Doe v. PfrommerDoe v. Pfrommer
- Reporters:
- , ,
- Before:
- Seybert, Feinberg, Calabresi
SEYBERT, District Judge:
Plaintiff-appellant John Doe brings this appeal of the district court‘s grant of summary judgment in favor of defendants-appellees Paul Pfrommer, individually and in his official capacity as Director of the Rochester Office of Vocational Educational Services for Individuals with Disabilities (“VESID“), and Lawrence Gloeckler, individually and in his official capacity as Deputy Commissioner of the New York State VESID office. Doe brought this action pursuant to
Upon careful consideration of the briefs and arguments raised in this appeal, we reverse in part and affirm in
FACTUAL BACKGROUND
Plaintiff-appellant John Doe suffers from personality disorder and dysthymia and seeks to obtain employment as a writer/editor or word processor either on the job or at an in-home position. He holds a graduate degree in technical journalism. Prior to 1990, Doe was only able to obtain intermittent employment because his mental impairments limited his ability to accept authority, appear on time for work and otherwise perform in a manner such that he could prepare for or retain employment.
In August 1990, the Rochester office of VESID began to provide Doe with certain rehabilitation vocational services implemented under Title I of the Rehabilitation Act of 1973. On October 3, 1990, Pfrommer, through one of his vocational counselors, found Doe eligible for VESID benefits. On October 8, 1990, the Rochester VESID office created an Individualized Written Rehabilitation Program (an “IWRP“) for Doe with a vocational goal of writer and editor. At around that same time, VESID also contracted for an independent psychological assessment of Doe. Dr. Santo Bentivegna concluded that Doe could work as a technical writer in “some sort of domain where he would be allowed to work in an autonomous fashion.”
Thereafter, between November 26, 1990 and May 6, 1991, Doe was further provided with vocational counseling through the Job Hunt Club, which provided group sessions with other VESID clients. Near the end of this period, Doe also received several sessions of individual vocational counseling from
In March 1991, the Rochester VESID office also contracted with WorkGuide, a transitional employment program in Rochester that arranged for trial work opportunities for VESID clients. WorkGuide was contracted to provide Doe with vocational rehabilitation services, including weekly group counseling and some individual vocational counseling. Doe‘s IWRP was also amended to reflect WorkGuide‘s involvement and to add an additional work goal of word processor. Between March 21, 1991 and May 2, 1991, Doe met five times in pre-placement sessions with WorkGuide counselor Cynthia Pecham Goodenberger.
WorkGuide then arranged to have Doe placed in a temporary work assignment at the United Way from May 6, 1991 to November 12, 1991. After joining the United Way, Doe ceased meeting individually with Goodenberger, although he continued to participate in his group counseling sessions with WorkGuide. Despite WorkGuide‘s general policy that supervisors will be provided with explanations as to the VESID client‘s health status and special needs, Doe‘s supervisor at United Way never received such explanation.
In Doe‘s first performance evaluation at United Way, he received excellent reviews and it was noted that he got along with others. On his second performance evaluation dated July 22, 1991, Doe‘s overall evaluation was good, but problem areas included tardiness and working on outside projects during the day. Despite these problems, Doe did not receive any additional counseling from VESID, nor was his IWRP modified. In fact, just a few days later, on July 25, 1991, the United Way terminated Doe after he broke out in a loud phone argument with the owner of a parking lot over a disputed towing fee for Doe‘s car. Doe admitted that he also wrote to the owner of the parking lot regarding the dispute on United Way letterhead. The next day, on July 26, 1991, Ms. Acunis (Doe‘s VESID counselor) advised Doe that she would be recommending that his VESID case be closed once it received WorkGuide‘s final report. WorkGuide then terminated its involvement with Doe on August 1, 1991.
On August 9, 1991, Doe met with defendant-appellee Paul Pfrommer to discuss VESID‘s decision to close his case. On August 23, 1991, Doe then formally wrote to Pfrommer requesting reinstatement of his VESID services. On September 17, 1991, VESID sent Doe a letter explaining that his benefits had been closed because his medical condition interfered with carrying out the vocational plan. Prior to terminating his benefits, VESID did not discuss the closure of Doe‘s case with him because the closure had been directly discussed with and agreed to by Pfrommer. The termination letter further indicated that Doe could reapply for benefits if his mental health problems improved.
Doe appealed this decision by letter dated October 14, 1991 to Pfrommer, requesting that vocational services be reinstated pending his appeal. This request was reiterated to Pfrommer in a November 19, 1991 telephone call. In addition, in December 1991, Doe‘s treating psychiatrist, Dr. John Schubmehl, informed Doe‘s advocate that Doe might be successful in a supportive work environment if he had a job coach. Pfrommer denied this request and indicated that Doe could not receive any vocational rehabilitation services until his doctor indicated that he had gained insight into appropriate work behavior.
