Reform Act’s new eligibility requirements, see 8 U.S.C. §
1612(a)(2)(H);
(14) An alien who is either an American Indian born in Canada or a
member of an “Indian tribe”9 is eligible for SSI and food stamps, see 8
U.S.C. § 1612(a)(2)(G).
In summary, the Welfare Reform Act, as amended, makes the fourteen
categories of qualified aliens specified in 8 U.S.C. § 1612(a)(2) the only aliens
eligible for SSI or food stamps, or both. All other aliens, even those who
otherwise meet the definition of “qualified alien,” are ineligible.
B. THE PLAINTIFFS’ CLAIM THAT THE WELFARE REFORM ACT IS
UNCONSTITUTIONAL AND THE DISTRICT COURT’S DISPOSITION
OF THAT CLAIM
9
The term “Indian tribe” is defined in 25 U.S.C. § 450b(e).
7
The plaintiffs filed a class action lawsuit against the United States and
several other defendants (collectively “the defendants”) seeking to enjoin § 402
of the Welfare Reform Act, which is codified as 8 U.S.C. § 1612.10 The
plaintiffs defined their class as consisting of all individuals who “are poor,
elderly, or disabled noncitizens legally residing in Florida before the enactment
of the Welfare Reform Act who were eligible for, or who will become eligible
for, federal SSI and related Food Stamp [benefits], and who, based solely on
their noncitizen status, will lose or be denied or have been denied SSI benefits
and related Food Stamps as a result of [8 U.S.C. § 1612] of the Welfare Reform
Act.”
In Count 1 of their complaint, the plaintiffs claimed that 8 U.S.C. § 1612
is unconstitutional because it violates their right to equal protection under the
Fifth Amendment to the United States Constitution.11 They requested that the
district court declare 8 U.S.C. § 1612 unconstitutional and enjoin its
10
The other defendants are Donna Shalala, the Secretary of Health and
Human Services, John J. Callahan, the Acting Commissioner of the Social Security
Administration, and Daniel Glickman, the Secretary of Agriculture.
11
There were four additional counts in the complaint. However, none of
those counts are involved in this appeal, which concerns only the district court’s
dismissal of and entry of final judgment as to Count 1 of the complaint.
8
enforcement. The defendants filed a motion to dismiss Count 1 of the
complaint.
Applying the rational basis standard of review, the district court concluded
that 8 U.S.C. § 1612 was rationally related to legitimate government interests
and therefore constitutional. Accordingly, the district court granted the
defendants’ motion to dismiss and issued a final judgment of dismissal as to
Count 1 of the complaint pursuant to Fed. R. Civ. P. 54(b). The plaintiffs
appealed that final judgment. We have jurisdiction under 28 U.S.C. § 1291.
II. DISCUSSION
The plaintiffs raise two contentions on appeal. First, they contend that the
district court should have applied a heightened level of scrutiny, such as the
strict scrutiny test, instead of the rational basis test, in assessing the
constitutionality of 8 U.S.C. § 1612. Second, they contend that, even if the
district court was correct that the rational basis test is the applicable one, it erred
in concluding that § 1612 satisfied even that minimal level of scrutiny. We will
address each contention in turn, applying a de novo standard of review. See,
e.g., F.C.C. v. Beach Communications, Inc.,
508 U.S. 307,
113 S. Ct. 2096
(1993)(de novo standard applies to determination of the constitutionality of a
9
statute).
A. WHETHER RATIONAL BASIS SCRUTINY APPLIES IN ASSESSING
THE CONSTITUTIONALITY OF 8 U.S.C. § 1612
In Mathews v. Diaz,
426 U.S. 67,
96 S. Ct. 1883 (1976), the Supreme
Court considered a Fifth Amendment equal protection challenge to a federal
statute which, like 8 U.S.C. § 1612, discriminated among aliens by granting
welfare benefits to specified categories of them but denying those benefits to
all other aliens. The statute challenged in Mathews provided that the only aliens
eligible for certain Medicare benefits on the same basis as citizens were those
who were 65 or older, had been admitted for permanent residence, and had
resided in the United States for at least five years. See
Mathews, 426 U.S. at 69-
70, 96 S. Ct. at 1886-87.
