§ 4-160 — Authorization of actions against the state.

Connecticut § 4-160

• Jurisdiction: Connecticut
• Title 4: Management of State Agencies
• Ch. 53: Claims Against the State

Text

(a) Whenever the Claims Commissioner deems it just and equitable, the Claims Commissioner, the Deputy Claims Commissioner or a special deputy may authorize suit against the state on any claim which, in the opinion of the Claims Commissioner, presents an issue of law or fact under which the state, were it a private person, could be liable. The Claims Commissioner, the Deputy Claims Commissioner or a special deputy may grant permission to sue for a claim that exclusively seeks permission to sue the state based solely on the notice of claim or any supporting evidence submitted pursuant to section 4-147, or both, without holding a hearing, upon the filing by the attorney or pro se claimant of (1) a motion for approval to assert a claim without a hearing, requesting a ruling based solely on the notice of the claim and any supporting evidence submitted under the provisions of this chapter, and (2) an affidavit attesting to the validity of a claim. Such affidavit shall be signed, notarized and filed by both the attorney and claimant or a pro se claimant, attesting to the following, in the following form: “I have made a reasonable inquiry, as permitted by the circumstances, which has given rise to a good faith belief that grounds exist for a suit against the state. Such inquiry includes (provide a brief description of the inquiry made)”. The claimant shall serve any motion for approval and affidavit on the office of the Attorney General and any state agency that is a subject of the claim. The state may file an opposition to the motion for approval and the affidavit not later than thirty days after such service of the motion and affidavit. Such opposition shall be limited to opposition of the claim based solely on jurisdictional grounds, including pursuant to section 4-142, or subsection (a) of section 4-148, or prosecutorial, judicial, quasi-judicial or legislative immunity. (b) Any claim exclusively requesting permission to sue the state that was filed more than three years prior to July 1, 2023, that has not been disposed of by the Office of the Claims Commissioner, shall be referred to a special deputy for proceedings in accordance with subsection (d) of this section, unless the claimant expressly states the desire to have such claim remain before the Claims Commissioner. (c) If a claim exclusively requesting permission to sue the state remains pending with the Office of the Claims Commissioner eighteen months after the date on which such claim was filed with the office, a claimant may file a notice indicating the passage of such eighteen months with the Attorney General, the Governor and the joint standing committee of the General Assembly having cognizance of matters relating to the judiciary. The Claims Commissioner, Deputy Claims Commissioner or a special deputy shall make all reasonable efforts to render a decision on such claim not later than ninety days after the filing of such notice, and the Office of the Claims Commissioner shall retain jurisdiction over the disposition of such claim beyond the ninety-day period until the date for the end of the next regular session of the General Assembly. If the Claims Commissioner, Deputy Claims Commissioner or a special deputy does not issue a decision during such ninety-day period, the claim shall be referred to a special deputy for proceedings in accordance with subsection (d) of this section. The provisions of this subsection shall not apply to a claim in which the parties have not objected to an extension of time for the Office of the Claims Commissioner to dispose of the claim. (d) (1) If a claim is referred to a special deputy under subsection (b) or (c) of this section, such special deputy shall review the notice of claim, the state's notice of opposition and any discovery or other supporting evidence, and may, if the special deputy deems it necessary, hold a conference with the parties using telephonic or video conferencing technology. Consideration of the state's opposition to such claims shall be limited to jurisdictional grounds or prosecutorial, judicial, quasi-judicial or legislative immunity. The special deputy shall make a determination to deny or dismiss a claim or authorize a claimant to sue the state, not later than ninety days after the claim is referred to such special deputy. A special deputy shall authorize suit against the state if the claim, in the opinion of the special deputy, presents an issue of law or fact under which the state, were it a private person, could be liable. If the resolution of the state's opposition to the claim is based on a dispute of a material fact, the special deputy shall grant permission to sue the state and preserve the state's right to pursue such defense in court. (2) A special deputy shall make a finding of fact for each claim and file