Mickey v. MickeyMickey v. Mickey
Lead Opinion
Opinion
The principal issue in this appeal is whether disability benefits awarded under
The record reveals the following relevant facts and procedural history. The marriage of the parties was dissolved on September 21,2001. At the time of dissolution, the defendant had been employed by the state of Connecticut as a correction officer for approximately fourteen years. Pursuant to his employment with the state, the defendant was enrolled in tier II of the state employees retirement system. See
In its memorandum of decision issued in conjunction with the dissolution of the parties’ marriage, the trial court, Dyer, -/., ordered that “[t]he plaintiff shall be entitled to, and the defendant’s . . . pension plan shall pay to her, 40 percent of the defendant’s monthly retirement benefit payment. It is the court’s intention that the plaintiff receive 40 percent of the defendant’s monthly retirement benefit payment under the contributory hazardous duty retirement plan should he qualify for [the] same, or 40 percent of the defendant’s monthly retirement benefit payment under the noncontributory tier II plan should he fail to qualify for a hazardous duty pension.” Despite specifically distributing the defendant’s potential hazardous duty retirement benefits, however, the trial court did not mention any potential disability benefits that the defendant may have subsequently become entitled to under the plan.
Following the dissolution of the parties’ marriage, the defendant suffered an injury in the course of his employment on February 28, 2002, which rendered him disabled and eventually forced him to retire. The defendant began receiving retirement benefits under the state employees retirement system in June, 2005, which was made retroactive to July 1, 2003, in the amount of $990 per month.
The defendant subsequently filed a motion for clarification on January 13, 2006, requesting that the trial court clarify that (1) it did not intend to distribute the defendant’s disability benefits as part of its original financial orders, and (2) regardless of its intent, the trial court did not have the statutory authority to distribute those benefits because they were acquired after dissolution. After the trial court, Solomon, J., denied the plaintiffs motion to dismiss the defendant’s motion for clarification, the trial court, Dyer, J.,
I
As an initial matter, the plaintiff claims that the defendant’s appeal is procedurally improper and, therefore,
A
The plaintiff first claims that, because the defendant’s motion for clarification is more properly characterized as a motion to open and modify the terms of the judgment of dissolution, it is an untimely collateral attack on that judgment. We disagree.
It is well established that “[t]he court’s judgment in an action for dissolution of a marriage is final and binding [on] the parties, where no appeal is taken therefrom, unless and to the extent that statutes, the common law or rules of [practice] permit the setting aside or
Even beyond the four month time frame set forth in
In the present case, the defendant filed a motion for clarification, asserting that postdissolution events revealed a latent ambiguity in the dissolution judgment as to whether the trial court intended to distribute the defendant’s disability benefits in connection with its distribution of the parties’ marital property. In effect, the defendant asked the court to clarify that it did not and could not have intended to distribute his disability benefits because they are not marital property distributable under
We conclude that the defendant’s use of a motion for clarification was proper in this case. The defendant did not ask the trial court to revisit its original judgment and effectuate its original intent by, for example, reducing the plaintiffs share of his retirement benefits from 40 percent to 20 percent. Such use of a motion for clarification would properly be characterized as a motion to modify because it would represent an attempt to alter the substantive terms of the original judgment. See, e.g.,In re Haley B., supra,
B
We next address the plaintiffs claim that the defendant, in failing to appeal from the judgment of dissolution, has waived any claim that the trial court lacked statutory authority to distribute his disability benefits. Specifically, the plaintiff contends that, because the defendant had ample opportunity to challenge the trial court’s authority to distribute his disability benefits, but did not do so at trial or through a timely appeal or motion to open and modify the original judgment, he cannot now bring his claim several years after the fact. We conclude that the plaintiffs claim is without merit.
