Bifolck v. Philip Morris, Inc.
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Opinion
McDONALD, J.
This case is the second of two diversity actions in which the federal courts certified questions for this court's advice regarding the viability of an action under Connecticut's Product Liability Act (act)
1
alleging that a cigarette's design had increased consumers' risk of cancer. The courts sought advice whether specific theories advanced in those actions are precluded by this court's adoption of § 402A of the Restatement (Second) of Torts, which imposes liability for defective products that are "unreasonably dangerous," and more particularly, our adoption of comment (i) to § 402A, which defines that term in relation to
consumers' knowledge of the danger.
2
In the first of these actions, this court advised that the strict liability theory advanced was not precluded because it required application of our modified consumer expectation test, under which the obviousness of the danger is only one of many factors that the trier of fact may consider.
Izzarelli
v.
R.J. Reynolds Tobacco Co.
,
In the present action, this court considers three substantive questions: (1) whether, for claims alleging design defects, we should abandon our dual tests based on
§ 402A of the Restatement (Second) of Torts and adopt the standards under the Restatement (Third) of Torts, Products Liability; (2) if not, whether § 402A and comment (i) provide a single, unitary definition for all theories under which product liability claims may be brought, including negligence; and (3) whether the punitive damages available in the act are limited to litigation costs under our common-law punitive damages rule. This court raised the first question; we accepted certification with respect to the second and third questions, pursuant to General Statutes § 51-199b(d), from the United States District Court for the District of Connecticut. See
Bifolck
v.
Philip Morris, Inc.
, Docket No. 3:06cv1768 (SRU),
I
BACKGROUND OF THE PRESENT CASE
The following facts and procedural history gave rise to the issues presently before us. The plaintiff, Vincent Bifolck, individually and as executor of the estate of his wife, Jeanette D. Bifolck (decedent), commenced this action in the District Court against the defendant, Philip Morris, Inc., after the decedent succumbed to lung cancer at the age of forty-two. The principal thrust of the complaint is that the Marlboro and Marlboro Light cigarettes manufactured by the defendant and smoked by the decedent were defectively designed and that this defective design was responsible for her lung cancer and death from that disease. The plaintiff sought compensatory damages, as well as statutory punitive damages under General Statutes § 52-240b.
One count of the complaint asserted a product liability claim under the act, but set forth separate allegations in support of theories of strict liability and negligence. 3 With respect to strict liability, the plaintiff alleged that the defendant's cigarettes were defective and unreasonably dangerous in that their design rendered the cigarettes unnecessarily addictive and unnecessarily carcinogenic. Specifically, the plaintiff alleged that the defendant had (1) added ingredients, including carcinogenic ingredients, that altered the natural form of the tobacco in the cigarettes, and (2) utilized manufacturing processes that affected the composition and form of the tobacco and nicotine, as well as the manner in which the cigarette smoke was transmitted to the smoker. With respect to negligence, the plaintiff alleged that the defendant had failed to conform to the applicable standard of care by knowingly designing the cigarettes in a manner that enhanced their addictive and cancer causing nature and by failing to take available measures to reduce the cigarettes' addictive, toxic, and cancer causing ingredients/properties.
After the plaintiff commenced the present action, judgment was rendered in the District Court in another action against a different cigarette manufacturer on the basis of similar allegations of strict liability and negligence. See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
,
The trial in the present case was postponed to await this court's response to that question. In the intervening period, the District Court certified two additional questions to this court for advice: (1) "Does [§] 402A of the Restatement (Second) of Torts (and comment [i] to that provision) apply to a product liability claim for negligence under [the act]?"; and (2) "Does Connecticut's [common-law] rule of punitive damages as articulated in
Waterbury Petroleum Products, Inc.
v.
Canaan Oil & Fuel Co.
,
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McDONALD, J.
This case is the second of two diversity actions in which the federal courts certified questions for this court's advice regarding the viability of an action under Connecticut's Product Liability Act (act)
1
alleging that a cigarette's design had increased consumers' risk of cancer. The courts sought advice whether specific theories advanced in those actions are precluded by this court's adoption of § 402A of the Restatement (Second) of Torts, which imposes liability for defective products that are "unreasonably dangerous," and more particularly, our adoption of comment (i) to § 402A, which defines that term in relation to
consumers' knowledge of the danger.
2
In the first of these actions, this court advised that the strict liability theory advanced was not precluded because it required application of our modified consumer expectation test, under which the obviousness of the danger is only one of many factors that the trier of fact may consider.
Izzarelli
v.
R.J. Reynolds Tobacco Co.
,
In the present action, this court considers three substantive questions: (1) whether, for claims alleging design defects, we should abandon our dual tests based on
§ 402A of the Restatement (Second) of Torts and adopt the standards under the Restatement (Third) of Torts, Products Liability; (2) if not, whether § 402A and comment (i) provide a single, unitary definition for all theories under which product liability claims may be brought, including negligence; and (3) whether the punitive damages available in the act are limited to litigation costs under our common-law punitive damages rule. This court raised the first question; we accepted certification with respect to the second and third questions, pursuant to General Statutes § 51-199b(d), from the United States District Court for the District of Connecticut. See
Bifolck
v.
Philip Morris, Inc.
, Docket No. 3:06cv1768 (SRU),
I
BACKGROUND OF THE PRESENT CASE
The following facts and procedural history gave rise to the issues presently before us. The plaintiff, Vincent Bifolck, individually and as executor of the estate of his wife, Jeanette D. Bifolck (decedent), commenced this action in the District Court against the defendant, Philip Morris, Inc., after the decedent succumbed to lung cancer at the age of forty-two. The principal thrust of the complaint is that the Marlboro and Marlboro Light cigarettes manufactured by the defendant and smoked by the decedent were defectively designed and that this defective design was responsible for her lung cancer and death from that disease. The plaintiff sought compensatory damages, as well as statutory punitive damages under General Statutes § 52-240b.
