Presidential Village, LLC v. Phillips
Presidential Village, LLC v. Phillips
Opinion
The principal issue in this appeal is whether the trial court abused its discretion by relying on the "spirit" of certain regulations issued by the United States Department of Housing and Urban Development (department), which generally concern accommodations for handicapped persons, in support of an equitable defense to the eviction of a tenant who kept an "emotional support dog" in her federally subsidized rental apartment in violation of a pet restriction clause contained within her lease. The plaintiff, Presidential Village, LLC, appeals
1
from the judgment of the trial court in favor of the named defendant, Melissa Phillips,
2
in this summary process action. On appeal, the plaintiff contends that the trial court improperly: (1) relied on the "spirit" of the department's regulations because the defendant's niece, M,
3
who lived in the defendant's apartment, was not disabled within the meaning of those regulations and, as such, federal disability law did not require the plaintiff to allow M to keep a dog in the apartment as a reasonable accommodation; (2) weighed the equities as a defense to eviction when the plaintiff lacked notice of the defense of equitable nonforfeiture and,
thus, could not offer evidence about the purpose of the pet restriction; and (3) admitted into evidence, over the plaintiff's hearsay objection, a letter signed by a physician and social worker who had provided services to M. In response, the defendant contends
to the contrary, and also argues that this court lacks subject matter jurisdiction because this appeal was rendered moot when the plaintiff commenced an ancillary summary process action against the defendant. We conclude that the plaintiff's appeal is not moot, and further conclude that the trial court abused its discretion by relying upon an improper ground in determining that the defendant was entitled to equitable relief from the forfeiture of her tenancy in accordance with
Fellows
v.
Martin
,
The record reveals the following relevant facts and procedural history. For her entire life, the defendant has lived in an apartment in New Haven in a complex owned by the plaintiff. Her mother, the previous lease-holder, kept a dog named Mellow 4 in the apartment prior to her death in August, 2013. After her mother's passing, the defendant obtained legal guardianship over four of her nieces and nephews, who also were living in the apartment. Mellow provides comfort in particular to M, who is the defendant's oldest niece.
The defendant subsequently signed a new department model lease with the plaintiff. This lease included a clause prohibiting the defendant from keeping dogs on the property. 5 The defendant was aware that the lease did not permit her to keep a dog in the apartment when she signed it, but nevertheless thought it was acceptable to keep Mellow because her mother had done so. On the basis of this fact, the defendant believed that the plaintiff would not enforce the pet restriction and, accordingly, continued to keep Mellow in her apartment in violation of her lease.
In May, 2015, the plaintiff sent a pretermination notice in accordance with General Statutes § 47a-15 6 to the defendant, advising her that she had violated her lease by keeping a dog in her apartment. On June 23, 2015, the plaintiff served a notice to quit on the defendant and subsequently filed the present summary process action. The defendant, appearing as a self-represented party, responded by filing an answer to the complaint and the following special defense: "[T]he dog was originally mom's dog that occupied the apartment for [six] years prior to my leasing the place. Mom passed away in 2013 when I then took over residence. I have been able to keep the dog that the four children I am raising and myself have become attached to. Once I begin complaining again about the condition of the apartment I was given [fifteen] days to get rid of dog which was unreasonable. The dog has been given to brother on July 2, 2015. I tried to contact landlord but hasn't replied." The plaintiff subsequently denied the allegations in the special defense. During the first hearing before the trial court, Michelle Scott, the plaintiff's property manager, testified about the lease and confirmed that it included a clause restricting pets. 7 Scott stated that she personally had no knowledge that a dog was living in the apartment prior to the defendant signing the lease with the plaintiff. The defendant then testified that the children and Mellow resided in her apartment. Specifically, the defendant stated that Mellow had resided in the apartment before she signed the lease, which is why she did not think that the plaintiff would enforce the pet restriction. The defendant then testified that she had tried to find a new home for Mellow with someone who could provide continuing access for the children in light of their emotional issues and their attachment to Mellow. The defendant stated that she had learned recently that she could get Mellow certified as a service animal and that she would like to obtain such a certification in order for Mellow to remain in the apartment. The defendant also stated that she did not know whether her mother had received notification from the plaintiff, prior to her death, about having to remove Mellow from the apartment. The trial court then continued the case in order to give the defendant additional time to find a new home for Mellow or to certify her as a service animal.
