Sugarman v. Dougall

Last updated
Sugarman v. Dougall
Seal of the United States Supreme Court.svg
Argued January 8, 1973
Decided June 25, 1973
Full case nameSugarman v. Dougall
Citations413 U.S. 634 ( more )
93 S. Ct. 2842; 37 L. Ed. 2d 853; 1973 U.S. LEXIS 147; 5 Fair Empl. Prac. Cas. (BNA) 1152; 6 Empl. Prac. Dec. (CCH) ¶ 8682
Case history
Prior339 F. Supp. 906 (affirmed)
Holding
Section 53 of the New York Civil Service Law violates the Equal Protection Clause of the Fourteenth Amendment.
Court membership
Chief Justice
Warren E. Burger
Associate Justices
William O. Douglas  · William J. Brennan Jr.
Potter Stewart  · Byron White
Thurgood Marshall  · Harry Blackmun
Lewis F. Powell Jr.  · William Rehnquist
Case opinions
MajorityBlackmun, joined by Burger, Douglas, Brennan, Stewart, White, Marshall, and Powell
DissentRehnquist
Laws applied
U.S. Constitution amendment XIV

Sugarman v. Dougall, 413 U.S. 634 (1973), was a case before the United States Supreme Court.

Contents

Plaintiffs were federally registered resident aliens. They sued when, because of their alienage, they were discharged from their competitive civil service positions with New York City. Respondents challenged the constitutionality of N.Y. Civil Service Law § 53, which denied all aliens the right to hold positions in New York's classified competitive civil service. Respondents sought a declaration that the statute was invalid under U.S. Constitution amendments I and XIV, injunctive relief, and damages for lost earnings.

The Court affirmed the lower court's decision and determined that aliens as a class were a prime example of a discrete and insular minority. Classifications based on alienage were subject to close judicial scrutiny. The Court looked to the substantially of the state's interest in enforcing the statute and to the narrowness of the limits within which the discrimination was confined. The Court concluded that § 53 was unconstitutional.

Background

New York statute

Section 53 of the New York Civil Service Law provides that only United States citizens may hold permanent positions in the competitive class of the state civil service. N.Y. Civil Service Law § 53. Specifically:

"Except as herein otherwise provided, no person shall be eligible for appointment for any position in the competitive class [***856] unless he is a citizen of the United States." n1

The restriction has its statutory source in Laws of New York, 1939, c. 767, § 1. The legislation was declarative of an administrative practice that had existed for many years. (Tr. of Oral Arg. 43, 45.)

"2. Notwithstanding any of the provisions of this chapter or of any other law, whenever a department head or appointing authority deems that an acute shortage of employees exists in any particular class or classes of positions by reason of a lack of a sufficient number of qualified personnel available for recruitment, he may present evidence thereof to the state or municipal civil service commission having jurisdiction which, after due inquiry, may determine the existence of such shortage and waive the citizenship requirement for appointment to such class or classes of positions. The state commission or such municipal commission, as the case may be, shall annually review each such waiver of the citizenship requirement, and shall revoke any such waiver whenever it finds that a shortage no longer exists. A non-citizen appointed pursuant to the provisions of this section shall not be eligible for continued employment unless he diligently prosecutes the procedures for citizenship."
The Court noted that an appointment under this exception permits the alien to continue his employment only until, on annual review, it is deemed that "a shortage no longer exists." And, in any event, the alien "shall not be eligible for continued employment unless he diligently prosecutes the procedures for citizenship."

Plaintiffs/Appellants

Four federally registered resident aliens, having been discharged from their competitive civil service positions with the City of New York because of the provisions of 53 of the New York Civil Service Law barring any person from the competitive class "unless he is a citizen of the United States," sued for declaratory and injunctive relief against enforcement of the statute.

