Shannon v. Commissioner of Housing
Opinions
ROBINSON, J.
**193The defendant, the Commissioner of Housing,1 administers the state rental assistance program (rental program), which, like the federal program operated pursuant to § 8 of the United States Housing Act of 1937, 42 U.S.C. § 1437f (section 8 program), provides "rental assistance for low-income families living in privately-owned rental housing." General Statutes (Supp.2016) § 8-345(a) ;2 see also, e.g., *905**194Commission on Human Rights & Opportunities v. Sullivan Associates,
The record reveals the following undisputed facts and procedural history. The plaintiff, who has been a registered sex offender since 1997,5 is legally blind and **196suffers from a variety of serious illnesses. He relies on disability and food stamp benefits for income. In 2008, the plaintiff, who had been living under a bridge, began to receive assistance from Hands on Hartford, Inc., a nonprofit agency, which placed him in a congregate housing setting and later helped him apply for the rental program. In 2009, the Department of Social Services, which administered the rental program at the time, gave the plaintiff a certificate admitting him into the rental program, which helped him to live independently in an apartment with supportive services.
When the plaintiff entered the rental program, the Department of Social Services did not have a regulation or formal policy in the administrative plan for the rental assistance program (administrative plan) establishing sex offender registration as a ground for denial or termination of assistance.6 In December, 2012, however, the Department of Social Services promulgated § 17b-812-13 (9) of the regulations, which provides for the denial of assistance to an applicant or the termination of assistance to a participant if "a household family member is subject to a registration requirement *907under a state or federal sex offender registration program." The defendant subsequently assumed responsibility for the rental program from the Department of Social Services. See Public Acts 2013, No. 13-234, § 2.7 **197On July 24, 2013, John D'Amelia Associates, a contractor that manages the rental program as an agent of the defendant in conjunction with several local housing authorities, notified the plaintiff that his participation in the rental program would terminate effective July 31, 2013. The plaintiff timely exercised his right to an administrative hearing and, following a series of administrative remands and motions for reconsideration, the defendant issued a final decision on May 1, 2014. In that decision, the defendant found that the plaintiff's "extenuating circumstances [were] not sufficient to warrant the continuation of his [rental program] benefits."8 Accordingly, the defendant ordered the termination of the plaintiff's rental program benefits effective May 31, 2014.
The plaintiff took an administrative appeal from the decision of the defendant to the trial court pursuant to General Statutes § 4-183, claiming, inter alia, that the defendant had applied § 17b-812-13 (9) of the regulations retroactively in a manner that was impermissible because it was not legislatively authorized. Relying on Landgraf v. USI Film Products,
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ROBINSON, J.
**193The defendant, the Commissioner of Housing,1 administers the state rental assistance program (rental program), which, like the federal program operated pursuant to § 8 of the United States Housing Act of 1937, 42 U.S.C. § 1437f (section 8 program), provides "rental assistance for low-income families living in privately-owned rental housing." General Statutes (Supp.2016) § 8-345(a) ;2 see also, e.g., *905**194Commission on Human Rights & Opportunities v. Sullivan Associates,
The record reveals the following undisputed facts and procedural history. The plaintiff, who has been a registered sex offender since 1997,5 is legally blind and **196suffers from a variety of serious illnesses. He relies on disability and food stamp benefits for income. In 2008, the plaintiff, who had been living under a bridge, began to receive assistance from Hands on Hartford, Inc., a nonprofit agency, which placed him in a congregate housing setting and later helped him apply for the rental program. In 2009, the Department of Social Services, which administered the rental program at the time, gave the plaintiff a certificate admitting him into the rental program, which helped him to live independently in an apartment with supportive services.
