KATHLEEN FREESE v. DEPARTMENT OF SOCIAL SERVICES; GUSTAV CARIGLIO v. DEPARTMENT OF SOCIAL SERVICES
AC 38045
AC 38083
Connecticut Appellate Court
August 29, 2017
DiPentima, C. J., and Mullins and Flynn, Js.
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Syllabus
Pursuant to statute (
The plaintiffs in both actions appealed to the trial court, pursuant to statute (
1. The trial court properly concluded that the plaintiffs lacked standing to appeal:
a. The plaintiffs’ claim that they had standing, pursuant to certain state regulations (§ 17b-10-1), to assert their decedents’ rights in representative capacities lacked merit, as the plaintiffs’ standing to appeal derived from
b. The plaintiffs failed to plead facts establishing aggrievement, as the operative complaints alleged that the defendant prejudiced the rights of the plaintiffs’ decedents by improperly denying the applications, and the plaintiffs thus failed to allege that they have any specific personal and legal interests in the decisions to establish their aggrievement and standing; moreover, the plaintiffs failed to allege facts establishing their standing to appeal under the right of survival statute (
2. The trial court improperly granted the defendants’ motions to dismiss instead of giving the plaintiffs an opportunity to cure the jurisdictional defect by substituting themselves, as fiduciaries of their decedents’ respective estates, as plaintiffs in the appeals: that court improperly denied substitution and concluded that the plaintiffs’ administrative appeals were not legally cognizable actions capable of being cured by
Argued January 30—officially released August 29, 2017
Procedural History
Appeals from the decisions by the defendant denying the plaintiffs’ applications for certain benefits, brought to the Superior Court in the judicial district of Middlesex and transferred to the judicial district of New Britain; thereafter, the matters were transferred to the judicial district of Fairfield; subsequently, the court, Hon. Howard T. Owens, Jr., judge trial referee, granted the defendant‘s motions to dismiss and rendered judgments thereon, from which the plaintiffs filed separate appeals to this court; thereafter, this court consolidated the appeals. Reversed; further proceedings.
Andrew S. Knott, with whom was Elizabeth A. Holman, for the appellants (plaintiff in each case).
Patrick B. Kwanashie, assistant attorney general, with whom, on the brief, was George Jepsen, attorney general, for the appellee (defendant in both cases).
Opinion
In these consolidated administrative appeals, the defendant, the Department of Social Services, denied applications for Medicaid benefits that the plaintiffs filed on behalf of their respective mothers, Noreen McCusker and Arlene Cariglio (Arlene), both of whom died before the defendant rendered final decisions in the underlying administrative proceedings. The plaintiffs appealed those denials to the trial court, but because their decedents died before they brought the appeals, and because they did not bring the appeals as executors or administrators of their decedents’ estates, the court determined that the plaintiffs lacked standing and dismissed their appeals for lack of subject matter jurisdiction. Furthermore, although the plaintiffs had been appointed as fiduciaries of their decedents’ estates after they instituted the appeals and before the court ruled on the defendant‘s motions to dismiss, the court denied the plaintiffs’ requests to cure the jurisdictional defect by substituting themselves, in their capacities as estate fiduciaries, as plaintiffs in the administrative appeals pursuant to the remedial savings statute
On appeal to this court, the plaintiffs claim that the trial court (1) improperly concluded that they did not have standing to bring their administrative appeals because, despite the fact that they did not bring the appeals as fiduciaries of their decedents’ estates, they nonetheless had standing, pursuant to the regulations set forth in the Uniform Policy Manual (UPM); Regs., Conn. State Agencies § 17b-10-1; to assert their decedents’ rights in representative capacities, and (2) improperly denied their requests for substitution because, even if they did not have standing initially, they were subsequently appointed as estate fiduciaries and, thus, were entitled to cure the standing problem pursuant to
