MARGARET M. HECKLER, SECRETARY OF HEALTH AND HUMAN SERVICES, PETITIONER V. AMERICAN HOSPITAL ASSOCIATION, ET AL. No. 84-1529 In the Supreme Court of the United States October Term, 1984 The Solicitor General, on behalf of the Secretary of Health and Human Services, petitions for a writ of certiorari to review the judgment of the United States Court of Appeals for the Second Circuit in this case. Petition for a Writ of Certiorari to the United States Court of Appeals for the Second Circuit II PARTIES OF THE PROCEEDING The petitioner is Margaret M. Heckler, the Secretary of Health and Human Services. The respondents are the plaintiffs in two suits filed in the district court that were consolidated in that court and in the court of appeals. The plaintiffs in American Hospital Association, et al. v. Heckler are the American Hospital Association, the Hospital Association of New York State, and Strong Memorial Hospital of the University of Rochester. The plaintiffs in American Medical Association, et al. v. Heckler are the American Medical Association, the American Hospital Association, the Hospital Association of New York State, the American College of Obstetricians and Gynecologists, the Association of American Medical Colleges, the American Acadamy of Family Physicians, and Drs. Hubert A. Ritter, Peter A. M. Auld, Rita Gilman Harper, and Roy Howard Petrie. TABLE OF CONTENTS Opinions below Jurisdiction Statute and regulations involved Statement Reasons for granting the petition Conclusion Appendix A Appendix B Appendix C Appendix D Appendix E OPINIONS BELOW The order of the court of appeals summarily affirming the judgment of the district court (App., infra, la-3a) is not reported. The prior opinion of the court of appeals in United States v. University Hospital of the State University of New York at Stony Brook (App., infra, 4a-47a), upon which both the district court and court of appeals relied in this case, is reported at 729 F.2d 144. The memorandum and order of the district court (App., infra, 48a-49a) are reported at 585 F. Supp. 541. JURISDICTION The judgment of the court of appeals was entered on December 27, 1984. The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1). STATUTE AND REGULATIONS INVOLVED 1. Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, provides: No otherwise qualified handicapped individual in the United States, as defined in section 706(7) of this title, shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance or under any program or activity conducted by any Executive agency or by the United States Postal Service. The head of each such agency shall promulgate such regulations as may be necessary to carry out the amendments to this section made by the Rehabilitation, Comprehensive Services, and Developmental Disabilities Act of 1978. Copies of any proposed regulation shall be submitted to appropriate authorizing committees of the Congress, and such regulation may take effect no earlier than the thirtieth day after the date on which such regulation is so submitted to such committees. 2. 45 C.F.R. 84.55 and 45 C.F.R. Pt. 84, App. C, as added by 49 Fed. Reg. 1650-1654 (Jan. 12, 1984), are reproduced in the appendix to this petition (App. infra, 53a-72a). QUESTION PRESENTED Whether Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, prohibits a hospital program receiving federal financial assistance from withholding nourishment or medically indicated treatment from a handicapped child, or otherwise descriminating against the child, solely because of his handicap. STATEMENT 1.a. On April 30, 1982, following public disclosure of an incident in Bloomington, Indiana, in which a newborn child with Down's Syndrome was permitted to starve to death after being denied life-saving surgery to repair a blocked esophagus, the President directed the Secretary of Health and Human Services to remind health care providers receiving federal financial assistance that Section 504 of the Rehabilitation Act of 1973 Prohibits discrimination on the basis of handicap in programs or activities that receive federal financial assistance. See 49 Fed. Reg. 1622-1623 (1984); American Academy of Pediatrics v. Heckler, 561 F. Supp. 395, 397 (D.D.C. 1983). On May 18, 1982, the Secretary sent such a notice to all covered health care providers. 47 Fed. Reg. 26027. The notice stated that "(t)here has recently been heightened public concern about the adequacy of medical treatment of newborn infants with birth defects" and that "(r)eports suggest that operable defects have sometimes not been treated, and instead infants have been allowed to die, because of the existence of a concurrent handicap, such as Down's Syndrome." Ibid. Subsequently, on March 7, 1983, HHS promulgated interim final rules establishing certain procedures relating to the application of Section 504 to refusals to treat handicapped infants. 48 Fed. Reg. 9630. On April 14, 1983, these regulations were invalidated by the United States District Court for the District of Columbia in American Academy of Pediatrics v. Heckler, supra. Although the district court in that case was of the view that the broad language of Section 504 might well authorize some regulation of the provision of some types of medical care to handicapped newborns (561) F. Supp. at 402), it concluded that HHS's decision to waive the public comment period when it promulgated the regulations violated the Administrative Procedure Act and that the regulations were arbitrary and capricious because the administrative record failed to establish that several important factors had been adequately considered (id. at 403-404). b. The Secretary then published new proposed regulations on July 5, 1983. 48 Fed. Reg. 30846. After receiving broad public comment, /1/ the revised final regulations at issue here were published on January 12, 1984. 49 Fed. Reg. 1622. The regulations explain the basic applicability of Section 504 in this setting through interpretative guidelines, which establish four basic principles: (1) health care providers receiving federal financial assistance "may not, solely on the basis of present or anticipated physical or mental impairments of an infant, withhold treatment or nourishment from the infant who, in spite of such impairments, will medically benefit from the treatment or nourishment"; (2) treatment that if futile or will do no more than temporarily prolong the act of dying of a terminally ill infant is not considered treatment that will medically benefit the infant for purposes of Section 504; (3) reasonable medical judgments in selecting among alternative courses of treatment will be respected; and (4) where a parent withholds consent to treatment that is medically indicated, the hospital may not, solely on the basis of the infant's handicap, decline to report the matter to the appropriate child protective agency or to seek judicial review. 45 C.F.R. Pt. 84, App. C para. (a)(1)-(4). /2/ The remainder of the regulations contains measures for the implementation of these principles. The implementing regulations are tailored in a number of respects to foster a cooperative effort on the part of the federal government, state governments, the medical community, and private advocacy groups. For example, the regulations initiate new efforts to make the use of federal enforcement mechanisms unnecessary by encouraging hospitals to establish their own policies and procedures to implement the guiding principles. This approach follows the recommendation of the President's Commission for the Study of Ethical Problems in Medicine and Biomedical and Behavioral Research. 