After noting that Congress is not required to treat citizens and aliens alike
in the provision of welfare benefits,
id. at 78-80, 96 S. Ct. at 1890-92, the Court
narroy framed the question raised by the plaintiffs’ challenge to the statute: “The
real question presented by this case is not whether discrimination between
citizens and aliens is permissible; rather, it is whether the statutory
discrimination within the class of aliens–allowing benefits to some aliens but not
10
to others–is permissible.”
Id. at 80, 96 S. Ct. at 1892 (emphasis in original). The
Court answered that question by holding that the statutory discrimination
between the classes of aliens in the provision of Medicare benefits was
permissible.
Integral to the Mathews decision was the Court’s holding concerning the
level of scrutiny applicable to a federal statute that discriminates among aliens
in the provision of welfare benefits. About that, the Court wrote:
For reasons long recognized as valid, the responsibility for
regulating the relationship between the United States and our alien visitors
has been committed to the political branches of the Federal Government.
Since decisions in these matters may implicate our relations with foreign
powers, and since a wide variety of classifications must be defined in the
light of changing political and economic circumstances, such decisions are
frequently of a character more appropriate to either the Legislature or the
Executive than to the Judiciary. . . . Any rule of constitutional law that
would inhibit the flexibility of the political branches of government to
respond to changing world conditions should be adopted only with the
greatest caution. The reasons that preclude judicial review of political
questions also dictate a narrow standard of review of decisions made by
the Congress or the President in the area of immigration and
naturalization.
Id. at 81-82, 96 S. Ct. at 1892 (emphasis added). The Court defined the scope
of that “narrow standard of review” as follows:
Since it is obvious that Congress has no constitutional duty to
provide all aliens with the welfare benefits provided to citizens, the party
11
challenging the constitutionality of the particular line Congress has drawn
has the burden of advancing principled reasoning that will at once
invalidate that line and yet tolerate a different line separating some aliens
from others.
Id. at 82, 96 S. Ct. at 1892-93 (emphasis in original). Applying that standard to
the lines Congress had drawn in making only certain aliens eligible for Medicare
benefits, the Court concluded that the classifications were constitutionally
permissible because they were not “wholly irrational.”
Id. at 83, 96 S. Ct. at
1893 (emphasis added). Although the Court did not actually use the phrase
“rational basis scrutiny” to describe its “narrow standard of review,” it did apply
as the decisional criterion a “wholly irrational” standard,
id., and that is merely
another way of stating the rational basis test. Neither party in this case contends
there is any difference between a statute lacking a rational basis and being
wholly irrational, and we perceive none.
Although the strict scrutiny standard does apply to Fourteenth Amendment
equal protection challenges to a state’s classification of aliens, see Graham v.
Richardson,
403 U.S. 365, 372,
91 S. Ct. 1848, 1852 (1971), the Mathews Court
firmly rejected the argument it also applies to a Fifth Amendment challenge to
Congress’ classification of aliens. The Court explained that “the Fourteenth
12
Amendment’s limits on state powers are substantially different from the
constitutional provisions applicable to the federal power over immigration and
naturalization.”
Mathews, 426 U.S. at 86-87, 96 S. Ct. at 1895. That is so,
because “it is the business of the political branches of the Federal Government,
rather than that of . . . the States . . . to regulate the conditions of entry and
residence of aliens. The equal protection analysis also involves significantly
different considerations because it concerns the relationship between aliens and
the States rather than between aliens and the Federal Government.”
Id. at 84-85,
96 S. Ct. at 1893-94. Thus, the Court concluded, there is no “political
hypocrisy” in applying strict scrutiny to a state’s classification of aliens, but the
considerably narrower “wholly irrational” or rational basis test to Congress’
classification of aliens. Id. at
86-87, 96 S. Ct. at 1895.
Faced with the tight fit between the holding in Mathews and the issue
before us, the plaintiffs offer six arguments in support of their position that
Mathews nonetheless does not control and we should apply heightened or strict
scrutiny in assessing the constitutionality of 8 U.S.C. § 1612. We find none of
them persuasive. First, they argue that the rational basis standard used by the
Supreme Court in Mathews applies only to federal statutes that discriminate
13
within the class of aliens generally, while a tougher standard applies when the
discrimination is between aliens on the one hand and citizens on the other. This
distinction is critical, they say, because, unlike the statute challenged in
Mathews, 8 U.S.C. § 1612 discriminates between aliens and citizens instead of
merely within the class of aliens.
