R.C. EQUITY GROUP, LLC v. ZONING COMMISSION OF THE BOROUGH OF NEWTOWN
(SC 17676)
Supreme Court of Connecticut
Argued April 9, 2007—officially released January 22, 2008
285 Conn. 240
Rogers, C. J., and Borden, Norcott, Katz, Palmer, Vertefeuille and Zarella, Js.*
* The listing of justices reflects their seniority status as of the date of oral argument. This case originally was argued before a panel of this court consisting of Justices Norcott, Katz, Palmer, Vertefeuille and Zarella. Thereafter, the court, pursuant to Practice Book § 70-7 (b), sua sponte, ordered that the case be considered en banc. Accordingly, Chief Justice Rogers and Justice Borden were added to the panel, and they have read the record, briefs and transcript of oral argument.
Donald A. Mitchell, for the appellee (defendant).
Opinion
PALMER, J. The plaintiff, R.C. Equity Group, LLC, appeals from the judgment of the trial court dismissing its zoning appeal from the decision of the defendant, the zoning commission of the borough of Newtown. The trial court dismissed the plaintiff‘s appeal for lack of subject matter jurisdiction because the plaintiff had failed to make service of process on the borough clerk within fifteen days from the published notice of the decision in accordance with
The following undisputed facts and procedural history are relevant to our disposition of this appeal. The borough of Newtown (borough) is a specially chartered municipality located within the town of Newtown. The defendant is the borough‘s zoning commission. In May, 2003, the defendant adopted zoning regulations governing a village district area pursuant to
The plaintiff owns approximately twelve acres of land located in the borough. The property is improved with a building that contains 16,947 square feet of gross leasable area that presently is leased to a tenant for office purposes, and is capable of expansion through the addition of a partial second floor. The property itself is also large enough to permit the addition of one or more buildings in excess of 6500 square feet. The plaintiff filed a zoning appeal from the defendant‘s March, 2005 decision to readopt the restrictive village district regulations, claiming that the defendant had acted illegally, arbitrarily and capriciously when it adopted the
The plaintiff employed Robert B. Gyle III, a state marshal, to serve process in connection with the zoning appeal. On March 24, 2005, Gyle went to the office of the plaintiff‘s attorney, Robert H. Hall, to pick up the process. Hall was not present when Gyle arrived but had left one copy of the process with Hall‘s secretary. The process, a form JD-CV-1 summons with the appeal attached, identified the defendant as the “[z]oning [c]ommission of the [b]orough of Newtown, c/o Linda Shepard, Chairman,” with Shepard‘s home address following immediately thereafter. That same day, Gyle personally served Shepard at her home. Although the form JD-CV-1 summons contained a generic citation directing the marshal to make service,6 the form that Hall signed and provided to Gyle for service in the present case contained no instruction directing Gyle to serve the borough clerk as § 8-8 (f) (2) requires.7 Although Gyle served Shepard, he did not serve the borough clerk.
The plaintiff filed a memorandum of law in opposition to the defendant‘s motion to dismiss. Attached as exhibits to the memorandum of law were the form JD-CV-1 summonses that Hall had used in both zoning appeals,9 along with the returns of service that Gyle had filed in connection with his service of process in those appeals. In each of those appeals, Hall had identified the defendant as the “[z]oning [c]ommission of the [b]orough of Newtown, c/o Linda Shepard, Chairman,” followed by Shepard‘s home address. The summons forms that Hall had completed in connection with both zoning appeals contained no instruction to Gyle to serve the borough clerk. In contrast to the present zoning appeal and the
The plaintiff also provided the court with an affidavit attested to by Gyle. In his affidavit, Gyle stated that prior to serving process in the plaintiff‘s zoning appeals, he was “aware that the legal requirements for service of process in zoning appeals had been changed effective October 1, 2004,10 so that instead of serving one copy on the [c]hairman or [c]lerk [of the zoning commission] and another copy on the [c]lerk of the [b]orough, two copies were required to be served [on] the [c]lerk of the [b]orough and [that] it was no longer necessary to serve the [c]hairman or [c]lerk of the zoning entity involved.” Gyle also stated, however, that he “did not think about the requirement for service” when he picked up the process from Hall‘s office and served it on Shepard rather than on the borough clerk. Gyle further stated that he should have remembered to serve the borough clerk, as he had in the past, and that he had “no excuse for failing to serve the appeal in accordance with the requirements of the [s]tatute. . . .”
