EDUCATIONAL SERVICES, INC., A Maryland Corporation doing
business as International Montessori Society and
Lee Havis, Appellants,
v.
MARYLAND STATE BOARD FOR HIGHER EDUCATION; Seven (7)
Members of the Maryland State Board for Higher Education, in
their official capacities: Richard R. Kline; J. Harrison
Ager; Lucy Keker; Thomas Maddux; Mary L. Nock; Louis
Randall; Gertrude Crist; Sheldon Knorr, Commissioner,
Maryland State Board for Higher Education, Joseph Durham,
Staff Member, Maryland State Board for Higher Education,
Robert Rogers, Staff Member, Maryland State Board for Higher
Education, Clarence Baseman, Staff Member, Maryland State
Board for Higher Education, Maryland State Board of
Education, David Hornbeck, Superintendent of
Schools--Maryland State Board of Education, Appellees.
No. 82-1098.
United States Court of Appeals,
Fourth Circuit.
Argued March 9, 1983.
Decided June 23, 1983.
Lee Havis, Silver Spring, Md., for appellants.
Ellen M. Heller, Asst. Atty. Gen., Baltimore, Md. (Stephen H. Sachs, Atty. Gen. of Maryland, Susan B. Blum, Susan J. Mathias, Asst. Attys. Gen., Judith A. Wood, Staff Atty., Baltimore, Md., on brief), for appellees.
Before WINTER, Chief Judge, ERVIN, Circuit Judge, and ALDRICH,* Senior Circuit Judge.
HARRISON L. WINTER, Chief Judge:
Faced with a broad-ranging and intricate constitutional challenge to Maryland's certification process governing the operation of a private teacher training school, the district court abstained, dismissing thе suit. Plaintiffs appeal, contending principally that this suit is not among the various situations in which abstention is warranted. We agree. Plaintiffs also contend that they were entitled to a default judgment. Although we affirm the district court's denial of plaintiffs' motion for default judgment, we reverse the judgment of dismissal and remand to the district court to allow the case to proceed. We do not pass upon plaintiffs' contention that they are entitled to interim injunctive relief.
I.
This suit stems from efforts by Lee Havis, the owner аnd executive director of co-plaintiff Educational Services, Inc., to obtain a certificate of approval from the Maryland State Board for Higher Education (Board) for the operation of a post-secondary teacher training school under the name International Montessori Society (IMS).1 Havis, who also owns a private tutoring school named Capital Tutoring, Inc., first applied for the Board's certificate in February, 1980. After extensive administrative review, the Bоard, on July 2, 1981, affirmed as final the consistent denial of a certificate of approval for operation of the school. Havis thus unsuccessfully exhausted all administrative remedies.
On September 28, 1981, Havis pro se brought this action seeking declaratory and injunctive relief under 42 U.S.C. Sec. 1983, alleging the denial of First and Fourteenth Amendment rights in the Board's2 refusal to certify the IMS. Although couched in language invoking a variety of constitutional provisions, at bottom Havis alleges two principal theories of unconstitutional action. His principal claim is that the certification powers delegated to the Board under Secs. 12-201 et seq., Ann. Code of Maryland, Education (1982 Cum.Supp.), permit the Board unconstrained discretion to deny certification to unconventional or controversial applicants.3 Havis's second major contention is that the statutory exemption for religious non-public "noncollegiate educational" institutions found in Sec. 2-206(e)(4) of the Education Article violates the Establishment Clause because secular non-public schools such as Capital Tutoring remain fully subject to Board certification.4
On the basis of these allegations and supporting affidavits, Havis moved for a preliminary injunction against enforcement of the certifications laws against him. The Board in turn moved the district court to abstain from the exercise of federal question jurisdiction and to dismiss the suit.
Granting the Board's motion, the district court first concluded that the federal constitutional questions rаised by Havis could be avoided by state court interpretation of the statutes and regulations called into question, and that the interpretation of those statutes and regulations was unsettled. As a consequence, the district court held the abstention doctrine enunciated in Railroad Commission of Texas v. Pullman Co.,
II.
The cases recognize several doctrines of abstention.6 In considering the propriety of abstention in this case, we note initially that it lacks one predicate common to at least two varieties of that doctrine, the pendency of state judicial proceedings concerning the same matters. Thus, many of the cases relied upon by the district court or cited to us by the Board are inapposite. See, e.g., Cox v. Planning District I Community Mental Health and Mental Retardation Services Board,
A.
Burford Abstention
The Board urges us to adopt the proposition that, because regulation of non-public schools furthers important state educational policies, any case arising from such regulation must be considered as involving the kind of complex state regulatory scheme which merits Burford-type abstention. While we acknowledge the important and sensitive nature of state educational regulation, we do not see abstention as its logical entailment. The Board's position sweeps too broadly; if followed it would displace federal jurisdiction over all challenges to state educational regulation. As then Chief Judge Swygert of the Seventh Circuit noted in an analogous vein, "The fact that the alleged denial of constitutional rights is set in the context of the public education system cannot be determinative."7 Burford abstention rests on additional concerns beyond the mere presence of an important state administrative regime, concerns not present here.