We find this argument unpersuasive because its central premise– that §
1612 discriminates against aliens generally instead of within the class of aliens–
is belied by § 1612's plain language. As we have discussed, § 1612 provides
that fourteen categories of aliens are eligible for SSI or food stamps, or both,
while all other aliens are ineligible. By providing that some aliens are eligible
for those benefits while others are not, § 1612 is a statute that discriminates
among categories of aliens instead of against aliens generally; in that respect,
it is like the statute the Court subjected to rational basis scrutiny in Mathews. In
that case, as in this one, some aliens were eligible under the statute and others
were not.
The plaintiffs next argue that, even assuming 8 U.S.C. § 1612 does
discriminate among aliens instead of against aliens generally, it differs from the
statute in Mathews because § 1612 lacks a “principled basis” for distinguishing
14
among aliens. The plaintiffs point out that the statute at issue in Mathews
limited Medicare benefits to aliens who had five years of lawful residency in the
United States. Noting that this five year period mirrors the time period an alien
must wait before seeking naturalization, they argue that the Mathews statute’s
principled basis for distinguishing among aliens was that aliens “who are most
like citizens qualify. Those who are less like citizens do not.” Mathews, 426
U.S. at
83, 96 S. Ct. at 1893. According to the plaintiffs, the fourteen categories
Congress defined in § 1612(a)(2) do not distinguish among aliens on a
principled basis.
This second argument fails to address the relevant issue. Instead of
discussing whether rational basis scrutiny applies to federal statutes that draw
distinctions among aliens in the provision of welfare benefits, it jumps ahead to
the issue of whether the distinctions in § 1612 have principled bases, and argues
that they do not because they differ from the distinctions drawn by the statute
examined in Mathews. However, whether there are principled bases for §
1612's distinctions is not properly addressed until the level of scrutiny is settled.
On this point, as we have explained, Mathews holds that federal statutes which
discriminate among aliens in the provision of welfare benefits are subject to
15
rational basis scrutiny. Moreover, nothing in Mathews indicates that the Court
meant to hold that the only statutes subject to rational basis scrutiny are those
that are based on the same distinguishing factor used in that statute, i.e., length
of residency. The fact that the specific classifications of aliens in Mathews
involved subgroups of aliens different from the fourteen categories specified in
§ 1612(a)(2) has no bearing on the deference owed to Congress’ decisions about
immigration matters. See
Mathews, 426 U.S. at 84, 96 S. Ct. at 1893-94 (“[I]t
is the business of the political branches of the Federal Government, rather than
that of . . . the Federal Judiciary, to regulate the conditions of entry and
residence of aliens.”).
Third, the plaintiffs argue that heightened scrutiny is called for in
reviewing 8 U.S.C. § 1612 because “they have a constitutionally protected
interest in continuing to receive the essential life-sustaining benefits” provided
by SSI and food stamps. They also assert that “numerous Supreme Court
decisions have acknowledged” that right. The plaintiffs are wrong. No Supreme
Court decision has held that anyone, alien or citizen, has a right to welfare
benefits. Perhaps what plaintiffs mean to argue is that those receiving welfare
benefits have a property interest in the benefits, which cannot be taken away
16
without due process. If that is the argument, it, too, fails to establish that a
heightened standard of review applies. Mathews stands for the proposition that
statutes which discriminate within the class of aliens comport with the Due
Process Clause of the Fifth Amendment (and the equal protection principles it
incorporates) so long as they satisfy rational basis scrutiny. Moreover, the
Supreme Court has explained that “a welfare recipient is not deprived of due
process when the legislature adjusts benefit levels. . . . [T]he legislative
determination provides all the process that is due. . . .” Logan v. Zimmerman
Brush Co.,
455 U.S. 422, 432-433,
102 S. Ct. 1148, 1156 (1982).
Fourth, the plaintiffs argue that the deferential rational basis test only
applies to statutes affecting aliens that were enacted pursuant to Congress’
sovereign power over immigration, a power conferred by Article 1, § 8 of the
Constitution. In their view, that sovereign immigration power extends only to
legislation affecting aliens’ ability to enter and exit the United States and the
terms of their naturalization. According to them, 8 U.S.C. § 1612 falls outside
that power because it is not a provision addressing the entry, exit, and
naturalization of aliens. Because § 1612 was not passed pursuant to Congress’
sovereign immigration power, the argument concludes, the strict scrutiny that
17
applies to a state’s classification of aliens should apply to this federal statute as
well.