49 Fed. Reg. 1622, 1623-1625 (1984). In accordance with this recommendation, the Secretary developed a model for hospitals that wish to establish Infant Care Review Committees to assist in evaluating issues relating to the treatment of handicapped infants. 45 C.F.R. 84.55(a) and (f). Under the proposed model, the Infant Care Review Committee /3/ would develop and recommend to the hospital institutional policies concerning the withholding or withdrawal of treatment from infants with life-threatening conditions, including guidelines for management of certain categories of cases (e.g., Down's Syndrome and Spina Bifida) and procedures to be followed in certain recurring circumstances (e.g., brain death and parental refusal to consent to life-saving treatment). 45 C.F.R. 84.55(f) (3) (i). The Committee also would review specific cases where a preliminary decision has been made to withhold or withdraw life-sustaining treatment from patients in certain categories or where there is a disagreement between the treating physician and the family regarding such treatment, and the Committee would recommend that the hospital refer the case to an appropriate court or child protective agency if the Committee disagreed with the family's refusal to consent to treatment in a particular case. 45 C.F.R. 84.55(f) (3) (ii). In addition, the Committe would conduct a retrospective record review of cases in which treatment had been withdrawn or withheld, in order to determine whether such instances were consistent with the hospital's policies. 45 C.F.R. 84.55(f) (1) (iii). In accordance with the policy of involving state agencies in the process as well, the regulations require each state child protective services agency that receives federal financial assistance to establish methods of administration and procedures to assure that it utilizes its full authority pursuant to state law to prevent instances of unlawful medical neglect of handicapped infants. 45 C.F.R. 84.55(c). These methods and procedures must include a requirement that health care providers report circumstances that they determine to constitute known or suspected instances of unlawful medical neglect of handicapped infants; provisions for the state agency to review and, if necessary, investigate such reports; procedures for affording child protective services to medically neglected handicapped infants, including, where appropriate, seeking a timely court order to compel the furnishing of necessary nourishment and medical treatment; and notification to HHS of each report of suspected medical neglect of an infant solely because of his handicap, including the nature of the state agency's investigation and final dispostion of the matter. Ibid. Finally, in order to facilitate investigation by HHS where necessary, the regulations provide for expedited access to records and facilities of the recipient hospital for investigative purposes when "necessary to protect the life or health of a handicapped individual." 45 C.F.R. 84.55(d). Similarly, when immediate action is necessary, the regulations allow for waiver of the usual 10-day waiting period prior to the initiation of judicial or other action to effect compliance. 45 C.F.R. 84.55(e). An appendix to the regulations sets forth guidelines for HHS investigations of reports of unlawful withholding of medical treatment, including provisions for consultation with the hospital's Infant Care Review Committee and measures to insure that any investigations are conducted promptly and with the least disruption possible. 45 C.F.R. Pt. 84, App. C. para. (b). The regulations also require recipient hospitals to post a notice, visible to nurses and other medical professionals, which (i) states that Section 504 prohibits the withholding of nourishment and medically beneficial treatment from handicapped infants based solely on their present or anticipated mental or physical impairments, and (ii) identifies the designated hospital official, the appropriate child protective services agency, and the HHS office that may be contacted to obtain further information or to report suspected noncompliance. 45 C.F.R. 84.55(b). 2.a. On April 6, 1983 the American Hospital Association, the Hospital Association of New York State, and Strong Memorial Hospital filed suit in the United States District Court for the Southern District of New York challenging the initial regulations that were promulgated by the Secretary on March 7, 1983. See page 3, supra. The district court entered a temporary restraining order barring enforcement of those regulations in New York State. American Hospital Ass'n, et al. v. Heckler, 83 Civ. 2638-CLB (Apr. 6, 1983). However, before a hearing could be held by the district court below, the United States District Court for the District of Columbia declared the regulations invalid on APA grounds in American Academy of Pediatrics v. Heckler, discussed at page 3, supra. On March 12, 1984, after the Secretary promulgated the new regulations at issue here, the plaintiffs filed an amended complaint challenging those regulations as beyond the Secretary's authority under Section 504. On the same date, a second suit was filed in the District Court for the Southern District of New York by the American Medical Association, the American Hospital Association, and others challenging the same regulations. The two suits were consolidated in the district court. By memorandum and order dated May 23, 1984, the district court held that the regulations are beyond the Secretary's statutory authority under Section 504 (App., infra, 48a-49a). In so holding, the court concluded that this case was directly controlled by the Second Circuit's decision in United States v. University Hospital of the State University of New york at Stony Brook, 729 F.2d 144 (1984) (App., infra, 4a-47a), discussed at pages 8-11, infra. On June 11, 1984, the district court entered its final judgment, which permanently enjoined the Secretary and her officers, agents, employees, and attorneys from any further implementation of the regulations and from taking any other action under Section 504 (including any pending investigation or other enforcement action) to investigate or regulate treatment decisions involving impaired newborn infants in any program receiving federal financial assistance (App., infra, 50a-52a). b. In a brief per curiam order dated December 27, 1984, the court of appeals summarily affirmed the district court's judgment on the basis of the court of appeals' prior decision in United States v. University Hospital (App., infra, 1a-3a). /4/ 3.a. In United States v. University Hospital, which both the district court and court of appeals regarded as controlling in this case, a divided panel of the Second Circuit held that Section 504 is wholly inapplicable to the withholding of medical treatment from handicapped infants. The court therefore held that the government was not entitled under existing regulations (45 C.F.R. 80.6(c), 84.61) to access to