DAVID N. HURD, District Judge.
Presently under consideration are two motions for summary judgment, the first by plaintiff Disability Rights New York ("Disability Rights"), a New York not-for-profit organization and the second by defendants North Colonie Board of Education, North Colonie Central Schools and Mr. D. Joseph Corr, Superintendent (collectively, the "District"). Both parties have filed papers in response to the opposing party's motion. The United States has also filed a Statement of Interest in this case in support of plaintiff Disability Rights. Oral arguments were heard on October 9, 2015.
The following facts are gleaned from the parties' submissions, including the statements submitted pursuant to Northern District Local Rule 7.1.
Disability Rights is the New York Protection and Advocacy system designated by the Governor of the State of New York to provide protection and advocacy services to individuals with mental illness and disabilities pursuant to New York Executive Law § 558. Plaintiff alleges that between April 2014 and June 2014, it received six separate complaints concerning conduct at Blue Creek Elementary School ("Blue Creek"), a school within the defendants' district. Specifically, Disability Rights received information that within Blue Creek's "Academic Skills Class" for fourth, fifth and sixth graders (the "ASC classroom"), there may have been instances of abuse and/or neglect, including, among other things, inappropriate use of physical restraints and seclusion of students. These complaints came from five parents or guardians of students educated in the ASC classroom and one former employee of Blue Creek who worked in the ASC classroom.
During the 2013-2014 school year, the ASC classroom contained a total of 6 or 7 students over the course of the year. Each student was placed in the ASC classroom by the District pursuant to the student's individualized education program ("IEP") and the Individuals with Disabilities Education Act, 20 U.S.C. § 1400 et seq. ("IDEA"). The students placed in the ASC classroom during the 2013-2014 school year had the following disability classifications pursuant to the IDEA: autism, emotional disturbance, learning disability, intellectual disability and other health impairment. The students placed in the ASC classroom during the 2013-2014 school year were provided assistive technology, counseling, music therapy, occupational therapy, physical therapy and speech and language therapy.
Disability Rights deemed the received complaints credible and as a result, on June 12, 2014, sent defendant Superintendent Corr a letter requesting access to the ASC classroom on June 17, 2014 pursuant to its status as a Protection & Advocacy system (a "P&A system") under (I) the Protection and Advocacy for Individuals with Mental Illness Act, 42 U.S.C. § 10801-10827 (the "PAIMI Act"), (ii) the Developmental Disabilities and Bill of Rights Act, 42 U.S.C. § 15041 et seq. (the "DD Act") and (iii) the Protection and Advocacy for Individual Rights Act, 29 U.S.C. § 794e, et seq. (the "PAIR Act", and together with the PAIMI Act and DD Act, the "P&A Statutes"). By letter dated June 16, 2014, the District denied Disability Rights physical access to the Blue Creek school. Based on this denial, Disability Rights filed suit on June 19, 2014 seeking a declaratory judgment and injunctive relief. On June 20, 2014, this Court granted Disability Right's motion for a temporary restraining order seeking to provide plaintiff with immediate access to the Blue Creek school. Disability Rights was able to access the school for approximately 6.5 hours of June 24 and June 25, 2014. Plaintiff further had access to Blue Creek for approximately one hour on June 26, 2014 when students were not present. In June 2014, Disability Rights also requested that the District produce the records of four students who participated in the ASC classroom during the 2013-2014 school year for the period from January 1, 2012 onward. As a result, Disability Rights provided the District with a records release signed by the parent or guardian of each student. The District claims to have produced all responsive educational records requested by Disability Rights as if the plaintiff were the authorized agent of each child, retaining only internal email correspondence between District employees.
Summary judgment is appropriate where, construing the evidence in the light most favorable to the non-moving party, "there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law". FED. R. CIV. PRO. 56(c);
"[T]he mere existence of some alleged factual dispute between the parties will not defeat an otherwise properly supported motion for summary judgment; the requirement is that there be no genuine issue of material fact."
Disability Rights seeks declaratory relief pursuant to 28 U.S.C. § 2201, whereby "any court of the United States, upon the filing of an appropriate pleading, may declare the rights and other legal relations of any interested party seeking such declaration, whether or not further relief is or could be sought." 28 U.S.C. § 2201. "[A] court must entertain a declaratory judgment action: (1) when the judgment will serve a useful purpose in clarifying and settling the legal relations in issue, or (2) when it will terminate and afford relief from the uncertainty, insecurity, and controversy giving rise to the proceeding."
Disability Rights also seeks a permanent injunction. "Generally, to obtain a permanent injunction a party must show the absence of an adequate remedy at law and irreparable harm if the relief is not granted."
The DD Act provides for federal funding of state systems "to protect the legal and human rights of individuals with developmental disabilities. . . . ." 42 U.S.C. §§ 15041; 15042. In order to qualify for such funds, a state must have in place a system that is authorized to provide effective advocacy for and protection of the rights of developmentally disabled persons. 42 U.S.C. § 15043(a)(2)(A). Further, such systems must "have access at reasonable times to any individual with a developmental disability in a location in which services, supports, and other assistance are provided to such an individual" as well as access to records of developmentally disabled individuals when certain factors arise.
