# Petitioners Brief — Dellmuth v. Muth

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## Record

- **Collection:** Supreme Court brief
- **Document type:** Petitioners Brief
- **Published:** January 1, 1989
- **Citation:** 491 U.S. 223

## Text

——
Supreme Court, U.S.
( ) FILED
) DEC 1 1988
NO. -87-1855 |

| | JO@EPH F. SPANIOL, JR.
IN THE SUPREME COURT /OF_THE CLERK |
UNITED STATES;wwe ..._

*

OCTOBER TERM, 1987

THOMAS K. GILHOOL,
Petitioner

Vv.

RUSSELL A. MUTH, JR, et al.,
Respondents

On Writ Of Certiorari To The
United States Court Of Appeals
For The Third Circuit

BRIEF FOR PETITIONER

LeRoy S. Zimmerman
Attorney General

Maria Parisi Vickers

Chief Deputy Attorney General
Chief, Eastern Region

Counsel of Record

John G. Knorr, III
Chief Deputy Attorney General
Chief, Litigation Section

Gregory R. Neuhauser
Senior Deputy Attorney General

Attorneys for Petitioner

OFFICE OF ATTORNEY GENERAL
206 State Office Bldg.
Philadelphia, PA 19130
Telephone (215) 560-2402

0?

i. Whether the Education for All
Handicapped Children Act, which makes no
mention of the Eleventh Amendment and
does not refer to State liability, thus.
fails to contain the requisite
unmistakable expression of Congressional
intent needed to abrogate the Eleventh
Amendment immunity of the States?

2. Whether Pennsylvania's Secretary
of Education, a cabinet member and chief
executive officer of the Department of
Education, should be precluded from
deciding special education administrative

appeals under the Act?

TABLE OF CONTENTS

QUESTIONS PRESENTED ..........

TABLE OF AUTHORITIES ........4..

OPINIONS BELOW .....ceeeeeveves

STATEMENT OF JURISDICTION .....

CONSTITUTIONAL PROVISIONS

INVOLVED ..

STATUTORY PROVISIONS INVOLVED..

STATEMENT OF THE CASE .........

RGUMENT

UMMARY OF ARGUMENT ........+.4.-.

I. CONGRESS DID NOT
ABROGATE THE STATES'
ELEVENTH AMENDMENT
IMMUNITY WHEN IT
ENACTED THE EDUCATION
FOR ALL HANDICAPPED
CHILDREN ACT .........

II. THE EHA DOES NOT

PRECLUDE REVIEW OF

DUE PROCESS HEARINGS
BY A CHIEF EXECUTIVE
OFFICER OF THE STATE
AGENCY WHEN THE STATE
AGENCY IS NOT INVOLVED
IN THE DEVELOPMENT OF
THE INDIVIDUALIZED
EDUCATION PROGRAM

oitin

ll

24

27

58

93

CASES PAGE
Alabama v. Pugh,
438 U.S. 781 (1978) ........ 28
Atascadero State Hospital
v. Scanlon,
473 U.S. 234 (1985) ........ passim.
Brandon E, v. Wisconsin Dept.
of Public Instruction,
595 F.Supp. 740
er. ., BOOED coccccecs 87
Burlington School Committee of
the Town of Burlington v.,_
Department of Education,
471 U.S. 359 (1985) ........ 54,
58, 59
60
Cain v. Yukon Public
School District,
* 775 F.2d 15
PMs BOGOR. ccccccccces 87
vy. Piphus,
435 U.S. 247 (1978) ......-. 55, 56
Colin K. by John K.
vy, Schmidt,

715 F.2d 1 (lst Cir. 1983).. 87

-iii-

David D. v. Dartmouth
Schoo] Committee,
775 F.2d 411 (lst Cir. 1985)
cert. denied, 475 U.S. 1140
Ta. dngenveucens sweeebouks 39, 40

793 F.2d 1470 (9th Cir. 1986),
affirmed on other grounds sub nom.

Honig v. Doe, No. 86-728

eT ee eee 41
Dugan v. Rank,

a i, Oe CMOS 6no ceews 29
Edelman v. Jordan,

Ee 27,
28, 29,

31

Employees of Department of
Public Health and Welfare v.
Missouri Department of Public
Health and Welfare,

See Wa ee nD oseetecees 27, 31

ae als Be CD dcctecesece 44, 54
Fitzpatrick v. Bitzer,

ae as Ge OE Sacscdeces 30
Garcia v. San Antonio

469 U.S. 528 (1985) .......... 35, 36

@i Yo

, ,
Are ee
796 F.2d 940 (7th Cir. 1986)

Goldberg v. Kelly,

397 U.S. 254 (1970) .... «uae

Green v. Mansour,

474 U.S. 64 (1985) ..........

672 F.2d 321 (3d Cir. 1982)

Hans v. Louisiana,

134 U.S. 1 (1890) ....-eeeeees

Helms v. McDonald,

647 F.2d 800 (5th Cir. 1981),

cert. denied 455 U.S. 946

458 U.S. 176 (1982) ........
59, 65

-Hensley v. Eckerhart,

461 U.S.C. 424 (1983) .......

Honig v. Doe,

No. 86-728 (Jan. 20, 1988)...

Hortonville Joint School Dist.
No. ] v. Hortonville
Educational Ass'n,

426 U.S. 482 (1976) .....4.4..

41

74

44

87

27

87

58,

84

22

41, 58,

60

73

Hutto v. Finney,

437 U.S. 678 (1978) .........

749 F.2d 652

CABER CEE. B9OE) ccccccccceces

Miener v. State of Missouri,
673 F.2d 969 (8th Cir.
1982), cert. denied,

459 U.S. 909 (1983) .........

Mills v. Board of Education
, tobeleh at ikea

348 F.Supp. 866 (D.C. 1972)..

Parden v. Terminal Ry. Co.,

377 U.S. 184 (1964) ..........

Pennhurst State School
and Hospital v. Halderman,

465 U.S. 89 (1984) ..........

Pennsylvania Association
for Retarded Children v.
Commonwealth of Pennsylvania,
343 F.Supp. 279
(E.D. Pa. 1971) and
343 F.Supp. 1257

Some DOs BOTED coccccccceces

Quern v. Jordan,

440 U.S. 332 (1979) ........4..

-vi-

87

41

59,

27

27,
29,

72

28,

passim.

