249 Conn. 155 | Conn. | 1999
The defendants Harrison Scott Higgins and Linda Plank Higgins (defendants)
We conclude that the Appellate Court properly held that the act does not apply to a subcontractor. We also conclude, however, that the Appellate Court improperly rejected the trial court’s findings that the plaintiff was
The Appellate Court set forth the following relevant factual history. “An attorney trial referee found the following facts. The defendants are the owners of a parcel of residential property located in the town of Greenwich. Sometime prior to November, 1992, the defendants entered into a written contract with BCS Construction, Inc. (BCS), pursuant to which BCS agreed to serve as a consultant to the defendants on a project to renovate the defendants’ single-family home. In accordance with that contract, Bruce Simon, a principal of BCS and a registered home improvement contractor, was designated the construction manager for the project. Simon subsequently arranged to have the plaintiff provide painting and wallpapering services to the defendants. There was no document or writing setting forth the terms of the agreement pursuant to which the plaintiff provided services and materials to the defendants. On January 15,1993, the plaintiff had completed approximately 90 to 95 percent of the painting and wallpapering work when he was directed by the defendants to stop all work and leave the premises. The reasonable value of the services and materials provided by the plaintiff to the defendants is $29,255. The defendants have paid the plaintiff $12,840.
“On April 6, 1993, the plaintiff filed a certificate of mechanic’s lien with the Greenwich town clerk, claiming a lien on the defendants’ property in the amount of $16,415. On January 3, 1994, the plaintiff filed a one count complaint seeking, inter alia, foreclosure of the mechanic’s lien, damages and attorney’s fees pursuant to § 52-249. On October 25, 1994, the defendants filed an answer, five special defenses and a two count counterclaim. The special defenses to the foreclosure action
“The case was tried to an attorney trial referee, who concluded that the mechanic’s lien was timely filed and that the provisions of the [act] do not apply to the transaction between the plaintiff and the defendants. He also concluded that the defendants failed to meet their burden of proof on the allegations of unsatisfactory work performance and that the CUTPA violations alleged in the defendants’ counterclaim were based on the [act], which does not apply to this case. The attorney trial referee recommended that the court render judgment in favor of the plaintiff as to the complaint, with reasonable attorney’s fees pursuant to § 52-249, and as to both counts of the defendants’ counterclaim.
“On February 26, 1997, the trial court, Lewis, J., rendered judgment in accordance with the attorney trial referee’s report. The trial court found that the provisions of the [act] do not apply to the transaction
“On March 17, 1997, the defendants appealed from the judgment of the trial court. On June 25, 1997, [the Appellate Court] dismissed the defendants’ appeal for lack of a final judgment. On August 11, 1997, the trial court, Mintz, J., held a hearing on the plaintiffs motion for judgment of strict foreclosure. The trial court rendered judgment of strict foreclosure in favor of the plaintiff and set a law day of September 9, 1997. The trial court also determined the amount of the debt, $16,415, the appraisal fee, $450, and the title search fee, $150, and awarded the plaintiff attorney’s fees of $8295. On August 19, 1997, the defendants filed this appeal.” Meadows v. Higgins, supra, 49 Conn. App. 288-90.
On appeal to the Appellate Court, the defendants claimed that the trial court improperly had determined that the act did not apply to the transaction between the plaintiff and the defendants. The Appellate Court agreed with the trial court that the act does not apply to subcontractors. The Appellate Court determined, however, that because Simon had not served as a general contractor, the plaintiff had not served as a subcontractor, and that, consequently, the act applied. Id., 296. Thereafter, the Appellate Court concluded that, because
The plaintiff thereafter filed a petition for certification, which we granted limited to the following question: “Did the Appellate Court properly conclude that the [act], General Statutes § 20-418 et seq., applied to the transaction between the plaintiff and the defendants?” Meadows v. Higgins, 247 Conn. 910, 719 A.2d 904 (1998).