The facts and procedural history relevant to these appeals are undisputed. Freese applied for Medicaid benefits on behalf of her mother, Noreen McCusker, in October, 2013. On April 27, 2014, before the defendant ruled on the application, McCusker died. Thereafter, the defendant denied Freese‘s application because McCusker‘s assets exceeded the limit for eligibility for Medicaid. Acting on her mother‘s behalf, Freese requested a fair hearing with the defendant‘s Office of Legal Counsel, Regulations and Administrative Hearings. On September 26, 2014, after conducting the hearing, the Office of
Cariglio‘s action followed a similar procedural path. Cariglio‘s mother, Arlene, died on November 4, 2013. Just over one week later, Cariglio applied for Medicaid benefits on Arlene‘s behalf. The defendant denied Cariglio‘s application because Arlene had died and because Arlene‘s assets exceeded the eligibility limit. Cariglio requested a fair hearing and, following the hearing, the Office of Legal Counsel denied Cariglio‘s appeal on August 12, 2014. Cariglio commenced an administrative appeal in the trial court on September 16, 2014, alleging, in his operative complaint, that Arlene‘s rights were prejudiced by the defendant‘s erroneous finding that Arlene was ineligible for benefits. Cariglio further alleged that he brought the appeal in his capacity as Arlene‘s “co-attorney-in-fact, next friend, and putative coexecutor of [Arlene‘s] will.”3 With regard to aggrievement, Cariglio alleged that he was aggrieved as Arlene‘s “estate examiner.”4 Over a month later, on December 3, 2014, Cariglio was appointed as a coexecutor of Arlene‘s estate.
Around the time when the plaintiffs were appointed as fiduciaries of their decedents’ estates, the defendant moved to dismiss the plaintiffs’ administrative appeals for lack of subject matter jurisdiction. In both motions, the defendant argued that the plaintiffs lacked standing to appeal from the denials of their Medicaid applications because they were not personally aggrieved by the denials and, furthermore, did not institute the appeals as administrators or executors of their decedents’ estates. In response, the plaintiffs filed motions
After hearing argument on May 12, 2015, and ordering supplemental briefing, the court issued memoranda of decision dismissing the plaintiffs’ appeals. With regard to Freese, the court began by distinguishing her case from our Supreme Court‘s decision in Kortner v. Martise, supra, 312 Conn. 14, reasoning that, under Kortner, “substitution is permissible . . . only if the decedent had a colorable claim of injury during his life that is a real matter in dispute . . . such that the decedent had standing to bring the action himself,” whereas McCusker died before Freese commenced her administrative appeal and, therefore, “ha[d] neither a vindicable right nor a colorable claim of injury that the action implicates.” The court further observed that, because Freese‘s appeal was not commenced by an executor or administrator of McCusker‘s estate, it was incapable of being cured by substitution: “Being a nullity and incapable of vesting the court with subject matter jurisdiction over any controversy, a suit initiated by a decedent or his heir, or by another on their behalf, cannot be an action within the meaning of
In its memorandum of decision dismissing Cariglio‘s appeal, the court reasoned that, to have standing to appeal, Cariglio was required to commence the appeal in his capacity as a fiduciary of Arlene‘s estate, and that Cariglio‘s operative complaint failed to allege that he brought his appeal in such a capacity. The court also
The plaintiffs claim that court improperly granted the defendant‘s motions to dismiss for lack of subject matter jurisdiction. First, they argue that the court erroneously concluded that they lacked standing to appeal because, pursuant to the regulations set forth in the UPM, they had standing to appeal in representative capacities. Second, the plaintiffs contend that, on the basis of
We begin by setting forth our standard of review. “A determination regarding a trial court‘s subject matter jurisdiction is a question of law. . . . When the trial court draws conclusions of law, appellate review is plenary, and the reviewing court must decide whether the trial court‘s
I
The plaintiffs first argue that the court erroneously concluded that they lacked standing to appeal from the defendant‘s denials of their Medicaid applications because the UPM conferred them with standing to assert their decedents’ rights in representative capacities. We disagree.