such finding with the order or authorization disposing of the claim with the Claims Commissioner. The special deputy shall provide a copy of such finding and order or authorization to the claimant and to the representative for the state, which representative may in appropriate cases be the Attorney General. (e) A claimant exclusively seeking permission to sue the state shall be deemed to have been granted permission to sue the state by the Claims Commissioner if the Attorney General files with the Office of the Claims Commissioner a signed stipulation authorizing permission to sue the state for a particular claim of the claimant. (f) In any claim alleging malpractice against the state, a state hospital or against a physician, surgeon, dentist, podiatrist, chiropractor or other licensed health care provider employed by the state, the attorney or pro se party filing the claim may submit a certificate of good faith to the Office of the Claims Commissioner in accordance with section 52-190a . If such a certificate is submitted, permission to sue the state shall be deemed granted by the Claims Commissioner (1) on June 28, 2021, if the certificate has been filed with the Claims Commissioner prior to June 28, 2021, or (2) upon the filing of the certificate with the Office of the Claims Commissioner, if such certificate is filed on or after June 28, 2021. In lieu of filing a notice of claim pursuant to section 4-147 , a claimant may commence a medical malpractice action against the state prior to the expiration of the limitation period set forth in section 4-148 and authorization for such action against the state shall be deemed granted. Any such action shall be limited to medical malpractice claims only and any such action shall be deemed a suit otherwise authorized by law in accordance with subsection (a) of section 4-142 . The provisions of this subsection shall apply to any claim alleging malpractice against the state that was timely filed with the Claims Commissioner and remains pending with said commissioner, regardless of whether such claim was filed before, on or after October 1, 2019. (g) After completion of discovery in a suit filed in the Superior Court after receiving permission to sue the state on the basis of an affidavit attesting to the validity of a claim filed in accordance with subsection (a) of this section, if the court determines that such affidavit was not made in good faith, that no justiciable issue was presented against the state and that the state cooperated in good faith with the claimant by providing informal discovery, the court, upon motion or on its own initiative, shall impose upon the attorney and claimant or pro se claimant who signed such affidavit an appropriate sanction, which may include an order to pay to the state the reasonable expenses incurred by the state because of the filing of the suit. The court may also submit the matter to the appropriate authority for disciplinary review of any attorney who submitted the affidavit. (h) In each action authorized by the Claims Commissioner, the Deputy Claims Commissioner or a special deputy, or any action where permission to sue the state has been deemed to have been granted by the Claims Commissioner, the Deputy Claims Commissioner or a special deputy pursuant to subsections (a) to (f), inclusive, of this section or by the General Assembly pursuant to section 4-159 , or 4-159a , the claimant shall allege such authorization or permission and the date on which it was granted, except that evidence of such authorization or permission shall not be admissible in such action as evidence of the state's liability. Except as provided in subsection (d) of this section, (1) the state waives its immunity from liability and from suit in each such action and waives all defenses which might arise from the eleemosynary or governmental nature of the activity complained of, and (2) the rights and liability of the state in each such action shall be coextensive with and shall equal the rights and liability of private persons in like circumstances. (i) No such action shall be brought but within one year from the date such authorization becomes effective or permission to sue is granted, whichever date is later. With respect to any claim presented to the Office of the Claims Commissioner, the Deputy Claims Commissioner or a special deputy for which authorization or permission to sue is granted, any statute of limitation applicable to such action shall be tolled until the date such authorization or permission to sue is granted. The claimant shall bring such action against the state as party defendant in the judicial district in which the claimant resides or, if the claimant is not a resident of this state, in the judicial district of Hartford or in the judicial district in which the claim arose. (j) Civil process directed against the state shall be served as provided by section 52-64 . (k) Issues arising in such actions shall be tried to the court without a