Metropolitan District v. Commission on Human Rights & Opportunities
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Opinion
ELGO, J.
In this civil action, the plaintiff, The Metropolitan District, 1 appeals from the judgment of the trial court granting the motion to dismiss filed by the defendant, the Connecticut Commission on Human Rights and Opportunities (commission). On appeal, the plaintiff claims that the court improperly dismissed the action for lack of subject matter jurisdiction due to the plaintiff's failure to exhaust its administrative remedies. We disagree and, accordingly, affirm the judgment of the trial court.
The plaintiff is a municipal entity that was created in 1929 by a special act of the General Assembly "for the purpose of water supply, waste management and regional planning."
Martel
v.
Metropolitan District Commission
,
In late December, 2015, the plaintiff commenced this action seeking a declaratory judgment against the commission, as well as injunctive relief and a writ of mandamus. In its complaint, the plaintiff alleges that the commission, "as a matter of practice," assumes and retains jurisdiction over complaints without conducting a proper merit assessment review and makes improper reasonable cause determinations, in contravention of its statutory and regulatory obligations. More specifically, the plaintiff alleges that the commission routinely fails to comply with the strictures of General Statutes § 46a-83 and §§ 46a-54 -42a (a) and 46a-54 -49a (b) of
the Regulations of Connecticut State Agencies.
2
By
so doing, the commission allegedly has engaged in improper rulemaking and has violated the plaintiff's due process rights, as secured by
Apart from such declaratory relief, the complaint requests a permanent injunction "enjoining the [commission] from engaging in improper rulemaking ...
and requiring [it] to follow its statutory mandate to engage in proper merit assessment reviews, to dismiss complaints during the merit assessment review process where no reasonable cause exists, to engage in proper substantive review during the early legal intervention process, and to refrain from attempting to assume jurisdiction over matters outside the jurisdiction of the agency." 6 The complaint further requests a writ of mandamus ordering the commission "to review all of its files regarding complaints of discriminatory employment practices since 2011" to determine whether the commission engaged in any of the routine practices enumerated in its complaint. See footnote 4 of this opinion.
In response, the commission filed a motion to dismiss the plaintiff's complaint for lack of subject matter jurisdiction due to the plaintiff's failure to exhaust its administrative remedies. 7 Following the filing of memoranda of law by the parties, the court heard argument on the motion. In its subsequent memorandum of decision, the court concluded that the plaintiff had adequate administrative remedies that it failed to exhaust prior to commencing this action. Accordingly, the court granted the motion to dismiss for lack of subject matter jurisdiction, and this appeal followed.
As a preliminary matter, we note that "[i]n an appeal from the granting of a motion to dismiss on the ground of subject matter jurisdiction, this court's review is plenary. A determination regarding a trial court's subject matter jurisdiction is a question of law. When ... the trial court draws conclusions of law, our review is plenary and we must decide whether its conclusions are legally and logically correct and find support in the facts that appear in the record.... Jurisdiction of the subject matter is the power [of the court] to hear and determine cases of the general class to which the proceedings in
question belong.... A court has subject matter jurisdiction if it has the authority to adjudicate a particular type of legal controversy." (Internal quotation marks omitted.)
Francis
v.
Chevair
,
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ELGO, J.
In this civil action, the plaintiff, The Metropolitan District, 1 appeals from the judgment of the trial court granting the motion to dismiss filed by the defendant, the Connecticut Commission on Human Rights and Opportunities (commission). On appeal, the plaintiff claims that the court improperly dismissed the action for lack of subject matter jurisdiction due to the plaintiff's failure to exhaust its administrative remedies. We disagree and, accordingly, affirm the judgment of the trial court.
The plaintiff is a municipal entity that was created in 1929 by a special act of the General Assembly "for the purpose of water supply, waste management and regional planning."
Martel
v.
Metropolitan District Commission
,
In late December, 2015, the plaintiff commenced this action seeking a declaratory judgment against the commission, as well as injunctive relief and a writ of mandamus. In its complaint, the plaintiff alleges that the commission, "as a matter of practice," assumes and retains jurisdiction over complaints without conducting a proper merit assessment review and makes improper reasonable cause determinations, in contravention of its statutory and regulatory obligations. More specifically, the plaintiff alleges that the commission routinely fails to comply with the strictures of General Statutes § 46a-83 and §§ 46a-54 -42a (a) and 46a-54 -49a (b) of
the Regulations of Connecticut State Agencies.