That argument is foreclosed, at least in this case, by Mathews. The Court
rejected in Mathews the narrow view of Congress’ sovereign immigration power
advanced by the plaintiffs in this case. Broadly defining the scope of
Congress’ sovereign power over immigration, the Court stated that “the
responsibility for regulating the relationship between the United States and our
alien visitors has been committed to the political branches of the Federal
Government,”
Mathews. 426 U.S. at 81, 96 S. Ct. at 1892, (emphasis added),
and that “it is the business of the political branches of the Federal Government,
rather than that of . . . the Federal Judiciary, to regulate the conditions of entry
and residence of aliens.” Id. at
84, 96 S. Ct. at 1893-94 (emphasis added). Not
only that, of course, but Mathews specifically held a statute discriminating
among aliens in the provision of Medicare, a form of welfare benefits, does lie
within Congress’ power “in the area of immigration and naturalization,” and
for that reason is subject to rational basis scrutiny.
Id. at 82, 96 S. Ct. at 1892.
As to that holding, it is impossible to distinguish § 1612, which also
discriminates among aliens in the provision of welfare benefits, from the statute
18
at issue in Mathews.
Contrary to another position of the plaintiffs, holding that rational basis
scrutiny applies is not inconsistent with the dicta in Jean v. Nelson,
727 F.2d
957, 973 (11th Cir. 1984), that some federal actions affecting aliens may fall
“outside the plenary power to control immigration that justifies the extraordinary
executive and congressional latitude in that area.” While that dicta may, or may
not, have some viability in other situations, it has none here; the holding of
Mathews–not dicta but holding–is that the decision to discriminate among aliens
in the provision of welfare benefits is a decision that lies within Congress’
plenary power over immigration.
Fifth, the plaintiffs suggest that the Supreme Court’s decision in Hampton
v. Mow Sun Wong,
426 U.S. 88,
96 S. Ct. 1895 (1976), requires that we apply
heightened scrutiny in this case. It does not. In Hampton, the Court invalidated
a rule promulgated by the federal Civil Service Commission which barred aliens
from federal employment. The Court reasoned that “the Commission performs
[the] limited and specific function [of] . . . promot[ing] an efficient federal
service” and therefore lacks authority over immigration matters.
Id. at 114, 96
S. Ct. at 1910. However, the Court expressly stated that “[w]e may assume . .
19
. that if Congress or the President had expressly imposed the citizenship
requirement, it would be justified by the national interest in providing an
incentive for aliens to become naturalized. . . .”
Id. at 105, 96 S. Ct. at 1906.
Because Hampton did not deal with a Congressional enactment, it provides no
support for the plaintiffs’ position that rational basis scrutiny does not apply in
this case.
Finally, the plaintiffs argue that 8 U.S.C. § 1612 must be subjected to
heightened scrutiny because they would be severely harmed by losing their right
to SSI and food stamps. In support of that argument, plaintiffs rely primarily on
Plyler v. Doe,
457 U.S. 202,
102 S. Ct. 2382 (1982). In that case, the Court
considered a Fourteenth Amendment equal protection challenge to a state law
excluding illegal immigrant children from public education. Although noting
that illegal aliens are not a suspect class and that education is not a fundamental
right, the Court declined to apply rational basis scrutiny and instead required the
state to show something more, the something more being that the law advanced
some “substantial goal of the State.”
Id. at 224, 102 S. Ct. at 2398. The Court
based its holding in part on the fact that the complete deprivation of such an
important right as education would “impose[] a lifetime hardship on a discrete
20
class of children not accountable for their disabling status.”
Id. at 223, 102 S. Ct.
at 2398. The plaintiffs argue that Plyler’s heightened standard of review should
apply here.