25,
33

31,

Reitel v. Sonotone Corp..,

8 2 Se FO ae 69
Robert M. v. Benton,

634 F.2d 1139

DC. MED ccscoccesceces 87
Smith v. Robinson,

468 U.S. 992 (1984) ......... 58, 59
United States v. Morgan,

rn iii, Ge CMD coocevess 73
Victoria L. by Carol A. v.
District School Board,

741 F.2d 369

CRU Gee. BBD ccccccccence 87

Vogel v. School Board of
Montrose,

491 F.Supp. 989

Ss Gs BED “SC ceccccosceess 87

420 U.S. 308 (1975) ........4.. 45
CONSTITUTIONAL PROVISIONS PAGE
U.S. Const. Amend. XI ......... passim.
U.S. Const. Amend. XIV,

rh. BD ese e6eeeb6eo0seeesses 5

ES er 5, 30

-vii-

FEDERAL STATUTES AND REGULATIONS PAGE

Education for All Handicapped
Children Act of 1975,
P.L. No. 74-172,

20 U.S.C. §§1400-1461 ......... passim.
20 U.S.C. §1400(b)(9) ......... 6. 3?.
50
BO U.B.C. BAGRRCG) wccccccccecs 79
eT Te ere 80
20 U.S.C. §1413(a)(3)(A) ...... 81
20 U.S.C. §1413(a)(3)(B) ...... 81
BO GU.B.C. BAGAECD) cecccccceccs 81
20 U.S.C. §1414(b)(2)(A)(i) ... 81
20 U.S.C. §1414(b)(3) ......... 83
20 U.S.C. §1414(d) ........00.. 72, 82
i. Pee . oc ccwneeees 6
ZO BU.B.C. SISGASCD) coccccccvces 82
20 U.S.C. §1415(b)(1) ......... 7
20 U.S.C. §1415(b)(2) ......6.-, 8,
61, 69,
70
26 U.8.C. BIEIS(S) wccccccccces 8, 62
BO U.B.6C. BRGRE ccccccceocevess 53
-viii-

ne A EO a ee Ae.

Handicapped Children's
Protection Act,

Pub. L. 99-372,

100 Stat. 796 (1986)

codified at

ep ames MOORREGD cocvccecceces 38

20 U.S.C. §1415(e)(2) ......-.- 9, 37

20 U.S.C. §1415(e)(4)(G) ...... 10, 38,
43

Rehabilitation Act
of 1973 (§504)
29 U.B.C. SIGE wccccccvcccvesses 15, 34

29 U.S.C. §794a(b) .......eeeee 46

Rehabilitation Act
Amendments of 1986,
Pub. L. 99-506,

100 Stat. 1807 (1986)

ee ee’ eee 47, 48
ee, cho ectcevsdeeee 15,
31, 46

OD Di, DIED ccanccvcessesess 45, 46
SO U.8.. GRBBELAD oc ccccsccess 3

00 O.Ow. CLE ccvcctsdesss 63

-~ix-

ee eS a rer

42 Pa.Cons.Stat. §8521(b)

PA O.B. GEPBAGDCAD co cvccccss

MISCELLANEOUS

3 K. Davis, Administrative
Law Treatise §19:2, at 372

C2G GG, J9GO) cocccccccccccees

1 Koch, Administrative Law
and Practice

meets GS GSO CSCO) cccccccess

S. Conf. Rep. No. 94-455,
94th Cong. lst Sess. 47,

reprinted in 1975
U.S. Code Cong. & Ad. News

BETO wcccccccccccccceceseccees

S. Conf. Rep. No. 94-455,
94th Cong., lst Sess. 49,

reprinted in 1975
U.S. Code Cong. & Ad. News

BEGG, 2908 wccccccccecscsvccces

S. Conf. Rep. No. 94-168,

94th Cong., 2d Sess. 29, 47,

reprinted in 1975
U.S. Code Cong. & Ad. News

GZS, 24393, 24670 wcccccecccces

74

74

63

88

80,

91

ts

United States Department
of Education Fourth Annual
Report to Congress on

the Implementation

of Public Law 94- 142:

The Education for All

Handicapped Children Act
el ee ae eee ane ee 6 68 78

United States Department

of Education Ninth Annual

Report to Congress on

the Implementation

of the Education of the —

Handicapped Act,

FO GEE bodebecesccoesencecece 77

-xi-

NO. 87-1855

IN THE SUPREME COURT OF THE
UNITED STATES

OCTOBER TERM, 1987

THOMAS K. GILHOOL,
Petitioner

Vv >.

RUSSELL A. MUTH, JR, et al.,
Respondents

ON WRIT OF CERTIORARI TO THE
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT

is

OPINIONS BELOW

The opinion of the Court of Appeals

reported at 839 F.2d 1133 (3d Cir.

1988) and may be found in the appendix to

the

petition for writ of certiorari.

(Pet. App. la).

The District Court opinion of June 2,
1986 is reported at 646 F.Supp. 280
(E.D. Pa. 1986) and may be found in the
appendix to the petition for writ of
certiorari. (Pet. App. 83a).

The District Court opinion of
August 28, 1986 has not been reported but
may be found in the appendix to the
petition for writ of certiorari.
(Pet. App. 112a).

The District Court opinion of
February 20, 1987 has not been reported
but may be found in the appendix to the

petition for writ of certiorari.

(Pet. App. 19la).

STATEMENT OF JURISDICTION

The opinion of the Court of Appeals
was filed on January 29, 1988.
(Pet. App. la) and the petition for
certiorari was filed within ninety days
thereafter. The jurisdiction of the Court
is invoked pursuant to 28 9.6s¢.

§1254(1).

CONSTITUTIONAL PROVISIONS INVOLVED

Re The Eleventh Amendment to the

United States Constitution provides:

The Judicial power of the
United States shall not be
construed to extend to any
suit in law or equity,
commenced Or prosecuted
against one of the United
States by Citizens of another
State, or by Citizens or
Subjects of any Foreign
State.

U.S. Const. Amend. XI.
2. The Fourteenth Amendment to -the
United States Constitution provides in

pertinent part:

. All persons born or
naturalized in the United
States, and subject to the
jurisdiction thereof, are
citizens of the United States
and of the State wherein they
reside. No State shall make
or enforce any law’ which
shall abridge the privileges

» & «

Or immunities of citizens of
the United States; nor shall
any State deprive any person
of life, liberty, Or
property, without due process
of law; nor deny to any
person within its
jurisdiction the equal
protection of the laws.

U.S. Const. Amend. XIV, Sec. l.

The Congress’ shall have the
power to enforce, . by
appropriate legislation, the
provisions of this article.

U.S. Const. Amend. XIV, Sec. 5.

:
|
|
|
|
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STATUTORY PROVISIONS INVOLVED

20 U.S.C. §1400. Congressional
Statements and Declarations

(b) Findings

The Congress finds that -

(9) it is in the national
interest that the Federal
Government assist State and
local efforts to provide
programs to meet the
educational needs of
handicapped children in order
to assure equal protection of
the law.

§1415. Procedural Safeguards

Establishment and maintenance

(a) Any State educational
agency, any local educational
agency, and any intermediate
educational unit which
receives assistance under

this subchapter shall

establish and maintain
procedures in accordance with
subsection (b) through
subsection (e) of this
section to assure that
handicapped children and
their parents or guardians
are guaranteed procedural
safeguards with respect to
the provision of free

appropriate public education
by such agencies and units.

Required procedures; hearing

(b) (1) The procedures
required by this section sha)l
include, but shall not be

limited to -

(E) an opportunity to
present complaints with
respect to any matter relating
to the identification,
evaluation, or educational
placement of the child, or the
provision of 4 free

appropriate public education
to such child.

