Source: http://supreme.nolo.com/us/432/416/case.html
Timestamp: 2019-10-23 09:56:33
Document Index: 427723104

Matched Legal Cases: ['§ 233', '§ 606', '§ 607', '§233', '§ 407', '§ 233', '§ 407', '§ 407', '§ 407']

BATTERTON V. FRANCIS, 432 U. S. 416 - Volume 432 - 1977 - Full Text - US Supreme Court Center - USSC Cases - Nolo
US Supreme Court Center > Volume 432 > BATTERTON V. FRANCIS, 432 U. S. 416 (1977) > Full Text
(b) By allowing the States to exclude persons who would be disqualified under the State's unemployment compensation law, the Secretary has incorporated a well known and widely applied standard for "unemployment," and exclusion of individuals who are out of work as a result of their own conduct, and thus disqualified from state unemployment compensation is consistent with the goal of
BLACKMUN, J., delivered the opinion of the Court, in which BURGER, C.J., and STEWART, POWELL, and REHNQUIST, JJ., joined. WHITE, J., filed a dissenting opinion, in which BRENNAN, MARSHALL, and STEVENS, JJ., joined, post, p. 432 U. S. 432.
This case concerns the validity of 45 CFR § 233.100(a)(1) (1976), [Footnote 1] a regulation promulgated by the Secretary of
The statute is contained in the Social Security Act's Title IV, which has to do primarily with Aid to Families with Dependent Children (AFDC). The AFDC program was established by the Act in 1935 to provide welfare payments where children are needy because of the death, absence, or incapacity of a parent. 42 U.S.C. § 606(a). The original conception of AFDC was to allow widows and divorced mothers to care for their children at home without having to go to work, thus eliminating the practice of removing needy children in situations of that kind to institutions. See Burns v. Alcala,
Page 432 U. S. 419
420 U. S. 575, 420 U. S. 581-582 (1975). AFDC was not originally designed to assist children who are needy simply because the family breadwinner is unable to find work; it was contemplated that other programs would alleviate that problem by attacking unemployment directly. See Carleson v. Remillard, 406 U. S. 598, 406 U. S. 603 (1972); King v. Smith, 392 U. S. 309, 392 U. S. 313, 392 U. S. 327-329 (1968). Other parts of the Act encouraged the establishment of state unemployment compensation programs, primarily through tax incentives, but the federal role in these programs is not so great as in AFDC. See Ohio Bureau of Employment Services v. Hodory, 431 U. S. 471 (1977).
42 U.S.C. § 607(a). See Philbrook v. Glodgett, 421 U. S. 707, 421 U. S. 709-711 (1975). [Footnote 4]
The instant case originated in 1971 as a challenge to Rule 200.X.(A)(2) of the Maryland Department of Employment and Social Services. That Rule denies AFDC-UF benefits to families where the father is out of work for reasons that disqualify him for state unemployment insurance compensation. [Footnote 5]
45 CFR §233.100(a)(1) (1976). The Secretary had stated that the purpose of this amendment was to nullify the effect of Francis I by making explicit the HEW policy of allowing the States to exclude AFDC-UF participants based on the particular reason that the father was out of work. [Footnote 6]
The Fourth Circuit affirmed the three appeals in an unpublished per curiam adopting the respective opinions of the two District Judges. See 529 F.2d 514 and 515 (1975). The state defendants petitioned for certiorari, contending that the
Ordinarily, administrative interpretations of statutory terms are given important, but not controlling, significance. This was the Court's approach, for example, when it had under consideration the question whether the term "wages" in Title II of the Social Security Act included a backpay award. Social Security Board v. Nierotko, 327 U. S. 358, 327 U. S. 369 (1946). [Footnote 8]
Unlike the statutory term in Title II, however, Congress in § 407(a) expressly delegated to the Secretary the power to prescribe standards for determining what constitutes "unemployment" for purposes of AFDC-UF eligibility. In a situation of this kind, Congress entrust to the Secretary, rather than to the courts, the primary responsibility for interpreting the statutory term. In exercising that responsibility, the Secretary adopts regulations with legislative effect. A reviewing court is not free to set aside those regulations simply because it would have interpreted the statute in a different manner. American Telephone & Telegraph Co. v. United States, 299 U. S. 232, 299 U. S. 235-237 (1936). [Footnote 9]
Francis II, 379 F.Supp. at 81, quoting Francis I, 340 F.Supp. at 366. And in Bethea, the court by like reasoning held that a person who voluntarily quit his job is to be considered unemployed
We do not agree that the statutory language is so unambiguous. The term "unemployment" is often used in a specialized context where its meaning is other than simply not having a job. For example, the concept of unemployment is frequently limited to persons who have some connection with the workforce, that is, individuals who desire to work and are capable of working, and who, usually but not always, have held jobs in the past. In addition, the feature of involuntariness is often linked with unemployment. Limitations of this nature are found in the definitions used by the Depart ment of Labor in compiling unemployment statistics. [Footnote 11] State unemployment compensation programs generally confine their benefits in this manner. [Footnote 12] Indeed, the other provisions of
