Lead Opinion
In this action based on 42 U.S.C. § 1983, the district court found that officials of the Florida Department of Health and Rehabilitative Services were failing to furnish Medicaid assistance with “reasonable promptness” to eligible developmentally disabled individuals, and thus were violating a provision of the Medicaid Act, 42 U.S.C. § 1396(a)(8).
I. BACKGROUND
In March 1992, the plaintiffs-appellees-Medicaid-eligible, developmentally disabled (ie., mentally retarded) individuals who had been placed on waiting lists for entry into intermediate care facilities for the developmentally disabled (“ICF/DD” or “ICF/MR”) — instituted this lawsuit pursuant to section 1983, claiming that the defendants-appellants were causing unreasonable delays regarding the provision of ICF/DD services in violation of section 1396a(a)(8) and the Fifth and Fourteenth Amendments to the United States Constitution. The appellees’ class-action complaint alleged that they were not “receiving the therapies, training and other active treatment to which they are entitled by virtue of [their] eligibility for a residential placement in an [ICF].” The complaint further averred that most of the appel-lees had been waiting for “over five years” for Medicaid services and were “lan-guishfing] without the training and therapies they so desperately need.”
Amidst extended pre-trial proceedings, the appellees moved for class certification, and both sides moved for summary judgment.
Section 1396a(a)(8) of the Medicaid [A]ct, specifically the reasonable promptness clause, is enforceable under 42 U.S.C. § 1983. “Medical assistance under the plan” has been defined as medical services. The [S]tate is obliged to furnish medical services, however, only to the extent that such placements are offered in the Federal Health Care Financing Agency (“HCFA”) approved State plan. Once a state electsto provide a service, that service becomes part of the state Medicaid plan and is subject to the requirements of Federal law.
At oral argument on this issue, Defendants conceded that Florida’s [HCFA] State approved plan does provide for placement in ICF/MR facilities. Further, Defendants have not disputed the facts alleging the [Sjtate’s failure to conform with the provisions set forth in that statute, which the Court construes as an admission of unreasonable delays in placing developmentally disabled persons into ICF/MR facilities.
(Citations and footnote omitted.)
On August 26, 1996, a magistrate judge signed a report recommending that the district court grant the appellees’ motion to certify as a class “all those developmentally disabled persons who have not received prompt [ICF/DD] placement.” After conducting a hearing on August 28, 1996, the district court entered final judgment that day, ordering that the appellants “shall, within 60 days of the date of this Order, establish within the State’s Medicaid Plan a reasonable waiting list time period, not to exceed ninety days, for individuals who are eligible for placement in ICF/DD.”
On September 3, 1996, the appellants filed their notice of appeal.
II. CONTENTIONS
The appellants challenge the district court’s determination as to liability on four grounds. According to the appellants: (1) the appellees lack standing to bring this lawsuit; (2) recipients of Medicaid services cannot assert a cause of action under section 1396a(a)(8); (3) section 1396a(a)(8) does not give rise to a federal right enforceable under section 1983; and (4) the Eleventh Amendment bars this action. The appellants also contend that the district court abused its discretion in rendering the injunctive relief it imposed.
We find the appellants’ standing argument meritless and unworthy of further discourse.
III. STANDARDS OF REVIEW
We review a district court’s conclusions of law de novo. DeKalb County Sch. Dist. v. Schrenko,
IV. DISCUSSION
A.
Section 1983 imposes liability on anyone who, acting under color of state law, deprives a person of “any rights, privileges, or immunities secured by the Constitution and laws.” 42 U.S.C.A. § 1983 (West Supp. 1997). In Maine v. Thiboutot,
In order to seek redress through § 1983, however, a plaintiff must assert the violation of a federal right, not merely a violation of federal law. We have traditionally looked at three factors when determining whether a particular statutory provision gives rise to a federal right. First, Congress must have intended that the provision in question benefit the plaintiff. Second, the plaintiff must dеmonstrate that the right assertedly protected by the statute is not so “vague and amorphous” that its enforcement would strain judicial competence. Third, the statute must unambiguously impose a binding obligation on the States. In other words, the provision giving rise to the asserted right must be couched in mandatory rather than precato-ry terms.