2
By
so doing, the commission allegedly has engaged in improper rulemaking and has violated the plaintiff's due process rights, as secured by
Apart from such declaratory relief, the complaint requests a permanent injunction "enjoining the [commission] from engaging in improper rulemaking ...
and requiring [it] to follow its statutory mandate to engage in proper merit assessment reviews, to dismiss complaints during the merit assessment review process where no reasonable cause exists, to engage in proper substantive review during the early legal intervention process, and to refrain from attempting to assume jurisdiction over matters outside the jurisdiction of the agency." 6 The complaint further requests a writ of mandamus ordering the commission "to review all of its files regarding complaints of discriminatory employment practices since 2011" to determine whether the commission engaged in any of the routine practices enumerated in its complaint. See footnote 4 of this opinion.
In response, the commission filed a motion to dismiss the plaintiff's complaint for lack of subject matter jurisdiction due to the plaintiff's failure to exhaust its administrative remedies. 7 Following the filing of memoranda of law by the parties, the court heard argument on the motion. In its subsequent memorandum of decision, the court concluded that the plaintiff had adequate administrative remedies that it failed to exhaust prior to commencing this action. Accordingly, the court granted the motion to dismiss for lack of subject matter jurisdiction, and this appeal followed.
As a preliminary matter, we note that "[i]n an appeal from the granting of a motion to dismiss on the ground of subject matter jurisdiction, this court's review is plenary. A determination regarding a trial court's subject matter jurisdiction is a question of law. When ... the trial court draws conclusions of law, our review is plenary and we must decide whether its conclusions are legally and logically correct and find support in the facts that appear in the record.... Jurisdiction of the subject matter is the power [of the court] to hear and determine cases of the general class to which the proceedings in
question belong.... A court has subject matter jurisdiction if it has the authority to adjudicate a particular type of legal controversy." (Internal quotation marks omitted.)
Francis
v.
Chevair
,
The exhaustion doctrine is rooted in both prudential and constitutional considerations. As our Supreme Court has explained, "separation of powers principles [underlie] the exhaustion doctrine, namely, to foster an orderly process of administrative adjudication and judicial review, offering a reviewing court the benefit of the agency's findings and conclusions. It relieves courts of the burden of prematurely deciding questions that, entrusted to an agency, may receive a satisfactory administrative disposition and avoid the need for judicial review.... Moreover, the exhaustion doctrine recognizes the notion, grounded in deference to [the legislature's] delegation of authority to coordinate branches of [g]overnment, that
agencies, not the courts, ought to have primary responsibility for the programs that
[
the legislature
]
has charged them to administer
.... Therefore, exhaustion of remedies serves dual functions: it protects the courts from becoming unnecessarily burdened with administrative appeals and it
ensures the integrity of the agency's role in administering its statutory responsibilities." (Emphasis in original; internal quotation marks omitted.)
Lopez
v.
Board of Education
,
I
We first consider the question of whether administrative remedies were available to the plaintiff in the present case. In this regard, we note that the plaintiff's complaint is twofold in nature. Although it primarily complains of certain "routine practices" allegedly engaged in by the commission, it also is predicated on the commission's conduct in five specific proceedings in which the plaintiff was the respondent. See footnote 3 of this opinion.
With respect to the former, we note that the complaint generally alleges that the commission routinely fails to comply with certain statutory and regulatory obligations. In addition, the plaintiff seeks a declaratory judgment "that [§] 46a-71 does not apply to the [plaintiff], and that the [commission] does not have jurisdiction over complaints filed by independent contractors against the [plaintiff]." In granting the motion to dismiss, the court concluded, inter alia, that the plaintiff had "the ability to request a declaratory ruling from the commission as to the issues it raises," which it failed to exhaust before commencing this civil action in the Superior Court. 8 That determination merits closer scrutiny.
The commission is a state agency governed by the provisions of the Uniform Administrative Procedure Act (UAPA), General Statutes § 4-166 et seq. See
Commission on Human Rights & Opportunities
v.
Board of Education
,
Compliance with § 4-176 is not a discretionary option for a party such as the plaintiff, but rather is a "precondition" to the commencement of a declaratory action in the Superior Court.
Financial Consulting, LLC
v.
Commissioner of Ins.
,
Whether the plaintiff properly was entitled to avail itself of that administrative
remedy is another question. While the essence of the plaintiff's complaint is that
the commission allegedly has failed, as a matter of practice, to comply with certain statutory and regulatory obligations, the complaint also is predicated on the commission's conduct in five specific proceedings before the commission in which the plaintiff was the respondent. The inclusion of such allegations requires us to consider whether the pendency of any of those proceedings precluded resort to the avenues of declaratory relief afforded under §§ 4-175 and 4-176, in light of our Supreme Court's decision in
Financial Consulting, LLC
v.