the hospital's records pertaining to a particular handicapped infant, Baby Jane Doe. HHS had received a complaint that Baby Jane Doe was being discriminatorily denied life-saving medical treatment on the basis of her handicap, and it sought access to her medical records in order to investigate whether a violation of Section 504 had occurred. /5/ The court of appeals in University Hospital assumed, without deciding, that the hospital's receipt of Medicare and Medicaid funds constituted the receipt of "Federal financial assistance" that triggered the application of Section 504 to the withholding of medical treatment from Baby Jane Doe (App., infra, 16a-18a). Further, the court held that Baby Jane Doe was a "handicapped individual" for purposes of Section 504 (id. at 26a-28a). However, the majority held that Baby Jane Doe could not be considered to be an individual who was "otherwise qualified" for the hospital's services or was "subjected to discrimination" within the meaning of Section 504 (id. at 28a-39a). According to the majority, "the phrase 'otherwise qualified' is geared toward relatively static programs or activities such as education, employment, and transportation systems. As a result, the phrase cannot be applied in the comparatively fluid context of medical treatment decisions without distorting its plain meaning" (App., infra, 30a (citations omitted)). Nor, in the majority's view, could the child be considered to be "subjected to discrimination," because "(w)here the handicapping condition is related to the condition(s) to be treated, it will rarely, if ever, be possible to say with certainty that a particular decision was 'discriminatory'" (ibid.). The majority also declined to attach significant weight to the Secretary's interpretation of Section 504 in this setting, terming the regulatory history "inconclusive" (id. at 25a; see generally id. at 18a-25a). In addition, the majority read the legislative history to reflect a congressional concern primarily with access by the handicapped to federally assisted programs, and it relied on the absence of a specific statement in the legislative history that Section 504 applies to medical treatment decisions (id. at 31a-38a). Finally, the majority concluded that to require a hospital to petition a state court or to take other steps to override the parents' withholding of consent to treatment in a particular case would impose an "affirmative action" burden on the hospital, contrary to this Court's decision in Southeastern Community College v. Davis, 442 U.S. 397 (1979) (App., infra, 39a). b. Judge Winter dissented (App., infra, 42a-47a). He concluded that because Congress explicitly patterned Section 504 after Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et seq., which prohibits discrimination on the basis of race in federally assisted programs, Congress had determined that, "so far as the administration of federal financial assistance is concerned, discrimination on the basis of a handicap should be on statutory par with discrimination on the basis of race" (App., infra, 43a-44a). Judge Winter stressed that the government has never taken the position that it is entitled to override a medical judgment; "(i)ts position rather is that it is entitled under Section 504 to inquire whether a judgment in question is a bona fide medical judgment" (id. at 44a). Based on the statutorily mandated analogy to racial discrimination, Judge Winter concluded that the logic of the government's position is "about as flawless as a legal argument can be" (ibid.): A judgment not to perform certain surgery because a person is black is not a bona fide medical judgment. So too, a decision not to correct a life threatening digestive problem because an infant has Down's Syndrome is not a bona fide medical judgment. The issue of parental authority is also quickly disposed of. A denial of medical treatment to an infant because the infant is black is not legitimated by parental consent. Finally, once the legislative analogy to race is acknowledged, the intrusion on state authority becomes insignificant. Accordingly, Judge Winter would have reversed the judgment of the district court in University Hospital and remanded for a determination whether the hospital was a recipient of "Federal financial assistance" that triggered the application of Section 504 to the infant (id. at 47a). /6/ REASONS FOR GRANTING THE PETITION The court of appeals had held that the Secretary's regulations and interpretative guidelines concerning the application of Section 504 to the withholding or withdrawal of nutrition or medically beneficial treatment from an infant solely by reason of his handicap are invalid on their face. The court has held, in other words, that Section 504 does not apply to this entire category of cases, no matter how egregious the circumstances. Thus, to use one of the specific examples cited in the Secretary's interpretative guidelines, /7/ Section 504 does not, in the court of appeals' view, prohibit a federally assisted hospital program from withholding life-saving surgery to correct an intestinal obstruction in an infant with Down's Syndrome, even if the hospital would not hesitate to perform the same surgery on a normal child and the hospital's failure to perform the surgery is based solely upon the mental retardation of the infant and thus solely upon his handicap. The court of appeals' holding is flatly inconsistent with the language and purposes of Section 504 and with the Secretary's implementing regulations and interpretative guidelines, which are entitled to substantial deference. Nor does such an implied exception for all decisions concerning medical treatment of impaired newborn infants find any support in the legislative history of Section 504, which manifests an intent to adopt a broad bar to discrimination against the handicapped in federally assisted programs, specifically including those furnishing health services. Yet the court of appeals in this case has affirmed a sweeping nationwide injunction that purports to bar the Secretary from undertaking any investigation or enforcement actions under Section 504 with respect to any treatment decisions involving handicapped newborn infants in any program or activity receiving federal financial assistance. What is more, the court of appeals' view that Section 504 does not address decisions concerning the furnishing of medical treatment is not logically limited to infants whose impairments are severe, or even to infants. By thus suggesting that any decision by a physician or hospital relating to medical treatment is cloaked with blanket immunity from scrutiny under Section 504, the decision below calls into question the application of Section 504 to the furnishing of federally assisted health services to handicapped individuals generally. Review by this Court therefore is plainly warranted. 