ANTHONY RAFTOPOL ET AL. v. KARMA A. RAMEY ET AL.
(SC 18482)
Supreme Court of Connecticut
January 5, 2011
299 Conn. 681
ANTHONY RAFTOPOL ET AL. v. KARMA A. RAMEY ET AL.
(SC 18482)
Rogers, C. J., and Norcott, Katz, Palmer, Vertefeuille, Zarella and McLachlan, Js.*
Victoria T. Ferrara, with whom was Jeremy F. Hayden, for the appellees (plaintiffs).
Kenneth J. Bartschi, Karen L. Dowd, Thomas W. Ude, Bennett H. Klein, pro hac vice, Karen L. Loewy, pro hac vice, John Weltman, pro hac vice, and Scott Buckley, pro hac vice, filed a brief for the American Society for Reproductive Medicine et al. as amici curiae.
Opinion
MCLACHLAN, J. This appeal raises the question of whether Connecticut law permits an intended parent1 who is neither the biological2 nor the adoptive parent of a child to become a legal parent of that child by means of a valid gestational agreement. The use of technology to accomplish reproduction by means other than sexual intercourse no longer may be considered “new” science, and, indeed, the legislature has recognized the validity of such agreements.3 Moreover, no
one can deny that assisted reproductive technology implicates an essential matter of public policy—it is a basic expectation that our legal system should enable each of us to identify our legal parents with reasonable promptness and certainty. Despite the facts that assisted reproductive technology has been available for some time, and that the technology implicates the important issue of the determination of legal parentage, our laws, and the laws of most other states, have struggled unsuccessfully to keep pace with the complex legal issues that continue to arise as a result of the technology.4 It is our view that our laws should provide an answer to the following two basic questions: (1) who are the legal parents of children born as a result of such technology; and (2) what steps must such persons take to clarify their status as legal parents of such children? Our answers to these questions are limited by the scope of the question presented on appeal, and, even more
The defendant department of public health (department) appeals from the judgment of the trial court in favor of the plaintiff Shawn Hargon, an intended parent under the gestational agreement.5 On appeal, the department argues that the trial court lacked subject matter jurisdiction both to terminate the putative parental rights of the gestational carrier, the defendant Karma A. Ramey,6 and to declare Hargon a legal parent of the children to whom Ramey gave birth, and, consequently, to order the department to issue a replacement birth certificate pursuant to
Hargon and the named plaintiff, Anthony Raftopol, the children‘s biological father, as the children‘s parents. The department also argues that the trial court improperly concluded that
The record reflects the following facts, either as found by the trial court or undisputed. The plaintiffs, who were domestic partners living in Bucharest, Romania,9 entered into a written agreement (gestational agreement), dated July 29, 2007, with Ramey, in which she agreed to act as a gestational carrier10 for the plaintiffs. Pursuant to the gestational agreement, eggs were recovered from a third party egg donor and fertilized with sperm contributed by Raftopol. Three of the resulting frozen embryos were subsequently implanted in Ramey‘s uterus. As a result of the procedures, Ramey gave birth to two children on April 19, 2008.11 DNA testing confirmed that Raftopol was the biological father of the children. Pursuant to the gestational agreement, Ramey had agreed to terminate her parental rights to any children resulting from the procedures, and to sign any forms necessary for the issuance of a replacement birth certificate naming the plaintiffs as the parents of such children. Ramey also had agreed to consent to the adoption of any such children by Hargon and to cooperate fully to obtain this goal.12
Prior to the expected delivery date, the plaintiffs brought this action, seeking a declaratory judgment that the gestational agreement was valid, that the plaintiffs were the legal parents of the children and requesting that the court order the department to issue a replacement birth certificate reflecting that they, and not Ramey, were parents of the children. The department responded that the court lacked jurisdiction over the matter because Hargon did not allege that he had conceived the children and because the court lacked jurisdiction to terminate the parental rights of the gestational carrier, the egg donor, and any husbands either may have, which the department argued would be a necessary prerequisite to the declaration that Hargon is a parent of the children.13 Finally, the department contended that the allegations of the complaint did not sufficiently establish the paternity of the children. Following a hearing, the trial court issued a ruling declaring that: (1) the gestational agreement is valid;14 (2) Raftopol is the genetic and legal father of the children; (3) Hargon is the legal father of the children; and (4) Ramey is not the genetic or legal mother of the children. The court therefore ordered the department to issue a replacement birth certificate pursuant to
I
We first turn to the issue of whether the trial court lacked subject matter jurisdiction to declare Hargon a legal parent of the children because Hargon was not biologically related to the children and did not adopt them. Included within this issue is the question of whether the court was required, as a prerequisite to making any determination regarding Hargon‘s parental status, to terminate Ramey‘s parental rights, and, if so, whether the court had jurisdiction to terminate those rights. We conclude that: (1) because Ramey did not have any parental rights with respect to the children, the termination of those nonexistent rights was not a necessary prerequisite to a determination of Hargon‘s parental status with respect to the children; and (2) the court had jurisdiction to issue a declaratory ruling regarding Hargon‘s parental status.
