MacDermid, Inc. v. Leonetti
CourtSupreme Court of Connecticut
Date FiledNovember 26, 2013
DocketSC19077
JudgeRogers; Norcott; Palmer; Zarella; Eveleigh; McDonald
StatusPublished
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Full Opinion
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MACDERMID, INC. v. STEPHEN J. LEONETTI*
(SC 19077)
Rogers, C. J., and Norcott, Palmer, Zarella, Eveleigh and McDonald, Js.
Argued May 15—officially released November 26, 2013
John R. Horvack, Jr., with whom, on the brief, was
John L. Cordani, Jr., for the appellant (plaintiff).
Kathleen Eldergill, for the appellee (defendant).
Opinion
NORCOTT, J. The sole issue in this appeal is whether
the doctrine of absolute immunity, which affords pro-
tection against certain claims relating to the commence-
ment and prosecution of a cause of action, shields an
employer who has brought an action against a former
employee from a counterclaim by that former employee
alleging that the employer’s cause of action is in retalia-
tion for the former employee’s decision to exercise
his rights under the Workers’ Compensation Act (act),
General Statutes § 31-275 et seq., in violation of General
Statutes § 31-290a.1 The plaintiff, MacDermid, Inc.,
appeals2 from the trial court’s denial of its motion to
dismiss the counterclaim brought by the defendant, Ste-
phen J. Leonetti. Specifically, the plaintiff asserts that
the trial court improperly applied the factors set forth
in Rioux v. Barry, 283 Conn. 338, 350–51, 927 A.2d
304 (2007), and incorrectly determined that absolute
immunity did not bar the defendant’s claim of employer
retaliation. We disagree and, therefore, affirm the trial
court’s decision denying the plaintiff’s motion to
dismiss.
‘‘Because in this appeal we review the trial court’s
ruling on a motion to dismiss, we take the facts to be
those alleged in the complaint, construing them in a
manner most favorable to the pleader.’’ Beecher v.
Mohegan Tribe of Indians of Connecticut, 282 Conn.
130, 132, 918 A.2d 880 (2007). We derive our summary
of the facts alleged in the defendant’s counterclaim and
the relevant procedural history from our recent opinion
in Leonetti v. MacDermid, Inc., 310 Conn. 195, A.3d
(2013), and from the record in the present appeal.
The defendant worked for the plaintiff ‘‘for twenty-eight
years until he was discharged in early November, 2009.
Five years earlier, in June, 2004, the [defendant] sus-
tained a lower back injury during the course of his
employment. The [defendant] timely filed notice of a
workers’ compensation claim related to this injury on
April 14, 2005. The parties stipulated to the [Workers’
Compensation Commissioner (commissioner)] that the
injury suffered by the [defendant] was a compensa-
ble injury.
‘‘At the time that the [plaintiff] informed the [defen-
dant] that he would be discharged from his employ-
ment, the [plaintiff] presented the [defendant] with a
proposed termination agreement [agreement]. Article
II of the agreement signed by the parties provides that
the [defendant] agreed to release the [plaintiff] from
[inter alia] ‘any and all . . . workers’ compensation
claims . . . .’
‘‘Article III of the agreement provides that, in consid-
eration ‘for the agreements and covenants made herein,
the release given, the actions taken or contemplated to
be taken, or to be refrained from,’ the [defendant] would
be paid twenty-seven weeks ‘severance pay, determined
solely upon the [defendant’s] current base salary,’
which amounted to $70,228.51, within thirty days of the
[defendant’s] receipt of the properly executed
agreement . . . .
‘‘Article III of the agreement also provided that ‘[the
defendant] understands that the payments and benefits
listed above are all that [the defendant] is entitled to
receive from [the plaintiff]. . . . [The defendant]
agrees that the payments and benefits above are more
than [the plaintiff] is required to pay under its normal
policies, procedures and plans.’ . . .
‘‘Article IV of the agreement . . . contained a clause
stating in part that ‘[the defendant] acknowledges that
he has been given a reasonable period of time of at least
thirty (30) days to review and consider this agreement
before signing it. [The defendant] is encouraged to con-
sult his or her attorney prior to signing this
agreement.’ . . .
