CAROLYNE Y. HYNES v. SHARON M. JONES
(AC 38630)
Connecticut Appellate Court
July 25, 2017
Sheldon, Beach and Flynn, Js.*
Argued March 6—officially released July 25, 2017
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Syllabus
The plaintiff, the administratrix of her decedent husband‘s estate, appealed to this court from the judgment of the Superior Court after it dismissed her appeal from the decree of the Norwalk-Wilton Probate Court entered in connection with a payment made to her for the benefit of the decedent‘s and the plaintiff‘s minor child through a federally sponsored victim compensation fund. The decedent had died intestate in the September 11, 2001 terrorist attack in New York. At the time of the decedent‘s death, he and the plaintiff resided in Norwalk. After the plaintiff received payments from the fund for herself and for the child, she and the child relocated to a town in a different probate district but did not seek to transfer the probate proceedings there from the Norwalk-Wilton Probate Court. The Probate Court thereafter appointed the plaintiff as the guardian of the child‘s estate but did not allow her to use any of the child‘s award from the compensation fund for the child‘s support. The plaintiff did not appeal from that ruling but subsequently moved to dismiss the guardianship proceedings on the ground that the court lacked subject matter jurisdiction pursuant to statute (
- The Superior Court correctly concluded that the Probate Court had jurisdiction to appoint a guardian of the child‘s estate pursuant to
§ 45a-629 (a) as part of its jurisdiction over the administration of the decedent‘s intestate estate; the statutes (§§ 45a-303 [a] [1] ,45a-98 [a] [1] and[3] , and45a-132 [a] [1] ) governing Probate Court jurisdiction and the authority of the Probate Court to determine property rights and to appoint guardians for minors who may have an interest in the probate proceedings provided the Probate Court with jurisdiction to appoint a guardian to protect the child‘s interests, the distribution of money from the compensation fund to the child, who was a beneficiary thereunder, justified the Probate Court‘s decision to appoint a guardian of the child‘s estate, and, because the decedent‘s estate was in the Norwalk-Wilton probate district, it had jurisdiction over that estate and an obligation to see that what was awarded to the child as the beneficiary was rightfully distributed to her under the laws of intestacy. - The plaintiff could not prevail on her claim that, because only a probate court in the district in which the minor resides has jurisdiction to appoint a guardian for that minor‘s estate, and because the child did not reside in the Norwalk-Wilton probate district, the Norwalk-Wilton Probate Court lacked jurisdiction to appoint a guardian under
§ 45a-629 : the award from the compensation fund for the benefit of the child was a form of property to which the child was entitled, the child was a resident of the Norwalk-Wilton probate district when her entitlement to that award occurred, the plaintiff‘s duty to apply for a guardianship became mandatory at the time of that occurrence, and the Probate Court in which the guardian was originally appointed retains jurisdiction to protect a minor child‘s interests unless and until the guardian files a motion to transfer the proceedings to another district and the transferring court finds that it is in the best interest of the child and orders the transfer; moreover, the award from the compensation fund to the plaintiff in her capacity as a representative payee did not permit her to bypass the statutory protections afforded to the child‘s property, and there was no indication that those protections were preempted by federal law.
Procedural History
Appeal from the order of the Probate Court for the district of Norwalk-Wilton denying the plaintiff‘s motion to dismiss the application to appoint a guardian for the estate of her minor child, brought to the Superior Court in the judicial district of Stamford-Norwalk and tried to the court, Hon. David R. Tobin, judge trial referee; judgment dismissing the appeal, from which the plaintiff appealed to this court. Affirmed.
Michael P. Kaelin, with whom, on the brief, was William N. Wright, for the appellant (plaintiff).