A
Preliminarily, we address the department‘s claim that the trial court lacked subject matter jurisdiction to declare Hargon a parent because the termination of Ramey‘s parental rights—over which the trial court would have lacked jurisdiction—was a necessary prerequisite to Hargon‘s acquiring parental status with respect to the children.16 “[O]nce the question of lack
Our statutes and case law establish that a gestational carrier who bears no biological relationship to the child she has carried does not have parental rights with respect to that child. We have long recognized that there are three ways by which a person may become a parent: conception, adoption or pursuant to the artificial insemination statutes.17 See, e.g., Doe v. Doe, 244 Conn. 403, 435, 710 A.2d 1297 (1998); Remkiewicz v. Remkiewicz, 180 Conn. 114, 116–17, 429 A.2d 833 (1980). The definitional section of chapter 803 of the General Statutes, which deals with termination of parental rights and adoption, defines “[p]arent” as “a biological or adoptive parent . . . .”
Our decisions prior to the passage of
In Doe v. Doe, supra, 244 Conn. 435, 447, we reaffirmed the principle that, under the then existing statutory scheme, parentage could arise only by conception, adoption, or by way of the artificial insemination statutes. Doe involved a custody dispute within a dissolution action and concerned the defendant father‘s biological child, who was conceived by impregnating a surrogate with his sperm through a syringe.21 Id., 410. Although the child, who was fourteen at the time of the appeal, was neither the plaintiff‘s biological nor adopted child, both parties had raised her together as their daughter.22 Id., 405, 411. The trial court had concluded that it lacked jurisdiction over the custody dispute because the child was not a “‘child of the marriage . . . .‘” Id., 413, 422. We disagreed. Although we concluded that the concept embodied by “‘child of the
Under any of the three specified ways of acquiring parental status, as set forth both in our statutes and interpretive case law, Ramey is not a parent of the children in the present case. It is undisputed that she is neither the biological nor the adoptive mother to the children. Nor does she fall within the parameters of the artificial insemination statutes. Accordingly, Ramey did not have parental rights that required termination before Hargon could acquire parental status with respect to the children.
B
The department also claims that the trial court lacked jurisdiction to declare Hargon a parent. Specifically, the department argues that, because a person may become a parent only by conception, adoption, or by compliance with our statutes governing artificial insemination, and because Hargon does not claim parentage by virtue of any of these three avenues, the trial court lacked jurisdiction to consider Hargon‘s request for a declaratory judgment that he is the parent of the children. We conclude that the trial court had jurisdiction over the matter.