One count of the complaint asserted a product liability claim under the act, but set forth separate allegations in support of theories of strict liability and negligence. 3 With respect to strict liability, the plaintiff alleged that the defendant's cigarettes were defective and unreasonably dangerous in that their design rendered the cigarettes unnecessarily addictive and unnecessarily carcinogenic. Specifically, the plaintiff alleged that the defendant had (1) added ingredients, including carcinogenic ingredients, that altered the natural form of the tobacco in the cigarettes, and (2) utilized manufacturing processes that affected the composition and form of the tobacco and nicotine, as well as the manner in which the cigarette smoke was transmitted to the smoker. With respect to negligence, the plaintiff alleged that the defendant had failed to conform to the applicable standard of care by knowingly designing the cigarettes in a manner that enhanced their addictive and cancer causing nature and by failing to take available measures to reduce the cigarettes' addictive, toxic, and cancer causing ingredients/properties.
After the plaintiff commenced the present action, judgment was rendered in the District Court in another action against a different cigarette manufacturer on the basis of similar allegations of strict liability and negligence. See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
,
The trial in the present case was postponed to await this court's response to that question. In the intervening period, the District Court certified two additional questions to this court for advice: (1) "Does [§] 402A of the Restatement (Second) of Torts (and comment [i] to that provision) apply to a product liability claim for negligence under [the act]?"; and (2) "Does Connecticut's [common-law] rule of punitive damages as articulated in
Waterbury Petroleum Products, Inc.
v.
Canaan Oil & Fuel Co.
,
After oral argument to this court on both cases, we issued our decision in
Izzarelli
, in which we advised that comment (i) to § 402A did not preclude the strict liability theory advanced.
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
The jury in
Izzarelli
had been instructed on both strict liability tests and rendered a general verdict in favor of the plaintiff. Id., at 182,
Although that position did not garner majority support in that case, the posture of the present case is more conducive to consideration of this issue. Unlike Izzarelli , this case has not yet proceeded to trial. Accordingly, the issue raised by the Izzarelli concurrence can be considered with the benefit of supplemental briefing, but without the possibility of disturbing a presumptively valid verdict under the existing standards in the absence of a challenge to those standards.
In light of these considerations, we issued an order to the parties in the present case, concurrently with the issuance of our decision in Izzarelli , seeking supplemental briefs on the following questions: (1) whether, for product liability actions premised on design defects, this court should abandon the ordinary consumer expectation test/modified consumer expectation test and adopt §§ 1, 2 (b) and 4 of the Restatement (Third), with or without the associated commentary; 4 and (2) if so, whether there is any reason why this court should not apply the Restatement (Third) standard to cases pending before a trial court, like the present case. We also invited professional organizations to submit amicus briefs on the first question. Pursuant to the parties' joint request, the court heard oral argument on these questions.
II
WHETHER TO ABANDON THE RESTATEMENT (SECOND) IN FAVOR OF THE RESTATEMENT (THIRD) FOR DESIGN DEFECT CLAIMS 5
We begin with the question that this court raised because its answer could be dispositive of the first certified question regarding whether consumer expectations under comment (i) to § 402A govern recovery for a defective design under a theory of negligence. See Restatement (Third), supra, § 2, comment (g), pp. 27-28 (explaining that "consumer expectations do not constitute an independent standard for judging the defectiveness of product designs" and that such expectations are "relevant" but not controlling).
A
Parties' Positions
The parties and the amici supporting their respective positions take sharply divergent views on every consideration relevant to this issue. The plaintiff urges us not to abandon our dual Restatement (Second) tests, characterizing the Restatement (Third) as a significant departure from our long-standing strict liability standard and the public policies that this standard advances. Conversely, the defendant urges us to adopt the Restatement (Third), characterizing it as consistent with our case law, our act, and litigation practice. To the extent that both parties acknowledge that the Restatement (Third) will make some change to our product liability law, they point to different effects of those changes. The plaintiff contends that these changes will have a detrimental, unfair effect on injured consumers, whereas the defendant contends that these changes will provide greater clarity and objectivity without such effects. The plaintiff contends that the task of weighing the numerous policy considerations implicated is better left to the legislature, whereas the defendant contends that the issue should be resolved by this court.
B
Current Standard under Our Law 6
Prior to 1965, plaintiffs in Connecticut relied on theories of negligence and breach of warranty in actions to recovery for injuries caused by defective products.
7
In 1965, Connecticut adopted the strict liability standard
for product liability actions under § 402A of the Restatement (Second), under which a plaintiff need not establish the manufacturer's fault. See
Garthwait
v.
Burgio
,
Originally, this court defined unreasonably dangerous solely by reference to consumer expectations as set forth in comment (i)-the ordinary consumer expectation
test. See id., at 214-15,
In 1997, this court rejected the argument that, for design defects, we should adopt the standard in the draft Restatement (Third), requiring proof of a reasonable alternative design, instead of § 402A's unreasonably dangerous standard. See
Potter
v.
Chicago Pneumatic Tool Co.
, supra,
The court's review of the various tests adopted by other jurisdictions convinced it, however, that our singularly focused consumer expectation test might also preclude some valid claims.
Whereas
Potter
established dual tests to prove that a design defect is unreasonably dangerous, our recent decision in
Izzarelli
clarified the circumstances under which each test applies. See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
In sum, under either test, § 402A provides the elements of a strict product liability claim; see footnote 8 of this opinion; but the unreasonably dangerous element is determined by minimum safety expectations in one and by balancing risks and utility in the other.
Izzarelli v.
R.J. Reynolds Tobacco Co.
