121 Conn. App. 220

ANNE MARIE ROY v. ANDREW G. BACHMANN ET AL.

(AC 30522)

Bishop, Harper and West, Js.

Argued October 23, 2009

officially released May 18, 2010

*221 Anthony V. Federice, for the appellants (named plaintiff et al.).

Christopher L. Goings, with whom, on the brief, was Collin Seguin, certified legal intern, for the appellees (defendants).

Opinion

BISHOP, J.

In this appeal, we must determine whether the exclusivity rule of the Workers’ Compensation Act1 (act); General Statutes § 31-275 et seq.; shields the owners of a parking lot that they leased to a corporation, in which they were majority stockholders and officers, from liability for damages arising from injuries sustained by an employee of the corporation during the course of her employment. The plaintiffs2 Anne Marie *222Roy and Steven Roy appeal from the summary judgment rendered by the trial court in favor of the defendants, Andrew G. Bachmann and Jane B. Bachmann.3 The plaintiffs contend that the court improperly determined that the defendants were Anne Marie Roy’s employer and that, accordingly, their action was barred by the exclusivity provision of the act. Although the court accurately concluded that Connecticut has rejected the dual capacity doctrine as an exception to the exclusivity rule, it should not have been a factor in the court’s reasoning because the record unequivocally reveals that Anne Marie Roy’s employer was the Dymax Corporation (Dymax) at the time of her injury. We conclude that, because the defendants were not covered by the exclusivity provision of the act as Anne Marie Roy’s employer, summary judgment should not have been granted. Accordingly, we reverse the judgment of the trial court.

The record reveals the following undisputed facts and procedural history. On September 12, 2005, Anne Marie Roy was employed by Dymax. On that date, she sustained injuries, including a fractured hip, when she fell in the parking lot located at 51 Greenwoods Road, Torrington—Dymax’ place of business. At the time of the incident that led to her injuries, Anne Marie Roy was in the course of her employment with Dymax. She was paid benefits under our workers’ compensation *223statutory scheme by Dymax. The defendants owned the parcel of land located at 51 Greenwoods Road and leased it to Dymax. The plaintiffs brought this action against the defendants, alleging negligence and loss of consortium. On July 23, 2008, the defendants moved for summary judgment on the ground that the plaintiffs’ action was barred by the exclusivity rule of the act. By memorandum of decision filed October 27, 2008, the court granted the defendants’ motion for summary judgment and rendered judgment in their favor. The plaintiffs filed a motion to reargue, which the court denied. This appeal followed. Additional facts will be set forth as necessary.

As a preliminary matter, we set forth the well settled standard of review applicable to a trial court’s decision to grant a motion for summary judgment. “Practice Book § 17-49 provides that summary judgment shall be rendered forthwith if the pleadings, affidavits and any other proof submitted show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law. In deciding a motion for summary judgment, the trial court must view the evidence in the light most favorable to the nonmoving party. . . . The party moving for summary judgment has the burden of showing the absence of any genuine issue of material fact and that the party is, therefore, entitled to judgment as a matter of law. . . .

“[T]he trial court does not sit as the trier of fact when ruling on a motion for summary judgment. . . . [Its] function is not to decide issues of material fact, but rather to determine whether any such issues exist. . . . On appeal, we must determine whether the legal conclusions reached by the trial court are legally and logically correct and whether they find support in the facts set out in the memorandum of decision of the trial court. . . . Our review of the trial court’s decision to grant the defendant’s motion for summary judgment is plenary.” *224(Citations omitted; internal quotation marks omitted.) Keller v. Beckenstein, 117 Conn. App. 550, 556-58, 979 A.2d 1055, cert. denied, 294 Conn. 913, 983 A.2d 274 (2009).

