Protection & Advocacy for Persons with Disabilities v. Mental Health & Addiction Services

448 F.3d 119, 24 I.E.R. Cas. (BNA) 791, 2006 U.S. App. LEXIS 11379, 2006 WL 1195924
CourtCourt of Appeals for the Second Circuit
DecidedMay 5, 2006
DocketDocket No. 05-1457-CV
StatusPublished
Cited by5 cases

This text of 448 F.3d 119 (Protection & Advocacy for Persons with Disabilities v. Mental Health & Addiction Services) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Protection & Advocacy for Persons with Disabilities v. Mental Health & Addiction Services, 448 F.3d 119, 24 I.E.R. Cas. (BNA) 791, 2006 U.S. App. LEXIS 11379, 2006 WL 1195924 (2d Cir. 2006).

Opinion

SOTOMAYOR, Circuit Judge.

This case raises the question whether the Protection and Advocacy for Individuals with Mental Illness Act (“PAIMI”),1 42 U.S.C. §§ 10801-10851 (2000), requires defendant-appellant the Connecticut Department of Mental Health and Addiction Services, through its commissioner, Thomas A. Kirk, (“the Department”) to disclose peer review records to plaintiff-appellee the Connecticut Office of Protection and Advocacy for Persons with Disabilities (“OPA”). For the reasons that follow, we hold that PAIMI unambiguously grants OPA access to peer review records and affirm the district court’s entry of a declaration and injunction requiring the Department to disclose to OPA the peer review records at issue.

BACKGROUND

The parties have stipulated to the relevant facts. OPA is a state-created agency that is authorized to represent and investigate suspected abuse of individuals with disabilities or mental illness residing in facilities in Connecticut. See Conn. Gen. Stat. §§ 46a-10 to 46a-11 (2003). OPA serves as the protection and advocacy (“P & A”) system for Connecticut pursuant to PAIMI, 42 U.S.C. § 10801(b)(2). Enacted in the wake of disturbing reports about the treatment of institutionalized persons with disabilities, see S.Rep. No. 99-109, at 2-3 (1985), reprinted in 1986 U.S.C.C.A.N. 1361, 1362-63, PAIMI provides federal funds for states, such as Connecticut, that have qualifying P & A systems that monitor the care of individuals with disabilities and mental illness in facilities providing care and treatment. See 42 U.S.C. § 10801.

On January 21, 2000, Rose Marie Cina-mi, a patient at the Cedarcrest Hospital who was diagnosed with schizophrenia, died after choking on her breakfast. OPA subsequently opened an investigation into her death. The administrator of Cinami’s [122]*122estate authorized OPA to access her records and OPA requested all of Cedarcrest Hospital’s records relating to her care. Cedarcrest Hospital, which is administered by the Department, disclosed all of its records relating to Cinami’s care except for its peer review records. Peer review records are those created by or for the peer review committee at Cedarcrest Hospital. The hospital peer review committee is a “committee of Cedarcrest Hospital” comprised of healthcare staff at the hospital that “engage[s] in the evaluation ... of the quality and efficiency of services ordered or performed by other health care professionals.”

On April 3, 2002, James Bell, a patient at the Whiting Forensic Institute division of the Connecticut Valley Hospital, died while being transported in restraints. OPA opened an investigation into his death and requested all records relating to his case, including the peer review records. Because Bell had died and OPA made a probable cause determination that he had been subject to abuse or neglect, it did not need consent to obtain the files. See 42 U.S.C. § 10805(a)(4)(B). The Whiting Forensic Institute, which is also administered by the Department, released to OPA all of Bell’s records except for its peer review records. The Department withheld both sets of peer review records on the ground that peer review documents are privileged under Connecticut law.

OPA filed this action pursuant to 42 U.S.C. § 1983 and PAIMI in the United States District Court for the District of Connecticut, seeking a declaration that it is entitled to the peer review records relating to Bell and Cinami under PAIMI and an injunction requiring the Department to release the records. OPA’s motion for a preliminary injunction was denied without prejudice to its arguments being raised on a motion for summary judgment. Both parties then moved for summary judgment on the basis of stipulated facts. OPA argued that it was entitled to the peer review records because § 10805(a)(4) of PAI-MI authorizes it to have access “to all records of ... any individual” who has consented to OPA access or whom OPA has probable cause to believe has been abused, and because § 10806(b)(3)(A) defines “records” to include “reports prepared by any staff of a facility rendering care and treatment.” 42 U.S.C. § 10806(b)(3)(A).

The Department argued that the term “all records of ... any individual” is ambiguous and that the district court therefore had to defer to the regulatory interpretation promulgated by the United States Department of Health and Human Services (“HHS”), which provides that a P & A system may receive all records, including peer review reports, “except that nothing in this section is intended to preempt State law protecting records produced by medical care evaluation or peer review committees.” 42 C.F.R. § 51.41(c)(4). Pursuant to this regulation, the Department asserted, PAIMI did not preempt Connecticut’s peer review privilege law and thus did not require release of the peer review records.

The District Court for the District of Connecticut (Dominic J. Squatrito, Judge) granted OPA’s motion for summary judgment. Following the reasoning of the Third and Tenth Circuits in their treatment of this issue, the district court concluded that the grant of access in § 10805(a)(4) to “all records of ... any individual” unambiguously includes peer review records relating to a particular individual’s care. Conn. Office of Prot. & Advocacy for Persons with Disabilities v. Kirk, 354 F.Supp.2d 196, 201-02 (D.Conn.2005). Accordingly, the court did not defer to the regulatory interpretation pro[123]*123mulgated by HHS. Finally, the court held that PAIMI preempts Connecticut’s law governing the use of peer review records in civil actions. Id. at 202. The district court then entered an injunction requiring the Department to provide OPA with the peer review records relating to Cinami’s and Bell’s care on or before March 11, 2005. Id. at 202-03. That order was stayed pending this timely appeal.

On appeal, the Department argues that the district court erred in concluding that § 10805(a)(4) unambiguously requires it to disclose peer review records to OPA. It asserts that §§ 10805-06 do not expressly provide access to peer review records and that the statutory language is ambiguous. Accordingly, it contends, this Court must defer to HHS’s reasonable interpretation of the statute.

DISCUSSION

This Court reviews a district court’s grant of summary judgment de novo. Peck v. Baldwinsville Cent. Sch. Dist., 426 F.3d 617, 625 (2d Cir.2005). Moreover, questions of statutory interpretation and “the appropriate level of deference to accord agency regulations [are] ... purely of law, subject to de novo review.” Kruse v. Wells Fargo Home Mortgage, Inc., 383 F.3d 49

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448 F.3d 119, 24 I.E.R. Cas. (BNA) 791, 2006 U.S. App. LEXIS 11379, 2006 WL 1195924, Counsel Stack Legal Research, https://law.counselstack.com/opinion/protection-advocacy-for-persons-with-disabilities-v-mental-health-ca2-2006.