‘‘The [defendant] did not want to release his preex-
isting workers’ compensation claim relating to the 2004
injury by signing the agreement. He consulted with his
attorney, who contacted the [plaintiff’s] counsel and
requested that the [plaintiff] remove from the
agreement the language that could operate to release
the [defendant’s] workers’ compensation claim. The
[plaintiff] refused to modify the language of the
agreement. The [defendant’s] counsel [thereafter]
wrote a letter to the [plaintiff’s] counsel asserting that
the release language of article II of the agreement ‘really
has no effect without the [c]ommissioner’s approval’
and scheduled an informal hearing before [the] . . .
commissioner for January 8, 2010. The [plaintiff’s] coun-
sel did not attend the informal hearing . . . . Nothing
was resolved on January 8, and on January 27, 2010,
the hearing was rescheduled for March 1, 2010.
‘‘On January 26, 2010, the [plaintiff] sent the [defen-
dant] a letter stating that, unless the [defendant] signed
the unmodified agreement within the next ten days,
[the plaintiff] would withdraw its offer of $70,228.51 in
severance pay. The [defendant] signed the agreement
on February 2, 2010, and the commissioner found that
the [defendant] did so because he did not wish to forfeit
his severance pay. After the [plaintiff] received the
signed agreement from the [defendant], it paid [him]
the $70,228.51. At that time, the commissioner had not
approved the agreement as a ‘voluntary agreement’ or
stipulation as defined in [General Statutes] § 31-296.3
‘‘A formal hearing was held several months later to
determine the enforceability of the language in article
II of the agreement that dealt with the release of the
[defendant’s] workers’ compensation claim. Specifi-
cally, the parties asked the commissioner to determine
as follows: (1) ‘[w]hether a signed termination
agreement between [an] employer and [an] employee
can effectively waive the parties’ rights and obligations
set forth in the [act] . . . absent approval of the
agreement by a [commissioner]’; and (2) ‘[i]f the termi-
nation agreement does not waive the parties’ rights and
obligations set forth in the [act]—whether the [c]om-
missioner would issue an order that the termination
agreement be entered as a full and final stipulation of
the [defendant’s] workers’ compensation claim against
the [plaintiff].’
‘‘The commissioner . . . found that, without
approval by a commissioner, the agreement did not
effectively waive the parties’ rights and obligations
under the act . . . [and] that the agreement should not
be approved as a full and final stipulation of the [defen-
dant’s] workers’ compensation claim.’’ (Emphasis in
original; footnote added.) Id., 199–202. The plaintiff
appealed from the commissioner’s decision to the
Workers’ Compensation Review Board (board), which
affirmed the commissioner’s decision. Id., 203. There-
after, the plaintiff appealed from the decision of the
board to the Appellate Court4 and filed the present
action in Superior Court alleging civil theft, fraud, unjust
enrichment, and conversion, premised on the defen-
dant’s admission that he never intended to release his
workers’ compensation claim. In the present action, the
plaintiff seeks, inter alia, rescission of the agreement,
return of the $70,228.51 it paid the defendant under the
agreement, and damages. In response, the defendant
filed a counterclaim alleging that the plaintiff violated
§ 31-290a by initiating the present action solely in retali-
ation for the defendant’s exercise of his rights under
the act. In his counterclaim, the defendant seeks com-
pensatory damages, punitive damages, costs, and attor-
ney’s fees. Thereafter, the plaintiff moved to dismiss
the defendant’s counterclaim, arguing that the court
lacked subject matter jurisdiction over that claim
because the act of filing an action is protected by the
doctrine of absolute immunity.
The trial court noted that the ‘‘question of whether
a claim of retaliation under [the act] may be asserted
as a result of [an action] brought by an employer against
a former employee . . . appears [to be] a matter of
first impression.’’ The trial court then identified the
competing interests at issue, namely, the public policy
of encouraging unfettered access to the courts to seek
redress for grievances and the right of a former
employee to pursue his statutorily protected rights
under the act. Guided by the analysis set forth in Rioux
v. Barry, supra, 283 Conn. 350–51,5 the trial court con-
cluded that: (1) ‘‘the purposes of absolute immunity are
equally applicable to the present counterclaim as [they
are] to defamation and other torts to which absolute
immunity has been applied’’; (2) ‘‘the actual impact, in
terms of a chilling effect, is de minimis and will poten-
tially arise only in those circumstances where an
employer brings an action against an employee who
has also made a claim for benefits under the act’’; (3)
‘‘the very broad and remedial nature of the act,’’ which
‘‘reflects the public policy of this state that employees
be able to seek redress under the statutory provisions
of the act without fear of reprisal or retaliation’’ weighs
heavily against the application of absolute immunity in
the present case; and (4) the act’s focus on the retalia-
tory motive of the employer rendered the statutory
claim of retaliation under § 31-290a ‘‘more akin to an
abuse of process claim [which is not barred by absolute
immunity], than, for example a defamation or tortious
interference claim [which are barred by absolute immu-
nity].’’6 Thereafter, the trial court concluded that the
defendant’s retaliation counterclaim was not barred by
absolute immunity and, accordingly, denied the plain-
tiff’s motion to dismiss. This appeal followed. See foot-
note 2 of this opinion.