Connecticut’s statutory scheme for workers’ compensation provides a framework for an employee who sustains a work-related injury to receive prescribed benefits without having to prove fault. In return, the employee is barred from bringing a third party claim against either a fellow employee or the employer.4 See General Statutes § 31-284 et seq. The trade-off between an employee who sustains a work-related injury and the employer does not prevent such an employee from bringing an action against a third party tortfeasor. Indeed, General Statutes § 31-293 provides that an employer who has paid workers’ compensation benefits may intervene in any such action in order to seek recovery of the amounts paid to the employee from any judgment he or she may obtain in the third party action.5

In our statutory workers’ compensation scheme there are only two exceptions to the act’s exclusivity provision. According to the terms of General Statutes § 31-293a, the right to workers’ compensation is an employee’s exclusive remedy “unless such wrong was wilful *225or malicious or the action is based on the fellow employee’s negligence in the operation of a motor vehicle as defined in section 14-1. . . .’’Additionally, our Supreme Court has recognized exceptions for a minor who has been illegally employed; see Blancato v. Feldspar Corp., 203 Conn. 34, 522 A.2d 1235 (1987); and for intentional torts committed by an employer upon an employee. See Jett v. Dunlap, 179 Conn. 215, 425 A.2d 1263 (1979), as further elucidated in Suarez v. Dickmont Plastics Corp., 229 Conn. 99, 639 A.2d 507 (1994).

Some other states, but not Connecticut, have recognized an additional exception to the exclusivity provisions of their workers’ compensation laws to permit a third party action against an employer or fellow employee who causes injury to an employee while the employer or fellow employee is acting in a nonemployment capacity. This exception, known as the dual capacity doctrine, is implicated only when the liability defendant is the employer or a fellow employee, both otherwise immune from tort liability by the exclusivity provisions of workers’ compensation statutes. Cases dealing with the dual capacity doctrine make it plain that it only comes into play when an employee brings a third party claim against his or her employer or fellow employee. Noted workers’ compensation commentator Arthur Larson has described the dual capacity doctrine as follows: “An employer may become a third person, vulnerable to tort suit by an employee, if—and only if—it possesses a second persona so completely independent from and unrelated to its status as employer that by established standards the law recognizes that persona as a separate legal person.” 6 A. Larson, Workers’ Compensation Law (2009) § 113.01 [1]. It is central to the cases involving the dual capacity doctrine that the identity of the defendant as the employer or fellow employee is not questioned. The issue in these cases, rather, is whether, in spite of the exclusivity provisions *226of workers’ compensation law, the defendant may yet be liable in some other capacity than that of employer or fellow employee.

In Panaro v. Electrolux Corp., 208 Conn. 589, 593, 545 A.2d 1086 (1988), our Supreme Court expressly rejected the dual capacity doctrine in a case involving both a fellow employee and the employer. Thus, if this were a case in which the defendants were the employer seeking the protection of the exclusivity provision of the act, and the plaintiffs were seeking an exception to that exclusivity provision on the basis of the dual capacity doctrine, the court’s rendering of summary judgment would have been appropriate. However, because Anne Marie Roy was employed by Dymax and not the defendants, her claim against the defendants is not one against her employer at all. Thus, the dual capacity doctrine should have played no role in the court’s summary disposition.6

*227At the time of her injury, Anne Marie Roy was employed by Dymax, which, as her employer, paid her workers’ compensation benefits. These facts were alleged by Anne Marie Roy in her substituted complaint and admitted by the defendants.7 Additionally, the *228record reveals that the employer is Dymax, a Connecticut stock corporation with sixty-one shareholders holding an aggregate of 386,846 shares of outstanding stock. Between them, the defendants own 265,358 shares of stock. Notwithstanding these allegations and admissions, the court found that the defendants were Anne Marie Roy’s employer at the time of her injury, and, as such, were entitled to the benefit of the exclusivity provision of the act. In rendering summary judgment, the court appears to have ignored the plaintiffs’ allegations and the defendants’ corresponding admissions. The court also appears to have incorrectly equated the defendants with Dymax on the basis of their officer status and majority holdings in the corporation. We know of no legal authority for such a conclusion.8 To *229the extent that the court conflated the defendants with Dymax, it incorrectly engaged in fact-finding, a function not appropriate for summary disposition.9