Commissioner of Ins.
, supra,
The plaintiffs in that case were insurance producers that were licensees of the defendant administrative agency. Id., at 200-201,
While that investigation was pending, the plaintiffs filed a petition for a declaratory ruling pursuant to § 4-176 with the agency,
12
which took no action thereon. Id., at 202-203,
On appeal, the Supreme Court addressed, as a matter of first impression, the issue of "whether the declaratory ruling and judgment procedures [set forth in §§ 4-175 and 4-176 ] are available when an agency proceeding, such as an investigation, is already pending with respect to the conduct at issue."
In so doing, the court in
Financial Consulting, LLC
, distinguished those proceedings before the defendant Commissioner of Insurance from investigatory proceedings before the commission, stating that "in contrast to the relatively informal second chance process that is a precursor to license revocation proceedings [before the Commissioner of Insurance, proceedings before the commission] involve formal agency proceedings ...."
In accordance with the foregoing, we must examine the record to determine (1) whether any of the five
proceedings before the commission detailed in the plaintiff's complaint were pending at the time that this action was commenced and (2) if so, whether the proceeding concerns "the same conduct that forms the basis for the petition for declaratory relief."
Financial Consulting, LLC
v.
Commissioner of Ins.
, supra,
Guided by the precedent of our Supreme Court in
Financial Consulting, LLC
v.
Commissioner of Ins.
, supra,
So construed, the plaintiff's complaint indicates that the
Sotil
matter involves the same conduct complained
of in this civil action-namely, the commission's alleged noncompliance with its statutory and regulatory obligations, and its jurisdiction over complaints filed by independent contractors against the plaintiff.
14
The parties have not argued otherwise in this appeal. In addition, both the commission and the plaintiff, in their respective memoranda of law submitted on the motion to dismiss, appended various documents regarding the
Sotil
matter that plainly evince a dispute as to whether the commission had improperly retained jurisdiction over the matter, as the plaintiff alleges in its complaint.
15
The plaintiff's complaint also indicates that although "[i]n the position statement filed on September 29, 2015, in connection with the
Sotil
case ... counsel for the [plaintiff] advised the [commission], inter alia, that (1) all of the claims were filed beyond the 180 day limitation period and are time barred, and (2) that the [commission] is without jurisdiction over those claims brought pursuant to 42 U.S.C. [§] 1981," the commission refused to address those jurisdictional issues. The complaint likewise alleges that the
Cipes
matter involves the issue of whether the complainant was an independent contractor over which the commission had jurisdiction, while the
Wills
matter pertains to whether the commission improperly had retained jurisdiction over an untimely complaint. Like the plaintiffs in
Financial Consulting, LLC
v.
Commissioner of Ins.
, supra,
The existence of those pending administrative proceedings, which concern the same conduct that forms the basis for the plaintiff's request for declaratory relief, precluded the plaintiff from seeking such relief pursuant to §§ 4-175 and 4-176. As our Supreme Court observed, those declaratory judgment procedures, which are the only statutory mechanisms by which a
party to an administrative proceeding may bring a direct petition for declaratory relief to the Superior Court;
Sastrom
v.
Psychiatric Security Review Board
, supra,
Pursuant to that doctrine, the plaintiff was required to exhaust its remedies in those pending administrative proceedings. Should the plaintiff prevail therein, unnecessary
judicial intervention would be averted, consistent with the well recognized principle that "whenever possible, courts will stay their hand with respect to addressing matters that are within the cognizance of administrative agencies."
As our Supreme Court has observed, " § 4-183
17
provides the proper avenue for reviewing an agency's actions.... Not only does that statute provide a right of appeal from a final agency decision by an aggrieved party, but it also includes an immediate right to appeal from an adverse preliminary ruling if review of the final agency decision would not provide an adequate remedy.
18
Moreover, the statutory framework includes a means of staying an agency decision pending appeal.
19
... Thus, a potentially aggrieved party is well protected by statute."
20
(Citation omitted; footnotes
added.)
Pet
v.