On appeal, the plaintiff claims that the trial court
improperly applied Rioux v. Barry, supra, 283 Conn.
350–51, and denied its motion to dismiss because abso-
lute immunity protects the act of filing a cause of action.
Specifically, the plaintiff claims that the trial court cor-
rectly determined that the purposes of absolute immu-
nity are equally applicable to the defendant’s
counterclaim as they are to a claim for defamation, and
that applying absolute immunity to causes of action
under § 31-290a predicated solely upon the employer’s
act of filing a civil action against an employee will not
effectively eliminate that statutory cause of action. The
plaintiff further claims, however, that the trial court
improperly concluded that the elements of a claim
under § 31-290a were more akin to an abuse of process
claim than they are to a defamation or tortious interfer-
ence claim because § 31-290a does not contain ‘‘strin-
gent requirements’’ to provide adequate protections to
encourage individuals to report wrongdoing and seek
redress from the courts. Finally, the plaintiff does not
challenge the trial court’s recognition that § 31-290a is
remedial in nature, but asserts that the remedial nature
of the statute does not outweigh the interests underlying
absolute immunity. Relying on case law from other
jurisdictions that have expressly recognized a broad
‘‘litigation privilege,’’ the plaintiff argues that the poli-
cies on which the doctrine of absolute immunity is
based are derived from constitutional guarantees and,
therefore, should prevail over the policies embodied in
statutory causes of action, even when the statute is
remedial in nature like § 31-290a. Thus, the plaintiff
claims that all of the Rioux factors weigh in favor of
affording it absolute immunity and that the trial court’s
conclusion to the contrary should be reversed.
In response, the defendant contends that the trial
court properly considered the factual background of
the present case when balancing the interests at stake.
The defendant also argues that the cases from other
jurisdictions upon which the plaintiff relies are inappo-
site because: (1) many of those cases are consistent
with Connecticut case law and, therefore, ‘‘add nothing
new to the principles annunciated in Rioux’’; (2) some
of those cases decided issues not implicated in the
present case; and (3) the remaining cases simply applied
a more expansive ‘‘litigation privilege’’ than has been
recognized in Connecticut. The defendant also con-
tends that the principles underlying the doctrine of
absolute immunity apply equally to his interest in exer-
cising his rights under the act free from retaliation from
his employer and, thus, do not weigh in favor of impos-
ing absolute immunity to bar his counterclaim. The
defendant further contends that the trial court properly
determined that the interests protected by § 31-290a
are sufficient to outweigh those protected by absolute
immunity. Specifically, the defendant cites to numerous
federal cases that have recognized claims of retaliation
predicated upon the employer’s sole act of initiating
litigation against an employee for exercising his rights
under Title VII of the Civil Rights Act of 1964 (Title
VII), 42 U.S.C. § 2000e et seq., which this court has
considered instructive in interpreting the scope of the
protections provided under the act. The defendant also
challenges the plaintiff’s assertion that § 31-290a does
not contain ‘‘stringent requirements’’ that provide ade-
quate protections to encourage individuals to report
wrongdoing and seek redress, and asserts that the trial
court properly concluded that his counterclaim alleged
that the plaintiff’s claims had been ‘‘brought for an
illegal purpose and with retaliatory motive.’’7
We agree with the defendant and conclude that the
trial court properly determined that, when an employ-
er’s interest in unfettered access to the courts is
weighed against an employee’s interest in exercising
his rights under the act without fear of facing a baseless
retaliatory civil action, the employee’s interest prevails.