, supra,
C
Standard under the Restatement (Third)
Unlike § 402A's "unreasonably dangerous" standard, which applies to any type of product defect, § 2 of the Restatement (Third) prescribes different standards for each of the three categories of product defects-design defects, manufacturing defects and defects due to inadequate instructions/warnings. A product "is defective in design when the foreseeable risks of harm posed by the product could have been reduced or avoided by the adoption of a reasonable alternative design by the seller or other distributor, or a predecessor in the commercial chain of distribution, and the omission of the alternative design renders the product not reasonably safe ...." 9 Restatement (Third), supra, § 2(b), p. 14.
The comments elaborate on the practical application of this standard. They explain that this standard "adopts a reasonableness ('risk-utility balancing') test as the standard for judging ... defectiveness ...." Id., comment (d), p. 19. "A broad range of factors may be considered in determining whether an alternative design is reasonable and whether its omission renders a product not reasonably safe. The factors include, among others, the magnitude and probability of the foreseeable risks of harm, the instructions and warnings accompanying the product, and the nature and strength of consumer expectations regarding the product, including expectations arising from product portrayal and marketing....
The relative advantages and disadvantages of the product as designed and as it alternatively could have been designed may also be considered. Thus, the likely effects of the alternative design on production costs; the effects of the alternative design on product longevity, maintenance, repair, and esthetics; and the range of consumer choice among products are factors that may be taken into account." (Citation omitted.) Id., comment (f), p. 23.
The design defect standard under § 2 is not the exclusive means of establishing liability for a design defect. The Restatement (Third) acknowledges three other standards under which a design defect could be established.
A comment to § 2 recognizes the possibility that courts could determine that some products were "so manifestly unreasonable, in that they have low social utility and high degree of danger, that liability should attach even absent proof of a reasonable alternative design." Id., comment (e), pp. 21-22. The example provided of a product that would satisfy this standard is an exploding novelty cigar that causes burns to the user's face. Id., illustration (5), p. 22. This standard will not apply "in most instances even though the plaintiff alleges that the category of product sold by the defendant is so dangerous that it should not have been marketed at all." Id., comment (d), p. 20.
In addition, § 3 recognizes that circumstantial evidence alone may support the inference of a product defect.
10
Id., § 3, p. 111. Essentially, this section states
the contours of the "malfunction" theory that has long been recognized under Connecticut's § 402A case law.
11
See
Metropolitan Property & Casualty Ins. Co.
v.
Deere & Co.
,
Also, § 4 (a) of the Restatement (Third) provides that "a product's noncompliance with an applicable product safety statute or administrative regulation renders the product defective with respect to the risks sought to be reduced by the statute or regulation ...." Liability may not be assessed if the law is unclear as to its meaning or purpose, or conflicts with other safety laws with which the manufacturer must comply. Id., comment (d), p. 121.
It is evident that these three alternatives to the standard under § 2 (b) have a narrow field of operation. Few products will have such a marginal utility and such
a high degree of risk akin to the cartoonish example of the exploding cigar that will satisfy the manifestly unreasonable standard. See A. Twerski & J. Henderson, Jr., " Manufacturers' Liability for Defective Product Designs: The Triumph of Risk-Utility,"
As such, we focus our attention on the differences between this predominant standard and our tests under § 402A. Section 2 (b) imposes two requirements that are not mandated under our § 402A tests: (1) proof that the harm was foreseeable; and (2) proof that a reasonable alternative design existed that would have reduced or avoided the danger. Restatement (Third), supra, § 2(b), p. 14. The comments explain that the rule under § 2 (b) is stated in functional terms rather than traditional doctrinal categories (i.e., strict liability, negligence, implied warranty). Id., § 2, comment (n), p.
35. Nonetheless, the comments also acknowledge that § 2 (b)"achieve [s] the same general objectives as does liability predicated on negligence"; id., comment (a), p. 16; undertakes the same comparative approach that is used in negligence; id., comment (d), p. 19; and is supported by the same policy considerations that support use of a reasonable person perspective in negligence. Id. Accordingly, while there are nominal differences, many courts and commentators view § 2 (b) as effectively requiring proof of negligence. See, e.g.,
Aubin
v.
Union Carbide Corp.
,
Section 402A is a true strict liability standard. A product seller is "subject to liability to the user or consumer even though he has exercised all possible care in the preparation and sale of the product." 2 Restatement (Second), supra, § 402A, comment (a), p. 348. Foreseeability of harm is not an element of the plaintiff's prima facie case. See
Vendrella
v.
Astriab Family Ltd. Partnership
,
Although the availability of an alternative design could be relevant under either of our tests under § 402A, neither requires such proof. Indeed, under our primary modified consumer expectation test, a plaintiff may establish liability solely by reference to the product sold, upon proof that its risks outweigh its utility. It bears emphasizing that this risk-utility balancing does not limit liability to products that are of excessively low utility and exceedingly high risk, as does the "manifestly" unreasonable standard in the Restatement (Third).
On its face, therefore, the Restatement (Third) would appear to make consequential changes to our product liability law. According to the plaintiff, adopting the Restatement (Third) would make product liability cases significantly more expensive to litigate; in many cases requiring expert testimony/product prototypes to establish that the alternative design is reasonable. As such, he contends it will be more likely that cases will be decided on pretrial motions testing the adequacy of this proof and that injured consumers with smaller damages will be unable to bring product liability actions at all.
In response, the defendant and some of the amici contend that adoption of the Restatement (Third) would not significantly alter our law in practice , because plaintiffs typically elect to proffer proof of an alternative design. The defendant does not, and could not, claim, however, that plaintiffs have ever assumed the burden of proving that the harm was foreseeable. Moreover, the defendant's argument does not account for the fact that the adequacy of this proof has generally not been the subject of serious controversy and pretrial motions because plaintiffs have not been required to prove the reasonableness of the alternative design to prevail.
