Peabody N.E., Inc. v. Department of TransportationPeabody N.E., Inc. v. Department of Transportation
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- Before:
- Katz
Lead Opinion
Opinion
I
THE BACKGROUND FACTS AND PROCEDURAL HISTORY
The following facts, which reasonably could have been found by the trial court, and the following procedural history, are relevant to this appeal. On November 30,1983, the plaintiffs, Peabody, N.E., Inc., and Peabody International Corporation (collectively, Peabody), entered into a contract with the defendant, the department of transportation (state), for the reconstruction of Route 8 and the Commodore Hull Bridge over the Housatonic River from Shelton to Derby (project). In turn, on February 8,1984, Peabody, as general contractor, entered into a subcontract with Standard Structural Steel Company (Standard), primarily for the project’s structural steel work, in the amount of $8,765,000. The project was originally scheduled to be completed by January 21, 1987, or 1104 days after the project’s commencement. During the project, however, as a result of various factors which, according to the trial court, were caused by the state — for instance, changes in the bridge’s design — Standard’s contractual obligations were severely altered. Consequently, the length of the contract extended to 2562 days and Standard’s subcontract price increased to $11,968,612.05. A certificate of acceptance of the project was finally issued on September 23, 1991.
Prior to the completion of the project, on or about August 31, 1990, Standard submitted to Peabody a two
Negotiations took place between the state and Peabody, and between Peabody and Standard, to determine the cause and legitimacy of Standard’s extra costs. Eventually, on June 20, 1991, the state and Peabody reached a partial settlement which provided, inter alia, that the state would pay to Peabody $886,424, which Peabody would, in turn, pay to Standard.
On July, 2, 1991, Standard filed an action against Peabody in the United States District Court for the District of Connecticut (federal action). See Standard Structural Steel Co. v. Peabody N.E., Inc., Docket No. 2-91-CV-586. On July 29, 1991, Peabody filed an answer and third party complaint. By way of the third party complaint, Peabody sought to implead the state as a third party defendant, essentially denying liability to Standard and alleging that, “[t]o the extent that [Peabody is] found responsible to Standard for all or part of the claims set forth in the [complaint],” the state is liable to Peabody.
The state moved for a dismissal of Peabody’s third party action on the ground that the federal district court lacked jurisdiction over the action because the action was barred by the eleventh amendment to the United States constitution.
Standard, which had become insolvent during the pendency of its federal action, was placed into bankruptcy and, eventually, the Federal Deposit Insurance Corporation (FDIC) became its successor in interest as to any claims pertaining to the project. On May 20,1993, the FDIC filed an action against Peabody in. state court, based upon essentially the same allegations that Standard had asserted in its federal action. See Federal Deposit Ins. Corp. v. Peabody N.E., Inc., Superior Court, judicial district of Hartford-New Britain at Hartford, Docket No. CV93-525754-S (January 22, 1996).
On June 2, 1993, Peabody filed an answer and third party complaint, impleading the state into the state action and marking the commencement of Peabody’s
On January 13, 1995, the state filed a motion to dismiss on the grounds that: (1) Peabody had not given to the state sufficient notice of a claim of the kind or in the manner required under
The state appealed from the trial court’s judgment to this court upon the granting of certification by the Chief Justice pursuant to
We answered this certified question in Federal Deposit Ins. Corp. v. Peabody, N.E., Inc.,
In July, 1996, Peabody agreed to settle Standard’s claim, paying $3.1 million to FDIC. Subsequently, on August 12, 1997, Peabody filed an action against the state in state court (present action). See Peabody, N.E., Inc. v. Dept. of Transportation, Superior Court, judicial district of Hartford-New Britain at New Britain, Docket No. CV 970482290S (May 1, 1998) (
On September 12, 1997, the state once again filed a motion to dismiss, arguing that, inter alia, “far more than one year [had] passed since ‘the original action’ . . . filed by Peabody based on those claims [federal action] was dismissed by the United States District Court for lack of jurisdiction . . . ,”
On appeal, Peabody claims that: (1) the trial court’s interpretation of
The state claims that the dismissal of Peabody’s action should be affirmed because: (1) the action was not brought within the applicable limitations period
We agree with the state that the present action cannot be brought under
II
THE SAVING STATUTE
Although the parties raise several issues on appeal, the issue of whether the present action is time barred is dispositive of this appeal. Our conclusion that Peabody cannot rely on
Essentially, the state advances two arguments supporting its assertion that the present action may not be brought under
Although a more comprehensive recitation of the procedural history of this case appears at the outset of this opinion, because that history has such a significant bearing on this issue, we provide a brief summary. Peabody’s federal action was commenced on July 29,1991, and dismissed for lack of jurisdiction on June 12, 1992. Peabody brought the first state action on June 2, 1993, well within the three year limitations period of
To resolve this issue we must determine: (1) whether the federal action and the first state action are “for the same cause,” as required by
A
We assume, without deciding, that the present action is, as Peabody claims, “for the same cause” as the first state action, as required by
The complaint filed in the federal action and that filed in the first state action are virtually identical. The only substantive difference between the two complaints is the following paragraph, which was included in the state complaint but which had not appeared in the federal complaint: “4. To the extent [Standard] incurred the damages and expenses as alleged, such damages and expenses were caused by acts and/or omissions of the [state] and not by any acts and/or omissions of Peabody.” In both complaints, Peabody relies upon the same facts, makes the same allegations, and seeks the same relief.