We, therefore, also conclude that the doctrine of abso-
lute immunity does not bar a claim for retaliation predi-
cated solely upon the employer’s act of filing a cause
of action. Accordingly, we conclude that the trial court
properly denied the plaintiff’s motion to dismiss the
defendant’s counterclaim on the basis of absolute
immunity.8
‘‘The standard of review for a court’s decision on a
motion to dismiss [under Practice Book § 10-31 (a) (1)]
is well settled. A motion to dismiss tests, inter alia,
whether, on the face of the record, the court is without
jurisdiction. . . . [O]ur review of the court’s ultimate
legal conclusion and resulting [determination] of the
motion to dismiss will be de novo. . . . When a . . .
court decides a jurisdictional question raised by a pre-
trial motion to dismiss, it must consider the allegations
of the complaint in their most favorable light. . . . In
this regard, a court must take the facts to be those
alleged in the complaint, including those facts necessar-
ily implied from the allegations, construing them in a
manner most favorable to the pleader. . . . The motion
to dismiss . . . admits all facts which are well pleaded,
invokes the existing record and must be decided upon
that alone. . . . In undertaking this review, we are
mindful of the well established notion that, in determin-
ing whether a court has subject matter jurisdiction,
every presumption favoring jurisdiction should be
indulged.’’ (Citations omitted; internal quotation marks
omitted.) Dayner v. Archdiocese of Hartford, 301 Conn.
759, 774, 23 A.3d 1192 (2011).
We begin our analysis with a review of the doctrine
of absolute immunity, which is also referred to as the
litigation privilege in Connecticut, as set forth in Simms
v. Seaman, 308 Conn. 523, 531–40, 69 A.3d 880 (2013).
In Simms, we noted that the doctrine of absolute immu-
nity originated in response to ‘‘the need to bar persons
accused of crimes from suing their accusers for defama-
tion.’’ Id., 531. The doctrine then developed to encom-
pass and bar defamation claims against all participants
in judicial proceedings, including judges, attorneys, par-
ties, and witnesses. Id., 532. We further noted that,
‘‘[l]ike other jurisdictions, Connecticut has long recog-
nized the litigation privilege,’’ and that ‘‘[t]he general
rule is that defamatory words spoken upon an occasion
absolutely privileged, though spoken falsely, know-
ingly, and with express malice, impose no liability for
damages recoverable in an action in slander . . . .’’
(Internal quotation marks omitted.) Id., 536.
Furthermore, in Rioux v. Barry, supra, 283 Conn.
343–44, we explained that ‘‘[t]he purpose of affording
absolute immunity to those who provide information
in connection with judicial and quasi-judicial proceed-
ings is that in certain situations the public interest in
having people speak freely outweighs the risk that indi-
viduals will occasionally abuse the privilege by making
false and malicious statements. . . . [T]he possibility
of incurring the costs and inconvenience associated
with defending a [retaliatory] suit might well deter a
citizen with a legitimate grievance from filing a com-
plaint. . . . Put simply, absolute immunity furthers the
public policy of encouraging participation and candor
in judicial and quasi-judicial proceedings. This objective
would be thwarted if those persons whom the common-
law doctrine [of absolute immunity] was intended to
protect nevertheless faced the threat of suit. In this
regard, the purpose of the absolute immunity afforded
participants in judicial and quasi-judicial proceedings
is the same as the purpose of the sovereign immunity
enjoyed by the state. . . . As a result, courts have rec-
ognized absolute immunity as a defense in certain retal-
iatory civil actions in order to remove this disincentive
and thus encourage citizens to come forward with com-
plaints or to testify.’’ (Citations omitted; internal quota-
tion marks omitted.)
In Simms v. Seaman, supra, 308 Conn. 540–45, we
further discussed the expansion of absolute immunity
to bar retaliatory civil actions beyond claims of defama-
tion. For example, we have concluded that absolute
immunity bars claims of intentional interference with
contractual or beneficial relations arising from state-
ments made during a civil action. See Rioux v. Barry,
supra, 283 Conn. 350–51 (absolute immunity applies
to intentional interference with contractual relations
because that tort comparatively ‘‘is more like defama-
tion than vexatious litigation’’). We have also precluded
claims of intentional infliction of emotional distress
arising from statements made during judicial proceed-
ings on the basis of absolute immunity. See DeLaurentis
v. New Haven, 220 Conn. 225, 263–64, 597 A.2d 807
(1991). Finally, we have most recently applied absolute
immunity to bar retaliatory claims of fraud against attor-
neys for their actions during litigation. See Simms v.
