Langan v. WeeksLangan v. Weeks
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The sole issue of this appeal is whether the plaintiff,1 in exchange for receiving public assistance from the state of Connecticut, assigned to the state her right to current and future support payments from the father of her child, as well as to amounts already owed to her by him, but not yet paid at the time of her application, for periods of time when she was not receiving benefits. We conclude that the trial court was correct in determining that the assignment was valid.
The defendant, John Weeks, was adjudicated the father of the plaintiffs child in 1986 and ordered to make support payments to the plaintiff in the amount of $50 per week. The plaintiff and the child received aid to families with dependent children (AFDC) during several periods following that adjudication.
The state presented evidence to the magistrate, through both testimony and exhibits, of the federal and state statutory and regulatory requirements mandating the assignment of support rights by a recipient as
The state’s evidence also showed that each time the plaintiff applied for AFDC benefits, she signed an application form that contained the language: “I assign to the State all the support rights which I have against any person in behalf of any family member for whom I am applying or receiving assistance.” (Emphasis added.) The plaintiff also signed, each time she applied for assistance, a “Notice to AFDC Recipients Regarding Cooperation in Obtaining Support,” which contains the language, “you must turn over all child support payments you receive . . . if you fail to comply with this requirement, you will become ineligible and be removed from the assistance unit . . . .” (Emphasis added.) Finally, the state submitted a document, signed by the plaintiff, entitled “Department Responsibilities for Explaining the Following,” listing areas that “intake workers” must discuss with AFDC applicants. Child support assignment is not listed as one of these mandatory areas, but there is language on the form pertaining to support assignment that states: “I understand . . . I have assigned all my support rights to the State. This means that if I receive child support directly, I will turn it over to the state.” (Emphasis added.) Thus, there were three separate documents that made the plaintiff aware of an assignment of child support rights to the state.
The plaintiff testified at the hearing before the magistrate that each time she applied for AFDC benefits, she had read the assignment language, but did not question it because she thought it applied only to current support amounts. She further testified that she had had the same caseworker on at least three different occasions when she applied for assistance and that she had never been informed that the assignment of child support would extend to money previously owed to her as well as to her right to ongoing support.* ***5 She also testified that on a prior occasion in 1990, the department had allowed her to keep a lump sum child support payment representing an arrearage that had accrued while she was not receiving assistance, even though she was on assistance at the time she received the payment and had reported it to the department.6 The state presented evidence, however, that in 1989 the plaintiff reported
The plaintiff testified that had she understood that she was giving up her right to the $3043.62 arrearage in support payments, accrued while she was not receiving state support, she would not have applied for state assistance, but would have instead sought help from her fiance and family.
The magistrate asked the plaintiffs witness, Patrick Hearn, supervisor of the Torrington department of income maintenance, how he would respond to someone who specifically inquired whether an arrearage owed to her would be affected if she applied for assistance. He answered that he had never been asked such a question, and that he would have to consult with support enforcement services before he would be able to answer such a question.
The magistrate found two arrearage amounts, one for sums owed by the defendant to the plaintiff for periods when the plaintiff was not receiving state aid, and the other for sums owed by the defendant to the plaintiff for periods when she was receiving state aid. The magistrate held that the plaintiff was entitled to an arrearage of $3488.62,7 which included the $3043.62 arrearage that had accumulated prior to the plaintiffs September, 1991 AFDC application, during a period when the plaintiff was not receiving assistance, and that the state was entitled to $4738.94, the amount owed by the defendant to the plaintiff from September, 1991, to May 27,1992, when she was receiving aid.
