Falvey v. ZUROLO
Falvey v. ZUROLO
Opinion of the Court
Opinion
The plaintiff, Jannine Falvey, appeals from the judgment of the Superior Court denying her appeal from the order of the Probate Court for the district of Orange, which denied her application to become conservator of the person and the estate of her mother, Rose Zurolo. On appeal, the plaintiff claims that the Superior Court improperly (1) interpreted General Statutes § 45a-650 (h) when it affirmed the Probate Court’s appointment of the defendant attorney Robert Mirto as a neutral third party conservator
The following facts, as found by the court, and procedural history are relevant to our resolution of the plaintiffs appeal. In 1998, the plaintiff began assisting Zurolo
On April 8, 2008, the Probate Court, by way of a memorandum of decision, found by clear and convincing evidence that a conservator should be appointed for the person and the estate of Zurolo. The Probate Court, however, denied the plaintiffs application to be appointed, finding that she acted improperly in 2005, when she personally received funds and wrote checks from Zurolo’s bank account payable to herself or to cash. On the basis of this existing or potential conflict of interest, the Probate Court found that the plaintiff was disqualified from being appointed conservator pur
On April 28, 2008, the plaintiff appealed to the Superior Court claiming, inter alia, that the Probate Court improperly denied her application to be her mother’s conservator. The plaintiff also challenged the Probate Court’s appointment of the defendant.
I
The plaintiff first claims that the appointment of the defendant, as a neutral third party conservator, was based on an incorrect construction of § 45a-650 (h). As noted, § 45a-650 (h) provides that, absent a designation of a proposed conservator by the conserved person, the court “may appoint any qualified person, authorized public official or corporation in accordance with subsections (a) and (b) of section 45a-644.” Section 45a-650
Because the question of whether § 45a-650 (h) requires the court to hear evidence before the appointment of a neutral third party conservator presents a question of statutory interpretation, our review is plenary. See Saunders v. Firtel, 293 Conn. 515, 525, 978 A.2d 487 (2009). “The process of statutory interpretation involves the determination of the meaning of the statutory language as applied to the facts of the case . . . . 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. ... In seeking to determine that meaning . . . [General Statutes] § l-2z directs us first to consider the text of the statute itself and its relationship to other statutes. If, after examining such text and considering such relationship, the meaning of such text is plain and unambiguous and does not yield absurd or unworkable results, extratextual evidence of the meaning of the statute shall not be considered. . . . When a statute is not plain and unambiguous, we also look for interpretive guidance to the legislative history and circumstances surrounding
Faced with this task of statutory interpretation, the initial question we must answer is whether the language of § 45a-650 (h) clearly and unambiguously provides that the court may appoint a neutral third party conservator without taking evidence of the person’s suitability and qualifications. We believe the silence of the statute in this regard renders the statute ambiguous. It is appropriate, therefore, for us to search the legislative history, as well as to review the entire relevant statutory scheme, in our effort to determine the meaning the legislature intended to give the language of the statute at hand.
Public Act 07-116 made procedural changes to various Probate Court proceedings, including the appointment of conservators. Public Act 07-116 established the requirement that certain probate proceedings, including all applications for conservatorship, be heard on the record. See General Statutes § 45a-645a.
Although § 45a-650 (h) sets forth factors for consideration by the court in appointing a conservator, it does not prescribe the evidentiary standard by which the court must examine these factors. In fact, the statute does not specifically require that the court hear evidence pertaining to these factors. Despite the absence of explicit language regarding the evidentiary burden to be applied to these factors, or any requirement of an evidentiary hearing, the language of the statute does not plainly and unambiguously establish that the court need not take evidence in determining whom to appoint as conservator. To the contrary, a reasonable inference from the statute is that the court should base its determination on evidence adduced dming a hearing at which interested parties have the right to participate.
