J.C. v. Regional School Dist. 10, Bd. of Educ.

Decision Date24 January 2002
Docket NumberDocket No. 00-9484(LEAD).,Docket No. 00-9484(XAP).
Citation278 F.3d 119
PartiesJ.C., by his Parents and Next Friend, Mr. and Mrs. C., Plaintiff-Appellee/Cross-Appellant, v. REGIONAL SCHOOL DISTRICT 10, BOARD OF EDUCATION, Defendant-Appellant/Cross-Appellee.
CourtU.S. Court of Appeals — Second Circuit

Winona W. Zimberlin, Hartford, CT, for Plaintiff-Appellee/Cross-Appellant J.C. By His Parents and Next Friend, Mr. and Mrs. C.

William R. Connon, Sullivan, Schoen, Campane & Connon, LLC, Hartford, CT, (Mark J. Sommaruga, on the brief), for Defendant-Appellant/Cross-Appellee Regional School District 10, Board of Education.

Arthur A. Smith, Mansfield Center, CT, for Amicus Curiae Education Law Project, Inc.

Bruce A. Goldstein, Bouvier, O'Connor, LLP, Buffalo, NY, for Amicus Curiae Bouvier, O'Connor, LLP.

Before: MINER, STRAUB, and B.D. PARKER, Circuit Judges.

B.D. PARKER, Circuit Judge.

Regional School District 10, Board of Education ("the Board") appeals from a judgment of the United States District Court, District of Connecticut, entered September 28, 2000. The District Court granted summary judgment and awarded attorneys' fees to J.C. pursuant to the Individuals with Disabilities Education Act, 20 U.S.C. § 1415(i)(3)(B) (1999) ("IDEA" or "the Act"), on the ground that J.C. was a prevailing party under the catalyst theory of recovery, applicable at the time under the law of this and other circuits. J.C. v. Reg. Sch. Dist. No. 10, 115 F.Supp.2d 297 (D.Conn.2000).

Following the District Court's decision and the Board's notice of appeal, the Supreme Court decided Buckhannon Board and Care Home, Inc. v. West Virginia Department of Health and Human Resources, 532 U.S. 598, 121 S.Ct. 1835, 149 L.Ed.2d 855 (2001). Buckhannon rejected the catalyst theory and interpreted the term "prevailing party" to require a judgment or similar form of judicially sanctioned relief as a predicate for attorneys' fees. Because J.C. obtained no judicially sanctioned relief, we reverse.

BACKGROUND

The IDEA sets forth detailed administrative procedures to guarantee disabled children an appropriate education. 20 U.S.C. §§ 1400 et seq. (1997). To this end, the Act requires that public schools create for each student with a disability a written individualized education program ("IEP") of study best suited to the child's special needs. Id. § 1414(d)(2)(A). An IEP is typically prepared by an IEP Team, consisting of parents, teachers, and educational specialists who meet and confer in a relatively informal, collaborative process to determine how best to accommodate the needs of the disabled student. Id. § 1414(d)(1)(B). In Connecticut, the IEP Team is known as a planning and placement team ("PPT"). Conn. Agencies Regs. § 10-76a-1(p) (1992).

The IDEA further requires schools to provide an opportunity for parents to present complaints through the IEP process with respect to any matter relating to the identification, evaluation, or educational placement of their child. 20 U.S.C. § 1415(b)(6). Whenever these complaints are not adequately addressed, the IDEA grants parents a right to mediation or to an impartial due process hearing, a more formal process conducted by the appropriate educational agency. Id. §§ 1415(e)(1), (f)(1). If the matter is not resolved satisfactorily during the due process hearing phase, parents then have a right to commence a civil action in federal court or an appropriate state court. Id. § 1415(i)(2)(A). In an action brought under 20 U.S.C. § 1415, "the court, in its discretion, may award reasonable attorneys' fees as part of the costs to the parents of a child with a disability who is the prevailing party." Id. § 1415(i)(3)(B). The IDEA qualifies this provision by providing that "[A]ttorneys' fees may not be awarded relating to any meeting of the IEP Team unless such meeting is convened as a result of an administrative proceeding or judicial action." Id. § 1415(i)(3)(D)(ii).

J.C. enrolled in Regional School District 10 in the fall of 1988, and in August 1995 his parents requested that the school district evaluate him for possible learning disabilities. The Board did not conduct an evaluation of J.C. at that time, and he was not offered special education. In the fall of 1997, J.C.'s parents again requested an evaluation, and this time, in response to their request, the school convened a PPT meeting at which J.C.'s parents met with teachers and professionals from the school district to assess and plan for J.C.'s educational needs. The PPT observed that J.C.'s grades had been inconsistent and that he had been identified as exhibiting signs of Attention Deficit and Hyperactivity Disorder. The PPT ordered a psychological assessment but ultimately concluded that J.C. did not require special educational services or accommodations.