The state appealed from the magistrate’s findings to the Superior Court, where oral arguments, but no fur
On appeal, the plaintiff claims that (1) the assignment of child support arrears was invalid because notice of the assignment was not conspicuously placed on the AFDC application or explained as required by
The first two issues for which review is sought are based on a claim that the plaintiff had a statutory right, provided by
The trial court’s conclusions, that the plaintiff’s assignment of all her rights to support, including the defendant’s child support arrearages, occurred by operation of law, and that the notice provisions of
Validity of Assignment
The plaintiffs brief makes it clear that she agrees that Title IV of the Social Security Act,
Title IV of the Social Security Act,
The implementing regulations allow the states the option of effecting an applicant’s assignment of support rights either by operation of law or by execution of an assignment agreement. A state plan for child support must provide that “[a]s a condition of eligibility for assistance, each applicant for or recipient of AFDC shall assign to the state any right to support from any other person as such applicant or recipient may have”;
Federal regulations farther provide that AFDC applicants must be informed about their rights and obligations: “Applicants shall be informed about the eligibility requirements and their rights and obligations under that program. Under this requirement individuals are given information in written form, and orally as appropriate, about coverage, conditions of eligibility, scope of the program, and related services available, and the rights and responsibilities of applicants for and recipients of assistance. . . .”
States must pass their own enabling legislation to effect this federal scheme. In order to obtain matching federal funds, a state must operate its child sup
This court has, in another context, noted that “an assignment of support rights [becomes] effective upon operation of state law when the [applicant] sign[s] her application for public assistance.” Sierra v. Lozada, 31 Conn. App. 114, 117, 623 A.2d 1045 (1993). Other cases involving
The legislative history of
“Operation of law is a generic term or phrase commonly used to express the manner in which rights (and/or liabilities) attach to a person by the mere application to the particular transaction of the established rules of law, without the act or cooperation of that person.” (Internal quotation marks omitted.) All Brand Importers, Inc. v. Dept. of Liquor Control, 213 Conn. 184, 201, 567 A.2d 1156 (1989).
The legislature, thus, may enact legislation that causes an involuntary change in the position of litigants, such as providing for the effects of a merger or consolidation of stock corporations; id., 201; or for deeming the attorney general a party to a paternity proceeding even though he or she does not appear or participate in court proceedings. Durso v. Misiorek, supra, 200 Conn. 663. This is so because the legislature may determine by operation of the statute itself that certain liabilities or rights will attach upon the occurrence of certain events. The change is effected
Changes in the rights of parties that can occur by operation of the passage of laws, however, are fettered by both the federal and state constitutions.14 Substantive and procedural due process rights cannot be trampled in the name of operation of law.
The guarantee of substantive due process requires that a law be reasonable, rather than arbitrary or capricious, and that its operation has a real and substantial relation to the object to be obtained. All Brand Importers, Inc. v. Dept. of Liquor Control, supra, 213 Conn. 205. Here, the purpose of the law requiring the assignment to the state of the support due is to conform to federal law, and is, therefore, rational, with a substantial connection between the purpose and the effect of the law.
The guarantee of procedural due process requires that persons whose rights are to be affected have a right to notice and an opportunity to be heard at a meaningful time and in a meaningful manner. Id., 208. “Procedural due process emphasizes the right to participate in decision-making — a right to be heard, rather than a right to a particular outcome.” New England Savings Bank v. Lopez, 227 Conn. 270, 282, 630 A.2d 1010 (1993). Moreover, “due process is flexible and calls for such procedural protections as the particular situation demands.” Morrissey v. Brewer,
The thrust of the plaintiff’s argument that she was denied due process is a claim of denial of procedural due process. The procedural due process required depends on the particular situation. “[Resolution of the issue whether the administrative procedures provided . . . are constitutionally sufficient requires analysis of the governmental and private interests that are affected.” Mathews v. Eldridge, 424 U.S. 319, 334, 96 S. Ct. 893, 47 L. Ed. 2d 18 (1976). There are three factors involved in that analysis, which are: whether the plaintiff was deprived of fundamental fairness by the alleged failure of the state to comply with the notice provisions of
A similar issue has been addressed by the United States Supreme Court, which held that: “It would be quite strange ... if, by virtue of an offer to provide benefits to needy families through the entirely voluntary AFDC program, Congress or the States were deemed to have taken . . . property. [The required assignment of support rights] does not even arguably take anyone’s property.” Bowen v. Gilliard, 483 U.S. 587, 605, 107 S. Ct. 3008, 97 L. Ed. 2d 485 (1987). The plaintiff, as the custodial parent, did not have to apply for the AFDC benefits, and had no vested rights in the receipt of AFDC benefits. The assignment of support payments to the state is, therefore, not a taking of private property. Id.
