LAWRENCE S. JEZOUIT v. DANNEL P. MALLOY ET AL.
(AC 40839)
Connecticut Appellate Court
Argued May 22—officially released October 15, 2019
DiPentima, C. J., and Moll and Beach, Js.
***********************************************
The “officially released” date that appears near the beginning of each opinion is the date the opinion will be published in the Connecticut Law Journal or the date it was released as a slip opinion. The operative date for the beginning of all time periods for filing postopinion motions and petitions for certification is the “officially released” date appearing in the opinion.
All opinions are subject to modification and technical correction prior to official publication in the Connecticut Reports and Connecticut Appellate Reports. In the event of discrepancies between the advance release version of an opinion and the latest version appearing in the Connecticut Law Journal and subsequently in the Connecticut Reports or Connecticut Appellate Reports, the latest version is to be considered authoritative.
The syllabus and procedural history accompanying the opinion as it appears in the Connecticut Law Journal and bound volumes of official reports are copyrighted by the Secretary of the State, State of Connecticut, and may not be reproduced and distributed without the express written permission of the Commission on Official Legal Publications, Judicial Branch, State of Connecticut.
***********************************************
Syllabus
The plaintiff brought this action against the defendant state officials, officers and employees, claiming that telephone calls he had made to them were unlawfully recorded because they failed to obtain his consent or to provide him with notice in violation of statute (
- The trial court properly granted the defendants’ motion to dismiss the plaintiff‘s complaint on the ground that the defendants were immune from suit pursuant to the doctrine of sovereign immunity:
- The plaintiff could not prevail on his claim that because
§ 52-570d authorizes an aggrieved person to bring an action in the Superior Court, as does similar language in the statute (§ 17a-550 ) that provides remedies for violations of the patients’ bill of rights, the only possible interpretation of§ 52-570d is that it impliedly waives sovereign immunity: unlike§ 17a-550 , which makes no distinction between patients of private and public mental health facilities,§ 52-570d does not implicate a compelling public policy reason to provide those who have their telephonic communications recorded in an illegal fashion by the government the same civil remedy as those who are recorded illegally by private parties and, thus, no language in§ 52-570d required an interpretation that it impliedly waives sovereign immunity; moreover, related statutes that evidenced the remedial nature of§ 17a-550 illuminated the breadth of the legislative concern for the fair treatment of mental patients, and a statute‘s instruction as to what an aggrieved person must file and where to file it did not compel the conclusion that such a statute waives sovereign immunity. - There was no merit to the plaintiff‘s assertion that because
§ 52-570d (b) exempts from liability certain state officials, it waives sovereign immunity from suit by necessary implication for those state officials not so designated, such as the defendants: the implicit waiver of sovereign immunity from liability in§ 52-570d (a) and(b) did not implicitly waive sovereign immunity from suit, and the exemption of certain state officials in§ 52-570d (b) from the provisions of§ 52-570d (a) did not require the conclusion that the legislature intended to waive sovereign immunity from suit with respect to those claims, as a statute logically can be interpreted as waiving sovereign immunity from liability with respect to certain state officials but not waiving sovereign immunity from suit with respect to claims against those officials; moreover, where the state waives sovereign immunity from liability but not its immunity from suit, an aggrieved person in such circumstances is not without recourse and may seek recovery against the state by filing a claim with the Claims Commissioner pursuant to statute (§ 4-141 et seq.).
- The plaintiff could not prevail on his claim that because
- The plaintiff could not prevail on his claim that because he sought declaratory and injunctive relief on the basis of a substantial allegation of wrongful conduct to promote an illegal purpose in excess of an officer‘s statutory authority, the trial court improperly dismissed his complaint by failing to apply the exception to sovereign immunity for claims of declaratory and injunctive relief, as the plaintiff failed to alleged a cognizable claim under that exception to sovereign immunity; the trial court properly determined that the complaint did not set forth substantial allegations of wrongful conduct by the defendants to promote an illegal purpose in excess of their statutory authority, as the plaintiff‘s interpretation of
§ 52-570d would impose civil liability on state officials for conduct as innocuous as having an answering system that records voice mails, and the plaintiff failed to allege that the defendants recorded his telephonic communications to promote an illegal purpose and did not allege any purpose behind the recording of his telephonic communications in a manner proscribed by§ 52-570d (a) .
Procedural History
Action, inter alia, to enjoin the defendants from recording certain telephonic communications in the course of their official business, and for other relief, brought to the Superior Court in the judicial district of Hartford, where the court, Elgo, J., granted the defendants’ motion to dismiss; thereafter, the court granted the plaintiff‘s motion for reargument and vacated in part its order granting of the defendants’ motion to dismiss; subsequently, the court granted the defendants’ motion for reconsideration and rendered judgment dismissing the action, from which the plaintiff appealed to this court. Affirmed.