*230In sum, the trial court misconstrued the plaintiffs’ complaint as a claim against Anne Marie Roy’s employer. A fair reading of the plaintiffs’ complaint, however, does not support such a construction. It is undisputed that Dymax paid Anne Marie Roy’s workers’ compensation and, as a consequence of being her employer, Dymax is insulated from tort liability for her injuries. The defendants against whom the plaintiffs have brought suit are individuals, the Bachmanns, and not Dymax. That the defendants have a stock interest in and serve as officers of Dymax does not, itself, provide any basis for concluding that they, and not Dymax, are Anne Marie Roy’s employer. The plaintiffs simply are asserting a premises liability claim against the defendants, the landowners. Having incorrectly made the determination that the defendants were Anne Marie Roy’s employer, the court rendered summary judgment in favor of the defendants on the basis of its mistaken belief that the plaintiffs had sought to invoke the dual capacity doctrine to avoid the exclusivity provision of the act. Because the plaintiffs’ complaint does not allege *231a claim against Anne Marie Roy’s employer, the exclusivity provision of the act regarding employers is not implicated in this tort claim against the defendants.

The judgment is reversed and the case is remanded for further proceedings according to law.

In this opinion HARPER, J., concurred.

WEST, J.,

dissenting. I respectfully dissent from the majority’s determination that the exclusivity rule of the Workers’ Compensation Act1 (act); General Statutes § 31-275 et. seq.; does not shield the defendants, Andrew G. Bachmann and Jane B. Bachmann, from liability for damages arising from injuries sustained by the plaintiff Anne Marie Roy, for which she was compensated under the act. The majority concludes that Roy and her husband, Steven Roy, who also is a plaintiff, maintained their action against the defendants as “landowners” and, as a result, for purposes of the act’s exclusivity rule, the defendants could not be considered Anne Marie Roy’s employer. Therefore, because the exclusivity rule is applicable only as a bar to actions against an employer, the majority concludes that the present action for damages against the defendants in their persona as landowners was not barred. I disagree.

I agree with the majority’s statement of the law, as well as the standard of review, applicable to a trial court’s decision to grant a motion for summary judgment. I do, however, underscore that “[i]t is well established . . . that where it is undisputed that [a] plaintiff was engaged in the course of . . . employment at the time of [an] accident, whether he is barred by the [act] *232from maintaining an action against a tortfeasor is a question of law for the court.” Velardi v. Ryder Truck Rental, Inc., 178 Conn. 371, 375, 423 A.2d 77 (1979). Furthermore, I agree with the majority’s characterization of the exclusivity rule and its statutory exception under our workers’ compensation scheme, as well as those expressly carved out by our Supreme Court. It seems to me, however, that the majority concludes that because the defendants possessed a landowner persona and the plaintiff was an employee of Dymax Corporation at the time of her injury, the defendants could under no circumstance be considered as Anne Marie Roy’s employer for the purposes of the application of the exclusivity rule, and, therefore, the rule does not shield them from this action. I see no reason to adhere to the analytical approach of the majority. For the reasons set forth, I conclude that because, under the applicable precedents, the defendants, for the purposes of our workers’ compensation law and in these circumstances, can be considered Anne Marie Roy’s employer, the exclusivity rule applies. Therefore, I would hold, on the basis of this record, that the court properly rendered summary judgment in favor of the defendants and would affirm the court’s judgment.

