Case Information
*2 Before: NYGAARD, MCKEE and CHERTOFF, Circuit Judge CHERTOFF, Circuit Judges
This is a suit seeking declaratory *3 and injunctive relief compelling the enforce a legislative or regulatory Housing Authority of the City of mandate. For the following reasons, we Pittsburgh to comply with regulations the will affirm the denial of a right of action to Department of Housing and Urban enforce the regulations.
Development promulgated pursuant to
I.
Section 504 of the Rehabilitation Act. The
regulations require the Pittsburgh Housing
Section 504 of the Rehabilitation
Authority
to effect certain systemic
Act of 1973 is commonly referred to as the
reforms in order to provide accessible
“civil rights bill of the disabled,” ADAPT
public housing to handicapped individuals.
v. Skinner,
Our analysis requires a careful
review and discussion of the law
governing when private parties can sue to
29 U.S.C. § 794(a). [1] C.F.R. § 8.23(b)(1). [3]
HUD promulgated regulations to In addition, accessible dwelling effectuate Section 504 in 1988. The units must, to the “maximum extent provisions that address accessibility in feasible,” be distributed throughout public housing projects and facilities projects. 24 C.F.R. § 8.26. And they must appear among the regulations at 24 C.F.R. “be available in a sufficient range of sizes §§ 8.20-33. and amenities so that a qualified individual that receives federal funds constructs new housing or “substantially alters” existing housing, [2] the HUD regulations require that When a public housing authority with handicaps’ choice of arrangements is, as a whole, comparable to that of other persons eligible for housing assistance under the same program.” Id. living five percent of the dwelling units in those Because the Pittsburgh Housing facilities be accessible to persons with Authority receives federal funding through mobility disabilities and two percent be HUD, it is subject to Section 504's accessible to persons with hearing or requirements. The Housing Authority has vision impairments. See 24 C.F.R. §§ altered existing facilities and built new 8.22(a)-(b), 8.23(a). When one or more ones since the time the HUD regulations dwelling units in an existing facility are went into effect, but it failed to satisfy the altered—but the alterations do not rise to obligations the regulations impose. [4] the level of “substantial alterations”—the
units must be made accessible to the mobility impaired, until five percent of the units in the facility are accessible. See 24 request, to prescribe a higher percentage or [3] The regulations allow HUD, upon
number than the regulations addressing newly-constructed and altered housing require, “based upon demonstration to the [1] The Rehabilitation Act’s other reasonable satisfaction of HUD of a need provisions serve similar ends. Section 501 for a higher percentage or number, based prohibits employment discrimination based on census data or other available current on disability by federal agencies. See 29 data . . . or in response to evidence of a U.S.C. § 791. Section 503 prohibits need for a higher percentage or number employment discrimination by federal received in any other manner.” 24 C.F.R. contractors and grantees. See 29 U.S.C. § §§ 8.22(c), 8.23(b)(2). 793. Since this case reaches us upon the “Substantial alterations” are District Court’s disposition of a motion to
alterations that cost 75% or more than the dismiss under Federal Rule of Civil replacement cost of the completed facility. Procedure 12(b)(6), we relate the facts as 24 C.F.R. § 8.23(a). set forth in plaintiffs’ complaint.
