242 Conn. 236 | Conn. | 1997
Lead Opinion
Opinion
This certified appeal raises two distinct issues: (1) whether the commencement of a class action tolls the statute of limitations for all individual claims by purported members of the class who would have been parties had the class not subsequently been limited; and (2) whether the statute of limitations set forth in General Statutes § 52-584,
On March 11, 1988, the plaintiffs, Delores Grimes and her mother, Ethel Grimes, brought an action for damages for personal injuries they received on September 4, 1982, as a result of the alleged negligence of the defendant, the housing authority of the city of New Haven, due to its failure to provide hot water to the plaintiffs’ residence at the Elm Haven Extension Apartments (Elm Haven) in New Haven. On February 21, 1992, the defendant filed a motion for summary judgment claiming that the plaintiffs’ claims were barred by the two year period of limitations in § 52-584, because the plaintiffs’ negligence action was not brought until more than five and one-half years after the alleged injuries were sustained. The trial court
The following undisputed facts are relevant to this appeal.
On December 22, 1981, the trial court in Connelly ordered that this “action provisionally be allowed to be maintained as a class action for all of the tenants in the buildings of New Haven Housing Authority collectively known as Elm Haven High Rises” and issued a temporary injunction ordering the defendant to make immediate repairs to restore heat and hot water to the tenants’ apartments. (Emphasis added.) The trial court did not set inclusive dates with respect to the tenants who were covered under the class.
In January, 1987, the trial court in Connelly limited the class to those tenants who resided at Elm Haven between November 1, 1981, and March 31, 1982, and who lacked adequate heat and hot water in their apartments. The establishment of this time frame had the effect of excluding the plaintiffs here with respect to the injuries they sustained as a result of the incident on September 4, 1982. On March 11, 1988, the plaintiffs commenced this action, less than fifteen months after they were ousted from the Connelly class. On May 22, 1995, the trial court granted the defendant’s motion for summary judgment on the ground that their claims were barred by the two year statute oflimitations for personal injury actions in § 52-584. In granting the motion, the trial court concluded that the plaintiffs’ claim for dam
I
The plaintiffs argue that the tolling rule for class actions announced by the United States Supreme Court in American Pipe & Construction Co. v. Utah, supra, 414 U.S. 538, should be adopted in Connecticut. In response, the defendant argues that because Connecticut class action rules are not identical to the federal rules, the American Pipe & Construction Co. rule should be rejected. Although this court previously has not had the occasion to consider this rule,
In American Pipe & Construction Co., the United States Supreme Court held that “the commencement of a class action suspends the applicable statute of limitations as to all asserted members of the class who would have been parties had the suit been permitted to continue as a class action.” (Emphasis added.) Id., 554. In that case, the court approved the intervention of third parties on whose claims the statute of limitations would otherwise have run.
If the statute of limitations is not tolled by the filing of the class action, “class members would not be able to rely on the existence of the suit to protect their rights. ... A putative class member who fears that class certification may be denied would have every incentive to file a separate action prior to the expiration of his own period of limitations. The result would be a needless multiplicity of actions — precisely the situation that [rule 23 of the Federal Rules of Civil Procedure] and the tolling rule of [American Pipe & Construction Co.] were designed to avoid.” Crown, Cork & Seal Co. v. Parker, 462 U.S. 345, 350-51, 103 S. Ct. 2392, 76 L. Ed. 2d 628 (1983). Potential class members should not be induced to “file protective motions to intervene or to join [a class action] in the event that a class was later found unsuitable.” American Pipe & Construction Co. v. Utah, supra, 414 U.S. 553.
We thus conclude that the American Pipe & Construction Co. tolling rule that the commencement of a class action suspends the applicable statute of limitations as to all asserted members of the class who would have been parties had the suit been permitted to continue as a class action as originally brought is the rule most consistent with Connecticut class action procedure. Accordingly, we adopt that rule.