We begin by setting forth the applicable standards of review regarding questions of fact as well as issues of law, both of which are involved in the present case. It is axiomatic that “[a] reviewing authority may not substitute its findings for those of the trier of the facts. This principle applies no matter whether the reviewing authority is the Supreme Court . . . the Appellate Court ... or the Superior Court reviewing the findings of . . . attorney trial referees. See Practice Book § 443 [now § 19-17] .... This court has articulated that attorney trial referees and factfinders share the same function . . . whose determination of the facts is reviewable in accordance with well established procedures prior to the rendition of judgment by the court.” (Citation omitted; internal quotation marks omitted.) Elgar v. Elgar, 238 Conn. 839, 848-49, 679 A.2d 937 (1996).
“The factual findings of a [trial referee] on any issue are reversible only if they are clearly erroneous. . . . [A reviewing court] cannot retry the facts or pass upon the credibility of the witnesses. ... A finding of fact is clearly erroneous when there is no evidence in the record to support it ... or when although there is evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a mistake has been committed.” (Citations omitted; internal quotation marks omitted.) Id., 849.
Whether the act applies to the transaction at issue is a matter of statutory construction. “Statutory construction is a question of law and therefore our review is plenary.” Davis v. Norwich, 232 Conn. 311, 317, 654 A.2d 1221 (1995). “[0]ur fundamental objective is to ascertain and give effect to the apparent intent of the
II
In the present case, the trial court accepted the facts as found by the fact finder and rendered judgment in accordance with those facts. See General Statutes § 52-549s (a) (1); Practice Book § 23-58 (a) (1). Specifically, “[t]he trial court accepted the attorney trial referee’s finding that, at the time the plaintiff provided services and materials to the defendants, he was not a registered home improvement contractor and did not have a written contract with the defendants that complied with the [act]. Nevertheless, the trial court concluded, on the basis of the facts found by the referee, that the act did not apply to the transaction between the plaintiff and the defendants, as a matter of law, because the plaintiff was acting as a subcontractor to Simon, who was a general contractor and, therefore, there was no ‘home improvement contract’ between the plaintiff and the defendants as that term is defined by the act.” Meadows v. Higgins, supra, 49 Conn. App. 292-93.
As noted previously, whether the act applies to the circumstances of this case is a matter of statutory construction. Therefore, our analysis begins with the relevant language of the act. General Statutes § 20-420 (a) provides in part that “[n]o person shall hold himself out to be a contractor or salesman without first obtaining a certificate of registration from the commissioner [of consumer protection] as provided in [chapter 400], except that an individual or partner, or officer or director of a corporation registered as a contractor shall not be required to obtain a salesman’s certificate. ...” General Statutes § 20-419 (3) defines “contractor” as “any person who owns and operates a home improvement business or who undertakes, offers to undertake or agrees to perform any home improvement. . . .” General Statutes § 20-429 (a) provides in part that “[n]o home improvement contract shall be valid or enforceable against an owner unless it . . . (8) is entered into by a registered salesman or registered contractor. . . .”
We next look to the legislative history of the act to discern the legislature’s intent regarding the act’s scope and purpose, and the policy underlying the act’s passage. “The [act] is a remedial statute that was enacted for the purpose of providing the public with a form of consumer protection against unscrupulous home improvement contractors. . . . The aim of the statute is to promote understanding on the part of consumers with respect to the terms of home improvement contracts and their right to cancel such contracts so as to allow them to make informed decisions when purchasing home improvement services. ... 22 S. Proc., Pt. 17, 1979 Sess., p. 5797, remarks of Senator Audrey P. Beck.” (Citations omitted.) Wright Bros. Builders, Inc. v. Dowling, 247 Conn. 218, 231, 720 A.2d 235 (1998).
“Nowhere in the legislative consideration is there revealed an intent to include subcontractors within the registration requirement. Its aim was targeted only at contractors who deal directly with property owners. That is evident in these words of its proposer, Representative [William] Candelori: ‘[T]he act requires that every
“The contract between the contractor and the subcontractor is not within the purview of the act, and need not be under its purpose and premise, for by its terms the contractor is responsible to the consumer and the commissioner of consumer protection for whatever the subcontractor may do. The level of the act’s protection does not reach the contractor in his relationship with a subcontractor. In such a business relationship, the contractor is not a consumer. It is clear from the legislative record that the registered contractor was intended to be the person liable for the actions of persons he hires, employs or engages as a subcontractor to work on a homeowner’s improvement project.” (Emphasis in original.) O’Donnell v. Rindfleisch, supra, 13 Conn. App. 203-204.