The four respondents, Patrick McL. Dougall, Esperanza Jorge, Teresa Vargas, and Sylvia Castro, are federally registered resident aliens. Because of their alienage, they were discharged in 1971 from their competitive civil service positions with the city of New York

Prior to December 28, 1970, the respondents were employed by nonprofit organizations that received funds through HRA from the United States Office of Economic Opportunity. These supportive funds ceased to be available about that time and the organizations, with approximately 450 employees, including the respondents and 16 other non-citizens, were absorbed by the Manpower Career and Development Agency (MCDA) of HRA. The appellant Administrator advised the transferees that they would be employed by the city. (Section 45 of the New York Civil Service Law, applicable to employees of a private institution acquired by the State or a public agency, contains a restriction, similar to that in § 53 (1), against the employment of an alien in a position classified in the competitive class.) The respondents in fact were so employed in MCDA. In February, however, they were informed that they were ineligible for employment by the city and that they would be dismissed under the statutory mandate of § 53 (1). Shortly thereafter, they were discharged from MCDA solely because of their alienage. (The appellants in their answer alleged that respondent Castro was terminated for the additional reason that she lacked sufficient experience to qualify for the position of senior human resources technician. App. 49. The three-judge court in its order, App. 93, excluded respondent Castro from the recognized class. That exclusion is not contested here.)

Defendants/Respondents

The named defendants, and appellants here, were the Administrator of the city's Human Resources Administration (HRA), and the city's Director of Personnel and Chairman of its Civil Service Commission.

Claim

The respondents instituted this class action challenging the constitutionality of § 53.

The respondents sought (1) a declaration that the statute was invalid under the First and Fourteenth Amendments, (2) injunctive relief against any refusal, on the ground of alienage, to appoint and employ the respondents, and all persons similarly situated, in civil service positions in the competitive class, and (3) damages for lost earnings.

District Court

A defense motion to dismiss for want of jurisdiction was denied by Judge Tenney, 330 F.Supp. 265 (SDNY 1971).

A three-judge court was convened.

That court ruled that the statute was violative of the Fourteenth Amendment and the Supremacy Clause, and granted injunctive relief. 339 F.Supp. 906 (SDNY 1971). In reaching its conclusion that § 53 was unconstitutional under the Fourteenth Amendment, it placed primary reliance on the Supreme Court's decisions in Graham v. Richardson , 403 U.S. 365 (1971), and Takahashi v. Fish Comm'n, 334 U.S. 410 (1948), and, to an extent, on Purdy & Fitzpatrick v. State, 71 Cal. 2d 566, 456 P. 2d 645 (1969). On the basis of these cases, the court also concluded that § 53 was in conflict with Congress' comprehensive regulation of immigration and naturalization because, in effect, it denied respondents entrance to, and abode in, New York. Accordingly, the court held, § 53 encroached upon an exclusive federal power and was constitutionally impermissible under Art. VI, cl. 2, of the Constitution.

The court found jurisdiction in the Civil Rights Statutes, 28 U. S. C. §§ 1343 (3) and (4). 339 F.Supp. 906, 907 n. 5. It held that the suit was properly maintainable as a class action and defined the class as consisting of "all permanent resident aliens residing in New York State who, but for the enforcement of Section 53, would otherwise be eligible to compete for employment in the competitive class of Civil Service." Id., at 907 n. 4.

Judge Lumbard joined the court's opinion and judgment, but wrote separately in concurrence. Id., at 911. Probable jurisdiction was noted. 407 U.S. 908 (1972).

Opinion of the court

Affirmed. Justice Blackmun wrote for an 8-1 Court.

The Court affirmed the lower court's decision and determined that aliens as a class were a prime example of a discrete and insular minority. Classifications based on alienage were subject to close judicial scrutiny. The Court looked to the substantiality of the state's interest in enforcing the statute and to the narrowness of the limits within which the discrimination was confined. The Court concluded that § 53 was unconstitutional.

Held:

1. Section 53 violates the Equal Protection Clause of the Fourteenth Amendment since, in the context of New York's statutory civil service scheme, it sweeps indiscriminately and is not narrowly limited to the accomplishment of substantial state interests. 413 U.S. 634, 638 (1973)

2. The "special public interest" doctrine has no applicability in this case. 413 U.S. 634, 643 (1973)

3. Nor can the citizenship requirement be justified on the unproved premise that aliens are less permanent employees than citizens, or on other grounds asserted by appellants. 413 U.S. 634, 645 (1973)

4. While the State has an interest in defining its political community, and a corresponding interest in establishing the qualifications for persons holding state elective or important non-elective executive, legislative, and judicial positions, the broad citizenship requirement established by § 53 cannot be justified on this basis. 413 U.S. 634, 646 (1973)

Dissent

Justice Rehnquist dissented on the ground that the Fourteenth Amendment does not protect minorities other than racial minorities.