Seaman, supra, 545–46. In reviewing these cases, it
becomes clear that, in expanding the doctrine of abso-
lute immunity to bar claims beyond defamation, this
court has sought to ensure that the conduct that abso-
lute immunity is intended to protect, namely, participa-
tion and candor in judicial proceedings, remains
protected regardless of the particular tort alleged in
response to the words used during participation in the
judicial process. Indeed, we recently noted that ‘‘[c]om-
mentators have observed that, because the privilege
protects the communication, the nature of the theory
[on which the challenge is based] is irrelevant.’’
(Emphasis in original; internal quotation marks omit-
ted.) Id., 548.
We have, however, recognized a distinction between
attempting to impose liability upon a participant in a
judicial proceeding for the words used therein and
attempting to impose liability upon a litigant for his
improper use of the judicial system itself. See
DeLaurentis v. New Haven, supra, 220 Conn. 263–64
(‘‘whether or not a party is liable for vexatious suit in
bringing an unfounded and malicious action, he is not
liable for the words used in the pleadings and docu-
ments used to prosecute the suit’’ [emphasis added;
internal quotation marks omitted]). In this regard, we
have refused to apply absolute immunity to causes of
action alleging the improper use of the judicial system.
For example, in Simms v. Seaman, supra, 308 Conn.
540–41, we observed that, in Mozzochi v. Beck, 204
Conn. 490, 491–92, 494, 529 A.2d 171 (1987), an abuse
of process case, ‘‘this court determined that attorneys
are not protected by absolute immunity . . . [for] con-
duct constitut[ing] the use of legal process in an
improper manner or primarily to accomplish a purpose
for which it was not designed. . . . The court neverthe-
less sought to reconcile its responsibility to ensure
unfettered access to the courts and to avoid a possible
chilling effect on would-be litigants of justiciable issues
by limiting liability [for abuse of process] to situations
in which the plaintiff can point to specific misconduct
intended to cause specific injury outside of the normal
contemplation of private litigation. Any other rule
would ineluctably interfere with the attorney’s primary
duty of robust representation of the interests of his or
her client.’’ (Citation omitted; internal quotation marks
omitted.) Simms v. Seaman, supra, 540–41.
Furthermore, ‘‘[t]his court also has determined that
absolute immunity does not bar claims against attor-
neys for vexatious litigation or malicious prosecution.
. . . [T]he court in Rioux [v. Barry, supra, 283 Conn.
341–49] expressly permitted a claim for vexatious litiga-
tion against . . . members of the state police for alleg-
edly false statements they had made in the course of
a quasi-judicial proceeding . . . [because] whether
and what form of immunity applies in any given case
is a matter of policy that requires a balancing of interests
. . . and the fact that the tort of vexatious litigation
itself employs a test that balances the need to encourage
complaints against the need to protect the injured par-
ty’s interests counsels against a categorical or absolute
immunity from a claim of vexatious litigation. . . . The
court concluded that the stringent requirements of the
tort of vexatious litigation, including that the prior pro-
ceeding had terminated in the plaintiff’s favor, pro-
vide[d] adequate room for both appropriate incentives
to report wrongdoing and protection of the injured par-
ty’s interest in being free from unwarranted litigation.’’
(Citations omitted; footnote omitted; internal quotation
marks omitted.) Simms v. Seaman, supra, 308 Conn.
541–42.
Turning to the present case, we begin by noting that,
notwithstanding the plaintiff’s claims to the contrary,
the factors considered in Rioux v. Barry, supra, 283
Conn. 350–51, are simply instructive. In Rioux, we
emphasized that ‘‘whether and what form of immunity
applies in any given case is a matter of policy that
requires a balancing of interests.’’ Id., 346. We also
observed that, in previous cases that had presented a
question of the applicability of the doctrine of absolute
immunity, we applied the general principles underlying
that doctrine to ‘‘the particular context’’ of those cases.
Id., 345. Furthermore, the cases following Rioux have
not relied exclusively or entirely on the factors enumer-
ated therein, but instead have considered the issues
relevant to the competing interests in each case. See,
e.g., Simms v. Seaman, supra, 308 Conn. 545–46.
With respect to the competing interests in the present
case, the plaintiff contends that it is entitled to absolute
immunity from the defendant’s § 31-290a counterclaim
because that claim is founded solely on the plaintiff’s
conduct in filing the present action, and absolute immu-
nity is necessary to protect and encourage injured par-
ties to resolve their disputes peacefully through the
judicial process. We disagree.