As a consequence of the Housing Three Rivers expends considerable effort Authority’s failure to comply with the assisting people with disabilities in trying HUD regulations, the demand for to locate accessible housing. accessible public housing in Pittsburgh return, HUD agreed to continue to provide units, and it promised to provide them. In the need for at least 546 accessible rental acknowledging “compliance deficiencies” Compliance Agreement” with HUD and “civil rights deficiencies.” It conceded Housing Authority signed a “Voluntary exceeds the supply. Indeed, in 1995 the the Housing Authority with federal Executive Director, Keith Kinard, in his official capacity. They seek an order Specifically, plaintiffs seek to declaring the Pittsburgh Housing Authority Three Rivers filed the present suit against in violation of the HUD regulations and enjoining the Housing Authority to comply with them. [6] the Pittsburgh Housing Authority and its In June of 2002, Washington and funding. By the Housing Authority’s own admission, however, there were only 200 alia, promote “equal access of individuals units accessible to people in wheelchairs with significant disabilities to society and as of March 2002. to all services, programs, activities,
As a result, when Dana Washington resources, and facilities, whether public or applied for public housing in 2001, the private and regardless of the funding Housing Authority assigned her to a unit source.” 29 U.S.C. § 796f-4(b)(1)(D). with stairs even though she suffers from
near-paralysis of her lower left limb and [6] In their complaint, plaintiffs sought to represent a class of “all people must use a wheelchair. When Washington with disabilities who currently, or in the complained about the assignment, the future, will live in public housing Housing Authority re-assigned her to [maintained by the Pittsburgh Housing another unit. But again the sink and Authority] that is not accessible . . . as well bathtub in the newly-assigned unit were as all people with disabilities who inaccessible to Washington. advocates for the rights of individuals with Consequently, Independent Living, Rivers”)—a non-profit corporation that and affordable housing. clients have a hard time finding accessible disabilities—reports that many of its Similarly, Three Rivers Center for Inc. (“Thre e joint motion asking the District Court to currently are, or in the future, will be, on plaintiffs moved for class certification and “hold District Court indicate that although App. 12. The docket entries from the the waiting list for . . . public housing.” the issue was briefed, the parties filed a i n a b e ya n c e C e r t if icati o n
Activities.” App. 5. The District Court
granted the motion and as a result it never
Three Rivers is a federally-funded
ruled on the motion for class certification.
entity that is statutorily required to, inter
We therefore treat the present suit as an
*6
enforce four requirements: (1) that a
plaintiffs’ complaint “to the extent that it
specific percentage of newly constructed
seeks
relief
for
the violations of
public housing be accessible to the
regulations promulgated by [HUD] to
disabled, see 24 C.F.R. § 8.22(a)-(b); (2)
implement § 504 of the Rehabilitation
that a specific percentage of substantially-
Act.” App. 25. They argued that plaintiffs
altered public housing be accessible to the
did not have a private right of action to
disabled, see 24 C.F.R. § 8.23(a); (3) that
enforce
the regulations because
the
altered (but not substantially altered)
regulations “are too far removed from
public housing be made accessible until at
Congressional intent as reflected in § 504
least five percent of the units are
to constitute ‘federal rights’ privately
accessible, see 24 C.F.R. § 8.23(b)(1); and
enforceable under either § 504 or § 1983.”
(4) that accessible housing be distributed
App. 26-27. The District Court granted
throughout projects and comparable to
defendants’ motion, relying largely on our
housing available
to non-disabled
opinion in South Camden Citizens in
*7
Plaintiffs have a private right of action
serve as a nudge in the preferred
against Defendants for enforcement of
directions.” Rosado v. Wyman, 397 U.S.
regulations of
the United S tates
397, 413 (1970), quoted in Pennhurst State
Department of Housing and Urban
Sch. & Hosp. v. Halderman,
We review
de novo
the District
jury). And one subset of rights that courts
Court’s dismissal under Federal Rule of
have discerned in statutes is “personal
Civil Procedure 12(b)(6) for failure to state
rights.” Personal rights inhere in the
a claim. See, e.g., Pinker v. Roche
individ ual;
they are “individually
Holdings Ltd.,
A. Although we affirm the District
Court’s judgment, we do so based on Courts have been inconsistent in the terms they use to refer to “personal reasoning that differs somewhat from the rights,” sometimes calling them District Court’s. We begin with three “individual rights,” “private rights,” or general propositions. First, Congress may simply “federal rights.” We use the term effect its legislative goals through various “personal rights” throughout this opinion means. “Congress sometimes legislates by to maintain the demarcation between innuendo,” for examp le, “ma king “personal rights” and “private rights of declarations of policy and indicating a action.” See Gonzaga Univ. v. Doe, 536 preference while requiring measures that, U.S. 273, 285 (2002) (using the term though falling short of legislating its goals,
“personal rights”).
*8
satisfied”; and regard “institutional policy
judicial proceedings. Congress may
and practice, not individual instances” of
expressly provide in a particular statute,
conduct. See Gonzaga Univ. v. Doe, 536
for example, that a party can bring suit
U.S. 273, 282, 288 (2002); Sandoval, 532
seeking enforcement.
Determining
U.S. at 288-89; Blessing v. Freestone, 520
whether a statute explicitly provides a
U.S. 329, 343-44 (1997).
private remedy involves a relatively
straightforward inquiry. A court must look
To be sure, systemic legislation may
to the text of the statute to see if it states,
in fact benefit a group of individuals. That
by its terms, that a private party may bring
does not mean that the legislation confers
suit to enforce it. See Hallstrom v.
a personal right on those individuals.