At the second hearing date, the defendant still had not found a new home for Mellow. Rather, the defendant obtained a letter from M's physician and social worker indicating that Mellow provided comfort to M, who was dealing with a personal loss. 8 In addition, the defendant obtained an Internet certificate declaring Mellow to be an "Emotional Support Dog." The trial court admitted both documents into evidence over the defendant's hearsay objections. The trial court then continued the hearing to permit additional evidence and arguments with respect to federal disability law and its application to the present case. Subsequently, on October 8, 2015, the defendant indicated to the court that Mellow does not accompany the children to school, that none of the children are physically disabled, and that Mellow was providing comfort to the children and, in particular, M.
After the hearings, the trial court credited the defendant's testimony and found that Mellow had lived in the house for years prior to her mother's death, and that the plaintiff was aware of Mellow's presence in the apartment. The trial court also credited the defendant's testimony that M takes great comfort from Mellow and has started to " 'act out' " because of the emotional circumstances in her life. The trial court further noted that the letter from M's physician and social worker supported the defendant's testimony. Ultimately, the trial court determined that "the spirit of the [department's] regulations has been followed by the defendant in this case. She has established that [Mellow] acts as a therapy dog for [M]. Furthermore, the court has weighed the harm to the plaintiff that would come from [Mellow's] continued presence ... and the harm that would come to [M] from having [Mellow] removed from the household and finds that the equities favor the defendant. Therefore, the court invokes its equitable powers to rule in favor of the defendant." 9 This appeal followed. Additional facts will be set forth as necessary.
I
Because it implicates our subject matter jurisdiction;
Housing Authority
v.
Lamothe
,
The defendant's mootness claim requires us to determine the effect of the service of an invalid notice to quit during the pendency of a landlord's appeal from a judgment in favor of the tenant in a prior summary judgment action. "Summary process is a statutory remedy
which enables a landlord to recover possession of rental premises from the tenant upon termination of a lease.... It is preceded by giving the statutorily required notice to quit possession to the tenant.... Service of a notice to quit possession is typically a landlord's unequivocal act notifying the tenant of the termination of the lease. The lease is neither voided nor rescinded until the landlord performs this act and, upon service of a notice to quit possession, a tenancy at will is converted to a tenancy at
sufferance." (Citations omitted.)
Housing Authority
v.
Hird
,
We find instructive the Appellate Court's decision in
Housing Authority
v.
Hird , supra,
In the present appeal, the trial court's judgment in favor of the defendant in the first summary process action, which is the subject of this appeal, reinstated the lease between the two parties. The filing of this appeal from the trial court's decision in the first summary process action did not affect the reinstatement of the lease. The second notice to quit, which was deemed invalid, did not operate to terminate that lease, which continues in effect. See
Waterbury Twin, LLC
v.
Renal Treatment Centers-Northeast, Inc.
, supra,
II
We turn now to the plaintiff's claim that the trial court improperly determined that
the equities in this case favored the defendant, particularly given that she followed "the spirit of the [department's] regulations" in establishing that allowing Mellow to remain in the apartment was a reasonable accommodation for M's disabilities. The plaintiff contends that the department's regulations are inapplicable because the defendant has not demonstrated that M has a handicap as defined by the relevant federal laws, namely, a disease or illness indicating the substantial alteration of a major life activity. See, e.g.,
In response, the defendant claims that the trial court did not abuse its discretion in rendering a judgment in this summary process case based on equity. Specifically, the defendant contends that she proved her entitlement to equitable relief under
Fellows
v.
Martin , supra,
"[E]quitable defenses and counterclaims implicating the right to possession are available in a summary process proceeding. If, then, the tenant's equitable claim was properly raised, it was properly before the trial court....