First, we agree with the trial court’s conclusion that,
for balancing purposes, ‘‘the allegations in the counter-
claim are more akin to an abuse of process claim [than]
a defamation or tortious interference claim.’’ The torts
of vexatious litigation and abuse of process both pro-
hibit conduct that subverts the underlying purpose of
the judicial process. Specifically, these causes of action
prevent, or hold an individual liable for, the improper
use of the judicial process for an illegitimate purpose,
namely, to inflict injury upon another individual in the
form of unfounded actions. See DeLaurentis v. New
Haven, supra, 220 Conn. 264. Section 31-290a mirrors
the purpose of these torts by preventing, or holding
employers liable for, discrimination against an
employee who exercises his rights under the act. See
footnote 1 of this opinion. In the context of employer
initiated litigation, like that involved in the present case,
§ 31-290a is designed to prevent, or hold the employer
liable for, the improper use of the judicial process for
the illegitimate purpose of retaliating against an
employee for his exercise of his rights under the act.
The illegitimate use of litigation in such a retaliatory
manner subverts the purpose of the judicial system and,
as a matter of public policy, we will not encourage
such conduct by affording it the protection of absolute
immunity. See Simms v. Seaman, supra, 308 Conn.
545–46 (whether claim subverts underlying purpose of
judicial proceeding is relevant to determination of
whether absolute immunity should apply); see also
Rioux v. Barry, supra, 283 Conn. 350 (absolute immu-
nity does not bar claims of vexatious litigation); Moz-
zochi v. Beck, supra, 204 Conn. 495 (absolute immunity
does not bar claims of abuse of process).
The plaintiff contends, however, that § 31-290a does
not contain stringent requirements to protect an
employer’s right to petition the courts for redress for
its grievances. In this respect, the plaintiff claims that
§ 31-290a does not require the defendant to prove an
illegal purpose or retaliatory motive in order to make
out a prima facie case of discrimination and, therefore,
that proof of a claim under § 31-290a is far less stringent
than both vexatious litigation and abuse of process.
The plaintiff takes particular issue with the burden shift-
ing test that courts perform to determine whether an
employee has established that he has been subjected
to illegal discrimination by his employer. See Mele v.
Hartford, 270 Conn. 751, 768–69, 855 A.2d 196 (2004).9
Nevertheless, ‘‘[w]e have stated on several occasions
that this burden shifting methodology is intended to
provide guidance to fact finders who are faced with
the difficult task of determining intent in complicated
discrimination cases. [Therefore] [i]t must not . . .
cloud the fact that it is the [employee’s] ultimate burden
to prove that the [employer] intentionally discrimi-
nated against [him] . . . .’’ (Emphasis added; internal
quotation marks omitted.) Id. Given that the defendant
bears the ultimate burden to prove that the plaintiff’s
claims constitute retaliation in violation of § 31-290a,
we disagree that the burden shifting methodology ren-
ders the requirements of the defendant’s counterclaim
appreciably less stringent. Cf. Simms v. Seaman, supra,
308 Conn. 549 (heightened burden of clear and convinc-
ing evidence insufficient to render elements of fraud
appreciably more stringent).
In addition, in Rioux v. Barry, supra, 283 Conn. 347,
we highlighted the ‘‘stringent requirements’’ embodied
in the elements of a vexatious litigation claim, namely
that the plaintiff prove actual malice, lack of probable
cause, and the prior termination of proceedings in the
plaintiff’s favor, because those stringent requirements
provided an additional consideration relevant to our
balancing analysis. Thus, stringent requirements that
partially embody the balancing analysis this court
undertakes to determine the applicability of absolute
immunity simply add weight to the side of the balance
that counsels against applying absolute immunity. Put
differently, stringent proof requirements are relevant
in determining whether absolute immunity should
apply, but are not required to make that determination.
Indeed, the elements of abuse of process, a tort which
also falls outside the scope of absolute immunity, are
less stringent than the elements of vexatious litigation.
Specifically, unlike the tort of vexatious litigation, a
claim for abuse of process does not require termination
of the underlying litigation in favor of the plaintiff. See
Mozzochi v. Beck, supra, 204 Conn. 494 (‘‘An action for
abuse of process lies against any person using a legal
process against another in an improper manner or to
accomplish a purpose for which it was not designed.