1.a. The starting point of analysis must of course be the language of Section 504 itself, for "we assume 'that the legislative purpose is expressed by the ordinary meaning of the words used.'" Kosak v. United States, No. 82-618 (Mar. 21, 1984), slip op. 5, quoting American Tobacco Co. v. Patterson, 456 U.S. 63, 68 (1982). See Consolidated Rail Corp. v. Darrone, No. 82-862 (Feb. 28, 1984), slip op. 7-9. Contrary to the court of appeals' view (App., infra, 28a-31a), the language of Section 504 clearly prohibits a hospital program receiving such federal financial assistance as to bring it within the scope of the statute (see note 12, infra), from withholding nourishment or medically indicated treatment from a handicapped infant solely by reason of his handicap. Section 504 provides in relevant part: No otherwise qualified handicapped individual in the United States * * * shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance * * *. The court of appeals in University Hospital held that an impaired newborn child is a "handicapped individual" for purposes of Section 504 (App., infra, 26a-28a). Although the court of appeals expressed reservations even about that conclusion -- believing that the term might be understood to apply only to adults (id. at 26a-27a) -- the statutory language in our view is so clear as to admit of no other interpretation. The broad directive that "(n)o * * * handicapped individual" may be discriminated against itself suggests an all-inclusive coverage, without regard to the individual's age. Compare North Haven Board of Education v. Bell, 456 U.S. 512, 520 (1982). Moreover, the term "handicapped individual" is defined in broad terms to mean "any person who (i) has a physical or mental impairment which substantially limits one or more of such person's major life activities, (ii) has a record of such an impairment, or (iii) is regarded as having such an impairment." 29 U.S.C. 706(7) (B) (emphasis added). Especially in light of the Secretary's 1977 regulations implementing Section 504 (see 42 Fed. Reg. 22677), there can be no question that the infants who are the subject of the concern giving rise to the regulations at issue here have "physical or mental impairment(s)" (App., infra, 26a) /8/ and that those impairments substantially limit one or more of the infants' major life activities." /9/ Moreover, as the court of appeals observed (App., infra, 27a), "it would defy common sense" to rule that the Baby Jane Doe involved in University Hospital was not at least "regarded" by others as having such an impairment, and thus handicapped within the meaning of 29 U.S.C. 706(7) (B) (iii). It also would seem clear that a handicapped newborn infant who, solely because of his handicap, is denied nourishment or treatment that would be medically beneficial is an "otherwise qualified" handicapped individual who has been "denied the benefits of" and "subjected to discrimination under" the federally assisted program within the meaning of Section 504. This Court stated in Southeastern Community College v. Davis, 442 U.S. 397, 406 (1979), that the "plain meaning" of the term otherwise qualified handicapped individual is "one who is able to meet all of a program's requirements in spite of his handicap." In Davis a deaf student was, because of her handicap, not qualified for admission to nursing school because she could not meet some of the educational program's basic physical requirements. Obviously, one need not possess any special qualifications to benefit from receiving nourishment. Similarly, in the context of the furnishing of health services, there ordinarily are no qualifications that a patient must meet other than to have the ability, in spite of his handicap, to benefit from medical treatment. /10/ Accordingly, if an infant's handicapping condition would not prevent him from benefitting from, for example, corrective surgery, he must be considered "otherwise qualified." That is the principle HHS applied in adopting the regulations and interpretative guidelines at issue here. /11/ On this understanding, if a federally assisted hospital refused to furnish an infant who has a handicap (e.g., Down's Syndrome) with treatment that would be medically beneficial (e.g., surgery to remove an intestinal blockage (see note 2, supra)) and that would be performed for a child who is not handicapped, the infant quite clearly has, "solely by reason of his handicap," been "denied the benefits of" and been "subjected to discrimination under" the federally assisted program. Thus, contrary to the court of appeals' conclusion, the regulations and interpretative guidelines respondents challenge are firmly supported by the plain language of Section 504. /12/ The majority in University Hospital attempted to avoid this conclusion by reasoning that the phrase "otherwise qualified" is geared toward relatively "static" programs or activities such as education, employment, and transportation systems, and cannot be applied in the comparatively "fluid" context of medical treatment decisions without "distorting its plain meaning" (App., infra, 30a). But it is the majority below that is distorting the plain meaning of Section 504, because the supposed distinction between "static" and "fluid" contexts finds no support whatever in the statutory language. Section 504 broadly prohibits discrimination in "any" program or activity receiving Federal financial assistance" ((emphasis added); see Consolidated Rail Corp. v. Darrone, slip op. 7), a phrase that clearly encompasses the furnishing of health services. See S. Rep. 93-1297, 93d Cong., 2d Sess. 38 (1974); 45 C.F.R. 84.3(h), 84.52. By its use of the term "fluid," the majority apparently meant that a handicapped infant's need for a particular course of treatment may vary with changes in the child's physical condition. Where such fluidity is present, it may appropriately inform the range of reasonable medical alternatives and thereby support additional deference to a physician's professional medical judgment. But the fact that some physical conditions may fluctuate does not support a wholesale exemption from Section 504 for all decisions relating to medical treatment. There was, for example, nothing "fluid" about the Bloomington Baby Doe's need for corrective esophageal surgery to enable him to receive nourishment. /13/ By the same token, programs and activities other than the furnishing of health services are not necessarily "static," as the majority in University Hospital seemed to believe. For example, in a federally assisted Educational program, decisions that affect a handicapped child are made every day, and adjustments might have to be made in that program to take into account fluctuations in the child's physical or mental condition. In short the distinction the majority posited finds no basis in the statutory language, the policies of Section 504, or common sense. b. The legislative history of Section 504 also fully supports the validity of the regulations. The legislative history of Section 504 as originally enacted is relatively sparse, but it describes the Section in broad terms that contain no suggestion that Congress intended to create the exception fashioned by the court of appeals. /14/ The breadth of Section 504 is further stressed in S. Rep. 93-1297, 93d Cong., 2d Sess. (1974), which was issued in connection with the 1974 addition of the definition of the term "handicapped individual" in 29 U.S.C. 706(7) (B) and upon which this Court repeatedly has relied as an authoritative exposition of the congressional intent underlying Section 504. /15/ That report states that Section 504 "was enacted to prevent discrimination against all handicapped individuals * * * in