Legal Document

397 U.S. 254 90 Supreme Court Reporter 1011 25 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 287 Jack R. GOLDBERG, Commissioner of Social Services the City New York, Appellant,v.John KELLY et al. Number 62. Argued Oct. 13, 1969. Decided March 23, 1970. John Judge Loflin, Jr., York City, for appellant. Lee Atlantic Albert, appellees. Mr. Justice BRENNAN delivered opinion Court. 1 The question decision is whether a State that terminates public assistance payments to particular recipient without affording him opportunity an evidentiary hearing prior termination denies procedural due process in violation Due Process Clause Fourteenth Amendment. 2 This action was brought District Southern by residents receiving financial aid under federally assisted program Aid Families with Dependent Children (AFDC) or State's general Home Relief program.1 Their complaint alleged and officials administering these programs terminated, were about terminate, such notice hearing, thereby denying them law.2 At time suits filed there no requirement any kind before aid. However, city adopted procedures after brought, plaintiffs, appellees here, then challenged constitutional adequacy those procedures. 3 amended Department Services' Official Regulations require local social services proposing discontinue suspend recipient's do so according procedure conforms either subdivision (a) (b) § 351.26 regulations as amended.3 elected promulgate (b). That subdivision, far here pertinent, provides must include giving reasons proposed discontinuance suspension at least seven days its effective date, also upon request may have proposal reviewed welfare official holding position superior supervisor who approved suspension, and, further, submit, purposes review, written statement demonstrate why his grant should not be discontinued suspended. reviewing made expeditiously, recipient. section further expressly '(a)ssistance shall suspended date sent representative, if any, whichever occurs later.' 4 Pursuant (b), promulgated Procedure 68—18. A caseworker has doubts continued eligibility first discuss If concludes longer eligible, he recommends unit supervisor. latter concurs, sends letter stating terminate notifying within higher review record, support prepared personally attorney other person. affirms determination ineligibility, stopped immediately informed action. Appellees' challenge this emphasizes absence provisions personal appearance official, oral presentation evidence, confrontation cross-examination adverse witnesses.4 does inform post-termination 'fair hearing.'5 proceeding independent state officer which appear personally, offer confront cross-examine witnesses against him, record hearing. prevails hearing' paid all funds erroneously withheld.6 HEW Handbook, pt. IV, §§ 6200—6500; 18 NYCRR 84.2—84.23. whose restored judicial review. N.Y.Civil Practice Law Rules, Article 78 (1963). notified, 84.16. 5 * issue decided, therefore, narrow one requires afforded benefits.7 held only pretermination would satisfy command, rejected argument combination informal pre-termination disposed claims. court said: 'While relevant, overpowering fact controls here. By hypothesis, destitute, assets. Suffice it say cut off face 'brutal need' some sort unconscionable, unless overwhelming considerations justify it.' Kelly versus Wyman, 294 F.Supp. 893, 899, 900 (1968). need protect public's tax revenues supplied requisite 'overwhelming consideration.' 'Against justified desire weighed individual's unique situation wrongfully deprived assistance. While problem additional expense kept mind, meeting ordinary standards process. Under circumstances, we hold adequate benefits, later constitutionally fair alter result.' Id., 901. Although party defendants action, appealed. We noted probable jurisdiction, 394 971, 89 1469, 22 751 (1969), decide important issues been subject disagreement principle between three-judge present case convened Wheeler Montgomery, 280, 1026, 307. affirm. 