D
Whether the Restatement (Third) Should Be Adopted
In his concurring opinion in
Izzarelli
, Justice Zarella set forth several reasons why he believes that, regardless of the degree of difference, the greater clarity and objectivity that the Restatement (Third) provides over our current standards favors its adoption. See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
We have followed § 402A's strict liability standard for more than five decades. We have only modified that standard to the extent that it was necessary to fill a gap in our law;
Potter
v.
Chicago Pneumatic Tool Co.
, supra,
In the almost two decades since this court adopted our modified consumer expectation test in
Potter
, there has been no evidence that our § 402A strict liability tests have proved to be unworkable. Not a single case applying Connecticut law has been brought to our attention demonstrating either that a jury had difficulty applying our law or that a jury's verdict yielded
a bizarre or unconscionable result. Indeed, we noted in
Izzarelli
that we would trust our trial courts to safeguard against any such result. See id., at 205,
An argument that our standard is unworkable because it lacks an "objective" basis for decision-making was implicitly rejected in
Potter
, and is both circular and contradicted by experience. The presumption on which this argument rests is that failing to require proof of a reasonable alternative design in a risk-utility test deprives the fact finder of an objective basis for decision-making because it lacks an alternative against
which to compare the marketed product. The flaw in this argument is that it assumes that a product cannot be unsafe unless it can be made safer. If the fact finder's task is to determine whether the defendant could have made a safer product, it necessarily follows that the absence of an alternative design makes this task impossible. If, however, the fact finder's task is to assess whether the product is unreasonably dangerous because its risks exceed its utility, no comparison to an alternative is necessary. The fact that jurors commonly engage in such a balancing test whenever they are called upon to assess reasonableness, such as in a claim of negligence, evidences that such weighing is workable. See 2 Restatement (Second), supra, § 291, p. 54 ("[w]here an act is one which a reasonable man would recognize as involving a risk of harm to another, the risk is unreasonable and the act is negligent if the risk is of such magnitude as to outweigh what the law regards as the utility of the act or of the particular manner in which it is done"); see also
Rodriguez
v.
Suzuki Motor Corp.
,
We also note that Connecticut's standard is hardly an outlier. It is not a fruitful exercise to attempt to obtain a precise count of how many jurisdictions have
adopted or rejected the Restatement (Third) standard. Like every other aspect of this area of the law, parties on each side of this debate disagree about what legal standard has been adopted in the various jurisdictions and whether that determination should be made on the basis of how the court has articulated its standard or how the cases have been litigated.
14
It suffices for our purposes that several other jurisdictions apply similar standards to ours, some for many years. See, e.g.,
Barker
v.
Lull Engineering Co.,
In addition to the lack of evidence that our Restatement (Second) standard is unworkable, we are not persuaded that the Restatement (Third) fully addresses all of the concerns that previously led this court to reject the draft Restatement (Third). The court in
Potter
did not address whether it would be appropriate to require plaintiffs to prove that the risk of harm was foreseeable. Nonetheless, such a requirement would be manifestly inconsistent with the court's concern in
Potter
about the burdens of expert testimony;
Potter
v.
Chicago Pneumatic Tool Co.
, supra,
With respect to the reasonable alternative design requirement, the court in
Potter
expressed a concern that such a rule would preclude valid claims for products for which there is no alternative design.
Potter
v.
Chicago Pneumatic Tool Co.
, supra,
The court's concerns in
Potter
are not ameliorated by the argument of the defendant and some of the amici that evidence of a reasonable alternative design
is routinely presented. As the Pennsylvania Supreme Court recently explained: "[R]elying upon a confined universe of reported appellate cases to draw evidence-based (versus principle-based) rules is problematic as a general matter in our mature legal system. This is so because the small class of cases posing issues of sufficient consequence to result in reported, precedential decisions naturally tends to raise narrow unsettled issues and/or fact-sensitive applications, rather than to provide vehicles to illustrate those parts of the law that are so 'well accepted' as to reflect emergent general rules. Of course, these cases may, by analogy and distinction, illuminate general principles at issue; but, purporting to limit the general rule to the facts of those cases is anathema to the common law. Stated otherwise, simply because in cases of factually-marginal applications courts have found evidence relating to alternative designs to be particularly probative and persuasive, in our minds, does not necessarily support a thesis that adducing such evidence is dispositive of whether a plaintiff has carried his/her burden of proof.... And, if adopted as a broadly applicable legal regime, the Third Restatement would engender a self-fulfilling prophecy by providing for a future restatement, going forward, of only those cases that meet the evidentiary threshold the regime permits." (Citation omitted.)
Indeed, even the product liability defense bar has admitted that the controversy surrounding adoption of the Restatement (Third) has not abated. See M. McWilliams & M. Smith, " An Overview of the Legal Standard Regarding Product Liability Design Defect Claims and a Fifty State Survey on the Applicable Law in Each Jurisdiction,"
Alternative Approaches to Alternative Design: Understanding the Reasonable Alternative Design Requirement and Its Different Applications,"
We also observe that if we defer further consideration of the Restatement (Third) until such time as we have a case in which our current standards have demonstrated themselves to be unworkable or result in a manifest injustice, not only might we make a better informed decision, but the legislature might, in the interim, initiate its own reforms. The parties on each side of this issue have raised legitimate policy arguments in support of their respective positions. Public hearings on this issue and further study might yield the best result. We underscore that we do not conclude that this court
cannot
adopt the Restatement (Third), but simply that we
should not
do so at the present juncture. See
Tincher
v.
Omega Flex, Inc.
