Lead Opinion
Opinion for the court filed by Circuit Judge BUCKLEY.
Dissenting opinion filed by Circuit Judge SENTELLE.
Parents of homeless children residing in the District of Columbia seek to invoke 42 U.S.C. § 1983 to enforce provisions of the Stewart B. McKinney Homeless Assistance Act. Concluding that the McKinney Act does not confer enforceable educational rights on homeless children, the district court granted the District of Columbia’s motion to dismiss. Because we disagree with the district court’s interpretation of the governing Supreme Court case law, we reverse and remand for further proceedings.
I. Introduction
The McKinney Act, Pub.L. No. 100-77,101 Stat. 482 (codified as amended at 42 U.S.C.A. §§ 11301 et seq. (West Supp.1993)), was passed in 1987 in response to “the critically urgent needs of the homeless,” 42 U.S.C. § 11301(b)(2) (1988), including the proper education of their children. 42 U.S.C. §§ 11431-35 (Supp. IV 1992). The Act is a mix of large visions and gritty detail, combining specific sections dealing with the provision of education to homeless children and youths with a broad congressional policy that “each State educational agency ... assure that each child of a homeless individual and each homeless youth have access to a free, appropriate public education ... [and that] homelessness alone ... not be sufficient reason to separate students from the mainstream school environment.” Id. § 11431.
To achieve this goal, the Secretary of Education is empowered to grant funds to States participating in the programs authorized by the McKinney Act. 42 U.S.C. § 11432(a) (1988). Grants may be used, among other purposes, to “establish or designate an Office of Coordinator of Education of Homeless Children and Youth” and to “prepare and carry out the State plan described in subsection (e) of this section.” 42 U.S.C. § 11432(c)(3) & (4) (Supp. IV 1992). Subsection (d) defines the functions of the Coordinator, which include the duty to “develop and carry out the State plan” and to “facilitate coordination” between state agencies and others providing assistance to homeless children and their families. Id. § 11432(d)(2) & (4).
Subsection (e), which is captioned “State plan,” consists of nine paragraphs that may ■be divided into three parts. The first consists of paragraph (1) and its nine subpara-graphs. These describe in general terms the concerns that are to be addressed by the plan: e.g., establishment of procedures for the resolution of disputes regarding the educational placement of homeless children and youths, assurance of their ability to participate in food programs, and undertaking to protect them from being isolated or stigmatized. Id. § 11482(e)(1)(A) — (I). The second part, paragraph (2), requires that the state plan assure, to the extent feasible under state law, “that local educational agencies within the State will comply with the requirements of paragraphs (3) through (9).” Id. § 11432(e)(2).
Paragraphs (3) through (9), which comprise the third part of subsection (e), are devoted to the “gritty details” — the specific means by which the educational, health, and other needs of the Act’s beneficiaries will be addressed. To cite three examples that are germane here, paragraphs (3), (5), and (7) read in relevant part as follows:
(3)(A) The local educational agency of each homeless child and each homeless youth shall either—
(i) continue the child’s or youth’s education in the school of origin—
(I) for the remainder of the academic ' year; or
(II) in any case in which a family becomes homeless between academic years, for the following academic year; or
(ii) enroll the child or youth in any school that nonhomeless students who live in the attendance area in which the child.or youth is actually living are eligible to attend;
*607 whichever is in the child’s best interest or the youth’s best interest.
(B) In determining the best interests of the child or youth for purposes of making a school assignment under subparagraph (A), consideration shall be given to a request made by a parent regarding school selection.
(5) Each homeless child shall be provided services comparable to services offered .to other students in the school selected according to the provisions of paragraph (3), including transportation services ...; and school meals programs.
(7) Each local educational agency serving homeless children or youth that receives assistance under this subchapter shall coordinate with local social services agencies, and other agencies or programs providing services to such children or youth and their families.
Id. § 11432(e)(3), (5) & (7).
Appellants here are homeless children living in the District of Columbia, which is deemed a State for purposes of the McKinney Act. 42 U.S.C. § 11421(d) (1988). They filed this action in the district court pursuant to 42 U.S.C. § 1983 (1988), which provides a cause of action against persons who infringe upon federal constitutional or statutory rights while acting “under color” of state law.' Appellants allege that the District has violated section 11432(e)(3), (5), (7), (8) and (9), as well as sections 11431(1), (2) and 11432(c)(2), (4). They seek an order requiring, among other things, that the District consider parents’ requests and make “best interests” determinations when placing homeless children in schools; that it assure homeless children the transportation necessary to attend those schools; and that it ensure them access to various educational and school meal programs, and other services.
