LIPEZ, Circuit Judge.
This case concerns two separate, but ultimately intertwining, narratives. The first is that of appellant, Ms. S., her son, B.S., and his right to a free appropriate public education ("FAPE") under the federal Individuals with Disabilities Education Act ("IDEA"). The second concerns the implementation of a Maine regulation — referred to herein as the "filing limitation" — that determines how much time a parent, such as Ms. S., has to request a due process hearing alleging an IDEA violation.
In May 2013, Ms. S. filed a request for a due process hearing with the Maine Department of Education ("MDOE") concerning alleged IDEA violations in all of B.S.'s ninth (2009-2010), tenth (2010-2011), eleventh (2011-2012), and twelfth (2012-2013) grade years. The hearing officer dismissed the claims that arose during B.S.'s ninth and tenth grades as time barred because the filing limitation allowed only claims brought within two years of when the parent knew or should have known of a violation. Ms. S. sought judicial review in the district court, arguing that the hearing officer should not have dismissed the ninth and tenth grade claims because the two-year filing limitation was not promulgated in compliance with the Maine Administrative Procedure Act ("Maine APA" or "MAPA") and is therefore void and of no legal effect. The district court determined that the two-year filing limitation was valid, Ms. S. did not qualify for an exception
We conclude that the district court erred in its analysis of the validity of the two-year filing limitation, and, further, that the record before us is insufficient to determine whether the MDOE adequately complied with MAPA procedures when adopting the two-year filing limitation. Given that conclusion, we do not reach the question of whether an exception to the filing limitation applies here. However, we do find that, consistent with the district court's judgment, B.S. received a FAPE in the eleventh and twelfth grades. We therefore vacate and remand in part, and affirm in part.
B.S. received special education services on and off from kindergarten through high school to address developmental delays, particularly related to speech development. He was diagnosed with autism in high school. In detailing this history, we recite the facts pertinent to Ms. S.'s arguments on appeal.
In 2009, B.S. enrolled in the ninth grade at Fryeburg Academy, a contract high school for students residing in Regional School Unit 72 (the "school district"). Before beginning school, an Individualized Education Program ("IEP") team composed of school staff, Ms. S., and B.S. met and determined that B.S. did not qualify for an IEP, but the team provided B.S. with a 504 Plan
In tenth grade, B.S. began to engage in inappropriate use of the Internet and was cyber-bullied by his peers. His first trimester grades included four "F" grades and one "D-" grade. After again determining in November 2010 that B.S. did not need special education services, the IEP team met next in May 2011 and concluded that B.S. was eligible for IDEA services, including speech language therapy, classroom accommodations, and sessions at the school's Learning Center.
At the beginning of B.S.'s eleventh grade year, the IEP team held another meeting to review the results of B.S.'s summer assessments and diagnoses. Over the summer, B.S. was diagnosed with "Autistic Disorder," "Mixed Receptive and Expressive Language Disorder," and "Depressive Disorder." In response, the IEP team required additional reporting on B.S.'s speech and language sessions and suggested B.S.'s participation in a planned social group that never came to fruition, but otherwise did not change B.S.'s IEP. On a weekly basis, Carie Heath, a speech and language services provider, worked with B.S. on his speech and language skills, as well as his social skills. During this time, Heath consulted with school staff and Ms. S. concerning B.S., and B.S. told Heath that he "felt good" about his progress. B.S.'s special education teacher testified that during the same period, B.S. became more involved with student activities and was "starting to come out of [his] shell."
By December of his eleventh grade year, B.S. was evading his school escort and had reportedly stolen sneakers from one of the school's dormitories. As a result of the theft, the Fryeburg Academy Judicial Board expelled B.S. At a January 2012 IEP team meeting, the team determined that tutorial services were necessary pending B.S.'s return to a full-time program. On February 2, 2012, the team met again to identify possible alternative schools that B.S. might attend, including the REAL School for both disabled and nondisabled students who had difficulty in a traditional school setting. The following week, the REAL School offered B.S. admission to its program. The REAL School had a shortened-day program, prompting expressions of concern from Ms. S., but she nevertheless agreed to the placement.
