LESTER H., a minor, who sues by his mother and next friend,
OCTAVIA P., and Octavia P., on her own behalf,
v.
Thomas K. GILHOOL, Secretary of Education, Commonwealth of
Pennsylvania and The Chester Upland School District.
Appeal of CHESTER UPLAND SCHOOL DISTRICT.
No. 89-2046.
United States Court of Appeals,
Third Circuit.
Argued July 12, 1990.
Decided Sept. 27, 1990.
Rehearing and Rehearing In Banc Denied Oct. 24, 1990.
Leo A. Hackett (argued), Fronefield & deFuria, Media, Pa., for appellant.
Janet F. Stotland (argued), Education Law Center, Inc., Philadelphia, Pa., for appellees.
Before BECKER, HUTCHINSON and NYGAARD, Circuit Judges.
OPINION OF THE COURT
NYGAARD, Circuit Judge.
In this declaratory judgment action brought pursuant to the Education of the Handicapped Act ("EHA"), 20 U.S.C. Secs. 1401-1415, as amended, Education for All Handicapped Children Act of 1975, Pub.L. No. 94-142, and section 504 of the Rehabilitation Act of 1973, 29 U.S.C. Sec. 794 (1973), the district court awarded the plaintiff, Lester H., two and one half years of compensatory education beyond age 21, the statutory maximum specified in the EHA. App. at 31; 20 U.S.C. Sec. 1412(2)(B). The Chester Upland School District ("School District") appealed.1 We will affirm.
I.
The plaintiff, Lester H., is a profoundly retarded twelve-year-old with severe behavioral problems. Lester began his education within the School District in the fall of 1983. But even before Lester entered school, the District Director of Special Education determined that the School District could not provide an appropriate special education program for him. Parties' Stipulations ("Stipulations") at p 13, app. at 37. The School District, Lester's mother and the Delaware County Intermediate Unit ("IU") agreed that Lester should be placed at the Summit School, a special education day-facility, for that academic year. Stipulations at p 14, app. at 37. Octavia P., Lester's mother, signed a Notice of Recommended Assignment ("NORA") consenting to the Summit School placement. He remained at Summit throughout the year and progressed with his Individualized Education Program ("IEP"). Stipulations at p 17, app. at 38.
The next fall, Lester's behavior deteriorated significantly. In October 1984, the Director, Summit officials and Lester's teacher concluded that Summit could no longer provide an appropriate education for Lester and they recommended that he be placed in a residential program. Stipulations at pp 21, 28-9, app. at 39, 41-42. Nevertheless, Lester remained at Summit during the 1984-85 school year because the School District limited its efforts to place him to only one approved school, the Elwyn Institute, and one unapproved school, the Don Guanella School. Both schools rejected him. Stipulations at pp 38, 40, app. at 43-44. Lester was finally removed from Summit in August, 1985. Lester's mother signed a NORA consenting to in-home instruction while her child awaited appropriate residential placement. Stipulations at pp 48, 51, app. at 45. The School District then developed an in-home IEP for the 1985-86 academic year which provided Lester with only five hours of instruction per week. This IEP began on November 11, 1985 and, with revisions, continued until late June, 1986. Stipulations at p 54, app. at 46; p 64, app. at 47.
For the majority of Lester's home-bound instruction period, the School District did not request residential placement for him. In April, 1986, the School District applied to the Devereux Foundation and the Wordsworth Academy. Both schools rejected Lester. Finally, after prodding by Lester's counsel and the Pennsylvania Department of Education ("DoE"), the School District re-applied to Elwyn. Lester was admitted to Elwyn's Extended School Year day program in June, 1986 and his mother signed a NORA consenting to this placement. Stipulations at pp 59-64, app. at 47. He lasted only 34 days at Elwyn and was returned to in-home instruction. Stipulations at p 67, app. at 48.
During August and September, 1986, the School District applied to four schools. All four schools rejected Lester. Stipulations at pp 69-72, app. at 48-49. Lester's counsel then petitioned the Chief of the Bureau of Special Education of the DoE requesting that he assist in locating an appropriate special education program for Lester. Stipulations at p 73, app. at 49. In response DoE required the School District to provide it with a status report and suggested that the Director apply to the AuClair School, an out-of-state facility located in Bear, Delaware. Stipulations at pp 75-6, app. at 50.2 Lester was admitted and has attended AuClair since January 21, 1987, and is making slow but satisfactory progress.
