Ezratty v. Com. of Puerto Rico, 80-1571

Decision Date08 May 1981
Docket NumberNo. 80-1571,80-1571
Citation648 F.2d 770
PartiesLaurice J. EZRATTY, et al., Plaintiffs, Appellants, v. The COMMONWEALTH OF PUERTO RICO, et al., Defendants, Appellees.
CourtU.S. Court of Appeals — First Circuit

Harry A. Ezratty, San Juan, P. R., for appellants.

Reina Colon De Rodriguez, Asst. Sol. Gen., Dept. of Justice, San Juan, P. R., with whom Hector A. Colon Cruz, Sol. Gen., San Juan, P. R., was on brief, for appellees.

Before CAMPBELL, BOWNES and BREYER, Circuit Judges.

BREYER, Circuit Judge.

On May 9, 1978, Laurice Ezratty (and her mother, Roberta) filed this action against the Commonwealth of Puerto Rico, the Puerto Rico Department of Education, and its Secretary, Carlos Chardon, claiming that the Department had unlawfully denied her aid to which she was entitled under the Education for All Handicapped Children Act of 1975, 20 U.S.C. § 1401 et seq. After trial, the district court dismissed the complaint without prejudice, primarily on the ground that plaintiffs should exhaust their remedies before the agency prior to pursuing a court action. We affirm the dismissal without prejudice.

I.

The facts of this case can be best understood against the background of the statute. The Education of the Handicapped Act creates a federal grant program administered by states (and Puerto Rico) when they choose to participate. In 1975 Congress amended this statute by passing the Education for All Handicapped Children Act ("EHCA" or "the Act"), which significantly expanded the program's scope and imposed a series of requirements upon recipient states. 1 A state, for example, must file a plan which, among other things, sets "forth in detail" how the state will "assure that 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 " 20 U.S.C. § 1412(2)(B). 2 This assistance is to be made available to children in private, as well as public, schools, "at no cost to their parents or guardian". 20 U.S.C. § 1413. The precise nature of the assistance is to be worked out on an individual basis for each child and is to be embodied in an "individualized educational program" ("IEP"). The state must also provide a set of "procedural safeguards": A parent is given the right to obtain an "independent educational evaluation" of the child. If the parent objects to the IEP that the state has worked out for his child, he is entitled to "an impartial due process hearing" provided by the state (or local) agency, but conducted by someone other than "an employee of such agency or unit involved in the education or care of the child." 20 U.S.C. § 1415(b)(2). If the parent is "aggrieved by the findings and decision" made by the independent hearing examiner, he may bring an action "in any state court of competent jurisdiction or in a district court of the United States" and the court, after hearing additional evidence if requested, "shall grant such relief as the court determines is appropriate." 20 U.S.C. § 1415(e)(2). If a state fails to comply with these, or other, statutory requirements, the Department of Education can withhold federal funds from the state. 20 U.S.C. § 1416.

In August 1977 the Department of Health, Education and Welfare issued a set of regulations under the EHCA, binding upon the Commonwealth of Puerto Rico as a recipient of funds under the Act. See 45 C.F.R. Part 121a. (1979). The regulations make clear that recipient states are indeed expected to make educational benefits available to all handicapped children between the ages of three and eighteen by September 1978. The regulations define "free and appropriate public education" and make clear that the state has broad discretion to use private or public agencies, schools, teachers, or facilities to provide services to the individual child. The regulations also specify how the state (or local) agency is to develop the "individualized education program". An agency representative, qualified in the field of special education, is to meet with the child's teacher, parents, and the child, where appropriate. This, and subsequent meetings where needed, will lead to an IEP tailored to the individual child. Similar meetings to review the program are to be held once a year. Finally, the regulations set out in detail how a dissatisfied parent can obtain an independent educational evaluation of the child, and, if necessary, obtain an independent review of the agency's decisions through a "due process" hearing with numerous procedural protections. They set deadlines for various stages of the process to expedite the creation of a satisfactory IEP, and they foresee possible court review at the end of the internal procedural road.