“Where a decision as to whether a court has subject matter jurisdiction is required, every presumption favoring jurisdiction should be indulged.” Demar v. Open Space & Conservation Commission, 211 Conn. 416, 425, 559 A.2d 1103 (1989). We often have stated that “the Superior Court is a court of general jurisdiction.” Carten v. Carten, 153 Conn. 603, 612, 219 A.2d 711 (1966). “Article fifth, § 1 of the Connecticut constitution proclaims that [t]he powers and jurisdiction of the courts shall be defined by law, and
II
The jurisdictional questions now resolved, we turn to the merits of the department‘s claim that the trial court improperly concluded that
Preliminarily, we must note that because in the present case the department has not challenged the trial
As directed by
Related statutes provide little guidance in resolving the many ambiguities suggested by the text of
Moreover, the department‘s contention that the only reasonable interpretation of the plain language of
A subsequent exchange could be read more broadly. At one point during the discussion of the amendment, Representative Lenny T. Winkler remarked: “[F]rom what I understand it‘s been difficult for some individuals to adopt and they‘ve been required to go to [P]robate [Court] and this would avoid that and make it easier, could you explain that all?” Id., p. 4459. Representative Sherer responded: “That‘s correct. There‘s been the difficult situation where due to the birth being, the parents not being the birth parents the only way to obtain a new birth certificate would be to go to [P]robate [C]ourt and basically adopt their own child, which no one really thinks is the right thing to do.” Id. This
With respect to whether this substantive change in the law was intended to include nonbiological intended parents, we recognize that the legislative history is inconclusive, but we already have rejected, on the basis of our plain language analysis, the department‘s contention that only biological intended parents may acquire legal parentage solely by virtue of a valid gestational agreement. On the basis of our analysis of both the text of the statute, as well as its legislative history, we conclude that the legislature intended
Consistent with our conclusion that
The department relies on Doe v. Doe, supra, 244 Conn. 403, to argue that a person may become a parent under Connecticut law only by conception, adoption or by virtue of the artificial insemination statutes. As we already have observed, however, Doe was decided prior to the enactment of
The department also contends that courts in other jurisdictions have concluded that the legislature is the appropriate body to devise new rules for the regulation of gestational agreements. See, e.g., Culliton v. Beth Israel Deaconess Medical Center, 435 Mass. 285, 293, 756 N.E.2d 1133 (2001) (noting that legislature had not yet enacted comprehensive statutory scheme addressing issues arising from use of assisted reproduc-
We agree that the legislature is the appropriate body to craft specific rules and procedures governing gestational agreements. That precept does not conflict with our decision today, which interprets
Indeed, this appeal highlights the fact that our existing statutes addressing parentage do not address the public policy concerns raised by modern assisted reproductive technology. The legislature itself has recognized that it has postponed confronting these issues. In 2007, the legislature amended
“And I‘m gathering, based on this [b]ill before us, that it‘s going to be in a piecemeal sort of way that we deal with all of these issues of technological innovation in the area of reproduction and legal issues that crop up that really need to be resolved so that the families are not left in a state of confusion as to what they should do.” Id., pp. 4438-39.
Representative O‘Neill could not have phrased this issue more precisely—this area of law needs to be clarified so that families are not left in a state of confusion. Our existing statutory scheme only partially addresses these issues. Parentage, however, is not an issue that should be addressed in a “piecemeal” fashion. As we already have observed in this opinion, our existing statutes provide few answers and raise many questions. It is decidedly not the role of this court to make the public policy determinations necessary to establish the specific rules and procedures governing the validity of gestational agreements or set the standards for valid gestational agreements. The legislature will be required to grapple with numerous questions implicating significant public policy issues—that body, with the ability to hold public hearings and seek out expert assistance,
We highlight some of the issues that remain unresolved in our current statutory scheme by looking to the laws of other jurisdictions that have grappled with these public policy issues. In jurisdictions that have addressed the issues raised by the use of assisted reproductive technology,35 it appears that there are three general approaches to the determination of legal parentage. Those three approaches define parentage based on: (1) the intent of the parties; see, e.g., Johnson v. Calvert, 5 Cal. 4th 84, 93, 851 P.2d 776, 19 Cal. Rptr. 2d 494, cert. denied, 510 U.S. 874, 114 S. Ct. 206, 126 L. Ed. 2d 163 (1993);
How a state defines parentage is merely the starting point. Additional issues that some states have addressed, for example, include whether to recognize compensated gestational agreements,37 whether to limit the availability to married couples,38 infertile intended parents,39 age limitations,40 what protections to put in place to safeguard the gestational carrier‘s right to make
Further guidance may be provided by article eight of the Uniform Parentage Act of 2000 (act). See
We emphasize that the legislature is the appropriate body to make the public policy determinations implicated by these issues. Because of the uncertainties created by the existing statutory scheme, we respectfully would suggest that the legislature consider doing so. Particularly important will be a determination of which types of gestational agreements are valid, as that determination will decide who may benefit from the streamlined process to parentage created by
The judgment is affirmed.