See also

Related Research Articles

Fourteenth Amendment to the United States Constitution Article of amendment to the U.S. Constitution, enumerating citizenship rights as well as civil and political liberties

The Fourteenth Amendment to the United States Constitution was adopted on July 9, 1868, as one of the Reconstruction Amendments. Often considered one of the most consequential amendments, it addresses citizenship rights and equal protection under the law and was proposed in response to issues related to former slaves following the American Civil War. The amendment was bitterly contested, particularly by the states of the defeated Confederacy, which were forced to ratify it in order to regain representation in Congress. The amendment, particularly its first section, is one of the most litigated parts of the Constitution, forming the basis for landmark Supreme Court decisions such as Brown v. Board of Education (1954) regarding racial segregation, Roe v. Wade (1973) regarding abortion, Bush v. Gore (2000) regarding the 2000 presidential election, and Obergefell v. Hodges (2015) regarding same-sex marriage. The amendment limits the actions of all state and local officials, and also those acting on behalf of such officials.

The Civil Rights Cases, 109 U.S. 3 (1883), were a group of five landmark cases in which the Supreme Court of the United States held that the Thirteenth and Fourteenth Amendments did not empower Congress to outlaw racial discrimination by private individuals. The decision has never been overturned, but in the 1964 case of Heart of Atlanta Motel, Inc. v. United States, the Supreme Court held that Congress could prohibit racial discrimination by private actors under the Commerce Clause, though that and other loose interpretations of the Clause to expand federal power have been subject to criticism.

The Slaughter-House Cases, 83 U.S. 36 (1873), was a landmark U.S. Supreme Court decision that held that the Privileges or Immunities Clause of the Fourteenth Amendment to the U.S. Constitution only protects the legal rights that are associated with federal U.S. citizenship, not those that pertain to state citizenship. The decision consolidated two similar cases.

Bernal v. Fainter, 467 U.S. 216 (1984), is a case in which the Supreme Court of the United States ruled that the Equal Protection Clause prohibited the state of Texas from barring noncitizens from applying for commission as a notary public.

Civil Rights Act of 1866 First U. S. federal law to define citizenship and affirm that all citizens are equally protected by the law

The Civil Rights Act of 1866 was the first United States federal law to define citizenship and affirm that all citizens are equally protected by the law. It was mainly intended, in the wake of the American Civil War, to protect the civil rights of persons of African descent born in or brought to the United States.

United States v. Wong Kim Ark, 169 U.S. 649 (1898), was a landmark decision of the U.S. Supreme Court which held that "a child born in the United States, of parents of Chinese descent, who, at the time of his birth, are subjects of the Emperor of China, but have a permanent domicil and residence in the United States, and are there carrying on business, and are not employed in any diplomatic or official capacity under the Emperor of China", automatically became a U.S. citizen at birth. This decision established an important precedent in its interpretation of the Citizenship Clause of the Fourteenth Amendment to the Constitution. Any child born in the United States is a US citizen from birth, with the sole exception of children born to a parent or parents with diplomatic immunity, since such parent is not a "subject to the US law" as the decision requires.

Pierce v. Society of Sisters, 268 U.S. 510 (1925), was an early 20th-century United States Supreme Court decision striking down an Oregon statute that required all children to attend public school. The decision significantly expanded coverage of the Due Process Clause in the Fourteenth Amendment to the United States Constitution to recognize personal civil liberties. The case has been cited as a precedent in more than 100 Supreme Court cases, including Roe v. Wade, and in more than 70 cases in the courts of appeals.

In law, an alien is any person who is not a citizen or a national of a specific country, although definitions and terminology differ to some degree depending upon the continent or region of Earth. More generally, however, the term "alien" is perceived as synonymous with foreign national.