, supra,
Finally, although the defendant's arguments have not persuaded us that we should adopt the Restatement (Third) at this time, we have reexamined our standards in light of the concerns expressed by both parties to consider whether we could make refinements to our current strict liability standard to provide greater clarity. Having undertaken that inquiry, we make the following clarifications.
First, we agree that the labels of ordinary consumer expectation test and modified consumer expectation test are at best unhelpful and at worst misleading. To distinguish the tests in a manner more reflective of their application, we will call them the consumer expectation test and the risk-utility test. These labels also more closely conform to those used by many other jurisdictions.
Second, although our risk-utility test permits a plaintiff to elect whether to proffer evidence of a reasonable alternative design, it would be helpful to require the plaintiff to allege, and thereby put the defendant on notice, whether the product is claimed to be unreasonably dangerous because (a) a reasonable alternative design could have reduced or avoided the danger, or (b) the design of the product marketed is manifestly unreasonable in that the risk of harm from the product so clearly exceeds its utility that a reasonable, informed consumer would not purchase the product, or (c) both. Under either theory, the jury weighs the product's risks and utility. Only under (a), however, would the jury consider the availability of an alternative design and compare that design's risks and utility to that of the product sold. Under (b), the jury would focus exclusively on the risks and utility of the product sold. We underscore that (b) is not limited to products of marginal utility; it applies to any product in which its risks clearly exceed its utility. The greater the utility, the greater the risk must be to render the product unreasonably dangerous. By segregating these risk-utility theories, we may gain a clearer picture of what, if any, problems these theories present in practical application. Third, we recognize that, in most cases, plaintiffs will elect to proceed on the theory that the product is unreasonably dangerous because it lacked some feature that would have reduced or avoided the injury. This narrative is the one that is likely to be most persuasive to a jury, and not many products will be more dangerous than useful or fail to meet minimum safety expectations. Therefore, it would be helpful to clarify the plaintiff's burden of proof on this theory. In order to state a prima facie case that will permit the case to be submitted to the jury, the plaintiff must simply prove that the alternative design was feasible (technically and economically) and that the alternative would have reduced or avoided the harm. Although other factors may be relevant; see part II E of this opinion; a plaintiff's failure to present proof on other factors will not preclude the case from being submitted to the jury. We underscore that, as to economic feasibility, the plaintiff need not prove the precise cost of the alternative design. The plaintiff only need proffer sufficient evidence from which a jury could reasonably conclude that any increase in cost would not materially affect the desirability of the product in light of the benefit derived.
Fourth, we conclude that a defect may be established under our consumer expectation test by proof of the product's noncompliance with safety statutes or regulations or a product seller's express representations. Such noncompliance would establish the product's failure to meet consumers' legitimate, commonly accepted, minimum safety expectations. Moreover, the utility of the product would not excuse such noncompliance.
E
In light of the clarifications in Izzarelli and this opinion, we summarize the standards that govern a product liability claim, as that term is defined under our act. See General Statutes § 52-572m(b). 17
All such claims, whether alleging a design defect, manufacturing defect or failure to warn defect, are governed by the same elements that this court has applied since it adopted § 402A : "(1) the defendant was engaged in the business of selling the product; (2) the product was in a defective condition unreasonably dangerous to the consumer or user; (3) the defect caused the injury for which compensation was sought; (4) the defect existed at the time of the sale; and (5) the product was expected to and did reach the consumer without substantial change in condition." (Emphasis omitted; internal quotation marks omitted.)
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
The plaintiff's theory of recovery dictates the scope of a further instruction on the second element. For a strict liability claim alleging design defect, the plaintiff may prove this element under the risk-utility test or under the consumer expectation test.
Under the risk-utility test, which will govern most cases, a product is in a defective condition unreasonably dangerous to the consumer or user if:
(1) A reasonable alternative design was available that would have avoided or reduced the risk of harm and the absence of that alternative design renders the product unreasonably dangerous. In considering whether there is a reasonable alternative design, the jury must consider the feasibility of the alternative. Other relevant factors that a jury may consider include, but are not limited to, the ability of the alternative design to reduce the product's danger without unreasonably impairing its usefulness, longevity, maintenance, and esthetics, without unreasonably increasing cost, and without creating other equal or greater risks of danger; or
(2) The product is a manifestly unreasonable design in that the risk of harm so clearly exceeds the product's utility that a reasonable consumer, informed of those risks and utility, would not purchase the product. 18 The factors that a jury may consider include, but are not limited to, the magnitude and probability of the risk of harm, the instructions and warnings accompanying the product, the utility of the product in relation to the range of consumer choices among products, and the nature and strength of consumer expectations regarding the product, including expectations arising from product portrayal and marketing.
Although the fact finder considers under either theory whether the risk of danger inherent in the challenged design outweighs the benefits of that design, these theories are not mutually exclusive. A plaintiff may consistently allege that a product had excessive preventable danger (reasonable alternative design) and that the product was too dangerous to market to the consumer irrespective of whether it could have been designed to be safer (manifestly unreasonable design).
Under the consumer expectation test, our secondary test, a product is in a defective condition unreasonably dangerous to the consumer or user only if it is "dangerous to an extent beyond that which would be contemplated by the ordinary consumer who purchases it, with the ordinary knowledge common to the community as to its characteristics." 2 Restatement (Second), supra, § 402A, comment (i), p. 352. The product must fail to meet legitimate, commonly held, minimum safety expectations of that product when used in an intended or reasonably foreseeable manner. Those expectations may be informed by consumers' experience with the product, the seller's express representations, and product safety laws. 19
III
FIRST CERTIFIED QUESTION
Having reaffirmed our allegiance to a strict liability standard under § 402A of the Restatement (Second), we turn to the first certified question, which asks: "Does [§] 402A of the Restatement (Second) of Torts (and [c]omment [i] to that provision) apply to a product liability claim for negligence under [the act]?"