When the plaintiff entered the rental program, the Department of Social Services did not have a regulation or formal policy in the administrative plan for the rental assistance program (administrative plan) establishing sex offender registration as a ground for denial or termination of assistance.6 In December, 2012, however, the Department of Social Services promulgated § 17b-812-13 (9) of the regulations, which provides for the denial of assistance to an applicant or the termination of assistance to a participant if "a household family member is subject to a registration requirement *907under a state or federal sex offender registration program." The defendant subsequently assumed responsibility for the rental program from the Department of Social Services. See Public Acts 2013, No. 13-234, § 2.7 **197On July 24, 2013, John D'Amelia Associates, a contractor that manages the rental program as an agent of the defendant in conjunction with several local housing authorities, notified the plaintiff that his participation in the rental program would terminate effective July 31, 2013. The plaintiff timely exercised his right to an administrative hearing and, following a series of administrative remands and motions for reconsideration, the defendant issued a final decision on May 1, 2014. In that decision, the defendant found that the plaintiff's "extenuating circumstances [were] not sufficient to warrant the continuation of his [rental program] benefits."8 Accordingly, the defendant ordered the termination of the plaintiff's rental program benefits effective May 31, 2014.
The plaintiff took an administrative appeal from the decision of the defendant to the trial court pursuant to General Statutes § 4-183, claiming, inter alia, that the defendant had applied § 17b-812-13 (9) of the regulations retroactively in a manner that was impermissible because it was not legislatively authorized. Relying on Landgraf v. USI Film Products,
**198It does not require reimbursement of or otherwise penalize past receipt of [rental program] benefits. Nor does it affect anyone based on his or her prior listing on a sex offender registry" insofar as "it applies only to persons contemporaneously on a sex offender list."9 The trial court, therefore, determined that it "need not address the question of whether the [defendant] had authority to enact a retroactive regulation." After rejecting the plaintiff's numerous other claims,10 the trial court rendered *908judgment dismissing the plaintiff's administrative appeal. This appeal followed.11
Although the plaintiff presents several issues in this appeal,12 we find dispositive his claim that the trial court improperly concluded that the defendant's application of § 17b-812-13 (9) of the regulations to terminate his rental program assistance was not retroactive, in excess **199of the rule-making authority conferred on the defendant by the legislature. Citing the long-standing presumption against retroactive legislation embodied in General Statutes § 55-3 ;13 see, e.g., D'Eramo v. Smith,
We begin with the standard of review. The trial court's determination of whether the defendant's application **202of *910§ 17b-812-13 (9) of the regulations had a retroactive effect is a question of law over which we exercise plenary review. See, e.g., Durable Mfg. Co. v. United States Dept. of Labor,
As the plaintiff observes, § 55-3 provides that: "No provision of the general statutes, not previously contained in the statutes of the state, which imposes any new obligation on any person or corporation, shall be construed to have a retrospective effect." (Emphasis added.) It is well established that § 55-3 is "a rule of presumed legislative intent that statutes affecting substantive rights shall apply prospectively only.... The rule is rooted in the notion that it would be unfair to impose a substantive amendment that changes the grounds upon which an action may be maintained on parties who have already transacted or who are already committed to litigation."15 (Internal quotation marks omitted.) Investment Associates v. Summit Associates, Inc.,
This presumption against the retroactive application of statutes applies similarly to regulations that impose, in the parlance of § 55-3, "new obligation[s]...." See, e.g., Bowen v. Georgetown University Hospital,
Because the defendant does not argue that the legislature authorized retroactive regulations with respect to the rental program, resolution of this issue turns on whether *911§ 17b-812-13 (9) of the regulations was, in fact, retroactively applied to terminate the plaintiff's assistance on the basis of his status as a registered sex offender.16 As the trial court recognized, the United **204States Supreme Court's decision in Landgraf v. USI Film Products,
We begin by noting our disagreement with the defendant's purely temporal argument, which is echoed by the dissent, namely, that the application of § 17b-812-13 (9) of the regulations to terminate the plaintiff's rental program assistance was not retroactive under Landgraf because the defendant did not seek repayment of past benefits, and there is no indication of a relationship between the plaintiff's guilty plea in 1997 and his decision to seek rental program assistance in 2009. The defendant and the dissent rely on a line of Illinois cases, following Bhalerao v. Illinois Dept. of Financial & Professional Regulations,
