Lawrence v. KozlowskiLawrence v. Kozlowski
The defendant commissioner, after a hearing pursuant to
I
The plaintiff claims, inter alia, that the commissioner acted erroneously in violation of
Judicial review of the commissioner’s actions is governed by the Uniform Administrative Procedure Act
2
(hereinafter the UAPA), and the scope of that review is very restricted. As we stated in
DiBene-detto
v.
Commissioner of Motor Vehicles,
The crucial factual issue in the present case was whether the plaintiff had maintained a proper lookout. The commissioner’s conclusion that he was negligent in this regard was based on testimony and exhibits which were presented at a departmental hearing and which disclosed the following facts: At approximately 7:30 p.m. on September 7, 1971, the plaintiff was operating his
Near the intersection of Liberty Street, Joseph Mortali, Sr., aged 87, was crossing Columbus Avenue from north to south. The plaintiff testified that he was driving at a speed of 20 to 25 miles per hour when he saw Mortali, who was w'éári'ng dark clothing and was “slumped down, looking down to the ground”; that as soon as he saw Mortali, he applied his brakes, but skidded “and struck him all in one instant. I had no chance to avoid turning right or left.” Mortali was struck by the left front part of the plaintiff’s truck, and the police officer investigating the accident testified that he found the plaintiff’s truck stopped in the crosswalk, adding that he saw skidmarks about 55 feet in length. Mortali died several hours later as a result of injuries sustained in the accident.
It is apparent that these facts could support the commissioner’s conclusion of failure to keep a proper lookout, and such a determination of negligence, depending as it must on the circumstances of each case, would not constitute error as a matter of law. See, e.g.,
Pinto
v.
Spigner,
The plaintiff claims that the commissioner’s decision was based on legally incompetent evidence which was received over objection at the departmental suspension hearing held on August 29, 1972, in Wethersfield. The challenged exhibits are a court abstract containing the plaintiff’s plea of nolo con-tendere to a charge of negligent homicide and the judgment of guilty rendered thereon; an accident report submitted to the commissioner by the investigating officer which stated in part that the plaintiff had been arrested in connection with the accident; and the coroner’s report, in which he made findings of fact and concluded that the plaintiff had been responsible for Mortali’s death through his failure to keep a proper lookout.
It is fundamental that administrative tribunals are not strictly bound by the rules of evidence and that they may consider exhibits which would normally be incompetent in a judicial proceeding, so long as the evidence is reliable and probative.
Balch Pontiac-Buick, Inc.
v.
Commissioner of Motor Vehicles,
Under former
It is clear that in a judicial proceeding the plaintiff’s nolo contendere plea and arrest would be inadmissible.
4
Furthermore, despite the broad latitude
Similarly, the fact of arrest is of limited or no probative force and should not be relied upon by the commissioner in his deliberations even though he is required by statute to be informed of such “enforcement action taken.”
Nonetheless, our scope of rеview is statutorily circumscribed, and we may reverse or modify an agency order on the basis of an erroneous eviden-tiary ruling only if “substantial rights of the appellant have been prejudiced because the administrative findings, inferences, conclusions, or decisions are . . . clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record.”
This so-called substantial evidence rule is similar to the “sufficiency of the evidence” standard applied in judicial review of jury verdicts, and evidence is sufficient to sustain an agency finding if it affords “a substantial basis of fact from which the fact in issue can be reasonably inferred. . . . [I] t must be enough to justify, if the trial were to a jury, a refusal to direct a verdict when the conclusion sought to be drawn from it is one of fact for the jury.”
National Labor Relations Board
v.
Columbian Enameling & Stamping Co.,
“The ‘substantial evidence’ rule is a compromise between opposing theories of broad or de novo review and restricted review or complete abstention.
Under this test, “the mere erroneous admission ... of evidence will not invalidate an order of the commission. Substantial prejudice must be affirmatively shown.”
Damariscotta-Newcastle Water Co.
v.