The only precedent that the plaintiff cites in support of her claim is Gagne v. Vaccaro,
In the present case, however, all of the parties involved at trial were entirely unaware that the trial court’s original judgment could possibly contemplate the distribution of the defendant’s disability benefits, particularly in view of the fact that Pondi-Salik had not yet been decided when the trial court rendered the dissolution judgment. Indeed, in denying the plaintiffs motion to dismiss the defendant’s motion for clarification, the trial court, Solomon, J., stated: “I’ve never had the request made of me in six years on the bench as a family judge. I’ve never had anybody address, as part of the pension distribution, what happens in a disability situation, either before or after a trial or as part of an agreement,” and that, “as part of the dissolution process itself, either by way of agreement or by way of a trial ... I don’t recall an instance where . . . the issue of
C
Finally, we address the plaintiffs claim that the defendant has not provided this court with an adequate record for review of his appellate claims. The plaintiff contends that the defendant has not provided this court with the necessary materials to review his claims because the defendant did not seek an articulation of the judgment of dissolution and has not provided any transcripts from the original trial. We disagree and conclude that the record is adequate for review.
“It is well established that [i]t is the appellant’s burden to provide an adequate record for review. ... It is, therefore, the responsibility of the appellant to move for an articulation or rectification of the record [when] the trial court has failed to state the basis of a decision ... to clarify the legal basis of a ruling ... or to ask the trial judge to rule on an overlooked matter.”
The plaintiff does not claim that the defendant has failed to provide an adequate record of the trial court’s disposition of the defendant’s motion for clarification, or that the trial court’s stated basis for its decision was so inadequate as to deprive this court of any meaningful opportunity for review. Indeed, the defendant has provided a full record of that particular decision, including transcripts, memoranda and'the trial court’s detailed memorandum of decision, which contains its legal reasoning. Rather, the plaintiff bases her claim on the fact that the defendant has not provided this court with transcripts from the proceedings leading up to, or an articulation of, the judgment of dissolution. That the defendant has not provided this court with those materials does not impede our review of this appeal, however, because the defendant does not challenge the rationale supporting the court’s decision made in connection with the dissolution judgment. The sole focus of the defendant’s appeal is that the trial court improperly denied his motion for clarification on the basis of its legal conclusion that disability benefits acquired after the dissolution constitute marital property distributable under
n
A
We turn now to the merits of the defendant’s appeal. The defendant first claims that the trial court improp
In Pondi-Salik, we addressed the issue of whether, in the context of an automobile insurance coverage dispute, disability benefits paid pursuant to
Although the disability retirement benefit statute at issue in Pondi-Salik is the same as that in the present case, we conclude that the significant factual and procedural differences between the two cases render Pondi-Salik inapposite. In particular, although we previously have concluded that general retirement benefits are distributable under
B
Accordingly, we now address the defendant’s principal claim on appeal, namely, that his disability benefits do not constitute distributable marital property and, therefore, that the trial court lacked authority to distribute those benefits under
We begin our analysis by determining the appropriate standard of review. We are called on in this case to interpret
“The principles that govern statutory construction are well established. When construing a statute, [o]ur fundamental objective is to ascertain and give effect to the apparent intent of the legislature. ... In other words, we seek to determine, in a reasoned manner, the meaning of the statutory language as applied to the facts of [the] case, including the question of whether the language actually does apply. ... In seeking to determine that meaning, General Statutes § l-2z directs
With respect to
Under
In order to address fully the defendant’s claim that his disability benefits are not subject to equitable distribution, it also is important to understand the nature of the disability and retirement plan under which those benefits were granted.
