CAROL WALENSKI v. CONNECTICUT STATE EMPLOYEES RETIREMENT COMMISSION ET AL.
AC 40603
Appellate Court of Connecticut
October 16, 2018
Lavine, Moll and Bishop, Js.
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Syllabus
The plaintiff appealed to the trial court from the decision of the defendant Connecticut State Employees Retirement Commission denying her claim for certain spousal retirement benefits pursuant to the State Employees Retirement Act (
- The plaintiff could not prevail on her claim that the trial court had subject matter jurisdiction over her appeal because the commission agreed that the court had jurisdiction and because the court‘s order remanding the case to the commission and its decision to exercise jurisdiction over the appeal at that time constituted the law of the case; it is well settled that parties cannot, by waiver or agreement, confer subject matter jurisdiction on the court, and, under the law of the case doctrine, one judge of the Superior Court is not bound by a prior judge‘s decision regarding the court‘s subject matter jurisdiction.
- The plaintiff‘s claim that the dismissal of her appeal was improper because she appealed from a final decision by an administrative agency in accordance with the applicable statute (
§ 4-166 [5] [A] and[C] ) was unavailing, as the plaintiff did not possess a statutory or regulatory right to have the commission decide her rights or privileges in a hearing and, thus, did not appeal from an agency determination in a contested case, which is a proceeding in which the legal rights, duties or privileges of a party are required by statute or regulation to be determined by an agency after an opportunity for a hearing; even if this court assumed that the plaintiff‘s legal rights or privileges were at issue before the commission, neither the governing statutes nor the applicable regulations required the commission to hold a hearing to determine her rights or privileges in a hearing, and neither the letter the plaintiff received from the division‘s assistant director notifying her that her request for spousal benefits had been administratively denied, nor the commission‘s denial of her claim following the trial court‘s remand order were agency determinations in a contested case as defined by the act, and the fact that a hearing was in fact held before the commission did not render the plaintiff‘s appeal as having been taken from a final decision under the act.
Argued May 16—officially released October 16, 2018
Procedural History
Appeal from the decision by the named defendant denying the plaintiff‘s claim for certain survivor benefits, and for other relief, brought to the Superior Court in the judicial district of New Britain, where the court, Schuman, J., granted in part the defendants’ motions to dismiss; thereafter, the court, Huddleston, J., rendered judgment dismissing the appeal, from which the plaintiff appealed to this court. Affirmed.
Harold J. Geragosian, for the appellant (plaintiff).
Cindy M. Cieslak, with whom, on the brief, was Michael J. Rose, for the appellee (named defendant).
Alayna M. Stone, assistant attorney general, with whom, on the brief, was George Jepsen, for the appellees (defendant state of Connecticut et al.).
Robert J. Kor, with whom was Marialta Sparagna, for the appellee (defendant Arlene M. Walenski).
Opinion
The present appeal involves a rather tangled procedural history that arose when the plaintiff, the second wife of a former state employee, Walter Walenski (Walter), was denied certain spousal retirement benefits in accordance with the State Employees Retirement Act (act),
The trial court‘s memorandum of decision and the record reveal the following
The plaintiff subsequently contacted the retirement services division of the Office of the State Comptroller (retirement services) after Walter‘s death to discuss receiving spousal retirement benefits.4 Cindy Wilson, a representative of retirement services, sent the plaintiff a letter, dated June 4, 2015, indicating that she was “entitled to receive 50 [percent] of [Walter‘s retirement] benefits . . . .” After the plaintiff received this correspondence, however, another representative from retirement services verbally told her that the informa-tion in the letter she received from Wilson was incorrect and that her application for benefits was denied. In a follow up letter, dated July 14, 2015, Bonnie Price, the assistant director of retirement services, “advised [the plaintiff] that [the letter was] an administrative denial [of her request for spousal benefits]” and informed her that she “[had] the right to make a written claim to the [commission] requesting review of [the] administrative denial.”5 Thereafter, on July 30, 2015, the plaintiff made a written request for review and for a full hearing “before the commission to exhaust available remedies . . . .” She did not receive a response to her July 30, 2015 letter.