6 Appellant contend applicable benefits. Such benefits are matter statutory entitlement persons qualified receive them.8 involves adjudicates rights. cannot answered 'a 'privilege' 'right." Shapiro Thompson, 618, 627 n. 6, 1322, 1327 (1969). Relevant restraints apply much withdrawal disqualification unemployment compensation, Sherbert Verner, 374 398, 83 1790, 10 965 (1963); denial exemption, Speiser Randall, 357 513, 1332, 1460 (1958); discharge from employment, Slochower Board Higher Education, 350 551, 76 637, 100 L.Ed. 692 (1956).9 extent influenced 'condemned suffer grievous loss,' Joint Anti-Fascist Refugee Committee McGrath, 341 123, 168, 71 624, 647, 95 817 (1951) (Frankfurter, J., concurring), depends interest avoiding loss outweighs governmental summary adjudication. Accordingly, said Cafeteria & Restaurant Workers Union, etc. McElroy, 367 886, 895, 81 1743, 1748—1749, 1230 (1961), 'consideration what given set circumstances begin precise nature government function involved well private affected action.' See Hannah Larche, 363 420, 440, 442, 80 1502, 1513, 1514, 1307 (1960). 7 It true, course, administratively terminated hearing.10 But agree when discontinued, Cf. Sniadach Family Finance Corp., 395 337, 1820, 23 349 For recipients, means obtain essential food, clothing, housing, medical care.11 Nash Florida Industrial Commission, 389 235, 239, 88 362, 366, 19 438 (1967). Thus crucial factor context—a blacklisted contractor, discharged employee, taxpayer denied virtually anyone else entitlements ended—is pending resolution controversy over deprive eligible very live while waits. Since lacks resources, becomes desperate. His concentrate finding daily subsistence, turn, adversely affects ability seek redress bureaucracy.12 8 Moreover, interests promoted recipients From founding Nation's basic commitment foster dignity well-being borders. come recognize forces control poor contribute their poverty.13 perception, background our traditions, significantly development contemporary system. Welfare, demands can help bring reach same opportunities available others participate meaningfully life community. time, guards societal malaise flow widespread sense unjustified frustration insecurity. Public assistance, then, mere charity, but 'promote secure Blessings Liberty ourselves Posterity.' counsel provision welfare, uninterrupted it; hearings indispensable end. 9 force argues they outweighed countervailing conserving fiscal administrative resources. These interests, goes, delay until grants. Summary adjudication protects fisc stopping promptly discovery reason believe eligible. most terminations accepted challenge, conserves both energy reducing number actually held. Court, however, overriding context. doubtless greater expense, ineligible probably recouped, since likely judgment-proof. weapons minimize increased costs. Much drain on resources reduced developing prompt skillful use personnel facilities. Indeed, York's itself cogent evidence recognizes primacy correct determinations therefore safeguards. Thus, receipt coupled clearly competing concern prevent increase burdens. As correctly concluded, '(t)he stakes simply too high recipient, possibility honest error irritable misjudgment great, allow chance, desires, fully contest basis produce rebuttal.' F.Supp., 904—905. II 11 take form quasi-judicial trial. bear mind will provide full review.14 only: initial validity department's grounds order erroneous 343, 1823, (1969) (Harlan, concurring). complete comprehensive opinion, serve primarily facilitate guide future decisions, provided stage. recognize, too, authorities relatively speedy questions eligibility, used dealing another informally, departments burdensome caseloads. limitation minimum safeguards, adapted characteristics limited controversies resolved. wish add we, less than dissenters, importance imposing Federal Government field law requirements beyond demanded rudimentary 12 'The fundamental heard.' Grannis Ordean, 234 385, 394, 34 779, 783, 58 1363 (1914). 