Cornelius v. Hogan

• Decision Date: 02 November 1981
• Docket Number: No. 81-1197,81-1197
• Citation: 663 F.2d 330
• Parties: Cora CORNELIUS, et al., Plaintiffs, Appellees, v. William HOGAN, et al., Defendants, Appellants.
• Court: U.S. Court of Appeals — First Circuit

Page 330

663 F.2d 330

Cora CORNELIUS, et al., Plaintiffs, Appellees, v. William HOGAN, et al., Defendants, Appellants.

No. 81-1197.

United States Court of Appeals First Circuit.

Argued Sept. 16, 1981.

Decided Nov. 2, 1981.

Judith S. Yogman, Asst. Atty. Gen., Boston, Mass., with whom Francis X. Bellotti, Atty. Gen., Boston, Mass., was on brief, for defendants, appellants.

Nancy Lorenz, Boston, Mass., with whom Barbara Sard, Roxbury, Mass., was on brief, for plaintiffs, appellees.

Before CAMPBELL, VAN DUSEN ^* and BREYER, Circuit Judges.

LEVIN H. CAMPBELL, Circuit Judge.

This is an appeal from rulings of the United States District Court for the District of Massachusetts construing a consent decree to apply to certain services now provided by the Massachusetts Department of Social Services ("DSS"), and binding DSS and its commissioner to the decree. We affirm.

This case began in 1973 when a group of welfare recipients filed a complaint in federal court against the Commissioner of the Massachusetts Department of Public Welfare ("DPW") and the Secretary of the Executive Office of Human Services ("OHS"), alleging that defendants had failed to provide them and the class they purported to represent with financial, supportive, and emergency welfare services, either entirely or with reasonable promptness, as required by the Social Security Act, 42 U.S.C. §§ 301 et seq., and regulations thereunder. The district court certified a plaintiff class, and found that defendants had violated the following provisions of the Act and its regulations: with respect to Aid to Families with Dependent Children ("AFDC"), 42 U.S.C. § 602(a)(10); with respect to Medical Assistance ("MA"), 42 U.S.C. § 1396a(a)(8); and with respect to Supplemental Security Income ("SSI"), 45 C.F.R. § 222.5. Cornelius v. Minter, 395 F.Supp. 616 (D.Mass.1974). These programs were and are administered by DPW, which is a department within OHS, and are funded in large part by the federal government under a "scheme of cooperative federalism," see King v. Smith, 392 U.S. 309, 316, 88 S.Ct. 2128, 2132, 20 L.Ed.2d 1118 (1968).

Following these determinations, the parties undertook extensive studies of the time needed by DPW to provide these services. They then began negotiations on the language of a consent decree in 1977, and submitted a proposed decree to the court on April 14, 1978, which included both language agreed on by the parties and alternative versions of disputed language. In addition to covering AFDC, MA, and SSI, the decree also provided for the timely provision of social services then provided by DPW pursuant to Title XX of the Act, 42 U.S.C. §§ 1397 et seq., and Title IV-B, 42 U.S.C. §§ 620 et seq. After determining which of the disputed language alternatives to incorporate, the court approved the decree in June 1978, and entered it as a final judgment and permanent injunction on April 16, 1979. The decree specifies what constitutes "reasonable promptness" for particular services, and provides guidelines for the implementation of and monitoring of compliance with the decree. The decree covers those services "which the Department of Public Welfare administers and which it was directly providing on October 21, 1974." It is signed by the Secretary of OHS, the Commissioner of DPW, the Secretary of the Commonwealth's Executive Office of Administration and Finance, whom the court had added as a party defendant, members of the Attorney General's department, as attorneys for defendants, and the attorneys for plaintiffs.

The present dispute arose as a consequence of a statute enacted by the Massachusetts legislature soon after entry of the consent decree. Under this, responsibility for the social services provided by DPW under Titles XX and IV-B was transferred to DSS, ¹ a newly created department within OHS. See St.1978, c. 552, as amended by St.1979, c. 795. Mary Jane England was appointed Commissioner of DSS on June 1, 1979. DSS assumed responsibility for delivering certain of these services in October 1979, but DPW continued to provide them as the delegee of DSS until July 1, 1980, when all the social service delivery functions were transferred from DPW to DSS.