relation to Federal assistance in employment, housing, transportation, education, health services, or any other Federally-assisted programs" and "constitutes the establishment of a broad government policy that programs receiving Federal financial assistance shall be operated without discrimination on the basis of handicap." S. Rep. 93-1297, supra, at 38-39 (emphasis added). In addition, the Senate Report underscores what is in any event evident from the language of Section 504: that it is patterned directly after Title VI of the Civil Rights Act of 1964 (see S. Rep. 93-1297, supra, at 39) and that Congress therefore concluded that discrimination because of handicap should be viewed as "similar to discrimination because of race" (id. at 38). See Alexander v. Choate, No. 83-727 (Jan. 9, 1985), slip op. 5 & n.7, 708 n.13; Consolidated Rail Corp v. Darrone, slip op. 5-6, 10 n.16; Community Television v. Gotfried, 459 U.S. at 509. This congressionally mandated analogy to racial discrimination, at least in the context of intentional discrimination (compare Alexander v. Choate, slip op. 6-11), further reinforces the validity of the regulations at issue here. The Secretary's interpretative guidelines expressly provide that reasonable medical judgments will be respected. 45 C.F.R. Pt. 84, App. C para. (a) (3). But as Judge Winter explained in his dissent in University Hospital (App., infra, 44a), not every decision by a hospital that happens to relate to the furnishing of medical treatment is perforce a bona fide medical judgment that is automatically immune from scrutiny under the antidiscrimination laws. Surely, for example, a federally assisted hospital would not be free under Title VI to decline to perform surgery to remove an intestinal obstruction in an infant solely because of his race. Although such a decision would relate to medical treatment, it would not be a bona fide medical judgment. It is equally unlawful under Section 504 for the hospital to decline to perform the same surgery on an infant solely because of his handicap (e.g., Down's Syndrome). Moreover, just as a hospital could not, under Title VI, decline solely because of the child's race to take appropriate steps to override a parental withholding of consent to needed treatment, a hospital cannot, under Section 504, decline to do so solely because of the child's handicap. The panel majority in University Hsopital believed that the analogy to racial discrimination "breaks down," reasoning that "(w)here the handicapping condition is related to the condition(s) to be treated, it will rarely, if ever, be possible to say with certainty that a particular decision was 'discriminatory'" (App., infra, 30a-31a). Even assuming this observation were correct as an analytical matter (but see note 17, infra), it says nothing about those instances in which the handicapping condition is not necessarily related to the impairment to be treated. In the widely publicized Bloomington Baby Doe case, a decision was made to forego routine surgery on an intestinal blockage of a newborn child with Down's Syndrome because such treatment would not cure the child's mental retardation. /16/ The child starved to death. The intestinal blockage plainly was separable from any retardation associated with Down's Syndrome that would have remained after the corrective surgery, and if the infant had not been handicapped, the hospital surely would have taken steps to provide the routine corrective surgery. There is no difficulty in determining that such a decision is "discriminatory." /17/ The court of appeals in University Hospital also drew a negative inference from the fact that medical treatment decisions were not specifically mentioned in the legislative history of Section 504 (App., infra, 31a-35a). But Congress's failure to advert expressly to a particular application that the words and purpose of the statute clearly embrace does not negate that application. See, e.g., Jefferson County Pharmaceutical Ass'n v. Abbott Laboratories, 460 U.S. 150, 195 n.18 (1983), and cases cited. See also United States v. Weber Aircraft Corp., No. 82-1616 (Mar. 20, 1984), slip op. 8, 9-11. That is especially so where, as here, Congress has deliberately enacted a sweeping policy covering a broad range of programs and left to the agencies concerned the responsibility to elaborate upon that policy in particular contexts. See pages 21-22, infra. Equally without merit is the court of appeals' reliance on what it believed was Congress's exclusive concern in the legislative history with access by handicapped persons to federally assisted programs (App., infra, 33a-35a). Section 504 on its face addresses not only the matter of access (by providing that a handicapped person may not "be excluded from the participation in" the program or activity); it further provides that a person may not be "denied the benefits of" or be "subjected to discrimination under" the program, even if he does have some measure of access to it. In other words, Section 504 requires "evenhanded treatment" of handicapped individuals. Alexander v. Choate, slip op. 16. Section 504 should be "'accord(ed) * * * a sweep as broad as its language,'" and courts should not "read into (the statute) a limitation (i.e., an exclusion for medical treatment decisions) not apparent on its face." Grove City College v. Bell, No. 82-792 (Feb. 28, 1984), slip op. 8, quoting North Haven Board of Education v. Bell, 456 U.S. at 521. c. The court of appeals also failed to accord any deference to the Secretary's regulations and guidelines implementing Section 504 (App., infra, 25a). Its decision in this respect is contrary to the congressional intent that the Secretary promulgate such regulations (S. Rep. 93-1297, supra, at 39-40) and to this Court's recognition that "these regulations (are) an important source of guidance on the meaning of Section 504." Alexander v. Choate, slip op. 16 n.24; see also Southeastern Community College v. Davis, 442 U.S. at 413. The regulations promulgated by the Secretary in 1977 expressly provide that Section 504 applies to federally assisted programs for the furnishing of health services (45 C.F.R. 84.4, 84.52, 84.53), and the Secretary made clear at the time of promulgation that medical treatment decisions are covered. /18/ The origianl regulations did not specifically mention the subcategory of treatment decisions involving handicapped newborn infants, but this obviously does not mean that it or any other subcategory was implicitly excluded from coverage. The regulations promulgated in 1984, at issue here, were intended simply to provide further guidance regarding the application of the general principles of nondiscrimination in this particular setting. Congress intended that the Secretary would have "substantial leeway to explore areas in which discrimination against the handicapped posed particularly significant problems and to devise regulations to prohibit such discrimination." Alexander v. Choate, slip op. 16 n.24, citing S. Rep. 93-1297, supra, at 40-41, 56. See also id. at 19-20 n.32. This is a continuing responsibility of the Secretary that may require her to respond to reports of apparent discrimination, such as the Bloomington Baby Doe case that led to the regulations at issue here. See Southeastern