The district court found that the McKinney Act did not create an enforceable right of action under section 1983 and dismissed the complaint under Federal Rule of Civil Procedure 12(b)(6) for failure to state a claim upon which relief may be granted. Lampkin v. District of Columbia, Civ. No. 92-0910, slip op. at 14-15,
II. Disoussion
Since 1980, the Supreme Court has recognized that section 1983 may be invoked to challenge violations of federal statutes. Maine v. Thiboutot,
A. Wilder v. Virginia Hospital Association
In Wilder, the plaintiffs challenged the method by which the State of Virginia reimbursed health care providers under the Medicaid Act, 42 U.S.C. § 1396 et seq. (1988). In particular, the Court faced the question
whether the Boren Amendment to the Act, which requires reimbursement according to rates that a “State finds, and makes assurances satisfactory to. the Secretary, are reasonable and adequate to meet the costs which must be incurred by efficiently and economically operated facilities,” is enforceable in an action pursuant to § 1983.
Wilder,
the provision creates an enforceable right unless it [1] reflects merely a congressional preference for a certain kind of conduct rather than a binding obligation on the governmental unit ... or [2] unless the interest the plaintiff asserts is too vague and amorphous such that it is beyond the competence of the judiciary to enforce.
Id. (internal quotation marks and citations omitted). Once it has been determined that an enforceable right exists, the statute must be examined to determine whether “Congress has foreclosed such enforcement of the statute in the enactment itself.” Wright,
This interpretation, which gives substantive teeth to the reimbursement provision contained in the Medicaid Act, was criticized by the dissenting justices. See id.,
Turning to the second prong of the inquiry, the majority concluded that Congress had not foreclosed enforcement of the Medicaid Act under section 1983. It found that “the Act [did] not expressly preclude resort to § 1983”; nor did it “create[] a remedial scheme that is ‘sufficiently comprehensive ... to demonstrate congressional intent to preclude the remedy of suits under § 1983.’ ” Id. at 521,
B. Suter v. Artist M.
Two years later, the Court again addressed the availability of the section 1983 remedy. In Suter v. Artist M., — U.S. -,
[I]n each case, reasonable efforts will be made (A) prior to the placement of a child in foster care, to prevent or eliminate the need for removal of the child from his home, and (B) to make it possible for the child to return to his home....
Id., at -,
In examining the nature of the obligations created by the Child Welfare Act, the Court observed that
[t]he legitimacy of Congress’ power to legislate under the spending power ... rests on whether the State voluntarily and knowingly accepts the terms of the “contract.” ... [I]f Congress intends to impose a condition on the grant of federal moneys, it must do so unambiguously.
Id., at -,
The Court began its inquiry with the statutory language — “reasonable efforts will be made” — and noted that it was “mandatory in its terms.” Id., at -,
Here, the terms of § 671(a) are clear: “In order for a State to be eligible for payments under this part, it shall have a plan approved by the Secretary.” Therefore the [Child Welfare] Act does place a requirement on the States, but that requirement only goes so far as to ensure that the State have a plan approved by the Secretary which contains the 16 listed features.
Id. (footnote omitted). Because the State’s sole obligation was to submit a plan for the Secretary’s approval, the Court concluded that section 1983 could not be invoked.
In so holding, the Court emphasized that each .statute is to be interpreted on its own terms. Id., at - n. 8,
in that case we held that the Boren Amendment actually required the States to adopt reasonable and adequate rates, and that this obligation was enforceable by the [health care] providers. We relied in part on the fact that the statute and regulations set forth in some detail the factors to be considered in determining the methods for calculating rates.
Id., at -,
In foreclosing private enforcement of the Child Welfare Act’s “reasonable efforts” clause, the Court noted that the Act contained alternative mechanisms for its enforcement. These included the provisions, in subsection 671(b), that allowed the Secretary
to reduce or eliminate payments to a State on finding that the State’s plan no longer complies with § 671(a) or that “there is a*610 substantial failure” in the administration of a plan such that the State is not complying with its own plan.