'at meaningful meaingful manner.' Armstrong Manzo, 380 545, 552, 85 1187, 1191, 14 62 (1965). In context principles timely detailing termination, defend confronting presenting own arguments orally. rights cases us, where resting incorrect misleading factual premises misapplication rules policies facts cases.15 13 seven-day currently insufficient per se, although fairness given. Nor see deficiency content notice. employs conference raised eligibility. Evidently told legal bases Department's doubts. method communicating recipients. city's presently permit finally determines permitted orally, witnesses. omissions fatal 15 heard tailored capacities heard.16 enough maker writing second-hand through caseworker. Written submissions unrealistic option lack educational attainment necessary write effectively professional afford flexibility presentations; mold appears regard important. Particularly credibility veracity issue, many proceedings, wholly unsatisfactory decision. decisionmaker deficiencies; usually gathers charge ineligibility rests, side safely left him. Therefore allowed Informal suffice; proof mode offering evidence. 6400(a). 16 almost every setting decisions turn fact, E.g., ICC Louisville N.R. Co., 227 88, 93—94, 33 185, 187—188, 57 431 (1913); Willner Character Fitness, 373 96, 103—104, 1175, 1180—1181, 224 What Greene 360 474, 496—497, 79 1400, 1413, 1377 (1959), particularly pertinent here: 17 'Certain remained immutable jurisprudence. One seriously injures individual, reasonableness findings, prove Government's disclosed individual show untrue. documentary even more consists testimony individuals memory might faulty who, perjurers motivated malice, vindictiveness, intolerance, prejudice, jealousy. formalized protections cross-examination. They ancient roots. find expression Sixth Amendment *. zealous erosion. spoken out criminal cases, types actions scrutiny.' Welfare relied department. right be, little avail did comprehend counsel.' Powell Alabama, 45, 68—69, 53 55, 64, 77 158 (1932). retain desires. Counsel delineate issues, contentions orderly manner, conduct cross-examination, generally safeguard anticipate unduly prolong otherwise encumber reached conclusion. 45 Code 205.10, Fed.Reg. 1144 (1969); 220.25, 13595 20 Finally, decisionmaker's conclusion rest solely adduced Ohio Bell Tel. company PUC, 301 292, 724, 1093 (1937); Abilene S.R. 265 274, 288—289, 44 565, 569—570, 68 1016 (1924). To compliance elementary requirement, indicate on, cf. Wichita Light 260 48, 57—59, 43 51, 54—55, 67 124 (1922), though amount formal findings conclusions law. And, impartial essential. re Murchison, 133, 75 623, 99 942 (1955); Wong Yang Sung 339 33, 45—46, 70 445, 451 452, 94 616 (1950). involvement aspects necessarily bar acting maker. He not, participated making 21 Affirmed. BLACK, dissenting. last half century States, along many, perhaps most, nations world, moved toward becoming state, is, nation taxes affluent people support, feed, clothe, shelter fortunate citizens. result today nine million men, women, children financed allowances gratuities, periodically, week, month, quarter.1 gratuities need, list static, go lists added time. ever-changing put constant burden certainly could reasonably anticipated imposed today. 24 dilemma ever-increasing midst constantly growing affluence presses us inevitably met framework democratic government, system survive such. largely escape just pressing economic problems attendant repression Europe, Asia, areas settled country formed Nation. Many settlers had suffered persecutions various kinds wanted get away governments unrestrained powers make miserable reason, N Dec. Immigration Nationality Decisions believe, reaching new lands early undertook curb confining boundaries, eventually became constitutions.2 wrote charters nearly men's collective wisdom proclaim emphatic command that: 'Thus farther you go; neither delegate you, nor prohibit your exercise them, free.'3 Representatives Thirteen Original Colonies spent long, hot months summer 1787 Philadelphia, Pennsylvania, creating powers. divided into three departments—Legislative, Judicial, Executive. Judicial part whatever laws. proposals looking vesting power Judiciary legislative veto laws offered, considered, Constitutional Convention.4 my judgment word, phrase, sentence beginning end Constitution inferred judges granted power. True, Marbury Madison, Cranch 137, 60 (1803), held, properly, think, courts final interpreters Constitution, slide imperceptibly amendment making. federal purposes, think wander vested transgress area assigned Congress people. precisely doing case. Hence dissent. 