“The purpose of the [workers’] compensation statute is to compensate the worker for injuries arising out of and in the course of employment, without regard to fault, by imposing a form of strict liability on the employer. . . . The [act] compromise [s] an employee’s right to a common law tort action for work related injuries in return for relatively quick and certain compensation.” (Citations omitted; internal quotation marks omitted.) Dowling v. Slotnik, 244 Conn. 781, 799, 712 A.2d 396, cert. denied sub nom. Slotnik v. Considine, 525 U.S. 1017, 119 S. Ct. 542, 142 L. Ed. 2d 451 (1998). “The entire statutory scheme of the [act] is *233directed toward those who are in the employer-employee relationship as those terms are defined in the act and discussed in our cases. That relationship is threshold to the rights and benefits under the act . . . .” (Internal quotation marks omitted.) Id., 800. “Just as a claimant may invoke the act’s remedies only if the claimant satisfies the jurisdictional requirement of an employee as set forth in § 31-275 (9) . . . only those defendants who satisfy the requisite jurisdictional standard of an employer as set forth in § 31-275 (10) may successfully assert the exclusivity of the act as a bar to a common-law action by an alleged employee.” (Citations omitted.) Doe v. Yale University, 252 Conn. 641, 680, 748 A.2d 834 (2000). “In short, if the defendant was the plaintiffs employer, the plaintiff [is] relegated to the remedies afforded by the [act].” Velardi v. Ryder Truck Rental, Inc., supra, 178 Conn. 376.

Our Supreme Court has utilized the “right to control” test in order to determine whether a defendant in a workers’ compensation case was an employer as defined in § 31-275 (10). See Doe v. Yale University, supra, 252 Conn. 680-82 (whether individual or entity is employer under act is question of specific individual’s or entity’s degree of control over alleged employee). “The right to control test determines the [relationship between a worker and a putative employer] by asking whether the putative employer has the right to control the means and methods used by the worker in the performance of his or her job.” (Internal quotation marks omitted.) Hanson v. Transportation General, Inc., 245 Conn. 613, 620, 716 A.2d 857 (1998). “The test of the relationship is the right to control. It is not the fact of actual interference with the control, but the right to interfere . . . .” (Internal quotation marks omitted.) Doe v. Yale University, supra, 681.2

*234The affidavits submitted by the Bachmanns assert the following unrefuted indicia of the defendants’ right to control Anne Marie Roy as her employer: both defendants were owners of Dymax Corporation, a closely held corporation; the defendants together owned over 68 percent of the outstanding stock; Andrew G. Bachmann was the chief executive officer, president and chairman of the board; he signed all paychecks. Jane B. Bachmann was a vice president, and the defendants themselves “maintained [workers’ [compensation [b]enefits for all employees of Dymax Corporation . . . .” See General Statutes § 31-275 (10) (employer may accept and become bound by provisions of this chapter by immediately complying with General Statutes § 31-284). The plaintiffs did not submit any materials raising an issue of material fact with respect to those assertions. The mere assertion of the legal conclusion that the defendants were not, for the purposes of our workers’ compensation scheme, Anne Marie Roy’s employer was not sufficient to defeat the defendants’ motion for summary judgment. See Velardi v. Ryder Truck Rental, Inc., supra, 178 Conn. 375. The defendants had the burden of showing the nonexistence of a material fact; Himmelstein v. Windsor, 116 Conn. App. 28, 42, 974 A.2d 820, cert. granted on other grounds, 293 Conn. 927, 980 A.2d 910 (2009); and the evidence presented, if otherwise sufficient in this regard, is not rebutted by the naked statement that an issue of fact *235does exist. See Velardi v. Ryder Truck Rental, Inc., supra, 375. As a result, I conclude that the court properly rendered summary judgment in favor of the defendants on the ground that the exclusivity rule of the act bars Anne Marie Roy’s claim of negligence.

I, therefore, respectfully, dissent.

Roy v. Bachmann
121 Conn. App. 220

Case Details

Name
Roy v. Bachmann
Decision Date
May 18, 2010
Citations

121 Conn. App. 220

Jurisdiction
Connecticut

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