Plaintiff Laurice Ezratty is a handicapped child, suffering from a severe learning disability. Her parents, who reside in Puerto Rico, sent her to a specialized private school in Vermont. In the Fall of 1977 her mother contacted the Puerto Rico Department of Education to see if Laurice could receive financial assistance for private placement outside Puerto Rico under the Act. She was advised that this could not be done. After various communications and an informal meeting, Laurice was brought back to Puerto Rico, at her parents' expense, for an evaluation by Department experts in December. After several weeks passed, her parents apparently became disturbed by the fact that nothing further seemed to be happening. And, on April 10, 1978, Laurice's father, Harry Ezratty (an attorney who is handling this action) wrote to the Department, asking for a decision on his daughter's case and warning of possible legal action. The Department responded to the letter, stating that the "great number of children referred to our multidisciplinary team for evaluation" and the absence of an examining psychologist on maternity leave "did not permit us sufficient time to review your daughter's case." The Department added that the meeting held in December was not a hearing and that the next step was "to determine the best educational placement for Laurice upon the results of her evaluation and a discussion with you and Mrs. Ezratty regarding available placements." The Department pointed out that the Ezratty's could ask for "a formal hearing if you do not agree with our recommendations for placement."

A month later, on May 9, 1978, plaintiffs brought this action, and subsequently filed an amended complaint basically seeking an order directing the defendants to make a determination as to Laurice's special education status, qualify her "for the Special Education program, payment for her Special Education, both in the future and retroactively", and reimburse her for transportation expenses. On May 12, 1978, Mr. Ezratty wrote to the Puerto Rico Secretary of Education, stating that his meetings with Department officials indicated that adequate special education for Laurice did not exist in Puerto Rico and claiming that the Department should reimburse him for his daughter's special education expenses. Secretary Chardon responded that since Mr. Ezratty had filed a court case, "no action will be taken." During the next month, seeking to resolve the controversy without further court proceedings, Mr. Ezratty wrote twice more to the Secretary, formally appealing the Department's decision and "requesting a hearing by a hearing examiner." The Secretary again responded that, because of the court case, "no action will be taken."

During the next two years, as this litigation slowly proceeded, the following occurred: On November 29, 1978, the trial court dismissed plaintiffs' claim against the Commonwealth of Puerto Rico and the Department on the ground that the Eleventh Amendment barred suit against the state for monetary damages without its consent. 3 Plaintiffs have not appealed this ruling. The court allowed plaintiffs to maintain their suit against Secretary Chardon because plaintiffs "(seek) a variety of remedies including declaratory and injunctive relief. There is no request for monetary damages."

In January 1979, the federal government temporarily cut off EHCA funding to the Commonwealth of Puerto Rico because of noncompliance.

In June 1979 the Department wrote to Mr. Ezratty offering Laurice a placement in various primary schools (grades 1-6), though Laurice was a secondary school student (in the twelfth grade at that time).

In March 1980, a trial was held, apparently to offer evidence about whether Puerto Rico was, or was not, able to provide Laurice with appropriate education.

In July 1980, after the trial, the district court dismissed the complaint without prejudice on the ground that plaintiffs should exhaust administrative remedies. 4

II.

As the Supreme Court pointed out in Myers v. Bethlehem Shipbuilding Corp., 303 U.S. 41, 50-51, 58 S.Ct. 459, 463-464, 82 L.Ed. 638 (1938), the doctrine of exhaustion of remedies provides that "no one is entitled to judicial relief for a supposed or threatened injury until the prescribed administrative remedy has been exhausted." (footnote omitted.) In McKart v. United States, 395 U.S. 185, 89 S.Ct. 1657, 23 L.Ed.2d 194 (1968), the Court noted the important interests that the exhaustion doctrine serves. It allows the agency to develop a factual record, to apply its expertise to a problem, to exercise its discretion, and to correct its own mistakes, all before a court will intervene. Insofar as specialized administrative understanding is important, the doctrine thereby promotes accurate results, not only at the agency level, but also by allowing more informed judicial review. By limiting judicial interruption of agency proceedings, the doctrine can encourage expeditious decision making. Insofar as Congress has provided that an agency will decide a matter in the first instance, to apply the doctrine normally furthers specific Congressional intent. And, as a general matter, the doctrine...

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