26 names relief rolls York,5 50 random. because believed Probably officials' haste alleviate immediate suffering, undoubtedly drawing entitled so. Doubtless draw checks know reason. thus undeserved sufficient property enable collect back money receive. holds violate stop paying weekly monthly affords 'evidentiary persuaded rightfully penny words, payment deliberate fraud part, helpless continue, pay owe, never owed, owe. paralyze government's efforts them. 27 unnecessarily broad construction. came being Negroes discrimination, language others, chief purpose behind ex-slaves. Adamson California, 332 46, 71—72, 5, 1672, 1686, 91 1903 (1947) (dissenting opinion). relies effect says failure promised charitable instalment deprives property, somewhat strains credulity promise charity belonging honestly payment. 28 little, objection majority's report House Education Labor, ostensibly woefully deficient. Once verbiage pared obvious adopts views 'that unconscionable,' unconstitutional. majority reaches weighing 'the avoiding' adjudication.' Ante, 263. Today's balancing act 'pre-termination hearing,' yet nothing indicates tomorrow's balance be. attempts bolster quotations today's doesn't depend humane 29 variant view often expressed members forbids believes 'unfair,' 'indecent,' 'shocking consciences.' See, e.g., Rochin 342 165, 172, 72 205, 209, 96 183 (1952). Neither words like anywhere Clause. did, leave Justices free unconstitutional conclude unfair shocking them.6 Had drafters meant ambulatory declare unconstitutional, value constitution, Founders saw it, lost. correct, easily swallow up parts Constitution. And truly always 'what is' moment, document.7 designed guarantee protection abuses, including judges, mean something definite explicit content. regret compelled makes drastic dangerous departure limit moves constitution philosophy hand unconscionable. 30 required finds precedent Reduced simplest terms, similar frequently encountered two parties ongoing relationship periodic other. Often arises 'owing' stops justifies arguing legally can, disagree compel person owe continue judgment-proof claimant benefit security bond insure recovered wins argument. Yet way obligates received during post bond, 'fairness' definition repay that, assumes, survival. 31 apparently feels needy. eventual opposite. administrative, inevitable logic approach taken lead imposed, time-consuming delays adversary next bound argue cutting agency's Since, point still 'deprive waits,' ante, 264, surprised After all, each step, seems feel, pocketbook actual survival surely tip favor individual. Similarly difficult reasoning appointment counsel, meaningless hire advocates. Gideon Wainwright, 372 335, 344, 792, 796, 799 once decides give reverse including, entail several years, initially exhaustive investigation determine insured needy 'due process' proceeding, rolls, remain destitute lengthy proceedings followed 32 foregoing dissent Court's holding. operation experiment among feel experiments carrying frozen structure. left, determinations, legislatures elect AFDC established Security Act 1935, 49 Statutes-at-Large 627, amended, 42 KF62 601—610 (1964 ed. Supp. IV). categorical supported grants-in-aid administered Secretary Health, Welfare. N.Y. 343—362 (1966). considered King Smith, 392 309, 2128, 1118 (1968), 600 governments. 157—165 (1966), July 1, 1967, 157—166. assists unable himself sources. 158. Two consolidated named plaintiffs number, intervenors. Fourteen AFDC, six Relief. During course litigation (see infra, 259—260) resumed, underlying resulted bringing suit example, Mrs. Altagracia Guzman she danger losing cooperate suing her estranged husband. She contended departmental policy requiring cooperation inapplicable shows indication dispute duty resolved, removed. Juan DeJesus refused accept counseling rehabilitation drug addiction. maintains drugs. day filed. settled. adoption February 1968 April Regulation coincided revisions implementing 602(a)(4), final. satisfied effect. Handbook Assistance Administration (hereafter Handbook), 6200—6400. regulation, now scheduled 1970, continuation appointed hearings.' 1356 safeguards specified hearings' Another recent regulation agency 'advance reduction assistance.' 2300(d)(5). presents construction regulations. 