On March 3, 1992, Doe requested an administrative review and a fair hearing on his appeal. On June 3, 1992, Pfrommer issued an administrative review decision that again denied Doe‘s request for vocational rehabilitation services. Thereafter, Doe‘s fair hearing was held before Impartial Hearing Officer Subagh Winkelstern on June 23, 1992. At the hearing, Pfrommer stated that his decision was based on the competing needs of the taxpayer and the employers with whom VESID needed to foster good relations and that at this time only, Doe was not ready to be placed in employment because of his behavior patterns. On September 2, 1992, the hearing officer issued a decision
Doe then appealed the hearing officer‘s decision to Gloeckler on September 10, 1992 and requested that his “status quo” rights be maintained during this period. Gloeckler then issued a letter dated September 22, 1992, which declined to review the hearing officer‘s decision and advised Doe to pursue further action through the judicial system.
In February 1993, Doe then filed the instant action, which raised seven claims. The first two claims asserted causes of action under
After filing the instant complaint, VESID informed Doe in April 1994 that it would reconsider an application for VESID services without first requiring him to show improved insight into his behavior. Doe then filed an application for VESID services on May 25, 1994, seeking vocational rehabilitation services in connection with a supported work placement or home employment as a writer/editor or word processor position. At that time, Doe specifically requested a job coach and psychological counseling. Although the record is not clear as to any subsequent developments on this issue, a footnote in Judge Scullin‘s decision remarks that the defendants have informed plaintiff that he is eligible for a new IWRP and rehabilitative services.
I. DOE‘S TITLE I CLAIMS
Title I of the Rehabilitation Act of 1973 authorizes grants to assist states in helping handicapped individuals prepare for and engage in gainful employment.
In the present case, there are three VESID decisions under scrutiny: (1) the failure to provide Doe with an adequate IWRP; (2) the outright termination of Doe‘s VESID benefits; and (3) the failure to provide “status quo” benefits pending the appeal of the termination of Doe‘s benefits. The district court dismissed all three claims as discussed below.
A. Doe‘s Inadequate IWRP Claim
With regard to Doe‘s challenge to the substance of his IWRP, the district court dismissed this claim on the grounds that Doe failed to exhaust his administrative remedies. The district court determined that the explicit statutory language of
In Patsy v. Board of Regents, 457 U.S. 496, 102 S.Ct. 2557, 73 L.Ed.2d 172 (1982), the Supreme Court held that “exhaustion of state administrative remedies should not be required as a prerequisite to bringing an action pursuant to
Of course, there are exceptions to this rule. In Heck v. Humphrey, 512 U.S. 477, 483, 114 S.Ct. 2364, 2370, 129 L.Ed.2d 383 (1994), the Supreme Court noted that ”
B. Termination of Doe‘s VESID Benefits
Doe also appeals the district court‘s decision granting summary judgment in favor of the defendants on his claim that his VESID benefits were improperly terminated. The district court granted summary judgment on the grounds that the doctrine of collateral estoppel barred redetermination of the factual issue of whether Doe was capable of
In the present case, after Doe‘s VESID benefits were terminated, he requested and received a fair hearing before an Administrative Law Judge (“ALJ“). The ALJ decided that the termination of Doe‘s services was proper because there was no reasonable expectation that plaintiff could achieve a vocational objective. Plaintiff argued, however, that had VESID allowed an amendment of his IWRP, additional services and training could have enabled him to achieve a vocational objective.2 The district court did not reach the merits of this claim, and instead granted summary judgment to defendants on the grounds that the ALJ‘s determination gave preclusive effect to the propriety of the termination of plaintiff‘s VESID benefits.
