Henderson v. Department of Motor Vehicles

521 A.2d 1040, 202 Conn. 453, 1987 Conn. LEXIS 789
CourtSupreme Court of Connecticut
DecidedMarch 10, 1987
Docket12792
StatusPublished
Cited by68 cases

This text of 521 A.2d 1040 (Henderson v. Department of Motor Vehicles) is published on Counsel Stack Legal Research, covering Supreme Court of Connecticut primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Henderson v. Department of Motor Vehicles, 521 A.2d 1040, 202 Conn. 453, 1987 Conn. LEXIS 789 (Colo. 1987).

Opinion

Shea, J.

In this appeal from a decision of the adjudication unit of the department of motor vehicles, suspending the plaintiff’s license because of his involvement in a fatal accident, the Appellate Court upheld the judgment of the trial court, Mulvey, J., dismissing the appeal. Henderson v. Department of Motor Vehicles, 4 Conn. App. 143, 147, 493 A.2d 242 (1985). This court granted the plaintiff’s petition for certification limited to the following issue: “When an adjudicator has engaged in ex parte communication in violation of Connecticut General Statute Sec. 4-181, should relief be provided when the record is devoid of evidence tending to prove that the party seeking the relief has been [455]*455prejudiced by the communication?” In affirming the trial court’s judgment, the Appellate Court held that, “in order to be entitled to relief, a plaintiff must show prejudice to his rights resulting from an ex parte communication which is in violation of General Statutes § 4-181.” Id., 147. The trial court had similarly concluded that the failure of the plaintiff to demonstrate prejudice barred relief. We disagree with the view that imposes the burden of proving prejudice upon the plaintiff despite a clear violation of § 4-181. Nevertheless, we affirm the judgment because of the plaintiff’s failure to seek disqualification of the adjudicator earlier in the proceeding.

The facts relating to the issues on appeal are not disputed. Pursuant to General Statutes § 14-111 (c), an administrative hearing was conducted by an adjudicator, Attorney Jonas J. Meyer III, on behalf of the department of motor vehicles on June 1,1982, concerning the suspension of the plaintiff’s license to drive as a result of a fatal accident involving a motor vehicle he was found to have been operating at the time of the occurrence. About five minutes before the hearing began, Thomas A. Brown, a state police trooper who had investigated the accident, conversed with the adjudicator concerning the accident in a room behind the hearing room out of the presence of the plaintiff and his attorney. Brown, who was the first witness at the hearing, in response to the plaintiff’s inquiries at the start of his cross-examination, admitted that the adjudicator had “wanted to know the facts and the situation surrounding the accident” and had specifically asked for his conclusion “as to who was driving.” Brown had expressed his opinion as to the identity of the operator. He and the adjudicator together had also examined the photographs of the accident. The remainder of the extensive cross-examination related to Brown’s investigation of the accident.

[456]*456Because the hearing was not completed on June 1, 1982, another session was held on September 7,1982, at which the plaintiff presented the testimony of two additional state police officers who had investigated the accident. At the conclusion of the testimony the plaintiff moved to dismiss the proceeding because of the ex parte communication between the adjudicator and Brown before commencement of the hearing. This motion was the first reference to the adjudicator’s conversation with Brown since it had been disclosed on cross-examination of that witness three months earlier. The adjudicator denied the motion and later rendered a decision on the merits suspending the plaintiff’s license.

I

As the certified question assumes, it is undisputed that the private conference between the adjudicator and Brown before the hearing violated the prohibition in § 4-1811 of the Uniform Administrative Procedure Act (UAPA) against ex parte communications concerning contested cases by those acting in an adjudicative role on behalf of an agency with any person or party. Relying upon General Statutes § 4-183 (g)2 of the UAPA, [457]*457which authorizes reversal or modification of an agency decision only when “substantial rights of the appellant have been prejudiced,” the Appellate Court concluded that, “in order to be entitled to relief, a plaintiff must show prejudice to his rights resulting from an ex parte communication which is in violation of General Statutes § 4-181.” Henderson v. Department of Motor Vehicles, supra. The burden of proving prejudice from an undisputed violation of the statutory prohibition against ex parte communications was thus cast upon the plaintiff. Since nothing in the record indicated that the adjudicator had been influenced adversely to the plaintiff by his conversation with Brown, the Appellate Court affirmed the conclusion of the trial court that the agency decision should be upheld for lack of a demonstration of prejudice. It should be noted that the certified question postulates that “the record is devoid of evidence tending to prove” prejudice.

Although we agree with the Appellate Court that § 4-183 (g) requires that substantial rights of a party be prejudiced before an agency decision may be overturned, even where § 4-181 is violated,3 we disagree with its view that the burden of proving prejudice rested upon the plaintiff. Once it has been demonstrated that [458]*458a violation of § 4-181 has occurred, a presumption of prejudice must be deemed to arise. Although this presumption is rebuttable, the burden of showing that a prohibited ex parte communication by an adjudicator has not prejudiced a party must be allocated to the agency if § 4-181 is to fulfill its salutary purpose.

If we were to adopt the view of the Appellate Court that a plaintiff must prove not only that a violation of § 4-181 has occurred but also that the agency decision rendered thereafter has been prejudicially affected by the prohibited communication, it is difficult to perceive what purpose the statute would serve. Long before the advent of § 4-181 it had been held that a fundamental requirement of a fair administrative hearing is that “the one who decides shall be bound in good conscience to consider the evidence, to be guided by that alone, and to reach his conclusion uninfluenced by extraneous considerations which in other fields might have play in determining purely executive action.” Morgan v. United States, 298 U.S. 468, 480, 56 S. Ct. 906, 80 L. Ed. 1288 (1936). “Nothing can be treated as evidence which is not introduced as such.” Id. Ex parte communications with persons outside the agency are plainly improper under this standard for administrative adjudication. Even in the absence of such a statute, therefore, an ex parte communication by an adjudicator concerning a case before him would indicate that the decision had been “made upon unlawful procedure,” a ground for reversal or modification specifically mentioned in § 4-183 (g) (3). A plaintiff who also showed “substantial prejudice” to his rights, satisfying the predicate established by § 4-183 (g) for relief upon any of the grounds enumerated therein, would thus be entitled to reversal or modification of the agency decision quite apart from § 4-181. If that statute is to be given any significant effect, as the legislature doubtless intended, we must place upon the agency that has violated its [459]*459provisions the burden of proving that no prejudice has resulted from the ex parte communication.

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Bluebook (online)
521 A.2d 1040, 202 Conn. 453, 1987 Conn. LEXIS 789, Counsel Stack Legal Research, https://law.counselstack.com/opinion/henderson-v-department-of-motor-vehicles-conn-1987.