Bifolck
v.
Philip Morris
,
Inc.
, supra,
Both parties agree that, under the Restatement (Second) and our act, a product liability claim may be brought under theories of strict liability and/or negligence. See footnote 17 of this opinion (setting forth statutory definition of product liability claim). The crux of the dispute is whether a single, unitary definition applies to all such claims, no matter the theory of recovery.
The defendant contends that the sole definition of unreasonably dangerous is a product that is "dangerous to an extent beyond that which would be contemplated by the ordinary consumer who purchases it ...." 2 Restatement (Second), supra, § 402A, comment (i), p. 352. It argues that our case law and the act support a unified definition of product liability, which is consistent with the practice of most jurisdictions. It suggests that negligence allows the plaintiff to elect to prove an additional element of manufacturer fault to provide a more appealing narrative to the jury.
The plaintiff clarified at oral argument before this court that, even under a theory of negligence, he effectively must prove that the product is in a defective condition unreasonably dangerous to the user. Nonetheless, he argues that the proof to establish this fact differs under negligence. He argues that common-law negligence requires proof that the manufacturer breached its duty by failing to exercise reasonable care under the circumstances, not by failing to meet consumers' expectations. He contends that to conclude otherwise would preclude valid claims for injuries sustained by unintended but foreseeable users, like children who should have been protected by safety features that the ordinary consumer would not expect or require.
We agree with the defendant that no product liability action can succeed without proof of a defective condition unreasonably dangerous to the consumer or user. See Connecticut Civil Jury Instructions (4th Ed. 2012) § 3.10-1, available at http://www.jud.ct.gov/JI/Civil/Civil.pdf; 1 American Law of Products Liability (3d Ed. 2009) § 10:17, p. 37 ("[w]hether a claim of liability against a product manufacturer is based on negligence or on some other theory of liability, the manufacturer is liable only when the product is so defective as to render it 'unreasonably dangerous' "). Indeed, even before this court's
adoption of § 402A, no action alleging injuries caused by the manufacture or design of a product based on negligence and/or warranty theories succeeded without evidence to this effect. See, e.g.,
Handler
v.
Remington Arms Co.
,
Nonetheless, we disagree with the defendant that there is a single definition for unreasonably dangerous, as provided in comment (i) to § 402A. The parties did not have the benefit of our decision in Izzarelli when they submitted their briefs and provided oral argument on this issue. Indeed, it is evident from the record that the parties assumed that the consumer expectation test would control the plaintiff's strict liability claim. Our decision in Izzarelli , however, not only clarified that a different strict liability test would control the present case, but also negated an argument that a product is unreasonably dangerous only when it is dangerous to an extent beyond that contemplated by the ordinary consumer.
The court concluded in Izzarelli that the plaintiff in that case could not proceed under the ordinary consumer expectation test because "[a] cigarette that exposes the user to carcinogens and the attendant risk of cancer cannot be said to fail to meet an ordinary consumer's legitimate, commonly accepted minimum safety expectations." 20
Izzarelli
v.
R.J. Reynolds
Tobacco Co.
, supra,
"
To allow the ordinary consumer's awareness of the product's potential danger to preclude recovery as a matter of law, however, would make Connecticut an outlier and defeat our intention in relegating the ordinary consumer expectation test to a more limited role.
" (Emphasis added; footnote omitted; internal quotation marks omitted.)
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
In addition to various policy arguments, the court in
Izzarelli
pointed to other aspects of our law that would be in tension with a conclusion that an essential element of every product liability action is that the product's dangers exceed those known to the consumer. Most significantly, we reasoned that "[o]ur legislature's express rejection of comparative or contributory negligence as a bar to recovery in a strict liability action [under our act] would be in tension with a sweeping
immunity based solely on the consumer's knowledge."
21
Id., at 199,
Accordingly, our decision in
Izzarelli
makes clear that comment (i) to § 402A does not provide a unitary definition of unreasonably dangerous that governs all product liability claims. See
Barker
v.
Lull Engineering Co.
, supra,
When negligence is a viable theory of recovery, consumer expectations have never been an element of that theory. Under our common law, "[t]he essential elements
of a cause of action in negligence are well established: duty [of care]; breach of that duty; causation; and actual injury.... A duty to use care may arise from a contract, from a statute, or from circumstances under which a reasonable person, knowing what he knew or should have known, would anticipate that harm of the general nature of that suffered was likely to result from his act or failure to act." (Citations omitted; internal quotation marks omitted.)
Sturm
v.
Harb Development, LLC
,
Insofar as courts have concluded that the failure to prove that the product is in a defective condition unreasonably dangerous to the consumer would equally doom strict liability and negligence, we agree. We simply conclude that consumers' awareness of the danger will not preclude establishing such a condition unless it is an element of the applicable common-law theory. We therefore answer the first certified question "no." 23
IV
PUNITIVE DAMAGES
Lastly, we turn to the second certified question, which asks: "Does Connecticut's common-law rule of punitive
damages,
as articulated in
Waterbury Petroleum Products, Inc.
v.
Canaan Oil & Fuel Co.
, [supra,
In considering this issue, we apply general rules of statutory construction; see General Statutes § 1-2z ;
Martel
v.
Metropolitan District Commission
,
We begin therefore with the common-law rule and then turn to the statute. In
Waterbury Petroleum Products, Inc.
v.
Canaan Oil & Fuel Co.
, supra,
"The subject of punitive damages has been one of great debate throughout the course of American jurisprudence.... Typically, those who disfavor punitive damage awards in civil cases point to the prospect that such damages are frequently the result of the caprice and prejudice of jurors, that such damages may be assessed in amounts which are unpredictable and bear no relation to the harmful act, and that the prospect of such damages assessed in such a manner may have a chilling effect on desirable conduct....