Maura Murphy Osborne, assistant attorney general, with whom, on the brief was George Jepsen, former attorney general, for the appellees (defendants).
Opinion
DiPENTIMA, C. J. The plaintiff, Lawrence S. Jezouit, appeals from the judgment of the trial court dismissing his complaint on the basis of sovereign immunity. The plaintiff argues that the court improperly dismissed his complaint because (1) he brought his claim pursuant to General Statutes
The following facts and procedural history are relevant to this appeal. In his complaint, the plaintiff alleged that, on May 26, 2010, he sought to record a telephone conversation that he had with an agent of the Internal Revenue Service (IRS). When
After researching the law, the plaintiff concluded that the state‘s routine practice of recording telephone communications was illegal because state officials failed to obtain consent, or to provide notification to the recorded party, in accordance with the provisions of
As to the gravamen of his complaint, the plaintiff alleged that he was recorded illegally when, on various dates in March, 2015, he called the defendants (with one exception) and left messages on their respective automated answering systems.2 The plaintiff alleged that these recordings were obtained illegally because the defendants failed to obtain consent or to provide notice in a manner required by
On June 18, 2015, the defendants filed a motion to dismiss the plaintiff‘s complaint in its entirety. In their motion, the defendants argued that the plaintiff‘s claims were barred by the doctrine of sovereign immunity. In a memorandum of decision, dated August 6, 2015, the trial court granted the defendants’ motion on the grounds that
In its September 7, 2017 memorandum of decision, the court noted that, in accordance with our Supreme Court‘s holding in Envirotest Systems Corp. v. Commissioner of Motor Vehicles, 293 Conn. 382, 978 A.2d 49 (2009) (Envirotest), in order for a statute to waive the state‘s sovereign immunity from suit by force of necessary implication, the waiver must be the ”only possible interpretation of the [statutory] language.” (Emphasis in original.) Id., 390. Applying this holding to
I
The plaintiff contends that the court improperly dismissed his complaint because
We begin our analysis by setting forth the legal principles that guide our review. “[T]he doctrine of sovereign immunity implicates subject matter jurisdiction and is therefore a basis for granting a motion to dismiss. . . . 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.” (Internal quotation marks omitted.) Macellaio v. Newington Police Dept., 142 Conn. App. 177, 179–80, 64 A.3d 348 (2013).
“The principle that the state cannot be sued without its consent, or sovereign immunity, is well established under our case law. . . . [T]he practical and logical basis of the doctrine [of sovereign immunity] is today recognized to rest . . . on the hazard that the subjection of the state and federal governments to private litigation might constitute a serious interference with the performance of their functions and with their control over their respective instrumentalities, funds, and property. . . . Not only have we recognized the state‘s immunity as an entity, but [w]e have also recognized that because the state can act only through its officers and agents, a suit against a state officer concerning a matter in which the officer represents the state is, in effect, against the state. . . . Exceptions to this doctrine are few and narrowly construed under our jurisprudence.” (Citations omitted; internal quotation marks omitted.) Markley v. Dept. of Public Utility Control, 301 Conn. 56, 65, 23 A.3d 668 (2011).
“The doctrine of sovereign immunity is a rule of common law that operates as a strong presumption in favor of the state‘s immunity from liability or suit. See C. R. Klewin [Northeast, LLC] v. Fleming, [284 Conn. 250, 258, 932 A.2d 1053 (2007)] (The principle that the state cannot be sued without its consent . . . is well established under our case law. . . . It has deep roots in this state and our legal system in general, finding its origin in ancient common law. . . . [T]his court has recognized the well established principle that statutes in derogation of sovereign immunity should be strictly construed. . . . [When] there is any doubt about their meaning or intent they are given the effect which makes the least rather than the most change in sovereign immunity. . . . In an action against the state in which damages are sought, a plaintiff seeking to circumvent the doctrine of sovereign immunity must show that . . . the legislature, either expressly or by force of a necessary implication, statutorily waived the state‘s sovereign immunity . . . .‘’ (Citation omitted; emphasis omitted; internal quotation marks omitted.) Envirotest Systems Corp. v. Commissioner of Motor Vehicles, supra, 293 Conn. 387–88. The parties agree that
In Envirotest, our Supreme Court explained that in order for a statute to waive sovereign immunity by force of necessary implication, “it is not sufficient that
A
The plaintiff first argues that the court improperly concluded that
In Mahoney, our Supreme Court addressed, inter alia, whether General Statutes § 17-206k (now
We conclude that the plaintiff‘s argument ignores several distinguishing factors between the statute at issue in Mahoney and