jury. (l) The laws and rules of practice governing disclosures in civil actions shall apply against state agencies and state officers and employees possessing books, papers, records, documents or information pertinent to the issues involved in any such action. (m) The Attorney General, with the consent of the court, may compromise or settle any such action. The terms of every such compromise or settlement shall be expressed in a judgment of the court. (n) Costs may be allowed against the state as the court deems just, consistent with the provisions of chapter 901. (o) The clerk of the court in which judgment is entered against the state shall forward a certified copy of such judgment to the Comptroller. The Attorney General shall certify to the Comptroller when the time allowed by law for proceeding subsequent to final judgment has expired and the Attorney General shall designate the state agency involved in the action. Upon receipt of such judgment and certification the Comptroller shall make payment as follows: Amounts directed by law to be paid from a special fund shall be paid from such special fund; amounts awarded upon contractual claims for goods or services furnished or for property leased shall be paid from the appropriation of the agency which received such goods or services or occupied such property; all other amounts shall be paid from such appropriation as the General Assembly may have made for the payment of claims. (p) Not later than five days after the convening of each regular session, the Attorney General shall report to the joint standing committee of the General Assembly having cognizance of matters relating to the judiciary on the status and disposition of all actions authorized pursuant to this section or section 4-159 , or brought against the state under any other provision of law and in which the interests of the state are represented by the Attorney General. The report shall include: (1) The number of such actions pending in state and federal court, categorized by the alleged ground for the action, (2) the number of new actions brought in the preceding year in state and federal court, categorized by the alleged ground for the action, (3) the number of actions disposed of in the preceding year, categorized by the ground for the action that was disposed of and whether the action was disposed of by settlement or litigation to final judgment, and the amount paid for actions within the respective categories, and (4) such other information as may be requested, from time to time, by the joint standing committee of the General Assembly having cognizance of matters relating to the judiciary. The report shall identify each action disposed of by payment of an amount exceeding one hundred thousand dollars. See Sec. 28-13 re immunity from liability granted with respect to civil preparedness activities.

Legislative History

(1959, P.A. 685, S. 13; 1961, P.A. 476, S. 8; P.A. 75-605, S. 17, 27; P.A. 78-280, S. 2, 5, 6, 127; P.A. 84-407, S. 2, 5; P.A. 88-230, S. 1, 12; P.A. 90-98, S. 1, 2; 90-284, S. 2; P.A. 92-34, S. 2; P.A. 93-142, S. 4, 7, 8; P.A. 94-120; P.A. 95-220, S. 4–6; P.A. 98-76, S. 1; P.A. 01-167, S. 3; P.A. 05-170, S. 4; P.A. 16-127, S. 19; P.A. 19-182, S. 4; P.A. 21-91, S. 6; P.A. 22-37, S. 3, 4; P.A. 23-131, S. 10; P.A. 24-44, S. 12.) History: 1961 act added to Subsec. (h) provision that amounts awarded on contractual claims be paid from appropriation of agency receiving goods or services; P.A. 75-605 replaced commission with claims commissioner and deleted specific dollar amount for claims in suits against the state under Subsec. (a); P.A. 78-280 deleted words “county or” in the phrase “county or judicial district” and replaced “Hartford county” with “judicial district of Hartford-New Britain”; P.A. 84-407 amended Subsec. (b) to provide one-year statute of limitations on actions authorized by claims commissioner from the date such authorization to sue was granted; P.A. 88-230 replaced “judicial district of Hartford-New Britain” with “judicial district of Hartford”, effective September 1, 1991; P.A. 90-98 changed the effective date of P.A. 88-230 from September 1, 1991, to September 1, 1993; P.A. 90-284 divided former Subsec. (a) into Subsecs. (a) and (b) and relettered remaining Subsecs. accordingly, and amended Subsecs. (b) and (j) to make provisions of section applicable to actions authorized by the general assembly pursuant to Sec. 4-159; P.A. 92-34 amended Subsec. (c) to provide that any statute of limitation applicable to such action shall be tolled until the date authorization to sue is granted; P.A. 93-142 changed the effective date of P.A. 88-230 from September 1, 1993, to September 1, 1996, effective June 14, 1993; P.A. 94-120 amended Subsec. (c) to make the provision re tolling of any statute of limitation applicable with respect to any claim pending before the claims commissioner on October 1, 1992, or presented to the claims commissioner on or after said date for which authorization