On March 31, 2016, the plaintiff commenced the underlying action and, in an amended complaint, alleged four counts: (1) an administrative appeal from the commission pursuant to
Notwithstanding the arguments regarding the plaintiff‘s alleged failure to exhaust her administrative remedies, during a hearing on the motions to dismiss, the commission “expressed a willingness to reach a final decision in [the] case by October 20, 2016.” More specifically, the commission indicated that it would “waive the fifth step of its administrative process“—i.e., a declaratory ruling—in an effort to avoid further delay, but asked that the plaintiff obtain a “final decision” from the commission by requesting reconsideration (step four of administrative process). See footnote 7 of this opinion. Relying on the commission‘s representation, the court, Schuman, J., remanded count one—the administrative appeal—to the commission. Judge Schuman‘s September 1, 2016 order addressing the motions tо dismiss provided in relevant part: “[T]he court remands count one to the full commission to hear, decide, and reach a final decision on the plaintiff‘s claim by October 20, 2016. The court retains jurisdiction. In the event of a commission decision adverse to the plaintiff, the plaintiff may return to court by motion to reinstate the appeal.” The court dismissed counts two and four of the amended complaint due to a lack of subject matter jurisdiction; it stayed count three.8
On September 15, 2016, in response to Judge Schuman‘s order, the plaintiff filed a substitute complaint (operative complaint). The operative complaint sounded in two counts: (1) an administrative appeal from the commission pursuant to
On October 20, 2016, the commission held an informal hearing and denied what
Following the reinstatement of the plaintiff‘s appeal, a dispute arose between the parties regarding the proper record before the court. During oral argument addressing the parties’ disрute about the record, Judge Huddleston, sua sponte, questioned the court‘s subject matter jurisdiction. The court ordered supplemental briefing, and in their memoranda of law, both the plaintiff and the commission argued that the court had subject matter jurisdiction.9 The plaintiff relied primarily on Judge Schuman‘s September 1, 2016 order and contended that the hearing before the commission on October 20, 2016, was a contested case under
We begin by setting forth the principles of law governing our standard of review. “In an appeal from the granting of a motion to dismiss on the ground of subject matter jurisdiction, this court‘s review is plenary. A determination regarding a trial court‘s subject matter jurisdiction is a question of law. When . . . the trial court draws conclusions of law, our review is plenary and we must decide whether its conclusions are legally and logically correct and find support in the facts that appear in the record. . . . It is a familiar principle that a court which exercises a limited and statutory jurisdic-tion is without jurisdiction to act unless it does so under the precise circumstances and in the manner particularly prescribed by the enabling legislation.” (Internal quotation marks omitted.) Berka v. Middletown, 181 Conn. App. 159, 163, 185 A.3d 596, cert. denied, 328 Cоnn. 939, 184 A.3d 268 (2018).
“When a . . . court decides a jurisdictional question raised by a pretrial motion to dismiss, it must consider the allegations of the complaint in their most favorable light. . . . In this regard, a court must take the facts to be those alleged in the complaint, including those facts necessarily implied from the allegations, construing them in a manner most favorable to the pleader. . . . The motion to dismiss . . . admits all facts which are well pleaded, invokes the existing record and must be decided upon that alone. . . . In undertaking this review, we are mindful of the well established notion that, in determining
We quickly can dispose of the plaintiff‘s first claim on appeal. She first argues that the court had subject matter jurisdiction over her appeal because the commission, in response to Judge Huddleston‘s supplemental briefing order, agreed that the court had jurisdiction. Second, she argues that Judge Schuman‘s September 1, 2016 order, and his decision to exercise jurisdiction over the appeal, constituted the “law of the case.” As to the first argument, it is well settled that parties cannot, by waiver or agreement, confer subject matter jurisdiction on the court. See Kleen Energy Systems, LLC v. Commissioner of Energy & Environmental Protection, 319 Conn. 367, 380–81, 125 A.3d 905 (2015). As to the second argument, one judge of the Superior Court, under the law of the case doctrine, is not bound by a prior judge‘s decision regarding the court‘s subject matter jurisdiction.11 See Lewis v. Gaming Policy Board, 224 Conn. 693, 698–99, 620 A.2d 780 (1993). Accordingly, we are unpersuaded by the plaintiff‘s contention that Judge Huddleston improperly determined that thе court lacked subject matter jurisdiction over her administrative appeal due to the commission‘s agreement that the court had subject matter jurisdiction or on the basis of Judge Schuman‘s order of September 1, 2016.
We now turn to the plaintiff‘s remaining claim on appeal, namely, that she appealed from a final decision by an administrative agency pursuant to
“A contested case is defined in
“A party seeking review of a state agency‘s action, therefore, must establish more than aggrievement (injury in fact); [she] must establish that the injury resulted from a final decision in a contested case . . . . Our courts have had ample opportunity to construe the definition of contested case. The test for determining contested case status has been well established and requires an inquiry into three criteria, to wit: (1) whether a legal right, duty or privilege is at issue, (2) and is statutorily [or regulatorily] required to be determined by the agency, (3) through an opportunity for hearing or in which a hearing is in fact held.” (Citations omitted; emphasis in original; footnote added; footnotes omitted; internal quotation marks omitted.) Ferguson Mechanical Co. v. Dept. of Public Works, supra, 282 Conn. 771–72; see also Summit Hydropower Partnership v. Commissioner of Environmental Protection, 226 Conn. 792, 800–801, 629 A.2d 367 (1993).
