home *** CD-ROM | disk | FTP | other *** search
- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 93-1883
- --------
- ELOISE ANDERSON, DIRECTOR, CALIFORNIA
- DEPARTMENT OF SOCIAL SERVICES, et al.,
- PETITIONERS v. VERNA EDWARDS, etc., et al.
- on writ of certiorari to the united states court
- of appeals for the ninth circuit
- [March 22, 1995]
-
- Justice Thomas delivered the opinion of the Court.
- This case presents the question whether federal law
- governing the Aid to Families with Dependent Children
- (AFDC) program prohibits States from grouping into a
- single AFDC -assistance unit- all needy children who
- live in the same household under the care of one rela-
- tive. Such grouping allows States to grant equal assis-
- tance to equally sized needy households, regardless of
- whether the children in the household are all siblings.
- The Court of Appeals for the Ninth Circuit concluded
- that federal law forbids States to equalize assistance in
- this manner. We disagree and accordingly reverse.
-
- I
- AFDC is a joint federal-state public assistance pro-
- gram authorized by Title IV-A of the Social Security
- Act, 49 Stat. 627, 42 U. S. C. 601 et seq. As its name
- indicates, the AFDC program -is designed to provide
- financial assistance to needy dependent children and the
- parents or relatives who live with and care for them.-
- Shea v. Vialpando, 416 U. S. 251, 253 (1974). The pro-
- gram -reimburses each State which chooses to partici-
- pate with a percentage of the funds it expends,- so long
- as the State -administer[s] its assistance program pur-
- suant to a state plan that conforms to applicable federal
- statutes and regulations.- Heckler v. Turner, 470 U. S.
- 184, 189 (1985) (citing 42 U. S. C. 602, 603).
- One applicable federal rule requires state plans to pro-
- vide that all members of a nuclear family who live in
- the same household must apply for AFDC assistance if
- any one of them applies; in addition, the income of all
- of these applicants must be aggregated in determining
- their eligibility and the amount of their monthly bene-
- fits. See 42 U. S. C. 602(a)(38) (1988 ed., Supp. V); 45
- CFR 206.10(a)(1)(vii) (1993). See generally Bowen v.
- Gilliard, 483 U. S. 587 (1987) (upholding rule against
- constitutional challenges). This -family filing unit rule-
- requires that all cohabiting nuclear family members be
- grouped into a single AFDC -assistance unit- (AU), de-
- fined by federal law as -the group of individuals whose
- income, resources and needs are considered as a unit for
- purposes of determining eligibility and the amount of
- payment.- 45 CFR 206.10(b)(5) (1993). The regulation
- at issue in this case-California's -non-sibling filing unit
- rule- (California Rule)-goes even further in this regard.
- It provides: -Two or more AUs in the same home shall
- be combined into one AU when . . . [t]here is only one
- [adult] caretaker relative.- Cal. Dept. of Social Servs.,
- Manual of Policies & Procedures 82-824.1.13, App. to
- Pet. for Cert. 52. In other words, the California Rule
- groups into a single AU all needy children who live in
- the same household, whether or not they are siblings, if
- there is only one adult caring for all of them.
- The consolidation of two or more AU's into a single
- AU pursuant to the California Rule results in a decrease
- in the maximum per capita AFDC benefits for which the
- affected individuals are eligible. This occurs because
- while California (like many States) increases the amount
- of assistance for each additional person added to an AU,
- the increase is not proportional. Thus, as the number
- of persons in the AU increases, the per capita payment
- to the AU decreases. See, e.g., Dandridge v. Williams,
- 397 U. S. 471, 473-474 (1970) (sustaining a Maryland
- AFDC regulation under which -the standard of need in-
- creases with each additional person in the household,
- but the increments become proportionately smaller-).
- The situation of respondent Verna Edwards and her
- relatives illustrates the operation of these two rules.
- Initially, Mrs. Edwards received AFDC assistance on
- behalf of her granddaughter, for whom she is the sole
- caretaker. As a one-person AU, the granddaughter was
- eligible to receive a -maximum aid payment- of $341 per
- month prior to September 1991. See n. 1, supra. Later,
- Mrs. Edwards began caring for her two grandnieces, who
- are siblings. Pursuant to the federal family filing unit
- rule, the grandnieces are grouped together in a two-
- person AU, which was eligible to receive $560 per month
- in benefits prior to September 1991. See ibid. Because
- none of these children received any outside income, Mrs.