The trial court, Schuman, J.,11 granted the defendant‘s motion to dismiss. In its memorandum of decision, the court, after observing that the process that Gyle originally received from Hall and served on Shepard did not identify the borough clerk as a person to be served, explained that it is the duty of the plaintiff, rather than the marshal, to identify who must be served. The trial court further explained that when, as in the present case, the process fails to identify the proper
On appeal, the plaintiff claims that, contrary to the conclusion of the trial court, it is solely the duty of the marshal “to determine how to make proper service,” and, therefore, Gyle‘s “failure to make proper service in this case is ‘default or neglect’ as a matter of law.” Consistent with this contention, the plaintiff asserts that it had no legal obligation to direct—or even to assist—Gyle in accomplishing that task. Finally, the plaintiff maintains that the record is abundantly clear that, although the summons identified the wrong person, namely, Shepard, as the defendant‘s agent for service of process, Gyle nevertheless knew better, and, therefore, Hall‘s error in naming Shepard instead of the borough clerk neither relieves Gyle of responsibility for
As a threshold matter, we set forth certain principles that govern our review of the plaintiff‘s claim. “A motion to dismiss . . . properly attacks the jurisdiction of the court, essentially asserting that the plaintiff cannot as a matter of law and fact state a cause of action that should be heard by the court. . . . A motion to dismiss tests, inter alia, whether, on the face of the record, the court is without jurisdiction. . . . [O]ur review of the court‘s ultimate legal conclusion and resulting [determination] of the motion to dismiss [is] de novo.” (Internal quotation marks omitted.) Cox v. Aiken, 278 Conn. 204, 210-11, 897 A.2d 71 (2006). Furthermore, whether the trial court properly dismissed the plaintiff‘s appeal for lack of subject matter jurisdiction turns on whether the marshal‘s conduct in failing to serve the borough clerk constituted “default or neglect” within the meaning of § 8-8 (q). Because “[t]he interpretation of a statute, as well as its applicability to a given set of facts and circumstances, involves a question of law . . . our review . . . is plenary.”13 (Internal quotation marks omitted.) Lagassey v. State, 268 Conn. 723, 737, 846 A.2d 831 (2004).
In applying § 8-8 (q) to the facts and circumstances of this case, we do not write on a blank slate. To place that provision in proper context, we summarize our recent analysis of the jurisdictional requirements of § 8-
The facts of Fedus were identical in all relevant respects to the facts of Simko. In each case, the plaintiffs had served the town clerk with a copy of the summons and complaint, as required by statute, but had failed to name the clerk in the citation of the summons. See id., 754; Simko I, supra, 205 Conn. 415. In Simko, however, we concluded that the failure of the plaintiffs to name the town clerk in the citation constituted a fatal jurisdictional defect that deprived the court of subject matter jurisdiction over the zoning appeal. See Simko I, supra, 419, 421. As we explained in Simko, our decision in that case rested primarily on our determination that the town clerk was a statutorily mandated necessary party to the appeal, and, therefore, by failing
Immediately following the release of our decisions in Simko, the legislature amended General Statutes (Rev. to 1987) § 8-8 (b) to provide, inter alia, that “service upon the clerk of the municipality shall be for the purpose of providing additional notice of [the] appeal to [the] board and shall not thereby make such clerk a necessary party to such appeal.” Public Acts 1988, No. 88-79, § 1. “By this amendment, the legislature indicated that, contrary to our conclusion in Simko, service of the appeal on the town clerk is not for the purpose of making the town clerk a necessary party to the appeal but, rather, to provide the board with additional notice of the appeal.” (Internal quotation marks omitted.) Fedus v. Planning & Zoning Commission, supra, 278 Conn. 763.