The EHA requires the School District to provide an appropriate education for Lester until he reaches age 21. The foundation of this case is that, for 2 1/2 years, the School District failed to do so. See generally 20 U.S.C. Sec. 1412; App. at 29. Before the School District placed Lester at AuClair, Octavia P., on behalf of her son, filed this declaratory judgment action against the Commonwealth of Pennsylvania, Secretary of Education and the School District, seeking a declaration that Lester's right to a free appropriate education had been compromised and that he was entitled to appropriate education services for 2 1/2 years beyond age 21 as compensation "for the period during which he was denied appropriate services." App. at 15.
Lester moved for a preliminary injunction requiring that he be immediately placed in a residential special education program. The motion was denied as moot when AuClair admitted Lester.3 App. at 2. The district court held a trial on the remaining issue in the spring of 1988 and entered a declaratory judgment order on November 9, 1989, awarding Lester 2 1/2 years of compensatory education to extend beyond age 21. App. at 6. On appeal, the School District claims that: (1) this case is not ripe for judicial relief; (2) Lester failed to exhaust administrative remedies provided him by the EHA; (3) eleventh amendment sovereign immunity bars Lester's action against the School District; and (4) compensatory education is not an available EHA remedy.
II.
The district court held that "[t]his case is ripe and otherwise justiciable." App. at 30. Our review of the ripeness decision is plenary. Felmeister v. Office of Attorney Ethics,
The School District argues that a compensatory remedy requires the court to ascertain Lester's future educational needs and these needs are not ripe for decision. This is simply not true. The injury has been done and although the exact contours of the appropriate remedy may not be ascertainable now, Lester's injury certainly could be, and was, ascertained. Moreover, the court left ample room for the exact contours of the remedy to be shaped by the appropriate authorities at the appropriate time. All the court did was award Lester the number of years needed to restore that which concededly had been denied him and that to which he is entitled under 20 U.S.C. Sec. 1412(2)(B).
The School District contends that the court is predicting Lester's future educational needs by awarding him 30 months of compensatory education beyond age 21. We agree that courts may not engage in speculation. See DeFunis v. Odegaard,
Second, a decision at this time poses no hardship for the School District. Indeed, it gives them additional time to prepare for Lester's compensatory education. Conversely, it would pose a hardship to Lester and Octavia if they are required to wait. School District officials involved in Lester's placement or misplacement are available to answer for their actions or inaction. Experts who examined Lester are available to testify with events fresh in their minds. In short, now is the most convenient time for all parties to present evidence as to whether Lester received an appropriate placement, whether one was available, and the extent of the efforts made by the School District to find an appropriate placement. We conclude that the trial posed no hardship and the matter was ripe for decision.
III.
The legal guardian of a student not receiving an appropriate education has certain administrative remedies under the EHA. They are designed to afford the complainant maximum due process. See generally 20 U.S.C. Sec. 1415. First, the guardian is entitled to a due process hearing before the state department of education, the intermediate unit, or the local educational department (i.e.: the School District). 20 U.S.C. Sec. 1415(b)(2). Second, if the hearing is not before the state department of education, the guardian may appeal a decision of a local or intermediate unit directly to that state agency. 20 U.S.C. Sec. 1415(c). Third, if dissatisfied with the agency's decision, whether from an initial hearing or on direct appeal, the guardian may seek relief in a federal or state court. 20 U.S.C. Sec. 1415(e)(2); see Doe v. Smith,
The School District contends that Lester failed to exhaust his available administrative remedies. Although this contention has facial appeal, upon examination we agree with the district court's conclusion that exhaustion would have been futile. "[C]ircumstances which require a waiver of the exhaustion requirement raise questions of law. Therefore, [our] standard of review is plenary." Wilkerson v. Bowen,
Courts require exhaustion where the peculiar expertise of an administrative hearing officer is necessary to develop a factual record. Cox v. Jenkins,
IV.