(Citations omitted.) See also Wilder v. Virginia Hosp. Ass’n,
Section 1396a(a)(8) reads: “A State plan for medical assistance must ... provide that all individuаls wishing to make application for medical assistance under the plan shall have opportunity to do so, and that such assistance shall be furnished with reasonable promptness to all eligible individuals.” 42 U.S.C.A. § 1396a(a)(8) (West Supp.1997) (emphasis added). A corresponding regulation provides that the responsible state agency “must,” among other things, “[f]urnish Medicaid promptly to recipients without any delay caused by the agency’s administrative procedures,” and “[c]ontinue to furnish Medicaid regularly to all eligible individuals until they are found to be ineligible.” 42 C.F.R. § 435.930(a)-(b) (1996). Another regulation states that “[t]he agency must establish time standards for determining eligibility and inform the applicant of what they are.” 42 C.F.R. § 435.911(a) (1996). These periods are not to exceed “[n]inety days for applicants who apply for Medicaid on the basis of disability” or “[f]orty-five days for all other applicants.” 42. C.F.R. § 435.911(a)(1)-(2) (1996). Moreover, the agency “must not use the time standards” as “a waiting period.” 42 C.F.R. § 435.911(e)(1) (1996). It is this panel’s task to determine whether the “reasonable promptness” clause of section 1396a(a)(8) “gives rise to a federal right.”
Preliminarily, we note that this court’s recent decision in Harris v. James did not address the issue at bar. In Harris, the court decided the “narrow issue” of “whether Medicaid recipients have a federal right to transportation which may be enforced in an action under § 1983.”
It may be that each of these statutes creates some federal right;27 similarly, it may be that the transportation regulation is a valid interpretation of each of these provisions under Chevron[, U.S.A., Inc. v. Natural Resources Defense Council, Inc.,467 U.S. 837 ,104 S.Ct. 2778 ,81 L.Ed.2d 694 (1984) ]. However, we do not think these two factors, even if we found both to be true, would add up to a federal right to transportation. In each ease the transportation regulation would be valid not because it reasonably defines the content of rights created by the statutory provisions, as did the regulation in Wright [v. City of Roanoke Redevelopment & Housing Authority,479 U.S. 418 ,107 S.Ct. 766 ,93 L.Ed.2d 781 (1987) ], but only because the regulation furthers the broad objectives underlying each statutory provision. In other words, we do not think that transportation to and from providers is reasonably understood to be part of the content of a right to prоmpt provision of assistance, comparable assistance, or choice among providers. Instead, if the regulation is a valid interpretation of these provisions, it would be because transportation may be a reasonable means of ensuring the prompt provision of assistance, comparable assistance, or choice among providers. Such links to Congressional intent may be sufficient to support the validity of a regulation; however, we think they are too tenuous to support a conclusion that Congress has unambiguously conferred upon Medicaid recipients a federal right to transportation enforceable under section 1983.
As stated above, the first factor for us to address is whether Congress has “intended that the provision in question benefit the plaintiff.” Blessing, at -,
Next, we inquire whether the appellees have “demonstrate[d] that the right assertedly protected by the statute' is not so ‘vague and amorphous’ that its enforcement would strain judicial competence.” Blessing, at -,
We find support for our conclusion in the Supreme Court’s decisions in Wright ánd Wilder. In Wright, residents of lów-income housing projects alleged that their local public housing authority (“PHA”) had overbilled them for their utilities, and thus had violated the Brooke Amendment — which mandated that a low-income family “ ‘shall pay as rent’ a specified percentage of its income” — and implementing regulations that required that “rent” include a “reasonable” amount for the use of utilities.
In Wilder, the question presented was “whether the Boren Amendment to the [Medicaid] Act, which requires reimbursement according to rates that a ‘State finds ... are reasonаble and adequate to meet the costs which must be incurred by efficiently and economically operated facilities,’ is enforceable in an action pursuant to § 1983.”
That the amendment 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.