Of course, the Secretary's statutory authority to prescribe standards is not unlimited. He could not, for example, adopt a regulation that bears no relationship to any recognized concept of unemployment or that would defeat the purpose of the AFDC-UF program. But the regulation here at issue does not even approach these limits of the delegated authority. By allowing the States to exclude persons who would be disqualified under the State's unemployment compensation law, the Secretary has incorporated a well known and widely applied standard for "unemployment." Exclusion of individuals who are out of work as a result of their own conduct and thus disqualified from state unemployment compensation
The second stated reason for the District Judges' and Court of Appeals' holding that the Secretary's regulation was invalid was that it permitted the States the option of denying unemployment compensation benefits to participants in a labor dispute. [Footnote 16] Although the holding is not entirely clear to us, it
The legislative history, we acknowledge, is at some variance with the statutory language. The effect of the 1968 amendment
Our conclusion is reinforced by our understanding of the AFDC-UF program as involving the concept of cooperative federalism. The States are free not to participate in the program, and, as we have noted, only about half of them in fact do so. The congressional purpose is not served at all in those States where AFDC-UF is totally unavailable. Accordingly, we should not lightly infer a congressional intention to preclude the Secretary from recognizing legitimate local
The regulation under review in this case, 45 CFR § 233.100(a)(1) (1976), provides that, for purposes of the AFDC-UF program, the definition of unemployment need not include, "at the option of the State," a father whose unemployment results from a labor dispute or some conduct that would disqualify him under the State's unemployment compensation law. (Emphasis added.) The Court today sustains this regulation notwithstanding its recognition that "a major purpose of the 1968 amendment was to retract some of the authority previously delegated to the States under § 407(a)." Ante at 432 U. S. 430. The Court reasons, without citation to legislative authority, that "the goal of greater uniformity can be met without imposing identical standards on each State." Ante at 432 U. S. 431. Contrary to the majority, I do not believe that the legislative history reflects a congressional intent to achieve merely "greater uniformity" in the definition of unemployment; the legislative record plainly reveals that Congress contemplated a federal definition of unemployment applicable to all States that adopt the AFDC-UF program. Since I do not believe that the subject regulation conforms to this
The Court acknowledges that the legislative history is "at some variance" with its position. Ante at 432 U. S. 430. This understates the case; literally all of the relevant legislative history repeatedly and unequivocally affirms the strong congressional objective of creating a federal definition of unemployment. It is common ground that Congress changed the wording of § 407(a) from "unemployment (as defined by the State)" to "unemployment (as determined in accordance with standards prescribed by the Secretary)" for the express purpose of "eliminat[ing] the variations in state definitions of unemployment." Philbrook v. Glodgett, 421 U. S. 707, 421 U. S. 719 (1975). But the Court would have us believe that the statute nevertheless contemplates a regulation leaving it completely within state discretion whether to cover those not working by reason of labor disputes or because of discharge for cause. * In my view, this is flatly contrary to the
Finally, after the enactment of the 1968 amendments, the Senate Finance Committee was unequivocal in summing up the amendments to the unemployed fathers provisions: "The amendments provide for a Federal definition of unemployment for States which have AFDC-UF programs." Senate Committee on Finance, 90th Cong., 2d Sess., Report on Social Security Amendments of 1967 -- Pub.L. 248, Brief Summary of Major Provisions and Detailed Comparison with
Unlike the majority, I have no doubt that the legislative history means what it says and confines the regulatory authority of the Secretary; by amending § 407(a) to place the responsibility for defining unemployment on the Secretary, Congress intended to establish "a uniform definition of unemployment throughout the United States." S.Rep. No. 744, supra at 4; H.R.Rep. No. 544, supra at 3. While I agree with the majority that this Court should defer to any reasonable definition given by the Secretary to the term "unemployment," I cannot agree, in light of the legislative history, that the Secretary may simply delegate the responsibility for defining that term to the States, for in important respects this would simply return the law to the situation existing prior to the amendment defining that term to the States. Here, the Secretary has promulgated a regulation describing a rather broad category of individuals who may be eligible for AFDC-UF benefits but has then permitted the States to include or exclude those individuals from eligibility "at the option of the State."
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