The legislature also amended § 8-8 to include the savings provision at issue in the present appeal, which, as we explained in Fedus, “signaled the preference of the legislature that zoning appeals, like civil actions, shall be treated with sufficient liberality such that tech-
In the present appeal, the trial court relied on this court‘s decision in Gadbois v. Planning Commission, 257 Conn. 604, 778 A.2d 896 (2001), in support of its conclusion that the plaintiff‘s failure to serve the borough clerk was not a technical defect in form but, rather, a substantive defect in service that could not be cured by the savings provisions of § 8-8 (q). In Gadbois, as in the present case, the citation directed the sheriff to serve the chairman of the defendant planning commission but contained no mention of the town clerk. Id., 606-607. Under then applicable law, however, service was required on both the chairperson of the planning commission and the town clerk. Id., 606, citing General
The plaintiff nevertheless maintains that the plaintiff in a zoning appeal has no legal duty to instruct the marshal whom to serve. Specifically, the plaintiff asserts that its only duty is to identify the defendant by name and address in the summons, and, after that, “it is up to the marshal himself to determine how to make proper service.”
To the contrary, “it is well established in Connecticut that if a writ appears to be [valid] on its face, appears to have been issued by a competent authority, and has been issued with legal regularity, a [marshal] has a duty to serve it and will be protected in making such service. Watson v. Watson, 9 Conn. 140, 147 (1832).” Fair Cadillac Oldsmobile Corp. v. Allard, 41 Conn. App. 659, 662, 677 A.2d 462 (1996). “When we speak of process ‘valid on its face,’ in considering whether it is sufficient to protect an officer, we do not mean that its validity is to be determined upon the basis of scrutiny by a trained legal mind; nor is it to be judged in the light of facts outside its provisions which the officer may know. . . . Unless there is a clear absence of jurisdiction on the part of the [authority] issuing the process, it is sufficient if upon its face it appears to be valid in the judgment
Indeed, under
The limited nature of the marshal‘s legal duty necessarily informs our interpretation of § 8-8 (q) as applied to the facts of the present case. Because a marshal‘s sole duty is to make service as directed by the citation, the conduct of a marshal who faithfully discharges that responsibility cannot be deemed to constitute “default or neglect” for purposes of § 8-8 (q). The word “default” signifies a “failure to do something required by duty or law,” and “neglect” means “to carelessly omit doing (something that should be done) either altogether or almost altogether . . . .”17 Webster‘s Third New International Dictionary. Simply put, a marshal who makes service in accordance with the citation has neither failed to do what the law requires nor carelessly omitted to do something that he or she should have done.
Furthermore, the evident purpose of § 8-8 (q) is to avoid the unfairness that otherwise would result from holding a plaintiff responsible for a failure of service that is attributable not to the plaintiff, but to the marshal. In enacting § 8-8 (q), the legislature recognized that neither a plaintiff nor the plaintiff‘s counsel personally effects service of process; rather, such service is delegated to a third party, a marshal, over whom the plaintiff does not have complete control. The plaintiff—or, as is most often the case, the plaintiff‘s counsel—is responsible for instructing the marshal whom to serve, but
Thus, in Vitale v. Zoning Board of Appeals, 279 Conn. 672, 904 A.2d 182 (2006), we observed that the plaintiffs in that case could rely on § 8-8 (q) to save their zoning appeal from dismissal due to the marshal‘s failure to serve both the chairperson of the zoning commission and the town clerk in accordance with the applicable version of § 8-8 (f). Id., 681-82 n.9. In Vitale, the process prepared by the plaintiffs’ attorney had directed the marshal to serve both the chairperson of the zoning commission and the town clerk, but the marshal, acting on the mistaken belief as to the applicability of a recent amendment to § 8-8 (f), served only the town clerk. See id., 675. Although we concluded that the trial court properly had dismissed the original appeal for lack of proper service; see id., 681; we also concluded that § 8-8 (q) permitted the refiling of the appeal because the defective service was attributable to the default or neglect of the marshal in failing to follow the express command of the citation. See id., 681-82 n.9. We further concluded that because § 8-8 (q) is a remedial statute, it must be construed liberally, and that, so construed, the fifteen day grace period of § 8-8 (q) did not begin to run until this court finally had determined that the original service was insufficient. Id.