This argument, too, is meritless. Plyler is inapposite because it deals
with a Fourteenth Amendment challenge to a state’s classification of aliens.
Nothing in Plyler even arguably suggests that a heightened level of scrutiny
would have applied if the challenged statute had been enacted by Congress, i.e.,
that Mathews would not have controlled had the same classification been
prescribed by a federal statute. Indeed, the Plyler Court specifically cited
Mathews for the purpose of noting that the deference which extends to
Congress’ power to govern aliens’ “admission to our Nation and status within
our borders,”
id. at 225, 102 S. Ct. at 2399 (emphasis added), does not extend
to a state’s classification of aliens. Plyler is entirely consistent with Mathews,
which noted that while strict scrutiny is applicable to a state’s classification of
aliens, it does not apply to congressional classifications. See
Mathews, 426 U.S.
at 86-87, 96 S. Ct. at 1895 (“[T]he Fourteenth Amendment’s limits on state
powers are substantially different from the constitutional provisions applicable
to the federal power over immigration and naturalization.”).
21
In summary, Mathews is inescapably on point as to the level of scrutiny
applicable in this case. It holds that a federal statute which discriminates among
aliens in the provision of welfare benefits is subject only to rational basis
scrutiny. In this case, the plaintiffs are challenging 8 U.S.C. § 1612, a federal
statute which discriminates among aliens by providing that the fourteen
categories of qualified aliens specified in § 1612(a)(2) are the only aliens
eligible for SSI or food stamps, or both. Mathews dictates that we apply
rational basis scrutiny to the classifications Congress has drawn in 8 U.S.C. §
1612, and we proceed to do so.
B. WHETHER 8 U.S.C. § 1612 SATISFIES RATIONAL BASIS
SCRUTINY
Under rational basis scrutiny, “a classification neither involving
fundamental rights nor proceeding along suspect lines is accorded a strong
presumption of validity,” and should be upheld “if there is a rational relationship
between the disparity of treatment and some legitimate governmental purpose.”
Heller v. Doe,
509 U.S. 312, 319-320,
113 S. Ct. 2637, 2642 (1993). The
Supreme Court has cautioned that “rational-basis review in equal protection
analysis is not a license for courts to judge the wisdom, fairness, or logic of
22
legislative choices. . . . [A] classification must be upheld against equal
protection challenge if there is any reasonably conceivable state of facts that
could provide a rational basis for the classification.”
Id. (internal citations and
quotations omitted).
Moreover, the government need not come forward with evidence to
justify the classification; instead the burden is on those challenging the
legislation “to negative every conceivable basis which might support it, whether
or not the basis has a foundation in the record.”
Id. at 320-21, 113 S. Ct. at 2643
(internal citations and quotations omitted). Finally, “courts are compelled under
rational-basis review to accept a legislature’s generalizations even when there
is an imperfect fit between means and ends. A classification does not fail
rational-basis review because it is not made with mathematical nicety or because
in practice it results in some inequality. The problems of government are
practical ones and may justify, if they do not require, rough
accommodations–illogical, it may be, and unscientific.”
Id. at 321, 113 S. Ct. at
2643 (internal citations and quotations omitted).
In this case, we agree with the defendants that Congress’ decision to
reduce the number of aliens eligible for SSI and food stamps by providing that
23
only the aliens in the fourteen categories specified in § 1612(a)(2) are eligible
for those benefits is rationally related to the legitimate purpose of reducing the
cost of those welfare programs. The plaintiffs do not contend that § 1612's
limitations on the number of aliens eligible for those benefits will not achieve
cost savings. Instead, they argue that cost savings is not a legitimate interest for
Congress to pursue under its sovereign immigration power. That argument is
foreclosed by Mathews where the Supreme Court recognized that one of
Congress’ purposes in restricting the number of aliens eligible for Medicare
benefits was “to maintain[] the fiscal integrity of the Medicare Part B program.”