The salient feature in Burford was that, in addition to extensive state regulation of a field, "the State had established its own elaborate review system for dealing with the geological complexities of oil and gas fields" by concentrating judicial oversight in specially authorized state courts. Colorado River Water Conservation District, supra,
Here, by contrast, the Maryland state courts do not stand in any special relationship of technical oversight or concentrated review to the educational certification process the way the Texas or Alabama resource review courts did in Burford and Alabama PSC. Once having completed the administrative process, Havis had the opportunity to bring his constitutional challenges in state court under Maryland's Administrative Procedure Act8; he chose instead to file his complaint in federal court. An adjudication that the Board's actions were unconstitutional in any of the ways claimed by Havis will be equally disruptive of the regulatory scheme challenged whether the decision emanates from a federal or a state court. Cf. Zablocki v. Redhail,
The Board also suggests that in addition to the Burford doctrine, abstention follows here on the strength of our decision in AFA Distributing Co., Inc. v. Pearl Brewing Co.,
All of the elements converging in Pearl Brewing to prompt dismissal are in reality the opposite of those present here, where we face a statute first enacted in similar form some thirty-six years ago, the language of which has been upheld by the state's highest court,10 which carries a long history of authoritative administrative construction, and which is сhallenged on constitutional grounds. This is not among the "relatively rare instances" contemplated by Pearl Brewing as a proper case for abstention.
B.
Pullman Abstention
The Board alternatively asks for affirmance of the district court's ruling that Pullman-type abstention would be appropriate in this case. To apply the Pullman doctrine, at a minimum it must appear that there is (1) an unclear issue of state law presented for decision (2) the resolution of which may moot or present in a different posture the federal constitutional issue such that the state law issue is "potentially dispositive". Donohoe Construction Co., Inc. v. Montgomery County Council,
The Board argues that an "unsettled" question is presented by the possibility that a state court hearing this matter might rule that the definitions of "noncollegiate educаtional institution" found in Sec. 2-206 or "institution of postsecondary education" in Sec. 12-201 of the Maryland Education Article do not apply to Havis's schools. Yet the Board throughout has treated Havis's schools as within those sections, and Havis has conceded that his tutoring school and teacher training center meet the statutory definitions of Secs. 2-206 and 12-201 and thereby are subject to the attendant certification requirements, if valid. In short, there is no one litigating the issue which the Board suggests might somehow be fоund unclear. As we said in Donohoe Construction, supra,
As part of its rationale for finding Pullman abstention appropriate, the district court looked to a different state law matter, equating an "unsettled issue" of state law with one supposedly not yet squarely presented to a state court. The court's view was that because Havis in part challenges thе certification scheme as applied to him on "vagueness" grounds, there is the potential for a state court to give a narrowing construction to the statutory grant empowering the State Board for Higher Education to consider the "educational qualifications and standards" of an applicant. Sec. 12-203(b). But challenges to state statutes on "vagueness" grounds are really of two varieties, with abstention permissible only where "the case turns on the applicability of a statе statute or regulation to a particular person or a defined course of conduct". Procunier v. Martinez,
The other variety of "vagueness" challenge is that present here, one in which it is the degree of discretionary authority vested in the administering state official by the empowering statute that assertedly violates due process. "In such a case no single adjudication by a state court could eliminate the constitutional difficulty. Rather, it would require 'extensive adjudications, under the impact of a variety of factual situations,' to bring the challenged statute or regulation 'within the bounds of permissible constitutional certainty.' " Procunier, supra,
Moreover, the state courts cannot be expected to undertake any such course of discretion-narrowing interpretation. The Maryland Court of Appeals has already held the virtually identical language in the precursor statute to Sec. 12-201 to be sufficiently definite and unambiguous to permit it to stand as proper legislative guidance to the State Board for Higher Education. Schneider v. Pullen,
To cover all types of trade schools, as well as other educational institutions, there could be no one set of standards prescribed, but that need not invalidate the delegation of power if the general standards, broad though they may be, are sufficiently explicit to limit the State Superintеndent of Schools in his actions, and not permit him to exercise arbitrary power. The wording, already quoted, from subsection (b) is that the schools must have conditions of entrance, scholarship, educational qualifications, standards and facilities adequate and appropriate for the purposes, program, training and courses to be taught.
* * *
* * *
We think the standards prescribed for so broad a subject are sufficiently definite for us to hold that the statute is not subject to constitutional objection on this ground.
III.
Citing the requirement of Rule 12(a), F.R.Civ.P., that the defendant "shall serve his answer within 20 days after the service of the summons and complaint upon him", Havis argues that the Board was in default because no "answer" was served as of the time he moved for default judgment roughly 40 days after service of the summons and complaint.12 The Board responds by noting the extensive discovery requests thаt accompanied service of the complaint and motion for preliminary injunction, as well as by pointing out that its response in opposition to the motion for preliminary injunction set forth most of its defense so that it was tantamount to the answer required by the Rules.