In reaching this conclusion, our analysis is aided by reference to the statutory scheme as a whole. In examining the language of § 45a-650, in addition to the other provisions enacted under P.A. 07-116, it is apparent that one of the primary goals of P.A. 07-116 was to have probate proceedings recorded in order to promote
The judiciary committee also heard testimony from several members of the public regarding their experience with conservators and how P.A. 07-116 would help
From our review of these legislative proceedings, it is clear that the legislature contemplated and intended that P.A. 07-116 would result in substantial changes in the probate system, one of which being that, going forward, certain proceedings, including those involving conservatorships, would be on the record and, thus, more formal, providing accountability, transparency and due process safeguards for those involved. By
Here, although the Probate Court indicated that it considered the factors set forth in § 45a-650 (h) in appointing the defendant, necessarily implying that it found him to be qualified, the record is bereft of any evidence regarding the defendant or his qualifications to be conservator. Additionally, it is clear from the record that the interested parties in this matter did not have the opportunity to weigh in on his selection. Because the record contains no evidence regarding the defendant, any finding regarding the defendant’s qualifications finds no support in the record. The appointment of the defendant was therefore arbitrary and constituted an abuse of discretion.
The plaintiff also claims that the Probate Court improperly denied her application for conservator on the ground that there was substantial evidence that she had an existing or potential conflict.
We begin by setting forth the applicable standard of review for appeals from a Probate Court. As noted, General Statutes § 45a-186b provides in relevant part: “[T]he Superior Court shall not substitute its judgment for that of the Court of Probate as to the weight of the evidence on questions of fact. The Superior Court shall affirm the decision of the Court of Probate unless the Superior Court finds that substantial rights of the person appealing have been prejudiced because the findings, inferences, conclusions or decisions are ... clearly erroneous in view of the reliable, probative and substantial evidence on the whole record, or . . . arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion. . . .” Given that § 45a-186b was also a component of the legislature’s probate reform in 2007, there is a lack of appellate jurisprudence regarding its application. See P.A. 07-116. The language of § 45a-186b, however, is virtually identical to the language used in General Statutes § 4-183 Q) of the Uniform Administrative Procedure Act.
Relying on § 45a-650 (h), the Probate Court rejected the plaintiffs application, finding that she possessed an existing or potential conflict of interest. See General Statutes § 45a-650 (h). Whether a conflict of interest
The plaintiff asserts that the Probate Court’s conclusion regarding her conflict of interest cannot reasonably be drawn from the facts. Specifically, she argues that the Probate Court improperly inferred that the checks that she had written out to herself in 2005 illustrated a misappropriation of her power of attorney because, at the time, she had not invoked that power. Although it does appear that the Probate Court confused the plaintiffs authority in 2005, as a cosigner on Zurolo’s bank account, with her duties under a power of attorney in 2007, we conclude that this miscalculation was harmless error which does not negate the evidentiary basis
The judgment is reversed to the extent that it affirms the Probate Court’s decision appointing the defendant as conservator and the case is remanded to the Superior Court with direction to set aside the decision of the Probate Court in that regard and to remand the case to the Probate Court for a hearing on the appointment of a neutral conservator in accordance with this opinion. The judgment is affirmed in all other respects.
In this opinion GRUENDEL, J., concurred.
On April 8, 2008, the Probate Court, Carangelo, J., appointed Mirto to be the conservator of Zurolo and of her estate. Mirto participates in this appeal in his capacity as conservator. Vanessa Ramadon, Zurolo’s other daughter, is also a defendant but has not participated directly in this appeal. For convenience, we shall refer solely to Mirto as the defendant.
The plaintiff also claims that she should not be personally responsible for attorney’s fees incurred in this action after the defendant’s appointment in April, 2008. Nowhere in the Probate Court’s decision or the memorandum of decision from the Superior Court are there any orders regarding whether the plaintiff should be able to collect from the estate the fees she incurred or may have incurred following the defendant’s appointment. Rather, it appears that the Superior Court actually agreed with the plaintiff regarding her claim that the Probate Court incorrectly determined that her incurrence of fees prior to the defendant’s appointment was improper. Accordingly, the plaintiffs claim is not properly before this court as it does not arise from any order reflected in the record.