We fully agree with the plaintiff in the present action that § 8-8 (q) should be construed liberally to accomplish its remedial purpose. To conclude that Gyle‘s failure to serve the borough clerk constitutes “default or neglect” within the meaning of § 8-8 (q), however, when Gyle did exactly what he was directed to do, is not to read § 8-8 (q) liberally to achieve its purpose; rather, it
It is true, of course, that if Gyle had served the borough clerk notwithstanding the faulty citation, then § 8-8 (q) would have permitted the plaintiff to refile its appeal; by serving the borough clerk, the marshal effectively would have remedied the mistake of the plaintiff‘s counsel in failing to name the borough clerk in the citation. Indeed, that is precisely what occurred in Fedus. See Fedus v. Planning & Zoning Commission, supra, 278 Conn. 755. Gyle, however, did not serve the borough clerk, and because he had no duty to do so, the insufficient service was not attributable to his default or neglect within the meaning of § 8-8 (q).19 Consequently,
In this opinion ROGERS, C. J., and BORDEN, KATZ and ZARELLA, Js., concurred.
NORCOTT, J., with whom VERTEFEUILLE, J., joins, dissenting. I disagree with the majority‘s conclusion that the plaintiff, R.C. Equity Group, LLC, was not entitled to refile this zoning appeal from the decision of the defendant, the zoning commission of the borough of Newtown, under the savings statute,
Finally, we strongly disagree with the dissent‘s assertion that our decision “invites a return to the pre-Fedus interpretations of the zoning appeal statutes that were rife with the opportunities for the dismissal of land use appeals on the basis of hypertechnicalities.” Our decision does no such thing. Indeed, we reaffirm all that we said in Fedus concerning the intent of the legislature to ameliorate the undue harshness of our holding in Simko and its progeny. We do not, however, have free reign to overrule our prior interpretation of a statute merely because we might wish to see the statute written differently, or because we might prefer a different result in a particular case.
I
I begin by noting my agreement with the majority‘s statement of the facts and procedural history of this case, as well as its understanding of the parties’ arguments. Before I discuss the majority‘s erroneous construction and application of § 8-8 (q), I must, however, address the defendant‘s claim that this case is moot because there is no practical relief available to the plaintiff. I do so because “[m]ootness implicates the court‘s subject matter jurisdiction and is thus a threshold matter for us to resolve.”3 Ayala v. Smith, 236 Conn. 89, 93, 671 A.2d 345 (1996). “It is a well-settled general rule that the existence of an actual controversy is an essential requisite to appellate jurisdiction; it is not the
The mootness issue in the present case is unusual because it does not arise from events occurring subsequent to the filing of the appeal. Rather, the defendant claims that, if the challenged regulations, which were adopted in March, 2005, are declared invalid, they will be replaced by the identical regulations that were adopted in May, 2003,4 which have not been challenged specifically by the plaintiff in this case.5 The defendant further contends that any subsequent challenges to the
Both the defendant‘s brief and my independent research have failed to reveal any case law directly on point that supports the defendant‘s mootness theory, namely, that no practical relief is available when a successful challenge to a zoning regulation will lead to replacement of the regulation at issue with an identical predecessor provision. In my view, this issue is best resolved by a logical extension of the line of cases addressing the effect of subsequent legislative changes, which hold that “[w]hen the provisions of an original act are repeated in the body of amendments, either in the same or equivalent words, it is considered that the intent of the legislature is that the original law should continue.” (Internal quotation marks omitted.) Downey v. Retirement Board, 22 Conn. App. 172, 178, 576 A.2d 582 (rejecting claim that city charter provision was repealed by implication), cert. denied, 216 Conn. 811, 580 A.2d 56 (1990); see also, e.g., Chicago v. Gordon, 146 Ill. App. 3d 898, 901, 497 N.E.2d 442 (1986) (“[w]here portions of an ordinance or statute are repeated and retained in the amendatory enactment, or where there