In this opinion ROGERS, C. J., and NORCOTT, KATZ and PALMER, Js., concurred.
I
The majority concludes that the meaning of
“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 . . .
The language of the statute is plain and unambiguous. The term “subject to” in
This conclusion is confirmed by a reading of
“(c) . . . The original certificate in the case of parentage or gender change shall be physically or electronically sealed and kept in a confidential file by the department and the registrar of any town in which the birth was recorded, and may be unsealed for viewing or issuance only upon a written order of a court of competent jurisdiction. The amended certificate shall become the public record. . . .”
Reading these statutes together, they clearly provide that an amendment to a birth certificate for a birth governed by a gestational agreement shall result in a replacement birth certificate that supersedes the original. There is no qualifying language in
The majority‘s conclusion that
Because the term gestational agreement is a technical term that describes a certain type of contract, we turn to Black‘s Law Dictionary for guidance. Black‘s Law Dictionary contains no definition of gestational agreement but defines a “surrogate-parenting agreement” as, inter alia, “[a] contract between a woman and typically an infertile couple under which the woman provides her uterus to carry an embryo throughout pregnancy; [especially], an agreement between a person (the intentional parent) and a woman (the surrogate mother) providing that the surrogate mother will (1) bear a child for the intentional parent, and (2) relinquish any and all rights to the child . . . .” Black‘s Law Dictionary (9th Ed. 2009). “Gestational surrogacy” is further defined as “[a] pregnancy in which one woman (the genetic mother) provides the egg, which is fertilized, and another woman (the surrogate mother) carries the fetus and gives birth to the child.” Id. Black‘s Law Dictionary distinguishes “gestational surrogacy” from “traditional surrogacy,” by defining the latter as “[a] pregnancy in which a woman provides her
The agreement in the present case, which is variously described therein as the “agreement,” “carrier agreement,” “gestational surrogacy arrangement” and “gestational carrier agreement,” fits precisely within this framework. The agreement identifies the plaintiff, Anthony Raftopol, as the natural father and Hargon, who is not biologically related to the children, as the
II
To the extent that the majority finds
A
The legislative history of
Raised Bill No. 6569, January 2001 Sess., § 27 (a). The language on gestational agreements, however, was eliminated in Substitute House Bill No. 6569, January 2001 Sess.,7 which simply provided: “On and after January 1, 2002, each birth certificate shall contain the name of the birth mother, except by the order of a court of competent jurisdiction.” P.A. 01-163, § 28; see also
This explanation was instead contained in an amendment to
B
I also disagree with the majority‘s conclusion that the legislative history of Public Acts 2004, No. 04-255, in which the legislature amended
This new language evidently was intended to correct whatever ambiguity had been created by the absence of language in the original statute regarding when to apply the exception to the rule that each birth certificate shall contain the name of the birth mother. By referring to the fact that such an exception would result in the creation of a replacement birth certificate and by expressly referring to
Representative Donald B. Sherer, who introduced the amendment to his fellow House members, indicated his understanding of the substantive connection that the legislature had established in 2001 between
“And over the course of the years there‘s been some confusion as to how to effectuate the birth certificate. So the language in this amendment pretty much clarifies what to do. It says that after the court [orders] parentage, that within [forty-five] days after the presentation of the court order the [department] will issue a replacement birth certificate and the original birth certificate with all the required statistical information would remain confidential.” 47 H.R. Proc., Pt. 14, 2004 Sess., pp. 4456-57. In response to a subsequent question as to whether the new provision would make it easier for some individuals to adopt without going to Probate Court, Representative Sherer added: “There‘s been a difficult situation where due to the . . . parents not being the birth parents the only way to obtain a new birth certificate would be to go to [P]robate [C]ourt and basically adopt their own child, which no one really thinks is the right thing to do.” Id., p. 4459.