Mathews, 426 U.S. at 83 n.22, 96 S. Ct. at 1893 n.22. By upholding the
exclusion of aliens from Medicare benefits for that purpose, the Court implicitly
endorsed cost considerations as a legitimate interest for Congress to consider in
exercising its immigration powers. Part and parcel of Congress’ power to
regulate immigration is the power to control the effects of immigration, one of
which is the cost it imposes on the nation’s welfare system. Where Congress
makes a judgment that immigration is creating, or adding to, financial burdens,
it lies within Congress’ plenary sovereign power over immigration to take action
24
to alleviate such burdens.12
However, the fact that denying all aliens, except those identified in §
1612(a)(2), SSI and food stamp benefits is rationally related to the legitimate
purpose of achieving cost savings in those benefit programs does not end our
inquiry into whether § 1612 satisfies rational basis scrutiny. The plaintiffs also
contend that there is no rational basis for Congress’ decision to draw a line
extending SSI or food stamps, or both, to aliens who fall into one or more of the
fourteen eligible categories while denying those benefits to all other aliens.
Because “Congress has no constitutional duty to provide all aliens with the
welfare benefits provided to citizens,” the plaintiffs, in order to prevail on that
argument, have “the burden of advancing principled reasoning” that will both
(1) “invalidate [the] line” Congress drew by showing the fourteen categories
Congress established for eligibility are “wholly irrational,” and (2) “tolerate a
12
In light of our conclusion that § 1612's limitation on the number of aliens
eligible for SSI or food stamps is rationally related to achieving cost savings in
those programs, we have no occasion to consider whether Congress’ decision to
impose that limitation is rationally related to other legitimate purposes or to
exhaustively catalogue every conceivable legitimate purpose to which the statute
could be rationally related. See
Heller, 509 U.S. at 320, 113 S. Ct. at 2642 (Under
rational basis scrutiny, “a classification must be upheld . . . if there is any
reasonably conceivable state of facts that could provide a rational basis for the
classification.” (emphasis added)).
25
different line separating some aliens from others.” Mathews, 426 U.S. at
82, 96
S. Ct. at 1892-93 (emphasis in original).
The plaintiffs have failed to meet that burden in this case. A category by
category examination reveals that none of the fourteen categories Congress
established is wholly irrational. To begin with, three of the categories extend
benefits to aliens who have made special contributions to this country. Those
categories consist of aliens who have substantially assisted our nation’s
economy by working for at least 40 quarters (10 years), aliens who are veterans
or active military personnel, and Hmong or Highland Laotian aliens who
provided aid to the United States during the Vietnam era. See § 1612(a)(2)(B),
(C), (K). Certainly, it is not wholly irrational for Congress to extend welfare
benefits to such aliens, either to reward them for their special contributions to
the United States or to encourage other aliens to make contributions of a similar
nature, or for both reasons.
Congress could have concluded that aliens in five of the other categories
– refugees, asylees, aliens whose deportation has been withheld because of fear
of persecution, certain Cuban or Haitian entrants, and Amerasian immigrants,
see § 1612(a)(2)(A)(i)-(v) – are seeking refuge in the United States because of
26
especially trying political, social, or economic circumstances in their native
countries. Extending welfare benefits to those aliens is not wholly irrational; it
is rationally related to the humanitarian purpose of aiding aliens fleeing such
difficult conditions.
Three of the remaining categories consist of aliens who both were
lawfully residing in the United States on August 22, 1996, and who also have
some trait – blindness or disability, old-age, youth – which Congress could have
concluded makes them particularly vulnerable to poverty. See § 1612(a)(2)(F),
(I), (J). It is not wholly irrational for Congress to provide these aliens with
welfare assistance in light of their vulnerability.
As for Congress’ decision to extend benefits to especially vulnerable
aliens only if they were lawfully residing in the United States as of August 22,
1996, the day the Welfare Reform Act was enacted, that is not “wholly
irrational” either. Congress could have rationally imposed that cutoff date to
deter future immigration by those seeking access to welfare benefits. In
addition, the rationality of a cutoff date, indeed the necessity of having one,
flows from the fact that the funds available for welfare programs are not
unlimited. The fact that cutoff dates inevitably lead to persons “who have an
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almost equally strong claim to favored treatment be[ing] placed on different
sides of the [eligibility] line” is not enough to make such a classification
irrational any more than the necessity of “drawing lines for federal tax purposes”
is irrational. Mathews 426 U.S. at
83, 96 S. Ct. at 1893. In the matter of
drawing lines, judicial deference to congressional judgment is particularly
appropriate, because the “differences between the eligible and the ineligible are
differences in degree rather than differences in the character of their respective
claims.”