"Equitable principles barring forfeitures may apply to summary process actions ... if: (1) the tenant's breach was not [wilful] or grossly negligent; (2) upon eviction the tenant will suffer a loss wholly disproportionate to the injury to the landlord; and (3) the landlord's injury is reparable." (Citations omitted; internal quotation marks omitted.)
Cumberland Farms, Inc.
v.
Dairy Mart, Inc.
,
(Internal quotation marks omitted.)
Connecticut Light & Power Co.
v.
Lighthouse Landings, Inc.
,
We employ the abuse of discretion standard when reviewing a trial court's decision to exercise its equitable powers. See
Fellows
v.
Martin , supra,
A
We begin with the question of whether the trial court properly relied on the "spirit" of the department's regulations in exercising its equitable discretion. Because the apartment is federally subsidized by the department, the plaintiff is required to comply with the Fair Housing Act of 1968,
We begin with a review of the record to determine whether it supported the trial court's decision to grant relief under the "spirit" of the federal regulations. At trial, the defendant did not claim that she, her nieces, or nephews have a qualifying disability, either physical or mental, that would necessitate a reasonable housing accommodation. Indeed, she testified that none of the occupants of the home have major life activities that are impacted by a qualifying disability, stating specifically that none of the four children have difficulty with daily activities such as brushing their teeth and getting dressed. Rather, the defendant testified that Mellow is an "emotional support dog" that she keeps for the "emotional comfort and the mental state" of M. The defendant explained that all of the children have emotional difficulties because their mother, the defendant's sister, essentially abandoned them, despite living across the street. Further, the children watched the defendant's mother, their grandmother, die while in hospice care in their home. Moreover, M herself had lost a child around the time the plaintiff brought the summary process action. Ultimately, the defendant described Mellow as being a source of comfort to the children in the home. Indeed, she testified that Mellow does not attend school in a therapeutic capacity for the children.
A letter jointly authored by M's social worker, Lucia Venditti, and physician, Linda Fan, supports the defendant's testimony about M's emotional difficulties. Venditti and Fan state in the letter that M is a patient in their clinic, "has been dealing with a personal loss," and has found comfort in Mellow. The letter then describes, in a bullet point list, the health benefits associated with interacting with a pet. The letter does not, however, opine that M has a mental or physical disability as contemplated by federal law. The letter also does not describe with any level of specificity the health benefits that M receives from interacting with Mellow. Lastly, it is of note that at no time did M testify as to any mental or physical disability she suffers.
Although one may be sympathetic to the emotional benefits that Mellow provides to the defendant and her family given their traumatic family history, we nevertheless disagree with the trial court's conclusion that allowing them to keep Mellow in the apartment is consistent with "the spirit of the [department's] regulations ...." On the basis of the record, with no evidence demonstrating that any one of the residents of the apartment has a physical or mental disability affecting a major life activity, the trial court could not have reasonably concluded that the defendant satisfied the "spirit" of the relevant federal regulations, which provide relief only for specifically defined physical or mental disabilities. See, e.g.,
Mazzocchi
v.
Windsor Owners Corp.
,
B
We further conclude that the trial court abused its discretion in applying the doctrine of equitable nonforfeiture because the trial court's articulation demonstrates that its balancing of the harm to the parties was overwhelmingly influenced by its improper consideration of the "spirit" of the federal disability laws. Indeed, a review of the record demonstrates that, rather than consider the harm to the plaintiff that would result from affording the defendant relief from the pet restriction, 14 the exclusive focus of the court and the parties was on whether federal law required the plaintiff to allow the defendant to keep Mellow in the apartment as a reasonable accommodation for M's alleged disability.
Several key instances during the summary process hearings suggest that the trial court's exercise of its discretion was not influenced by a proper balancing of the relative harm to the parties with respect to the enforcement of the pet restriction. At the first hearing, the trial court specifically told the defendant that if Mellow was still in the apartment at the next court appearance, she would be required to vacate. The trial court then continued the hearing for two weeks, so that the defendant could demonstrate to both the court and the plaintiff that Mellow had been removed from the apartment permanently, or that the defendant could establish that she had registered Mellow as a service animal. At the second hearing, the defendant introduced the letter and the certificate into evidence. To that end, the trial court continued the hearing for one week so that the defendant could provide the court with more information about the organization that had certified Mellow.