We need not here depart from the general rule that a motion or a response to one is not deemed a "responsive pleading" for the purposes of the time limits set out in the Rules.13 See generally 5 Wright & Miller, Federal Practicе and Procedure: Civil Sec. 1348, pp. 536-37 (1969); cf. Atlantic Steamers Supply Co. v. International Maritime Supplies Co., Ltd.,
IV.
Finally, Havis contends that we should direct the district court to grant plaintiffs a preliminary injunction to prevent defendants from enforcing the Maryland statutes against them. Despite having developed a fairly extensive record at the preliminary injunction hearing and other proceedings, the district court never ruled on the merits of Havis's preliminary injunction motion. Instead, the district court found "that the abstention issue raised by the defendants is dispositive" and dismissed the action. We thus lack any written findings of fact and conclusions of law to review, see Rule 52(a), F.R.Civ.P., and so have no basis upon which to consider the merits of the motion. In reversing the district court's decision to abstain, we express no opinion on the substantive issues raised by Havis. Those should be decided by the district court in the first instance.
AFFIRMED IN PART
REVERSED IN PART.
Notes
Honorable Bailey Aldrich, Senior United States Circuit Judge for the First Circuit, sitting by designation
Because of the identity of interest between them, we will refer simply to "Havis" to designate plaintiffs either individually or collеctively
Named as defendants were the Board, its seven members in their official capacities, the Board Commissioner and various staff members, the state Board of Education, and the state Superintendent of Schools. The defendants will be referred to simply as the "Board."
Havis alleges that he is such an applicant in that the proposed IMS curriculum is "unique in application and approach, outside the normally accepted standards and content of otherwise cоmparable conventional or traditional curricula." In particular, Havis asserts that the language of Sec. 12-203(b), requiring the Board to evaluate the "facilities, conditions of entrance and scholarship, and educational qualifications and standards" (emphasis added) of IMS, admits of abuse through academic content censorship, and that such a standardless and subjective review of content occurred in the denial of his application
Havis also asserts that the regulations promulgated pursuant to Sec. 12-201--Code of Maryland Regulations Secs. 13A.50.01 et seq.--do not confine the statutory discretion of the Board, but rather institutionalize it. Using its discretion under these regulations, the Board referred Havis's application for comment and evaluation to various educators, among them practitioners of the Montessori educational philosophy at other institutions employing the Montessori label in their titles.
Although somewhat obtuse in alleging what harm has befallen him, inasmuch as Capital Tutoring appears to enjoy currently valid state certification, Havis points out that the regulations pursuant to Sec. 2-206 require, inter alia, that teachers "in schools adhering to the Montessori philosophy" shall have both an accredited bachelor's degree and "a Montessori diploma" from a state accredited teacher training institution. C.M.R. Sec. 13A.09.09.05(c)(2). Havis alleges that he is thereby prevented from using teachers trained in his proposed IMS training school in his tutоring school, whereas were he to operate a religious tutoring school he would be exempt from state oversight of his teachers' qualifications
Burford v. Sun Oil Co.,
In Colorado River Water Conservation District v. United States,
Drexler v. Southwest Dubois School Corporation,
See Sec. 12-206(d)(1), Ann. Code of Md., Education (1978). Exhaustion of administrative remedies, of course, is not a prerequisite to the maintenance of a Sec. 1983 action. Patsy v. Board of Regents of the State of Flоrida, --- U.S. ----,
The district court also supported its dismissal by reference to Louisiana Power & Light Co. v. City of Thibodaux,
See, infra, at text accompanying note 11
There is certainly no ambiguity in the statutory exemption from certification requirements of religious schools, Sec. 2-206(e)(4), which Havis also challenges. The situation as to this section is thus like that addressеd in Harman v. Forssenius,
Havis filed his complaint with the district court on September 28, 1981, and contemporaneously filed his motion for a preliminary injunction. On October 19, 1981, the Board filed a response in opposition to the preliminary injunction motion, but did not file anything styled as an answer. On November 9, 1981, Havis moved for default judgment. The motion was denied the next day
Although Havis provided the district court with postal return receipts for all defendants stamped no later than October 3, 1981, the court noted that its denial of the motion for default judgment was "for failure to prove service." Howеver, Rule 55(a) permits proof of a party's failure to plead or defend to be "made to appear by affidavit or otherwise". In addition to the postal receipts, the Board's own response to Havis's preliminary injunction motion was filed on October 19, showing that the Board had been served more than 20 days prior to the motion for default judgment. We will therefore assume that Havis had properly proven that service had occurred more than 20 days before he moved for default judgment on November 9.
Of course, Rule 12 permits certain defenses to be asserted by motion, which alters the time for filing an answer