20 U.S.C. §1415(b)

(2) Whenever a complaint has

been received under
paragraph (1) of this
subsection, the parents Or
guardian shall have an

opportunity for an impartial
due process hearing which
shall be conducted by the
State educational agency or by
the local educational agency
or intermediate educational
unit, as determined by State
law or by the State

educational agency. No
hearing conducted pursuant to
the requirements of this

paragraph shall be conducted
by an employee of such agency
or unit involved in the
education or care of the
child.

Review of local decision by State
educational agency

(c) If the hearing required in
paragraph (2) of subsection (b)
of this section is conducted by
a local educational agency or

an intermediate educational
unit, any party aggrieved by
the findings and decision

rendered in such a hearing may
appeal to the State educational
agency which shall conduct an
impartial review of such
hearing. The officer
conducting such review shall
make an independent decision
upon completion of such
review.

20 U.S.C. -§1415(e)

Civil action; jurisdiction;
attorneys fees

(2) Any party aggrieved by the
findings and decision made
under subsection (b) of this
section who does not have the
right to an appeal under
subsection (c) of this section,
and any party aggrieved by the
findings and decision under
subsection (c) of this section,
shall have the right to bring a
Civil action with respect to
the complaint presented
pursuant to this section, which
action may be brought in any
State court of competent
jurisdiction or in a district
court of the United States
without regard to the amount in
controversy. In any action
brought under this paragraph
the court shall receive the
records of the administrative
proceedings, shall hear
additional evidence at the
request of a party, and, basing
its decision on the
preponderance of the evidence,
shall grant such relief as the
court determines is
appropriate.

20 U.S.C. §1415(e)

(4) (G) The provisions of
subparagraph (F) [describing
Situations when the court shall
reduce attorneys fees awarded
under this section] shall not
apply in any action Or
proceeding if the court finds
that the State or local
educational agency unreasonably
protracted the final resolution
of the action or proceeding or
there was a violation of this
section.

STATEMENT OF THE CASE

l. This case arises out of a
dispute over the appropriate educational
program for a gifted handicapped child.
Respondent Russell A. Muth, Jr., alleged
that his son, Robert Alexander Muth
(Alexander), was denied a “free,
appropriate public education" in
violation of the Education for All
Handicapped Children Act of 1975,
Pub. L. No. 94-172, codified at
20 U.S.C. §§1400-1461, (the “Act” or
“EHA"). (Pet. App. 14la).

The defendants were the Pennsylvania

]

Secretary of Education, the Central

Bucks (Pennsylvania) School District,

lthe original defendant was
Secretary Robert C. Wilburn, sued only
in his official capacity. His current

successor in: office is Thomas K.
Gilhool, the petitioner in this Court.

oe. S28 «

niall

and Dr. Thomas L. Newman, Superintendent
of the School District. (School District
defendants) (Pet. App. la-8a).

2. Alexander, already diagnosed as
learning disabled, first enrolled in the
Central Bucks School District in 1980
where an individualized edvcational
program (IEP) placed him in a learning
disability resource room for some
subjects and “mainstreamed,” or placed
him in regular classes, for other
subjects. Changes in Alexander's’ IEP
were made with his father's
participation and approval until June of
1983, when the School District proposed
placing Alexander in the learning
disabled classroom setting for all
substantive subjects in the 1983-84

school year. (Pet. App. 9a-lla).

oe 12 «

Muth disagreed with the School

District's proposal, requested a due
process hearing and requested that no
change be made in Alexander's current
placement until a hearing was held. In
September 1983, Muth enrolled Alexander
in a private school in Massachusetts for
learning disabled students.”
(Pet. App. 13a).

The due process hearing was held on

September 30, 1983 before an impartial

hearing officer who, on October 3l, 1983

2Alexander remained at that
private school until April 1985 when he
was transferred by his father to Wyncote

Academy, a private school in
Pennsylvania with no special education
program. At the beginning of the
academic year 1986-87, Aiexander

returned to the Central Bucks’ School
District. (Pet. App. 134a-135a)

made recommendations which included
changes in the IEP proposed by _ the
School District but did not order that
Alexander be placed in a private school
as Muth had requested. Both Muth and
the School District appealed the hearing
officer's decision to the Secretary of
Education who remanded the case to the
hearing officer with instructions to the
School District to revise the IEP. The
revised IEP was presented to the hearing
officer, but Muth raised objections and
on July 25, 1984 the hearing officer
decided that the modified IEP was an
appropriate program of Education for
Alexander.

Muth appealed to the Secretary and
on October 24, 1984 the Secretary
affirmed the hearing officer's
decision. While these administrative

proceedings were underway, on April 27,

> «

1984, Muth filed suit in federal

district court. (Pet. App. 13a-17a).

a. In the District Court, Muth
Claimed that Alexander was denied a
"free, appropriate public education” in
violation of the EHA, § 504 of the
Rehabilitation Act of 1973, 29 U.S.C.
§ 794 ("§ 504") and 42 U.S.C. § 1983.
Muth sought reimbursement for his son's
tuition for the private school placement
he claimed was the suitable’ placement
for his child. (J. App. 11-13, 35).
Thereafter, on March 21, 1985, Muth
sought and was granted leave to file an
amended complaint in which he dropped
the claims pursuant to § 504 and
§ 1983. (J. App. 6, 39). In response
to the Secretary's motion for summary
judgment, the District Court held that
the Eleventh Amendment’ barred Muth's
Claim for retroactive monetary relief
against the Secretary but left open the

=

a

question of whether injunctive relief
would be appropriate. (J. App.
50-51).) Muth was then permitted to
file a second amended complaint in which
the District Court allowed him to raise
two issues against the Secretary:
(1) whether the Secretary's involvement
in the due process hearing violated
Muth's due process’ rights under the
EHA; and (2) whether the delays in
the due process procedure violated
plaintiff's rights under the EHA. The
District Court did not permit Muth to
raise damage claims based on the
Fourteenth Amendment and expressly
precluded a claim which sought tuition
reimbursement from the State (J. App. 80-

82). The second amended complaint also

3Muth raised this issue for the
first time in the second amended
complaint. -

ol EEE oor

named the School District defendants who

were alleged to have denied Alexander a
free appropriate public education in
violation of the EHA. The relief sought
encompassed declaratory and injunctive
relief, reimbursement for private school
placement and attorney's fees.
(J. App. 100-101).

By memorandum opinion and order of
June 2, 1986, the District Court held
that Pennsylvania's statutory scheme for
providing parents of handicapped
children with administrative process
violates the provisions of the EHA.
More specifically, the District Court
held:

(1) that Pennsylvania's

initial hearing and review are
both conducted at the _ state

level in contravention of
federal law, (Pet. App.
90a-95a);

o 29 «

(2) that even if the initial
hearing were a local one, a
remand by the Secretary to the
hearing officer violates’ the
finality requirement of
federal law, (Pet. App.
102a-104a); and

(3) that because the

Secretary must be considered

an employee of Pennsylvania's

state educational agency, he

is an improper reviewing

officer under federal law.