Dept. of Health Services
, supra,
In its memorandum of decision, the trial court concluded that "[i]t is clear to the court that all the issues raised by the [plaintiff] can be litigated and resolved in the context of the [pending commission] proceedings, and, if the [plaintiff] is unsuccessful, can be appealed to the court or be
the subject of a petition for a declaratory ruling to [the commission]." We agree with that assessment. If the plaintiff does not prevail in the pending
Sotil
,
Cipes
, and
Wills
matters, it may bring an administrative appeal-interlocutory if necessary-before the Superior Court pursuant to § 4-183. If the plaintiff ultimately prevails in the
Sotil
,
Cipes
, and
Wills
matters, its interests ostensibly will be vindicated, but to the extent that any issues remain following the culmination of those proceedings, the plaintiff then properly may seek declaratory relief as provided by §§ 4-175 and 4-176. In light of the pendency of the
Sotil
,
Cipes
, and
Wills
proceedings before the commission, we conclude that administrative remedies were available to the plaintiff that it was required to exhaust, including an appeal pursuant to § 4-183, rather than commencing an independent civil action for declaratory relief in the Superior Court.
21
See
Housing Authority
v.
Papandrea
,
II
The plaintiff nonetheless claims that it qualifies for two exceptions to the exhaustion requirement. First, it argues that its administrative remedies are futile and inadequate. Second, the plaintiff claims that it need not comply with the exhaustion requirement when challenging the jurisdiction of the commission. We disagree with both contentions.
A
We begin by noting that "[n]otwithstanding the important public policy considerations underlying the exhaustion requirement, [our Supreme Court] has carved out several exceptions from the exhaustion doctrine ... although only infrequently and only for narrowly defined purposes.... Such narrowly defined purposes include when recourse to the ... remedy would be futile or inadequate.... A remedy is futile or inadequate if the decision maker is without authority to grant the requested relief." (Citations omitted; internal quotation marks omitted.)
Garcia
v.
Hartford
,
The plaintiff has not satisfied that burden. It is undisputed that, at the time that it commenced this action, the
Sotil
,
Cipes
, and
Wills
matters remained pending before the commission. In each instance, the plaintiff was the respondent. As this court has noted, proceedings before the commission are not futile when "the plaintiff's claims can be addressed by way of defenses to [the complainant's] complaint."
Flanagan
v.
Commission on Human Rights & Opportunities
,
In its appellate reply brief, the plaintiff insists that it is unlikely that the commission would rule in the plaintiff's favor and declare its own conduct to be improper. We decline to view an administrative agency of this state with such a jaundiced eye. As the United States Supreme Court has noted, "[j]udicial intervention into the agency process denies the agency an opportunity to correct its own mistakes."
Federal Trade Commission
v.
Standard Oil Co. of California
,
The record plainly reflects that the plaintiff is dismayed by the resources which it must expend in responding to complaints made with the commission. The plaintiff also bemoans what, at times, can be a protracted process before the commission. As its counsel stated at oral argument
before this court, an independent action before the Superior Court provides a much "quicker" avenue of redress than what it describes in its appellate reply brief as the "painfully slow process utilized by the [commission]." That argument is contrary to our precedent, which instructs that "[i]t is no answer for the plaintiff, in refusing to avail himself of that administrative remedy, to claim that to do so may prove more costly and less convenient than going directly to Superior Court."
Johnson
v.
Dept. of Public Health
, supra,
The plaintiff's claim of futility and inadequacy is further undermined by the fact that if it does not prevail in the pending proceedings before the commission, an avenue of administrative appeal awaits the plaintiff pursuant to § 4-183.
22
In such an appeal, an aggrieved party may challenge an agency's determinations on the basis that they are "(1) In violation of constitutional or statutory provisions; (2) in excess of the statutory authority of the agency; (3) made upon unlawful procedure; (4) affected by other error of law; (5) clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record; or (6) arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion." General Statutes § 4-183 (j). The plaintiff has not articulated any reason why such an appeal would be inadequate. Section 4-183"[n]ot only ... [provides] a right of appeal from a final agency decision by an aggrieved party, but it also includes an immediate right to appeal from an adverse preliminary ruling if review of the final agency decision would not provide an adequate remedy. Moreover, the statutory framework includes a means of staying an agency decision pending appeal.... Thus, a potentially aggrieved party is well protected by statute." (Citation omitted; footnote omitted.)
Pet
v.
Dept. of Health Services
, supra,
The gravamen of the plaintiff's complaint is that the commission has acted in contravention of its statutory and regulatory obligations. 23 The plaintiff has offered no explanation as to why an appeal pursuant to § 4-183 would be inadequate to review such claims, particularly when that statute expressly encompasses allegations that an agency has acted in violation of statutory provisions, in excess of its statutory authority, or upon unlawful procedure;
General Statutes § 4-183 (j) ; or why the Superior Court in such an appeal could not provide the plaintiff with adequate relief. 24 Indeed, the record before us reflects, and the trial court in this case found, that the plaintiff availed itself of its avenue of appeal pursuant to § 4-183 with respect to the Dixon and Smith matters referenced in its complaint. See footnote 19 of this opinion.