Nikols stated that the contentious relationship between the plaintiff and Ramadon was a significant factor regarding her decision to advocate for a neutral third party conservator.
General Statutes § 45a-650 (h), as amended by Public Acts 2007, No. 07-116, § 16, provides in relevant part: “The respondent or conserved person may appoint, designate or nominate a conservator ... or may, orally or in writing, nominate a conservator who shall be appointed unless the court finds that . . . there is substantial evidence to disqualify such person. If there is no such appointment ... or if the court does not appoint the person appointed . . . the court may appoint any qualified person .... In considering who to appoint as conservator, the court shall consider (1) the extent to which a proposed conservator has knowledge of the respondent’s or conserved person’s preferences regarding the care of his or her person or the management of his or her affairs, (2) the ability of the proposed conservator to carry out the duties, responsibilities and powers of a conservator, (3) the cost of the proposed conservatorship to the estate of the respondent or conserved person, (4) the proposed conservator’s commitment to promoting the respondent’s or conserved person’s welfare and independence, and (5) any existing or potential conflicts of interest of the proposed conservator.”
The Probate Court stated expressly: “Having considered the factors set forth in § 45a-650 (h) . . . and the evidence obtained through this trial, this court appoints attorney Robert Mirto ... as [the] conservator of the estate of [Zurolo].” The defendant’s appointment as conservator became effective upon the Probate Court’s receipt of a $10,000 surety bond. Although not stated explicitly, the Probate Court’s bond requirement is in accordance with § 45a-650 (i), requiring a bond for a court-appointed conservator.
In addition to her appeal, the plaintiff also filed a motion for a temporary iryunction and a motion to stay the order of the Probate Court. On May 1, 2008, the court, Hon. John W. Moran, judge trial referee, granted the plaintiffs motion for a temporary injunction and subsequently granted the plaintiffs motion to stay, pending her appeal to the Superior Court.
Pursuant to General Statutes § 45a-186 (a), as amended by P.A. 07-116, § 2, the court’s review of the plaintiffs appeal was conducted on the record. This standard of review reflected a change in the law regarding review of probate appeals taken under § 45a-650. Section 45a-186 (a) provides in relevant part: “Any person aggrieved by any order, denial or decree of a court of probate in any matter, unless otherwise specially provided by law, may . . . appeal therefrom to the Superior Court. . . . Appeals from any decision rendered in any case after a recording is made of the proceedings under section 17a-498,17a-685,45a-650,51-72 or 51-73 shall be on the record and shall not be a trial de novo.”
The court reviewed the plaintiffs claims pursuant to General Statutes § 45a-186b, which provides in relevant part: “In an appeal taken under section 45a-186 from a matter heard on the record in the Court of Probate, the Superior Court shall not substitute its judgment for that of the Court of Probate as to the weight of the evidence on questions of fact. The Superior Court shall affirm the decision of the Court of Probate unless the Superior Court finds that substantial rights of the person appealing have been prejudiced because the findings, inferences, conclusions or decisions are . . . clearly erroneous in view of the reliable, probative and substantial evidence on the whole record, or . . . arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion. ...”
General Statutes § 45a-645a provides: “Each court of probate shall cause a recording to be made of all proceedings held under sections 45a-644 to 45a-663, inclusive. The recording shall be part of the court record and shall be made and retained in a manner approved by the Probate Court Administrator.”
That is not to say that such a hearing could not be waived if interested parties have notice of the court’s intention to appoint a person other than the applicant as conservator. Here, as noted, the court appointed the defendant as conservator through the vehicle of the same memorandum of decision in which it denied the plaintiffs application. Thus, neither the plaintiff nor any other interested parties had notice that the court might appoint someone else and, consequently, they had no opportunity to be heard regarding the naming of the conservator.