Id,., at -,
C. Private Enforcement of the McKinney Act
In applying this jurisprudence to the McKinney Act, the first question to ask is whether the statute was intended to benefit persons such as appellants’ children. See Wilder,
Section 11432(f) of the McKinney Act provides:
No State may receive a grant under this section unless the state educational agency submits an application to the Secretary at such time, in such manner, and containing or accompanied by such information as the Secretary may reasonably require.
42 U.S.C. § 11432(f) (1988). The regulations issued by the Secretary stipulate that a State may not begin to obligate funds received pursuant to a federal grant until the later of the two following dates: “[t]he date that the State plan is mailed or hand delivered to the Secretary in substantially approvable form” and “[t]he date that the funds are first available for obligation by the Secretary.” 34 C.F.R. § 76.703(a)(1) & (2). The regulations further stipulate that a State
shall comply with the State plan and applicable statutes, regulations, and approved applications, and shall use Federal funds in accordance with those statutes, regulations, plan, and applications.
Id. at § 76.700. Here, of course, the “applicable statute[]” is the McKinney Act, and the obligations it imposes on participating States are clear. The Act requires that grants provided by the Secretary be used, inter alia, “to prepare and carry out the State plan,” 42 U.S.C. § 11432(e)(4), and that “[e]ach plan ... assure ... that local educational agencies within the State will comply with the requirements of paragraphs (3) through (9),” id. at § 11432(e)(2).' Paragraphs (3) through (9) in turn provide highly specific instructions for meeting a variety of needs of homeless children and youths. This structure markedly contrasts with that of the Child Welfare Act, with which the Suter Court was concerned. Although both Acts describe in detail the contents of the plan a participating State must adopt, only the McKinney Act provides specific directions for the plan’s execution. Compare 42 U.S.C. § 671(a) with 42 U.S.C. § 11432(e). It is this distinction that is ignored by our dissenting colleague, who concludes that “the genuine statutory duty of a recipient state under the McKinney Act is to prepare and carry out a plan, designed to achieve nine designated goals.” Dissent at 2 (internal quotation marks omitted, emphasis in original). While we agree that the McKinney Act requires the State to submit such a plan, it also differs significantly from the Adoption Act in that paragraphs (3) through (9) of subsection
[t]he local educational agency of each homeless child and each homeless youth shall [assign the child or youth to a school which] is in the child’s best interest or the youth’s best interest.... In determining the best interests of the child or youth ... consideration shall be given to a request made by a parent regarding school selection.
Id. § 11432(e)(3) (emphasis added). Succeeding paragraphs stipulate that “[e]ach homeless child shall be provided services comparable to services offered to other students in the school ...,” id. § 11432(e)(5) (emphasis added), and that records ordinarily kept by the school “shall be maintained” so as to be available when the child enters a new school district. Id. § 11432(e)(6) (emphasis added). Furthermore,' they provide that
[e]ach local educational agency serving homeless children' or youth that receives assistance under this subehapter shall coordinate with local social services agencies, and other agencies or programs providing services to such children or youth and their families[,]
id. § 11432(e)(7) (emphasis added), and “shall designate a homelessness liaison.” Id. § 11432(e)(8) (emphasis added). We read this language as “mandatory rather than hortatory.” This interpretation is supported by paragraph (2), which describes paragraphs (3) through (9) as “requirements” rather than options. Id. § 11432(e)(2).
In addition to the mandatory obligations listed in those seven paragraphs, the McKinney Act also provides that
[t]he Coordinator of Education of Homeless Children and Youth established in each State shall ... once every 2 years, gather data on the number and location of homeless children and youth in the State ... develop and carry out the State plan ... [and] facilitate coordination between the State education agency, the State social services agency, and other agencies providing services to homeless children and youth and their families.