Tillamook County,
Congress may also circumscribe a
private right of action that it creates. It may limit, for example, the type of relief Section 1983 provides: available to a plaintiff. Compare 42 U.S.C. Every person who, under § 2000a-3(a) (limiting remedies available color of an y statute , for violations of Title II of the Civil Rights o r d i n a n c e , r e g u l a ti o n , Act of 1964 to injunctive relief) with 42 custom, or usage, of any U.S.C. § 2000e-5(g) (injunctions available State or Territory or the to remedy violations of Title VII) and 42 D istr ict o f C ol um bia, U.S.C. § 1981a(a)(1) (damages available subjects, or causes to be to remedy violations of Title VII). subjected, any citizen of the Similarly, Congress may create a private United States or other right of action that allows plaintiffs only to p e r s o n w i t h i n t h e enforce a limited set of the rights or jurisdiction thereof to the obligations that a statute creates. See deprivation of any rights, Olmsted v. Pruce Life Ins. Co. of N.J., 283 privileges, or immunities F.3d 429, 433 (2d Cir. 2002) (observing secured by the Constitution that in the Investment Company Act of and laws, shall be liable to 1940 Congress explicitly provided a the party injured in an action private right of action to enforce some at law, suit in equity, or provisions of the statute but not others). other proper proceeding for All this goes to saying that not all private redress . . . . rights of action are created equally; Congress may (and does) tailor rights of
42 U.S.C. § 1983.
*10
18 n.1 (3d Cir. 1989).
two criteria are critical. If they do not point
toward a private right, the remaining two
Congress’s intent in enacting a
‘cannot by themselves be a basis for
statute is always the “focal point” in
implying a right of action.’” Am. Tel. &
determining whether courts should infer a
Tel. Co. v. M/V Cape Fear,
discriminating against individuals based on race, color, or national origin. 42 The statute provides, in relevant U.S.C. § 2000d; see also Sandoval, 532 part, that “any person may commence a U.S. at 280-81. Section 602 of Title VI civil action on his own behalf . . . against authorizes federal agencies “to effectuate any person . . . who is alleged to be in the provisions of [Section 601] . . . by violation of any permit, standard, issuing rules, regulations, or orders of regulation, condition, requirement, general applicability.” 42 U.S.C. § 2000d- prohibition, or order which has become 1. The DOJ promulgated a regulation effective pursuant to this chapter.” 42 prohibiting recipients of federal funding U.S.C. § 6972(a)(1)(A).
from taking actions that had a disparate
validly construe a statute for which there
impact on racial groups. See 28 C.F.R. §
exists a private right of action. “A
42.104(b)(2) (2000).
Congress that intends the statute to be
Section 602 to determine whether it could
action; “[t]hat right must come, if at all,
In doing so, the Court found that Section
602 does not manifest Congress’s intent to
sue under Section 601’s private right of
infer a right of action under that provision.
create a personal right, namely because
Thus the plaintiffs did not have a right to
at 286. Court found that Section 602 does not
“rights-creating” language is absent from
the statute. Id. at 288. In addition, the
explained, the DOJ’s disparate impact
The Court therefore analyzed
intentional discrimination,
regulation had to derive from Section 602.
from the independent force of § 602.” Id.
Since Section 601 prohibits only
the Court
enforced through a private cause of action
cannot “conjure up a private cause of
Congress. Agencies may play
sorcerer’s apprentice but not the sorcerer
himself.” Sandoval,
the agency rule is within the scope of— i.e., construes, fleshes out, or fills in The Court concluded that it was the interstices of—a personal right that the “beyond dispute” that an implied right of enabling statute creates.
action exists to enforce Section 601. 532
Sandoval and Angelastro were
U.S. at 280.