II
We next consider whether the American Pipe & Construction Co. rule applies to toll the commencement of the two year statute of limitations for the plaintiffs’
In order to satisfy the notice requirement, the American Pipe & Construction Co. rule can be applied only in those situations where the class action has “notifie[d] the defendants ... of the substantive claims being brought against them [and] of the number and generic identities of the potential plaintiffs who may participate in the judgment.” American Pipe & Construction Co. v. Utah, supra, 414 U.S. 555. The defendant argues that
A
The defendant argues that the Connelly complaint did not provide it with notice of the substantive claims filed by the plaintiffs here because the Connelly complaint did not involve “exactly the same cause of action subsequently asserted.” Johnson v. Railway Express Agency, Inc., 421 U.S. 454, 467, 95 S. Ct. 1716, 44 L. Ed. 2d 295 (1975). Because the plaintiffs base their complaint on a negligence theory, and the Connelly plaintiffs base their complaint on statutory and code violations, the defendant concludes that the plaintiffs here have asserted a different cause of action. We disagree.
It is correct, as the plaintiffs concede, that the complaint in this case is predicated on a different legal theory. In this case, the plaintiffs seek damages based on the defendant’s negligence. In Connelly, the plaintiffs sought damages and other relief based upon the defendant’s continuing violation of § 47a-7 (a) and the New Haven housing code. The United States Court of Appeals for the Second Circuit addressed this precise issue in Cullen v. Margiotta, supra, 811 F.2d 719, when it held, “we do not regard the fact that the state court action was premised on different legal theories as a reason not to apply American Pipe & Construction Co. tolling to save the claims of class members who were not named plaintiffs in the state court action. It is not a flaw under that doctrine that the first action did not alert the defendant to have its lawyers research the
In Cullen, the court reasoned that it would be inconsistent with the underlying policy of American Pipe & Construction Co. to decide that a change of legal theory amounts to a lack of notice that would bar application of the class action tolling rule. Such a limitation would “encourage and require absent class members to file protective motions to intervene and assert their new legal theories prior to class certification . . . .” (Citations omitted.) Id., 721. Connecticut’s class action procedures, however, are designed to prevent the proliferation of lawsuits, and duplicative efforts and expenses. The extent of proliferation and duplication problems in this case is illustrated by the fact that every one of the hundreds of tenants of Elm Haven would have needed to file separate actions or motions to intervene to protect his or her rights in the event the trial court did not finally certify the Connelly action as a class action, or in the event the court excluded them from the certified class.
In both the Connelly class action and the present case, the facts relating to the defendant’s conduct and the establishment of the breach of duty are the same. The Connelly plaintiffs and the plaintiffs in this case had a right to services, including reasonable amounts of hot water at all times, and reasonable heat. General Statutes § 47a-7 (a); paragraph 300 of the New Haven housing code. Both alleged that they suffered harm as a result of the defendant’s continuing failure to provide sufficient and stable hot water for its tenants. Presumably, the plaintiffs will probably attempt to show at trial that the violation of statutorily prescribed duties under § 4-7a-7 (a) and paragraph 300 of the New Haven housing code constituted negligence per se.
Our state law with respect to relation back theory supports the Second Circuit’s view that changes in legal theories do not create different causes of action. Cullen v. Margiotta, supra, 811 F.2d 720-21. A long-standing principle in Connecticut is that “[a] right of action at law arises from the existence of a primary right in the plaintiff, and an invasion of that right by some delict on the part of the defendant. The facts which establish the existence of that right and that delict constitute the cause of action.” Pavelka v. St. Albert Society Branch No. 30, 82 Conn. 146, 147, 72 A. 725 (1909). This court has also held for relation back purposes that “ [a] change in, or an addition to, a ground of negligence or an act of negligence arising out of the single group of facts which was originally claimed to have brought about the unlawful injury to the plaintiff [as is alleged in this case] does not change the cause of action. . . . It is proper to amplify or expand what has already been alleged in support of a cause of action, provided the identity of the cause of action remains substantially the same . . . .” (Citations omitted; internal quotation marks omitted.) Sharp v. Mitchell, supra, 209 Conn. 71-72. Because the identity of the plaintiffs’ cause of action remains sub
The defendant also argues that the Connelly complaint did not put it on notice of the remedy being sought by the plaintiffs in this case. Notwithstanding the well settled law with respect to the broad construction of pleadings, the defendant asserts that the Connelly plaintiffs did not seek compensatory relief for the injuries caused by the defendant’s alleged statutory and municipal code violations. We disagree.
