Lead Opinion
Opinion
The principal issue in this appeal is whether disability benefits awarded under General Statutes § 5-192p
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 General Statutes § 5-192e et seq. Due to the nature of his job, the defendant potentially was eligible for hazardous duty retirement under General Statutes § 5-192n,
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 Practice Book § 17-4, however, courts have “continuing jurisdiction to fashion a remedy appropriate to the vindication of a prior . . . judgment . . . pursuant to [their] inherent powers . . . .” (Citation omitted; internal quotation marks omitted.) AvalonBay Communities, Inc. v. Plan & Zoning Commission,
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 § 46b-81 and, therefore, that the trial court lacked statutory authority to distribute them. In other words, the defendant asserted that there was an ambiguity as to whether the trial court intended the term “monthly retirement benefit” to include his disability benefits, which ambiguity arose from the legal question of whether disability benefits are marital property potentially subject to distribution. The trial court concluded that there was no ambiguity in the judgment of dissolution and that the defendant’s disability benefits were distributable under § 46b-81 on the basis of our decision in Travelers Ins. Co. v. Pondi-Salik, supra,
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 § 46b-81. We do not see how the transcripts of the proceedings leading up to the judgment of dissolution, in which the issue regarding the distribution of the defendant’s disability benefits was not even contemplated, could be helpful to our review of the defendant’s claims. We conclude, therefore, that the defendant has provided this court with an adequate record for review and that this appeal is properly before this court.
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 § 5-192p are properly characterized as disability benefits or retirement benefits. Id., 747-48. After engaging in an extensive analysis of the language and legislative history of § 5-192p, the broader statutory scheme in which § 5-192p exists and the existence of a separate and parallel statutory scheme for the provision of pure disability benefits for state employees, we concluded that disability benefits under § 5-192p are “in the nature of retirement benefits and not disability benefits”; id., 755; and that “[disability operates only to accelerate the employee’s qualification for retirement benefits under § 5-192p.” Id.
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 § 46b-81; see, e.g., Krafick v. Kraf-ick,
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 § 46b-81. Specifically, the defendant contends that his receipt of disability benefits
We begin our analysis by determining the appropriate standard of review. We are called on in this case to interpret § 46b-81 to determine whether the defendant’s disability benefits are property eligible for distribution pursuant to that statute.
“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 § 46b-81, we previously have determined that the purpose of postdissolution “property division is to unscramble the ownership of property, giving to each spouse what is equitably his.” (Internal quotation marks omitted.) Rubin v. Rubin,
Under § 46b-81, a court has the authority to divide only the presently existing property interests of the parties at the time of dissolution, and such division, once made, cannot be altered. See Smith v. Smith, supra,
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. General Statutes §§ 5-192e through 5-192x define the state employee tier II retirement plan of which the defendant was a member. The plan is a noncontributory,
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 § 5-192p (c) provides the employee the benefit of an additional number of years of credited service that “he would have at age sixty-five if he continued to work until that age, but limited to a maximum of thirty years,” unless his actual credited service as of his disability retirement date is greater, in which case the formula works exactly the same as in normal retirement. In this way, the acceleration clause of § 5-192p (c) serves to reimburse a disabled employee for those years of compensation forgone due to disability, whereas the amount determined under § 5-1927 on the basis of the employee’s actual years of credited service operates as a standard pension benefit, representing deferred compensation for those years of service actually completed.
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 § 46b-81. The legislature has not seen fit to define this critical term, leaving it to the courts to determine its meaning through application on a case-by-case basis. “Neither § 46b-81 nor any other closely related statute defines property or identifies the types of property interests that are subject to equitable distribution in dissolution proceedings.” (Internal quotation marks omitted.) Bender v. Bender, supra,
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 § 46b-81 violated our understanding of the limitations of the reach of the statute. See id., 797. Recognizing that § 46b-81 “applies only to presently existing property interests, [and] not mere expectancies”; (internal quotation marks omitted) id.; we concluded that vested pension benefits are appropriately characterized as a presently existing property interest because they “represent an employee’s right to receive payment in the future, subject ordinarily to his or her living until the age of retirement.” Id.
