Eunice Samuels, Lorraine Warren v. District of ColumbiaEunice Samuels, Lorraine Warren v. District of Columbia
Opinion for the Court filed by Circuit Judge WALD.
This appeal concerns the ability of tenants of federally-funded public housing to enforce certain federal housing law provisions against local public housing officials. The plaintiffs, four tenants of public housing units operated by the District of Columbia, allege that the District and its public housing officials have systematically failed to provide public housing tenants with the administrative grievance procedures mandated by the United States Housing Act of 1937, ch. 896, § 8, 50 Stat. 891 (codified as amended at
The district court dismissed the complaint for failure to state a claim upon which relief can be granted, concluding that the District’s alleged violation of the Act and HUD regulations could not be redressed in a suit by tenants against local housing officials. We conclude that the plaintiffs state a valid claim for relief under
I. The Background
A. The Regulation of Federally-Funded Public Housing
The Act, which is designed to provide “decent, safe and sanitary dwellings within the financial reach of families of low income,”
At issue in this case is the specific section of the Act which provides that HUD “shall by regulation require each public housing agency receiving assistance [under the Act] to establish and maintain an administrative grievance procedure” to resolve tenant-management disputes.
[i]f the tenant disputes within a reasonable time any PHA action or failure to act involving the tenant’s lease with the PHA or PHA regulations which adversely affect the tenant’s rights, duties, welfare or status.
The history of this grievance procedure provision and its accompanying regulations dates back to 1971 when HUD issued a series of public housing circulars requiring PHAs to recognize certain minimum tenant rights and to provide an administrative grievance forum for tenant complaints concerning adverse PHA action. See Circulars RHM 7465.8 and RHM 7465.9 (Feb. 22, 1971), Statutory Addendum (“S.A.”) at 10, 21. In particular, Circular 8 required PHAs to include in all leases a promise to maintain public housing units in conformity with applicable local housing codes and federal regulations, see Circular RHM 7465.8 at 4, S.A. at 18, and Circular 9 required PHAs to establish and implement an administrative grievance procedure to resolve tenant-management disputes concerning, among other things, any PHA action or failure to act in accordance with lease requirements which adversely affects a tenant's rights, duties, welfare or status, see Circular RHM 7465.9 at 2, S.A. at 22.
At that time, HUD concluded that: [M]any of the problems faced by management and tenants in low-rent public housing have resulted in friction and strain in tenant-management relations and in litigation, costly to both management and tenants; much of which might have been avoided had some kind of procedure been available for grievances to be aired before an impartial individual or panel____ [The] establishment of a grievance procedure by every local housing authority, embodying certain standards and criteria, [will] improve management-tenant relationships and promote [an] improved housing environment to the advantage of the low-rent public housing program thus implementing the national housing policy as expressed by Congress.
Id.
at 1, S.A. at 21. As several courts have noted, HUD’s grievance procedure regulations were thus designed to avoid costly and divisive public housing litigation by channeling tenant-management disputes into a decentralized, informal, and relatively non-adversarial administrative process.
See, e.g., Brown v. Housing Auth.,
In 1972, Circulars 8 and 9 were specifically upheld over a challenge that HUD had exceeded its statutory authority.
See Omaha Housing Auth. v. United States Housing Auth.,
In 1982, the current administration proposed a far-ranging revision of all federal regulations governing the responsibilities of local PHAs under the Act. See 47 Fed. Reg. 55,689 (1982). In particular, the 1982 rulemaking proposed to limit the grievance procedure requirement to disputes concerning rent calculation and tenant selection and to eliminate any federal requirement that PHAs provide an administrative forum for tenant complaints concerning PHA lease obligations. See id. at 55,692 (“Under the proposed rule, the PHA would not be required to make available an administrative hearing procedure for miscellaneous disputes between the PHA and its tenants arising in day-to-day operation of the housing project.”).