My research has revealed two cases wherein courts have applied this rule to conclude that a pending action was not rendered moot by a regulatory or statutory change that did not change the substance of the provision at issue.7 See Chicago v. Gordon, supra, 146 Ill. App. 3d 901 (constitutional challenge to ban on outdoor advertising signs or displays in certain residential neighborhoods not moot because “reenactment of the subject
In my view, the defendant‘s mootness claim is best resolved by an inverse application of this rule governing the effect of repealed and simultaneously reenacted statutes and regulations. That is, the defendant‘s repeal and simultaneous reenactment of the challenged regula
II
Accordingly, I now turn to the principal issue in this appeal, namely, whether Gyle committed “default or neglect” when he failed to serve process in compliance
As a preliminary matter, I note that a motion to dismiss tests the jurisdiction of the trial court, and I agree with the standard of review set forth in the majority opinion, namely, that “because [a] determination regarding a trial court‘s subject matter jurisdiction is a question of law, our review is plenary.” (Internal quotation marks omitted.) Nine State Street, LLC v. Planning & Zoning Commission, 270 Conn. 42, 45, 850 A.2d 1032 (2004). Moreover, the principal issue in this appeal, which requires the court to determine the breadth of
“The test to determine ambiguity is whether the statute, when read in context, is susceptible to more than one reasonable interpretation.” (Internal quotation marks omitted.) Small v. Going Forward, Inc., 281 Conn. 417, 422, 915 A.2d 298 (2007). The text of
On appeal, the court noted its now superseded and overruled decision in Simko v. Zoning Board of Appeals, 206 Conn. 374, 538 A.2d 202 (1988), which was superseded by statute as stated in Fedus v. Planning & Zoning Commission, supra, 278 Conn. 763, and concluded that the trial court properly had dismissed the appeal because, although the clerk is not a necessary party, service on the clerk still was mandatory and, therefore, subject matter jurisdictional under
The court further concluded in Gadbois that “[t]he trial court properly concluded that the failure to make service upon the town clerk, a fatal jurisdictional defect, cannot be remedied by the so called ‘savings provisions,’ including
In my view, this court‘s per curiam decision in Gadbois no longer is good law in light of the legislative developments articulated in our recent decisions in Fedus v. Planning & Zoning Commission, supra, 278 Conn. 751, and Vitale v. Zoning Board of Appeals, 279 Conn. 672, 904 A.2d 182 (2006).11 In Fedus, we con
We further noted that “Connecticut law repeatedly has expressed a policy preference to bring about a trial on the merits of a dispute whenever possible and to secure for the litigant his or her day in court. . . . [Thus] [o]ur practice does not favor the termination of
Indeed, this court‘s recent opinion in Vitale v. Zoning Board of Appeals, supra, 279 Conn. 672, reflects the increased flexibility embodied by the Fedus decision in the context of
In the present case, the record reveals that service failed because of Gyle‘s failure to follow the proper statutory procedure governing the service of process in zoning appeals—a procedure that he admittedly was aware of, but nevertheless did not comply with.17 Thus,
The majority‘s construction and application of
In sum, it is undisputed that, if Gyle had remembered the amendment to
I would, therefore, reverse the judgment of the trial court, and remand the case to that court with direction to deny the defendant‘s motion to dismiss and for further proceedings according to law. Accordingly, I respectfully dissent.