to sue is granted; P.A. 95-220 changed the effective date of P.A. 88-230 from September 1, 1996, to September 1, 1998, effective July 1, 1995; P.A. 98-76 added new Subsec. (b) authorizing the submission of a certificate of good faith in medical malpractice claims and requiring the Claims Commissioner to authorize suit against the state if such a certificate is submitted, redesignating the remaining Subsecs. accordingly, and amended Subsec. (c) to add reference to Subsec. (b); P.A. 01-167 amended Subsec. (c) to include actions authorized by the General Assembly pursuant to Sec. 4-159a and to add exception that evidence of an authorization shall not be admissible in an action as evidence of the state's liability; P.A. 05-170 amended Subsecs. (a) and (j) to make technical changes for purposes of gender neutrality and amended Subsec. (k) to require the Attorney General to report to the “joint standing committee of the General Assembly on the judiciary” rather than to the “General Assembly”, require the report to include actions “brought against the state under any other provision of law and in which the interests of the state are represented by the Attorney General”, add provision requiring the report to include information re the number of pending actions, the number of new actions brought in the preceding year, the number of actions disposed of in the preceding year and the amount paid for those actions, and such other information as requested by the judiciary committee of the General Assembly, and add provision requiring the report to identify each action disposed of by payment of an amount exceeding $100,000; P.A. 16-127 amended Subsec. (a) by making a technical change, amended Subsec. (b) by deleting “or a sanitorium” and by substituting “to the Office of the Claims Commissioner” for “to the Claims Commissioner” in provision re submission of certificate of good faith, amended Subsec. (d) by deleting reference to claim pending before Claims Commissioner on October 1, 1992, substituting “Office of the Claims Commissioner” for “Claims Commissioner” and making technical and conforming changes and amended Subsec. (k) by making technical changes, effective June 9, 2016; P.A. 19-182 amended Subsec. (a) to add provisions permitting Claims Commissioner to hold hearing on sole issue of state's liability whenever person files claim that exclusively seeks permission to sue the state and amended Subsec. (b) to add provision permitting claimant to commence medical malpractice action against state in lieu of filing notice of claim pursuant to Sec. 4-147, effective October 1, 2019, and applicable to any claim filed on or after October 1, 2019; P.A. 21-91 amended Subsec. (a) to substantially revise provisions re claims that exclusively seek permission to sue the state, added new Subsecs. (b) to (e) re referral to temporary deputy, notice of passage of 18 months after filing of claim, duties of temporary deputy and claimant deemed granted permission to sue, respectively, redesignated existing Subsec. (b) as Subsec. (f) and amended same to add “pro se”, provisions re permission to sue the state deemed granted on filing of certificate of good faith and re applicability to claims, added new Subsec. (g) re sanctions by Superior Court, redesignated existing Subsec. (c) as Subsec. (h) and amended same to apply to actions authorized by temporary deputy or where permission to sue the state has been deemed granted, add Subdiv. designators (1) and (2) and make technical and conforming changes, redesignated existing Subsec. (d) as Subsec. (i) and amended same to add “becomes effective or permission” and “, whichever date is later” and make conforming changes, and redesignated existing Subsecs. (e) to (k) as Subsecs. (j) to (p), effective June 28, 2021; P.A. 22-37 made technical changes in Subsecs. (a) and (f); P.A. 23-131 amended Subsec. (a) by adding that the “Deputy Claims Commissioner or a temporary deputy” may also authorize suit against the state, amended Subsec. (b) by replacing “June 28, 2021” with “July 1, 2023” re 3 year look back period used to determine claims that may be referred to a temporary deputy and by making a technical change, amended Subsec. (c) by deleting provision that prohibited referral of claims to a temporary deputy on and after July 1, 2023, by replacing “stipulated to an extension of time” with “not objected to an extension of time” and by making technical changes and amended Subsec. (d)(2) by replacing “temporary deputy shall deliver a copy” with “temporary deputy shall provide a copy”, effective July 1, 2023; P.A. 24-44 amended Subsecs. (a) to (d) by substituting “special deputy” for “temporary deputy”, further amended Subsec. (a) by making a conforming change, further amended Subsec. (c) by adding provisions re Claims Commissioner, Deputy Claims Commissioner and special deputy making all reasonable efforts to render decisions not later than 90 days after filing of prescribed notice by claimant and the Office of the Claims Commissioner retaining jurisdiction over such claim beyond the 90 day period until the end of the next regular session of the General Assembly, amended Subsec. (h) by substituting “special deputy” for “temporary deputy” and by adding references to Deputy Claims Commissioner and amended Subsec. (i) by adding reference to Deputy Claims Commissioner or a special deputy, effective July 1, 2024. Cited. 