Pursuant to the DD Act, the investigative authority of the P&A system includes the ability to inspect, view and photograph all areas of the facility's premises that might be believed by the system to have been connected with the incident under investigation. 45 C.F.R. § 1386.27(b)(2).
In 1986, the PAIMI Act was passed, which also provided for states to establish a protection and advocacy system to protect and advocate for the rights of individuals with mental illness.
The PAIR Act was enacted to ensure protection and advocacy services are available to individuals with disabilities not covered by the DD Act or the PAIMI Act and provides similar investigative powers to the P&A systems.
To allow a P&A system to pursue these objectives, the P&A Statutes authorize a P&A system to have access to records of persons with disabilities under certain circumstances, including with the authorization of the individual's legal representative.
Disability Rights argues that it is entitled to summary judgment because between April 2014 and June 2014: (i) it received multiple complaints from parents, guardians and a former employee concerning practices and conduct in the ASC classroom, (ii) that the alleged acts and omissions in the complaints received by Disability Rights constituted probable cause to believe that abuse and neglect may have occurred or be occurring in the ASC classroom, (iii) that Blue Creek is a facility as defined by the P&A Statutes, and (iv) the complaints received pertained to individuals with mental illness or disabilities.
The District has raised numerous arguments which it believes preclude an award of summary judgment in favor of Disability Rights and require judgment in its favor. These include that: (a) the District is not a "facility" pursuant to the P&A Statutes, (b) the alleged incidents reported to Disability Rights do not constitute incidents of "abuse" or "neglect" as defined by the P&A Statutes which would permit Disability Rights to initiate an investigation and invoke their statutory access and record rights and (c) that the students in question are not individuals with "developmental disabilities", "mental illness" or "disabilities" as defined in the P&A Statutes.
The District argues that its ASC classroom or its school in general should not be considered a facility or service provider within the meaning of the P&A Statutes. It points to the legislative history of the P&A Statutes which its believes support the conclusion that Congress only meant the statutes to apply to residential facilities housing and/or treating disabled individuals.
The DD Act provides that a P&A system shall "have access at reasonable times to any individual with a developmental disability in a location in which services, supports, and other assistance are provided to such an individual, in order to carry out the purpose of this part." 42 U.S.C. § 15043(a)(2)(H). The PAIR Act incorporates these provisions of the DD Act.
Prior to the regulatory change effective on August 26, 2015, the regulations governing the DD Act defined a "location" as a facility and states that "[a] facility includes any setting that provides care, treatment, services and habilitation, even if only `as needed' or under a contractual agreement." 45 C.F.R. § 1386.19; 42 U.S.C. § 15043(a)(2)(H). The regulation was modified to remove the "facility" definition and provide P&A systems access to "service providers".
Pursuant to the PAIMI Act, a P&A system has authority to access "facilities in the State providing care or treatment" to individuals with mental illness. 42 U.S.C. § 10805(3). Such access authority encompasses both residential and non-residential facilities.
The District's argument that Blue Creek should not fall within the definition of a facility or service provider under the P&A Statutes is unpersuasive. "The simple fact that [facilities] are primarily concerned with education and rehabilitation does not prevent them from falling under the auspices of [the P&A Statutes]."
The District attempts to distinguish the
While the investigation and access rights granted to Disability Rights pursuant to the P&A Statutes would not allow it to investigate Blue Creek generally or with respect to students who are not mentally ill or disabled, its educational setting does not preclude it from investigation by a P&A system when the criteria of the P&A Statutes have been satisfied. Adopting the District's logic would permit a school such as the Hartford Academy to remove itself from the investigative powers of a P&A System by having some, or a majority of its classrooms, be general education classrooms. This is counter to the Congressional intent of the P&A Statutes. The purpose of the P&A systems is to monitor the care of and advocate on behalf of individuals with mental illness and developmental or other disabilities.
Therefore, the ASC classroom and other locations utilized by students with mental illness or a disabilities are locations subject to the investigative powers of Disability Rights, the New York designated P&A system.
The District alternatively argues that the complaints received by Disability Rights were not "abuse" or "neglect" sufficient to trigger Disability Rights' statutory investigative powers. The relevant regulations enacted pursuant to the DD Act explicitly define "abuse" as: "any act or failure to act which was performed, or which was failed to be performed, knowingly, recklessly, or intentionally, and which caused, or may have caused, injury or death to an individual with developmental disabilities[.]"
Relative to the term "neglect", neglect is specifically defined for purposes of the DD Act as: "a negligent act or omission . . . which caused or may have caused injury or death to an individual with developmental disabilities or which placed an individual with developmental disabilities at risk of injury or death[.]"
The District posits that the qualifying language of "injury or death" should be applied to every potential example of abuse or neglect. They then further argue that since none of the plaintiff's alleged occurrences of abuse or neglect
However, this argument is strained. Each statute provides that the action caused "or may have caused" injury or death to a person with a mental illness or disability. While some of the allegations made by Disability Rights are non-specific, it is certainly reasonable for Disability Rights to conclude that some of the allegations, for example, permitting students to elope outside the building or failing to properly respond to a suicide threat, "may have caused" injury or death. Further, under regulations promulgated pursuant to the PAIMI Act and the DD Act, the use of excessive force when placing an individual in physical restraints is considered to be abuse.