The disability retirement plan is distinct from, and complementary to, the normal retirement plan. If an employee under this plan is disabled prior to applying for retirement, the formula remains the same, except that
With this background of the relevant statutes in mind, we now turn to a more specific examination of the meaning of the term “property” in
For instance, in Krafick, we addressed the issue of whether a vested
Analyzing the plaintiffs claim, we first described the nature of the interest in dispute: “Pension benefits represent a form of deferred compensation for services rendered. . . . [T]he employee receives a lesser present compensation plus the contractual right to the future benefits payable under the pension plan.” (Citations omitted; internal quotation marks omitted.) Id., 794-95. We then proceeded to place pension benefits in the broader context of the goals of postdissolution equitable property distribution: “[T]he primary aim of property distribution is to recognize that marriage is, among other things, a shared enterprise or joint undertaking in the nature of a partnership to which both spouses contribute — directly and indirectly, financially and nonfinancially — the fruits of which are distributable at divorce.” (Emphasis in original; internal quotation
We next had to determine whether treating the defendant’s vested, but unmatured, pension as property under
Our decision in Krafick was followed by several cases expounding on the foundation laid in that opinion. For example, in Bomemann v. Bomemann,
There also is a line of cases, at the other end of the spectrum, recognizing that the definition of property interests subject to distribution under
If the acquisition of such an “unconventional” interest is contingent on a future event or circumstance, we now examine the contingency to determine if it is overly speculative. See id., 748-50. Thus, Bender created a two step framework that preserved the traditional definition of property while carving out a middle ground, encompassing some inchoate property interests that would have been excluded from the definition of distributable property under the older regime. These interests may now be considered on the basis of the likelihood that a contingency eventually would come to pass. Of course, in order to apply this analytical framework properly, it is critical to categorize the type of contingency being addressed. A contingency on which the mere enjoyment of a property interest depends differs from a contingency on which acquisition of the property interest itself hinges. The former — e.g., a vested but
In Bender, we determined that the defendant’s unvested pension benefits, although dependent on cer
We conclude that Bender stands for the proposition that, even in the absence of a presently enforceable right to property based on contractual principles or a statutory entitlement, a party’s expectant interest in property still may fall under
We turn finally to an application of the Bender analysis to the facts of the present case. First, it is clear that, whatever interest the defendant had in potential disability payments under
Our analysis cannot end here, however, as Bender instructs that a presently existing, enforceable right to property, although sufficient for purposes of
In the present case, the defendant’s receipt of disability benefits under
Furthermore, such an interest, even if it was sufficiently concrete to constitute distributable property, could not be classified as distributable under the facts of this case. A benefit derived from an injury occurring years after dissolution, meant solely to compensate for the loss of future wages, simply does not represent the “fruits” of the marital partnership that
The difficulty with the present case is that the defendant’s “retirement disability” is, in effect, a hybrid of
The defendant’s disability benefit is akin to income subject to adjustment under
In the present case, the record indicates that the defendant was entitled to receive $990 per month in regular retirement benefits at the time of his injury.
The judgment is reversed and the case is remanded with direction to render judgment granting the defendant’s motion for clarification and to issue modified financial orders according to law.
In this opinion ROGERS, C. J., and SCHALLER, J., concurred.
Notes
“(c) In fixing the nature and value of the property, if any, to be assigned, the court, after hearing the witnesses, if any, of each party . . . shall consider the length of the marriage, the causes for the . . . dissolution of the marriage . . . the age, health, station, occupation, amount and sources of income, vocational skills, employability, estate, liabilities and needs of each of the parties and the opportunity of each for future acquisition of capital assets and income. The court shall also consider the contribution of each of the parties in the acquisition, preservation or appreciation in value of their respective estates.”
The defendant appealed from the judgment of the trial court to the Appellate Court, and we transferred the appeal to this court pursuant to
The record indicates that, in addition to his initial monthly payments, the defendant also received an initial lump sum payment from the state in June, 2005, to compensate him for the retirement benefits to which he was entitled from the date of his retirement, July 1, 2003, until the time that his retirement went into pay status in May, 2005.
Nancy Wilson, a supervisor in the office of the state comptroller, testified that, upon certification oi'his disability, the defendant was statutorily entitled to receive an enhanced retirement benefit under the state employees retirement system, which was calculated on the basis of a statutorily prescribed formula and included a minimum guaranteed benefit of 60 percent of the defendant’s salary at the time of disability.
The defendant again was awarded a onetime lump sum payment to compensate him retroactively for the enhanced benefits to which he was entitled to from his retirement in July, 2003, until the state’s approval of his disability in November, 2005,40 percent of which was sent to the plaintiff in recognition of the financial orders stemming from the parties’ dissolution.