“ [T]he interpretation of pleadings is always a question of law for the court . . . .” (Citations omitted; internal quotation marks omitted.) Geren v. Board of Education, 36 Conn. App. 282, 290, 650 A.2d 616 (1994), cert. denied, 232 Conn. 907, 653 A.2d 194 (1995). “The modem trend, which is followed in Connecticut, is to construe pleadings broadly and realistically, rather than narrowly and technically.” (Emphasis added; internal quotation marks omitted.) Beaudoin v. Town Oil Co., 207 Conn. 575, 587-88, 542 A.2d 1124 (1988). “As long as the pleadings provide sufficient notice of the facts claimed and the issues to be tried and do not surprise or prejudice the opposing party, we will not conclude that the complaint is insufficient . . . .” (Internal quotation marks omitted.) Edwards v. Tardif 240 Conn. 610, 620, 692 A.2d 1266 (1997).
Our review of the pleadings reveals that the Connelly plaintiffs sought more than mere injunctive relief for the defendant’s alleged violation of § 47a-7 (a) and the New Haven housing code. Paragraph eight of count one of the Connelly complaint provides in part: “The named plaintiffs, in addition to maintaining this action on their own behalf, seek to maintain this action for injunctive
Furthermore, events subsequent to the filing of the Connelly complaint provided the defendant with further notice that some of the plaintiffs in the Connelly class would present damage claims for personal injuries resulting from the lack of hot water in their apartments. After counsel for the class stated at the preliminary injunction hearing on December 18, 1981, that his clients were concerned that children were being put in danger because families had to resort to boiling water in order to take baths, the defendant should have been able to foresee that one or more of the Connelly plaintiffs, like the named plaintiff here, would sustain severe burns from boiling hot water. The fact that the named plaintiffs previously described injuries “may be more or less extensive than that of some of the class members is not sufficient to make [their] claims ‘markedly differ
Moreover, the defendant should not be heard to complain that it was not put on notice when it failed to take any action between December, 1981, and January, 1987, to narrow the broad pleadings in Connelly that sought damages for individual members of the class, who, as a result of the lack of hot water, were “subjected to . . . unsafe conditions which materially affect their health and well-being.”
Furthermore, in January, 1987, the defendant stipulated to a court-ordered class notice that informed potential class members: “You have a right to be included in this lawsuit if you . . . believe you suffered damages because the Housing Authority did not provide you with adequate heat or hot water . . . .’’(Emphasis added.) The notice further stated that if the defendant was found liable for damages, each class member would have “a separate hearing to determine what damages would be awarded.” (Emphasis added.) Thus, when the class was certified, the defendant recognized that individual class members would seek damages for personal injuries suffered as a result of its failure to provide adequate hot water.
We share the Appellate Court’s concern that we must make “certain that [American Pipe & Construction Co.] is not abused by the assertion of claims that differ from those raised in the original class suit.” Grimes v. Housing Authority, supra, 42 Conn. App. 330, citing
B
The defendant also claims that the Connelly complaint never put it on notice that the plaintiffs here were potential class members because the complaint did not refer to residents of the plaintiffs’ apartment building. It is evident from the record that the omission of the street address of the plaintiffs’ apartment, 250 Ashmun Street, from the complaint, does not alter the fact that the plaintiffs were tenants of one of the Elm Haven apartments generally referred to in the complaint. Moreover, the trial court issued an oral order at the hearing on the temporary injunction in Connelly that provisionally included tenants of the building at 250 Ashmun Street as class members without limitation.