"In permitting awards of punitive damages, but limiting such damages as we do, our rule strikes a balance-it provides for the payment of a victim's costs of litigation, which would be otherwise unavailable to him, while establishing a clear reference to guide the jury fairly in arriving at the amount of the award. Further, although our rule is a limited one, when viewed in light of the ever rising costs of litigation, our rule does in effect provide for some element of punishment
and deterrence
in addition to the compensation of the victim. Thus, in limiting punitive damage awards to the costs of litigation less taxable costs, our rule fulfills the salutary purpose of fully compensating a victim for the harm inflicted on him while avoiding the potential for injustice which may result from the exercise of unfettered discretion by a jury." (Citations omitted; footnotes omitted; internal quotation marks omitted.)
Waterbury Petroleum Products, Inc.
v.
Canaan Oil & Fuel Co.,
supra,
With the common law in mind, we turn to the punitive damages provision in the act. Section 52-240b provides: "Punitive damages may be awarded if the claimant proves that the harm suffered was the result of the product seller's reckless disregard for the safety of product users, consumers or others who were injured by the product. If the trier of fact determines that punitive damages should be awarded, the court shall determine the amount of such damages not to exceed an amount equal to twice the damages awarded to the plaintiff."
Although the statute is consistent with common-law punitive damages in one respect, it is inconsistent in many more. On the one hand, the statutory punitive damages are awarded on the basis of the same conduct that would justify an award of common-law punitive damages-reckless disregard of another's rights. See
Vandersluis
v.
Weil
,
There are other factors that inform our conclusion. If we were to construe the act to equate the statutory punitive damages to litigation expenses, in some cases the statute would have no effect or frustrate the purpose of the common-law rule. In any case in which litigation expenses are less than two times the damages, the statute would have no impact whatsoever, as the common-law recovery would already have been available. In any case in which the plaintiff's compensatory damages are relatively low in comparison to his or her litigation costs, the cap limiting punitive damages to twice compensatory damages would frustrate the purpose of common-law damages-"fully compensating a victim for the harm inflicted on him."
Waterbury
Petroleum Products,
Inc.
v.
Canaan Oil & Fuel Co.
, supra,
Another factor that has influenced this court to distinguish an award of statutory punitive damages from common-law punitive damages is when the statutory scheme also authorizes an award of attorney's fees. See
Ulbrich
v.
Groth
, supra,
To the extent that the defendant contends that construing the statute other than by the common-law rule would frustrate the overarching purpose of the act, which is to limit insurance costs for product liability actions, the legislative history of the act does not support the defendant's construction. The punitive damages provision was added to the proposed bill after consumer interests spoke in opposition to the original bill, which was far less favorable to the consumer than the final bill in various respects. See Committee Bill No. 5870, 1979 Sess.; Substitute House Bill No. 5870, 1979 Sess.; Conn. Joint Standing Committee Hearings, Judiciary, Pt. 2, 1979 Sess., pp. 591-92. The proposed punitive
damages provision manifestly intended the broader measure of such damages, not litigation expenses. The proposed provision was taken almost verbatim from the Draft Uniform Product Liability Law published by the United States Department of Commerce.
We answer the first certified question "No.
We answer the second certified question "No."
No costs shall be taxed in this court to either party.
In this opinion ROGERS, C.J., and EVELEIGH and ROBINSON, Js., concurred.
ZARELLA, J., with whom ESPINOSA, J., joins, concurring.
I agree with the majority's answers to the two
certified questions from the United States District Court for the District of Connecticut, but, in light of my conclusion in my concurring opinion in
Izzarelli
v.
R.J. Reynolds Tobacco Co.
,
The first certified question asks whether "[§] 402A of the Restatement (Second) of Torts (and [c]omment [i] to that provision) apply to a product liability claim for [negligent design] under [Connecticut's Product Liability Act (act), General Statutes § 52-572m et seq. ]?"
Bifolck
v.
Philip Morris, Inc.
, United States District Court, Docket No. 3:06CV1768 (SRU),
Like the majority, I also conclude that § 402A of the Restatement (Second) does not apply to the plaintiff's claim, but I disagree with the majority's basis for this
conclusion in light of my concurring opinion in
Izzarelli
. In that opinion, I explained that I would adopt the approach used for design defect cases in §§ 1, 2 and 4 of the Restatement (Third) of Torts, Products Liability.
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
As I explained in
Izzarelli
, the Restatement (Third) does not recognize a distinction between claims based on negligence or strict liability; see id., p. 36; a position that is consistent with the purposes of the act, which was intended to help simplify product liability causes of action. See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
Applying the Restatement (Third) in the present case, I conclude that § 402A of the Restatement (Second) and its ordinary consumer expectations test should no longer apply to claims involving design defects existing at the time of sale, and, thus, § 402A does not control the plaintiff's claim in the present case. Because the Restatement (Third) no longer recognizes a stand-alone negligence theory of recovery for design defect claims, I would further conclude that the plaintiff must proceed under the risk-utility test. See Restatement (Third), supra, § 2, comment (n), pp. 35-36; see also
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
With respect to the second certified question, regarding the measure of punitive damages under General Statutes § 52-240b, I agree with the majority's answer and generally agree with its analysis. I write separately to emphasize that I find the answer to this question to be an extremely close call. As the defendant argues, there is a strong presumption against construing a statute to override the common law. See, e.g.,
Ames
v.
Commissioner of Motor Vehicles
,
In the present case, I am persuaded that the legislature intended to adopt an approach that is different from the common law with respect to punitive damages calculations, principally in light of its decision to include a separate provision in the act providing for an award of attorney's fees.