In response to this proposal, Congress specifically amended the Act to require PHAs to establish and maintain an administrative grievance procedure for the resolution of all tenant disputes concerning adverse PHA action. The full statutory language reads as follows:
The Secretary shall by regulation require each public housing agency receiving assistance under this chapter to establish and implement an administrative grievance procedure under which tenants will—
(1) be advised of the specific grounds of any proposed adverse public housing agency action;
(2) have an opportunity for a hearing before an impartial party upon timely request within any period applicable under subsection (l) of this section;
(3) have an opportunity to examine any documents or records or regulations related to the proposed action;
(4) be entitled to be represented by another person of his choice at any hearing;
(5) be entitled to ask questions of witnesses and have others make statements on his behalf; and
(6) be entitled to receive a written decision by the public housing agency on the proposed action.
An agency may exclude from its procedure any grievance concerning an eviction or termination of tenancy in any jurisdiction which requires that, prior to eviction, a tenant be given a hearing in court which the Secretary determines provides the basic elements of due process.
Housing and Urban-Rural Recovery Act of 1983, § 204, Pub.L. No. 98-181, 97 Stat. 1153, 1178 (codified at
Shortly after HUD adopted the current regulations in 1975, the District enacted a detailed administrative grievance process for public housing tenants designed to satisfy federal requirements.
See
23 D.C. Reg. 254, 264-73 (July 9, 1976) (proposing regulations); National Capital Housing Authority Rules and Regulations § 2.12 (1978) (final regulations) [hereinafter
NCHA Rules].
Tracking the structure and language of the federal regulations, the local guidelines require the National Capital Housing Authority (NCHA), which administers the District’s public housing projects, to provide administrative grievance machinery for tenant complaints concerning “any action or failure to act by the NCHA which may adversely affect [the tenant’s] rights, duties, welfare or status.”
Id.
§ 2.12(2)(d);
compare
B.
The Proceedings in This Case
In 1983, the plaintiffs filed several administrative grievances alleging that the NCHA had failed to maintain and repair their dwelling units in accordance with their leases and the local housing code. The administrative complaints cited, among other things, the NCHA’s failure to provide the plaintiffs with heat and hot water for several months;
1
the plaintiffs requested the NCHA to make the repairs necessary to bring their dwelling units in compliance with their leases and to abate a portion of their rent during the period of noncompliance.
See
Complaint 11 37, Joint Appendix (“J.A.”) at 10;
cf. Javins v. First Nat’l Realty Corp.,
The plaintiffs then sought the formal administrative grievance hearing required under federal law,
see
Before ruling on the class certification motion, the district court dismissed the plaintiffs’ federal claims in a brief memorandum opinion.
See Samuels v. District of Columbia,
Civ. No. 83-2153 (D.D.C. May 10, 1984).
4
The court reasoned that the plaintiffs could not state a constitutional due process entitlement to the particular grievance procedures mandated by the Act and HUD regulations,
see id.
at 3-4, and that the Act could not be read to confer a private right of action on the plaintiffs,
see id.
at 5. The district court did not address, however, either the plaintiffs’
A motion to dismiss for failure to state a claim can only be granted if “it appears beyond a doubt that the plaintiff can prove no set of facts in support of his [or her] claims which would entitle him [or her] to relief.”
Conley v. Gibson,
II. The
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or ... the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.
The question before us is whether the phrase “and laws,” as used in§ 1983 , means what it says, or whether it should be limited to some subset of laws. Given that Congress attached no modifiers to the phrase, the plain language of the statute undoubtedly embraces respondents’ claim that petitioners violated the [statute].
Thiboutot,
The
Thiboutot
decision thus allows private parties to enforce federal laws against a special class of defendants — state and municipal actors — in much the same way that implied rights of action permit private enforcement of federal statutory obligations against any party, public or private. As courts have recognized, however, statutory
Thus in
Sea Clammers,
the Court explicitly recognized that the availability of
Under
Sea Clammers
and
Pennhurst,
then, plaintiffs can enforce all federal laws against state officials under
First, we cannot say that the enforcement mechanisms of the Act are sufficiently comprehensive to indicate that “Congress
specifically
foreclosed a remedy under
Other courts have also required government defendants to demonstrate extensive statutory enforcement mechanisms, including access to administrative and judicial review, in order to establish an implicit congressional intent to foreclose
Turning to the second exception to the availability of statutory
The particular historical context of
The Committee bill requires the Secretary to establish lease and grievance procedures for public housing. HUD has proposed to repeal existing regulations concerning these procedures. These existing regulations were initially developed in 1971, after extensive consultation by this Department with representatives of housing authorities and tenants.
