C. ANDREW RILEY v. THE TRAVELERS HOME AND MARINE INSURANCE COMPANY
(SC 19968)
Supreme Court of Connecticut
September 10, 2019
Palmer, McDonald, D’Auria, Mullins, Kahn and Ecker, Js.
Argued November 8, 2018
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Syllabus
Pursuant to the waiver rule, when a trial court denies a defendant’s motion for a directed verdict at the close of the plaintiff’s case-in-chief, the defendant, by opting to introduce evidence in his or her own behalf, waives the right to appeal from the trial court’s ruling on the motion for a directed verdict.
The plaintiff, whose house had been damaged in a fire, sought to recover damages from the defendant insurance company for breach of a homeowner’s insurance contract and negligent infliction of emotional distress in connection with the defendant’s denial of the plaintiff’s claim for insurance coverage. The plaintiff alleged that the defendant refused to pay his claim for insurance coverage on the ground that its investigation revealed that the plaintiff intentionally had caused the fire and had concealed or misrepresented the facts and circumstances concerning the fire to the defendant’s investigators. The plaintiff further alleged that the defendant was negligent in failing to conduct a reasonable investigation into the cause of the fire. After the plaintiff rested his case, the defendant moved for a directed verdict with respect to the emotional distress claim, claiming that the plaintiff had not presented sufficient evidence to establish negligence in the defendant’s investigation into the cause of the fire. The trial court reserved decision on the defendant’s motion pursuant to the applicable rule of practice (
- The record was adequate to review the defendant’s claim that the waiver rule is inapplicable in civil cases, such as the present one, in which the trial court reserves decision on a motion for a directed verdict, that claim having been distinctly raised before the trial court:
Practice Book § 16-37 treats the trial court’s election to reserve decision on a motion for a directed verdict as the equivalent of a denial of that motion for purposes of subsequent proceedings and allows a defendant, in situations in which the jury returns a verdict for the plaintiff after the trial court reserved decision on such a motion, to move to have the verdict set aside and to have judgment rendered in accordance with the defendant’s motion for a directed verdict; accordingly,§ 16-37 contemplates that the issues raised in a motion for a directed verdict are preserved by and incorporated into the postverdict motion to set aside the verdict, and, in the present case, the defendant, in its motion for judgment notwithstanding the verdict, renewed its claim of evidentiary insufficiency contained in its previously filed motion for a directed verdict and specifically argued in its memorandum in support of its motion for judgment notwithstanding the verdict that the trial court was required to decide the motion solely on the basis of the evidence elicited during the plaintiff’s case-in-chief. - The waiver rule applies to civil cases in which the trial court has reserved decision on, rather than denied, a motion for a directed verdict pursuant to
Practice Book § 16-37 , the defendant, having presented its own case after the trial court reserved decision on its motion for a directed verdict, waived it right to challenge the sufficiency of the evidence presented during the plaintiff’s case-in-chief only, and, accordingly, the trial court properly relied on the defendant’s evidence in denying its motion for judgment notwithstanding the verdict: there was nothing in the language of§ 16-37 to indicate that a trial court ruling on a motion for judgment notwithstanding the verdict is limited to considering the evidence adduced during the plaintiff’s case-in-chief, as the issue presented by both a preverdict motion for a directed verdict and a postverdict motion for judgment notwithstanding the verdict is whether, on the basis of all the evidence presented to the jury, the evidence was sufficient to support the jury’s verdict, and a review of the history of the motion for a directed verdict and of earlier amendments to the predecessor rule to§ 16-37 further supported the conclusion that the trial court must assess all of the evidence considered by the jury in reaching its verdict; moreover, although the waiver rule may require the defendant to choose between resting on the insufficiency of the plaintiff’s proof or presenting its own defense, this court concluded that application of the waiver rule under the circumstances of the present case was not fundamentally unfair, as it merely required the defendant to make a routine, tactical decision, the defendant assumed the risk that the evidence it presented would have the effect of underscoring the inadequacies of its own investigation of the fire, and any burden the rule placed on the defendant was outweighed by the rule’s support for the truth seeking function of the trial and the perceived fairness of the judicial system.
Argued November 8, 2018—officially released September 10, 2019
Procedural History
Action to recover damages for, inter alia, breach of contract, and for other relief, brought to the Superior Court in the judicial district of Hartford and transferred to the Complex Litigation Docket, where the case was tried to the jury before D. Sheridan, J.; verdict for the plaintiff; thereafter, the court denied the defendant’s motion for judgment notwithstanding the verdict and rendered judgment in accordance with the verdict, from which the defendant appealed to the Appellate Court, DiPentima, C. J., and Sheldon and Bishop, Js., which affirmed the judgment of the trial court, and the defendant, on the granting of certification, appealed to this court. Affirmed.