In the months following B.S.'s mid-school-year placement at the REAL School, B.S. appeared both to have excelled and to have experienced setbacks. At a March IEP meeting, the team declined Ms. S.'s request for a longer school day but added social and transition goals to B.S.'s IEP. The REAL School also prepared a Positive Behavior Support Plan for B.S., and his June report card reflected grades above 90 in all of his courses, including a 98 in math and a 95 in English and social studies. His SAT scores, however, were rated in the tenth, seventh, and third percentiles nationally for reading, writing, and math, respectively, and B.S. engaged in some questionable behavior involving the taking of money. In spite of these issues, Ms. S. lauded the program and its administrators in email exchanges, and she offered such praises as: "thanks for being so awesome," and "you guys are good." During this time, Heath continued to provide weekly speech and language services to B.S.
In the summer of 2012, the REAL School provided B.S. with nine hours of services with a licensed clinical social worker and three days of adventure programming. That same summer, licensed psychologist Laura Slap-Shelton concluded that B.S. had Autistic Disorder and "is a candidate for therapeutic residential placement for adolescents with Autistic Disorder and other developmental disorders."
At the end of August 2012, B.S.'s IEP team met again to review Dr. Slap-Shelton's evaluation. A written notice from the meeting indicates that B.S. "liked attending the REAL School" and "would not like to see anything change." Ms. S. indicated that the lengthy commute to and from the REAL School limited B.S.'s time to socialize and that she would like to see B.S. placed in a residential setting. The team
In his senior year at the REAL School, B.S. participated in service activities, and in an email to Ms. S., the director of the REAL School described B.S.'s participation as "stunningly active" and reported that "[B.S.] contributed so much leadership and kindness to our group." B.S.'s first quarter report card reflected a grade of 98 in English, math, and science, and a grade of 95 in social studies. However, Ms. S. continued to object to the school's shortened day and B.S.'s lengthy commute. On October 16, 2012, Ms. S. informed the school district that she was "rejecting as inappropriate the IEP and placement offered" to B.S., and that she was removing B.S. from the REAL School and placing him at the Eagleton School in Massachusetts. Ms. S. also requested reimbursement for the costs of placing B.S. at the Eagleton School, which is a full-time, all-male residential program.
At a November 2012 IEP team meeting, the team noted that B.S. "had made excellent progress with developing social skills and progressing academically" at the REAL School and that they "did not agree with the need for a residential placement." Nevertheless, B.S. began attending Eagleton that month. In March 2013, the IEP team met again to discuss B.S.'s programming at Eagleton, and the school district's director of special services determined that B.S. should still be placed at the REAL School. By July 2013, the school's education director reported that B.S. had "blossomed socially" at Eagleton and that he would be ready to transition back to the REAL School for the fall of his fifth year of high school, with the proper social and language supports.
B.S. completed the Eagleton program in August 2013 and returned to the REAL School for the 2013-2014 year. From November 2012 through August 2013, Ms. S. spent $115,782.50 on B.S.'s placement at the Eagleton School.
In the fall of 2009, as B.S. was beginning ninth grade at Fryeburg Academy, the MDOE was beginning the process to revise certain rules within the Maine Unified Special Education Regulation ("MUSER"). The Maine APA governs the process to amend MUSER, and MUSER, a state regulation, controls the process for requesting a due process hearing under the IDEA. Although the IDEA and its corresponding federal regulations provide default provisions for this due process hearing procedure, the IDEA permits states to vary some of these provisions.
Prior to the MDOE's efforts to amend MUSER in 2009-2010, the filing limitation and the look-back term each stood at four years.