Finally, at the third hearing, the plaintiff's counsel focused its questioning of the defendant on whether anyone in the home was disabled, thus necessitating a reasonable housing accommodation according to a department legal memorandum, which the plaintiff produced at this hearing. In fact, after this memorandum was produced, the trial court inquired of the plaintiff's counsel whether he believed that the defendant's letter set out a prima facie case for disability, to which the plaintiff's counsel responded in the negative. It is clear to us that the present summary process action was not tried on the equities, but rather on the merits of whether the defendant qualified for a reasonable housing accommodation under federal law. Because of the trial court's focus on whether the defendant qualified for a reasonable housing accommodation, despite having notice of an equitable defense,
15
the plaintiff
did not proffer reasons
grounded in equity, with supporting evidence, as to the reason for its pet restriction, and the potential harm that would come to it should the trial court rule in favor of the defendant. Further, this court may not place itself in the position of the trial court and rebalance the equities in the absence of the improper consideration of the "spirit" of the regulations. See, e.g.,
Hartford Whalers Hockey Club
v.
Uniroyal Goodrich Tire Co.
,
III
Finally, we address the plaintiff's claim that the trial court improperly admitted the letter into evidence because it was inadmissible hearsay. 16 The plaintiff argues that the letter was not admissible pursuant to the medical treatment report exception to the hearsay rule provided by General Statutes § 52-174 (b) because that statute is limited to personal injury cases. We disagree, and conclude that the trial court properly admitted the letter into evidence pursuant to § 52-174 (b). 17
Ordinarily, "[w]hether the trial court improperly admitted evidence under § 52-174 (b) is an evidentiary question, and our review is for abuse of discretion."
Rhode
v.
Milla
,
As § 1-2z requires, we begin with the text of § 52-174 (b), which provides in relevant part as follows: "In all actions for the recovery of damages for personal injuries or death, pending on October 1, 1977, or brought thereafter, and in all court proceedings in family relations matters ... or in the Family Support Magistrate Division, pending on October 1, 1998, or brought thereafter, and in all other civil actions pending on October 1, 2001, or brought thereafter, any party offering in evidence a signed report and bill for treatment of any treating physician ... psychologist, social worker, [or] mental health professional ... may have the report and bill admitted into evidence as a business entry and it shall be presumed that the signature on the report is that of such treating physician ... psychologist, social worker, [or] mental health professional ... and that the report and bill were made in the ordinary course of business. The use of any such report or bill in lieu of the testimony of such treating physician ... psychologist, social worker, [or] mental health professional ... shall not give rise to any adverse inference concerning the testimony or lack of testimony of such treating physician ... psychologist, social worker, [or] mental health professional ...." (Emphasis added.) Resolution of the plaintiff's claim that § 52-174 (b) is inapplicable in summary process cases depends on whether, for the purposes of application of the medical treatment records exception to the hearsay rule, summary process actions are "other civil actions." We conclude that they are.
Because § 52-174 (b) does not define the term "civil action," in accordance with General Statutes § 1-1 (a), "we look to the common understanding expressed in dictionaries in order to afford the term its ordinary meaning."
Lackman
v.
McAnulty
,
The judgment is reversed and the case is remanded for further proceedings in accordance with this opinion.
In this opinion the other justices concurred.
The plaintiff appealed from the judgment of the trial court to the Appellate Court, and we transferred the appeal to this court pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1.
We note that, although two other individuals residing in the apartment, "John Doe" and "Jane Doe," were also named as defendants, they are not parties to the present appeal. For the sake of convenience, we refer to Phillips as the defendant hereinafter.
M is the defendant's oldest niece. She was a minor when this action was commenced, but is over the age of eighteen. In an effort to protect her privacy given the factual circumstances of this case, we refer to her as M.