Linda L. Morkan, with whom were Daniel F. Sullivan and, on the brief, Jonathan E. Small, for the appellant (defendant).
Proloy K. Das, with whom were Kristen L. Zaehringer and, on the brief, Leonard M. Isaac and James J. Nugent, for the appellee (plaintiff).
Opinion
The plaintiff, C. Andrew Riley, commenced this action against the defendant for breach of contract and negligent infliction of emotional distress stemming from the defendant’s handling of the plaintiff’s homeowner’s insurance claim. At the close of the plaintiff’s case-in-chief, the defendant moved for a directed verdict on the plaintiff’s negligent infliction of emotional distress claim, and the trial court reserved decision on that motion. The defendant then presented evidence in its defense, some of which supported the plaintiff’s contention that the defendant had been negligent in its investigation of his homeowner’s insurance claim. The jury returned a verdict for the plaintiff on both counts. The defendant timely moved for judgment notwithstanding the verdict, renewing its motion for a directed verdict and requesting the court to set aside the verdict on the claim of negligent infliction of emotional distress and render judgment for the defendant. The trial court, relying primarily on evidence that emerged during the defendant’s case, determined that there was sufficient evidence to support the jury’s verdict and denied the defendant’s motion. The Appellate Court affirmed the trial court’s judgment; Riley v. Travelers Home & Marine Ins. Co., 173 Conn. App. 422, 462, 163 A.3d 1246 (2017); and we affirm the judgment of the Appellate Court.
I
The Appellate Court summarized the facts and procedural history as follows. ‘‘On February 26, 2009, a fire destroyed a significant portion of the plaintiff’s home in Pomfret, in which he and his wife, Barbara Riley, had been living and raising their children for more than twenty-five years. On the morning of the fire, the plaintiff was working on a project in a room on the first floor of his home when he received a telephone call from ADT Security Services, his home security service provider, notifying him that it had received an alert that there was a fire in his home. The plaintiff, initially in disbelief, immediately proceeded to the second floor of his home to look for the cause of the alert. Upon ascending the stairs, he saw flames through the open door of a room at the top of the stairs that was used as an office and exercise room, in which he had been exercising earlier that morning. Seeing that the room was engulfed in flames, he initially attempted to close the door but could not get it to stay closed. He thus took an old bathrobe from the adjacent bedroom and draped it over the door to keep it closed. In so doing, the plaintiff sustained a minor burn on his arm. Finally, after retrieving his wife’s jewelry from their bedroom, the plaintiff ran back downstairs, confirmed with ADT that there was a fire in his home, and went outside to wait for assistance. Upon the arrival of multiple fire companies, the fire was promptly extinguished. As a result of the fire, the room in which the fire had occurred was essentially destroyed, along with most of its contents, including all of the family’s photograph albums, a Mother’s Day card to Barbara
‘‘The . . . Pomfret fire marshal, Adam Scheuritzel, arrived at the scene of the fire shortly after it was extinguished. He conducted an investigation of the cause and origin of the fire, using a video camera attached to his helmet to record his investigation. He also took several still photographs of the scene. In addition to inspecting the scene of the fire, Scheuritzel spoke to and obtained written statements from the plaintiff and several firefighters who had responded to the scene. Scheuritzel observed a kerosene heater and a separate container of kerosene in the exercise room where the fire had occurred, but he concluded that the kerosene had played no role in causing the fire. Scheuritzel concluded instead that the cause of the fire had been accidental, having been started by an electrical problem inside the wall of the exercise room.
‘‘The plaintiff immediately notified the defendant of the fire. The defendant, which had issued a homeowner’s insurance policy containing standard provisions insuring the plaintiff’s property for any loss due to fire, then initiated its own investigation of the cause and origin of the fire, and assigned one of its own employees, John E. Schoener, a trained and certified fire investiga-tor, to conduct that investigation. Schoener concluded that ‘the fire originated in the vapors of an ignitable liquid (kerosene) that was poured throughout the floor area and on boxes of stored contents within the room of fire origin. All accidental causes were eliminated as a cause of this fire. The cause of this fire is classified as an incendiary fire.’