In November 2009, the MDOE issued a "Notice of Agency Rule-making Proposal," which identified a variety of proposed changes to MUSER, including that "the statute of limitations for due process hearings will be changed to the federal standard of two years." To accompany the public notice statement, the MDOE published at least two versions
In accordance with MAPA procedures, the MDOE scheduled a public hearing in December 2009 to discuss the proposed changes. In January 2010, after the notice and comment period, the MDOE filed the now "provisionally adopted rules" — which contained a proposed two-year look-back term and an unchanged four-year filing limitation — with the Maine Secretary of State and submitted the rules to the Maine Legislature for its required review.
While this standard rulemaking was taking place, the MDOE had also taken advantage of an expedited MAPA procedure allowing a rule to take effect on a temporary, "emergency" basis. The emergency rule contained several of the same changes
The Maine Legislature then approved the emergency and provisionally adopted rules with some amendments but none that altered the filing limitation from four years to two years.
In May 2013, Ms. S. filed a request for a due process hearing with the MDOE concerning alleged violations in each of B.S.'s high school years. The hearing officer dismissed the claims that arose during the ninth and tenth grades as barred by the two-year filing limitation. The hearing officer then found that the school district did not provide B.S. with a FAPE for the ten-day period following his expulsion from Fryeburg Academy in his eleventh grade year, but B.S. did receive a FAPE during the remainder of his eleventh grade year and throughout his twelfth grade year.
Ms. S. sought judicial review in the district court,
The district court adopted the recommendation on this point, and it added that evidence of the Legislature's intent in early 2010 supports the conclusion that the Legislature approved a two-year filing limitation at the same time that it approved the proposed two-year look-back term. The district court also adopted the recommendation
We review de novo the validity of the two-year filing limitation under MAPA.
Ms. S. argues that the district court erred in holding that the MDOE promulgated the two-year filing limitation rule in accordance with MAPA. She asserts that the MDOE "made an unauthorized unilateral change to the Filing Limitation Term," and that the MDOE's failure to comply with MAPA should render the two-year filing limitation void. As a result, Ms. S. argues, we should conclude that the ninth and tenth grade claims were timely brought within the four-year filing period.
MAPA ordinarily requires an agency to promulgate certain non-technical, major substantive rules (such as the rules changing the filing limitation) via a two-step process. The first step requires the agency to provide public notice of the proposed rule and an opportunity for comment.
The district court did not address the notice step of the rulemaking process. The court looked to the Legislature's intent in 2010 as well as the Legislature's approval of rulemakings in 2011 and 2012 to conclude that the two-year filing limitation was valid. As we explain below, the court's assessment of the rulemaking's compliance with MAPA's legislative review requirements was flawed in three respects: (1) it erroneously analyzed certain materials regarding the Legislature's intent to approve a two-year filing limitation; (2) it erroneously concluded that subsequent years' rulemakings cured any prior deficiencies; and (3) it failed to apply a MAPA-provided review standard to evaluate the rulemaking missteps. On the record before us, however, we are unable to determine whether these errors undermine the court's conclusion that the two-year filing limitation is valid. We therefore remand the case to the district court to be decided in accordance with the guidance provided below.
Regrettably, we cannot explain our remand decision without describing the complexities of MAPA. We thus begin by examining MAPA's legal framework.
Under MAPA, a state agency seeking to adopt a "major substantive rule"
Although major substantive rules are subject to greater scrutiny than routine technical rules, the standard rulemaking process begins with the same notice and comment procedures applicable to such routine rules.
A major substantive rule also may be proposed as an "emergency rule," i.e., one that "is necessary to avoid an immediate threat to public health, safety or general welfare."
MAPA section 8058 sets forth the judicial review standards for alleged agency rulemaking violations.
The applicable MAPA review standard depends upon the type of MAPA violation. Hence, we must classify the failure to comply with MAPA's legislative review procedure as a particular type of violation in order to determine the appropriate review standard for such a violation. Section 8058 sets the scope of judicial review for three types of rulemaking violations: (1) if the "rule exceeds the rule-making authority of the agency," (2) if the rule "is void under section 8057" of MAPA (discussed below), and (3) "any other procedural error." Me. Rev. Sat. Ann. tit. 5, § 8058.1.