“It is well established that the right to appeal an administrative action is created only by statute and a party must exercise that right in accordance with the statute in order for the court to have jurisdiction.” New England Rehabilitation Hospital of Hartford, Inc. v. Commission on Hospitals & Health Care, 226 Conn. 105, 120, 627 A.2d 1257 (1993). In the present cases, the plaintiffs appealed pursuant to
Therefore, “in order to have standing to bring an administrative appeal, a person or entity must be aggrieved. . . . Aggrievement is a question of fact for the trial court and the plaintiff has the burden of proving that fact. . . . Pleading and proof of facts that constitute aggrievement are essential prerequisites to the trial court‘s subject matter jurisdiction over an administrative appeal. . . . In the absence of aggrievement, an administrative appeal must be dismissed for lack of subject matter jurisdiction.” (Citations omitted.) New England Rehabilitation Hospital of Hartford, Inc. v. Commission on Hospitals & Health Care, supra, 226 Conn. 120–21.
“[T]he fundamental test for determining aggrievement encompasses a well-settled twofold determination: first, the party claiming aggrievement must successfully demonstrate a specific personal and legal interest in the subject matter of the decision, as distinguished from a general interest, such as is the concern of all members of the community as a whole. Second, the party claiming aggrievement must successfully establish that this specific personal and legal interest has been specially and injuriously affected by the decision . . . .” (Internal quotation marks omitted.) New England Cable Television Assn., Inc. v. Dept. of Public Utility Control, 247 Conn. 95, 103, 717 A.2d 1276 (1998).
Before reaching the question of aggrievement under
The plaintiffs do, however, cite one of the enabling statutes—
Having rejected the plaintiffs’ primary argument on appeal, namely, that the UPM could confer them with authority to appeal to the Superior Court, we next conclude that the plaintiffs failed to plead facts establishing aggrievement.10 In their operative complaints, the
Nor did the plaintiffs allege facts establishing their standing to appeal under our right of survival statute,
In the present case, neither plaintiff commenced their appeal as an executor or administrator of their decedent‘s estate; indeed, it is undisputed that they were not appointed into those capacities until December, 2014, after they instituted the appeals. Instead, Freese alleged that she was aggrieved as McCusker‘s “next friend and putative administrator,” and Cariglio alleged that he was aggrieved as Arlene‘s “estate examiner.” Because
We nonetheless find it appropriate to note that, in terms of whether a party authorized to participate in the administrative proceedings also is authorized to bring an administrative appeal, certain regulations in the UPM leave some room for confusion. For instance, § 1505.15 (A) (1) of the UPM permits applicants to be “represented by other qualified individuals who act responsibly for them,” and § 1570.05 (D) (2) (b) provides that, in the case of a deceased applicant, their child may request a fair hearing on their behalf. Finally, § 1570.30 (A) of the UPM provides that “[t]he requester has the right to appeal a [f]air [h]earing decision to the court of jurisdiction.” Taken together, we can see how litigants might be misled into thinking that they are authorized to file administrative appeals from fair hearing decisions simply because they were the person to request the fair hearing. Fair hearing applicants who mistakenly rely on these provisions of the UPM as conferring them with standing may be induced into failing to take the necessary measures to establish aggrievement under
Regardless of their lack of clarity, however, the UPM regulations cannot, as we have stated, enlarge the class of persons eligible to file an administrative appeal beyond those qualifying as aggrieved persons under
II
Having determined that the plaintiffs failed to plead sufficient facts to establish that they had standing to commence their administrative appeals, we must next determine whether the court erred by granting the defendant‘s motions to dismiss instead of giving the plaintiffs an opportunity to cure the jurisdictional defect by substituting themselves, as fiduciaries of their decedents’ respective estates, as plaintiffs in the appeals. We conclude that the court‘s stated justifications for denying substitution are legally incorrect, and that the alternative grounds asserted by the defendant regarding why substitution was unavailable are without merit. Because, however, the court did not determine whether the plaintiffs’ failure to sue in their capacities as fiduciaries of their decedents’ estates was due to a mistake, which is a prerequisite for substitution under