B
We must now determine which action is the original action for purposes of
The trial court in Pintavalle granted the defendant’s motion for summary judgment, concluding that the third action, which had not been brought within the applicable two year statute of limitations period, was time barred. Id. Additionally, the trial court held that the third action was not saved by
This court noted that the dispositive issue in Pintavalle was the meaning of the term “original action” in
Despite the plaintiffs arguments to the contrary, in Pintavalle, we agreed with the defendant’s reading of
In addition to the logic of the Marangio opinion, we placed great reliance on the plain language of the statute, noting that, according to Webster’s Third New International Dictionary, “ ‘[original’ is defined as ‘of or relating to a rise or a beginning: existing from the start . . . .” Pintavalle v. Valkanos, supra,
Returning to the present appeal, we note that the dispositive factor in this case, as it was in Pintavalle,
The roots of
“As with any issue of statutory interpretation, our initial guide is the language of the statute itself.” (Internal quotation marks omitted.) Federal Deposit Ins. Corp. v. Peabody, N.E., Inc., supra,
We also have stated that, “[i]n the absence of ambiguity, statutory language should be given its plain and ordinary meaning. Jones v. Civil Service Commission,
Peabody argues that the second tool of statutory construction available to us — that is, the policy underlying the statute — militates in favor of its interpretation of “original action.” Peabody places great reliance on the remedial nature of
Initially, we note that Isaac was decided more than one and one-half years before this court decided Pintavalle. Therefore, the language in Isaac and the remedial nature of the saving statute was fully within the contemplation of this court when we rendered our decision in Pintavalle. We see no more reason today to ignore the
Peabody seeks to distinguish Pintavalle from the present case by relying on the different procedural postures of the appeals in the two cases.
By contrast, Peabody adverts to the fact that, in the present case, the second action to be brought chronologically — that is, the first state action — was brought within the three year limitations period of
Although Peabody acknowledges that it is not binding on this court, Peabody cites a Superior Court decision with a similar procedural history in the trial courts as the present case, in which the trial court “construe [d] ‘original action’ to include the most recent lawsuit filed by the plaintiff within the statute of limitations period.” Ayala v. Zachary, Superior Court, judicial district of Waterbury, Docket No. 094633 (May 25, 1990) (
First, we note that this case is controlled by Pintavalle and not by a decision of the Superior Court. Second, we disagree that the policy considerations underlying
We disagree with Peabody, therefore, that every plaintiff should be able to rely on the saving statute.
We acknowledge the strong policy favoring the adjudication of cases on their merits rather than the disposal of them on the grounds enumerated in
C
Finally, we turn to the facts of the appeal before us. As we concluded previously herein, the federal action, which was brought first, and the first state action, which followed, were virtually identical and, therefore, if either can be considered “for the same cause” as the present action, both must be. Therefore, according to our interpretation of the phrase “original action” in
In this opinion NORCOTT and PALMER, Js., concurred.
Notes
“(b) When any action has been brought against an executor or administrator or continued against an executor or administrator after the death of the defendant and has failed for any of the causes listed in subsection (a) of this section, the plaintiff, or his executor or administrator in case a cause of action survives, may commence a new action within six months after the determination of the original action.
“(c) If an appeal is had from any such judgment to the Supreme Court or Appellate Court, the time the case is pending upon appeal shall be excluded in computing the time as above limited.
“(d) The provisions of this section shall apply to any defendant who files a cross complaint in any action, and to any action between the same parties or the legal representatives of either of them for the same cause of action or subject of action brought to any court in this state, either before dismissal of the original action and its affirmance or within one year after the dismissal and affirmance, and to airy action brought to the United States circuit or district court for the district of Connecticut which has been dismissed without trial upon its merits or because of lack of jurisdiction in such court. If such action is within Hie jurisdiction of any state court, the time for-bringing the action to the state court shall commence from the date of dismissal in the United States court, or, if an appeal or writ of error has been taken from the dismissal, from the final determination of the appeal or writ of error. . . .”
The eleventh amendment to the United States constitution provides: ‘'The Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State.”
Specifically, the trial court, considering both the state’s motion to dismiss and Peabody’s motion to amend its complaint, concluded first, that Peabody could indeed amend its complaint and, second, that the state’s notice argument did not rise to the level of a subject matter jurisdictional defect
The state’s other reasons for seeking dismissal, as set forth in its motion, are as follows:
“(1) The Current Action was not filed within the statutory limitations period for construction claim actions against the State under ...
“(2) The Current Action is not one which may be brought under . . .