Although we are not unmindful that probate judges often have detailed information about and experience with persons they appoint to serve as conservators, we agree with the plaintiffs observation that if we interpreted the statute to permit the court to appoint any person of its choosing without evidence regarding the person’s suitability and competence, interested parties would, as a practical matter, be without any recourse on appeal because of the absence of a record regarding the appointment. Such a construction, as noted, would be contradictory to the overarching purposes of the newly framed statutory scheme to be transparent and accountable. Nor do we
In her appellate brief, the plaintiff also raises separate claims that the Probate Court impermissibly considered factors not enumerated in § 45a-650 (h), namely, her contentious relationship with her sister, in rendering its decision. The plaintiff also claims that there was substantial evidence on the record to appoint her as conservator. These claims are inextricably related to the plaintiff’s claim that there was not substantial evidence to disqualify her as conservator. Because our conclusion that there was substantial evidence contained in the record to find that the plaintiff had an existing or potential conflict of interest is dispositive, we need not reach these claims.
The only substantive difference between § 45a-186b and § 4-183 (j) is that § 45a-186b refers to a “court of probate” rather than “agency” as stated in § 4-183 Q)-
Prior to invoking her power of attorney, the plaintiff was a cosigner on Zurolo’s bank account. In its memorandum of decision, the Probate Court referred specifically to five checks made out to the plaintiff or to cash as being a factor in its decision that the plaintiff had an existing or potential conflict of interest. Specifically, the Probate Court stated that the plaintiff “acting as the power of attorney . . . acted improperly by writing checks out to herself . . . .” Only two out of the five checks were actually signed by the plaintiff.
General Statutes § 45a-644 (lc) provides: “ ‘Least restrictive means of intervention’ means intervention for a conserved person that is sufficient to provide, within the resources available to the conserved person either from the conserved person’s own estate or from private or public assistance, for a conserved person’s personal needs or property management while affording the conserved person the greatest amount of independence and self-determination.” (Emphasis added.)
Prior to invoking the springing power of attorney, the plaintiff was a cosigner on Zurolo’s bank account. In 2005, five checks totaling $38,000 were made out to the plaintiff or to cash. Each check was in the amount of $7600. Two of those checks were made out to the plaintiff and signed by the plaintiff under her authority as cosigner. With respect to the three other checks, two were made out to the plaintiff and one was made out to cash and all three were signed by Zurolo.
Dissenting Opinion
dissenting in part. I respectfully disagree with the majority’s conclusion that the trial court improperly construed General Statutes § 45a-650 (h) when it affirmed the Probate Court’s appointment of the defendant attorney Robert Mirto as a neutral third party conservator without first receiving evidence regarding his qualifications. In contradistinction from the majority, I do not believe that the absence of language in § 45a-650 (h), requiring that a Probate Court receive evidence on the qualifications of a neutral third party conservator, renders the plain language of the statute ambiguous. Accordingly, I dissent from part I of the majority decision.
In addition to the majority’s enunciation of our process of statutory interpretation, I note that “ [t]he legislature is always presumed to have created a harmonious
It is against this legal backdrop that I begin by underscoring the plain language of the statute with respect to a Probate Court’s authority to appoint a neutral third party conservator. Section 45a-650 (h) provides in relevant part: “[I]f the court does not appoint the person appointed, designated or nominated by the respondent or conserved person, the court may appoint any qualified person, authorized public official or corporation in accordance with subsections (a) and (b) of section 45a-644. In considering who to appoint as conservator, the court shall consider (1) the extent to which a proposed conservator has knowledge of the respondent’s or conserved person’s preferences regarding the care of his or her person or the management of his or her affairs, (2) the ability of the proposed conservator to carry out the duties, responsibilities and powers of a conservator, (3) the cost of the proposed conservator-ship to the estate of the respondent or conserved person, (4) the proposed conservator’s commitment to promoting the respondent’s or conserved person’s welfare and independence, and (5) any existing or potential conflicts of interest of the proposed conservator.”