Damariscotta-Newcastle Water Co.,
From our review of the record in the present case, we cannot say that the plaintiff has met this burden. Even if the challenged documents had been
Accordingly, we find that the evidence was substantial enough to support the commissioner’s con
m
The plaintiff also contends that he was denied the right to present evidence and to cross-examine witnesses by the commissioner’s failure to subpoena the coroner; to subpoena three eyewitnesses; and to change the location of the hearing from Wethers-field to New Haven, on the ground that these actions violated not only the UAPA but also the due process guarantees of the fourteenth amendment to the United States constitution and article first, § 8, of the Connecticut constitution. 8
Prior to the August 29, 1972, suspension hearing, the plaintiff’s counsel wrote the сommissioner, requesting that the coroner he subpoenaed so that counsel might cross-examine him with respect to his report, which concluded that the plaintiff had been responsible for the decedent’s death. The commissioner, by return letter, denied the request, explaining that the department “will only subpoena the Investigating Officer. Any other witness that you desire will have to be furnished by you or your client.” The plaintiff challenges this decision on the ground that the coroner’s conclusions were only an opinion which should have been subject to cross-examination at the administrative hearing. We cannot agree.
To assess this claim properly, a preliminary discussion of the coroner’s report becomes necessary. Under
The coroner in the instant case complied with the statute, and made findings of fact from testimony of the plaintiff, the investigating officer and three eyewitnesses. The report also contained evidence of the decedent’s medical injuries, and concluded that the plaintiff was responsible for the fatality by failing to keep a proper lookout.
The coroner’s report, although admittedly hearsay, is admissible, however, under
In the instant case we are satisfied from our review of the evidence produced at the motor vehicle department hearing that the coroner’s report was not improperly used by the commissioner. Nor does the fact that the commissioner reached the same conclusion as the coroner indicate an improper delegation of the commissioner’s authority.
The facts are not disputed. Thus it is not surprising that the coroner and the commissioner could, after conducting their respective independent hearings, arrive at the same conclusion with respect to the plaintiff’s negligence. The coroner’s conclusions may often, as a practical matter, be echoed by the commissioner, but that result is due more to the nature of the facts and circumstances of a given case than to an improper reliance upon the coroner’s opinion, which the commissioner is free to disregard if he so chooses. Accordingly, we must conclude that the rеport was properly admitted into evidence at the departmental hearing.
The question of whether the conclusions of an investigator with respect to the cause of death or
We must have in mind, however, that this rule is itself an abridgement of the right to cross-examine the author of a report, and that it stems from the need for weighing or balancing the reliability of a report which must be prepared by a skilled public official with the countervailing need to subject these officiаls to cross-examination. “The necessity for the existence of such an exception [to the hearsay rule] is found in the practically unen
Of course, opinions and conclusions as to cause and effect which are based on factual findings would not be admissible if denial of the right of cross-examination would result in the perversion of this rule of trustworthiness and reliability.
Gilbert
v.
Gulf Oil Corporation,
The coroner, even if he testified at the motor vehicle department hearing, could provide no direct testimony as to the facts of the accident; he probably could describe only the inquest proceedings and possibly testify as to what facts he found persuasive in reaching his conclusion. We cannot conclude under the circumstances that the right of cross-examination is compelled by either the UAPA оr the constitutional requirements of due process.
As noted previously, the commissioner, in considering the coroner’s report, does not act as an appellate court in the sense that he must accept the coroner’s conclusions if they are supported by the factual findings. Nor is the coroner’s report “expert testimony” which can be properly evaluated
The coroner and the commissioner often hear the same facts and arrive at the same result, especially in a case such as the instant one in which the plaintiff has conceded that his “appeal does not depend on questions of credibility of witnesses, or on the weight of evidence. There is no conflicting or inconsistent evidence, and both parties are in agreement as to the facts.” Accordingly, we cannot say that the procedure by which the commissioner acts is constitutionally or statutorily infirm because under the circumstances of this case the coroner’s conclusions may be admitted into evidence and considered as an expression of his opinion without the right of crоss-examination. See
Consolo
v.