- Edwards received $901 per month in AFDC assistance
- on behalf of the three girls. In June 1991, however,
- Mrs. Edwards received notice that pursuant to the Cal-
- ifornia Rule, her granddaughter and two grandnieces
- would be grouped together into a single three-person
- AU, which was eligible to receive only $694 per month.
- See ibid. The California Rule thus reduced AFDC pay-
- ments to the Edwards household by $207 per month.
- On behalf of themselves and others similarly situated,
- Mrs. Edwards, her three relatives, and other respondents
- brought this action against petitioners, the state officials
- charged with administering California's AFDC program,
- in the District Court for the Eastern District of Califor-
- nia. Pursuant to Rev. Stat. 1979, 42 U. S. C. 1983,
- respondents sought a declaration that the California
- Rule violates federal law and an injunction prohibiting
- petitioners from enforcing it. On cross-motions for sum-
- mary judgment, the District Court granted the requested
- relief. It found the California Rule indistinguishable in
- relevant respects from the Washington regulation invali-
- dated in Beaton v. Thompson, 913 F. 2d 701 (CA9 1990).
- In a brief opinion, the Court of Appeals for the Ninth
- Circuit affirmed. It found the California Rule -virtually
- identical- to the Washington regulation that Beaton had
- held to be -inconsistent with federal law and regulation.-
- Edwards v. Healy, 12 F. 3d 154, 155 (1993). Since the
- Court of Appeals issued its decision, the Department of
- Health and Human Services (HHS)-which administers
- the AFDC program on the federal level-determined that
- its own AFDC regulations -do not conflict with the State
- policy option to consolidate assistance units in the same
- household.- Transmittal No. ACF-AT-94-6 (Mar. 16,
- 1994), App. to Pet. for Cert. 37. Moreover, a number of
- federal courts of appeals and state courts of last resort
- have recently issued rulings at odds with the decision
- below. We granted certiorari to resolve this conflict,
- and we now reverse.
-
- II
- In Beaton, the Ninth Circuit ruled that grouping into
- the same AU all needy children (both siblings and non-
- siblings alike) who live in the same household is incon-
- sistent with three different federal AFDC regulations,
- namely, 45 CFR 233.20(a)(2)(viii), 233.20(a)(3)(ii)(D),
- and 233.90(a)(1) (1993). See Beaton, supra, at 704.
- Respondents rely principally on these three regulations
- in their submission here.
- As we examine the regulations, we keep in mind that
- in AFDC cases, -the starting point of the . . . analysis
- must be a recognition that . . . federal law gives each
- State great latitude in dispensing its available funds.-
- Dandridge, 397 U. S., at 478. Accord, Shea, 416 U. S.,
- at 253 (States -are given broad discretion in determining
- both the standard of need and the level of benefits-). In
- light of this cardinal principle, we conclude that the fed-
- eral regulations do not preclude the adoption of the Cal-
- ifornia Rule.
-
- A
- According to 233.20(a)(2)(viii), States may not reduce
- the amount of assistance for which AFDC applicants are
- eligible -solely because of the presence in the household
- of a non-legally responsible individual.- Using the ex-
- ample of Mrs. Edwards and her relatives, respondents
- observe that although the granddaughter received AFDC
- benefits of $341 per month before the two grandnieces
- came to live in Mrs. Edwards' household, she received
- only one-third of $694, or $231.33, per month after the
- grandnieces arrived and the California Rule took effect.
- See Brief for Respondents 6, 22. This reduction in the
- granddaughter's per capita benefits occurred, according
- to respondents, -solely because of the presence in the
- household of- the grandnieces, who are -non-legally re-
- sponsible individual[s]- in relation to the granddaughter.
- Respondents are simply wrong. It was not solely the
- presence of the grandnieces that triggered the decline in
- per capita benefits paid to the granddaughter; rather, it
- was the grandnieces' presence plus their application for
- AFDC assistance through Mrs. Edwards. Had the two
- grandnieces, after coming to live in Mrs. Edwards' home,
- either not applied for assistance or applied through a
- different caretaker relative living in that home, the Cal-
- ifornia Rule would not have affected the granddaughter's
- benefits at all.
-
- B
- Respondents also argue that the California Rule vio-
- lates the -availability- principle, which is implemented,
- in one form or another, by all three federal regulations.
- Section 233.90(a)(1) provides that -the inclusion in the
- family, or the presence in the home, of a `substitute par-
- ent' or `man-in-the-house' or any individual other than
- [the child's parent] is not an acceptable basis for . . .
- assuming the availability of income- to a needy child.