Wilder,
We also find that the regulations further define the contours of the statutory right to reasonably prompt provision of assistance. See Harris
Suter v. Artist M.,
Indeed, the procedural history of Suter reveals that enforcing the “reasonable efforts” provision of the AACWA would strain judicial competence. In that ease, in March 1990, the district court entered an order enjoining the Illinois Department of Children and Family Services (“DCFS”) from fading to assign a caseworker to each chdd placed in DCFS custody within three working days of the timé'the chdd’s case was first heard in juvende court, and from fading to reassign a caseworker within three working days of the date any caseworker relinquished responsibility for a particular case. Suter,
Federal courts are simply not well-equipped for such undertakings. It is quite evident, however, that “[wjhat constitutes ‘reasonable’ promptness in providing medical assistance is inherently more circumscribed and judicially ascertainable than the concept of ‘reasonable efforts’ in the placement of foster children____” Sobky,
The third factor we address is whether the reasonable promptness clause “unambiguously impose[s] a binding obligation on the States.” Blessing, at-,
Because they have passed the three-factor test, the appellees are entitled to a rebuttable presumption that their statutory right is enforceable under section 1983. Blessing, at --,
In sum, we hold that the appellees have a federal right to reasonably prompt provision of assistance under section 1396a(a)(8) of the Medicaid Act, and that this right is enforceable under section 1983.
B.
The ' Eleventh Amendment provides: “The Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign- State.” U.S.' Const, amend. XI. The Supreme Court has not limited its application of sovereign immunity to the suits described in the text of the Eleventh Amendment. “To respect the broader concept of immunity, implicit in the Constitution, which we have regarded the Eleventh Amendment as evidencing and exemplifying, we have extended a State’s protection from suit to suits brought by the State’s own citizens.” Idaho v. Coeur d’Alene Tribe of Idaho, — U.S.-,-,
To support the district court’s grant of injunctive relief in this case, the appellees rely on the Ex parte Young,
This court’s recent decision in Tallahassee Memorial Regional Medical Center v. Cook,
[D]ue to organizational or funding deficiencies in the state’s medical assistance program, there is an extreme shortage of available spaces at alternative care facilities for ... adolescent psychiatric patients.
Plaintiffs have therefore repeatedly found themselves forced into the posture of retaining and caring for adolescent psychiatric patients after the medical necessity for in-patient, acute care services ceases, because treatment at an alternative facility was medically necessary for the patient, but placement in such an alternative setting was impossible dr greatly delayed. Under these circumstances, the Plaintiffs may not discharge the patients to the home, since they are not medically able to return to such an unsupervised setting.... Thus, the hospitals are forced, through no fault of their own, to retain these patients until placement in an alternative setting is possible.
On retrospective review, [Keystone Peer Review Organization, which is under contract to review the Medicaid claims at issuе,] abides by Medicaid guidelines by denying' Plaintiffs payment for in-patient psychiatric services for adolescents at the point those services are no longer medically necessary. However, Florida’s failure to adopt a provision for payment of inappropriate level of care services causes AHCA to deny any reimbursement to the two hospitals for those “grace days,” regardless of the duration the adolescent patient has to wait before an alternative out-patient setting is available. AHCA, through its denial of reimbursement to Plaintiffs for adolescent psychiatric patient “grace days,” thereby shifts the defieien-cies of the State’s medical assistance program, and the resulting fiscal impact of the same, to the Plaintiff hospitals.
This court also affirmed the prospective injunctive relief entered against the defendant, AHCA:
Defendant AHCA is enjoined from future violations of the Boren Amendment, as set forth herein. AHCA shall adopt for each Plaintiff hospital an interim outpatient reimbursement rate that is reasonable and adequate to meet .the costs of an economically and efficiently run facility. AHCA shall reimburse Plaintiffs in accordance with the existing in-patient rate, or the interim outpatient rate, as dictated by the medical necessity of each individual case. This injunction is to remain in full force and effect until further order of the Court.
The Cook panel, however, correctly vacated on Eleventh Amendment grounds the provisions of the district court’s order that compelled the Florida Legislature to “amend its Medicaid plan to include reimbursement for medically necessary inappropriate level of care services.”