Opinion
The following procedural history, factual findings from the Norwalk Probate Court proceeding, findings made by the Superior Court, and undisputed facts inform our review. The plaintiff‘s husband, Thomas
In April, 2005, the plaintiff and Olivia relocated to Weston, a town within the probate district of Westport. The plaintiff did not seek to transfer the probate proceedings from the Norwalk Probate Court. In its decree denying the plaintiff‘s motion to dismiss the guardianship proceedings, the Probate Court found that, in late 2006, the plaintiff filed a final accounting with the Norwalk Probate Court showing the fund award, but that when it came to distributing to Olivia her share of the proceeds, the plaintiff “balked at the statutory requirement of the guardian of the estate of a minor or the suggestion that the fund proceeds go into a trust for the benefit of the minor.” The Probate Court further found that the plaintiff “remain[ed] steadfast in her contention that the money awarded to [Olivia] was to be used at the [plaintiff‘s] discretion, contending that it was given to her individually and/or as representative payee for [Olivia], but in either event, subject neither to the jurisdiction of this court nor the statutes of this state.” The Probate Court further found that, “[a]cting in accordance with [this] belief, [the plaintiff] placed all of the proceeds from the fund in one account, in direct violation of the federal mandate, which calls for representative payees to ‘prudently invest funds, maintain separate accounts, and maintain complete records.’ ”
On July 31, 2008, the Norwalk Probate Court appointed the defendant as Olivia‘s successor guardian ad litem in the estate administration proceedings. The Probate Court found that, in 2009, “at the court‘s insistence, the [plaintiff] placed the funds intended for [Olivia] in a separate account, after which the court was able to observe that approximately $385,000 of [Olivia‘s] funds had been expended in her first seven years. Prudently, the court ordered the [plaintiff] to account.” While the Probate Court was able to make certain findings as to where some of the monies went, it went on to find that “[a] more detailed analysis of how this $385,000 was spent remains doubtful, as the [plaintiff] refused, neglected or otherwise failed to keep or produce any accounting records. Nevertheless, the sums before us establish that not only had the money been co-mingled, but that it was being spent at an alarming rate and for purposes most of which are the [plaintiff‘s] obligations. Further aggravating the issue were the thousands of dollars apparently being lost on exorbitant management fees and market losses. These factors require the court to act before the remaining principal quickly disappears.”
On June 9, 2010, the plaintiff filed an application to be appointed guardian of the estate for Olivia, which the Norwalk Probate Court granted. After granting the application, however, the Probate Court refused to allow the plaintiff to utilize Olivia‘s funds to pay for certain expenses. The Probate Court reasoned that, while the expenses benefited Olivia, her assets should not be used for her support because the plaintiff was already legally obligated to support her. The plaintiff took issue with the Probate Court‘s reasoning that none of Olivia‘s award from the fund could be used for her support, but did not appeal from that decree.
Although General Statutes
Instead, on August 21, 2013, the plaintiff moved to dismiss the guardianship proceedings, asserting that the Norwalk Probate Court lacked subject matter jurisdiction over the guardianship proceedings under
The Probate Court found the issues at hand to be whether (1) the court “lacks subject matter jurisdiction over the guardianship proceeding under . . . General Statutes § 45a-629 because [Olivia] no longer resides in the district,” and (2) whether “a guardianship is not appropriate in any Connecticut Probate Court because the payment from the fund was to the [plaintiff] as the [Olivia‘s] ‘representative payee,’ placing it beyond our state‘s control or supervision.”