Although not referred to elsewhere in the record, the dog is registered as "Mellow Phillips" on the purported "Emotional Support Dog" certificate. Accordingly, we refer to the dog as Mellow.
Specifically, the lease provides in relevant part as follows: "The [t]enant agrees not to ... [h]ave pets or animals of any kind in the unit without the prior written permission of the [l]andlord, but the landlord will allow the tenant to keep an animal needed as a reasonable accommodation to the tenant's disability, and will allow animals to accompany visitors with disabilities who need such animals as an accommodation to their disabilities ...."
Additionally, the plaintiff's "House Rules and Regulations" for the apartment complex provides in relevant part as follows: "No Animals or Pets are allowed in any of the units at any time; provided, however, elderly or disabled [t]enants may have a service or comfort pet of not more than thirty ... pounds that otherwise meets [certain guidelines issued by the department]. Eviction may commence for [t]enants found in violation of this policy."
General Statutes § 47a-15 provides in relevant part: "Prior to the commencement of a summary process action ... if there is a material noncompliance by the tenant with the rental agreement or a material noncompliance with the rules and regulations adopted in accordance with section 47a-9, and the landlord chooses to evict based on such noncompliance, the landlord shall deliver a written notice to the tenant specifying the acts or omissions constituting the breach and that the rental agreement shall terminate upon a date not less than fifteen days after receipt of the notice. ..."
A copy of the lease and the plaintiff's house rules were admitted into evidence. See footnote 5 of this opinion.
For a description of the letter, see part II A of this opinion.
We note that the trial court originally rendered judgment for the defendant without issuing a written opinion. In response to a motion by the plaintiff after it filed the present appeal, the trial court issued an articulation containing its findings and conclusions.
After the parties' briefs were filed in this appeal, the trial court, Avallone, J. , dismissed the plaintiff's second summary process action. This court then sua sponte requested supplemental briefing on the mootness issue.
The defendant also claims that the trial court lacked subject matter jurisdiction over this action because the defendant's pretermination notice did not comply with the requirements of federal law, namely, it did not include any information regarding the defendant's right to respond to the plaintiff within ten days of receipt of the pretermination notice as required by a department handbook. See United States Dept. of Housing and Urban Development, HUD Handbook 4350.3: Occupancy Requirements of Subsidized Multifamily Housing Programs (November, 2013), § 8-13 (B) (2) (c) (4), available at https://portal.hud.gov/hudportal/documents/huddoc?id=43503HSGH.pdf (last visited April 24, 2017). Although not raised before the trial court, we consider this issue on appeal because a question of subject matter jurisdiction may be raised at any time. See, e.g.,
Lopez
v.
Board of Education
,
We conclude that this issue does not implicate the subject matter jurisdiction of the trial court, because the relevant provision of the department's handbook is not legally binding as a matter of federal law. In
Thorpe
v.
Housing Authority
,
In the introduction of the department's handbook, § 1-1 (B) indicates that its purpose is to, inter alia, describe "the occupancy requirements and procedures governing ... subsidized multifamily housing programs" and address "the procedures by which households apply for housing and the rights and responsibilities of in-place tenants and property owners." HUD Handbook 4350.3: Occupancy Requirements of Subsidized Multifamily Housing Programs, supra, § 1-1 (B). Although the handbook appears to describe department regulations, we conclude that the handbook itself is merely advisory because nowhere does it state that it is legally binding. See, e.g., Fairmount Heights Associates , L.P. v. Greystone Servicing Corp. , United States District Court, Docket No. 3:06CV1206 (WWE) (D. Conn. August 29, 2007) (describing similar department handbook as "advisory" and concluding that "its provisions do not have the force of law and cannot be the basis of action for damages"). Accordingly, this issue does not implicate the trial court's jurisdiction.
Title 29 of the United States Code, § 794, provides in relevant part as follows: "No otherwise qualified individual with a disability in the United States ... shall, solely by reason of her or his disability, 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 ...." We note that the department's regulations implementing this provision are codified in part 8 of Title 24 of the Code of Federal Regulations.