Community College v. Davis, 442 U.S. at 413 (emphasis added) ("Identification of those instances where a refusal to accommodate the needs of a disabled person amounts to discrimination against the handicapped continues to be an important responsibility of HEW."); Community Television v. Gottfried, 459 U.S. at 512; cf. Lau v. Nichols, 414 U.S. 563 (1974); Guardians Ass'n v. Civil Service Comm'n of New York City, 463 U.S. 582 (1983). The court of appeals believed that the Secretary had disclaimed any authority with respect to medical treatment decisions when the present Section 504 regulations were proposed in 1976, and it discounted the Secretary's current view on that ground (App. infra, 18a-19a, 25a). The court of appeals was wrong. All that the Secretary determined in 1976 was that Section 504 did not authorize regulations "concerning adequate and appropriate phychiatric care or safe and humane living conditions for persons institutionalized because of handicap or concerning payment of fair compensation to patients who perform work." 41 Fed. Reg. 29548, 29559 (1976). In other words, Section 504 was not understood to confer on institutionalized persons a right to safe conditions or to treatment. /19/ This conclusion of course was consistent with the fact that Section 504 is concerned only with discrimination in the relative treatment of handicapped and nonhandicapped persons and does not confer any absolute right to receive particular services or benefits under federally assisted programs. The Secretary did not suggest that Section 504 is inapplicable even where there is discrimination between the handicapped and nonhandicapped with respect to the furnishing of particular medical services. When the Secretary promulgated the instant regulations in 1984, she distinguished the comments during the rulemaking proceedings in 1976 on the ground just discussed (49 Fed. Reg. 1636 (1984)), and that interpretation of the Department's prior action is itself entitled to substantial deference. Udall v. Tallman, 380 U.S. 1, 16-17 (1965). Moreover, the fact that the Secretary was of the view after 1977 that Section 504 does apply to the discriminatory withholding of medical treatment from a handicapped infant is demonstrated by the fact that in May 1980, HHS formally resolved a Section 504 complaint against a hospital arising out of the death in 1979 of an infant with Down's Syndrome who had an intestinal blockage. In the compliance agreement, the hospital committed itself to report to the state child protective services agency any cases involving a lack of parental consent to medically indicated treatment for handicapped infants in the same manner as it reports similar cases involving nonhandicapped children. See 48 Fed. Reg. 30847-30848 (1983). Thus, the 1984 regulations the court of appeals invalidated do not reflect a new administrative interpretation of Section 504, much less a reversal of a prior interpretation, as the court of appeals believed. Compare General Electric Co. v. Gilbert, 429 U.S. 125, 142-143 (1976). d. The final argument on which the panel majority in University Hospital relied was that to require a hospital to seek a court order or take other appropriate steps where the parents have refused to consent to life-saving treatment would constitute an "onerous affirmative action burden" that is impermissible under Southeastern Community College v. Davis (App., infra, 39a). This conclusion was based on a misunderstanding of the Secretary's position, a misinterpretation of Davis, and a gross exaggeration of the burden involved. Davis held that Section 504 does not obligate a university to make "substantial modifications" in its nursing program to accommodate the needs of a deaf student (422 U.S. at 413). See Alexander v. Choate, slip op. 13 n.20. It has been the Secretary's consistent position -- reflected in the resolution of the 1980 complaint, just discussed (see page 23, supra) -- that Section 504 requires a hospital to initiate steps to override a parental withholding of consent to life-saving treatment for a handicapped child only if the hospital would have done so for a nonhandicapped child. Thus, Section 504 imposes no new "affirmative action" obligation on a hospital; it imposes only the "burden of nondiscrimination. Nor can the taking of the necessary steps in such circumstances be viewed as an impermissibly "onerous" burden on the hospital, especially when weighed against the consequences for the child. Virtually all hospitals are prepared to and do take steps to assure treatment when, for example, religious convictions prohibit the parents of a newborn infant from consenting to medical treatment necessary to the child's survival. Nor is there any doubt that most hospitals would not hesitate to take such steps in the case of a parental refusal to consent to a routine procedure, such as a blood transfusion, necessary to save the life of an otherwise normal and healthy child. It ordinarily would not even be necessary for the hospital to assume responsibility for litigation on the question. The hospital often might fulfill its obligation to afford evenhanded treatment for a handicapped child simply by notifying the state child protective services agency, which in turn could investigate the matter and seek any necessary court order. 2. As we have explained, the decision of the court of appeals creating an implied exception from the coverage of Section 504 for all medical treatment decisions involving handicapped newborn infants is flatly inconsistent with the text, purposes, and legislative history of the statute and with the Secretary's implementing regulations and guidelines. The court's error is compounded because the case involves a sweeping nationwide injunction that purports to prohibit the Secretary from undertaking any investigation or enforcement action with respect to any treatment decision involving an impaired newborn infant in any federally assisted program (App., infra, 52a). The court below therefore has effectively barred any federal role whatever under Section 504 -- even of an oversight nature -- with regard to the withholding of medically beneficial treatment from handicapped infants, /20/ despite the receipt by hospitals in this country of billions of dollars annually in federal financial assistance under the Medicare and Medicaid Program alone. /21/ As HHS's study of this matter demonstrates (see 48 Fed. Reg. 30847-30848 (1983)), refusals to treat even moderately handicapped newborns has been more than just a rare occurrence. The protection that the Secretary's regulations afford these infants is significant, and the absence of such protection may, in some cases, be lifethreatening. See 49 Fed. Reg. 1649 (1984). For this reason, and in light of the nationwide impact of the decision below and the resulting absence of a potential for a circuit conflict that might make the issue ripe for review at a later date, the court of appeals' erroneous invalidation of the entire regulatory program should not be permitted to stand. /22/ Moreover, the court of appeals' view that Section 504 does not apply in what it termed the "fluid" context of medical treatment decisions is not logically limited to infants with life-threatening or other severe conditions, or even to