In the Probate Court proceeding, the defendant objected to the motion to dismiss, argued that the court has jurisdiction, and that Connecticut statutes such as
The Norwalk Probate Court denied the plaintiff‘s motion to dismiss in a decree dated June 3, 2014. Rather than addressing the plaintiff‘s statutory argument regarding
The plaintiff then took an appeal to the Superior Court. Because no transcription record was made in the Probate Court proceedings, the matter was heard de novo by the court, Hon. David R. Tobin, judge trial referee, on September 24, 2015, pursuant to
The Superior Court dismissed the appeal in a memorandum of decision filed November 6, 2015, albeit on different grounds from that of the Norwalk Probate Court. Construing the plain text of
On appeal, the plaintiff claims that the Superior Court‘s conclusion that the Norwalk Probate Court had jurisdiction to appoint a guardian of the estate for Olivia was based upon an improper construction of
The defendant filed no brief in this court and did not appear, either by herself or through counsel, for oral argument. On March 8, 2017, this court issued the following order: “The plaintiff‘s appeal to the Appellate Court was heard on March 6, 2017. The defendant Sharon Jones and her counsel Attorney Grant P. Haskell have appeared in this appeal pursuant to Practice Book § 62-8. The defendant did not file a brief or participate in oral argument. The defendant is hereby ordered, sua sponte, to file in writing with the clerk of the Appellate Court, a concise statement of her position regarding the pending appeal by no later than March 23, 2017. The statement should indicate whether she opposes the plaintiff‘s position, concurs with it, or takes no position on behalf of her ward and herself.” On March 26, 2017, the defendant‘s counsel filed the following response with the clerk of the Appellate Court: “In response to the order of the [c]ourt of March 8, 2017, in the above-referenced appeal, I write as counsel to defendant Jones to inform the [c]ourt that defendant and her ward take no position in this appeal.”
At the outset, we note that this appeal raises two claims of error. The first challenges the jurisdiction of the Norwalk Probate Court and the Superior Court hearing the case de novo. The second challenges the court‘s award of the defendant guardian ad litem‘s fees and the fees she incurred for legal counsel. The plaintiff‘s brief does not address its appeal of the fees awarded and we therefore deem that challenge to the fees awarded abandoned. See Lareau v. Burrows, 90 Conn. App. 779, 780, 881 A.2d 411 (2005).
As explained subsequently in this opinion, we disagree that the Norwalk Probate Court lacked subject matter jurisdiction to appoint a guardian of Olivia‘s estate to protect her interests. First, we agree with the Norwalk Probate Court that an award under the fund is a substitute for a wrongful death claim and, thus, was part of Thomas’ estate. Because Thomas died while domiciled in Norwalk, the Norwalk Probate Court had jurisdiction to appoint a guardian ad litem to protect Olivia‘s interests in Thomas’ estate, including the award from the fund. Moreover, we agree with the Superior Court and reject the statutory argument advanced by the plaintiff. We conclude that
I
We begin by addressing the Probate Court‘s reasoning that because Thomas died while domiciled in Norwalk, the Norwalk Probate Court had jurisdiction to appoint a guardian of Olivia‘s estate as
We first set forth our standard of review. “An appeal from a Probate Court to the Superior Court is not an ordinary civil action. . . . When entertaining an appeal from an order or decree of a Probate Court, the Superior Court takes the place of and sits as the court of probate. . . . In ruling on a probate appeal, the Superior Court exercises the powers, not of a constitutional court of general or common law jurisdiction, but of a Probate Court.” (Internal quotation marks omitted.) Silverstein v. Laschever, 113 Conn. App. 404, 409, 970 A.2d 123 (2009). Where, as in the present case, no record was made of the probate proceedings, the Superior Court was required to undertake a de novo review of the Probate Court‘s decision. See Andrews v. Gorby, 237 Conn. 12, 15–16, 675 A.2d 449 (1996); General Statutes
Although our case law is replete with citations as to the review standard of the Superior Court sitting de novo on an appeal from probate, we find no exposition of the standard to be employed by the appellate tribunal hearing an appeal from probate as opposed to any other case decided by the Superior Court. Accordingly we treat our scope of review as we would with any other Superior Court proceeding. Where the court has made factual findings, we defer to it unless those findings are clearly erroneous. However, in matters of law such as the jurisdictional challenge made here, our review is plenary. See In re Michaela Lee R., 253 Conn. 570, 583, 756 A.2d 214 (2000).
Because our review is plenary, we look to whether the General Assembly conferred authority on the Probate Court to appoint the plaintiff as guardian of the estate of Olivia and to appoint the defendant as guardian ad litem. Although the plaintiff has not briefed the question of the court‘s authority arising out of its clear statutory charge to preside over Thomas Hynes’ estate settlement and duty to protect minor children entitled under the laws of intestacy to share in the proceeds of his estate, these statutes underpinned the Norwalk Probate Court‘s denial of the plaintiff‘s motion to dismiss. They are independent grounds supporting the Superior Court‘s conclusion that jurisdiction did exist.