. . . Because the tort arises out of the accomplishment
of a result that could not be achieved by the proper
and successful use of process . . . the gravamen of
the action for abuse of process is the use of a legal
process . . . against another primarily to accomplish
a purpose for which it is not designed . . . . [T]he
[use] of primarily is meant to exclude liability when the
process is used for the purpose for which it is intended,
but there is an incidental motive of spite or an ulterior
purpose of benefit to the defendant.’’ [Citations omitted;
emphasis in original; internal quotation marks omit-
ted.]); cf. Lewis Truck & Trailer, Inc. v. Jandreau, 11
Conn. App. 168, 170–71, 526 A.2d 532 (1987) (‘‘Abuse
of process differs from malicious prosecution in that
the gist of the tort is not commencing an action or
causing process to issue without justification, but mis-
using, or misapplying process justified in itself for an
end other than that which it was designed to accom-
plish. The purpose for which process is used, once it
is issued, is the only thing of importance. Consequently,
in an action for abuse of process it is unnecessary for
the plaintiff to prove that the proceeding has terminated
in his favor, or that the process was obtained without
probable cause or in the course of a proceeding begun
without probable cause.’’ [Emphasis added; internal
quotation marks omitted.]). Therefore, the absence of
an element requiring termination of a prior action in
the employee’s favor under § 31-290a does not under-
mine our conclusion that the balance of the interests
in the present case weighs against the application of
absolute immunity to the defendant’s counterclaim.
We also note that the factual allegations required to
support a § 31-290a claim may be more stringent than
those required to support an abuse of process claim.
While an abuse of process claim requires only proof that
the use of legal process was ‘‘primarily to accomplish a
purpose for which it was not designed’’; (emphasis in
original; internal quotation marks omitted) Mozzochi
v. Beck, supra, 204 Conn. 497; in the present case, the
defendant has pleaded that the plaintiff filed its claims
against him ‘‘solely because [the defendant] exercised
his rights under the [act].’’ (Emphasis added.) Although
retaliation may not be the sole motivation in all § 31-
290a cases, it often may be. See footnote 9 of this
opinion.
Furthermore, we also agree with the trial court’s con-
clusion that, under the circumstances of the present
case, ‘‘the purposes of absolute immunity are equally
applicable to the present counterclaim as [they are] to
defamation and other torts to which absolute immunity
has been applied.’’ Indeed, where an employer initiates
litigation following an employee’s exercise of his rights
under the act, the potential of a counterclaim alleging
that the employer’s litigation constitutes improper retal-
iation may serve to deter some employers with justicia-
ble grievances from filing civil actions in the first
instance. That some employers may be deterred from
initiating litigation against an employee in good faith
for fear of defending against a retaliation counterclaim,
however, does not undermine our conclusion that, on
balance, the interests in the present case weigh against
applying absolute immunity. Indeed, most plaintiffs
must make a determination regarding whether initiating
a cause of action is worth the risk of opening the door
to potential counterclaims, not just employers wishing
to sue their former employees. Moreover, as the trial
court properly observed, ‘‘the vast majority of retalia-
tion claims under the act do not involve litigation related
conduct by the employer.’’ We, therefore agree with the
trial court that the actual impact, in terms of a chilling
effect caused by the potential threat of facing a counter-
claim alleging retaliation pursuant to § 31-290a, ‘‘is de
minimis and will potentially arise only in those circum-
stances where an employer brings an action against an
employee who has also made a claim for benefits under
the act. Compare this somewhat unique confluence of
circumstances with a defamation claim arising out of
judicial proceedings and the difference is stark. . . .
In short, every judicial or quasi-judicial proceeding cre-
ates a potential defamation claim based upon the state-
ments made in connection therewith. Protection against
such claims is essential to ensure candor within and
fair access to the proceedings. In contrast, the potential
for a retaliation claim as is brought [in the present
case] is extremely limited in type and circumstance.’’