In Martinez, the plaintiff, a former state police trooper, brought suit against the state pursuant to General Statutes § 53-39a, “seeking reimbursement for expenses and costs he had incurred in defending himself against criminal charges that arose out of his alleged conduct during the course of duty.” Id., 75. After examining the language of the statute, our Supreme Court concluded that the plaintiff‘s claims were barred by the doctrine of sovereign immunity because § 53-39a did not include an express or implied waiver of the state‘s immunity from suit. Id., 88. Shortly after the court‘s decision was published, the legislature amended the statute to include language that authorized aggrieved persons to enforce the provisions of § 53-39a by way of a private cause of action filed in the Superior Court. See General Statutes (Rev. to 2003) § 53-39a, as amended by
Although the plaintiff is correct that the legislature amended § 53-39a by adding a provision that authorizes an aggrieved person to bring an action in the Superior Court, we disagree that the interplay between Martinez and the 2003 amendment to § 53-39a compels the conclusion that whenever a statute instructs an aggrieved person “what to file” and “where to file,” it constitutes a waiver of sovereign immunity. For one, we note that, unlike
B
The plaintiff next argues that
In claiming that the statute implicitly waives sovereign immunity from suit because it exempts certain state actors from the provisions of subsection (a), the plaintiff conflates a waiver of the state‘s sovereign immunity from liability with a waiver of its sovereign immunity from suit. See Rivers v. New Britain, 288 Conn. 1, 11, 950 A.2d 1247 (2008) (“[s]overeign immunity is comprised of two concepts, immunity from liability and immunity from suit” [internal quotation marks omitted]). There is a “conceptual distinction between sovereign immunity from suit and sovereign immunity from liability. Legislative waiver of a state‘s suit immu-nity merely establishes a remedy by which a claimant may enforce a valid claim against the state and subjects the state to the jurisdiction of the court. By waiving its immunity from liability, however, the state concedes responsibility for wrongs attributable to it and accepts liability in favor of a claimant.” (Internal quotation marks omitted.) Vejseli v. Pasha, supra, 282 Conn. 570 n.8. In such circumstances where the state waives sovereign immunity from liability but not its immunity from suit, an aggrieved person is not without recourse, as he “may seek recovery against the state by filing a claim with the claims commissioner in accordance with General Statutes § 4-141 et seq.” Rivers v. New Britain, supra, 12. Accordingly, we can logically interpret a statute as waiving sovereign immunity from liability with respect to certain state officials but not waiving sovereign immunity from suit with respect to claims against those officials.
Applying this principle to
In light of the foregoing, we do not agree with the plaintiff that the only possible interpretation of
II
In his second claim on appeal, the plaintiff argues that the court improperly dismissed his complaint by failing to apply the recognized exception to sovereign immunity for claims of declaratory and injunctive relief. Specifically, the plaintiff argues that he has sought declaratory and injunctive relief on the basis of a substantial allegation of wrongful conduct to promote an illegal purpose in excess of an officer‘s statutory authority.12 We disagree
As stated previously in this opinion, “[t]he sovereign immunity enjoyed by the state is not absolute. There are [three] exceptions . . . .” (Citations omitted; internal quotation marks omitted.) Columbia Air Services, Inc. v. Dept. of Transportation, 293 Conn. 342, 349, 977 A.2d 636 (2009). The first exception, as discussed in part I of this opinion, occurs “when the legislature, either expressly or by force of a necessary implication, statutorily waives the state‘s sovereign immunity“; the second exception occurs “when an action seeks declaratory or injunctive relief on the basis of a substantial claim that the state or one of its officers has violated the plaintiff‘s constitutional rights“; and the third exception occurs “when an action seeks declaratory or injunctive relief on the basis of a substantial allegation of wrongful conduct to promote an illegal purpose in excess of the officer‘s statutory authority.” (Internal quotation marks omitted.) Id. “For a claim under the third exception [to the doctrine of sovereign immunity], the plaintiffs must do more than allege that the defendants’ conduct was in excess of their statutory authority; they also must allege or otherwise establish facts that reasonably support those allegations.” (Internal quotation marks omitted.) Markley v. Dept. of Public Utility Control, supra, 301 Conn. 72; see also Antinerella v. Rioux, 229 Conn. 479, 486, 642 A.2d 699 (1994) (allegation that defendant terminated plaintiff‘s employment “to further his own financial gain through [an illegal] fee splitting agreement
In its August 6, 2015 memorandum of decision, the trial court concluded that “[t]o the extent that the plaintiff seeks declaratory or injunctive relief, he has failed to assert claims that amount to a substantial allegation of wrongful conduct to promote an illegal purpose in excess of the officer‘s statutory authority. Quite simply, the defendants have voice mail systems which the plaintiff knowingly utilized to leave voice mail messages. Such conduct could not be more benign.”13 (Internal quotation marks omitted) We agree.