*14
implied
right of action decisions.
vis-à-vis a right of action under the
Therefore, neither addressed whether
Rehabilitation Act or Section 1983.
plaintiffs could enforce the regulations at
C.
issue in those cases by way of a private
right of action under Section 1983. This
To determine whether plaintiffs
court subsequently examined that issue in
have a private right of action under the
South Camden Citizens in Action v. New
Rehabilitation Act to enforce the HUD
Jersey Dep’t of Envtl. Prot.,
not appear explicitly in the statute, but Second, we examine Section 504 only appears in the regulation.” Id. at 781. and the pertinent HUD regulations to A plaintiff can only enforce a regulation determine whether the HUD regulations under Section 1983 if the regulation construe any personal right that Section “merely define[s] the specific right that 504 creates. We ultimately conclude that Congress already ha[s] conferred through while the HUD regulations we examine the statute.” Id. at 783. In other words, here may construe rights or obligations private parties cannot enforce regulations that Section 504 creates, they do not under Section 1983 when the regulations construe personal rights that Section 504 “do more than define or flesh out the creates. We therefore find that the content of a specific right conferred upon Rehabilitation Act does not provide a the plaintiffs” by the statute and instead private right of action to enforce these “give the statute a scope beyond that particular HUD regulations. Congress contemplated.” Id. at 790. Under Section 1983, therefore, regulations 1.
give rise to a right of action only insofar as The Rehabilitation Act, as they construe a personal right that a statute originally enacted, did not explicitly creates. Id.; see also Harris v. James 127 provide a private right of action. In the F.3d 993, 1008-09 (11 th Cir. 1997). years following its enactment, however, a
With these principles in mind, we
number of courts (including this Court)
turn to whether plaintiffs here can bring
concluded that an implied right action
suit to enforce the HUD regulations, either
existed to enforce the statute. See Lloyd v.
*15
Reg’l Transp. Auth.,
505(a)(2) to the Rehabilitation Act in
See also Barnes v. Gorman,
assumed that a private action may be
Second, Congress confirmed that a
maintained under Title VI.” Regents of
private right of action exists to enforce
Univ. of Cal. v. Bakke,
Congress is presumed to be
exists to enforce Title IX of the Education
aware of an administrative
Amendments of 1972, because Title IX
*16
“was patterned after Title VI” and “[i]n
The private right of action that
1972 when Title IX was enacted, the
exists to enforce Title VI is, of course, an
[parallel] language in Title VI had already
implied right of action. See Sandoval, 532
been construed as creating a private
U.S. at 280; Bowers,
504"). As a result, some courts have “suggested that the relevant federal agency HEW eventually became the Department of Health and Human Services and not the court has the chief (“HHS”), see 20 U.S.C. § 3508 (1979), responsibility to determine what Section and in 1980 President Carter transferred *18 some general prescriptions against 41.56. The regulations’ more specific discrimination in federally funded program accessibility requirements go on programs and activities, see 28 C.F.R. § to distinguish between existing, newly- 41.51, the regulations specifically address constructed, and altered facilities. employment discrimination and program accessibility. See C.F.R. §§ 41.52-58. the regulations require that new facilities With respect to new construction,
T h e p ro gram
a ccess ibility
“be designed and constructed to be readily
regulations provide: “No qualified
accessible to and usable by handicapped
handicapped person shall, because a
persons.” 28 CFR § 41.58(a). And
recipient's facilities are inaccessible to or
“[a]lterations to existing facilities [must],
unusable by handicapped persons, be
to the maximum extent feasible, be
denied the benefits of, be excluded from
designed and constructed to be readily
participation in, or otherwise be subjected
accessible to and usable by handicapped
to discrimination under any program or
persons.” Id.
activity that receives or benefits from
After HEW promulgated
its
federal financial assistance.” 28 C.F.R. §
regulations, Congress amended Section
504. As we described above, Congress
e n a c t e d S e c t i o n 5 0 5 (a ) ( 2 ) a n d
HHS’s coordination and enforcement
incorporated by reference Title VI’s
authority to the Attorney General. See
“remedies, procedures, and rights.” 29
Executive Order No. 12,250, 45 Fed. Reg.
U.S.C. § 794a(a)(2). Congress also added
72,995 (Nov. 2, 1980). The DOJ thereafter
text to Section 504 requiring federal
adopted the HEW coordination regulations
agencies to “promulgate such regulations
without substantive changes. See Bragdon,
as may be necessary to carry out the
[HEW] regulations into the statute.”
regulations may (instead or additionally)
Consol. Rail Corp. v. Darrone, 465 U.S.
624, 634 n.15 (1984).
[17]
As the Supreme
construe non-personal rights or
obligations that Section 504 creates.
Court has repeatedly noted, the HEW
Third, the regulations may also create
distinct rights or obligations—either
regulations deserve considerable deference
personal or non-personal—in addition to
b e c a u s e
t h e y c o n s t i t u t e
t h e
“contemporaneous regulations issued by
those that Section 504 creates.