‘‘By letter dated May 26, 2009, the defendant denied the plaintiff’s claim for insurance coverage, stating that it had ‘concluded that [the plaintiff] intentionally caused the fire which resulted in this claim.’ The defendant later sent another letter to the plaintiff, dated June 16, 2009, ‘to advise [him] of an additional basis for the denial of [his] claim.’ The letter stated, ‘[d]uring the investigation of this loss, [the plaintiff] concealed and/or misrepresented material facts and circumstances concerning the loss and made material false statements relating to this loss and to his insurance coverage.’ Although the defendant denied the plaintiff’s claim, it accepted the claim of Barbara Riley for personal property of herself and other family members, and additional living expenses incurred while repairs were being made to the residence.
‘‘On October 18, 2011, the plaintiff initiated this action against the defendant, claiming breach of contract and negligent infliction of emotional distress. In response, the defendant denied the plaintiff’s claims and, by way of special defense, alleged, inter alia, that the plaintiff had intentionally caused the fire to his home and had ‘concealed or misrepresented material facts or circumstances, engaged in fraudulent conduct, and/or made materially false statements regarding the fire and insurance claim.’ The plaintiff denied the defendant’s special defenses.
‘‘The case was tried to a jury in June, 2014. At the conclusion of the plaintiff’s case-in-chief, the [defendant’s counsel] orally moved for a directed verdict on the plaintiff’s claim of negligent infliction of emotional distress.’’ (Footnotes omitted.) Riley v. Travelers Home & Marine Ins. Co., supra, 173 Conn. App. 425–28. In support of its motion, the defendant argued ‘‘that although the plaintiff’s expert witness, Ronald R. Mullen,
After the defendant’s presentation of evidence, the jury returned a verdict in favor of the plaintiff. ‘‘By way of special interrogatories, the jury rejected the defendant’s special defenses and found that the defendant had failed to prove that the plaintiff had intentionally caused the fire to his home or that he had ‘intentionally concealed or misrepresented material facts or circumstances, or engaged in fraudulent conduct, or made material false statements relating to his insurance . . . .’ The jury found that the plaintiff had proved that the defendant breached his homeowner’s insurance contract by denying his claim for coverage and refusing to pay for his losses from the February 26, 2009 fire, and that he had ‘sustained [damages] as a result of the [defendant’s] negligent infliction of emotional distress . . . .’ The jury awarded the plaintiff $504,346.10 in damages for breach of contract and $1,000,000 in damages for negligent infliction of emotional distress.’’ Id., 428–29.
Thereafter, the defendant filed a motion for judgment notwithstanding the verdict and a supporting memorandum of law. ‘‘The defendant argued in that motion: ‘During [the plaintiff’s] case-in-chief, [the] plaintiff failed to present any evidence (other than the letter denying his insurance claim) that would permit the jury to reasonably conclude that [the defendant] is liable to him for the negligent infliction of emotional distress. [The] plaintiff chose not to offer expert testimony regarding the integrity of [the defendant’s] fire origin and cause investigation, or to call [the defendant’s] employees who conducted the investigation to demonstrate their alleged unreasonable or egregious misconduct in the investigation of the fire.’ The defendant further argued: ‘[W]hile [the] plaintiff developed additional evidence regarding [the defendant’s] conduct on cross-examination of [the defendant’s] employees who testified on behalf of the defense, this evidence and testimony cannot be considered in evaluating whether [the] plaintiff met [his] burden in [his] case-in-chief and in reaching a determination on [the defendant’s] motion.’ ’’ Id., 433. The trial court disagreed and, after reviewing all of the evidence adduced at trial, including evidence presented during the defendant’s case, concluded that the jury’s verdict was supported by the evidence. The trial court therefore rendered judgment in accordance with the jury’s verdict.
The defendant appealed from the trial court’s judgment to the Appellate Court, claiming, among other things, that the trial
The defendant petitioned for certification to appeal from the judgment of the Appellate Court to this court, and we granted the defendant’s petition limited to the following issue: ‘‘Under the circumstances of this case, did the Appellate Court correctly hold that, by not resting at the end of the plaintiff’s case-in-chief, but instead putting on evidence, the defendant waived its right on appeal to claim that the trial court should have granted its motion for a directed verdict pursuant to
II
The defendant contends that the waiver rule is inapplicable when a trial court reserves decision on a motion for a directed verdict at the close of a plaintiff’s case-in-chief pursuant to
The applicable standard of review is not in dispute. ‘‘[D]irected verdicts are disfavored because [l]itigants have a constitutional right to have factual issues resolved by the jury.’’ (Internal quotation marks omitted.) Landmark Investment Group, LLC v. CALCO Construction & Development Co., 318 Conn. 847, 862, 124 A.3d 847 (2015). Therefore, ‘‘[o]ur review of a trial court’s refusal to direct a verdict or to render a judgment notwithstanding the verdict takes place within carefully defined parameters. We must consider the evidence, including reasonable inferences which may be drawn therefrom, in the light most favorable to the parties who were successful at trial . . . giving particular weight to the concurrence of the judgments of the judge and the jury, who saw the witnesses and heard the testimony . . . . The verdict will be set aside and judgment directed only if we find that the jury could not reasonably and legally have reached their conclusion.’’ (Internal quotation marks omitted.) Glazer v. Dress Barn, Inc., 274 Conn. 33, 50, 873 A.2d 929 (2005). It also is clear that ‘‘the proper construction of a Practice Book section involves a question of law [over which] our review is . . . plenary.’’ State v. Zaporta, 237 Conn. 58, 64 n.5, 676 A.2d 814 (1996).