In order to be entitled to a notice and hearing, a person must have suffered, by state action, a loss of either a property or a liberty interest. All Brand Importers, Inc. v. Dept. of Liquor Control, supra, 213 Conn. 209. Due process requires that before the government can deprive a person of life, liberty, or property, the thoroughness of the procedure through which the deprivation is effected must be balanced against the gravity of the potential loss and the interests at stake, and the procedure involved must be appropriate to the nature
Connecticut chose to provide for an assignment by operation of law rather than by execution of a separate assignment for each individual AFDC beneficiary. The recipient is, therefore, “ ‘deemed to have made an assignment to the State . . . of the right to any child support owed ... up to the amount of public assistance paid.’ ” State ex rel. Crews v. Parker, 319 N.C. 354, 354 S.E.2d 501 (1987). A state is under no “duty to give persons subject to the state and federal statutes and regulations direct notice of their content and application . . . .” Iverson v. Schulte, 367 N.W.2d 570, 572 (Minn. App. 1985).
The question, however, is not solely whether a duty of notice of the assignment by operation of law was required, but whether an otherwise valid assignment is negated if a particular kind of notice as provided by the same statute is not given. The answer to this question involves an interpretation of whether the word “shall” in
The general rule is that the word “shall” is mandatory, not directory. Jones v. Civil Service Commission, 175 Conn. 504, 509-10, 400 A.2d 721 (1978). The fact that a provision uses the word “shall” does not, however, always indicate that the clause is mandatory. Yanni v. DelPonte, 31 Conn. App. 350, 353, 624 A.2d
The basic test for whether a particular provision is mandatory is whether the mode of action relates to a matter of substance or convenience. Tramontano v. Dilieto, 192 Conn. 426, 472 A.2d 768 (1984); Yanni v. DelPonte, supra, 31 Conn. App. 354. Language is deemed to be mandatory when the mode of action is of the essence of the purpose to be accomplished by the statute. LeConche v. Elligers, 215 Conn. 701, 710, 579 A.2d 1 (1990). Language is deemed to be directory, on the other hand, if it prescribes what shall be done but the purpose of the statute is such that the intent of the legislature is not to invalidate the statute if the party fails to comply, such as where the language is written in affirmative terms containing no penalty for noncompliance, or where the language purports to establish procedure. Ghent v. Planning Commission, 219 Conn. 511, 516 n.4, 594 A.2d 5 (1991); Caron v. Inland Wetlands & Watercourses Commission, 25 Conn. App. 61, 66, 592 A.2d 964 (1991), aff‘d, 222 Conn. 269, 610 A.2d 584 (1992); see also Fidelity Trust Co. v. BVD Associates, 196 Conn. 270, 278, 492 A.2d 180 (1985). To determine whether a particular provision is mandatory or directory, the court must examine the statute’s language, the legislative history, and the statutory context. Engle v. Personnel Appeal Board, 175 Conn. 127, 129-30, 394 A.2d 731 (1978).
For example, in Ghent v. Planning Commission, supra, 219 Conn. 515, our Supreme Court held that the absence of a transcript was not fatal to subject matter
Here, it would defeat the purpose of
We conclude that the notice provisions are directory and that failure to follow them precisely does not invalidate the assignment.15 The plaintiff was not deprived of either substantive or procedural due process.
II
Estoppel
The plaintiff also argues that even if the assignment did arise by operation of law, and even if there are no
Estoppel generally may not be invoked against the government or a public agency functioning in its governmental capacity. The exception to this rule is when “the party against whom estoppel is claimed [does] something calculated or intended to induce another party to believe that certain facts exist and to act on that belief; and the other party . . . change[s] its position in reliance on those facts .... [E]stoppel against a public agency is limited and may be invoked: (1) only with great caution; (2) only when the action in question has been induced by an agent having authority in such matters; and (3) only when special circumstances make it highly inequitable or oppressive not to estop the agency.” (Citations omitted; internal quotation marks omitted.) Kimberly-Clark Corp. v. Dubno, 204 Conn. 137, 148, 527 A.2d 679 (1987).