We first observe that probate courts “are strictly statutory tribunals. . . . As such, they have only such powers as are either expressly or impliedly conferred upon them by statute. . . . Ordinarily, therefore, whether a Probate Court has jurisdiction to enter a given order depends upon the interpretation of a statute.” (Citations omitted.) Potter v. Alcorn, 140 Conn. 96, 100, 99 A.2d 97 (1953).
Probate courts in this state are provided with broad authority over the administration of intestate estates, including the authority to appoint guardians of the estate to protect minors’ interests. Section
These statutes provided the Norwalk Probate Court with jurisdiction to appoint a guardian of the estate to protect Olivia‘s interests. Under the laws of intestacy where there is both a surviving spouse and a surviving child of that marriage,
II
Although our analysis in part I of this opinion resolves the issue of whether the Norwalk Probate Court had jurisdiction, we next address the plaintiff‘s claim that, under
In its memorandum of decision, the Superior Court held that “[w]hen Olivia became entitled to her award from the [fund], she resided in Norwalk, and the court accordingly finds that the Probate Court in Norwalk had jurisdiction over [the plaintiff‘s] application to be appointed Olivia‘s guardian, and in the absence of an application to transfer the guardianship to the probate district in which Olivia now resides, retains jurisdiction over the guardianship.” Our assessment of the propriety of this ruling implicates a question of statutory construction over which our review is plenary. See In re Bachand, 306 Conn. 37, 41–42, 49 A.3d 166 (2012).
The question hinges in part on whether the award to Olivia constituted property and if so, when Olivia became “entitled to property.” Section
The court decided that the award to Olivia is property. Citing Lopiano v. Lopiano, 247 Conn. 356, 364–65, 752 A.2d 1000 (1998), the Superior Court adopted the broad definition of property found in Black‘s Law Dictionary (6th Ed. 1990). In Lopiano, our Supreme Court held that a personal injury award in favor of one spouse was “property” subject to equitable distribution in a divorce case pursuant to General Statutes
We next analyze whether the award for Olivia‘s loss was a form of property to which she was “entitled,” thereby requiring appointment of a guardian of her estate pursuant to
When Thomas Hynes died intestate as a result of airliners being crashed into the twin towers of the World
We therefore reject the plaintiff‘s contention that the requirement of
The Superior Court properly determined that the plaintiff‘s duty to apply for a guardianship became mandatory “when . . . the minor child first becomes [en]titled to property.” (Internal quotation marks omitted.) The court held that the plaintiff‘s “obligation to make application to the Probate Court began when Olivia became entitled to her award in June, 2004, while still residing in Norwalk, and continued until she filed her application on June 9, 2010, six years later.”
The only purpose for the appointment of a guardian pursuant to
The plaintiff further argues that, even if the Norwalk Probate Court originally had jurisdiction, it could be divested of that jurisdiction once Olivia moved into a town located in the probate district of Westport. We are not persuaded. The plaintiff cites no authority for that proposition. To the contrary,
We next address the plaintiff‘s second contention that, because Special Master Feinberg paid the $1,271,940.12 allocable to Olivia‘s claim to her as representative payee, no guardianship or Probate Court supervision of the minor‘s estate was necessary. We reject the plaintiff‘s contention that she could somehow bypass the statutory protections afforded to a minor‘s property in the state of Connecticut by electing to recover payment of Olivia‘s award as a representative payee. As the court stated in its memorandum of decision, there is no indication that federal law in any way preempted Connecticut laws for the protection of minors.
Olivia was no less entitled to funds paid for her benefit simply because her mother elected to have them paid to her as representative
The judgment is affirmed.
In this opinion the other judges concurred.
FLYNN, J.