Representative Sherer‘s comments, when read in the proper context, are not ambiguous. In his first comment, in which he referred to previous changes in the law on vital records to permit a finding of parentage on the basis of the biological relationship of a mother
C
In addition, the majority inexplicably fails to examine the most important part of the legislative history, namely, the 2008 amendment in which the legislature added the language on gestational agreements to the statute. As previously discussed, prior to 2008,
The office of fiscal analysis and the office of legislative research provided the legislature with reports on the proposed revision consistent with the commissioner‘s testimony. In its report, the office of fiscal analysis stated that the amendment “clarifies law regarding the issuance of replacement birth certificates for births subject to a gestational agreement. This results in no fiscal impact.” Office of Fiscal Analysis, Connecticut General Assembly, HB-5701 An Act Concerning Revisions to Statutes Pertaining to the Department of Public Health (2008) § 1. The office of legislative research bill analysis similarly explained in relevant part that “[t]he bill appears to limit the replacement certificate requirement to births that are subject to a gestational agreement.”
Accordingly, the only conclusion that can be drawn from an examination of this legislative history is that a person named as an intended parent in a valid gestational agreement may also be named as a parent in a replacement birth certificate, regardless of whether that person has biological ties to the child. Trial courts that have considered the legislative history of the 2008 amendment have reached the same conclusion. See, e.g., Griffiths v. Taylor, Superior Court, judicial district of Waterbury, Docket No. FA 08-4015629 (June 13, 2008) (concluding that “the legislature contemplated that a [judge of the] Superior Court would have the authority, under
When the 2008 amendment is examined in the context of the entire legislative history of
III
The majority attempts to resolve the perceived ambiguity in
As previously stated, and recognized by the majority, this court is required to follow
From this it is evident that the principle that a statute should not be construed in a manner that would lead to an absurd or bizarre result leaves no room for an examination of the legislative history when the court concludes that there is only one reasonable or plausible interpretation of the statute, namely, the one that the court is adopting. In other words, it is necessary and permissible to examine the legislative history for the purpose of discerning the legislative intent only when there is more than one plausible interpretation of the statute or when the only seemingly plausible interpretation would lead to an absurd result. See Ziotas v. Reardon Law Firm, P.C., supra, 296 Conn. 587. Accordingly, when the majority consults the legislative history after determining that construing
The majority justifies its approach, which it fails to bolster with any precedential support, by stating that “[t]he mere fact . . . that the department‘s proposed interpretation of
IV
My final comment pertains to the last part of the majority opinion, which provides the legislature with a detailed road map indicating how the law on gestational agreements should be clarified. The majority makes much of the fact that “the legislature is the appropriate body to craft specific rules and procedures governing gestational agreements,” and that it is not the role of the courts to advise the legislature. The majority nonetheless states that “this appeal highlights the fact that our existing statutes addressing parentage do not
For the foregoing reasons, I concur only in the result reached by the majority in part II of its opinion.
PETER LUURTSEMA v. COMMISSIONER OF CORRECTION
(SC 18383)
Rogers, C. J., and Katz, Palmer, McLachlan, Eveleigh and Vertefeuille, Js.
Notes
“(b) Immediately after a new certificate of birth has been prepared, an exact copy of the certificate, together with a copy of the order of the court approving a gestational agreement, shall be electronically or manually transmitted by the department to the registrar of vital statistics of each town in this state in which the birth of the person is recorded. The new birth certificate, the original certificate of birth on file and the copy of the order of the court shall be filed and indexed pursuant to such regulations as the commissioner shall adopt, in accordance with chapter 54 of the general statutes, to carry out the provisions of this section and to prevent access to such records of birth and court order, except as provided in this section. Any person, except the intended parent or child born of the agreement, who discloses any information contained in such records, except as provided in this section, shall be fined not more than five hundred dollars or imprisoned not more than six months, or both.
“(c) When a certified copy of the birth certificate of a child born of a gestational agreement is requested by a person authorized to receive such copy pursuant to section 7-51 of the general statutes, as amended by this act, a copy of the new certificate of birth, as prepared by the department in accordance with the applicable provisions of section 19a-42 of the general statutes, as amended by this act, shall be provided. Access to or issuance of a certified copy of the original birth certificate to any person, including the intended parent or parents of the child or the child born of the gestational agreement, if over eighteen years of age, shall be permitted only upon a written order signed by a judge of the probate court for the district in which the gestational agreement was approved, or another court of competent jurisdiction. The original certificate so issued shall be marked with a notation by the issuer that the original certificate of birth has been superseded by a replacement certificate of birth as on file.” Raised Bill No. 6569, January 2001 Sess., § 27 (a).