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 § 46b-81, although broad, is not without limits. For instance, in Simmons v. Simmons, supra,
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 § 46b-81 if the conditions precedent to the eventual acquisition of such a definitive right are not too speculative or unlikely. The following statement makes this point apparent: “[I]t is, of course, theoretically possible that the defendant’s pension will not vest . . . [for various reasons]. We conclude, however, that the defendant’s expectation in his pension plan, as a practical matter, is sufficiently concrete, reasonable and justifiable as to constitute a presently existing property interest for equitable distribution purposes.” (Emphasis added.) Id., 749.
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 § 5-192p, that interest was not, at the time of dissolution, a presently existing, enforceable right to a future benefit. Although the defendant may have had an abstract statutory entitlement, in the event that he became disabled, to certain
Our analysis cannot end here, however, as Bender instructs that a presently existing, enforceable right to property, although sufficient for purposes of § 46b-81, is not necessary. As we noted previously, in light of Bender, analyzing an interest that does not become a “right,” much less actual, possessory property, prior to the occurrence of some future event or events involves a second step. We must look at the nature of the contingency to determine whether it is so speculative as to be deemed a mere expectancy or, conversely, whether it is “sufficiently concrete, reasonable and justifiable as to constitute a presently existing property interest for equitable distribution purposes.” Bender v. Bender, supra,
In the present case, the defendant’s receipt of disability benefits under § 5-192p was contingent on his becoming sufficiently disabled prior to sixty-five years of age or completing twenty-five years of credited service.
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 § 46b-81 is designed to equitably parse. Krafick v. Krafick, supra,
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 § 46b-82 and, therefore, is not property. The defendant’s disability plan is noncontributory and can be amended at any time prior to the disability. It can commence within minutes of hiring and extend a lifetime and thus cannot be characterized as deferred income, which assumes the qualities of an asset. In fact, it would violate the logic of Krafick and Bender to characterize the defendant’s disability benefits as an asset.
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
General Statutes § 5-192p provides in relevant part: “(a) If a member of tier II, while in state service, becomes disabled as defined in subsection (b) of this section, prior to age sixty-five, he is eligible for disability retirement if the member has completed at least ten years of vested service. If a member of tier II, while in state service, becomes so disabled as a result of any injury received while in the performance of his duty as a state employee, he is eligible for disability retirement, regardless of his period of state service or his age. ...”
General Statutes § 46b-81 provides in relevant part: “(a) At the time of entering a decree annulling or dissolving a marriage . . . the Superior Court may assign to either the husband or wife all or any part of the estate of the other. . . .
“(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 General Statutes § 51-199 (c) and Practice Book § 65-1.
General Statutes § 5-192n provides in relevant part: “(a) Each ‘hazardous duty member’ who has completed twenty-five years of credited service while a hazardous duty member may be retired on his own application on the first day of any future month named in the application. . . .”
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 Practice Book § 63-4 (a) (1), which provides in relevant part: “If any appellee wishes to (A) present for review alternate grounds upon which the judgment may be affirmed, [or] (B) present for review adverse rulings or decisions of the court which should be considered on appeal in the event the appellant is awarded a new trial . . . that appellee shall file a preliminary statement of issues within twenty days from the filing of the appellant’s preliminary statement of the issues.
“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 General Statutes §§ 46b-82, 5-192Z and 5-192p in order to determine the nature of the benefits in dispute and how they should be characterized.
General Statutes § 46b-82 provides in relevant part: “(a) At the time of entering the [divorce] decree, the Superior Court may order either of the parties to pay alimony to the other, in addition to or in lieu of an award pursuant to section 46b-81. ... In determining whether alimony shall be awarded, and the duration and amount of the award, the court . . . shall consider the length of the marriage, the causes for the annulment, dissolution of the marriage or legal separation, the age, health, station, occupation, amount and sources of income, vocational skills, employability, estate and needs of each of the parties and the award, if any, which the court may make pursuant to section 46b-81, and, in the case of a parent to whom the custody of minor children has been awarded, the desirability of such parent’s securing employment. . . .”
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 § 5-192n after completing twenty-five years of credited service. Section 5-192n contains its own formula for calculating hazardous duty retirement benefits, which are not relevant in the present case.
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 § 46b-81 could, and likely would, result in substantial inequity in light of the numerous and varied forms of employment compensation that are in use today”; Bornemann v. Bornemann, supra,
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 § 5-192p indicates that the defendant’s interest had in fact vested as of the first day of his employment with the state, and could not have been revoked by the legislature at any time thereafter.” In the absence of statutory language expressly depriving the legislature of its authority to revoke or modify the subject benefits prior to their becoming vested, we are unwilling to import such a limitation by legislative fiat. See, e.g., Pineman v. Oechslin,
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 § 46b-82.