A
We first address whether the record is adequate to review the defendant’s claim that the waiver rule is inapplicable to civil cases in which the trial court has reserved decision on a defendant’s motion for a directed verdict pursuant to
When the foregoing procedure is followed, as it was in the present case,
In the present case, the defendant’s counsel made an oral motion for a directed verdict after the plaintiff’s case-in-chief. In response, the trial court ‘‘reserve[d]’’ decision on the defendant’s motion and ‘‘proceed[ed] to the defendant’s case.’’ After the defendant presented evidence and the jury returned a verdict in favor of the plaintiff, the defendant renewed the claim of evidentiary insufficiency contained in its previously filed motion for a directed verdict. The defendant’s supporting memorandum
This procedural history reveals that the defendant’s claim regarding the sufficiency of the plaintiff’s evidence and the applicability of the waiver rule was distinctly raised at trial and, therefore, is preserved for our review.5 The defendant has provided this court with all of the material that we need to review its claim on appeal—the trial court’s written memorandum of decision on the defendant’s motion for judgment notwithstanding verdict, the transcript of the trial proceedings, and the exhibits submitted to the jury. See
B
The question presented in this appeal is whether the waiver rule applies to civil cases in which the trial court has reserved decision on a motion for a directed verdict pursuant to
In
The court also rejected Perkins’ contention that the waiver rule should not apply because he was charged with multiple crimes and ‘‘could not present exculpatory evidence with respect to [one of the charges] without also introducing, or allowing the state to draw out, potentially inculpatory evidence with respect to . . . other charges.’’ Id., 242. We explained that it was Perkins’ ‘‘choice, as a matter of trial strategy, to inject into the trial whatever issues that he concluded would be beneficial to his defense. Conversely, [Perkins] was free to avoid any issues on direct examination that he did not want drawn out by the state. . . . [Perkins] also was free to, and did not, request a severance of the charges against him . . . .’’ (Citation omitted.) Id. Regardless, the conflicting ‘‘pressures’’ faced by a defendant charged with multiple crimes ‘‘do not outweigh the truth seeking interest, on appeal, in reviewing the record as it was presented to the jury.’’ (Emphasis in original.) Id., 243.
The defendant here contends that Perkins is distinguishable from the present case because, unlike in criminal cases, in which a trial court is required to rule on a motion for judgment of acquittal filed at the close of the state’s case-in-chief, in civil cases, our rules of practice provide the trial court with the option of reserving decision on a motion for a directed verdict. Compare
First, as a historical matter, the waiver rule has deeper roots in civil procedure than in criminal procedure. See State v. Perkins, supra, 271 Conn. 271 (Katz, J., dissenting) (noting that ‘‘the waiver rule was imported from the civil to the criminal sphere along with the motion
Second, we can discern nothing in the distinction between a trial court’s reservation of decision on a motion for a directed verdict and its denial of such a motion that bears on the right to obtain appellate review of the trial court’s refusal to grant that motion.6 Regardless of whether a motion for a directed verdict has been reserved or denied, ‘‘the judicial authority is deemed to have submitted the action to the jury subject to a later determination of the legal questions raised by the motion.’’