- Likewise, 233.20(a)(2)(viii) provides that States may
- -not assume any contribution from [a non-legally respon-
- sible] individual for the support of the assistance unit.-
- Finally, 233.20(a)(3)(ii)(D) provides generally that States
- shall, -in determining need and the amount of the assis-
- tance payment,- count only -[i]ncome . . . and resources
- available for current use-; the regulation adds that -in-
- come and resources are considered available both when
- actually available and when [legally available].-
- According to respondents, the California Rule assumes
- that income from relatives is contributed to, or otherwise
- available to, a needy child without a determination that
- it is actually available. If Mrs. Edwards' granddaughter
- were to begin receiving $75 per month in outside in-
- come, for example, the AU of which she is a part would
- receive $75 less in monthly AFDC benefits, and the two
- grandnieces would each accordingly receive $25 less in
- per capita monthly benefits. Thus, the California Rule
- assertedly -assumes,- in violation of all three federal
- regulations, that the granddaughter will contribute $25
- per month of her outside income to each grandniece and
- also that such income will therefore be available to each
- grandniece-without a case-specific determination that
- such contribution will in fact occur.
- Respondents' argument fails for at least two reasons.
- First, its premise is questionable. Although in this ex-
- ample, the grandnieces each will nominally receive $25
- less in per capita monthly benefits, they will actually
- receive less in benefits only if one assumes that Mrs.
- Edwards will expend an equal amount of AFDC assis-
- tance on each of the three children-without regard to
- any other relevant circumstances, such as whether one
- of them receives outside income. Not only would such
- assumption fail to reflect reality, see, e.g., Gilliard, 483
- U. S., at 600, n. 14, it would also be inconsistent with
- the duty imposed on caretakers by federal law to spend
- AFDC payments -in the best interests of the child[ren]-
- for whom they care, 42 U. S. C. 605, a duty specifically
- implemented by California law, see, e.g., Cal. Welf. &
- Inst. Code Ann. 11005.5, 11480 (West 1991). Thus,
- California may rationally assume that a caretaker will
- observe her duties to all the members of the AU and
- will take into account the receipt of any outside income
- by one child when expending funds on behalf of the AU.
- Second, respondents' argument misperceives the oper-
- ation of the California Rule. In the foregoing example,
- California would simply add the monthly income of all
- members of the AU-$75 (granddaughter) plus $0 (first
- grandniece) plus $0 (second grandniece) for a total of
- $75-and reduce the monthly assistance payment to the
- Edwards family AU accordingly. It should be clear from
- this example that the monthly payment to the AU is re-
- duced not because the California Rule -assumes- that
- any income is available to the grandnieces, but because
- it places the two grandnieces into the same AU as the
- granddaughter (whose income is actually available to
- herself). What respondents are really attacking is the
- rule that the income of all members of the AU is com-
- bined in order to determine the amount of the assistance
- payment to the AU. This attack ignores the very defi-
- nition of an AU: the group of individuals whose income
- and resources are considered -as a unit- for purposes of
- determining the amount of the assistance payment. 45
- CFR 206.10(b)(5) (1993). Accord, Brief for Respondents
- 4 (-All of the income and resources of everyone in the
- assistance unit are taken into consideration in establish-
- ing the benefit payment-).
- Perhaps respondents are arguing that the regulations
- simply forbid California to combine the incomes of all
- needy children in a household-whether by grouping
- them into the same AU or otherwise. But whatever are
- the limits that federal law imposes on States' authority
- in this regard, the combination of incomes effected by
- the California Rule is authorized by the AFDC statute
- itself, which provides that a state agency -shall, in de-
- termining need, take into consideration any . . . income
- and resources of any child or relative claiming [AFDC
- assistance].- 42 U. S. C. 602(a)(7)(A) (1988 ed. and
- Supp. V). In light of the -great latitude,- Dandridge,
- 397 U. S., at 478, and the -broad discretion,- Shea, 416
- U. S., at 253, that States have in administering their
- AFDC programs, this statute is reasonably construed to
- allow States, in determining a child's need (and there-
- fore how much assistance she will receive), to take into
- consideration the income and resources of all cohabiting
- children and relatives also claiming AFDC assistance.
- The availability regulations are addressed to an en-
- tirely different problem, namely, the counting of income
- and resources controlled by persons outside the AU for
- the purpose of determining the amount of assistance to
- be provided to the AU. The regulations were adopted to
- implement our decisions in three AFDC cases. See 42
- Fed. Reg. 6583-6584 (1977) (citing King v. Smith, 392
- U. S. 309 (1968); Lewis v. Martin, 397 U. S. 552 (1970);
- Van Lare v. Hurley, 421 U. S. 338 (1975)). In all three
- cases, the State had counted as available to the AU in-
- come that was not actually or legally available because
- it was controlled by a person who was not a member of
- the AU and who was not applying for AFDC assistance.