152 C. 580; 172 C. 603; 186 C. 300; 191 C. 222; 204 C. 17; 209 C. 679; 212 C. 415; 213 C. 13; 221 C. 346; 239 C. 265; 240 C. 246. Trial court lacked subject matter jurisdiction over plaintiff's claim for medical malpractice under Subsec. (b), which was authorized by the claims commissioner, because a nonpatient medical malpractice action is not recognized under Connecticut law, and even if plaintiff intended to bring a claim for negligence under Subsec. (a), the court lacked jurisdiction because that action was not authorized by the claims commissioner. 329 C. 701. Cited. 4 CA 535; 12 CA 449; 20 CA 676; 44 CA 651. Subsec. (c) does not confer a plaintiff the right to a jury trial because Subsec. (f) expressly prohibits it. 182 CA 278. Court held that authorization to sue related to the amount requested under Sec. 4-147, and plaintiff's suit for more than that amount was abatable. 26 CS 24. Because Claims Commissioner has authority to grant permission to sue for intentional torts, and since there is no dispute that Claims Commissioner can authorize suits alleging negligence, it necessarily follows that commissioner has the power to grant permission to sue for conduct that falls in between these two points on the possible spectrum of possible mental states. 50 CS 271. Subsec. (a): Cited. 185 C. 616; 189 C. 550; 211 C. 199; 213 C. 548; 216 C. 85; 222 C. 280; 238 C. 146. Subsec. pertains to claims for money damages and Claims Commissioner does not have jurisdiction to waive state's sovereign immunity and grant claimant permission to file apportionment complaint, pursuant to Sec. 52-102b, against state because apportionment claims are not claims for monetary damages. 271 C. 96. Cited. 17 CA 130; 40 CA 460; 41 CA 61. Requirement that Claims Commissioner “shall” authorize suits against the state does not excuse failure to file request for authorization to sue and good faith certificate in a timely manner. 142 CA 738. Subsec. does not require claims commissioner to hold a hearing before authorizing a suit against the state. 219 CA 839. Subsec. (b): Effect of Subsec. was to deprive Claims Commissioner of broad discretionary decision-making power to authorize suit against state in cases where claimant has brought medical malpractice claim and filed certificate of good faith; instead, Subsec. requires Claims Commissioner to authorize suit in all such cases. 273 C. 610. Cited. 40 CA 460. The effect of section was to convert a limited waiver of sovereign immunity to medical malpractice claims, subject to the discretion of the commissioner, to a more expansive waiver subject only to the claimant's compliance with certain procedural requirements. 175 CA 493. Subsec. (c): Provision limits liability of state to acts of its employees arising out of employer-employee relationship. 265 C. 301. Defendant, an entity of the state, may not assert the “public duty doctrine” as a defense because the doctrine is a governmental defense waived by the statute. 50 CS 72. Subsec. (d): Plaintiff who brought a wrongful death action against the state after having previously obtained permission to sue for medical negligence from the Claims Commissioner, must comply with both the two year time limitation for a wrongful death action articulated in Sec. 52-555(a) and the one year time limitation on the Claims Commissioner's authorization to sue articulated in Subsec. 337 C. 291. Subsec. is not an ordinary statute of limitations but, rather, constitutes a strict time limit on the waiver of the state's sovereign immunity granted by the claims commissioner, thus, it follows that once that time period expires, any action brought against the state would be subject to dismissal for lack of jurisdiction under the doctrine of sovereign immunity in the same manner as if plaintiff never had been given authorization to sue; plaintiff had the duty to comply with both the statute of limitations set forth in Sec. 52-555 and the one year limitation on the waiver of sovereign immunity provided under Subsec. 189 CA 93; judgment affirmed, see 337 C. 291. Does not provide that any applicable statute of limitation will be terminated or begin anew, rather it provides that the statute of limitation will be tolled “until” authorization is granted. 50 CS 130. Subsec. (f): The phrase “medical malpractice claims”, as used in Subsec., is broad enough to encompass a mother's claims that she suffered emotional distress damages from physical injuries to her child that were proximately caused by the negligence of health care professionals during the birthing process. 347 C. 601.