J.C. was suspended from school in October 1998 for allegedly vandalizing a school bus, and his parents were notified that an expulsion hearing was scheduled for November 12, 1998. On November 11, 1998, J.C.'s parents, through their attorney, sent a letter to the Board seeking both a PPT and a due process hearing. They also requested that the Board fund an independent evaluation of J.C., determine his eligibility for special education, and permit him to return to school.

The Board responded by cancelling the expulsion hearing and scheduling PPT meetings to address these requests. The PPT convened on November 19, 1998 and agreed to order an independent psychological evaluation of J.C. On November 20, 1998, a pre-hearing conference was held at which the hearing officer postponed the due process hearing until J.C. could be evaluated. J.C. was evaluated on December 9, 1998, and the PPT reconvened on January 25, 1999 to discuss the results. The PPT determined that J.C. suffered from an educational disability and that his actions on the school bus were a manifestation of this disability. The school terminated the expulsion proceedings, and the PPT drafted an IEP that provided for all the other relief requested in the November 11 letter.

Following the PPT's decision, both parties agreed that no issues remained to be determined and jointly requested a hearing for the sole purpose of adopting the PPT's results as an official decision and order. At the hearing on April 13, 1999, however, the Board changed its mind, fearing that transforming the results of the PPT into an official decision would expose the Board to liability for attorneys' fees. The hearing officer declined to adopt the PPT's results as an official order, citing a Connecticut regulation that allows "[a] settlement agreement [to] be read into the record as an agreement between the parties only." Conn. Agencies Regs. § 10-76h-16(d) (2000). The results of the PPT were not read into the record, and the hearing officer issued a final written decision dismissing the hearing as moot.

Following the aborted April 13 hearing, J.C.'s parents sought attorneys' fees from the Board on the ground that J.C. was a prevailing party within the meaning of the IDEA because the PPT had afforded him the relief sought through the due process hearing. When the Board refused this demand, the parents filed suit in district court, seeking attorneys' fees under the IDEA, 20 U.S.C. § 1415(i)(3)(B), and § 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794a(b).1 Both parties moved for summary judgment and, in September 2000, the District Court denied the Board's motion and granted J.C.'s motion, awarding him $13,940 in attorneys' fees and $200 in costs pursuant to the IDEA. The court did not, however, award attorneys' fees for time spent preparing for and attending PPT meetings. J.C. subsequently moved for supplemental fees and the District Court granted his motion. Following the entry of judgment, the Board timely appealed. J.C. then cross-appealed seeking attorneys' fees for preparation for and attendance at the PPT meetings.

DISCUSSION

Generally, this Court reviews a district court's award of attorneys' fees under the IDEA for abuse of discretion. See G.M. v. New Britain Bd. of Educ., 173 F.3d 77, 80 (2d Cir.1999). But where, as here, the challenge is to a district court's interpretation of the fee statute itself, our review of this legal issue is de novo. Doyle v. Kamenkowitz, 114 F.3d 371, 374 (2d Cir.1997); Mautner v. Hirsch, 32 F.3d 37, 39 (2d Cir.1994).

As previously noted, the IDEA authorizes the award of reasonable attorneys' fees to the parents of a child with a disability who is the prevailing party. 20 U.S.C. § 1415(i)(3)(B). In determining that J.C. was a prevailing party and, thus, entitled to attorneys' fees, the District Court applied a two-part test, under which a party "prevails" whenever (1) the party obtains relief, and (2) there is a causal connection between the filing of the litigation or administrative proceeding and the relief obtained. See G.M., 173 F.3d at 81 (citing Wheeler v. Towanda Area Sch. Dist., 950 F.2d 128, 131 (3d.Cir.1991)). To meet the second part of this test, the District Court relied upon the catalyst theory of recovery, which finds a causal connection "`where even though the litigation did not result in a favorable judgment, the pressure of the lawsuit was a material contributing factor in bringing about extrajudicial relief.'" Id. (quoting Wheeler, 950 F.2d at 132). In awarding fees, the District Court determined that J.C. obtained all the relief he had sought and that the demand for a due process hearing was the catalyst to this recovery because it "was a material contributing factor in bringing about the settlement." J.C., 115 F.Supp.2d at 300-01.

Following the District Court's decision and the appeal to this Court, the Supreme Court decided Buckhannon Board and Care Home, Inc. v. West Virginia Department of Health and Human Resources, 532 U.S. 598, 121 S.Ct. 1835, 149 L.Ed.2d 855 (2001), which clarified the term "prevailing party." The decision held that, to be a...

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