[18]
As we
have explained, only in the first instance
the agency responsible for implementing a
would plaintiffs have a private right of
congressional enactment.” Id. at 634; see
action to enforce the regulations. That is
also Bragdon v. Abbott,
require each agency to “issue, after notice
We distinguish—as we did in
South Camden—between regulations that
and opportunity for comment, a regulation
“construe” a statute and regulations that
to implement section 504 with respect to
“create rights or obligations in addition to
the programs and activities to which it
those that the statute creates.” If Congress
provides assistance.” 28 C.F.R. § 41.4(a);
duly authorizes an agency, it may
see also 28 C.F.R. § 41.4(c)(2). HUD
promulgate both types of regulations. See
promulgated Section 504 regulations,
1 Richard J. Pierce, Jr., Administrative
which we described above, in 1988.
Law Treatise § 6.4, at 325-26 (4 th ed.
That brings us to the question on
2002); see also Chao v. Rothermel, 327
which this appeal hinges: What is the
F.3d 223, 227 (3d Cir. 2003) (discussing
precise relationship between the right of
“interpretative” and “legislative” rules);
action under Section 504 and the HUD
Am. Mining Cong. v. Mine Safety &
regulations? There is a universe of three
Health Admin.,
Since the HUD regulations at issue
action
to enforce anti-re taliation
do not articulate personal rights, they of
regulations that agencies promulgated
course cannot
construe
personal rights that
under Section 601 of Title VI and the
Section 504 creates; and whether the HUD
parallel provision in Title IX of the
regulations otherwise construe general
Education Amendments of 1972, 20
obligations that Section 504 creates or
U.S.C. § 1681. The issue in those cases
create distinct obligations
is not
was not whether the anti-retaliation
dispositive for private right of action
regulations articulated personal rights.
analysis. Thus, although we assume that
Rather,
the
issue was whether
the
the HUD regulations properly effectuate
regulation articulated a personal right that
Section 504, we cannot conclude that the
Congress created in Title VI and Title IX,
regulations construe a personal right
respectively. This is the very type of
within Section 504. As a result, plaintiffs
question raised in Sandoval itself. The
cannot enforce the regulations by way of
Fourth Circuit held that the regulations’
Section 504's private right of action.
“retaliation prohibition is an interpretation
of § 601's core antidiscrimination
In reaching our conclusion, we note
mandate.”
issues of standing, class certification, and
the propriety and scope of relief are often
intermingled.”). Finally, HUD retains its
independent authority—indeed, its
independent obligation—to enforce its
own regulations after many years of the
Housing Authority’s noncompliance. individuals, see 24 C.F.R. § 8.26.
Notes
[7] Action v. New Jersey Dep’t of Envtl. Prot.,
[8] and Three Rivers. II.
[7] In their complaint, appellants The District Court, which exercised based their claims on other portions of the its jurisdiction under 28 U.S.C. §§ 1331 HUD regulations—specifically, 24 C.F.R. and 1343, did not dismiss plaintiffs’ § 8.24(a) (addressing a ccessibility complaint in its entirety. Rather, it requirements in existing, non-altered dismissed the complaint only insofar as housing), 24 C.F.R. § 8.25(c) (requiring plaintiffs sought to enforce the HUD housing authorities to promulgate and regulations. The Court was of the opinion, implement a “needs assessment” and however, that the partial dismissal “transition plan”), and 24 C.F.R. § 8.27(a) involved a controlling question of law as (requiring housing authorities to make to which there is substantial ground for disabled persons aware that accessible difference of opinion—namely, “[w]hether units are available and ensure that accessible units are utilized by disabled persons to the fullest extent possible). See
[8] As we explain below, plaintiffs’ App. 18-19. Appellants appear to no individual claims that the Housing longer seek enforcement of these regulations. See Appellants’ Br. 7-9. We Authority denied them their right to access therefore only address the regulations under Section 504 still remain before the appellants pursue on appeal. District Court.
[17] As the Court explained, “the
this decision. Nothing here is meant to
cast doubt on the validity of the HUD
responsible congressional committees
regulations themselves. But the validity of
participated in their formulation, and both
the regulations is a different question than
these committees and Congress itself
endorsed the regulations in their final
whether they are privately enforceable.
See South Camden,