C.
The appellants’ final claim is that the district court abused its discretion in enjoining them to provide the Medicaid services at issue within ninety days. The appellants put forth several arguments in suppоrt of this position.
First, the appellants emphasize" the optional nature of the ICF/DD program. As we have stated, however, “even when a state elects to provide an optional service, that service becomes part of the state Medicaid plan and is subject to the requirements of federal law.” Cook,
Second, the appellants assert that the district court’s enjoinment prevents them from emphasizing the provision of community-based services to developmentally disabled individuals in place of institutional care. The appellants state that in recent years “Florida has emphasized the use of thе home and community based waiver as its principal vehicle for expanding and improving long-term care services to individuals with developmental disabilities.”
Fourth, the appellants argue that the injunction is overly broad. They contend, for example, that “[t]he final judgment was not limited to the inadequacy — lengthy waiting time for placement in ICFs — that produced the alleged injury.” We could not disagree more. The injunction is crafted only toward generating a “reasonable waiting list time period” for eligible individuals. Thus, when the appellants further assert that “[t]he district court should have ... ordered an[ ] end [to] lengthy waiting periods generally, without dictating how the problem was to be corrected,” we find ourselves in complete accord. And, that is what the district court did. See Lewis v. Casey,
Fifth, the appellants argue that the district court abused its discretion because it did not give Florida officials the option of “termi-nat[ing][the] receipt of federal money rather than assuming] unanticipated burdens.” The appellants’ concern here is overstated, as a recipient of federal funds under Spending Clause legislation always retains this option.
[I]n fashioning remedies for violations of Spending Clause statutes by recipients of federal funds, the courts must recognize that the recipient has alternative choices of assuming the additional costs of complying with what a court has announced is necessary to conform to federal law or of not using federal funds and withdrawing from the federal program entirely. Although a court may identify the violation and enjoin its continuance or order recipients of federal funds prospectively to perform then-duties incident to the receipt of federal money, the recipient has the option of withdrawing and hence terminating the prospective force of the injunction.
Guardians Ass’n v. Civil Service Com’n of City of New York,
Finally, the appellants contend that “the relief sought and granted was essentially a political remedy which the district court should have avoided.” This assertion is meritless. “Injunctive relief may, of course, be applied to state officials whose actions derogate federal Medicaid laws____” Smith v. Miller,
For the foregoing reasons, we affirm the judgment of the district court.
AFFIRMED.
Notes
. In 1996, the Florida Legislature redesignated the Department of Health and Rehabilitative Services as the Department of Children and Family Services and established a separate Department of Health. See Fla. Stat. Ann. §§ 20.19, 20.43 (West Supp. 1998).
. Under the ICF/DD program:
Each client must receive a continuous active treatment program, which includes aggressive, consistent implementation of a program of specialized and generic training, treatment, health services and related services ..., that is directed toward—
(i) The acquisition of the behaviors necessary for the client to function with as much self determination and independence as possible; and
(ii) The prevention or decelеration of regression or loss of current optimal functional status.
42 C.F.R. § 483.440(a)(1)(i)-(ii)(1996). The ICF/DD program is restricted to individuals with sufficiently severe mental retardation and related conditions. It is not designed for "generally independent clients who are able to function with little supervision or in the absence of a continuous active treatment program.” 42 C.F.R. § 483.440(a)(2)(1996).
. See also Appellants’ Reply Br. at 2 (appellants "did not dispute the occurrence and length of delays”).
. In December 1992, the district court dismissed defendant Lawton Chiles, the Governor of Florida, and the organizational plaintiffs, the Florida Association of Rehabilitation Facilities, Inc. and United Cerebral Palsy of Florida, Inc., from this lawsuit.
. The court did not reach the appellees’ constitutional claims.
. Subsequent to the filing of the notice of appeal, the district court denied the monetary claims the appellees had pressed against appellants Robert Williams and Gary Clarke.