“(a) the action set forth in [Peabody’s] Complaint ... is not ‘for the same cause’ (
“(c) Peabody’s prior Superior Court action against the State based on those claims did not fail due to a matter of form, or to simple negligence or accident, but rather because an essential element for a claim under
“(d) Peabody’s Current Complaint does not allege facts sufficient to show that either its Federal Action or its prior Superior Court action was filed within the applicable limitations period of
“(3) In addition, even the Current Complaint does not satisfy the requirements of
Specifically, Peabody claims that the trial court’s interpretation was improper in that it: (1) is contradicted by the plain language of the statute; (2) is contradicted by certain admissions allegedly made by the department; (3) is contradicted by the parties’ course of conduct under their contract for the project; and (4) would render
Accordingly, we need not address the state’s first argument.
We note that an action brought in the United States District Court for the District of Connecticut may be an original action for purposes of
In both actions, Peabody sought: (1) dismissal of Standard’s complaint against it; (2) a determination that the state be held liable to Peabody to the extent that Peabody was held liable to Standard; (3) costs and expenses; and (4) other relief as may be just and equitable.
Public Acts 1862, c. XIV, provides in relevant part: “That if, in any action duly commenced within the time limited by law, and which may now be pending or hereafter brought, the writ fails of a sufficient service or return, by any unavoidable accident, or by any default or neglect of the officer to whom it is committed, or if the writ is abated, or the action otherwise avoided or defeated, by the death of any party thereto, or for any matter of form, or if, after a verdict for the plaintiff, the judgment is arrested, or if a judgment for the plaintiff is reversed on a motion in error, or writ of error, or where the plaintiff shall have mistaken his form of action and the suit shall fail for that cause, the plaintiff may commence a new action for the same cause at any time within one year after the abatement, or other determination of the original suit, or after the reversal of the judgment . . . .” (Emphasis added.)
We believe that to hold otherwise would require us essentially to overrule Pintavalle, which neither party has expressly asked us to do. Implicit in Peabody’s argument, however, is such a request.
Our position is bolstered by the lack of legislative activity in response to Pintavalle. As we recently stated in Bocchino v. Nationwide Mutual Fire Ins. Co.,
We stated our holding in Pintavalle very clearly. In the approximately eight and one-half intervening years, “an appropriate interval to permit legislative reconsideration”; id., 387; the legislature has taken no action demonstrating that our interpretation of
The state also relied on Rogozinski v. American Food Service Equipment Corp.,
It could be argued that our decision will encourage plaintiffs to file as late as possible within the statute of limitations period, which could be considered contrary to the public policy favoring the swift resolution of disputes. We note, however, that such a strategy would be a risky one, as those plaintiffs would have only one opportunity to cure any potential defects of the type that would allow reliance on the saving statute. A plaintiff who files early in the statute of limitations period, by contrast, may be able to file multiple times before the limitation period expires. See Pintavalle v. Vallamos, supra,
Dissenting Opinion
dissenting. The majority today permits an injustice to stand uncorrected. It does so by ignoring the plain meaning of
In the present case, the plaintiff asserted a third party complaint against the defendant on two separate occasions; each of these complaints was timely. After both of these complaints had been dismissed
To shift focus somewhat,
My reading of the statute also comports with the fundamental principle that statutes of limitation exist, in part, “to promote justice by preventing surprises through the revival of claims that have been allowed to slumber . . . .” (Internal quotation marks omitted.) Bowen v. City of New York,
The majority declines to read
To begin with, the facts of Pintavalle are materially different from the facts of the present case. In Pintavalle, the plaintiff asserted only one action within the statute of limitations. That action was dismissed. Id., 414. Several months after the statute of limitations had expired, the plaintiff commenced a second action.
The court in Pintavalle properly recognized that the plaintiff’s argument “defeat[s] the basic purpose of statutes of limitation, namely, promoting finality in the litigation process.” Id., 417. This conclusion has absolutely nothing at all to do with the present case. Because the plaintiff in this case asserted the action upon which it relies
The majority emphasizes the following line from Pintavalle: “under the provisions of
Significantly, my interpretation of
Finally, the dicta in Pintavalle upon which the majority hangs its hat finds no support in the language of
In my view, the majority has disregarded the text of
Accordingly, I dissent.
It is undisputed that the dismissal of each of the plaintiffs third party complaints fell within the scope of
Provided, of course, that the dismissal falls within the scope of
“In interpreting a statute, common sense must be used .... Norwich Land Co. v. Public Utilities Commission,
. . . The law favors a rational statutory construction and we presume that the legislature intended a sensible result. . . . Board of Education v. State Board of Education,
See footnote 3 of this dissent.
As Justice Katz and I observed just last year, “
This untimely second action was saved by operation of
That is, the later third party complaint.
According to Black’s Law Dictionary (6th Ed. 1991), dicta “go beyond the facts before court and therefore are individual views of author of opinion and not binding in subsequent cases as legal precedent.” Because dicta are “made without argument or full consideration of the point, [they] are not the professed deliberate determinations of the [author].” Id.
The statute would have been neither accurate nor coherent if the legislature had used the term “any action” in place of the term “original action.”
In fact, nothing in the text of