The defendant further argues that the plaintiffs were never members of the Connelly class because their injuries occurred nine months after the Connelly complaint was filed. Its argument is premised on the mistaken belief that the Connelly plaintiffs limited their allegations to statutory and ordinance violations fixed in time. Contrary to the defendant’s belief, the Connelly complaint attempted to address present and future harm caused by the defendant’s continuing failure to supply sufficient hot water. Specifically, the Connelly complaint stated that the defendant had failed, in violation of § 47a-7 (a), and the New Haven housing code, to make necessary repairs to the hot water systems at the Elm Haven apartments. The complaint further alleged that by remaining in a state of disrepair, the defendant’s buildings posed risks to the health and well-being of class members. Finally, the complaint alleged in count two that by continuing to rent apartments that lack sufficient heat and hot water to the plaintiffs, the defendant was violating General Statutes § 42-110b (a).
Finally, tolling the statute of limitations in this case is consistent with the rationale of the rule in American Pipe & Construction Co. The court in that case explained that rule 23 of the Federal Rules of Civil Procedure is not designed to limit class action representation to those who are active participants in the litigation, or to those who are aware of the proceedings. American Pipe & Construction Co. v. Utah, supra, 414 U.S. 551-52. During the pendency of the trial court’s determination whether to certify the class, “potential class members are mere passive beneficiaries of the action brought in their behalf.” Id., 552. Although not necessary under American Pipe & Construction Co., Ethel Grimes considered herself a class member, and looked to the Connelly action to protect her rights. She testified at her deposition that she did not file an individual action after her child Delores was injured because she was aware of the Connelly action and believed she had “signed up” to be a class member.
The judgment of the Appellate Court is reversed and this case is remanded to the trial court for further proceedings consistent with this opinion.
In this opinion NORCOTT, KATZ and PALMER, Js., concurred.
General Statutes § 52-584 provides in relevant part: “No action to recover damages for injury to the person . . . caused by negligence . . . shall be brought but within two years from the date when the injury is first sustained or discovered or in the exercise of reasonable care should have been discovered, and except that no such action may be brought more than three years from the date of the act or omission complained of . . . .”
Many of these fads are reproduced in Connelly v. Housing Authority, 213 Conn. 354, 567 A.2d 1212 (1990) (holding that trial court properly dismissed count two of class action complaint because municipal housing authority is exempted from liability under Connecticut. Unfair Trade Practices Act, General Statutes § 42-110a et seq., when it leases subsidized units to low income tenants).
Practice Book § 87 provides: “One or more members of a class may sue or be sued as representative' parties on behalf of all only if (1) the class is so numerous that joinder of ail members is impracticable, (2) then' are questions of law or fact common to the class, (3) the claims or defenses of the representative parties are typical of the claims or defenses of the class, and (1) the representative parties will fairly and adequately protect the interests of the class.”
General Statutes § 47a-7 (a) provides in relevant part: “A landlord shall: (1) (tomply with the requirement s of chapter 368o and all applicable building and housing codes materially affecting health and safety of both the state or any political subdivision thereof; (2) make all repairs and do whatever
Paragraph 300 of the New Haven housing code provides in pertinent part: “(e) The water-heating facilities necessary to provide the hot water required . . . shall be maintained in safe and good working condition, and shall be capable of heating water to such a temperature as to permit an adequate amount of water to be drawn at every required kitchen sink, lavatory basin, bathtub or shower at a temperature of not less than one hundred and twenty (120) degrees Fahrenheit . . . .”