General Statutes § 5-192o (c) provides in relevant part: “A member of tier II who has completed twenty-five years of credited service while a hazardous duty member shall be vested in his retirement benefit under section 5-192n. ...”
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 § 5-192n rather than disability retirement under § 5-192p.
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 § 5-192p is irrelevant to our analysis. See footnote 8 of the concurring and dissenting opinion. What is relevant is the fact that the legislature is not barred from terminating such benefits, and that the nondisabled employee is without recourse if the legislature chooses to do so.
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 § § 46b-81 and 46b-82 in part IIB of its opinion, I respectfully dissent from the majority’s ultimate conclusion in part II B. In my view, we are not called upon in this appeal to determine which method of distributing marital assets would have been the most appropriate in the circumstances of this case. Rather, we are required to decide the limited question of whether § 46b-81, as it has been interpreted by this court, authorized the trial court to distribute the disability retirement benefits (disability benefits) of the defendant, Darrell D. Mickey, that were awarded under General Statutes § 5-192P
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 § 5-192p (a) expressly provides that “ [i]f a member of tier II, while in state service, becomes . . . disabled as a result of any injury received while in the performance of his duty as a state employee, he is eligible for disability retirement, regardless of his period of state service or his age.” (Emphasis added.) Thus, from the moment the defendant began his employment with the state, he had an enforceable right to receive disability benefits in the event that he subsequently suffered a disabling injury within the scope of his employment. That right was both presently existing and enforceable from that time on, and, had the defendant become disabled on his first day of work, he would have been entitled to receive disability benefits without precondition. As Smith, Bomemann and Krafick make clear, the mere fact that the receipt and future enjoyment of such benefits was contingent on the defendant becoming disabled in the first place does not mean that his interest was a mere expectancy.
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 § 5-192p indicates that the defendant’s interest had in fact vested* ***
Specifically, § 5-192p (a) provides that “[i]f a member of tier II, while in state service, becomes disabled . . . prior to age sixty-five, he is eligible for disability retirement if the member has completed at least ten years of vested service. If a member of tier II, while in state service, becomes so disabled as a result of any injury received while in the performance of his duty as a state employee, he is eligible for disability retirement, regardless of his period of state service or his age.” (Emphasis added.) Thus, the legislature has created two different kinds of disability benefits, each of which has a different prescribed period of “vesting service” before the interest vests and becomes irrevocable, even though the receipt of such benefits in both instances
Indeed, this conclusion is supported by the similarity between the vesting language of § 5-192p and that of General Statutes § 5-192Z, which provides for normal retirement benefits that the majority properly considers to have vested in the present case. More specifically, § 5-192Í (a) provides that “[e]ach member of tier II who has attained age sixty-five and has completed ten or more years of vesting service may retire on his own application on the first day of any future month named in the application.” (Emphasis added.) Thus, although neither § 5-192p nor § 5-192Í explicitly references the legislature’s ability to revoke the respective interest,
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 § 46b-81. Because I would affirm the judgment of the trial court, I respectfully dissent.
General Statutes § 5-192p (a) provides: “If a member of tier II, while in state service, becomes disabled as defined in subsection (b) of this section, prior to age sixty-five, he is eligible for disability retirement if the member has completed at least ten years of vested service. If a member of tier II, while in state service, becomes so disabled as a result of any injury received while in the performance of his duty as a state employee, he is eligible for disability retirement, regardless of his period of state service or his age.”
As the majority notes, our decision in Bender articulated a two step framework for determining whether an interest is property distributable under § 46b-81. Under the first prong, the analysis of which remains governed by our pre-Bender line of cases, we examine whether the party has a presently existing enforceable right to the benefits at the time of dissolution. See Bender v. Bender, supra,
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. Section 5-192p did not require the defendant to satisfy any conditions or wait any period of time before he became eligible to enforce his interest in disability benefits in the event that he became disabled while on the job. Thus, in my view, the statutory right to such benefits was obtained and
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 § 5-192p would be considered vested and irrevocable if the language of that statute explicitly so provided.
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,