Therefore, the complaints received by plaintiff constituted allegations of abuse and neglect as defined by the P&A Statutes to support an investigations of the ASC classroom.
Lastly, the District argues that Disability Rights failed to show the students in the ASC classroom were individuals with a "developmental disability", "disability", or "mental illness" under the P&A Statutes.
Under the DD Act, "developmental disability" means a "severe, chronic disability" and "results in functional limitations" in three or more major life activities, which include: (I) self-care, (ii) receptive and expressive language, (iii) learning, (iv) mobility, (v) self-direction, (vi) capacity for independent living, and (vii) economic self-sufficiency." 42 U.S.C. § 15002(8)(A)(iv)(I)-(VII). Pursuant to the PAIMI Act, an "individual with mental illness" includes an individual who has a "significant mental illness or emotional impairment, as determined by a mental health professional." 42 U.S.C. § 10802(4)(A). The PAIR Act does not define disability but notes that the purpose of the Act is to protect the legal and human rights of individuals with disabilities who are ineligible for protection under the DD Act or the PAIMI Act.
In the present case, the conditions affecting certain students attending the ASC classroom included autism, emotional disturbance, learning disability and intellectual disability, as classified pursuant to the IDEA.
Therefore, plaintiff has demonstrated that the students in the ASC classroom have a developmental disability or disability sufficient to authorize an investigation of incidents of alleged abuse or neglect pursuant to the DD Act or the PAIR Act.
Disability Rights alternatively argues that in addition to its investigative access authority, the P&A Statutes also permit a P&A system access to facilities or service providers for the purpose of monitoring compliance with federal law and that such authority could be used to access the Blue Creek school.
The P&A Statutes charge P&A systems to be responsible for "monitoring compliance with respect to the rights and safety of individuals with developmental disabilities." 45 C.F.R. § 1386.27(c)(2)(ii);
As the plaintiff relied on its investigative access and record rights pursuant to the P&A Statutes when seeking access to the Blue Creek school in 2014 and did not raise its monitoring authority until filing its amended complaint, such authority is not pertinent to the 2014 investigation of the ASC classroom. However, as the Blue Creek school is a facility or service provider pursuant to the P&A Statutes, Disability Rights may exercise such monitoring authority over the ASC classroom and other locations utilized by disabled individuals in the future provided that Disability Rights otherwise complies with the requirements of the P&A Statutes.
Pursuant to the June 20, 2014 order, Disability Rights was provided with physical access to Blue Creek Elementary School in order to investigate the complaints received in April, May and June 2014. Plaintiff has failed to demonstrate that any additional access is needed to complete its investigation into the received complaints. Further, the District has stated that all student records requested in June 2014 have been provided, totaling approximately 805 pages, including records and/or reports relating to the use of restraints and escorts, student disciplinary records and all educational records. As a result, no further relief will be granted to plaintiff concerning its June 2014 investigation. The District has provided both physical access to the Blue Creek school and significant educational records requested by Disability Rights. Disability Rights has failed to demonstrate that any additional records are necessary to complete its investigation.
However, some injunctive relief is appropriate in the present case to fulfill the Congressional intent of the P&A Statutes. To require Disability Rights to always obtain a court order to perform its statutory investigative responsibilities would stifle its mission to provide timely and effective advocacy for those it is charged with protecting. As a result, the District will be enjoined from disputing that: (i) Blue Creek is a "service provider" or "facility" for purposes of the P&A Statutes to the extent Disability Rights seeks to assert rights granted to it pursuant to the P&A Statutes and (ii) that those students receiving special education pursuant to an IDEA designation of a "student with a disability" constitute disabled individuals pursuant to the P&A Statutes. Disability Rights will however be required to demonstrate to the District or, if necessary, to a Court, that it: (i) has received reports or complaints of abuse or neglect or that there is probable cause to believe that an incident of abuse or neglect has occurred, (ii) that the area to be accessed is used by individuals with mental illness or disability, and (iii) that it has otherwise complied with the requirements of the P&A Statutes before asserting its investigative access and records powers against the District.
For the reasons discussed above, the District's initial refusal to provide Disability Rights with physical access to the ASC classroom at the Blue Creek school when students are present and to provide Disability Rights with requested records concerning the alleged abuse and neglect violated the P&A Statutes. However, as defendants have subsequently provided adequate access to the ASC classroom and significant records to the plaintiff, plaintiff's request for a permanent injunction will only be partially granted.
Therefore, it is ORDERED that:
1. Plaintiff's motion for summary judgment is
2. Plaintiff's request for a declaratory judgment is
3. Plaintiff's request for preliminary and permanent injunctive relief is
4. The remainder of plaintiff's motion for summary judgment is
5. Defendants' motion for summary judgment is
The Clerk of the Court is directed to enter judgment accordingly and to close the case.
IT IS SO ORDERED.