In University of Tennessee v. Elliott, 478 U.S. 788, 106 S.Ct. 3220, 92 L.Ed.2d 635 (1986), the Supreme Court expressly found that issue preclusion based on unreviewed state agency determinations is appropriate in
Under New York law, issue preclusion (collateral estoppel), applies when the identical issue necessarily must have been decided in the prior action and will be decisive in the present action and the party to be precluded from relitigating the issue must have had a full and fair opportunity to contest the prior determination. Juan C. v. R.C. Cortines, 89 N.Y.2d 659, 667, 679 N.E.2d 1061, 1065, 657 N.Y.S.2d 581, 585 (1997) (citation omitted). When the doctrine of collateral estoppel is to be applied to the determinations of administrative agencies, New York courts additionally require the agency‘s determination be “quasi-judicial” in character rather than legislative. Long Island Lighting Co. v. Imo Indus., Inc., 6 F.3d 876, 885 (2d Cir.1993) (citations omitted). Under state regulations at the time of these incidents, the fair hearing was specifically deemed “quasi-judicial.” 8 N.Y.C.R.R. § 247.1(b)(5). As to the other elements, Judge Scullin determined that the issue of whether plaintiff‘s VESID benefits should have been terminated was identical to the issue determined by the ALJ, it was actually litigated and actually decided and that plaintiff had a full and fair opportunity to litigate
Doe argues that it was reversible error for the district court to sua sponte raise the collateral estoppel argument because it is an affirmative defense under
Although the district court raised the issue of collateral estoppel sua sponte, this decision does not require reversal. In Salahuddin v. Jones, 992 F.2d 447 (2d Cir.), cert. denied, 510 U.S. 902, 114 S.Ct. 278, 126 L.Ed.2d 229 (1993), for example, we held that the failure of a defendant to raise res judicata does not deprive a court of the power to dismiss a claim on that ground. We noted that “[w]hile that or similar defenses are ‘ordinarily’ not to be recognized when not in the answer, ... no absolute bar to the consideration of such claims exists.” Id. at 449 (citing Davis v. Bryan, 810 F.2d 42, 44 (2d Cir.1987)); but cf. Bryan, 810 F.2d at 45 (reversible error for court to sua sponte raise affirmative defense of expiration of statute of limitations in deciding motion for summary judgment). In Salahuddin, examining the related doctrine of res judicata, the strong public policy in economizing the use of judicial resources by avoiding relitigation favored the court‘s decision to sua sponte consider the issue. Likewise, in this case, strong public policy favors giving preclusive effect to the ALJ‘s factual determinations. Therefore, the decision of the district court to apply collateral estoppel was not in error.
Plaintiff argues in the alternative, however, that the Supreme Court‘s decision in Elliott does not preclude legal review of plaintiff‘s claim that the defendants improperly terminated his IWRP. Currently, this circuit has not taken a position regarding the split in the circuits as to whether to give preclusive effect to the unreviewed legal determinations of state administrative decisions. See DeSario, 139 F.3d at 86. The issue need not be decided at this juncture either as Doe has failed to state a cognizable
With respect to the termination of his VESID benefits, Doe, in his complaint and on appeal, has challenged solely whether “VESID had shown ‘beyond any reasonable doubt’ that he was not capable of achieving a vocational objective pursuant to 8 N.Y.C.R.R. § 247.10(f)(3).” As mentioned previously, when the ALJ made the determination as to plaintiff‘s VESID benefits, there was no federal requirement of proof beyond any reasonable doubt that the vocational objective could not be achieved. Doe‘s challenge, therefore, does not focus on any conflict between the defendants’ policies with federal regulations. Nor does this aspect of his appeal focus on any failure to comply with federal statutes or regulations. Rather, Doe‘s concern lies elsewhere-that VESID is not following its own regulations.
We have previously held in other contexts that a state authority‘s failure to comply with its own statutory regulations does not facially implicate an interest secured by the laws of the United States in order to assert a
In keeping with this latter holding, not too long ago we addressed the issue of the enforceability via
In this case, however, Doe has failed to point to any violation of a specific federal requirement in Title I with regard to the procedure for terminating his VESID case. Quite to the contrary, Doe asks for a de novo review of the record to determine whether VESID was able to show that there was no reasonable doubt about Doe‘s ability to benefit from additional vocational service in September 1991. Thus, while
C. Denial of Doe‘s “Status Quo” Benefits
This brings us to Doe‘s final challenge to VESID‘s conduct, purportedly under Title I, that the district court erred in determining that there was no jurisdictional basis for the court to remedy defendants’ failure to maintain Doe‘s services during his administrative appeals. Judge Scullin declined to exercise jurisdiction over plaintiff‘s claim that he was not provided with “status quo” vocational benefits during the pendency of his fair hearing determination. The ALJ had previously ruled that plaintiff was improperly denied these rights, and Judge Scullin found that since Doe was not aggrieved by the ALJ‘s decision, enforcement of that decision had to proceed in state court.