68—18 pose us. 641, 1335, Even assuming avoided thereunder, waiting become effective, faced decided program, apply. contrast 351.26, notification suspension. advise therefor place indicated identified notice, assumed construed based record. 906—907 353(2) (1966) pursuant 602(a)(4). 3, supra. objections procedures, 898 9, Shortly filed, working request, 84.6, thereafter, 84.15. conceded limits observed. Current retroactive (with matching funds) whenever heairng' results reversal 6200(k), 6300(g), 6500(a); 358.8. made, certain limitations, discovered 351.27. authorize, require, completion hearing.' 6500(b). supersede provisions. termination. discussion Comment, Minimum Termination Benefits: Need Requirements Prior Hearing, Mich.L.Rev. 112 realistic 'property' 'gratuity.' existing wealth takes fall traditional common-law concepts property. aptly '(s)ociety built around entitlement. automobile dealer franchise, doctor lawyer licenses, worker union membership, contract, pension rights, executive contract stock options; devices independence. government: subsidies farmers businessmen, routes airlines channels television stations; long term contracts defense, space, education; pensions individuals. sources security, public, regarded luxuries gratuities; essentials, deserved, charity. entitlements, recognized policy, enforced.' Reich, Individual Rights Welfare: Emerging Legal Issues, 74 Yale L.J. 1245, 1255 Property, 73 733 (1964). Goldsmith Tax Appeals, 270 117, 46 215, 494 (1926) (right certified accountant practice Appeals); Hornsby Allen, 326 Reporter, 2nd 605 (C.A.5th Cir. 1964) retail liquor store license); Dixon Alabama 150 Cir.), cert. denied, 368 930, 82 368, 193 (1961) attend college). Appeals stated: 'In wide variety situations, harm threatened, infringed deemed importance, body Holman SEC, U.S.App.D.C. 43, 47, 299 127, 131, 370 911, 1257, 404 (1962) (suspension exemption registration requirement). also, Ewing Mytinger Casselberry, Inc., 594, 870, 1088 (1950) (seizure mislabeled vitamin product); North American Cold Storage Chicago, 211 306, 101, 195 (1908) food fit human use); Yakus 321 414, 64 660, 834 (1944) (adoption wartime price regulations); Gonzalez Freeman, 118 180, 334 570 (1964) (disqualification contractor business Government). supra, 896, 1749, dismissal employee upheld '(i)n (its) proprietary military capacity, Government, traditionally exercised unfettered control,' 'dispatch internal affairs.' Perkins Lukens Steel 310 113, 869, 84 1108 (1940). Administrative render participation state-financed programs. 366 impaired telling light bureaucracy's difficulties Right Hearing Cases, 37 Ford.L.Rev. 604, 610 611 8, L.J., 1255. hearings. If, wishes 'fair' preliminary submission, submission argument, application rule intertwined issues. FCC WJR, 337 265, 275—277, 69 1097, 1103—1104, 93 L.ed. 1353 (1949). '(T)he prosecution appeal degree awareness, tenacity, few dependent have.' Wedemeyer Moore, System, 54 Calif.L.Rev. 326, figure includes Oldage Assistance, Children, Blind, Permanently Totally Disabled, appellants alone 951,000 108,000 Nation whole comparable figures 6,080,000 391,000. Bureau Census, Statistical Abstract States: 1969 (90th ed.), Table 435, Page 297. goal fixed desired. colonial constitutions, closest man realizing political movement Levellers England 1640's. Frank, (1955). 1647 An Agreement People forth limitations English Government. contained ideas incorporated constitutions 135—147. Tenth Amendment: delegated prohibited reserved respectively, people.' branch sit Council Revision consider legislation it. rejected. Elliot, Elliot's Debates 160, 164, 214 (Journal Convention); 395, 398 (Yates' Minutes); vol. Pages 151, 161—166, 344—349 (Madison's Notes) (Lippincott 1876). suggested Chief member President's council, similarly 446, 462. am aware employed involved, objective search 'collective conscience mankind,' description euphemism judgment. Judges world eyes conscience' remarkably own. Griswold Connecticut, 381 479, 518—519, 1678, 1700—1701, 510 (1965) (Black, dissenting); 350—351, 1827, dissenting). realize how uncertain standard 'fundamental fairness' reflect moment possible propounded head National Organization, president national Chamber Commerce, chairman Birch Society.

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