(Emphasis added.) This limited potential for a § 31-290a
claim brought in response to an employer’s initiation of
litigation against an employee weighs against applying
absolute immunity to bar the defendant’s counterclaim
in the present case.10
It also bears noting that employees have successfully
asserted federal claims of employer retaliation under
Title VII, predicated on their employers’ initiation of
litigation against the employees in response to the exer-
cise of their Title VII rights.11 See, e.g., Berry v. Stevin-
son Chevrolet, 74 F.3d 980, 986 (10th Cir. 1996)
(retaliatory prosecution may constitute adverse action
sufficient to violate Title VII); Spencer v. International
Shoppes, Inc., 902 F. Supp. 2d 287, 294 (E.D.N.Y. 2012)
(employer initiated litigation ‘‘may be considered retal-
iatory if motivated, even partially, by a retaliatory ani-
mus’’); Gliatta v. Tectum, Inc., 211 F. Supp. 2d 992,
1009 (S.D. Ohio 2002) (allegedly bad faith counterclaim
brought by employer against employee can constitute
Title VII retaliation); Ward v. Wal-Mart Stores, Inc., 140
F. Supp. 2d 1220, 1231 (D.N.M. 2001) (‘‘the filing of
frivolous lawsuits may constitute an adverse employ-
ment action for purposes of a retaliation claim’’); Equal
Employment Opportunity Commission v. Outback
Steakhouse of Florida, Inc., 75 F. Supp. 2d 756, 758
(1999) (employer filing action, not in good faith, but
motivated by retaliation can be basis for claim under
Title VII); Equal Employment Opportunity Commis-
sion v. Virginia Carolina Veneer Corp., 495 F. Supp.
775, 778 (W.D. Va. 1980) (employer defamation action
was retaliation under Title VII); cf. Beckham v. Grand
Affair of North Carolina, Inc., 671 F. Supp. 415, 419
(W.D.N.C. 1987) (employer instituted criminal prosecu-
tion of former employee who filed claim with Equal
Employment Opportunity Commission constituted
retaliation under Title VII); but see Hernandez v. Craw-
ford Building Material Co., 321 F.3d 528, 533 (5th Cir.
2003) (given strict interpretation of retaliation claims,
employer’s filing of counterclaim cannot support Title
VII retaliation claim).
As the plaintiff points out, we acknowledge that the
defense of absolute immunity was not raised in any of
the preceding cases. Nevertheless, the fact that federal
courts have entertained such claims weighs against
applying absolute immunity to bar the defendant’s § 31-
290a counterclaim in the present case. Moreover, the
only federal court to address the applicability of abso-
lute immunity to a counterclaim alleging retaliatory liti-
gation by an employer in the context of Title VII
ultimately reached the conclusion that the doctrine did
not apply. See Steffes v. Stepan Co., 144 F.3d 1070,
1075–76 (7th Cir. 1998). In Steffes, although the court
eventually dismissed the retaliation counterclaim
because the employer’s alleged conduct was insuffi-
cient as a matter of law to sustain a claim of retaliation
under Title VII, the court noted that ‘‘recognition of
the litigation privilege sought by the [employer] could
interfere with the policies underlying the anti-retaliation
provisions of Title VII . . . . Retaliatory acts come in
infinite variety . . . and even actions taken in the
course of litigation could constitute retaliation in appro-
priate circumstances. . . . The point is that, since
some actions taken in the course of litigation could
conceivably constitute retaliation, an absolute litigation
privilege as defined in Illinois law would be too broad
[to augment the federal common-law litigation privi-
lege] because it would insulate behavior that could oth-
erwise be actionable under Title VII . . . .’’ (Citations
omitted.) Id., 1075. The court went on to state that
‘‘[w]e do not wish to foreclose the possibility that some
actions taken in the course of litigation could constitute
retaliation, and so we cannot agree with the [D]istrict
[C]ourt’s decision extending an absolute litigation privi-
lege to this case.’’ Id., 1076. Thus, our conclusion that
absolute immunity should not bar the defendant’s retali-
ation counterclaim in the present case accords with the
treatment of Title VII retaliation claims in federal court.
As a final matter, the plaintiff claims that cases from
jurisdictions that have embraced a broader litigation
privilege support its argument that we should similarly
interpret the doctrine of absolute immunity to encom-
pass and protect the act of filing a cause of action. In
support of this claim, at oral argument before this court,
the plaintiff pointed to our reliance on, inter alia, several
cases from Florida in explaining our reasoning for
extending the litigation privilege to bar claims of fraud
against attorneys in Simms v. Seaman, supra, 308 Conn.
567. Although we did note in Simms, that ‘‘many juris-
dictions have followed an approach that has strength-
ened the litigation privile