See General Statutes § 52-240a. I share the majority's concerns that arise from construing §§ 52-240a and 52-240b as both allowing awards of attorney's fees but under different conditions. As the majority explains, under such a construction, if a prevailing plaintiff established both reckless disregard of the safety of product users, consumers, and others who are injured by a product, and that a defense raised was frivolous, limiting the plaintiff's award under both statutes to his attorney's fees effectively compensates the plaintiff for only one of the defendant's wrongful actions, which would appear to frustrate the purpose of these statutes. I therefore am persuaded that § 52-240b, considered together with other provisions of the act, fairly expresses an intention to depart from the common-law rule regarding the calculation of punitive damages.
In conclusion, I agree with the majority that § 402A of the Restatement (Second) does not apply to the plaintiff's claim, and, therefore, I would answer the first certified question in the negative. I would also make clear, however, that the proper standard governing the plaintiff's claim is the risk-utility standard set forth in §§ 1 and 2 of the Restatement (Third). With respect to the second certified question, I concur in the majority's reasoning and answer.
VERTEFEUILLE, J., concurring and dissenting.
I agree with the majority opinion insofar as it concludes that § 402A of the Restatement (Second) of Torts applies to a product liability claim for negligence under Connecticut's Product Liability Act (act), General Statutes § 52-572m et seq. I disagree, however, with the majority's conclusion in part IV of its opinion that our common-law rule of punitive damages does not apply to an award of statutory punitive damages pursuant to General Statutes § 52-240b. Accordingly, I respectfully dissent from that portion of the majority opinion.
This court has repeatedly held that "[i]nterpreting a statute to impair an existing interest or to change radically existing law is appropriate only if the language of
the legislature plainly and unambiguously reflect such an intent. [W]hen a statute is in derogation of common law or creates a liability where formerly none existed, it should receive a strict construction and is not to be extended, modified, repealed or enlarged in its scope by the mechanics of [statutory] construction.... In determining whether or not a statute abrogates or modifies a common law rule the construction must be strict, and the operation of a statute in derogation of the common law is to be limited to matters clearly brought within its scope." (Citation omitted; internal quotation marks omitted.)
Vitanza
v.
Upjohn Co.
,
"We recognize only those alterations of the common law that are clearly expressed in the language of the statute because the traditional principles of justice upon which the common law is founded should be perpetuated. The rule that statutes in derogation of the common law are strictly construed can be seen to serve the same policy of continuity and stability in the legal system as the doctrine of stare decisis in relation to case law." (Internal quotation marks omitted.) Id., at 381-82,
Lynn
v.
Haybuster Mfg., Inc.
,
Under the common law of this state, "[i]n order to award punitive or exemplary damages, [the] evidence must reveal a reckless indifference to the rights of others or an intentional and wanton violation of those rights." (Internal quotation marks omitted.)
Votto
v.
American Car Rental, Inc.
,
Section 52-240b provides: "Punitive damages may be awarded if the claimant proves that the harm suffered was the result of the product seller's reckless disregard for the safety of product users, consumers or others who were injured by the product. If the trier of fact determines that punitive damages should be awarded, the court shall determine the amount of such damages not to exceed an amount equal to twice the damages awarded to the plaintiff." Thus, the plain language of § 52-240b merely provides that punitive damages cannot exceed twice the compensatory damages award. The statute does not plainly and unambiguously abrogate
the common-law rule that punitive damages are limited to litigation expenses. Indeed, the statute is silent as to the meaning of "punitive damages." Accordingly, I believe that we must interpret § 52-240b as incorporating the common-law limitation on punitive damages.
Elliot
v.
Sears, Roebuck & Co.
, supra,
Moreover, in statutes where the legislature has wanted to make it clear that punitive damages may be awarded over and above litigation expenses, the legislature has expressly provided that punitive damages may be awarded "in addition to" attorney's fees, or has used language to that effect. See General Statutes § 42-110g (d) ("[i]n any action brought by a person under this section, the court may award, to the plaintiff,
in addition to
the relief provided in this section [including punitive damages], costs and reasonable attorneys' fees" [emphasis added] );
Ulbrich
v.
Groth
,
In addition, the legislature considered and rejected a provision that would have
required the court to consider multiple factors in determining the amount of punitive damages; compare Substitute House Bill No. 5870, § 8 (b)
3
and Public Acts 1979, No. 79-483, § 8; and, instead, adopted the provision capping punitive damages at twice the amount of the compensatory award. If the legislature had intended to authorize an award of punitive damages over and above litigation expenses, I can perceive no reason why it would have deliberately declined to provide the court with objective criteria by
which it could determine the amount of such an award.
4
See
Izzarelli
v.
R.J. Reynolds Tobacco Co.
, supra,
Finally, the legislative history of the act shows that, far from being concerned with punishing defendants in product liability actions by authorizing damage awards that exceed the plaintiffs' actual losses, the legislature was primarily concerned with "the rising price of product liability insurance" that had "hindered the ability of companies to acquire coverage and to assume the risk necessary for innovation without increasing the costs of their products."
5
Connecticut State Library,
Law and Legislative Reference Unit, Connecticut Legislative Histories Landmark Series: 1979 Public Act No. 483 (2007) preface. In light of this
concern, it would have been entirely reasonable for the legislature to adopt the common-law limitation on punitive damages and, in addition, to cap such damages at twice the compensatory award in order to limit liability in cases where the compensatory damages-and, presumably, the injuries-are small, but the litigation expenses are large.
6
Accordingly, I would conclude that "punitive damages" as used in § 52-240b has the same meaning as under
our common law, namely, litigation expenses, such as attorney's fees, less taxable costs.
Hylton
v.
Gunter
, supra,
Accordingly, I respectfully dissent from part IV of the majority opinion.
Related
Cite This Page — Counsel Stack
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