“The decision whether to grant a motion for the addition or substitution of a party to legal proceedings rests in the sound discretion of the trial court. . . . In reviewing the trial court‘s exercise of that discretion, every reasonable presumption should be indulged in favor of its correctness . . . and only if its action discloses a clear abuse of discretion is our interference warranted.” (Internal quotation
Section
Once the trial court determines that the action was commenced in the name of the wrong party due to an error, misunderstanding or misconception, “the substituted party is let in to carry on a pending suit, and is not regarded as commencing a new one. After he is substituted he is . . . treated and regarded for most purposes just as if he had commenced the suit originally. The writ, the complaint, the service of process, attachment made, bonds given, the entry of the case in court, the pleadings if need be, in short all things done in the case by or in favor of the original plaintiff . . . remain for the benefit of the plaintiff who succeeds him, as if done by and for him originally and just as if no change of parties had been made. So far as the defendant is concerned, the same suit upon the same cause of action, under the same complaint and pleadings substantially in most cases, goes forward to its final and legitimate conclusion as if no change had been made.” (Internal quotation marks omitted.) Kortner v. Martise, supra, 312 Conn. 12–13. “[W]hen a plaintiff is added to the case to correct a mistake in ascertaining the real plaintiff in interest, the defendant rarely, if ever, will be prejudiced, as long as he was fully apprised of the claims against him and was prepared to defend against them.” DiLieto v. County Obstetrics & Gynecology Group, P.C., 297 Conn. 105, 158, 998 A.2d 730 (2010).
In the present cases, the trial court did not determine whether the plaintiffs’ failure to name the proper parties in their appeals was due to a mistake. Instead, the trial court‘s principal reason for denying substitution appears to have been that the plaintiffs’ administrative appeals were not legally cognizable actions capable of being cured by
This reasoning is flawed on two levels. First, although the plaintiffs lacked authority to bring these appeals on their decedents’ behalves, they did not, as the trial court suggested, lack the capacity to sue so as to render their administrative appeals nullities. “It is elemental that in order to confer jurisdiction on the court the plaintiff must have an actual legal existence, that is he or it must be a person in law or a legal entity with legal capacity to sue.” (Internal quotation marks omitted.) Coldwell Banker Manning Realty, Inc. v. Cushman & Wakefield of Connecticut, Inc., 136 Conn. App. 683, 687, 47 A.3d 294 (2012). For instance, “[t]he quintessential example of someone who lacks capacity to sue . . . is a deceased person, as capacity only exists in living persons.” In re Estate of Sauers, 613 Pa. 186, 198, 32 A.3d 1241 (2011); see also Noble v. Corkin, 45 Conn. Supp. 330, 333, 717 A.2d 301 (1998) (“[a] dead person is a nonexistent entity and cannot be a party to a suit” [internal quotation marks omitted]). Likewise, “[a]n estate is not a legal entity. It is neither a natural nor artificial person, but is merely a name to indicate the sum total of the assets and liability of the decedent or incompetent. . . . Not having a legal existence, it can neither sue nor be sued.” (Citation omitted; internal quotation marks omitted.) Isaac v. Mount Sinai Hospital, 3 Conn. App. 598, 600, 490 A.2d 1024, cert. denied, 196 Conn. 807, 494 A.2d 904 (1985). In the present cases, however, the plaintiffs did not commence their appeals in the names of their decedents or their decedents’ estates; rather, they sued in their own names. Although the plaintiffs were not authorized, and thus lacked
Second, even if the plaintiffs’ appeals were nullities, the mere fact that an action fails to confer jurisdiction on the court does not preclude that jurisdictional defect from being cured through substitution. “[I]f
