Lynch v. Dukakis

Decision Date12 October 1983
Docket NumberNo. 82-1884,82-1884
Citation719 F.2d 504
PartiesPatricia LYNCH, et al., Plaintiffs, Appellees, v. Michael S. DUKAKIS, et al., Defendants, Appellants.
CourtU.S. Court of Appeals — First Circuit

Paul F. Ware, Jr., Sp. Asst. Atty. Gen., with whom Francis X. Bellotti, Atty. Gen., E. Michael Sloman and Ellen J. Janos, Asst. Attys. Gen., Paul E. Nemser, and Loretta M. Smith, Boston, Mass., were on brief, for defendants, appellants.

Pamela A. Taylor, Cambridge, Mass., with whom Jeffrey W. Kobrick, and Paula B. Mackin, Boston, Mass., were on brief, for plaintiffs, appellees.

Before McGOWAN, * Senior Circuit Judge, COFFIN and BREYER, Circuit Judges.

McGOWAN, Senior Circuit Judge:

This appeal from the district court raises questions regarding the adherence by the Commonwealth of Massachusetts to federal laws protecting children in foster homes. Appellants, the Governor and various subordinate officials of Massachusetts, seek to vacate, alter or amend a preliminary injunction requiring the Department of Social Services ("DSS") to provide a case plan and a periodic review of that plan to each child in foster care under the Commonwealth's supervision. In addition, the injunction prohibits DSS from assigning more than twenty "generic" cases per caseworker, and it directs DSS to assign all cases to a caseworker within 24 hours of receipt of a case by it.

On review of this injunctive order, we are asked to resolve three questions: (1) whether the district court abused its discretion by premising its action on issues not raised by the pleadings; (2) whether the district court was wrong to find that Title IV-E of the Social Security Act was enforceable in a section 1983 action; and (3) whether the district court exceeded its equitable powers in ordering the particular relief granted. We affirm the district court in all respects.

I.

This appeal arises out of a class action brought under 42 U.S.C. Sec. 1983 (Supp. V 1981) by Patricia Lynch as the named representative of a class composed of all children under the jurisdiction of Massachusetts's foster family home care system, and all members of the children's natural and foster families. 1 Lynch filed this action in August 1978 against the Governor, the Secretary of Human Services, the Commissioner of the Department of Public Welfare ("DPW"), various subordinate DPW officials and four DPW social workers. 2 Lynch contended, inter alia, that Massachusetts had deprived the class of its rights under section 408(f) of Title IV-A of the Social Security Act, 42 U.S.C. Sec. 608(f) (1976), "[b]y failing to develop and periodically review service plans" as required by the statute, Complaint p 80, 1 J.A. at 53.

Title IV-A of the Social Security Act, 42 U.S.C. Secs. 601-615 (1976 & Supp. V 1981), establishes a cooperative federal-state program of Aid to Families with Dependent Children ("AFDC"), which includes a program applicable to children under foster care, AFDC-Foster Care ("AFDC-FC"). Federal funding is delivered to families through state agencies. The federal government reimburses a state for a substantial proportion of its costs incurred in the provision of foster family home care and child welfare services. Reimbursement, however, is only available to a state agency if it operates under a state plan that meets Title IV-A standards and regulations promulgated thereunder. 3

Section 608 and its implementing regulations set out the federal standards that must be met by a state agency in order to receive federal AFDC-FC funds. Specifically, section 608(f) requires the state agency to develop and to review periodically a "plan" to assure that each eligible child under state supervised foster care receives proper care. Title IV-A contains no definition of a "plan" applicable in the instant case. 4 Title IV-A's foster care provisions were replaced, however, by Title IV-E on October 1, 1982. See Adoption Assistance and Child Welfare Act of 1980, Pub.L. No. 96-272 Sec. 101(a)(2)-(3), 94 Stat. 500, 512 (the "1980 Act"). Section 675 in Title IV-E does provide such an explicit definition of a "plan." See 42 U.S.C. Sec. 675(1) (Supp. V 1981). 5

In August 1981, Lynch moved for a preliminary injunction on behalf of the class, seeking, inter alia, to require Massachusetts and the DSS to perform its case plan and review obligations mandated by Title IV-A. On September 20, 1982, the district court, after an evidentiary hearing, granted Lynch's motion. 6 Title IV-A, however, was to be repealed effective September 30, 1982. Consequently, in fashioning its order for preliminary relief, the district court relied on the case plan and review provisions of Title IV-E, which were added by section 101(a)(1) of the 1980 Act, and which became effective on October 1, 1982. 1980 Act Sec. 101(a)(1), 94 Stat. at 501-12 (codified at 42 U.S.C. Secs. 670-676 (Supp. V 1982)). Section 671(a)(16) in Title IV-E requires the states to develop a "case plan" (defined in section 675(1)) for each child receiving foster care maintenance payments under the state plan, and to review the status of each child and the extent of compliance with the case plan at least every six months in accordance with section 675(5)(B). See 42 U.S.C. Secs. 671(a)(16), 675(1), 675(5)(B) (Supp. V 1981).