infants. It therefore calls into question the applicability of Section 504 to medical treatment decisions affecting handicapped individuals generally. In addition, the court of appeals' suggestion that Section 504 is limited only to matters of access by the handicapped, or is confined by reference to the particular examples of discriminatory treatment that were expressly mentioned in the legislative history, could adversely affect the enforcement of Section 504 outside of the context of medical treatment. Finally, the court's analysis of these issues could impede enforcement of other antidiscrimination statutes that are worded identically to Section 504, such as Title VI of the Civil Rights Act of 1964, regarding discrimination on the basis of race in the furnishing of medical services and other matters. Review by this Court, therefore is plainly warranted. CONCLUSION The petition for a writ of certiorari should be granted. Respectfully submitted. CHARLES FRIED Acting Solicitor General /*/ WM. BRADFORD REYNOLDS Assistant Attorney General CHARLES J. COOPER Deputy Assistant Attorney General EDWIN S. KNEEDLER Assistant to the Solicitor General WALTER W. BARNETT MARK L. GROSS Attorneys MARCH 1985 /1/ HHS received almost 17,000 comments on the proposed regulations, more than 97% of which were favorable. 49 Fed. Reg. 1622-1623(1984). /2/ The interpretative guidelines also give illustrations of conduct that would and would not violate Section 504. For example, the guidelines reiterate the Department's position that withholding of medically beneficial surgery to correct an intestinal obstruction in an infant with Down's Syndrome, when the withholding is based upon the anticipated future mental retardation of the child and when there are no medical contraindications, would constitute discrimination in violation of Section 504. But the guidelines also state that withholding of treatment for such conditions as anencephaly, spina bifida, and severe prematurity and low birth weight -- when based on reasonable medical judgments that the treatment would be futile, too unlikely of success given complications in the particular case, create risks of potential harm to the infant, or merely prolong the act of dying -- would not violate Section 504. 45 C.F.R. Pt. 84, App. C para. (a)(5)(i)-(iv). /3/ The Committee would be composed of a practicing physician, a practicing nurse, a hospital administrator, a representative of the legal profession, a representative of a disability group or a disability expert, a lay community member, and a member of the hospital's organized medical staff, who would serve as a chairman. 45 C.F.R. 84.55(f)(2). /4/ The Secretary recognized that this case was controlled in the court of appeals by the prior decision in University Hospital, and she therefore moved for initial en banc consideration of the instant case. The court of appeals denied that motion on August 22, 1984. The Secretary then moved for summary disposition of the appeal. /5/ Baby Jane Doe was born on October 11, 1983, with multiple birth defects, including myelomeningocele (exposed spinal cord membranes, commonly known as spina bifida), microcephaly (abnormally small head), and hydrocephalus (accumulation of fluid in the cranial vault). On advice of her initial pediatrician, Baby Jane Doe was admitted to University Hospital for corrective surgeries. After consulting with physicians at University Hospital, her parents withheld consent to surgeries to treat the spinal defect and to drain the water from the infant's skull, opting instead to administer antibiotics and dress the exposed spinal sac. University Hospital acquiesced in that decision. See United States v. University Hospital of the State University of New York at Stony Brook, 575 F.Supp. 607, 610(E.D. N.Y. 1983). /6/ Shortly after the court of appeals rendered its decision in University Hospital, the hospital disclosed that Baby Jane Doe had received corrective surgery for her life-threatening conditions (see page 5, supra) and had been discharged from the hospital. Accordingly, the United States elected not to petition for a writ of certiorari to review the judgment in that case. /7/ See 49 C.F.R. Pt. 84, App. C para. (a)(5)(1). /8/ HHS regulations define the term "physical or mental impairment" to mean "(A) any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive, digestive, genito-urinary; hemic and lymphatic; skin; and endocrine; or (B) any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities." 45 C.F.R. 84.3(j)(2)(i). /9/ HHS regulations define the term "major life activities" to mean "functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working." 45 C.F.R. 84.3(j)(2)(ii). Although newborn infants obviously cannot perform some of these functions, others of those mentioned (e.g. seeing, hearing, breathing and learning) are capable of being performed by infants. Moreover, this listing expressly is not exclusive (it refers to functions "such as" those listed), and it therefore readily embraces any functions or activities that are comparably "major" in the life of an infant. In University Hospital, for example, the court of appeals noted that Baby Jane Doe's rectal, bladder, leg, and sensory functions were all then presently impaired and that, with or without corrective surgery, she would experience severe mental retardation throughout her life (App., infra, 27a). /10/ See 45 C.F.R. 84.3(k)(4) (as regards health and other services, a qualified handicapped person is one "who meets the essential eligibility requirements for the receipt of such services"); 45 C.F.R. Pt. 84, App. A para 5. /11/ "If the handicapped person is able to benefit medically from the treatment or service, in spite of the person's handicap, the indivdual is 'otherwise qualified' to receive that treatment or service, and it may not be denied solely on the basis of the handicap." 49 Fed. Reg. 1636 (1984); see also id. at 1630. /12/ Section 504 prohibits discrimination only in a "program or activity receiving Federal financial assistance," but no question is presented here regarding this aspect of the coverage of Section 504. Compare Consolidated Rail Corp. v. Darrone, slip op. 11-12; North Haven Board of Education v. Bell, 456 U.S. at 540. The district court in University Hospital held that the hospital program's receipt of payments for the furnishing of medical treatment under the Medicaid and Medicare Programs, 42 U.S.C. 1395 et seq., 1396 et seq., constituted the receipt of "Federal financial assistance" that triggered the application of Section 504, whether or not Baby Jane Doe herself was a beneficiary under the Medicaid Program. 575 F. Supp. at 612-613. Compare Grove City College v. Bell, No. 82-792 (Feb. 28, 1984), slip op. 15 n.21. This holding is consistent with HHR's longstanding position (see 45 C.F.R. Pt. 84, App. A paras. 