Third, the rules of practice do not shed any ‘‘light on how this court is required to review the sufficiency of the evidence . . . .’’ (Emphasis in original.) State v. Perkins, supra, 271 Conn. 240–41. ‘‘After all, on an appeal
Nonetheless, the defendant contends that the waiver rule is inconsistent with the plain language and history of
‘‘Our interpretation of the rules of practice is a question of law subject to plenary review.’’ State v. Jones, 314 Conn. 410, 418, 102 A.3d 694 (2014). ‘‘The rules of statutory construction apply with equal force to [the rules of practice]. . . . Where the meaning of a statute [or rule] is plain and unambiguous, the enactment speaks for itself and there is no occasion to construe it. Its unequivocal meaning is not subject to modification by way of construction. . . . If a statute or rule is ambiguous, however, we construe it with due regard for the authors’ purpose and the circumstances surrounding its enactment or adoption.’’ (Citations omitted; internal quotation marks omitted.) Grievance Committee v. Trantolo, 192 Conn. 15, 22, 470 A.2d 228 (1984).
The legal question raised by a motion for a directed verdict challenging the legal sufficiency of the evidence, and by a motion for judgment notwithstanding the verdict raising those same grounds, is not the sufficiency of the plaintiff’s proof alone; it is whether ‘‘[a] directed verdict is justified [because] on the evidence the jury reasonably and legally could not have reached any other conclusion.’’ Gagne v. Vaccaro, 255 Conn. 390, 400, 766 A.2d 416 (2001).
Our construction of
In 1978, the drafters of the Practice Book adopted two significant changes to the rules of practice governing directed verdicts, and these changes have remained in effect to this day.8 First, a defendant no longer is required to wait until the close
Lastly, we reject the defendant’s contention that the waiver rule is fundamentally unfair in civil cases, such as this one, in which a plaintiff has raised multiple claims and a defendant has asserted multiple special defenses. Although we recognize that ‘‘the waiver rule presents [a] defendant with a difficult dilemma, we disagree that it is an ‘unfair’ dilemma.’’ State v. Perkins, supra, 271 Conn. 243. As we recognized in Perkins, litigation is ‘‘replete with situations requiring the making of difficult judgments as to which course to follow.’’ (Internal quotation marks omitted.) Id., 233. A defendant whose motion for a directed verdict has been reserved for decision or improperly denied must choose whether to rest on the alleged insufficiency of the plain-tiff’s proof or risk filling in the gaps in the plaintiff’s evidence by presenting evidence in support of his special defenses, but such a routine ‘‘tactical’’ decision never ‘‘has been regarded as unfair.’’10 Id., 243–44. The
Accordingly, we hold that the defendant waived its right to challenge the sufficiency of the evidence in the plaintiff’s case-in-chief, and the trial court properly relied on the defendant’s evidence when it denied the defendant’s motion for judgment notwithstanding the verdict.11 The following observation of the Appellate Court aptly summarizes our own view: ‘‘[T]he defendant is now bound by its choice to roll the proverbial dice by presenting its own evidence at trial’’ and ‘‘cannot claim error as to the trial court’s prior denial [of its motion for judgment notwithstanding the verdict], based solely [on] the evidence presented in the plaintiff’s case-in-chief, of its midtrial motion for a directed verdict.’’ Riley v. Travelers Home & Marine Ins. Co., supra, 173 Conn. App. 435. The defendant does not challenge the sufficiency of all of the evidence to support the jury’s verdict, and, therefore, we conclude that the Appellate Court properly affirmed the judgment of the trial court denying the defendant’s motion for judgment notwithstanding the verdict.
The judgment of the Appellate Court is affirmed.
In this opinion the other justices concurred.
The Appellate Court in Higgins declined to apply the waiver rule because it sought to remedy a procedural error that occurred when the trial court improperly reserved decision on the defendant’s midtrial motion for judgment of acquittal. The remedy was appropriate because the trial court’s failure to issue a decision, when required to do so, inherently was prejudicial to the defendant. See id.; cf. United States v. Rhodes, 631 F.2d 43, 44–45 (5th Cir. 1980) (declining to apply waiver rule when trial court impermissibly reserved decision on motion for judgment of acquittal filed ‘‘at the close of the [g]overnment’s case’’ because ‘‘application of any other rule would penalize a defendant for a trial court’s refusal to issue a ruling at the time clearly required by our previous cases’’); United States v. House, 551 F.2d 756, 760 (8th Cir.) (declining to apply waiver rule when trial court impermissibly reserved decision on midtrial motion for judgment of acquittal because, ‘‘[o]therwise, the defendant would lose the right to have the sufficiency of the evidence against him adjudged at the close of the government’s case even though he expressly sought to have the evidence considered and even though the [r]ule expressly grants him that right’’), cert. denied, 434 U.S. 850, 98 S. Ct. 161, 54 L. Ed. 2d 119 (1977). In contrast, our civil rules of practice explicitly authorize the trial court to reserve decision on a motion for a directed verdict filed at the close of the plaintiff’s case-in-chief. See