. The crux of the appellants’ standing claim is that the appellees have not demonstrated any injury resulting from the appellants’ failure to provide Medicaid services in a timely manner. The district court described this argument as "frivolous,” and the appellants' counsel only raised it in passing during oral argument before this court. We agree with the district court that the record reveals "a plethora of facts showing the harm caused to developmentally disabled persons by the State of Florida’s current procedure which allows eligible Medicaid recipients who have been determined to be in need of ICF/DD services to be placed on indefinite waiting lists.”
The plight of appellee Jane Doe 6 is illustrative. Jane is approximately thirty-nine years of age and lives at home with her parents, who are in their mid-to-late seventies and have significant health problems. Jane is severely retarded and has Downs Syndrome. She can walk but, for the most part, cánnot talk, and she is totally dependent upon others for all of her daily life activities. Jаne has been waiting for about ten years for ICF/DD services. The uncontroverted evidence reveals that Jane’s failure to receive these services in anything approaching a timely fashion has caused her to lose several skills and fail to develop others. As to the future, Kathy Whitaker, a qualified mental retardation professional who evaluated Jane, concluded as follows:
Future vision of Jane without training indicates a continued lessening of skills, a lack of motivation, escalated isolation with no opportunities for peer development and contact, and daily lack of meaningful activities to reduce the ineffectual time spent simply listening to the radio, music and doing child-like puzzles. Jane is a person with many, many strengths that will dissolve and are dissolving each day as she is denied [services].
Whitaker’s conclusion went uncontradicted in the district court. "[A] party has standing to seek injunctive relief ... if the party alleges, and ultimately proves, a real and immediate ... threat of future injury.” Church v. City of Huntsville,
. For a detailed discussion of the Supreme Court’s case law in this area, see Harris,
We have, it is true, recognized that even the broad statutory text [of section 1983] does not authorize a suit for every alleged violation of federal law. A particular statutory provision, for example, may be so manifestly precatory that it could not fairly be read to impose a “binding obligation” on a governmental unit, or its terms may be so "vague and amorphous” that determining whether a “deprivation” might have occurred would strain judicial competence. And Congress itself might make it clear that violation of a statute will not give rise to liability under § 1983, either by expresswords or by providing a comprehensive alternative enforcement scheme. But apart from these exceptional cases, § 1983 remains a generally and presumptively available remedy for claimed violations of federal law.'
Livadas,
. Title XIX of the Sоcial Security Act, commonly known as the Medicaid Act, is codified at 42 U.S.C. §§ 1396-1396v.
. Clearly, the appellees have "identif[ied] with particularity the right[] they claim[].” Blessing, at-,
. In footnote 27, the majority stated that it “assume[d] for the sake of argument only that these provisions create some federal right.”
. Judge Kravitch dissented from the reasoning and result of the majority opinion in Harris. See
. We reject the appellants’ contention that "providers of services” are the intended beneficiaries of the reasonable promptness clause. See, e.g., Sobky v. Smoley,
. The Court noted that the Boren Amendment provided "more guidance than the provision at issue in Wright, which vested in the housing authority substantial discretion for setting utility allowances.” Wilder,
. The continuing viability of Wright and Wilder is not in doubt. See Harris,
. We also note that the Suter Court found it "significant” that the AACWA's regulations were "not specific."
. Relying on section 671(a)’s preliminary language that "[i]n order for a State to be eligible for payments under this part, it shall have a plan approved by the Secretary,” the Suter court held that the AACWA did not require states to make reasonable efforts to keep families together, but only that they have Secretary-approved plans pronouncing that such reasonable efforts will be made. See Suter,
. Accord Sobky,
standing alone, creates an enforceable right to medical assistance. It plainly satisfies the first two prongs of the Wilder test because it is intended to benefit the plaintiffs and is mandatory on the States. Furthermore, even though the term "reasonable promptness” is arguably vague, § 1396a(a)(8) is specific and definite in its command that "all eligible individuals" be furnished “medical assistance.” Because § 1396a(a)(8) would be judicially enforceable against a State that refused to provide medical assistance to eligible individuals, the statutory provision plainly satisfies the third prong of the Wilder test. Thus, standing alone, § 1396a(a)(8) confers upon the plaintiffs an enforceable right to medical assistance.