We note that the regulations implementing the Americans with Disabilities Act specifically exclude emotional support animals from its definition of "service animals." See
It is of note that no testimony was presented as to the specific harm to the defendant, should a court order her to find a new home for Mellow or face eviction. The trial court, however, reasonably could have inferred that harm to the defendant from eviction would include the loss of her federally subsidized housing if evicted, and emotional harm to the children if the defendant and her family were allowed to remain on the property, but ordered to find a new home for Mellow.
The defendant contends that she properly pleaded equitable nonforfeiture as a special defense in her answer to the plaintiff's summary process complaint. Given the broad reading that we give to pleadings, especially in light of the defendant's self-represented status at trial, we agree. "The fundamental purpose of a special defense, like other pleadings, is to apprise the court and opposing counsel of the issues to be tried, so that basic issues are not concealed until the trial is underway." (Internal quotation marks omitted.)
Almada
v.
Wausau Business Ins. Co.
,
As noted previously in this opinion, the defendant pleaded the following special defense: "[T]he dog was originally mom's dog that occupied the apartment for [six] years prior to my leasing the place. Mom passed away in 2013 when I then took over residence. I have been able to keep the dog that the four children I am raising and myself have become attached to. Once I begin complaining again about the condition of the apartment I was given [ fifteen ] days to get rid of dog which was unreasonable. The dog has been given to brother on July 2, 2015. I tried to contact landlord but hasn't replied." (Emphasis added.)
"The interpretation of pleadings is always a question of law for the court .... Our review of the trial court's interpretation of the pleadings therefore is plenary. ... Furthermore, we long have eschewed the notion that pleadings should be read in a hypertechnical manner. Rather, [t]he modern trend, which is followed in Connecticut, is to construe pleadings broadly and realistically, rather than narrowly and technically. ... [T]he complaint must be read in its entirety in such a way as to give effect to the pleading with reference to the general theory upon which it proceeded, and do substantial justice between the parties. ... Our reading of pleadings in a manner that advances substantial justice means that a pleading must be construed reasonably, to contain all that it fairly means, but carries with it the related proposition that it must not be contorted in such a way so as to strain the bounds of rational comprehension. ... Although essential allegations may not be supplied by conjecture or remote implication ... the complaint must be read in its entirety in such a way as to give effect to the pleading with reference to the general theory upon which it proceeded, and do substantial justice between the parties." (Citations omitted; internal quotation marks omitted.)
Grenier
v.
Commissioner of Transportation
,
Affording the defendant, who at the time of filing her answer to the plaintiff's summary process complaint appeared as a self-represented party, appropriate solicitude; see, e.g.,
New Haven
v.
Bonner
,
We address this issue, in the interest of judicial economy, because it is likely to arise on remand. See, e.g.,
Mueller
v.
Tepler
,
Accordingly, we need not reach the plaintiff's arguments regarding the residual hearsay exception. See Conn. Code Evid. § 8-9.
We note that during oral argument before this court, counsel for the plaintiff stated that his understanding of the statute is that it only applies to personal injury cases. However, when counsel was read the full text of § 52-174 (b), he acknowledged candidly that his interpretation of the statute might be in error.
We acknowledge that this court previously interpreted § 52-174 (b) as applicable only to personal injury cases. Specifically, in
Lopiano
v.
Lopiano
,
We briefly address the plaintiff's contention that the trial court improperly admitted the letter because: (1) it did not have an opportunity to cross-examine Fan; (2) there was no evidence that Fan works in the same clinic as Venditti; and (3) there was no cross-examination as to the source of the signatories' knowledge about M. A review of the record reveals that the plaintiff failed to object to the letter on these grounds before the trial court. Accordingly, we decline to review these claims under the well settled principles limiting appellate review of claims alleging improper evidentiary rulings to the grounds asserted before the trial court. See, e.g.,
State
v.
Taylor G.
,
Reference
- Full Case Name
- PRESIDENTIAL VILLAGE, LLC v. Melissa PHILLIPS Et Al.
- Cited By
- 14 cases
- Status
- Published