(Pet. App. 10la-102a).

The District Court did not resolve
the issue of tuition reimbursement,
stating that it would hold a hearing to
determine whether the IEP which the
School District had proposed would have
provided Alexander with an appropriate
free education. (Pet. App. 108a).
Prior to trial, the District Court

advised the Secretary that it would

reconsider whether the Eleventh

—

Amendment presents’ a jurisdictional bar

to an award of money damages against the
Secretary, and invited submission of a
trial brief on that issue.
(Pet. App. 168-169).

4. After a bench trial, the
District Court issued an opinion and
order on August 28, 1986, holding that
the IEP prepared by the School District
for the 1983-84 school year would have
afforded Alexander an appropriate
education. (Pet. App. 156a) However,
in light of the procedural violations
previously found, and without any
finding of substantive due process

deprivations, the District Court held

4In effect, the District Court
thus modified its previous ruling and
permitted an amendment to the second
amended complaint, to allow Muth to
raise a money damage claim against the
Secretary.

» is

that Muth was entitled to reimbursement
for one year's private school expenses
for his handicapped child. (Pet. App.
166a). While acknowledging that the
School District was prepared, in
September 1983, to provide Alexander an
appropriate education, the District
Court nonetheless found that the
10 month delay caused by the Secretary's
remand precluded Muth (1) from
participating in the process which
directly affected his son's education,
(Pet. App. 165a), and (2) from
reevaluating (in December 1983 rather
than in October 1984) the wisdom of
Alexander's private school placement.

(Pet. App. 166a). Consequently, the
District Court held that the appropriate
remedy was reimbursement for one full

year of tuition at the private school.

e 36 «

The District Court further held that
the EHA abrogated the Eleventh Amendment
immunity of the states; consequently,
the Secretary, sued in his official
Capacity, was found to be jointly and
severally liable with the School
Distiict for the reimbursement award
made to Muth. (Pet. App. 174a-177a;
187a-188a). In an opinion filed on
February 20, 1986, the District Court
awarded Muth attorney's fees to be paid
jointly by the Secretary and the School
District. (Pet. App. 210a-212a).

-¥ The parties cross-appealed to
the Court of Appeals for the Third

Circuit, which affirmed the judgment of

the District Court on every issue except

its award of attorneys' fees.
[Pet. App. 4a-5a).> That issue was
remanded to the District Court’ for
allocation of fees in accordance with

Hensley Vv. Eckerhart, 461 U.S. 424
(1983). [Pet. App. 8la-82a].

SThe Court of Appeals saw no need
to reach the issue of whether
Pennsylvania's two-step hearing and
review procedure conforms to federal
law. (Pet. App. 52a-58a). Therefore, a
reversal by this Court on the issue of
the Secretary's participation in the
administrative review procedure will
require a remand to the Court of Appeals
for a decision on that unaddressed issue.

» 22 «

The Secretary's petition for
rehearing en banc was denied. He sought
and was granted review from this Court
on the issues of the Eleventh Amendment
and the bar to his hearing’ special
education appeals under the EHA. The
Secretary's petition for writ of
certiorari was granted on October 3,

1988.

SUMMARY OF ARGUMENT

l. The Court of Appeals erred in
holding that by enacting the EHA
pursuant to Section 5 of the Fourteenth
Amendment, Congress abrograted the
sovereign immunity of the States as it
is constitutionalized by the Eleventh
Amendment. Such abrogation is possible,
but only when Congress makes "its
intention unmistakably clear in the
language of the statute,” Atascadero
State Hospital v. Scanlon, 473 U.S. 234,
242 (1985). There is no clear language
in the EHA, or the 1986 amendment upon
which the Court of Appeals also relies,
which even suggests that Congress
considered eliminating the States’
immunity from suit in federal court.

2. The principle of federalism
which this Court repeatedly has
recognized demands that Congressional

oe 26 «

QC EEE eee |

intent to subject States to suit in
federal court be clearly articulated,
even when Congress legislates to
guarantee constitutionally protected
rights. Quern v. Jordan, 440 U.S. 332
(1979).

Be The clear Congressional intent,
which has been misunderstood by the
Court of Appeals, is that the EHA be a
cooperative effort between the States
and the Federal Government. The purpose
of this joint effort is the education of
handicapped children. Exposing the
States to money damage awards for some
misjudgment in the placement of a child
Or for a procedural due process
violation defeats the goals of the
Statute by depleting the very funds that
States can use for the education of

handicapped youngsters.

~- 26 @

4. The Court of Appeals also erred
by holding that the EHA's due process
hearing procedure precludes
Pennsylvania's Secretary of Education
from acting as an impartial reviewing
officer because he is the employee of an
agency “involved in the education of the
child.”

Under this view, the Secretary is
involved in the education of every child
in Pennsylvania simply because he is the
responsible supervisor of the _ entire
educational system in the State. This
interpretation of the statutory language
is at odds with the expressed goal of
the EHA to make the Secretary
responsible for the delivery of
educational services to the handicapped;
moreover, it is contrary to traditional

concepts of impartial decision making.

—

Be CONGRESS DID NOT ABROGATE THE
STATES ' ELEVENTH AMENDMENT
IMMUNITY WHEN IT ENACTED THE
FDUCATION FOR ALL HANDICAPPED

CHILDREN ACT

In a long line of cases, this Court
consistently has interpreted the
Eleventh Amendment as constitionalizing
the principle of state sovereign
immunity, thus precluding suits against
a State in federal court by citizens of

that State or other States. Atascadero

State Hospital v. Scanlon, 473 U.S. 234
(1985); Pennhurst State School and
Hospital v, Halderman, 465 U.S. . 89
(1984); Edelman v. Jordan, 415 U.S. 651,
(1974); Employees of Department of
Public Health and Welfare v. Missouri

Department of Public Health and Welfare,
411 U.S. 279 (1973); Parden v. Terminal
Ry. Co., 377 U.S. 184. (1964); Hans v.

Louisiana, 134 U.S. 1 (1890).

The Eleventh Amendment is applicable
to suits seeking money damages, Edelman
v. Jordan, as well as suits seeking
equitable relief, Pennhurst, 465 U.S. at
100-101; Alabama _v. Pugh, 438 U.S. 781
(1978). A State may consent to suit
against it in federal court, thereby
waiving its immunity, but Pennsylvania
has specifically withheld consent.
42 Pa.Cons.Stat. §8521(b), Pennhurst,
465 U.S. at 103 n. 12. In the absence
of consent, a suit against the State or
one of its agencies is proscribed by the
Eleventh Amendment. Pennhurst, 465 U.S.
at 100.

Moreover, the Eleventh Amendment is
a complete bar to suit against a state
official who is sued, as the petitioner
is sued here, in his official capacity,

regardless of whether the suit seeks

a o-

damages or injunctive relief. Dugan v.

Rank, 372 U.S. 609 (1963); Pennhurst,

465 U.S. at 100-103.

Although this Court has not decided
whether prospective injunctive’ relief
may be granted against state officials
for violations of federal statutory law,
Pennhurst, 465 U.S. at 104 n. 13,°
retroactive monetary relief is barred by

the Eleventh Amendment. Edelman Vv.