Id. § 11432(d). The language of these provisions is sufficiently clear to put the States on notice of the obligations they assume when they choose to accept grants made under the Act. Pennhurst State School and Hospital v. Halderman,
Moreover, as we noted earlier, the Secretary has promulgated regulations stipulating that for state-administered programs like the McKinney Act, “[a] State ... shall comply with the State plan and applicable statutes, regulations, and approved applications, and shall use Federal funds in accordance with those statutes, regulations, plan, and applications.” 34 C.F.R. § 76.700. Contrast Suter, — U.S. at -,
Finally, the McKinney Act contains no statutory mechanisms for the 'administrative enforcement of the beneficiaries’ rights, suggesting that Congress did not intend to foreclose a private cause of action that is enforceable under section 1983. See, Suter,
This argument asserts, in essence, that the judiciary is incapable of determining the “best interests” of children, just as the plaintiffs in Wilder argued that the judiciary was incapable of determining what constitutes “reasonable and adequate” hospital rates. See Wilder,
That the [Boren] [A]mendment gives the States substantial discretion in choosing among reasonable methods of calculating rates may affect the standard under which a court reviews whether the rates comply with the amendment, but it does not render the amendment unenforceable by a court. While there may be a range of reasonable rates, there certainly are some rates outside that range that no State could ever find to be reasonable and adequate under the Act. Although some knowledge of the, hospital industry might be required to evaluate a State’s findings with respect to the reasonableness of its rates, such an inquiry is well within the competence of the Judiciary.
Id. at 519-20,
The obligations imposed by the McKinney Act involve, for the most part, the exercise of judgment by a local educational agency. A court, however, may discern whether the criteria or procedures adopted by the agency are reasonably designed to aid it in making the school placement decision. Moreover, we have little doubt that the court would also have the competence to determine whether the District had complied with its obligation to assign a particular homeless child to a school that was in his best interests.
In recent years, the courts of this circuit have frequently been called upon to determine whether the District of Columbia public school system had met a comparable obligation under the Education for the Handicapped Act, 20 U.S.C. §§ 1400 et seq. (1988), which requires participating States to assure handicapped children of an “appropriate education.” See, e.g., Kerkam v. Superintendent, D.C. Public Schools,
We conclude, from the foregoing, that section 11432(e)(3) of the McKinney Act confers enforceable rights on its beneficiaries and that appellants may invoke section 1983 to enforce those rights.
III. Conolusion
For the foregoing reasons, we reverse the district court’s order granting the District’s motion to dismiss and remand the case for further proceedings in accordance with this opinion.
So ordered.
Dissenting Opinion
dissenting:
I respectfully dissent from the court’s conclusion that the McKinney Homeless Assistance Act, 42 U.S.C. § 11301 et seq. (1988), creates a federal right enforceable under 42 U.S.C. § 1983. I do so recognizing that the question is a close one, though in my mind it should not be. That is, I agree with Justice Powell that the Supreme Court in Maine v. Thiboutot,
Although the Supreme Court has counseled us that in the post-Thiboutot framework of § 1983 interpretation “each statute must be interpreted by its own terms,” Suter v. Artist M., — U.S. -, - n. 8,
As the majority notes, the Suter decision was based at least in part upon the conclusion “that the [statutory] directive to use reasonable efforts was so open-ended, and the resulting state discretion so broad, that judicial enforcement was an impossibility.” Maj. op. at 609. That is to say, whatever other grounds may exist for denying judicial enforcement to statutorily-created federal “rights” under § 1983, the “judicial enforcement” of such rights “requires that they not be overly Vague and amorphous.’ ” Maj. op. at 612 (quoting Wilder,
Certainly the majority is correct that in other circumstances courts must determine the “best interests” , of particular children. However, the usual exercise of judicial wisdom in pursuit of the “best interests” of a particular child is just that — a particularized one. Here, the courts would be called upon to make programmatic decisions not as to the best interest of a particular child, but as to how a grant-augmented state program should be designed to meet the needs of groups of particularized children. The programmatic operation of a state agency is not within the judicial competence.
Finally, it appears to me that the genuine statutory duty of a recipient state under the McKinney Act is to “prepare and carry out” a plan, “designed to” achieve nine designated goals. 42 U.S.C. §§ 11432(c)(4) & 11432(e)(1). Given the amorphousness of the “designed to” mandate, I do not see how this differs in a controlling way from the Adoption Act construed in Suter. There the Court held that statute did not create a right enforceable under § 1983 because it did not “placet ] any requirement for state receipt of federal funds other than the requirement that the State submit a plan to be approved by the Secretary.” Suter, — U.S. at -,
In my view, the district court in the present case properly deemed Enter rather than Wilder controlling. I would therefore affirm.