As we noted previously in this opinion, the plaintiff alleged that all but one of the defendants illegally recorded him in violation of
The plaintiff alleged that the defendants violated
The third exception to sovereign immunity also requires an allegation that the state officer‘s wrongful conduct promoted an illegal purpose in excess of the officer‘s statutory authority. See Columbia Air Services, Inc. v. Dept. of Transportation, supra, 293 Conn. 349. In the present case, the plaintiff also has failed to allege that the defendants recorded his telephonic communications to promote an illegal purpose. Indeed, the plaintiff has not alleged any purpose behind the defendants’ recording of his telephonic communications in a manner proscribed by
The judgment is affirmed.
In this opinion the other judges concurred.
Notes
The plaintiff did not allege that he called Governor Malloy; rather, he alleged that Governor Malloy “is the supreme executive authority of the state of Connecticut pursuant to the powers vested in him by section five of article fourth of the constitution of the state of Connecticut. Section twelve of the same article requires that, as such, he ‘shall take care that the laws be faithfully executed.’ Governor Malloy has failed to take care that his agents comply with General Statutes § 52-570d.”
“(1) Any federal, state or local criminal law enforcement official who in the lawful performance of his duties records telephonic communications;
“(2) Any officer, employee or agent of a public or private safety agency, as defined in section 28-25, who in the lawful performance of his duties records telephonic communications of an emergency nature;
“(3) Any person who, as the recipient of a telephonic communication which conveys threats of extortion, bodily harm or other unlawful requests or demands, records such telephonic communication;
“(4) Any person who, as the recipient of a telephonic communication which occurs repeatedly or at an extremely inconvenient hour, records such telephonic communication;
“(5) Any officer, employee or agent of any communication common carrier who in the lawful performance of his duties records telephonic communications or provides facilities to an investigative officer or criminal law enforcement official authorized pursuant to chapter 959a to intercept a wire communication;
“(6) Any officer, employee or agent of a Federal Communications Commission licensed broadcast station who records a telephonic communication solely for broadcast over the air;
“(7) Any officer, employee or agent of the United States Secret Service who records telephonic communications which concern the safety and security of the President of the United States members of his immediate family or
the White House and its grounds; and“(8) Any officer, employee or agent of a Federal Communications Commission broadcast licensee who records a telephonic communication as part of a broadcast network or cooperative programming effort solely for broadcast over the air by a licensed broadcast station.”
Further, our reading of our Supreme Court‘s holding in Miller reveals that the plaintiff‘s contention is misplaced insofar as he argues that this court imparted the requirement that an allegation of wrongful conduct against the state be “substantial” in conflict with Miller‘s holding. Prior to Miller, our Supreme Court held in Antinerella v. Rioux, 229 Conn. 479, 497, 642 A.2d 699 (1994), overruled in part by Miller v. Egan, 265 Conn. 301, 325, 828 A.2d 549 (2003), that sovereign immunity did not bar a claim against the state based on a substantial allegation of wrongful conduct to promote an illegal purpose in excess of an officer‘s statutory authority. Miller overruled Antinerella only to the extent that such case held that sovereign immunity did not bar “monetary damages actions against state officials acting in excess of their statutory authority.” Miller v. Egan, supra, 265 Conn. 325. Miller did not address, nor overrule, the requirement that a claim brought pursuant to this exception be predicated on a “substantial allegation” of wrongful conduct. See Columbia Air Services, Inc. v. Dept. of Transportation, supra, 293 Conn. 349 (citing Antinerella v. Rioux, supra, 497). Indeed, to conclude otherwise would require us to read Miller as implicitly overruling decades of precedent with respect to the requirements for seeking injunctive relief on the basis of wrongful conduct. See Bendell v. Johnson, 153 Conn. 48, 51, 212 A.2d 199 (1965) (“[O]nly those whose justiciable interests were injured . . . would, in a proper case, be entitled to seek redress in an action for injunctive relief. . . . [A] justiciable interest is at least one founded on the imminence of substantial and irreparable injury. . . . An injunction is
not a matter of right. Rather, its issuance rests within the sound discretion of the court. . . . The principle that an injunction will not issue for a trifling, inconsequential or technical injury to a plaintiff‘s rights has been consistently followed.” [Citations omitted; internal quotation marks omitted.]); see also Scoville v. Ronalter, 162 Conn. 67, 74, 291 A.2d 222 (1971) (“[t]he plaintiffs must allege facts which, if proven, would establish irreparable injury and assume the burden of proving facts which will establish substantial and irreparable damage if they are to prevail in their request for injunctive relief“).