1, 2) and with the holding of the only court of appeals to have extensively considered the question. See United States v. Baylor University Medical Center, 736 F.2d 1039, 1042-1049 (5th Cir. 1984), cert. denied, No. 84-525 (Jan. 21, 1985). However, the court of appeals in University Hospital declined to resolve this question. It assumed for purposes of the decision that the hospital's actions pertaining to Baby Jane Doe were under a program or activity receiving federal financial assistance by virtue of the hospital's receipt of Medicare and Medicaid funds (App., infra, 16a-18a), but it held that Section 504 did not in any event address the question of discrimination in the medical treatment of handicapped infants (id. at 18a-41a). The district court and court of appeals in the instant case entered judgment in favor of respondents on the basis of that holding in University Hospital (id. at 2a, 49a), and they therefore likewise had no occasion to consider whether a hospital's receipt of Medicare and Medicaid payments made Section 504 applicable to the furnishing of medical services to patients in covered programs. Moreover, the regulations that respondents challenge in this suit (45 C.F.R. 84.55 and Pt. 84, App. C) are quite general and do not even address the question of what constitutes a program or activity receiving federal financial assistance for purposes of Section 504. That question therefore can be addressed only in the context of the application of Section 504 and the regulations and guidelines at issue here to a particular hospital. In such a case, it would be appropriate to consider not only the particular hospital's receipt of Medicare and Medicaid funds, but also other forms of federal financial assistance, such as Hill-Burton and other construction funds. See, e.g., 42 U.S.C. 291 et seq. /13/ Moreover, the potentially "fluid" nature of a patient's condition would not immunize a medical treatment decision from scrutiny to determine whether it was based on the race of the patient, in violation of Title VI. Because Section 504 was patterned after Title VI (see pages 19-20, infra), there is no reason to believe that Congress intended to confer such a blanket immunity under Section 504 either. /14/ See, e.g., S. Rep. 93-48, 93d Cong., 1st Sess. 55, 80 (1973); S. Rep. 93-318, 93d Cong., 1st Sess. 50, 70 (1973; 118 Cong. Rec. 30681 (1972) (remarks of Sen. Randolph); id. at 32310 (remarks of Sen. Humphrey); 119 Cong. Rec. 5862 (1973) (remarks of Sen. Cranston). /15/ See Southeastern Community College v. Davis, 442 U.S. at 406 n.6; Community Television v. Gottfried, 459 U.S. 498, 509 (1983); Consolidated Rail Corp. v. Darrone, slip op. 10 n.15; Alexander v. Choate, No. 83-727 (Jan. 9, 1985), slip op. 5 n.7, 16 n.24; see also id. at 18-19 & n.27. /16/ In re Infant Doe, No. GU 8204-004A (Apr. 12, 1982), writ of mandamus dismissed sub non. State ex rel. Infant Doe v. Baker, No. 482 S 140 (Ind. Cir. Ct. May 27, 1982) (case mooted by child's death). There are other documented instances of children with Down's Syndrome being denied routine corrective surgery for intestinal blockages. See 48 Fed. Reg. 30847 (1983). /17/ As the Secretary explained when she promulgated the regulations at issue here, the same analytical framework applies where the handicapping condition and the condition to be treated are the same. In such a case, the "handicap" is the physical or mental impairment that would remain after completion of the treatment involved. The Secretary adknowledged that application of the analytical framework may be more difficult in such circumstances because of the interrelatedness of the medical considerations. 49 Fed. 1637 (1984). But the existence of some difficult cases scarcely justifies the wholesale exclusion fashioned by the court of appeals for all medical treatment decisions. /18/ See 45 C.F.R. Pt. 84, App. A para. 36: (A) burn treatment center need not provide other types of medical treatment to handicapped persons unless it provides such medical services to nonhandicapped persons. It could not, however, refuse to treat the burns of a deaf person because of his or her deafness. /19/ That distinct question was addressed by this Court as a constitutional matter in Youngberg v. Romeo, 457 U.S. 307 (1982). /20/ The University Hospital case underscores this point. HHS had not determined in that case that a violation of Section 504 had occurred as a result of the withholding of surgery from Baby Jane Doe. HHS required access to the relevant documents to evaluate the actions of hospital personnel. The court of appeals held, however, that HHS, which administered the substantial payments the hospital received, could not even obtain the information necessary to assess the situation. /21/ In fiscal year 1983, in excess of $38 billion was expended under Part A of the Medicare Program, which principally covers hospital services (1984 Annual Report of the Board of Trustees of the Federal Hospital Insurance Trust Fund, H.R. Doc. 98-199, 98th Cong., 2d Sess. 15 (1984)), and in exesss of $32 billion was expended under the Medicaid Program, which covers both inpatient and outpatient services (Office of Financial and Actuarial Analysis, Health Care Financing Administration, Department of Health and Human Services, Annual Statistical Report No. 2082 (1984)). /22/ On October 9, 1984, Congress passed amendments to the Child Abuse Prevention and Treatment Act (42 U.S.C. 5101 et seq.). See Pub. L. No. 98-457, 98 Stat. 1749 et seq. In those amendments Congress required that a state child protective services agency, in order to be eligible for federal grants under that Act, must establish procedures for receiving and responding to reports "of medical neglect (including instances of withholding of medically indicated treatment from disabled infants with life-threatening conditions) * * *" (Section 122, 98 Stat. 1752). (Similar state procedures are required under the Secretary's Section 504 regulations at issue here. See 45 C.F.R. 84.55(c).). These new amendments do not, either practically or legally, obviate the need for review in this case. The amendments only require the state child protective agency to have in place procedures for receiving and investigating possible cases of failure to treat handicapped infants. The role of HHS under the amendments is onlyto insure that the state procedures are in place and are followed by the state agency. The amendments, unlike Section 504, place no independent federal duty on hospitals and other providers of services with regard to the treatment of handicapped infants. The application of Section 504 in this setting therefore is critical to ensure that hospitals also have an obligation under federal law to assure that handicapped infants are treated in an evenhanded manner and to assure, where necessary, the opportunity for direct investigation and enforcement by HHS regarding particular cases of discriminatory withholding of medically indicated treatment from handicapped infants. Moreover, Section 127(a) of the Child Abuse Amendments of 1984 (98 Stat. 1754) states that "(n)o provision of this Act or any amendment made by this Act is intended to affect any right or protection under section 504 of the Rehabilitation Act of 1973." See also 130 Cong. Rec. S11699 (daily ed. Sep. 21, 1984) (letter of Sen. Hatch, et al.). The new legislation therefore does not affect the legal or practical importance of this case, which will effectively establish the applicability of Section 504 to hospital treatment decisions. See also 49 Fed.Reg. 48165-48166 (Dec. 10, 1984) (discussing interaction between Child Abuse and Treatment Act Amendments and Section 504). /*/ The Solicitor General is disqualified in this case. APPENDIX