Put simply, substitution is available to cure lawsuits that, like the present cases, were commenced by unauthorized parties. Our Supreme Court recognized this in Kortner v. Martise, supra, 312 Conn. 1, in which the plaintiff, in her capacity as conservator of Caroline Kortner‘s person, commenced a tort action against the defendant, asserting that the defendant committed a variety of torts against Kortner. Id., 8. Kortner died after the action was commenced, the plaintiff was appointed administratrix of her estate, and the trial court granted the plaintiff‘s motion to substitute herself as administratrix as the plaintiff in the action. Id., 11. On appeal, the Supreme Court sua sponte ordered the parties to brief the issue of whether the plaintiff lacked standing to sue as conservator of Kortner‘s person. Id., 9 and n.7. The court concluded that, “even assuming, arguendo, that the plaintiff did not have standing to bring the claim when she commenced the action . . . any defect was cured when she, as administratrix of [Kortner‘s] estate, was substituted as the plaintiff . . . and that substitution related back to the commencement of the action.” Id., 14. By permitting substitution to cure the alleged jurisdictional defect, the court implicitly recognized in Kortner that substitution under
We also do not agree with the trial court‘s reasoning in its memorandum of decision dismissing Freese‘s appeal that substitution would prejudice the defendant because it would permit Freese to avoid the forty-five day limitation period for filing administrative appeals. Our case law recognizes that “[w]hen a plaintiff is added to the case to correct a mistake in ascertaining the real plaintiff in interest, the defendant rarely, if ever, will be prejudiced, as long as he was fully apprised of the claims against him and was prepared to defend against them.” DiLieto v. County Obstetrics & Gynecology Group, P.C., supra, 297 Conn. 158. Additionally, “substitution of a real party in interest as the plaintiff cures the lack of standing of the original plaintiff . . . and, further, is permissible even after the statute
The defendant advances additional arguments as to why substitution was unavailable. The defendant argues that administrative appeals are not “actions” eligible to be cured under the provisions of
We turn first to the defendant‘s argument that the plaintiffs’ administrative appeals are not “actions” for purposes of
In Carbone v. Zoning Board of Appeals, supra, 126 Conn. 602, writing for our Supreme Court, Justice Maltbie, with logic and brevity worthy of Tacitus, observed that, as used in our General Statutes, “the word ‘action’ has no precise meaning and the scope of proceedings which will be included within the term as used in the statutes depends upon the nature and purpose of the particular statute in question.” Id., 605. In deciding that an appeal from a zoning board was not an “action” for purposes of the accidental failure of suit statute, General Statutes
We see important distinctions between the present cases and Carbone. The Carbone court wisely ruled that a fifteen day appeal period could not be extended to one
In Bank Building & Equipment Corp. of America v. Architectural Examining Board, supra, 153 Conn. 121, also relied upon by the defendant, the statute involved was General Statutes (Cum. Supp. 1965) § 20-289, which governed appeals from orders of the Architectural Examining Board and provided that such appeals must be taken within thirty days of the date of an order. Id., 123. Rejecting the plaintiffs’ request to overrule Carbone, the court determined that an appeal under § 20-289 was not an “action” for purposes of the accidental failure of suit statute,
For these reasons, we do not find Carbone, Bank Building & Equipment Corp. of America or Chieppo persuasive for purposes of determining whether administrative appeals under
The defendant also claims that substitution was unavailable because there is an insufficient identity of interest between the plaintiffs in their purported capacities as next of friend, putative administrator, and estate examiner, and the plaintiffs in their capacities as fiduciaries of their decedents’ estates. The defendant grounds this argument in the assertion that, “whereas the plaintiffs claim to represent the decedents’ interest, the estate fiduciaries represent the decedents’ creditors’ interest, and, though related, the two sets of interests do not coincide.” We disagree.
Finally, we do not agree with the defendant‘s reading of Kortner as holding that, for substitution to be appropriate, the decedent must have been alive at the time the original action was commenced. The defendant relies on the specific language from Kortner in which our Supreme Court cautioned that its decision that substitution was available was “not meant to suggest that any person who is appointed an administrator of an estate becomes a proper party to any claim. As
Because the trial court did not issue findings as to the prerequisites for substitution under
The judgments are reversed and the cases are remanded for further proceedings consistent with this opinion.
In this opinion the other judges concurred.