The district court concluded that the eleventh amendment did not protect the School District from Lester's EHA claims. The School District alleges this to be error. Our review is plenary. Edelman v. Jordan,
The eleventh amendment provides that:
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.
To determine whether the School District is insulated by eleventh amendment immunity, we must decide whether a Pennsylvania school district is an alter ego of the Commonwealth of Pennsylvania. This depends upon the powers granted the school district by the state. Mt. Healthy City School District Board of Educ. v. Doyle,
In Mt. Healthy, the Court held that the school district did not share in Ohio's eleventh amendment immunity. Under Ohio law, the term "political subdivision" includes school districts, but the state "does not include political subdivisions." Mt. Healthy,
This School District's situation under Pennsylvania law is virtually indistinguishable. The term "political subdivision" includes a school district, but the term "commonwealth" does not include political subdivisions. 1 Pa. Cons. Stat. Ann. Sec. 1991 (Purdon Supp.1990). A school district is an incorporated entity with a statutory right to sue and be sued. 24 Pa.Stat.Ann. Secs. 2-211, 2-213 (Purdon 1988). The Commonwealth does exercise control over educational appropriations, Pa.Stat.Ann. tit. 24, Sec. 25-2501 et seq. (Purdon Supp.1990), and the creation of state agency liaison services called "intermediate units,"7 Pa.Stat.Ann. tit. 24, Sec. 9-951 (Purdon 1988). But, local school districts are able to issue bonds, Pa.Stat.Ann. tit. 24, Sec. 6-632 (Purdon 1988), and collect taxes, Pa.Stat.Ann. tit. 24, Sec. 5-507 (Purdon 1988). When we examine the "nature of the entity created by state law", Mt. Healthy,
The School District argues additionally that the Commonwealth's control over special education services creates a different situation. See Geis v. Board of Educ. of Parsippany-Troy Hills,
V.
The next issue is whether the compensatory education granted by the district court is proper relief. Our inquiry and the scope of review are two-tiered. First, we consider whether Congress empowered the courts to grant a compensatory remedy under 20 U.S.C. Sec. 1415(e)(2). We exercise plenary review over this question. See School Committee of Burlington v. Department of Educ.,
An aggrieved party may seek relief in federal court. 20 U.S.C. Sec. 1415(e)(1). The court may award whatever relief "[it] determines is appropriate," 20 U.S.C. Sec. 1415(e)(2), to redress the deprivation of rights under 20 U.S.C. Sec. 1412(2)(B). Section 1412(2)(B) reads:
(2) .... Each such amended plan shall set forth in detail the policies and procedures which the State will undertake or has undertaken in order to assure that--
(B) a free appropriate public education will be available for all handicapped children between the ages of three and eighteen within the State not later than September 1, 1978, and for all handicapped children between the ages of three and twenty-one not later than September 1, 1980 ...
20 U.S.C. Sec. 1412(2)(B).
The School District argues that the Court in Honig, supra relied upon section 1412(2)(B) to deny equitable relief to persons over age 21. The Honig Court concluded that Doe, age 24, was "no longer entitled to the protections and benefits of the EHA, which limits eligibility to disabled children between the ages of three and 21." Honig,
The crucial difference between Honig and Lester's case is the nature of the relief. In Honig, Doe was only asking that the Court make the District comply with the Act in the future. But, as an adult (i.e., someone over age 21), Doe had no right to demand that the District comply with the Act either presently or in the future. The Act only gives minors the right to education. Lester, in contrast, is only requesting a remedy to compensate him for rights the district already denied him. He has the right to ask for compensation because the School District violated his statutory rights while he was still entitled to them.
If Honig stands for the proposition defendants assert, school districts would be immune from suit if they simply stopped educating intended beneficiaries of the EHA at age 18 or 19. Those beneficiaries' cases would take at least two years to be reviewed, and even if the reviewing courts found the school districts' behavior egregious, the courts would be powerless to aid the intended beneficiaries because those beneficiaries would now be over age 21. We cannot believe that either Congress or the Supreme Court meant to allow a school district to withhold a disabled minor's educational rights at age 18 or 19 without remedy.