<i>Afroyim v. Rusk</i> United States Supreme Court case

Afroyim v. Rusk, 387 U.S. 253 (1967), was a landmark decision of the Supreme Court of the United States, which ruled that citizens of the United States may not be deprived of their citizenship involuntarily. The U.S. government had attempted to revoke the citizenship of Beys Afroyim, a man born in Poland, because he had cast a vote in an Israeli election after becoming a naturalized U.S. citizen. The Supreme Court decided that Afroyim's right to retain his citizenship was guaranteed by the Citizenship Clause of the Fourteenth Amendment to the Constitution. In so doing, the Court struck down a federal law mandating loss of U.S. citizenship for voting in a foreign election—thereby overruling one of its own precedents, Perez v. Brownell (1958), in which it had upheld loss of citizenship under similar circumstances less than a decade earlier.

Sáenz v. Roe, 526 U.S. 489 (1999), was a landmark case in which the Supreme Court of the United States discussed whether there is a constitutional right to travel from one state to another. The case was a reaffirmation of the principle that citizens select states and not the other way round.

Braunfeld v. Brown, 366 U.S. 599 (1961), was a case decided by the United States Supreme Court. In a 6-3 decision, the Court held that a Pennsylvania law forbidding the sale of various retail products on Sunday was not an unconstitutional interference with religion as described in the First Amendment to the United States Constitution.

Birthright citizenship in the United States Persons acquisition of United States citizenship by virtue of the circumstances of birth

Birthright citizenship in the United States is United States citizenship acquired by a person automatically, by operation of law. This takes place in two situations: by virtue of the person's birth within United States territory or because one or both of their parents is a US citizen. Birthright citizenship contrasts with citizenship acquired in other ways, for example by naturalization.

Citizenship Clause

The Citizenship Clause is the first sentence of the Fourteenth Amendment to the United States Constitution, which was adopted on July 9, 1868, which states:

Takahashi v. Fish and Game Comm'n, 334 U.S. 410 (1948), was a case before the United States Supreme Court. The issue at hand was a restrictive law in California requiring American citizenship to get a fishing license. The Court held that this was an unreasonable restriction and was discriminatory to residents of Japanese ancestry.

<i>Boddie v. Connecticut</i> United States Supreme Court case

Boddie v. Connecticut, 401 U.S. 371 (1971), was a case before the United States Supreme Court.

Examining Board v. Flores de Otero, 426 U.S. 572 (1976), was a case decided by the Supreme Court of the United States that invalidated a state law that excluded aliens from the practice of civil engineering. The Court invalidated the law on the basis of equal protection using a strict scrutiny standard of review.

<i>DeMarco v. Holy Cross High School</i>

DeMarco v. Holy Cross High School 4 F.3d 166 was an employment discrimination case brought under the ADEA. The appellant, Guy DeMarco, was released from employment prior to his eligibility for tenure at the age of forty-nine. Holy Cross High School argued that it was not subject to ADEA laws, and if it were that this case against it was in violation of the Free Exercise Clause and the Establishment Clause of the First Amendment. The defendant also argued that the plaintiff failed to utilize the administrative remedies available.

<i>Woollard v. Gallagher</i>

Woollard v. Sheridan, 863 F. Supp. 2d 462, reversed sub. nom., Woollard v Gallagher, 712 F.3d 865, was a civil lawsuit brought on behalf of Raymond Woollard, a resident of the State of Maryland, by the Second Amendment Foundation against Terrence Sheridan, Secretary of the Maryland State Police, and members of the Maryland Handgun Permit Review Board. Plaintiffs allege that the Defendants' refusal to grant a concealed carry permit renewal to Mr. Woollard on the basis that he "...ha[d] not demonstrated a good and substantial reason to wear, carry or transport a handgun as a reasonable precaution against apprehended danger in the State of Maryland" was a violation of Mr. Woollard's rights under the Second and Fourteenth Amendments, and therefore unconstitutional. The trial court found in favor of Mr. Woollard, However, the Fourth Circuit Court of Appeals reversed the trial court and the U.S. Supreme Court declined to review that decision.

Kingsley Books, Inc. v. Brown, 354 U.S. 436 (1957), was a Supreme Court case that addressed issues of obscenity, free speech, and due process. The case stemmed from the confiscation and destruction of books from a New York City bookstore. The court's determination was that:

A state injunction against distribution of material designated as "obscene" does not violate freedom of speech and press protected by the First Amendment and the Due Process Clause of the Fourteenth Amendment.

References