We agree with the Appellate Court that, as a matter of law, the act was not intended to apply to the transaction between a subcontractor and the homeowner, because in such circumstances there is no “home improvement contract” as that term is defined by the act. See General Statutes § 20-419 (5). Indeed, in all of the cases to which this court and the Appellate Court have applied the act, the relationship that generated the dispute was that of contractor and owner, and in each, the contractor was attempting to enforce an agreement with the owner to perform home improvements. See, e.g., Rizzo Pool Co. v. Del Grosso, 232 Conn. 666, 680, 657 A.2d 1087 (1995) (enforcement precluded because contract did not provide commencement and completion dates); Wadia Enterprises, Inc. v. Hirschfeld, 224 Conn. 240, 242, 250-53, 618 A.2d 506 (1992) (refusal to enforce defective
Finally, “[t]ime and again, we have characterized the failure of the legislature to take corrective action as manifesting the legislature’s acquiescence in [judicial]
Ill
Although the Appellate Court agreed with the trial court’s interpretation of the statute, it disagreed with the trial court that the attorney trial referee properly had characterized the relationship between the parties. Our review of the record convinces us that the attorney trial referee’s findings were not clearly erroneous.
The following facts regarding the status of the plaintiff, the defendants and Simon, were found by the attorney trial referee.
Although the attorney trial referee did not expressly find as a fact that Simon had served as a general contractor for the renovation work performed on the defendants’ home, he nevertheless concluded that, because Simon had “performed most of the functions of a general contractor vis-a-vis the plaintiff,” Simon had acted essentially as a general contractor and, therefore, the arrangement between the plaintiff and the defendants did not support the existence of an agreement between a contractor and an owner for the purposes of § 20-419 (5). Accordingly, the attorney trial referee recommended that judgment enter for the plaintiff on his action in foreclosure. The attorney trial referee also
In its memorandum of decision, the trial court recited the aforementioned facts found and the conclusions drawn therefrom by the attorney trial referee.
In its review of the trial court’s decision, the Appellate Court essentially disagreed with the factual basis of the trial court’s decision, concluding that it was not supported by the attorney trial referee’s findings. Meadows v. Higgins, supra, 49 Conn. App. 294-95. The Appellate Court focused on the fact that Simon never had entered into a contract with the defendants to perform renovations to their home, but instead served as a construction manager for a firm that had agreed to provide consulting services to the defendants. From this fact, the Appellate Court concluded that Simon was not obligated to perform any renovation work for the defendants that could have been the subject of a subcontract with the plaintiff. Id., 296. In addition, Simon was not paid by the defendants for work performed by the plaintiff. Finally, all of the parties understood that the defendants would pay the plaintiff for his materials and labor, and the defendants had in fact made payments directly to the plaintiff in the amount of $12,840.
In evaluating the attorney trial referee’s report, the trial court recognized each one of those factors and concluded, nevertheless, that this choice of arrangement did not “alter the relationship of subcontractor, general contractor and homeowners, as determined by the referee.” We agree. “Where the evidence is in conflict, its probative force is for the trier of fact to determine.” Bowman v. 1477 Central Avenue Apartments, Inc., 203 Conn. 246, 257, 524 A.2d 610 (1987). Although
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to affirm the trial court’s judgment of strict foreclosure and to remand the case to the trial court for further proceedings.
In this opinion the other justices concurred.
Darien Design and Construction, Inc., Site Design Associates, and MacMillan and Associates were also named as defendants in the trial court. Those parties, however, are not involved in this appeal.
See General Statutes § 20-418 et seq. We note that although there have been some technical changes made to the provisions of the act cited herein since the time of the events that formed the basis of the underlying action, references in this opinion are to the current revision.
The first count of the defendants’ counterclaim was not involved in the defendants’ appeal to the Appellate Court.
See General Statutes § 42-110a et seq.
The plaintiff conceded that if the act were to apply to this case, he would not be entitled to recovery of the money or foreclosure of the mechanic’s lien.