In count two of the complaint, the Connelly plaintiffs alleged that the defendant had violated the Connecticut Unfair Trade Practices Act, specifi
We note that the rule was relied upon in one Connecticut federal court opinion, and in one Superior Court opinion. See West Haven School District v. Owens-Coming Fiberglass Corp., 721 F. Sup. 1547, 1555 (D. Conn. 1988) (applying American Pipe & Construction Co. to determine whether plaintiffs complaint arising under Connecticut law was filed within applicable three year statute of limitations period for products liability complaints); Campbell v. Board of Education, 36 Conn. Sup. 357, 364 n.6, 423 A.2d 900 (1980) ("American Pipe & Construction Co. v. Utah, [supra] 414 U.S. 538, established that the timeliness of the claims of class members is measured' as of the date of the complaint, not the date that the class was certified. That is, the statute is tolled from the time the complaint was filed until the decision on class certification is made.”).
After the decision in American Pipe & Construction Co. was announced, several United States Circuit Courts of Appeals held that the tolling rule of that case applies only to asserted class members who seek to intervene after denial of class certification, and not to those who, like the plaintiffs here, file individual actions. Subsequently, in Crown, Cork & Seal Co. v. Parker, 462 U.S. 345, 103 S. Ct. 2392, 76 L. Ed. 2d 628 (1983), the Supreme Court held that the tolling rule in American Pipe & Construction Co. also protects asserted members of the class who file separate individual actions.
Although the Connelly class did not fail for the original class as a whole —that, is, all the residents of Elm Haven who lacked adequate heat and hot water — it did fail for the plaintiffs in this case because the class order, entered long after the date of the plaintiffs’ injuries, limited the class to “those persons who resided at any time between November 1, 1981, and March 31, 1982, at Project 4-7 known as the Elm Haven High Rises and who lacked adequate heat or hot water in their respective apartments” and were injured during that period.
See Gore v. People’s Savings Bank, 235 Conn. 360, 380, 665 A.2d 1341 (1995) ('‘[General Statutes] § 47a-8 imposes on landlords a standard of care
Practice Book § 147 provides in pertinent pari: “Whenever any party desires to obtain (1) a more complete or particular statement of the allegations of an adverse party's pleading, or . . . (3) separation of causes of action which may be united in one complaint when they are improperly combined in one count . . . the party desiring any such amendment in an adverse party’s pleading may file a timely request to revise that pleading.”
The trial court’s order included the following language: “Although 250 Ashmun Street has not been includ[ed] specifically in the pleadings [by address], I . . . can’t include five buildings without including the sixth. I’ve heard the parties, I’ve heard the evidence and I’m going to order that this action provisionally be allowed to be maintained as a class action for all of the tenants in the building of New Haven Housing Authority collectively known as Elm Haven Extension . . .
Pat McFarland, a social worker, in a letter dated September 14, 1982, stated: “On September 7, 1982, Delores Grimes received second degree bums to 15 [percent] of her body. Delores is a 10 year old girl who was taking water from the stove to bathe. The reason the family was heating water was because as Mrs. Ethel Grimes, Delores’ mother related to me, the family had been without hot water that entire day, and has experienced subsequent periods without hot water. Mrs. Grimes stated this problem had been reported and was supposed to be taken care of.”
See footnote 6 of this opinion.
At her deposition, Ethel Grimes responded to questions by the defendant’s counsel as follows:
“Q: Why didn’t you sue earlier relating to the accident? Why did you wait so long?
“A. Well, I had signed, you know — I thought I was already signed up at the time.
“Q. What do you mean signed up?
“A. You know, as far as being, you know, suing.
“Q. Did you have any discussions with any of the attorneys involved in the tenants’ lawsuit about the accident?
“A. Yes, I did.”
Dissenting Opinion
dissenting. I respectfully dissent for the reasons set forth in the thoughtful and comprehensive opinion of the Appellate Court. See Grimes v. Housing Authority, 42 Conn. App. 324, 679 A.2d 397 (1996).