Jordan, 415 U.S. at 666-667.

6Edelman _v. Jordan, is not to the
contrary. In Edelinan, the state
conceded liability for prospective
relief. 415 U.S. at 664.

a

A. In this case, the Court of
Appeals for the Third Circuit has
misapplied the decisions of this Court
when it held that Congress, by enacting
the EHA pursuant to §5 of the Fourteenth
Amendment, has abrogated the States’
Eleventh Amendment immunity to. suit.
(Pet. App. 7la-72a). The Secretary
concedes that Congress has the power to
abrogate the States' Eleventh Amendment
immunity without the States* consent
when it legislates to enforce the

substantive provisions of the Fourteenth

Amendment ; however, there must be
unequivocal evidence of such
abrogation. See Fitzpatrick v. Bitzer,

427 U.S. 445, 456 (1976). This Court
has long held that the mere literal
inclusion of the States among those to

whom 4 statute applies does. not

os 2 «

suffice to eliminate the States'
Eleventh Amendment immunity. Scanlon,

supra, 473 U.S. at 245-46; Employees,

Supra, 422 u.S. at 283-85.

In Quern v. Jordan, 440 U.S. 332
(1979) the Court reaffirmed the holding
in Edelman v. Jordan, that the Civil

Rights Act of 1871, 42 U.S.C. §1983,
does not abrogate the States‘ Eleventh
Amendment immunity despite the Act's
clear intent to vindicate individual
rights protected by the Fourteenth
Amendment. There the Court stated:

There is no question that

both the supporters and

opponents of the Civil

Rights Act of 1871 believed
that the Act ceded to the

Federal Government many
important powers that
previously had been

considered to be within the
exclusive providence of the
individual states.

[NJeither logic, the
circumstances surrounding
the adoption of the
Fourteenth Amendment, nor
the legislative history of
the 1871 Act compels, or
even warrants, a leap from
this proposition to the
conclusion that Congress
intended by the general
language of the Act to

overturn the
constitutionally guaranteed
immunity of the several
States.

®

Given the importance of the
States’ traditional
sovereign immunity, if in
fact the Members of the 42nd
Congress believed that §1 of
the 1871 Act overrode that
immunity, surely there would
have been lengthy debate on
this point and it would have
been paraded out by the
opponents of the Act, along
with the other evils’ that
they thought would result
from the Act. Instead, §1
passed only with limited
debate and not one Member of

Congress mentioned the
Eleventh Amendment or the
direct . financial

consequences to the States
of enacting §1. We can only

28 «

conclude that silence on the

matter is itself a

significant indication of

the legislative intent of §1l.
Quern, 440 U.S. at 342-343.
Certainly the rights Congress sought to
protect by the passage of the Civil
Rights Act are as constitutionally
compelling as the right to equal
education which is being advanced by the
EHA, yet Congress did not abrogate the
States’ immunity in 1871 and it has not
done so in the EHA.

The Third Circuit's conclusion that,
in enacting the EHA Congress abrogated
the States’ constitutionally guaranteed
immunity, fails to satisfy the stringent
criteria defined by this Court in
Scanlon. There, the Court refused to

find such abrogation of immunity in

Congressional passage of the

>

Rehabilitation Act, 29 U.S.C. §794’
and announced that it will look no
further than the four corners of a
statute to discern Congressional intent
to abrogate State sovereign immunity.

The Court said:

In making this argument,
respondent relies on the pre-
and post-enactment
legislative history of the
Act and inferences f rom
general statutory language.
To reach respondent's
conclusion, we would have to
temper the requirement, well
established in our cases,
that Congress unequivocally
express its intention to
abrogate the Eleventh
Amendment bar to suits

7The statute at issue in Scanlon
is similar to the statute at issue
here. Both provide a private right of
action for prospective relief for all
aggrieved parties and neither explicitly
provides a damage remedy or other
retroactive relief. Both involve
programs through which States receive
federal assistance.

a S28 «

against the States in federal

court. We decline to do so
and affirm that Congress may
abrogate the States’
constitutionally secured

immunity from suit in federal
court only by making its
intention unmistakably clear
in the language of the
statute.
473 U.S. at 242 (citations omitted).
Because abrogation of state immunity
alters the “constitutionally mandated
balance of power between the States and
the Federal Government,” Ibid. (quoting
Transit Authority, 469 U.S. 528, 556
(1985) (Powell, J., dissenting)), the
Court emphasized that an unusually high
standard of certainty of Congress‘
intent is required to strip the states
of their immunity before it will permit
lower courts to upset this balance. The

Scanlon approach "ensures such

certainty.” 473 U.S. at 243. This

unusually strict rule of construction is
necessary to guard against expansion of
federal court jurisdiction by judicial
interpretation and to ensure that lower
federal courts will not misinterpret the
intent of Congress at the expense of the.
federal system. Id.

Although Congress has the power to
override Eleventh Amendment immunity, it
does not necessarily follow that it
exercised such power in enacting the
EHA. In fact, all indicia are to the
contrary; there is no reference, either
in the language of the statute itself or
in the legislative history, that
Congress intended this statute to
abrogate rights reserved to the States
by the Eleventh Amendment. Undeterred
by the standard of clarity required by
this Court in Scanlon, the Third Circuit

found Congress's "unmistakably clear”

» 96 «

intent to abrogate the effect of

the

Eleventh Amendment in the preamble to

the EHA:

20

This

F.Supp. 866 (D.D.C. 1972).?
case presents the question of whether
Congress, in patterning the EHA on PARC,
actually intended to prohibit an

important element of the procedural

system PARC established.

15See Burlington School Committee,
471 U.S. at 373; Robinson, 468 U.S. at
1010 (referring only to Congress'
recognition of "*landmark court
cases'"); Rowley, 458 U.S. at 192.

-59-

The procedural system of the

statute, like that established by PARC,

requires first that local schools
develop "individualized educational
programs” (IEP's) for handicapped

children in cooperation with parents or

guardians.?°

l6The IEP is "a comprehensive
statement of the educational needs of a
handicapped child and the specially
designed instruction and related
services to be employed to meet those
needs". Burlington School Committee,
471 U.S. at 368. Parents have a right
to “examine all relevant records",
Honig, No. 86-728 (Jan. 20, 1988), to
participate in the IEP planning
conference, and to an opportunity “to
present complaints concerning any aspect
of the local agency's provision of a
free appropriate public education”.