. “The [Ex parte Young ] doctrine is not, however, without limitations. A federal court cannot award retrospective relief, designed to remedy past violations of federal law.” Coeur d'Alene Tribe of Idaho, at-,
. With certain exceptions that will be discussed, the Cook panel affirmed "on the basis of the well-reasoned district court order,” and attached that order as Appendix A to its opinion.
. The Social Security Act “permits States to offer, under a waiver of statutory requirements, an array of home and community-based services that an individual needs to avoid institutionalization." 42 C.F.R. § 441.300 (1996). See 42 U.S.C.A. § 1396n(c) (West Supp.1997); see generally Medicaid Program; Home and Community-Based Services, 46 Fed.Reg. 48,532 (1981). In order to participate in this program, however, states must provide:
Assurance that when a recipient is determined to be likely to require the level of care provided in an ... ICF/MR, the recipient or his or her legal representative will be—
(1) Informed of any feasible alternatives available under the waiver; and
(2) Given the choice of either institutional or home and community-based services.
42 C.F.R. § 441.302(d)(1)-(2)(1996).
We note that at a hearing before the district court on June 10, 1996, the appellants’ counsel admitted that a waiting list also exists under the waiver program because "[t]here is not the money available to fund the program.” Counsel did not mention the extent of the delays..
. This is not surprising given that the appellees’ counsel repeatedly stressed that the appellants should retain complete discretion in determining how to provide ICF/DD services. At the June 10, 1996 hearing, for example, counsel stated that "[w]hat I have asked this Court to db is require of the defendants to comply with section [1396]a(a)(8) of the Medicaid statute and leave it to the defendants as to how they comply.” At another hearing in October 1994, counsel told the magistrate judge:
[T]he services that are needed by these people [the plaintiffs], according.- to -the defendants and, in many cases, according to the plaintiffs, could be provided other than in a[n] [institutional] bed. They could be provided in the people’s homes.
There is something called the waiver program .... [0]ur position to the state has always been, if they want to provide everybody with services so that they don’t need to be taken out of their current housing arrangement — because they will get the physical therapy, the occupational therapy, the other on-call services that are needed, that’s great. There won’t be a lawsuit. - They are always welcome to provide services to people in the manner in which they see fit.
We have filed a lawsuit based on the one federal right which exists, which is the right to [a prompt] ICF/MR placement if you’re Medicaid eligible and meet the criteria. And if — likeanything else — they want to entice people away hy offering some other package of services, that's great.
. In addition, and unlike the circumstances in Casey, the appellees in this case have certainly established that the appellants' ongoing violation of federal law is "systemwide.'' See Casey, at -& n. 7,
Concurrence Opinion
concurring:,
I concur in Chief Judge Hatchett’s excellent opinion in this case. I write separately to explain additionally why, in my view, the Supreme Court’s decision in Suter v. Artist M.,
In Suter, the Supreme Court held that plaintiffs could not enforce the reasonable efforts provision of the Adoption Assistance and Child Welfare Act of 1980 (“AACWA”), 42 U.S.C. § 671(a)(15). That section provides, in relevant part, that “[i]n order for a State to be eligible for payments under this part, it shall have a plan approved by the Secretary which ... provides that, in 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.”
In concluding that plaintiffs could not enforce the reasonable efforts provision,- Chief Judge Rehnquist’s opinion for the Court in Suter emphasized two, points. First, the Court emphasized that, unlike the substantive right to reasonable rates at issue in Wilder v. Virginia Hospital Ass’n,
Second, the Suter Court noted that, unlike the Medicaid Act provision in Wilder, the term “reasonable efforts” was left undefined by Congress. “No further statutory guidance is found as to how ‘reasonable efforts’ are to be measured.” Id. at 360,
In contrast, § 1396a(a)(8) more closely resembles the Boren Amendment at issue in Wilder than the AACWA provision in Suter. Section 1396a(a)(8) not only requires States, as a condition of federal funding, to have a plan for medical assistance providing that such assistance will be provided with reason.able promptness, it also imposes a substantive duty on States to provide medical assistance with reasonable promptness. E.g., Blanco v. Anderson,