Id. at 83-84, 96 S. Ct. at 1893.
We have covered eleven of the fourteen categories of aliens excepted from
ineligibility. One of the remaining categories consists of lawfully residing aliens
who were receiving SSI benefits on August 22, 1996, the day the Welfare
Reform Act was enacted; they remain eligible for that type of benefit. See §
1612(a)(2)(E). It is not wholly irrational for Congress to have decided that it
would upset expectations and reliance interests more to cutoff lawfully residing
aliens who were actually receiving SSI benefits when the reform legislation was
enacted than it would to deny those benefits to aliens who had not been
receiving them.
Congress also decided to continue to extend SSI benefits to aliens who
28
are receiving benefits “for months after July 1996 on the basis of an application
filed before January 1, 1979" and “with respect to whom the Commissioner of
Social Security lacks clear and convincing evidence that such [aliens are]
ineligible for such benefits as a result” of the eligibility changes instituted by the
Welfare Reform Act. § 1612(a)(2)(H). It is not wholly irrational for Congress
to have concluded that administrative and litigation costs would be saved by
continuing to provide such aliens with benefits.
We turn to the last category for discussion. Congress decided to provide
benefits to aliens who are members of an Indian tribe or are American Indians
born in Canada. See § 1612(a)(2)(G) That decision was not “wholly irrational”
given the historically unique relationship of Indians to this country. See 25
U.S.C. § 450a(b) (recognizing “the Federal Government’s unique and
continuing relationship with and responsibility to the Indian people”). See also
Akins v. Saxbe,
380 F. Supp. 1210, 1219-20 (D. Me. 1974) (recognizing
Congressional interest in preserving aboriginal rights of American Indians to
move freely across territories originally occupied by them).
Plaintiffs have failed to show that Congress acted in a wholly irrational
manner in regard to any of the fourteen categories it established in § 1612(a)(2).
29
They have also failed to suggest a principled basis for prescribing a different
standard of eligibility than the standards selected by Congress. Their request
that we enjoin enforcement of § 1612 is nothing more than an invitation for us
to substitute our judgment for that of Congress. We follow the Supreme Court
in Mathews when we “decline the invitation” to do that.
Mathews, 426 U.S. at
84, 96 S. Ct. at 1893.
Finally, we reject the plaintiffs’ contention that the Supreme Court’s
decisions in United States Dept. of Agric. v. Moreno,
413 U.S. 528,
93 S. Ct.
2821 (1973), and Romer v. Evans,
517 U.S. 620,
116 S. Ct. 1620 (1996),
somehow compel us to conclude that § 1612 fails rational basis scrutiny.
Moreno is inapposite because, as the Supreme Court pointed out in Mathews,
“[n]o question involving alienage was presented in that case.”
Mathews, 426
U.S. at 87, 96 S. Ct. at 1895.
As for Romer, the plaintiffs point to that case’s statement that a statute
fails rational basis scrutiny if it cannot be explained by “anything but animus
toward the class that it affects.”
Romer, 517 U.S. at 632, 116 S. Ct. at 1627.
They argue that Congress’ decision to deny SSI and food stamps to aliens other
than those specified in § 1612(a)(2) cannot be explained by anything but animus.
30
We are unconvinced. As we have explained, there are rational bases for
Congress’ decision to extend benefits only to the specified categories of aliens.
More fundamentally, the plaintiffs’ animus argument ignores the Supreme
Court’s statement in Mathews that “[t]he fact that an Act of Congress treats
aliens differently from citizens does not in itself imply that such disparate
treatment is ‘invidious.’”
Mathews, 426 U.S. at 80, 96 S. Ct. at 1891. Here, the
plaintiffs position that § 1612 is animus-based or “invidious” discrimination is
grounded on nothing more than the fact that it treats some aliens differently
from other aliens and from citizens, the very thing Mathews held was
insufficient.
IV. CONCLUSION
Because we conclude that rational basis scrutiny applies to 8 U.S.C. §
1612 and that the classifications drawn in § 1612 satisfy such scrutiny, the
district court’s judgment is AFFIRMED.
31