If a court finds either of the first two types of violations, the court must hold the rule invalid.
The Law Court also concluded that the two different review standards — automatic invalidation and harmless error — reflect the Legislature's "inten[t] to narrow the circumstances in which procedural error would automatically invalidate a rule."
Here, the parties do not dispute the general rulemaking authority of the MDOE as to MUSER (which would implicate the first type of rulemaking violation), and we thus focus only on the second and third types of rulemaking violation. The second type consists of violations that would make a rule "void under section 8057" of MAPA. Me. Rev. Stat. Ann. tit. 5, § 8058.1. Section 8057 requires compliance with four sections of MAPA: two govern the general rulemaking and public notice process (sections 8052 and 8053), one governs emergency rulemaking (section 8054), and one governs the filing and publication of an adopted rule (section 8056).
Meanwhile, the third type of violation encompasses all "other procedural error[s]."
The legislative review stage of the rulemaking process is governed by sections 8071 and 8072 of MAPA, neither of which is discussed in MAPA's compliance section.
We must, however, address one other consideration in a court's review of a rulemaking's compliance with the legislative review process. Section 8072 expressly states that a provisionally adopted major substantive rule "has legal effect only after review by the Legislature followed by final adoption by the agency."
The challenge in this case to the validity of the two-year filing limitation is not a surprise. The MDOE's rulemaking actions surrounding the overall MUSER changes in 2009-2010 fostered confusion and concern. In fact, this rulemaking prompted the passage of a bill in the Maine Legislature to commission a report on state agency rulemaking efforts under MAPA.
With respect to the specific MUSER provisions at issue here, the phrase "statute of limitations" is used without definition by the MDOE in its public notice statement, by the MDOE Commissioner in her testimony to the Maine Legislature, by many additional witnesses and advocates, and by the Legislature itself. Both the filing limitation and look-back term involve time restrictions, and both periods were originally four years while the parallel federal periods are both two years. Hence, the "statute of limitations" label could be used to describe the filing limitation, the look-back term, or both. This imprecision complicated the rulemaking process.
As described above, the standard process for implementing a major substantive rule involves two steps, notice-and-comment and legislative review. Ms. S. asserts error in both steps of the 2009-2010 rulemaking, but does not account for the rulemaking's parallel, emergency track. We briefly address notice before moving on to the three errors we detect in the district court's discussion of the legislative review step. These three errors concern the court's treatment of legislative intent, subsequent rulemakings, and MAPA's judicial review standards.
Ms. S. asserts on appeal that the 2010 final adopted filing limitation is invalid because the MDOE did not provide the public notice or opportunity for comment that is required in the rulemaking process.
As described above, the rule proposed in 2009 and approved by the Legislature in 2010 did not include language reducing the filing limitation. Nevertheless, the district court concluded that the requisite legislative review occurred, in part, because the record supported a finding that the Legislature in 2010 intended to approve a two-year filing limitation.
Ms. S. argues that courts may never consider lawmakers' intent when evaluating whether a rulemaking complied with MAPA's procedural requirements. We reject the assertion that legislative intent is entirely irrelevant to MAPA compliance. For instance, we can envision a court looking beyond the text of the regulatory documents when conducting the harmless error inquiry prescribed by MAPA section 8058.
Of course, in some circumstances, a court's consideration of legislative intent is improper. Ordinarily, the Law Court does not look beyond language approved by the Legislature to determine the Legislature's intent where, as here, the language is unambiguous.
Nonetheless, the district court found that reference to legislative intent was necessary to avoid "absurd, inconsistent, unreasonable or illogical" results.