We agree with the plaintiff's contention in his reply brief that the reliance based analysis in Bhalerao, focusing strictly on the time of the guilty plea, is overly rigid and wholly inconsistent with the broader, more realistic approach taken by the Supreme Court in St. Cyr and Vartelas, which specifically rejected "[s]uch categorical **208arguments [as] not particularly helpful in undertaking Landgraf 's commonsense, functional retroactivity analysis."19 Immigration & Naturalization *914Service v. St. Cyr,
Thus, whether the application of a new law to restrict or terminate future access to a government benefit on the basis of past events operates retroactively-by creating a "new obligation" in the parlance of § 55-3 -depends on the extent to which the law interferes with the "present right to future benefits...." Gormley v. State Employees Retirement Commission, supra,
**210to terminate a prosecutor's pension, which a state judge was collecting along with his judicial salary. Id., at 527-28,
*915(Citations omitted; emphasis added; internal quotation marks omitted.) Id., at 529-30,
To determine the extent to which § 17b-812-13 (9) of the regulations created a new obligation by interfering with the plaintiff's present right to receive future benefits, we now examine the terms of the rental program, under the applicable statutes, regulations, and agency policies, as set forth in the 2011 revision of the administrative plan. Dept. of Social Services, Administrative Plan for the Rental Assistance Program (July 1, 2011)
**211pp. 15-1 through 15-2; see footnote 6 of this opinion; see also Durable Mfg. Co. v. United States Dept. of Labor,
We begin with the enabling statute, § 8-345 ; see footnote 2 of this opinion; which requires the defendant to "implement and administer a program of rental assistance for low-income families living in privately-owned rental housing"; General Statutes (Supp.2016) § 8-345(a) ; and directs the defendant to adopt regulations, including those to "establish maximum income eligibility guidelines for such rental assistance and criteria for determining the amount of rental assistance which shall **212be provided to eligible families." General Statutes (Supp.2016) § 8-345(g). The enabling statute itself does nothing to limit the participants' rights to remain enrolled and receive a future stream of benefits from the rental program, so long as the rental program is funded. See General Statutes (Supp.2016) § 8-345(f) ( "[n]othing in this section shall give any person a right to continued receipt of rental assistance at any time that the program is not funded"); accord Regs. Conn. State Agencies § 17b-812-2 (b) ("The commissioner ... shall limit the issuance of rental assistance certificates to eligible families based upon the availability of funds. A certificate does not guarantee a family the right to participate in the program. The commissioner or the commissioner's agent may suspend or cancel an issued certificate if a change in an applicant's circumstances results in ineligibility prior to execution of the rental assistance contract. The commissioner *916may suspend or cancel issued certificates based on lack of funds.").
Contrary to the arguments of the defendant, neither the regulations nor the agency policies stated in the administrative plan provide a durational limit on recipients' enrollment in the rental program, once they have requested and received approval of appropriate housing within the period prescribed by the admission regulation; see Regs. Conn. State Agencies § 17b-812-5 (c) through (e) ;21 following receipt of the certificate, upon **213selection from the waiting list, confirming their eligibility. Although § 17b-812-9 of the Regulations of Connecticut State Agencies22 mandates an annual reexamination of the recipients' income and family composition, which are factors determining the amount of assistance to be given from year to year, nowhere does it or the corresponding portion of the administrative plan impose a restriction on recipients' continued enrollment in the rental program once they are admitted initially and begin to receive assistance.23 Indeed, the *917**214defendant's suggestion of a one year durational limit on eligibility for the rental program is inconsistent with the regulations prescribing those housing arrangements that are eligible for the benefit, which require a rental agreement of "not less than one year."24 (Emphasis added.) Regs. Conn. State Agencies § 17b-812-8 (b). Thus, to avoid becoming subject to termination in accordance with § 17b-812-13 of the regulations ; see footnote 3 of this opinion; rental program recipients need only "comply with [the obligations set forth in § 17b-812-12 (b) and (c) ] in order to continue participating...." Regs. Conn. State Agencies § 17b-812-12 (a) ; see also
The defendant contends, however, that consistent with the regulations' description of the rental program as a "non-entitlement program";
In this opinion ROGERS, C.J., and PALMER and ZARELLA, Js., concurred.