Neither is the form of remedy, compensatory education, foreclosed by Honig. Relief designed to cure deprivations under 20 U.S.C. Sec. 1412(2)(B) must accord with congressional intent. See Burlington,
Miener v. State of Missouri,
We conclude that Congress empowered the courts to grant a compensatory remedy. Furthermore, we conclude that Congress, by allowing the courts to fashion an appropriate remedy to cure the deprivation of a child's right to a free appropriate public education, did not intend to offer a remedy only to those parents able to afford an alternative private education. The only question remaining then is whether the court abused its discretion by granting 30 months of compensatory education to Lester beyond age 21. We conclude that it did not.
The School District had no reason to delay a proper placement for Lester. It knew before he entered the school system that it could not provide an appropriate educational program for him. Stipulations at p 13, app. at 37. The court found that the District "should have known or could have ascertained from the approved schools list that there were at least six Pennsylvania schools" suitable for Lester, and that it could have "applied promptly" to each of them. App. at 10. Furthermore, the district court specifically found that the School District "should have known the identity of AuClair and other out-of-state schools or should have ascertained their identity" before it did, and that Lester was harmed by their failure to do so. App. at 13. For sixteen months the School District failed to apply on Lester's behalf for admission to any school, and during the thirty months of inappropriate placement, Lester regressed. Because of this, we hold that the district court did not abuse its discretion when it fashioned this remedy for Lester.12 The court's award merely compensates Lester for what everyone agrees was an inappropriate placement from 1984 through January, 1987 and belatedly allows him to receive the remainder of his free and appropriate public education.
VI.
CONCLUSION
We conclude that, under the EHA, Lester is entitled to the 30 months of compensatory education provided by the district court, that this issue is ripe for decision and that Lester did not need to exhaust the EHA's administrative remedies. Finally, we hold that a Pennsylvania school district, even in its special education capacity, does not acquire the Commonwealth's eleventh amendment immunity. The district court's order of November 9, 1989 will be affirmed.
Notes
The Secretary of Education for the Commonwealth of Pennsylvania did not appeal
The Director applied to no out-of-state schools before AuClair. Stipulations at p 77, app. at 50
That order is not at issue in this appeal
See app. at 30-31, citing 20 U.S.C. Secs. 1401(19), 1412(4), (5)(C), 34 C.F.R. Secs. 300.340-300.346, 300.530-300.534 (1986)
The School District admitted that Lester's placement at the Summit School was inappropriate beginning on October 19, 1984. Stipulations at p 28, app. at 41. He was finally placed at AuClair on January 21, 1987. Stipulations at p 86, app. at 52
Evidently, concomitant to this argument, the School District asserts that when Octavia signed the NORA and consented to each in-home IEP, she waived her right to argue futility and "should not now be heard to argue either that the placements were inappropriate or that they should be granted compensatory education beyond age 21 for a period measured by the duration of the placements which they approved." Appellant's Brief at 23. The argument is totally without merit. All Octavia could contest is that which the School District concedes anyway: the placement was inappropriate. Further, Octavia consented to an in-home placement that was supposed to be temporary
We have previously held that intermediate units are "subject to suit as 'local agencies' under the Pennsylvania Political Subdivision Tort Claims Act." Arnold v. BLaST IU # 17,
We note that the Commonwealth's control over special education standards and regulations under Pa.Stat.Ann. tit. 24, Secs. 13-1372(1), (2) (Purdon 1988) does not diminish the School District's responsibility for providing these services
By holding that the School District, in its special education capacity, does not share in the Commonwealth's eleventh amendment immunity, we are in accord with other courts of appeals relying on a Mt. Healthy-type analysis. See Minton v. St. Bernard Parish School Board,
The 1986 statutory amendment of the EHA superseded Smith by allowing protected beneficiaries to pursue federal statutory rights and remedies outside the EHA, H.R.Rep. No. 296, 99th Cong., 1st Sess. 4 (1985); Handicapped Children's Protection Act of 1986, Pub.L. No. 99-372, Sec. 3, 100 Stat. 796 (1986), but it supports the congressional language quoted in Smith
Alexopulos v. Riles,
We express no opinion whether the time a school district spends in a good faith effort to place a handicapped student into an appropriate program should or must always be included within the period for which compensatory education is awarded