They grew out of dissatisfaction with the practices of some, but not all, PHAs that caused unfairness in the leasing and operation of PHA projects. They ... were designed to provide a realistic means for resolving disputes between tenants and PHA’s quickly and fairly, before the problems fester and hostilities develop....
Given that history, it is the judgment of the Committee that these lease and grievance requirements must be retained.
House Report
at 35. Congress’ clear rejection of HUD’s proposal and its decision to add an explicit grievance procedure requirement to the Act strongly indicate that
Similarly, we note that the HUD’s original grievance procedure regulations were themselves the subject of extensive litigation after their initial adoption in 1971. In those cases, courts consistently entertained tenant challenges to PHA action or inaction based on the grievance procedure regulations and they consistently held those regulations mandatory and binding on PHAs.
See, e.g., Chicago Tenants Housing Org. v. Chicago Housing Auth.,
In sum, we hold that the plaintiffs’
The defendants also argue that, even assuming the availability of
First, the regulations implementing
In our view, this dispute presents perhaps the strongest case for permitting the enforcement of federal regulations in a
We also believe, moreover, that
[I]t is the judgment of the Committee that these lease and grievance requirements must be retained. Thus, the bill adds a new subsection ... under which the Secretary must by regulation require PHAs to maintain grievance procedures and utilize fair leases. The Committee contemplates that HUD will meet this obligation by retaining the present regulations. The bill provides that the grievance procedures shall be available for all disputes between a PHA and an applicant, a tenant or a former tenant. The hearings shall be made available on an administrative level, because attempting to resolve these matters only in court is not a desirable, efficient and effective approach.
House Report
at 35-36 (emphasis added);
see also
129 Cong.Rec. H3659 (daily ed. June 6, 1983) (statement of Rep. Coyne). The legislative history also explicitly refers to tenant complaints concerning PHA operation of public housing projects.
See House Report
at 35;
supra
p. 22. Congress thus broadly understood
As this legislative history also indicates,
We therefore hold that the plaintiffs have alleged a violation of both
IV. Conclusion
In conclusion, we wish to emphasize the limits of our holding in this ease. We conclude only that the complaint before us states a claim upon which relief can be granted under
The district court’s dismissal of the plaintiffs’
Reversed and remanded.
Notes
. In particular, the complaint avers that plaintiffs Eunice Samuels, Mary Hawkins, Annie Dell Simmons and Lorraine Warren filed administrative grievances in March of 1983 alleging that the District had failed to provide them with hot water during the month of February.
See
Complaint 1f 36, Joint Appendix (“J.A.”) at 10. Plaintiffs Mary Williams and Annie Bernice Gadsden complained of an inoperable commode, a leaking roof, leaking pipes, and rodent infestation.
See
Complaint If 41, J.A. at 11. Each administrative grievance alleged that the District had violated its lease with the plaintiffs which requires the District to supply heat and hot water, to maintain dwelling units in a safe and sanitary condition, and to make necessary repairs.
See generally
. The annual contributions contract between HUD and the District provides that the District "shall operate all Projects covered by this Contract in compliance with all provisions ... of the Act [and] all regulations issued by the government pursuant thereto.” Annual Contributions Contract § l.B, S.A. at 68. The plaintiffs argue that, as the intended third-party beneficiaries of the District’s promise to abide by the Act and HUD regulations, they can enforce the District’s implicit contractual promise under this section to provide the administrative grievance machinery required by the Act and its regulations.
See
Complaint ¶¶ 65-67, J.A. at 16;
see generally Holbrook v. Pitt,
. We note that the plaintiffs specifically named the relevant District housing officials as defendants in this case.