Footnotes
"(b) Housing eligible for participation in the program shall comply with applicable state and local health, housing, building and safety codes.
"(c) In addition to an element in which rental assistance certificates are made available to qualified tenants, to be used in eligible housing which such tenants are able to locate, the program may include a housing support element in which rental assistance for tenants is linked to participation by the property owner in other municipal, state or federal housing repair, rehabilitation or financing programs. The commissioner shall use rental assistance under this section so as to encourage the preservation of existing housing and the revitalization of neighborhoods or the creation of additional rental housing.
"(d) The commissioner may designate a portion of the rental assistance available under the program for tenant-based and project-based supportive housing units. To the extent practicable rental assistance for supportive housing shall adhere to the requirements of the [section 8 program] ... relative to calculating the tenant's share of the rent to be paid.
"(e) The commissioner shall administer the program under this section to promote housing choice for certificate holders and encourage racial and economic integration. The commissioner shall establish maximum rent levels for each municipality in a manner that promotes the use of the program in all municipalities. Any certificate issued pursuant to this section may be used for housing in any municipality in the state. The commissioner shall inform certificate holders that a certificate may be used in any municipality and, to the extent practicable, the commissioner shall assist certificate holders in finding housing in the municipality of their choice.
"(f) Nothing in this section shall give any person a right to continued receipt of rental assistance at any time that the program is not funded.
"(g) The commissioner shall adopt regulations in accordance with the provisions of chapter 54 to carry out the purposes of this section. The regulations shall establish maximum income eligibility guidelines for such rental assistance and criteria for determining the amount of rental assistance which shall be provided to eligible families...."
We note that § 8-345 has been amended by the legislature subsequent to the events underlying the present appeal. See, e.g., Public Acts 2015, No. 15-29, § 3. Those amendments, however, have no bearing on the merits of the present appeal. For the sake of convenience, references to § 8-345 are to the 2016 supplement of the statute.
"(1) A household family member fails to comply with the provisions of section 17b-812-12 of the Regulations of Connecticut State Agencies ;
"(2) a household family member fails to sign or submit required forms;
"(3) a family with a rental assistance certificate fails to locate an approved dwelling unit within one hundred eighty days and does not demonstrate good cause for extending the expiration date of the rental assistance certificate;
"(4) a household family member has been terminated from a department rental assistance program in the last three years;
"(5) a household family member refuses to enter into a repayment agreement for monies owed to the department or its agent as a result of a program violation;
"(6) a household family member currently owes rent or other monies to the department or its agent in connection with a rental subsidy program;
"(7) a household family member has engaged in or threatened abusive or violent behavior towards the department or its agent's personnel;
"(8) a family fails to report income that results in rental assistance overpayment in excess of two thousand five hundred dollars; or
"(9) a household family member is subject to a registration requirement under a state or federal sex offender registration program."