Ibid.

afte

If parents are dissatisfied with the
resolution of any complaint, they have
the right to an impartial review process
as follows:

"Whenever [such] a complaint
has been’ received..., the
parents or guardian. shall
have an opportunity for an
impartial due process
hearing which shall be
conducted by the State
educational agency or by the
local educational agency or
intermediate unit, as
determined by State law or
by the State educational

agency. No hearing
conducted pursuant to the
requirements of this

paragraph shall be conducted
by an emp loyee of such
agency or unit involved in
the education or care of the

child”.
20 8.8.6. §1415(b) (2) (emphasis
supplied).
"If [this] hearing... is
conducted by a local
educational agency or an
intermediate educational

unit, any party aggrieved by

the findings and decision

rendered in such a hearing

may appeal to the State

educational agency which —
-§]-—

shall conduct an impartial
review shall make an
independent decision upon
completion of such review.”
20 U.S.C. §1415(c) (emphasis supplied).
This case focuses on the
requirements of the “impartial” state
review of the initial hearing.
Specifically, the parties agree that,
like the initial hearing, the review
cannot be conducted by an employee of an
agency which is "involved in the

education of the chila*.??

17The report of the Senate
Committee which first developed the
impartiality requirement suggests’ that
Congress may have intended the language
“involved with the education of the
child" to modify the term “employee”,
not the terms “agency or unit."

(Footnote continued on next page).

a490

17 (Footnote continued from
previous page).

The Senate Report stated that a hearing
“may not be conducted by any State or
local educational agency employee who is
directly invelved in the education of
the child." Senate Conf. Rep. No.
94-455, 94th Cong. lst Sess. 47,
reprinted in 1975 U.S. Code Cong, & Ad.
News 1470. Subsequently, the Conference
Committee deleted the term “directly”,
but did not specifically indicate any
intent to focus on the agency, as
opposed to the employee.

Despite this evidence, however,
regulations of the United States
Department of Education prohibit conduct
of a hearing “[by a person who is an
employee of a public agency which is
involved in the education or care of the
child." 34 C.F.R. §300.507. Petitioner
here accepts this regulation in light of
the ambiguity in the statute. The
question, therefore, is whether the
Department of Education is “involved” in
the education of the child.

=423=

The parties disagree, however, whether a
State Department of Education is
necessarily involved in the education of
the child merely because of its general
oversight role over special education.
The state agency is only “involved in.
the education of the child” in those
circumstances in which the agency is
directly providing services to the child
or has otherwise participated in the
development if the IEP. Moreover, the
Secretary of Education, petitioner here,
is not an employee of the state agency
but a constitutionally appointed member
of the State's executive branch, 71 P.S.
§67.1(d)(1), whose function is to
establish and implement statewide
educational policy. Consequently, he is
far removed from the individual disputes
that arise between parents and the local

school districts which are directly

afGa

involved in the education of the
chi1a.?®

B. Because Congress generally
adopted the “due process hearing” system
which originated in the PARC decree,
PARC provides the starting point for
analysis of the EHA. See Rowley,
458 U.S. 176 (1986), (relying on PARC's
standard of judicial review to determine
standard for EHA).

In PARC, the goal was to assure
public accountability by placing

ultimate responsibility for the

education of each individual child on

the one person who can combine
both policymaking and implementing
functions -- the State Secretary of

Education.

18mMuth has not argued that the

Secretary of Education is 4 biased

reviewer for any reason other than that

he is an employee of the Department.
-§5-

The decree provided “that the Secretary
of Education shall be responsible for
assuring that every mentally retarded
child is placed in a program of

education and training appropriate to

his learning Ccapacities....”
343 F.Supp. at 313. (Consent Decree
§40(a)). The reasons: only the

Secretary was deemed sufficiently in the
public eye that educational decisions
would be publicly accountable and only
the Secretary was deemed to wield
sufficient power to ensure that the best
educational decisions were made _ and
executed.

The “due process hearings” served in
part as a mechanism for the Secretary to
Carry out this responsibility. The

amended stipulation in PARC provided:

=E6e

"The hearing officer shall
be the Secretary of
Education, or da person
designated by him acting in
his stead, but shall not be

an officer, emp loyee Or
agent of any local district
of intermediate unit in

which the child’ resides”.
(Amended Stipulation ¥3(L)).
343 F.Supp. at 305.

Unlike local school districts,
therefore, the State Department of
Education and especially the Secretary,
were given the authority and the
responsibility, subject to judicial
review, to serve as the guardian of the
handicapped.

Placing responsibility on the
Secretary had the added benefit of
institutionalizing a system to educate
the Secretary about how to fulfill his
overall responsibilities. From below,
hearings assured the Secretary a

constant flow of information about the
28%

educational adequacy of programs’ for
individual students. From above,
meaningful judicial review would assure
that the Secretary would learn from his
mistakes and conform future decisions to
judicial interpretations of the law.
The hearings would provide the Secretary
of Education the information necessary
to fulfill his obligation “directly [to]
provide ... and operate programs” for
handicapped children if handicapped
children were not properly served by
local school districts or “otherwise
provided for.” (Amended Consent Decree

451). 343 F.Supp. at 315

Cc. A close examination of the
language of the statute suggests’ that
Congress adopted the principle of
impartiality in PARC. Although a court

should attempt to give effect to all of

-~6§8-

statute's terms, Reitel v. Sonotone
Corp., 442 U.S. 330, 339 (1979), the
decision of the Court of Appeals would
make superfluous Congress’ focus only on
agencies “involved in the education of
the child."
Section 615(b)(2) of the statute, 20
U.S.C. §1415(b)(2), provides’ that a
hearing “shall be conducted by the State

educational agency or by the local

' . :
educational agency or intermediate unit,

as determined by State law." (Emphasis
supplied). In other words, the hearing

to be conducted either by the. state
agency or by the school district or
intermediate unit serving the child.
Under the analysis of the Court of
Appeals, all agencies that might conduct
hearings would be "involved in the
education of the child” because, by the
terms of the EHA itself, they all must

exercise at least general

oversight of handicapped children. If
Congress had intended such a result, it
should therefore have prohibited conduct
of a hearing in all cases “by an
employee of such agency or unit.”
Instead, however, §615(b)(2) only
prohibits conduct of the hearing -"“by an
employee of such agency or unit involved
in_the education or care of the child”.
Ibid. (Emphasis supplied). Congress
therefore did not believe that all
agencies conducting hearings were
necessarily involved in the education of

the child and wished to distinguish

between involved and uninvolved
agencies. By failing to make such a
distinction, the decision below

eradicates the significance of the
modifying phrase “involved in the

education of the child.”

= =

Rather than intending this phrase to
be superfluous, Congress could only have
intended the distinction made in PARC.
“involved in the education of the child"
means what it says; it refers not to
agencies exercising oversight of all
handicapped children, but only to those
agencies or units actually providing
"the child” with services and actually
helping to develop the IEP.

In some cases, therefore, this
standard does reach state agencies.
Congress was aware that state agencies
directly provide educational services in
some cases and therefore are directly
participating in the development of
-IEP's. For example, the Pennsylvania
Department of Education directly manages

three special state schools. Similarly,

~~ =

in Mills, the other landmark case on |
which Congress’ relied, the Board of
Education of the District directly ran
the schools. The decree in that case
accordingly provided that hearing
officers would not “be an official,
employee or agent of the Public School
System.” Even under the EHA itself, the
state agency must in some circumstances
provide educational services directly to
a child. 20 U.S.C. §1414(d). Rather
than attempt to write a blanket rule for
all cases, Congress adopted a standard
that reflected the numerous educational
arrangements throughout the United
States while focusing at all times on
actual involvement with “the child."