TOWN OF BLOOMFIELD v. UNITED ELECTRICAL, RADIO AND MACHINE WORKERS OF AMERICA, CONNECTICUT INDEPENDENT POLICE UNION, LOCAL 14
(SC 17862)
Rogers, C. J., and Norcott, Vertefeuille, Zarella and Schaller, Js.
Notes
“(1) For any appeal taken before October 1, 2004, process shall be served by leaving a true and attested copy of the process with, or at the usual place of abode of, the chairman or clerk of the board, and by leaving a true and attested copy with the clerk of the municipality. Service on the chairman or clerk of the board and on the clerk of the municipality shall be for the purpose of providing legal notice of the appeal to the board and shall not thereby make the chairman or clerk of the board or the clerk of the municipality a necessary party to the appeal.
“(2) For any appeal taken on or after October 1, 2004, process shall be served in accordance with subdivision (5) of subsection (b) of section 52-57. Such service shall be for the purpose of providing legal notice of the appeal to the board and shall not thereby make the clerk of the municipality or the chairman or clerk of the board a necessary party to the appeal.”
“(2) For any appeal taken on or after October 1, 2004, process shall be served in accordance with subdivision (5) of subsection (b) of section 52-57. Such service shall be for the purpose of providing legal notice of the appeal to the board and shall not thereby make the clerk of the municipality or the chairman or clerk of the board a necessary party to the appeal.”
In fact, the plaintiff‘s claim is predicated on a different theory altogether, namely, that a marshal has an independent legal duty to effect service correctly, irrespective of the command of the citation. As we have explained, however, this claim is foreclosed by a line of decisions that hold, clearly and emphatically, that a marshal‘s sole legal duty with respect to the service of process is to effectuate service in accordance with the dictates of the citation.
The dissent would have us construe the words “default or neglect” set forth in § 8-8 (q) in a jurisprudential vacuum, untethered to the guiding legal principles set forth in those decisions and in the regulatory scheme that enumerates the duties and responsibilities of marshals. In other words, the dissent advocates an interpretation of § 8-8 (q) that ignores the common-law and statutory backdrop against which that provision was adopted. We cannot endorse such an interpretation because we presume that the legislature was aware of those standards when it enacted § 8-8 (q). See, e.g., Hatt v. Burlington Coat Factory, 263 Conn. 279, 310, 819 A.2d 260 (2003) (“the legislature is always presumed to have created a harmonious and consistent body of law” [internal quotation marks omitted]); see also Considine v. Waterbury, 279 Conn. 830, 844, 905 A.2d 70 (2006) (“the legislature is presumed to be aware of prior judicial decisions involving common-law rules” [internal quotation marks omitted]).
We also reject the dissent‘s attempt to distinguish our long-standing precedent defining a marshal‘s duty on the ground that those cases involve a marshal‘s civil liability, whereas this case involves a statutory savings provision. In addressing the scope of that liability in those cases, this court necessarily defined the parameters of a marshal‘s legal duty insofar as it pertains to the service of process. The dissent offers no reason, and we are aware of none, why the scope of that duty is any different for purposes of the present case than it was for purposes of those prior cases. Moreover, we are unwilling to adopt an interpretation of § 8-8 (q), as advocated by the dissent, that would require a case-by-case inquiry into the subjective mental state of a marshal who has effected service as directed by the plaintiff‘s attorney. I agree with the majority‘s rejection of the plaintiff‘s reliance on the Appellate Court decision in Kobyluck v. Planning & Zoning Commission, 84 Conn. App. 160, 852 A.2d 826, cert. denied, 271 Conn. 923, 859 A.2d 579 (2004). In that case, the court concluded that a service failure because of the sheriff‘s failure to list the correct home address for the commission chairman, who was named on the summons, could be saved by