See
Complaint at 1, J.A. at 1. Thus even on the assumption that the District can claim eleventh amendment immunity from suits in federal court, the plaintiffs’
. Although the District styled its response to the plaintiffs’ complaint as a "Motion to Dismiss or in the Alternative for Summary Judgment,” see Record Item 17, the district court clearly dismissed the complaint for failure to state a claim upon which relief can be granted. See, e.g., Samuels, Civ. No. 83-2153, mem. op. at 5 (“[D]ismissal of this action is warranted because plaintiffs have failed to state valid federal claims.’’); see also id. at 2..
The complaint also claimed that the District’s failure to provide an administrative grievance forum violated the District of Columbia Administrative Procedure Act,
see
Complaint ¶ 69, J.A. at 16, and that it constituted a breach of the District’s dwelling leases with the plaintiffs,
see id.
¶¶ 60-64, J.A. at 15. The district court declined to exercise pendent jurisdiction over these local law claims after it dismissed the plaintiffs’ federal claims.
See Samuels,
Civ. No. 83-2153, mem. op. at 5;
see generally United Mine Workers of Am. v. Gibbs,
. Shortly after this lawsuit was filed in district court, the District acknowledged three of the named plaintiffs’ hearing requests and, eventually, provided those plaintiffs with administrative relief for the particular grievances mentioned in the complaint.
See
District’s Brief at 5-6 (noting that plaintiffs Samuels, Hawkins and Simmons obtained partial rent abatements in administrative hearings). We agree with the district court, however, that the District’s attempt to provide partial and long-delayed relief to a few tenants does not render this case moot.
See Samuels,
Civ. No. 83-2153, mem. op. at 5. First, the defendants have not submitted any information to this court indicating that they have provided the remaining individual plaintiffs with administrative hearings. More importantly, however, the plaintiffs, who sought class certification to represent all public housing tenants in the District, allege that the District has
systematically
refused to provide an administrative forum for certain tenant complaints on a
classwide
basis. Granting relief to individual plaintiffs does not moot such a class action claim.
See Sosna v. Iowa,
. The District cannot (and does not) argue that the plaintiffs’
. This analysis of statutory
The differential approach to statutory
. As the Court noted in a pre-Thiboutot case involving the private enforcement of federal welfare law:
We have considered and rejected the argument that a federal court is without power to review state welfare provisions or prohibit the use of federal funds by the States in view of the fact that Congress has lodged in the Department of HEW the power to cut off federal funds for noncompliance with statutory requirements. We are most reluctant to assume Congress has closed the avenue of effective judicial review to those individuals most directly affected by the administration of its program.
Rosado v. Wyman,
397. U.S. 397, 420,
. In its only response to the plaintiffs’
The
Pennhurst
Court also suggested that Congress’ failure to provide federal funds to defray the “massive" costs of implementing the rights asserted by the plaintiffs in that case indicated that Congress did not intend the relevant statutory provision to impose binding obligations on the states.
See Pennhurst,
. We do not believe that the mandatory character of the grievance procedure provision is altered by the fact that Congress directed HUD to issue binding regulations implementing
. In
Thorpe v. Housing Auth.,
. We note that the Fourth Circuit has apparently taken a somewhat different view of the availability of
relief for a PHA’s alleged failure to maintain "decent, safe and sanitary dwellings” in accordance with the general policy section of the Act,
We think both decisions are distinguishable.
Perry
simply held that Congress did not intend the broad policy provisions of the Act to create specific rights enforceable under
See Phelps,
. The District’s strained reading of
. We therefore do not decide whether the plaintiffs could obtain relief as third-party beneficiaries of the District’s annual contributions contract with HUD under which the District generally promises to obey the Act and relevant HUD regulations.
See supra
note 2. We note, however, that courts remain divided over whether public housing tenants can assert enforceable rights as third-party beneficiaries of the federal funding contracts between HUD and local PHAs.
Compare, e.g., Perry v. Housing Auth.,
In
Ashton v. Pierce,
Judge Friedman does not join this footnote because he does not consider it necessary to the disposition of this case.