Hereinafter, all references to the trial court are to Dyer, J., unless otherwise indicated.
We note that the plaintiff has not strictly complied with
“Whenever the failure to identify an issue in a preliminary statement of issues prejudices an opposing party, the court may refuse to consider such issue.”
The record does not indicate that the plaintiff filed such a statement with this court with respect to these procedural issues, which are framed as alternate grounds for affirmance. We nonetheless proceed to review these claims because we conclude that the defendant has not been prejudiced by this procedural defect. See, e.g., DiSesa v. Hickey,
The plaintiff asserts that the fact that the trial court specifically distributed the defendant’s potential hazardous duty retirement benefits indicates that the parties were aware that the defendant was engaged in a hazardous occupation and, therefore, that they should have known that the defendant could potentially become disabled in the future. In our view, however, the mere knowledge that the defendant was engaged in employment that entailed a remote chance of disability was insufficient justification to conclude that the parties should have anticipated the specific legal issues in this case.
This task requires that we also interpret
Although § 5-192u declares that tier II plan members need not contribute to the plan to receive their retirement benefits, the record reflects that the defendant had contributed $19,193.53 as of the date of dissolution. It is not necessary for us to resolve this discrepancy to resolve the issues presented by this case.
We note that, as a hazardous duty member, the defendant also was eligible to apply for hazardous duty retirement under
Black’s Law Dictionary defines “vested” as “[hjaving become a completed, consummated right for present or future enjoyment; not contingent; unconditional; absolute . . . .” Black’s Law Dictionary (8th Ed. 2004); see also Taylor v. Taylor,
A vested interest “matures” when the holder of that interest obtains a right to present possession or payment without further precondition. See In re Marriage of Brown,
We note the general impreciseness with which critical terms have been employed in some of our opinions in this area. In Bomemann, for instance, we used the terms “matured” and “vested” as if they are synonymous. (Internal quotation marks omitted.) Bornemann v. Bornemann, supra,
The stock options were granted as part of a termination agreement between the defendant and his former employer. Bornemann v. Bornemann, supra,
The fear that we expressed in Bomemann, namely, that “fail[ing] to interpret property broadly under
We believe that the concurring and dissenting justice’s understanding of Bomemann is deficient and that his reliance on that case is misplaced. Our decision in Bomemann was explicitly founded on the fact that the defendant in that case had an enforceable contractual right to the stock options at issue. We specifically described the nature of the interest and its consequences: “[T]he holder of a stock option possesses the right to accept, under certain conditions and within a prescribed time period, the employer’s offer to sell its stock at a predetermined price. . . . Should the employer attempt to withdraw the offer, the employee has a ‘chose in action’ in contract against the employer. . . . Conversely, ‘ [t]he defining characteristic of an expectancy is that its holder has no enforceable right to his beneficence.’ ” (Citations omitted.) Bornemann v. Bornemann, supra,
We disagree with the concurring and dissenting justice’s characterization of this court’s opinion in Smith v. Smith, supra,
Herein lies the crux of our disagreement with the concurring and dissenting opinion. In our view, the concurring and dissenting justice misunderstands the nature of the contingencies involved in the present case and mistakenly characterizes the defendant’s disability benefit as a “vested” interest merely awaiting a qualifying injury to become a matured interest. In this case, the contingency, i.e., the disabling injury, is the vesting event. In other words, prior to becoming disabled, the defendant possessed nothing more than an expectancy that, should he be injured in the course of his employment, he would receive a disability benefit if the statute remained unchanged. See Simmons v. Simmons, supra,
We are similarly unpersuaded by the declaration in the concurring and dissenting opinion that “the language of
We note that, in our view, employers and employees generally recognize the difference between vested and unvested pensions, and, although they may treat vested pensions as property in the workplace, they realize that unvested pensions are worthless beyond any amount that the employee actually has contributed to the plan. Indeed, common experience would indicate that employees consider the date that their pensions vest as a pivotal point in their careers because they understand that it is not until that moment that they have any valuable, enforceable right to future pension benefits.