This interpretation of the statute
is not only consistent with the language

of the statute, it is also consistent

~}™=

with standards of impartiality. In
general, prior exposure or knowledge of

the nature of issues involved in a

dispute, even engagement in
policy-making, does not provide a
disqualifying bias but rather is
considered a benefit of the
administrative process. See, -
Hortonville Joint School Dist, No, 1 v.
Hortonville Educational Ass'n, 426 U.S.

482, 493 (1976) (decisionmaker is not
"disqualified simply because he _ has
taken a position, even in public, on a
policy issue related to the dispute");
United States v. Morgan, 313 U.S. 409
(1941) ("underlying philosophy” by
cabinet secretary did not render him
incapable "of judging a particular
controversy fairly on the basis of its

own circumstances"). See generally

=

3 K. Davis, Administrative Law Treatise
§19:2, at 372 (2d ed, 1980) ("The law is

entirely clear that an announced
previous position about law or policy is
not a disqualification for exercise of
judicial power."). Bias concerns arise .
only from prior involvement in the
decision under review or prejudgment of
the facts of a particular case. See
Goldberg v. Kelly, 397 U.S. 254, 271
(1970) (an adjudicator should not “have
participated in making the determination
under review"); Davis, supra, §19:4, at
382 ("{oJne who prejudges adjudicative
facts ... may be disqualified"); 1 Koch,
Administrative Law and Practice §6.7, at
439 (1980).

This conventional view animated PARC
and it is therefore likely to have
influenced Congress here: due process
hearings exist to provide parents with a

forum to challenge the decision of

aIée

school officials. Obviously, neither
hearings nor reviews should be conducted
by anyone closely associated with the
very school officials whose educational
plan a parent rejects. In general,
however, the state agency and its
Secretary are not associated in this
way. They are the watchdogs, not the
associates, of the school officials who
have prepared the IEP rejected by the
parents.??

In contrast to this interpretation
of impartiality, which is consistent
with the responsibility placed by the
statute on state agencies, the Court of
Appeals offered no explanation of how

its interpretation could further the

purpose of the Act. The decision below

19petitioner here supervises 501
school districts and 29 intermediate
units. 24 P.S. 99-332.

refers vaguely to furthering “the
ultimate objectives of the process.” It
also states that Congress desired
“decisionmakers who are not subject to
the kind of pressures that employees of
an educational agency would necessarily
feel.” {[Pet. App. 48a]. But neither
the Court below, nor any lower court
that has rendered a similar ruling,
could provide other than a conclusory

explanation of partiality.?°

20systems guaranteeing independence of
administrative law judges exist to insulate
them from the initial decision in that same
case by other members of the agency. When no
member of an agency has made a decision under
review, the need for guarantees of
independence evaporates. Administrative law
judges do not exist generally to provide a
check on the agency itself; they are a part
of the agency and indeed are normally
“employees” of the agency. Frequently,
decisions of the administrative law judges
are themselves reviewable by the heads of an
agency. The check on the agency itself comes
from judicial review.

~ =

In essence, the decision below took

an administrative model from other
systems and imposed it out of context.
The decision gratuitously imposes a
purely judicial model on what “framers
of the law viewed ... as a means of
providing a relatively informal,
inexpensive and prompt remedy when
agreement could not be reached in the
educational planning process." U.S.
Dept. of Education, Ninth Annual Report
to Congress on the Implementation of the
75 (1987). As a 1982 study revealed,
issues presented at GuW@ process hearings
are quintessentially decisions of
educational policy; they are chiefly
decisions involving the appropriateness
of a child's schoo] placement, the

appropriateness of a student's program

-,*

and services, or the appropriateness of
the evaluation. U.S. Dept. of
Education, Fourth Annual Report to
Congress on the Implementation of Public
Law 94-142: The Education for All
Handicapped Children Act 45 (1982).
Congress did not seek uniformed
decisionmakers, but decisionmakers
informed by the experience of working in
and struggling with the problems of
special education. Given the
educational nature of the decisions, it
is critical that the agency and the
official directly responsible for
ensuring statewide compliance with the
EHA not be excluded from the

decisionmaking process.

~_~ ™

D. When a Senate Subcommittee

began developing the due process
requirements of the EHA, the PARC
plaintiffs advised the subcommittee to
adopt this principle of accountability:
"The ultimate responsibility and
authority to assure 4 free public
education appropriate to the educational
needs of each school aged mentally
retarded child should lie with’ the
Secretary of Education." Hearings
before the Subcommittee on the
Handicapped of the Committee on Labor
and Public Welfare, 93rd Cong., lst
Sess., Part 3, 1513 (1974) (prepared
comments of Pennsylvania Association for
Retarded Children) (emphasis supplied).
The Senate Committee accepted this

advice, and its Report stated that the

=~ 9a

"Committee bill has been designed
{inter alia) oes to assure sole
responsibility for the education of all
handicapped children by the State
educational agency.” S.Conf.Rep. No.
94-168, 94th Cong., 2nd Sess. 29, 47,
reprinted in U.S. Code Cong. & Ad. News
at 1437-38.

On its face, therefore, the EHA
makes the “State educational agency
responsible for assuring that the
requirements of” the statute are carried
out. 20 U.S.C. §1412(6). The state
educational agency must set forth a plan
for the education of the handicapped,
and this plan must provide guarantees of
appropriate education. 20 U.S.C.
§1413. The state educational agency is

responsible for “the development ' § and

implementation of a

comprehensive system of personnel

development” including training and the
dissemination to teachers of
“significant information derived from
educational research, demonstration and
similar projects”. 20 U.S.C.
§1413(a)(3) (A). The state educational
agency must adopt “where appropriate,
promising educational practices and
materials”. 20 U.S.C. §1413(a)(3)(B).
Furthermore, the state educational
agency must judge the adequacy of a
local educational agency's programs. 20
U.S.C. §1414(b). If those programs are

inadequate, the state agency should cut

off funds. 20 U.S.C.

§1414(b)(2)(A)(i). As in PAKC, the

state agency should ever
=-§le

“provide special education and related
services directly to handicapped
children” if those children are not
otherwise served. 20 U.S.C. §1414(d).
Like the parties in PARC, Congress
also expected due process hearings to
complement the other state agency
functions. For example, in the 1975
amendments, Congress required that
hearings either be conducted initially
by the state agency or be reviewed by
the state agency. Pub.L. 94-142,
§615(b), codified at 20 U.S.C.
§1415(b). If Congress did not intend
hearing officers to have ae special
affinity with the state agency, Congress
had no reason to require State

involvement in administrative review.