Plaintiff argues that the issue of his “status quo” rights was a question of federal law which the court was required to entertain. At the time of Doe‘s appeal, however, there was no federal requirement to provide “status quo” benefits.3 As discussed in connection with plaintiff‘s termination of benefits claim, Doe alleges only that the state did not comply with its own state regulations regarding “status quo” benefits provided under 8 N.Y.C.C.R.R. § 247.1(k). Although the district court did not appear to consider this aspect of Doe‘s claim, we hold that Doe has failed to assert a cognizable
II. PLAINTIFF‘S DISABILITY DISCRIMINATION CLAIMS
Plaintiff also raises disability discrimination claims under
Under Title II of the ADA, “no qualified individual with a disability shall, by reason of such disability, be excluded from participation in or be denied the benefits of the services, programs, or activities of a public entity, or be subjected to discrimination by any such entity.”
At the outset, on their face, the court notes that Doe‘s discrimination claims do not draw their substance from any allegedly discriminatory animus against the disabled, either under a disparate treatment or disparate impact theory. Such an argument would be beyond tenuous given VESID‘s sole purpose in assisting the disabled. Rather, his challenge derives from VESID‘s failure to provide him with tailored vocational services, which he terms as “reasonable accommodations,” because of the particular needs of his disability. While such particularized treatment among the many services provided by VESID to the disabled may be required under Title I, it is not necessarily required under the anti-discrimination provisions of the Rehabilitation Act, or by implication, the ADA. See Flight v. Gloeckler, 68 F.3d 61, 64 (2d Cir.1995) (“challenges to the allocation of resources among the disabled under the Rehabilitation Act are disfavored“). In reviewing Doe‘s discrimination claims, therefore, it is important to bear in mind that the purposes of such statutes are to eliminate discrimination on the basis of disability and to ensure evenhanded treatment between the disabled and the able-bodied. See Southeastern Comm. College v. Davis, 442 U.S. 397, 410, 99 S.Ct. 2361, 2369, 60 L.Ed.2d 980 (1979);
In order to establish a violation of
Initially, Doe is correct to the extent that reasonable accommodations are required in the provision of public benefits under the ADA and in enabling handicapped individuals to participate in federally funded programs under the Rehabilitation Act. Under the ADA, Congress has defined “qualified individual with a disability” as an individual with a disability “who, with or without reasonable modifications to rules, policies, or practices ... meets the essential eligibility requirements for the receipt of services or the participation in programs or activities provided by a public entity.”
In the context of federal or public programs directed specifically at the disabled, however, it is difficult to apply the traditional analysis for determining whether an applicant meets the “otherwise qualified” prong of his prima facie case. Cf. United States v. University Hosp., 729 F.2d 144, 156 (2d Cir.1984) (“the phrase [otherwise qualified] cannot be applied in the comparatively fluid context of medical treatment decisions without distorting its plain meaning“). For instance, the Supreme Court has held that under the Rehabilitation Act, an “otherwise qualified” person is one who is able to meet all of the programs’ requirements in spite of his handicap. Davis, 442 U.S. at 406, 99 S.Ct. at 2367. As such, in this case, the district court ruled that plaintiff was not “otherwise qualified” because he could not show that he was eligible for VESID benefits despite his handicap. Rather, the only reason he was eligible was because of his handicap. See also Mallett, 130 F.3d at 1257 (because plaintiff would not have been eligible for Title I benefits without his handicap, he was not “otherwise qualified” for purposes of
We have previously recognized that where the handicapping condition is related to the benefit provided, it will rarely, if ever, be possible to say with certainty that a particular decision was “discriminatory.” University Hosp., 729 F.2d at 157. As noted by the Supreme Court in Alexander, “the question of who is ‘otherwise qualified’ and what actions constitute ‘discrimination’ under [§ 504] would seem to be two sides of a single coin; the ultimate question is the extent to which a grantee is required to make reasonable modifications in its programs for the needs of the handicapped.” 469 U.S. at 299 n. 19, 105 S.Ct. at 719 n. 19. The appropriate focus in the case before us, therefore, is not whether Doe is “otherwise qualified” for VESID benefits, but the extent to which the defendants are required by the anti-discrimination statutes to modify their programs to meet all of Doe‘s needs as a disabled individual.
Reaching this “ultimate question,” the court finds that the “reasonable modifications” requested by the plaintiff are not required under the ADA or the Rehabilitation Act. As discussed previously, the central purpose of the ADA and
Likewise, in this case, what Doe ultimately seeks to challenge is not illegal discrimination against the disabled, but the substance of the services provided to him through VESID. To provide the modifications he seeks would not serve the purpose of leveling the playing field with respect to the benefits under VESID available to the non-handicapped. Accordingly, we affirm the district court‘s grant of summary judgment on plaintiff‘s claims for discrimination under
CONCLUSION
For the foregoing reasons, we affirm the district court‘s grant of summary judgment on Doe‘s claims for the termination of his VESID benefits, the failure to provide “status quo” benefits pending his appeal and for discrimination under