We disagree that logic requires either identical timelines for both the look-back
In any event, the evidence that the court relied upon as "unequivocal expressions" of the Legislature's intent does not provide conclusive support for the court's finding. In concluding that the Legislature intended to approve a two-year filing limitation, the district court pointed to witness testimony submitted to the Joint Standing Committee, which was reviewing the changes to MUSER. The limited materials presented to the district court show that the MDOE Commissioner and multiple other witnesses submitted testimony that included vague reference to a change to the "statute of limitations." However, much of the written testimony in these materials also included specific page references to the text of the proposed rule, linking the witness's position with the exact MUSER provision at issue. When discussing changes to the "statute of limitations," the testimony of the MDOE Commissioner and multiple other witnesses before the Committee include page references that correspond solely to the look-back term — and not the filing limitation — in the November 2009 "Proposed for Provisional Adoption" version of the rule.
For additional support for its conclusion, the district court looked to the published report of the Joint Standing Committee's vote on the MDOE's proposed changes to MUSER. Based on this report, the court found that, "by a vote of seven to five, [the Committee decided that] `[t]he statute of limitations for due process hearings is changed to the federal standard of two years'" (second alteration in original). However, a closer examination of the report reveals that the Joint Standing Committee voted that a rule change to reduce "[t]he statute of limitations for due process hearings" to two years
The district court also offered a ratification rationale for finding the rule valid notwithstanding the legislative review issues of the original 2009-2010 rulemaking. The court, agreeing with the magistrate judge, concluded that the Legislature effected a post hoc ratification of the two-year period when it reviewed changes to other parts of MUSER in subsequent rulemaking proceedings in 2011 and 2012.
However, consistent with its review of the original rulemaking, the district court did not consider the issue of notice when it examined the subsequent rulemakings. It again reviewed only whether the Legislature had approved the proposed rules. Yet, as both parties recognize, the subsequent proceedings were subject to the MAPA requirement of notice and an opportunity for public comment.
The school district argues that the failure to alert the public to this change in the subsequent rulemakings is an "insubstantial deviation[s]" from MAPA's notice requirements because the text of the proposed rules in those later years included the two-year filing limitation.
As discussed above, the review that a court applies to a particular type of MAPA violation may dictate whether, in spite of the violation, the rule has legal effect. The district court's decision did not reflect consideration of either the different judicial review standards set forth in section 8058 or the fact that section 8072 gives legal effect to a rule only if, at a minimum, the Legislature had the opportunity to review it.
In sum, we conclude that the district court did not properly evaluate the validity of the two-year filing limitation under MAPA's prescribed rulemaking procedures. The district court did not address the notice issue raised by Ms. S. as to the
We recognize that, despite these errors, the court's ultimate conclusion — that the two-year filing limitation is valid — could be correct. However, we are unable to affirm that judgment in light of the district court's incomplete analysis, the parties' deficient briefing, and the murky record before us. We thus remand the case to the district court to reevaluate the validity of the two-year filing limitation.
On remand, the district court's resolution of the validity of the two-year filing limitation rule should apply the MAPA-provided judicial review framework, in keeping with the guidance provided herein. The public record for the 2009-2010 rulemaking process encompasses substantial materials far beyond those initially presented to the district court. The court may order the parties to develop the record and provide further briefing as necessary to make its determinations. We do not opine on whether materials beyond the 2009-2010 MAPA processes may be germane to the section 8058 analysis. We also do not opine on whether a certified question for the Law Court about the interplay between MAPA's various provisions may be appropriate once the record is developed.
The IDEA, and, in turn, MUSER, contain two exceptions to time restrictions imposed by the filing limitation.
Setting aside the ninth and tenth grade claims, we focus on Ms. S.'s undisputedly timely claims. Ms. S. argues that the school district did not provide B.S. with a FAPE in his eleventh and twelfth grade years. Under the IDEA, each state receiving federal IDEA funding must provide a FAPE "to all children with disabilities... between the ages of 3 and 21." 20 U.S.C. § 1412(a)(1)(A). To ensure that this takes place, a school district "must take steps to identify children who may qualify as disabled, evaluate each such child to determine his or her eligibility for statutory benefits, and develop a customized IEP designed to ensure that the child receives a level of educational benefits commensurate
The IEP is "the centerpiece of the [IDEA]'s education delivery system for disabled children."