-B2-

In addition, the statute requires
that due process hearing decisions serve
both as a means of informing the State

agency of local program inadequacies and

of helping to stimulate State
responses. In determining the adequacy
of a local educational agency's
programs, the state agency must

“consider any decision made pursuant to
4 [due process] hearing... which is

adverse to the local educational agency

or intermediate educational unit
involved in such decision." 20 U-S.C.
§1414(b)(3). By making due process

hearing decisions subject to judicial
review, Congress assured a judicial

check on State activities.

afiRa

In Rowley the Court recognized the

relationship between the EHA's hearing
process and the statute's mandate that
the State be the responsible educational
agency. This Court held that the
State's responsibility of “acquiring and
disseminating" knowledge of good
practices, and of “adopting” those
practices where appropriate, constituted
a “clear statutory directive” that
Congress did not intend “courts to
overturn a State's choice of appropriate
educational theories in a [due process]
proceeding.” 458 U.S. at 207-08.
This Court recognized, therefore, that
due process hearings are themselves
means by which state agencies learn of,
adopt and disseminate promising

practices. Congress could not logically

-84-

have intended state agencies to be
responsible for developing promising
educational policies and yet have
intended the head of a state agency to
defer to the educational theories of
hearing officers outside the employment
of the agency.

The EHA therefore parallels the PARC
decree in important ways that cast doubt
on any claim that Congress intended the
impartiality requirement announced by
the Third Circuit. Like PARC, the EHA
relies on the state educational agency
to assure appropriate education for each

child. Like PARC, the EHA uses the due

process hearing mechanism to help
accomplish that goal. Forbidding the
State Secretary of Education from

involvement would undercut these goals.

=fGa

It would remove from the Secretary the

ultimate responsibility for the
education of each child; it would
therefore reduce the Secretary's

accountability to the public and to the
courts. The decision below is therefore
inconsistent with the structure of the
EHA and with its origins in the PARC

decree.

E. The Court of Appeals ' and every
other decision supporting its position

have erroneously relied on language in

the Conference Report synthesizing
Senate and House versions of the
EHA.*? The Report states in pertinent

part:

21ltwo lower court cases support
the holding that the chief executive of
a state education agency may review due

(Footnote continued on next page).

21(Footnote continued from
previous page).

process appeals. Victoria L. Vv,
District School Board of Lee County, “ts
741 F.2d 369, 374 (llth Cir.1984);

Brandon E. v. Wisconsin Department of
Public Instruction, 595 F. Supp. 740,
746 (E.D. Wisc. 1984). Several cases
support the decision below. In each of
these cases, the court based its
decision primarily on the language of
the Conference Report. See Grymes v.
Madden, 672 F.2d 321 (3d Cir. 1982),
Helms v. McDonald, 647 F.2d 800, 806 n.
9 (5th Cir. 1981), cert. denied, 455
U.S. 946 (1982); Robert M, v. Benton,
634 F.2d 1139, 1142 (8th Cir.1980);
Vogel v. School Board of Montrose,
491 F. Supp. 989, 995 (W.D. Mo. 1980).
In Mayson by Mayson v, Teague, 749 F.2d
652 (llth Cir. 1984), the Court of
Appeals did not independently analyze
the Conference Report but simply adopted
the holding of other courts that had.

Two Circuit Courts of Appeals have
noted the conflicting cases but have not
ruled upon the question. See Cain v.
Yukon Public School District, 775 F.2d
15, 20 (10th Cir. 1985); Colin K, v.
Schmidt, 715 F.2d 1, 5 n. 3 (lst Cir.
1983).

=fita

S. Conf. Rep. No. 455, 94th Cong.

Sess.

Cong.

"(b) costae conferees
point out that any [due
process] hearings are not
conducted by the agency
itself, but rather at the
appropriate agency level.
The hearing will be
conducted by an _ impartial
hearing officer since the
State or local agency or
intermediate unit will be a
party to any complaint
presented.

(c) no hearing may be
conducted by an employee of
the State or local
educational agency involved
in the education or care of

the child. The conferees
have adopted this’ language
to Clarify the minimum
standard of impartiality
which shall apply to
individuals conducting due
process hearings and
individuals conducting d

review of the local due
process hearing; °

49, reprinted in 1975 U.S.

& Admin. News 1480, 1502.

-~88-

— |

Code,

At first glance, this language does
appear to support the decision below.
Paragraph (b) states that “any” hearing
shall be conducted not by the agency
but at the appropriate agency level.
But paragraph (b) proceeds to explain
the reason for this concern: the
Conference Committee did not wish the
hearing conducted by the agency when the
agency is itself a party to the
complaint. The report further suggests
an awareness that a State will not
always be party to a complaint, for it
states that a “State or local agency Qr
intermediate unit will be a party to any
complaint." (Emphasis supplied). In
fact, state agencies are typically not
parties to a complaint. A court should
not extend the concern of the Conference
Committee out of context; the
prohibition on hearings by employees

-~89-

should not apply even when a state

agency is not a party to a complaint.

Paragraph (c) provides even less
support to the decision below. Although
it equates standards of impartiality for
the local and state decision, the
standard it enunciates only reiterates
the statute. The Report does not
prohibit conduct of a hearing by an
emp loyee of any "state Or local
educational agency,” but only of such
agencies “involved in the education of
the child.” Like the’ statute, the
Report therefore distinguishes between
Situations in which state agencies are
“involved” and situations in which they
are not.

The Conference Report at best is
ambiguous. No other language in the
legislative history supports such 4
view. Indeed, of the original House and

Senate bills, only the Senate bill

-90-

prohibits hearings by employees
"involved in the education of the
child.” S. Rep. No.94-168, 94th Cong.,
2d Sess. 29, 47, reprinted in (1975)
U.S. Code. Cong. & Admin. News 1425,
1453, 1470. Nothing in the Senate
Report, however, suggests an intent to
go beyond the PARC restriction. Nor did
any witness testify in favor of d
tighter restriction. The Conference
Report itself expressed no reason for
such a significant change from PARC.
In arriving at its holding the Court
of Appeals failed to consider that:
“{1)n expounding a statute
we must not be guided by a
Single sentence or a member
of a sentence, but look to
the provisions of the whole
law, and to its object and
policy.”
Pennhurst State Schoo] and Hopsital v.

Halderman, 451 U.S. at 18.

=@iea

In the absence of clearer statutory

language or legislative intent, in light
of the structure of the statute, the
language of the statute, and the
alternative interpretation's failure to
accomplish any reasonable purpose, this
Court should hold that the Court of
Appeals erred in grafting onto the EHA a
standard of impartiality not envisioned

or required by Congress.

=@2e

CONCLUSION

For the foregoing reasons,
petitioner asks the Court to reverse the

judgment of the Court of Appeals.

LeRoy S. Zimmerman
Attorney General

Maria Parisi Vickers

Chief Deputy Attorney General
Chief, Eastern Region

Counsel of Record

John G. Knorr, III
Chief Deputy Attorney General
Chief, Litigation Section

Gregory R. Neuhauser
Senior Deputy Attorney General

Attorneys for Petitioner
OFFICE OF ATTORNEY GENERAL
206 State Office Bldg.
Philadelphia, PA 19130

Telephone (215) 560-2402

Dated: December 1, 1988

=93<

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385012_1400%3A07. Public record. Not legal advice.