The facts of this case do not support the plaintiffs argument that the state is estopped from claiming past due arrearages as part of the plaintiff’s assignment. First, the state did not induce her to apply for AFDC benefits. Second, she has shown no special circumstances that would make it highly inequitable or oppressive not to estop the state from collecting the arrearages. She claims that special circumstances exist in that she will lose a substantial arrearage and that she has encountered problems with the office of support enforcement since the trial court’s ruling. The
Ill
The State May Enact Legislation Providing Broader Protection to Its Citizens than that Provided by Federal Law
In raising this issue, the plaintiff appears to be arguing that because the federal regulations allow state legislatures to effect the assignment of support rights either in writing or by operation of law, and because Connecticut has chosen to effect the assignment by law but also makes a provision for notice in its implementing statute,
We disagree, for the reasons discussed in part I, that the notice provisions of
The judgment is reversed only as to the calculation of the award and the case is remanded with direction to render judgment for the state in the amount of $7782.56.
In this opinion the other judges concurred.
Notes
The word “plaintiff” as used in this decision refers to the appellant, Judith Langan. The appellee, the state of Connecticut, is also technically a party plaintiff pursuant to
This bureau was created within the department of social services and works cooperatively with the judicial department, law enforcement officials, and the attorney general.
Family support magistrates have jurisdiction to entertain applications for contempt and to make findings of contempt, as well as to imprison for contempt.
The plaintiff testified that each time she applied for AFDC the following occurred: “When we got down to the child support section . . . [the caseworker] read it off to me and I asked her what it meant, and she said ... if he paid child support . . . that I would . . . receive $50 of it for the month extra, not including what I would get as a grant, and that anything over that I would not receive and it would go towards the state’s . . . paying me for benefits.”
The plaintiff testified: “I called . . . [the caseworker] and I was told that he was going to be giving me a lump sum payment of $810. And that was my money when I was not on state and I was working and struggling and paying a babysitter and, you know, doing it all on my own, and that money was owed to me. And she gave it to me. . . . She didn’t penalize me for it, she didn’t take away my supplement. I got to keep the money. And I did receive a state check.”
This amount includes an arrearage of $445 accrued subsequent to the termination of the plaintiff’s AFDC benefits.
Additionally, in a footnote to the memorandum of decision, the court states: “This court does not condone the fact that the assignment provision on the application was not conspicuous and that the intake worker did not fully explain the extent of the assignment to the plaintiff. However, an assistant attorney general has assured this court that application forms and procedures are being modified so as to comply with the notice provisions of
This amount includes the arrearage of $445 owed to the plaintiff for a period of time subsequent to her last period of receiving assistance. See footnote 7. The state noted at oral argument before the trial court that it made no claim to this $445 arrearage.
The state agrees that the calculation was incorrect and makes no claim to the $445 that was owed by the defendant to the plaintiff for a time period after the plaintiffs APDC benefits had terminated. We, therefore, do not address this issue.
Bruce Morrison, then executive director of the New Haven legal assistance association, commented at the committee hearing that due process questions might be raised if the assignment arose by operation of law, without notice to the applicant. Conn. Joint Standing Committee Hearings, supra, p. 34.
The parties cited related cases, but none were applicable. For example, the United States Bankruptcy Court, in the district of Connecticut, has held an assignment of support benefits under
While the plaintiff refers only to the Connecticut constitution in her brief, the legal argument she presents is grounded in United States Supreme Court cases. Because both the fourteenth amendment of the United States constitution and article first, § 8, of the Connecticut constitution contain the same prohibition against the deprivation of “life, liberty, or property, without the due process of law,” Connecticut courts give the same effect to both clauses. Lee v. Board of Education, 181 Conn. 69, 71, 72, 434 A.2d 333 (1980). Our analysis, therefore, encompasses both provisions.
We have noted that the plaintiff had notice of the assignment. We need not, in our plenary review, reach the issue of whether the trial court improp erly determined that the notice was inconspicuous because we have concluded that the notice provisions of the statute are directory.
On a different occasion, however, the plaintiff notified the state that she had received a lump sum payment for past due support and she repayed that money to the state. It is noted that successful actions brought pursuant to