Federal Maritime
Commission,
B
We find no error in the plaintiff’s remaining contentions that the commissioner erred in declining to subpoena' three so-called eyewitnesses and in
In reviewing these claims, we note that the plaintiff’s counsel requested the commissioner to subpoena only the coroner, not the three eyewitnesses. Even though this omission might bar the plaintiff from raising the issue on appeal, we are satisfied that the procedure followed in the instant case contrаvened neither the HAPA nor the plaintiff’s constitutional rights. The HAPA contemplates that the hearing process will be informal, and there is no requirement that every witness must physically testify, as in a full-blown trial. In the instant case, the evidence which the eyewitnesses would have presented in person was placed before the commissioner through documents and questions by the plaintiff’s counsel. The coroner’s report contained an excerpt of their testimony, and the plaintiff’s counsel had the plaintiff read portions of their testimony into the record at the inquest. Consequently, we cannot say that the plaintiff was deprived of any constitutional or statutory rights. It would have been preferable had the commissioner subpoenaed the witnesses of his own accord, but
Nor was there error in the commissioner’s refusal to hold the hearing in New Haven, which he is authorized to do under
There is no error.
In this opinion the other judges concurred.
Notes
The Uniform Administrative Procedure Act (General Statutes c. 54, §§ 4-166 through 4-189) provides uniform standards for judging all nonexempted agency actions, including suspension of drivers’ licenses by the motor vehicle department.
Hickey
v.
Commissioner of Motor Vehicles,
The standards for judicial review under the UAPA are set out in
Former
A plea of nolo contendere is distinct from a plea of guilty inasmuch as the latter may be regarded as a verbal admission by the accused, and, as such, may be admissible in subsequent civil proceedings. It does not, however, conclusively establish negligence, and the accused is not precluded from explaining his plea.
Flynn
v.
Raccuia,
By contrast, a plea of nolo contendere is merely a declaration by the accused that he will not contest the charge, and “even though follоwed by a finding of guilty and the imposition of a fine or other penalty, is not admissible, either as a verbal admission or an admission by conduct.”
Casalo
v.
Claro,
Similarly, the portion of the police accident report containing the statement that the plaintiff had been arrested would not be admissible in a civil court proceeding. As Wigmore observed, “a mere arrest or indictment will not be allowed to be inquired after; since the fact of arrest or indictment is quite consistent with innocence, and since the reception of such evidence is merely the reception of somebody’s hearsay assertion as to the witness’ guilt. To admit this would involve a violation both of the hearsаy rule and of the rule forbidding extrinsic testimony of misconduct.” 3A Wigmore, Evidence (Chadbourn Rev.) § 980a, p. 835; see
Hayward
v.
Maroney,
See
The plaintiff argues that the commissioner relied upon these exhibits because the certification of the record, which lists all the exhibits introduced at the hearing, states that “said documents constitute the record upon whieh his decision was based.” This is an inadequate basis for a finding of prejudicial reliance, however, because the unchallenged testimоny and exhibits form an adequate basis for the commissioner’s decision. Additionally, the record in
Balch Pontiac-Buick, Inc.
v.
Commissioner of Motor Vehicles,
Even if we were of the opinion that the admission of evidence was prejudicial, we would be precluded from granting a new hearing by
That a state’s driver’s license revocation proceedings must comport with due process standards was established in
Bell
v.
Burson,
The rights to present evidence and to cross-examine witnesses in contested cases are also guaranteed by
“[General Statutes] See. 14-109. coroner to investigate fatal motor vehicle accidents. Each coroner shall make a finding showing the causes of, and responsibility for, each fatal accident within his jurisdiction in which a motor vehiclе is involved and shall, within a reasonable time transmit a certified copy of his finding, without charge, to the commissioner. If such copy is not so transmitted within ten days, such coroner shal/1 send to said commissioner a report containing such facts as he has been able to ascertain concerning such accident, and thereupon, or if such coroner fails to file such report, said commissioner may, in his discretion, restore the license
Although the coronеr in the instant ease failed to submit a certified copy of his report, that defect is not fatal to the exhibit’s admissibility, as the plaintiff argues, because this objection was not raised at the hearing, as required by
The «public records” exception to the hearsay rule is “based upon the fact that the report of the public official can be rеlied upon for its trustworthiness. The public official may act only occasionally, but when he does act he knows and feels that he is acting under the sanction of his official place. Experience has led to the conclusion that it is ordinarily safe to rely upon the trustworthiness of a report made under such circumstances.”
Ezzo
v.
Geremiah,
In
Blados
v.
Blados,
Under General Statutes $ 14-110, the commissioner may issue subpoenas to compel a witness’ appearance. There is, however, no statute authorizing the plaintiff’s counsel to issue a subpoena to compel a witness’ аttendance at an administrative hearing.