The plaintiff claims that she has, in fact, appealed from a final decision in accordance with
As defined by
By their plain terms, the applicable regulations do not require that a hearing be held;16 rather, consistent with
Under the circumstances presented, neither the letter the plaintiff received from retirement services on July 14, 2015, nor the commission‘s October 20, 2016 denial is an agency determination in a contested case as defined by the UAPA. In addition, the fact that a hearing “was in fact held“;
A “final decision” under
Our Supreme Court rejected Derwin‘s claim. The court observed that: “In determining the proper scope of
Indeed, this court described the judicial gloss provided by Derwin as follows: “[I]n any matter brought before [the commission], there can never be a ‘contested case’ as defined by
The record reflects that the parties and the court were well intentioned, and we acknowledge that this serpentine process resulted in an unfortunately prolonged journey to this court for the plaintiff. Nonetheless, “[i]f the available administrative procedure . . . provide[s] the [plaintiff] with a mechanism for attaining the remedy that [she] seek[s] . . . [she] must exhaust that remedy.” (Internal quotation marks omitted.) River Bend Associates, Inc. v. Water Pollution Control Authority, 262 Conn. 84, 101, 809 A.2d 492 (2002). That simply did not occur in the present case, and the parties were not at liberty to bypass the available administrative remedies. See Peters v. Dept. of Social Services, 273 Conn. 434, 441, 870 A.2d 448 (2005) (subject matter jurisdiction requirement may not be waived and court can question its jurisdiction at any time); see also footnotes 7 and 11 of this opinion.
We conclude by noting that, under the present circumstances, “[t]he legislature . . . has the primary and continuing role in deciding which class of proceedings should enjoy the full panoply of procedural protections afforded by the UAPA to contested cases, including the right to aрpellate review by the judiciary. Deciding which class of cases qualifies for contested case status reflects an important matter of public policy and the primary responsibility for formulating public policy must remain with the legislature.” (Internal quotation marks omitted.) Peters v. Dept. of Social Services, supra, 273 Conn. 445.
The judgment is affirmed.
In this opinion the other judges concurred.
Notes
“[1] Pursuant to [§ 5-165] an election or change of election must be filed before retirement payments [begin].
“[2] Specifically, in the event of remarriage after retirement, Option ‘A’ is not transferable to the new spouse and the retiree continues to receive the reduced retirement allowance. The benefit is based on the age of the retiree and spouse at the time of election.
“[3] Additionally, the State Employees Retirement System (SERS) Plan rules are not subject to subsequent divorce judgments.
“Notwithstanding the information contained herein, you have the right to make a written claim to the [commission] requesting review of our administrative denial.”
On July 20, 2016, prior to the commission filing its motion to dismiss, the subcommittee on purchase of service related matters—a subcommittee within the commission—reviewed the plaintiff‘s request for spousal benefits and recommended denying her request (step two of administrative process). The commission approved the subcommittee‘s recommendation on August 18, 2015 (step three of administrative process).
The commission argues, as an alternative ground to affirm, that the trial court lacked jurisdiction on September 1, 2016, because, at that point, the plaintiff had failed to exhaust her administrative remedies. We acknowledge this argument and question whether the trial court had jurisdiction to enter its September 1, 2016 order. Given the procedural irregularities of the present case and because the alternative ground to affirm does not affect the outcome of this appeal, we decide whether the trial court lacked subject matter jurisdiction as framed by the plaintiff‘s arguments on appeal.
Additionally, “in 2004, thе legislature amended the statutory definition of a contested case in § 4-166 [4] to its current form by adding the phrase ‘or regulation . . . .’ Public Acts 2004, No. 04-94, § 1.” Ferguson Mechanical Co. v. Dept. of Public Works, supra, 282 Conn. 771 n.8.
We are unpersuaded that the italicized language of § 5-155a (k) transforms the plaintiff‘s appeal into a “contested case“; see
Notwithstanding the fact that General Statutes § 5-155 was repealed by No. 83-533, § 53, of the 1983 Public Acts, §§ 5-155-1 through 5-155-13 of the Regulations of Connecticut State Agencies werе revised in 2015. Section 5-155-1 of the Regulations of Connecticut State Agencies provides in relevant part: “The State Employees’ Retirement Commission derives its duties and authority from the following chapters of the General Statutes: Chapter 66—State Employees Retirement System . . . .”