- See King, supra, at 311 (a -`substitute father,'- defined
- as any able-bodied man who cohabited with the mother
- of the needy children in or outside her home); Lewis,
- supra, at 554 (-an adult male person assuming the role
- of spouse to the mother,- such as a common-law hus-
- band, or a nonadopting stepfather not legally obligated
- to support the children); Van Lare, supra, at 339, 340 (a
- -nonpaying lodge[r],- who was -a person not a recipient
- of AFDC-). Accord, Bray v. Dowling, 25 F. 3d 135, 144
- (CA2 1994) (The federal availability regulations -were
- established to address specific concerns regarding the
- imputation of income from non-AFDC sources-), cert.
- pending, No. 94-5845.
- The California Rule has no such effect. The combined
- income of the three-person AU comprising the grand-
- daughter and two grandnieces of Mrs Edwards is not
- calculated with reference to the income either of Mrs.
- Edwards herself or of anyone else inside or outside the
- Edwards household who is not a member of the AU and
- who is not applying for AFDC assistance. In sum, the
- California Rule does not violate any of the three federal
- regulations on which the Court of Appeals relied.
-
- III
- Respondents offer two alternative grounds to support
- the judgment below. Neither has merit, and we may
- dispose of them quickly.
- First, respondents argue that the California Rule is
- an invalid expansion of the family filing unit rule, 42
- U. S. C. 602(a)(38). According to respondents, when
- Congress decreed that all members of a nuclear family
- must be grouped together in a single AU, it intended to
- prevent States from including any additional persons in
- that AU (as does the California Rule). We reject the
- notion that Congress' directive regarding the composition
- of assistance units -occupied the field- and thereby pre-
- empted States from adopting any additional rules touch-
- ing this area. What we said about -workfare- in New
- York State Dept. of Social Services v. Dublino, 413 U. S.
- 405, 414 (1973), applies here as well: -If Congress had
- intended to pre-empt state plans and efforts in such an
- important dimension of the AFDC program . . . , such
- intentions would in all likelihood have been expressed
- in direct and unambiguous language.- The language of
- 602(a)(38) requires States to embrace the family filing
- unit rule; it does not further limit States' discretion in
- a direct or unambiguous manner.
- Second, respondents argue that the California Rule
- violates two other federal regulations that require equi-
- table treatment among AFDC recipients. See 45 CFR
- 233.10(a)(1) (1993) (-the eligibility conditions imposed
- . . . must not result in inequitable treatment of individ-
- uals or groups-); 233.20(a)(1)(i) (-the determination of
- need and amount of assistance for all applicants [must]
- be made on an objective and equitable basis-). Assum-
- ing that these provisions even -creat[e] a `federal right'
- that is enforceable under [42 U. S. C.] 1983,- Wilder v.
- Virginia Hospital Assn., 496 U. S. 498, 509 (1990), we
- find that the California Rule affirmatively fosters equi-
- table treatment among AFDC recipients.
- For example, prior to September 1991 a caretaker rel-
- ative responsible for three brothers having no outside
- income would have received AFDC benefits of $694 per
- month on their behalf. Yet before the California Rule
- was applied to her household, Mrs. Edwards received
- monthly benefits of $901 for the three girls for whom
- she cared. See supra, at 4. The $207 difference is due
- solely to the fact that in one household all of the chil-
- dren are siblings, while in the other they are not. The
- potential inequities in the absence of the California Rule
- are even greater. Six needy siblings living in the same
- household in California could have received up to $1057
- per month in benefits before September 1991. But prior
- to the California Rule's adoption, six needy non-siblings
- who lived in the same household could have received as
- much as $2046, or almost double. See n. 1, supra. The
- California Rule sensibly and equitably eliminates these
- disparities by providing that equally sized and equally
- needy households will receive equal AFDC assistance.
- Thus, the rule does not violate the equitable treatment
- regulations.
- * * *
- For the foregoing reasons, we conclude that the Cal-
- ifornia Rule does not violate federal law. Accordingly,
- the judgment of the Court of Appeals for the Ninth Cir-
- cuit is reversed, and the case is remanded for further
- proceedings consistent with this opinion.
-
- It is so ordered.
-