Ms. S. argues that, in eleventh grade, B.S. did not receive adequate social skills instruction and that his mid-year placement in the REAL School "was not reasonably calculated to provide him with meaningful benefit."
The district court
Ms. S. asserts the same claims concerning the REAL School in B.S.'s twelfth grade year as she did regarding his placement there in his eleventh grade year. The district court ruled that B.S. again received a FAPE in twelfth grade. For the reasons discussed above, we affirm this judgment.
For the foregoing reasons, we vacate the district court's judgment that the two-year filing limitation is valid under the Maine APA and remand to the district court for further proceedings consistent with this opinion. We affirm the district court's judgment that B.S. received a FAPE in the eleventh and twelfth grades. Each party shall bear its own costs.
LYNCH, Circuit Judge, concurring.
With the greatest respect for my colleagues, I write separately to express my views.
I fully join the holding affirming that B.S. received a free appropriate public education ("FAPE") under the Individuals with Disabilities Education Act ("IDEA"), for his eleventh and twelfth grade years.
The issue of the appropriate limitation period for the filing of the plaintiff's claim, particularly as to the ninth and tenth grade years, is controlled by a federal statute, 20 U.S.C. § 1415(f)(3)(C), which receives too little attention from the parties. That federal statute states that a parent has two years to file a complaint from when the parent "knew or should have known about the alleged action that forms the basis of the complaint, or if the
The parties have assumed that Maine has an "explicit time limitation" in its state regulation, Me. Code R. 05-071, Ch. 101 ("MUSER") § XVI.13.E, which on its face provides for a limitation period of two years. Ms. S. assumes that she is nonetheless free to attack the validity of this state regulation using the Maine Administrative Procedure Act ("MAPA"), as a matter of application of the governing federal IDEA statute. Based on that assumption, she argues that the state regulation is invalid under MAPA. The school system responds by defending the state regulation's validity in like terms.
It is not clear that the intent of 20 U.S.C. § 1415(f)(3)(C) is to permit a federal court to decide state administrative procedure questions about the validity of explicitly stated state administrative provisions. It could be that we are to take the state law on its face. Then again, it may be that those uncertainties about the time period under MAPA mean that Maine has not met the "explicit time limitation" requirement of the federal statute. If so, we would find the two-year federal limitation period applies for the ninth and tenth grade years. In either of the above-described scenarios, we would find that the governing limitation period is two years, that the plaintiff's claims as to the ninth and tenth grade years are not timely, and that judgment should be entered against her on those claims.
On the other hand, there may be reasons to think that the state law validity issue should be resolved. Still, that does not answer the question of who should resolve the issue or say that the federal court should resolve it. The parties have utterly failed to adequately brief the federal issues and have encouraged the court to enter the state law briar patch. My colleagues are not to be faulted for walking down the path that the parties laid out for them.
Nevertheless, as to answering the question of the validity of the limitation period under Maine law, my view is that it is not the business of a federal court to tell Maine how to interpret its own administrative law. Doctrines of federalism, comity, and abstention all counsel against such incursions.
To the extent that the state regulation validity issue governs the timeliness analysis, I would have preferred to send this matter to the Maine Supreme Judicial Court for resolution or to have abstained and let the state courts resolve this matter. I agree that the question is important to the administration of IDEA programs and services in Maine, and that is exactly why the Maine Supreme Judicial Court, and not this court, should decide the state law question.
This appendix lists the above-referenced provisions of the Maine Administrative Procedure Act, the formal title of each provision, and a brief description of each provision's relevant content.
Although the pagination differs between the two versions, the content of both versions is identical with regard to the look-back term and the filing limitation.
I also think that on remand the FAPE question may be answered as to the ninth and tenth grade years before addressing the question about whether the claim was timely made as a matter of Maine law. That is, if the district court finds that FAPE was provided as to those years, that would end the lawsuit.