On June 27, 1980, defendants filed a motion to "clarify" the consent decree, seeking a ruling that the transfer of responsibility for social services from one department within OHS to another mandated that the services could no longer be covered by the decree, or in the alternative, requesting the court to vacate the decree for one year as it applied to these services. Plaintiffs opposed this motion, and on October 7, 1980, filed a motion to join England, in her capacity as Commissioner of DSS, as a party defendant; defendants opposed this motion.

After a hearing on February 5, 1981, the district court ruled that the consent decree still covered the relevant social services, even though they were now provided by DSS rather than DPW, joined England as a defendant, and refused to vacate the decree temporarily. The court did, however, agree to give DSS a "grace period," and a full year in which to begin submitting the monitoring reports required by the decree. Defendants appealed.

On appeal, defendants raise three issues: first, whether the district court erred in construing the decree to cover social services formerly provided by DPW but now provided by DSS; second, whether the court erred in joining England as a party defendant and binding DSS to the decree; and third, whether the court erred in refusing to vacate the decree for one year. We shall address each of these issues in turn.

1. Construction of the Decree

Defendants urge that it was error to construe the decree to apply to DSS and the social services which it now provides. They contend first, that the terms of the decree preclude such application, and second, that an earlier ruling by the district court had become law of the case and dictated that the decree did not cover these services. We hold that the district court's determinations that the decree does cover these services, and that an earlier unrelated ruling does not compel a different result, are not in error.

Regarding the language of the decree, defendants point to numerous references to DPW, and the lack of references to DSS, in support of their argument that the decree on its face unambiguously precludes its application to the services now provided by DSS. We disagree. To be sure, the decree's reference to services "which the Department of Public Welfare administers and which it was directly providing on October 21, 1974" might conceivably be taken as limiting the decree to services only so long as they are provided by DPW. However, the reference may also be taken merely as a way of identifying the covered services by their then relationship to DPW, without necessarily implying that the relationship itself continue into the indefinite future. Given this ambiguity, it was appropriate for the district court to inquire into the parties' intent and the circumstances surrounding the decree in order to select the most reasonable interpretation, United States v. ITT Continental Baking Co., 420 U.S. 223, 238, 95 S.Ct. 926, 935, 43 L.Ed.2d 148 (1975), and we ordinarily disturb its determination only if there is a "clearly erroneous factual finding ... (or an) error of law." Mahoney v. Union Leader Retirement Profit Sharing Plan, 635 F.2d 27, 28 (1st Cir. 1980); cf. NLRB v. System Council T-6, 599 F.2d 5, 8 (1st Cir. 1979). We can discern no such errors here.

The parties drafted the decree with a view to improving the quality of specific programs which the Commonwealth was administering. While such programs were then being performed by DPW, the focus of the decree was the need for more expeditious service, not the precise identity of the administering agency. ² There is no indication that the parties wished to allow portions of the decree to be rendered a nullity simply because of some later inter-agency transfer of functions. ³ As pointed out above, the parties to the consent decree included not only the Commissioner of DPW, but also the Secretary of OHS, within whose department both DPW and DSS are lodged. An inter-agency transfer of functions hardly evidences an intention that these programs be excluded from the decree. ⁴ Indeed, evidence of a bad faith transfer of functions by defendants in order to escape their responsibilities under the decree could in itself be a ground for applying the decree to DSS. ⁵ We thus see no error in the district court's construction of the decree to encompass the social services formerly provided by DPW but now the responsibility of DSS.

Nor do we think the contrary result required by the doctrine of law of the case. Defendants point to a ruling of the district court on November 8, 1978, that services provided by the Department of Elder Affairs ("DEA") were not covered by the decree, and contend that that ruling stands for the proposition that services not provided by DPW could never be covered by the decree. The factual and legal differences between that situation and the instant one, however, make the law of the case doctrine inapplicable. See Terrell v. Household Goods Carriers' Bureau, 494 F.2d 16, 19 (5th Cir.), cert. dismissed, 419 U.S. 987, 95 S.Ct. 246, 42 L.Ed.2d 260 (1974); White v. Higgins, 116 F.2d 312, 317 (1st Cir. 1940). The differences are many. For example, DSS, unlike DEA, is the legal successor to the duties of DPW; the DEA ruling, unlike the decision advocated by defendants with respect to DSS, did not render any part of the decree a nullity; and DSS, unlike DEA, is a department within the Executive Office of Human Services, which is and always has been a party defendant in this case. These differences make the doctrine inapplicable and the district court was thus not bound ⁶ by its earlier ruling on the services provided by DEA when it decided on the services transferred to DSS.

2. Binding DSS to the Decree

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