Moreover, in the pending
Sotil
,
Cipes
, and
Wills
administrative proceedings, the plaintiff is free to advance, as defenses to the complainants' allegations; see
Flanagan
v.
Commission on Human Rights & Opportunities
, supra,
In considering the proper role of the exhaustion requirement in the administrative context, this nation's highest court has cautioned that judicial review of agency action "should not be a means of turning prosecutor into defendant before adjudication concludes."
Federal Trade Commission
v.
Standard Oil Co. of California
, supra,
B
The plaintiff also argues that, because it is contesting the jurisdiction of the commission, it need not comply with the exhaustion requirement. It posits that there exists a broad exception to the exhaustion requirement that is implicated when the jurisdiction of an administrative agency is challenged. A review of Connecticut precedent reveals otherwise.
The appellate courts of this state repeatedly have recognized that "a claim that an administrative agency has exceeded its statutory authority or jurisdiction may be the subject of an administrative appeal."
Payne
v.
Fairfield Hills Hospital
, supra, 215 Conn. at 679,
Aaron
did not involve an administrative proceeding pursuant to the UAPA, but rather a municipal land use proceeding. Id., at 174-75,
Ten years after
Aaron
was decided, our Supreme Court directly addressed the exhaustion requirement in the context of a party's challenge to the jurisdiction of an administrative agency. In
Greater Bridgeport Transit District
v.
Local Union 1336
,
The Supreme Court revisited the issue one year later. In
Cannata
v.
Dept. of Environmental Protection
, supra,
Equally misplaced is the plaintiff's reliance on
Heslin
v.
Connecticut Law Clinic of Trantolo & Trantolo
,
Consistent with the ample body of Connecticut authority adhering to the precept that such jurisdictional challenges properly are within the purview of the administrative agency, and the mandate of
Cannata
v.
Dept. of Environmental Protection
, supra, 215 Conn. at 622 n.7,
C
We further note that, in addition to seeking declaratory relief, the plaintiff's complaint requests injunctive relief and a writ of mandamus. The inclusion of those requests does not obviate the need for the plaintiff to comply with the exhaustion requirement.
It well established that a plaintiff's preference for particular relief has little bearing on the adequacy of an administrative remedy. As our Supreme Court has observed, "it does not matter for exhaustion purposes that [the available] administrative remedies could not provide the relief the plaintiffs preferred .... It is well established ... [t]he plaintiff's preference for a particular remedy does not determine the adequacy of that remedy. [A]n administrative remedy, in order to be adequate, need not comport with the [plaintiff's] opinion of what a perfect remedy would be." (Internal quotation marks omitted.)
Lopez
v.
Board of Education
, supra, 310 Conn. at 601 n.23,
In addition, this court has held that a plaintiff cannot bypass the exhaustion requirement simply by including a variety of requests in its prayer for relief. In
Johnson
v.
Dept. of Public Health
, supra,
In
Savoy Laundry, Inc.
v.
Stratford
,
III
As a final matter, the plaintiff claims that the court improperly dismissed its due process count. Because that count was brought pursuant to
To be sure, the United States Supreme Court, in
Patsy
v.
Board of Regents of the State of Florida
,
On appeal, the plaintiff acknowledges that precedent, but claims that it may still prevail because it had no adequate administrative remedy. This court has rejected that claim in part II A of this opinion. The plaintiff, therefore, cannot "forestall an invocation of the exhaustion doctrine" due to the inclusion of a § 1983 count in its complaint.
Pet
v.
Dept. of Health Services
, supra,
IV
In sum, we conclude that the plaintiff had adequate administrative remedies that it failed to exhaust prior to commencing this independent civil action in the Superior Court, namely, recourse in the pending Sotil , Cipes , and Wills proceedings before the commission and the corresponding avenue of administrative appeal provided by § 4-183. Moreover, to the extent that any issues remain after those pending proceedings conclude, § 4-176 permits the plaintiff to petition the commission for a declaratory ruling, which ruling itself then would be appealable pursuant to § 4-183. It is undisputed that the plaintiff in this case did not exhaust those administrative remedies prior to commencing this independent civil action. The trial court therefore properly dismissed the plaintiff's complaint for lack of subject matter jurisdiction.
The judgment is affirmed.
In this opinion the other judges concurred.
Related
Cite This Page — Counsel Stack
184 A.3d 287, 180 Conn. App. 478, Counsel Stack Legal Research, https://law.counselstack.com/opinion/metropolitan-district-v-commission-on-human-rights-opportunities-connappct-2018.