The district court held that in order to receive federal funds under Title IV-E, DSS would have to comply with the case plan and review requirements of that law. Sept. 20, 1982, Order at 1-2, 1 J.A. at 642-43. The court further ordered that "DSS may not assign to its social workers a number of cases that is greater than the number of cases that workers are able to carry and simultaneously fulfill their obligations [under Title IV-E] to provide case plans and periodic review." Id. at 3, 1 J.A. at 644. The court stated that, in determining DSS's compliance with the social worker caseload order, it would enforce a rebuttable presumption that caseworkers are able to carry twenty "generic" cases and still complete their case plans and reviews. Id. The court ordered that DSS assign each case to a caseworker within 24 hours of DSS's receipt of the case. Id. Finally, the court directed the DSS to submit a report demonstrating DSS's compliance with the court's order within 60 days of DSS's submission of a Title IV-E plan to the Secretary of the Department of Health and Human Services (Secretary). Id. at 3-4, 1 J.A. at 644-45.

II.

Massachusetts contends that the district court order was "tainted" because it granted relief premised on the court's determination of Title IV-E issues that were not raised in the complaint or considered at the hearings on the preliminary injunction, and of which Massachusetts had no notice prior to the close of evidence. The Commonwealth claims that in all fairness the district court should have reopened the preliminary injunction hearings so that it could have presented evidence regarding (1) its anticipated compliance with Title IV-E, see Brief of Appellants at 20-22 (examples of evidence relevant to Title IV-E compliance), and (2) the propriety of the court's choice of preliminary relief, id. at 23. Massachusetts argues that, in deciding Title IV-E issues without its consent, the court acted unfairly and to the Commonwealth's prejudice.

Rule 15(b) of the Federal Rules of Civil Procedure provides in part:

When issues not raised by the pleadings are tried by express or implied consent of the parties, they shall be treated in all respects as if they had been raised in the pleadings. Such amendment of the pleadings as may be necessary to cause them to conform to the evidence and to raise these issues may be made upon motion of any party at any time, even after judgment; but failure so to amend does not affect the result of the trial of these issues.

An amendment to conform the pleadings may be made at any time on motion of any party. Indeed, even the failure to make an amendment at all does not affect the judgment. See Cabel v. United States, 113 F.2d 998, 1000 (1st Cir.1940). The purpose of an amendment to conform to proof is to bring the pleadings in line with the actual issues upon which the case was tried. Therefore, an amendment after judgment is not permissible if it brings in some entirely extrinsic issue or changes the theory on which the case was actually tried, even though there is some evidence in the record--introduced as relevant to some other issue--that would support the amendment. See Vargas v. McNamara, 608 F.2d 15, 18 n. 3 (1st Cir.1979). The test of consent by implication to the trial of claims not set forth in the complaint is whether a party did not object to the introduction of evidence or introduced evidence himself that was relevant only to that issue. Rokowsky v. Gordon, 531 F.Supp. 435, 437 (D.Mass.1982) (citing Marston v. American Employers Insurance Co., 439 F.2d 1035, 1042 (1st Cir.1971)), aff'd, 705 F.2d 439 (1st Cir.1983). See also 3 J. Moore, Moore's Federal Practice p 15.13, at 15-174 to -175 (2d ed. 1983). Even if this test is met, amendment should not be allowed if it would prejudice a party. Scully Signal Co. v. Electronics Corp. of America, 570 F.2d 355, 362 (1st Cir.1977), cert. denied, 436 U.S. 945, 98 S.Ct. 2848, 56 L.Ed.2d 787 (1978).

Appellees, as plaintiffs below, failed to file a motion to amend their complaint to include causes of action under Title IV-E. The district court therefore correctly refused to consider any claims under Title IV-E. Although appellees-plaintiffs introduced evidence relevant to claims under Title IV-E, the district court noted:

[I]n light of the complexity of the issues presented with respect to plaintiffs' claims under [Title IV-A], evidence relevant to claims under any additional provisions may well have been perceived by defendants simply as proof of plaintiffs' assertions under [Title IV-A] and not as evidence raising issues or claims not pleaded.

Sept. 20, 1982, Opinion at 6 n. 5, 1 J.A. at 591. The...

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