This is not to say that private disability plans guaranteed by contract or supported by monetary contributions would not qualify as such an interest
Of course, a court presented with such a scenario also has the option of considering these circumstances in fashioning an alimony award under
We assume, without deciding, that, if the defendant had become disabled after completing twenty-five years of credited service, he would have been eligible for hazardous duty retirement under
We note that, the concurring and dissenting justice’s view notwithstanding, the likelihood that the legislature would decide to modify or terminate the disability benefits conferred by
Concurrence Opinion
joins, concurring and dissenting. Although I concur with parts I and II A of the majority opinion, as well as the majority’s discussion of the relationship between General Statutes §
As an initial matter, I note that I agree with the majority that, under the first prong of the Bender analysis,
In Smith v. Smith, supra,
Thus, our decisions in Smith, Bornemann and Krafick make clear that, although the receipt of a benefit is contingent on a future event, and although the benefit may not be received unless and until that event actually occurs, the interest is not reduced to a mere expectancy as long as the party has an enforceable right to receive the benefit in the event that the condition does occur. Moreover, those cases demonstrate that the likelihood that the condition precedent to receipt of the benefit will occur is not relevant to our analysis under the first prong of Bender. In Smith, for example, we did not in any way address the likelihood that the defendant’s cause of action would be successful, and, indeed, it would have been almost impossible for the trial corut to have made such a determination without trying the breach of severance action itself in the context of the
Applying the analysis in these precedents to the present case, therefore, I would conclude that the defendant’s interest in his disability benefits was distributable property. The language of
The majority also concludes that the defendant’s interest was not marital property under the first prong of Bender because the disability benefit program could have been revoked by the legislature at any time prior to the defendant becoming disabled, implying that the defendant’s interest in those benefits did not, and could not, vest until that time. In my view, however, the language of
Specifically,
Indeed, this conclusion is supported by the similarity between the vesting language of
Finally, I briefly note my disagreement with the majority’s conclusion that the defendant’s interest in disability benefits did not constitute marital property because the injury occurred postdissolution and represents compensation for future lost wages. We have stated that whether an asset is marital property turns on the time at which an enforceable right to the particular benefit was obtained, and not on whether the benefits associated with the interest were received during the marriage. See Bornemann v. Bornemann, supra,
Accordingly, I conclude that the defendant had an enforceable right to disability benefits at the time of dissolution under the first prong of Bender, and, therefore, those benefits constituted marital property subject to distribution under
As the majority notes, our decision in Bender articulated a two step framework for determining whether an interest is property distributable under
I note that the trial court in Smith determined, and we agreed, that the defendant’s interest in the settlement award was marital property at the time that the parties agreed to distribute their property in 1990, at which time it remained unclear whether she was entitled to receive that award, even though the marriage was not actually dissolved until after the award was received in 1995. See Smith v. Smith, supra,
The majority implies that the condition that the defendant become disabled is “a contingency on which acquisition of the property interest itself hinges,” rather than “[a] contingency on which the mere enjoyment of a property interest depends . . . .” (Emphasis in original.) I respectfully disagree.
I note that several jurisdictions have concluded that, if the language of the applicable plan document or statutory provision so provides, interests in disability benefits may vest prior to the date of disability. See, e.g., Washington v. Murphy Oil USA, Inc.,
The majority acknowledges that an interest may be vested, and thus distributable, even though it has not yet matured in the sense that the benefit cannot be received unless and until certain prescribed conditions occur. See Krafick v. Krafick, supra,
I presume that the majority would not dispute that an interest in disability benefits under
In addition, even if the defendant’s interest was not marital property under the first prong of Bender because that interest was subject to revocation by the legislature, we then would analyze that interest under the second prong of Bender, wherein our inquiry properly would focus on the likelihood that an enforceable right to such benefits would be obtained, or in this case retained, and not on whether the benefits were likely actually to be received. See Bender v. Bender, supra,