The majority contends, however, that the plain language of § 45a-650 (h) is rendered ambiguous because there is no guidance in this particular section with respect to whether the court must receive evidence pertaining to the suitability and qualifications in the appointment of a neutral third party conservator. I note, however, that statutory silence does not immediately or necessarily equate to ambiguity. See Dept. of Public Safety v. State Board of Labor Relations, 296 Conn. 594, 605-606, 996 A.2d 729 (2010) (statutory silence regarding additional requirements that managerial employees exercise independent judgment did not render statute ambiguous); Wilton Meadows Ltd. Partnership v. Coratolo, supra, 299 Conn. 829-30 (statutory
I do not agree that the trial court’s construction of § 45a-650 (h), in conjunction with General Statutes § 45a-186 (a), will yield absurd and unworkable results or is ambiguous as the majority posits.
“Where a statute, with reference to one subject contains a given provision, the omission of such provision from a similar statute concerning a related subject . . . is significant to show that a different intention existed. . . . That tenet of statutory construction is well grounded because [t]he General Assembly is always
A plain reading of the statute, however, reveals that the legislature has chosen specifically not to mandate such a requirement in circumstances such as these. Moreover, the language contained in the statute, prior to the reforms instituted by P.A. 07-116 regarding a Probate Court’s authority to appoint a conservator in similar situations, is virtually identical to the language of § 45a-650 (h).
I respectfully dissent.
I join the majority’s conclusion that there was sufficient evidence in the record to affirm the Probate Court’s determination that there was either an existing or potential conflict of interest regarding the application of the plaintiff, Jannine Falvey, to become conservator of her mother’s estate. I also agree with the conclusion that the plaintiffs claim pertaining to attorney’s fees is not properly before this court.
I note that neither Zurolo’s court-appointed attorney nor Vanessa Rama-don, the plaintiffs sister, opposed the appointment of Mirto as a neutral third party conservator.
When read in context, the plain language of the statute illustrates that the legislature sought purposefully to maintain the Probate Court’s ability to appoint a conservator in circumstances such as these given the adequate statutory protections in place after the conservator is appointed by the court. For example, “[t]he Probate Court is under an affirmative duty to protect the assets of a [conserved person’s] estate. . . . The court, and not the conservator, is primarily entrusted with the care and management of the [conserved person’s] estate, and, in many respects, the conservator is but the agent of the court." (Citation omitted; emphasis altered; internal quotation marks omitted.) Marcus’ Appeal from Probate, 199 Conn. 524, 529, 509 A.2d 1 (1986). Contrary to the majority’s assertion, I believe that there are ample statutory provisions for review of the Probate Court’s appointment of a conservator. General Statutes § 45a-705a specifically allows a conserved person to appeal the legality of guardianship pursuant to a writ of habeas corpus. See General Statutes § 45a-705a. Additionally, the Probate Court is required to “review each conservatorship not later than one year after the conservatorship was ordered, and not less than every three years after such initial one-year review.” General Statutes § 45a-660 (c). Subsequent to that review, a conserved person may request, and the Probate Court must grant, a hearing to modify the conservatorship under § 45a-660. See General Statutes § 45a-660 (d).
Even if I were to accept the majority’s position, that the absence of an evidentiary requirement requires us to delve into the statutory history of the statute, the previous language of this provision, when juxtaposed with the extensive probate reforms instituted by Public Acts 2007, No. 07-116, illustrate that the legislature intended to maintain that omission purposefully to allow probate judges the discretion to appoint neutral third party conservators. This is because of a Probate Court’s unique position within its community to understand the needs of a conserved person in conjunction with its experience regarding the capabilities of neutral third party conservators to fulfill those needs. See footnote 5 of this dissent.
General Statutes (Rev. to 2007) § 45a-650 (e) provides in relevant part: “[I]n the absence of any such nomination [of a proposed conservator by the conserved person], the court may appoint any qualified person, authorized public official or corporation in accordance with subsections (a) and (b) of section 45a-644.” (Emphasis added.) Although P.A. 07-116 subsequently supplemented the criteria that a probate judge shall consider prior to appointing a neutral third party conservator, the revisions made no mention of a requirement for the Probate Court to receive evidence in pertinence to those enumerated factors. Compare General Statutes (Rev. to 2007) § 45a-650 (e) with General Statutes § 45a-650 (h).
Reference
- Full Case Name
- Jannine Falvey v. Rose Zurolo Et Al.
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