Although the arguments of the amici are thoughtfully crafted, they raise public policy considerations that are the primary province of the two political branches, and do not directly inform the administrative law questions that we must resolve in this appeal. Indeed, as their brief indicates, whether sex offender registries and provisions such as § 17b-812-13 (9) of the regulations constitute good public policy is "the kind of issue that is squarely on the radar of the legislature and the various interested entities." Commissioner of Public Safety v. Freedom of Information Commission,
Nevertheless, we observe that the distinction between substantive and procedural effects that we have consistently examined as a frame of reference to determine the applicability of the presumption against retroactivity; see footnote 15 of this opinion; has been described as outmoded in light of the more flexible analysis set forth in Landgraf. See Stone v. Hamilton,
Second, the superficial reliance analysis in Bhalerao is directly undermined by the Supreme Court's decision in Vartelas, which criticized as "doubly flawed" the suggestion of the United States Court of Appeals for the Second Circuit that " '[i]t would border on the absurd ... to suggest that [the plaintiff] committed his counterfeiting crime in reliance on the immigration laws.' " Vartelas v. Holder,
By way of further background, we note that the introduction to chapter 12 of the 2011 revision of the administrative plan provides: "The [housing authority] will [reexamine] the income and household composition of all families at least annually. Families will be provided accurate annual and interim rent adjustments. [Reexaminations] and [i]nterim examinations will be processed in a manner that ensures families are given reasonable notice of rent increases. All annual activities will be coordinated in accordance with [housing authority] policy. It is a requirement that families report all changes in household composition. This chapter defines the [housing authority's] policy for conducting annual [reexaminations] and coordinating annual activities. It also [e]xplains the interim reporting requirements for families, and the standards for timely reporting." Id., p. 12-1
"(1) Provide information that is true and complete and in compliance with the provisions of the rental assistance certificate;
"(2) provide all forms and documents necessary for use in a regularly scheduled reexamination or interim reexamination of family income and composition;
"(3) provide the social security numbers of all household members and sign and submit forms that will allow the department or its agent to obtain information to determine eligibility;
"(4) not later than thirty days after a request by the department or its agent, provide the department or its agent information to verify that the family is living in the dwelling unit or information related to family absence from the dwelling unit;
"(5) notify the department or its agent in writing before any planned absence of thirty days or more, or on or before the thirtieth consecutive day of any unplanned absence. If the entire family is absent from the unit for more than ninety consecutive days, the department shall consider the unit vacated and shall terminate rental assistance, unless the family has notified the department or its agent on or before the thirtieth day of any absence and can show good cause for the extended absence on or before the ninetieth day of any absence. If the family shows good cause, the department or its agent may permit the family to be absent for up to sixty additional days before considering the unit to be vacated;
"(6) notify the department or its agent in writing not later than thirty days before moving out of the dwelling unit or terminating the lease;
"(7) use the dwelling unit as the family's sole residence;
"(8) notify the department or its agent in writing of the birth, adoption or court-awarded custody of a child, not later than thirty days after such birth, adoption or court-awarded custody;
"(9) request written approval from the department or its agent before adding any other adult family member as an occupant of the dwelling unit;
"(10) notify the department or its agent in writing if any member no longer lives in the dwelling unit, not later than thirty days after such member leaves;
"(11) allow the department or its agent to inspect the dwelling unit at reasonable times and after reasonable notice as part of regularly scheduled reexaminations, interim examinations and on other occasions deemed necessary by the department or its agent;
"(12) immediately notify and forward to the department or its agent a copy of any notice to quit received by the tenant; and
"(13) pay utility bills and supply appliances that the owner is not required to provide under the rental agreement.
"(c) The family, including each family member, shall not:
"(1) Own or have any interest in the dwelling unit other than in a cooperative, or as the owner of a mobile manufactured home leasing space in a mobile manufactured home park, as such terms are defined in section 21-64 of the Connecticut General Statutes ;
"(2) commit any serious or repeated violation of the rental agreement;
"(3) commit fraud, bribery or any other corrupt or criminal act in connection with the rental assistance program;
"(4) participate in any illegal drug or violent criminal activity leading to the individual's conviction;
"(5) sublease the dwelling unit;
"(6) receive rental assistance while receiving another housing subsidy for the same dwelling unit or a different dwelling unit under any other state, federal or local housing assistance program; or
"(7) willfully damage the dwelling unit or premises or cause serious or repeated damage to the dwelling unit or premises through negligence, or permit any guest to willfully damage the dwelling unit or premises or cause serious or repeated damage to the dwelling unit or premises through negligence."
140 A.3d 903 (Shannon v. Commissioner of Housing) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.