In their objection to the plaintiffs petition for certification, the defendants argued that the application of the act was not limited to instances in which the contractor and the homeowner had a contract. Notwithstanding their earlier assertion, the defendants agreed at oral argument before this court that in order for the act to apply there must be an agreement between the homeowner and the contractor. Indeed, they conceded that they had no contract with the plaintiff for this particular job. The defendants argued, nevertheless, that there also must be some form of agreement between the homeowner and the contractor to recover for work performed in order to bring an action to foreclose a mechanic’s lien pursuant to General Statutes § 49-33 et seq. The plaintiff argues in response that the statutory scheme pertaining to mechanic’s liens, as a codification of the law of unjust enrichment, requires consent, but it does not require a contract. The defendants acknowledge that they consented to the work, although they complain that they were unaware of many of the terms that would otherwise be applicable were the act to apply, such as when the job would be completed and how much it would ultimately cost. Because such protestations concerning the scope of § 49-33 were not raised earlier, they will not furnish a basis upon which to decide the issue on appeal. See Practice Book § 60-5 (“court shall not be bound to consider a claim unless it was distinctly raised at the trial or arose subsequent to the trial”); Yale University v. Blumenthal, 225 Conn.
The plaintiff had argued to the attorney trial referee that he filed the mechanic’s lien as though he had been either Simon’s agent or a subcontractor. He currently distances himself from the label of subcontractor because he claims that the determination of whether a worker is technically a subcontractor cannot easily be made based on outward appearances, particularly when that worker is not privy to the arrangement that the contractor, to whom he reports, has with the homeowner. Rather than limit himself to the label of subcontractor, the plaintiff adopts the same rationale as to why the act does not apply, arguing essentially that the act applies only when there has been an agreement, either written or oral, between the homeowner
In O’Donnell, the Appellate Court considered whether the plaintiff, a registered contractor, had violated either the act or CUTPA by subcontracting the defendant homeowners’ roofing work to a roofer who was not registered as a home improvement contractor under the act.
Some of the facts upon which the trial court relied were set forth in the portion of the attorney trial referee’s report marked “Legal Discussion,” while others were expressly listed numerically as facts. It appears that the Appellate Court focused on the latter category of facts. We do not see a distinction of any legal significance.
Additionally, the trial court traced the procedural history of the case, focusing on the defendants’ posttrial motions. Pursuant to Practice Book § 19-12, formerly § 438, the defendants filed a motion to correct the attorney trial referee’s report. Specifically, “[t]he defendants sought the addition of the following corrections to the report: (1) the contract between Simon and the defendants described the former as a ‘consultant’ only, not a general contractor, and that Simon did not have the authority to sign contracts for the defendants or approve change orders; (2) the plaintiff was not ‘hired’ by Simon, but rather he was ‘invited’ by Simon to perform work on the defendants’ premises; and (3) the plaintiff did not submit change orders to Simon.” The attorney trial referee’s only significant response was to correct his earlier statement that Simon had “hired” the plaintiff, substituting instead that the plaintiff had been contacted by Simon, that the plaintiff had made the work proposal, that Simon had brought the plaintiff to the job site, told him when to work and had advised him that he would be paid directly by the defendants, who, along with Simon, would approve change orders. It is the corrected report of the attorney trial referee to which this opinion refers.
Pursuant to Practice Book § 19-13, formerly § 439, the defendants then filed an exception to the corrected report challenging once again the characterization of the roles. They did not, however, file a transcript with the court, and therefore, the trial court properly concluded that it was “impossible for the court to ascertain whether there is support in the record for the referee’s findings of fact.” Therefore, the factual findings properly stood uncorrected, and the court’s role was limited to “determining whether the subordinate facts found by the attorney referee were sufficient to support the referee’s ultimate factual conclusions ." Blessings Corp. v. Carolton Chronic & Convalescent Hospital, Inc., 7 Conn. App. 364, 367, 508 A.2d 829 (1986).
Finally, in the absence of an objection under Practice Book § 19-14, formerly § 440, the trial court remarked that the referee’s conclusions also stood unchallenged. See Elgar v. Elgar, supra, 238 Conn. 848-49. Consequently, the trial court concluded that “the facts found by the referee must stand unchallenged, including the finding that Simon performed the functions of a general contractor.”