Newell v. Ruiz

• Decision Date: 10 April 2002
• Docket Number: No. 00-2091.,00-2091.
• Citation: 286 F.3d 166
• Parties: Monique NEWELL,<SMALL><SUP>*</SUP></SMALL> Administratrix of the Estate of Romona Newell, Appellant, v. Abraham RUIZ, M.D., individually and as Partner of Radiology Professional Association; Radiology Professional Association.
• Court: U.S. Court of Appeals — Third Circuit

Page 166

286 F.3d 166

Monique NEWELL,^* Administratrix of the Estate of Romona Newell, Appellant, v. Abraham RUIZ, M.D., individually and as Partner of Radiology Professional Association; Radiology Professional Association.

No. 00-2091.

United States Court of Appeals, Third Circuit.

Argued April 5, 2001.

Filed April 10, 2002.

Elise Dinolfo (Argued), Elliott Abrutyn, Morgan, Melhuish, Monaghan, Arvidson, Abrutyn & Lisowski, Livingston, NJ, for Appellant.

Philip F. Mattia (Argued), Philip F. Mattia & Associates, Wayne, NJ, for Appellees.

Before SCIRICA, AMBRO and GIBSON,^** Circuit Judges.

OPINION OF THE COURT

SCIRICA, Circuit Judge.

Romona Newell appeals the dismissal with prejudice of her medical malpractice claim for failure to timely file an Affidavit of Merit in accordance with N.J. Stat. Ann. SS 2A:53A-26-29 (the Affidavit of Merit Statute). The issue on appeal is whether Newell's compliance with New York's Civil Practice Law and Rules S 3012-a (N.Y. C.P.L.R. § 3012-a, the Certificate of Merit Statute) satisfied New Jersey's requirements because her action was transferred from New York to New Jersey.¹ We will reverse.

Newell makes two arguments on appeal — first, that she substantially complied with the Affidavit of Merit Statute; second, that extraordinary circumstances warrant relaxation of the statutory requirements of N.J. Stat. Ann. S 2A:53A-27.²

I

Romona Newell, a New York resident, commenced this medical malpractice action in the United States District Court for the Southern District of New York on March 24, 1999. She alleges Abraham Ruiz, M.D., and the Radiology Professional Association committed malpractice by failing to properly read and interpret her mammograms in June 1997. Newell, who previously had cancer in her right breast, alleges defendants failed to detect abnormal changes in the mammography of her left breast. As a result, she claims a delay in diagnosis and treatment caused the cancer to spread in her left breast and metastasize to other parts of her body. Romona Newell died of cancer in March 2001.

Complying with New York's C.P.L.R. § 3012-a, which seeks to weed out frivolous malpractice claims, Newell submitted a "Certificate of Merit," attesting her attorney discussed the case with a physician, who advised there was reason to believe defendants committed malpractice. Dr. Ruiz filed an answer on April 16, 1999 and an amended answer on May 5, 1999. The Radiology Professional Association filed an answer on May 5, 1999. On May 7, 1999, the case was transferred to the United States District Court for the District of New Jersey.

On January 18, 2000, more than eight months after filing their answers in New York, defendants filed a motion to dismiss Newell's complaint for failure to comply with New Jersey's Affidavit of Merit Statute, N.J. Stat. Ann. § 2A:53A27. Both the New Jersey and the New York statutes share the same purpose of winnowing out frivolous claims by requiring plaintiffs to make a threshold showing of merit. On February 11, 2000, Newell responded to the defendant's motion and supplied an Affidavit of Merit from a Board Certified Radiologist.³

II

A.

N.J. Stat. Ann. § 2A:53A-27 provides:

In any action for damages for personal injuries, wrongful death or property damage resulting from an alleged act of malpractice or negligence by a licensed person in his profession or occupation, the plaintiff shall, within 60 days following the date of filing of the answer to the complaint by the defendant, provide each defendant with an affidavit of an appropriate licensed person that there exists a reasonable probability that the care, skill or knowledge exercised or exhibited in the treatment, practice or work that is the subject of the complaint, fell outside acceptable professional or occupational standards or treatment practices. The court may grant no more than one additional period, not to exceed 60 days, to file the affidavit pursuant to this section, upon a finding of good cause. The person executing the affidavit shall be licensed in this or any other state; have particular expertise in the general area or specialty involved in the action, as evidenced by board certification or by devotion of the person's practice substantially to the general area or specialty involved in the action for a period of at least five years. The person shall have no financial interest in the outcome of the case under review, but this prohibition shall not exclude the person from being an expert witness in the case.

When construing a statute, "our `overriding goal must be to determine the Legislature's intent.'" Hubbard v. Reed, 168 N.J. 387, 774 A.2d 495, 498 (2001) (citations omitted). As the New Jersey Supreme Court has observed:

The first step in determining the Legislature's intent is to look at the plain language of the statute. As a general rule, when the language of a statute is clear on its face, the sole function of the courts is to enforce it according to its terms. Nevertheless, we also have stressed that where a literal interpretation would create a manifestly absurd result, contrary to public policy, the spirit of the law should control. Thus, when a literal interpretation of individual statutory terms or provisions would lead to results inconsistent with the overall purpose of the statute, that interpretation should be rejected.

Id. (quotations and citations omitted).

Newell contends she has a meritorious claim and that she substantially complied with New Jersey's Affidavit of Merit Statute. Because the statute does not address its applicability to cases transferred from another jurisdiction, she argues a narrow interpretation would thwart the legislature's intent of barring only frivolous claims.

B.

In several recent decisions, the New Jersey Supreme Court held that if "reasonable effectuation of the statute's purpose has occurred," the Affidavit of Merit Statute does not require strict compliance. Galik v. Clara Maass Med. Ctr., 167 N.J. 341, 771 A.2d 1141, 1148 (2001); see also Fink v. Thompson, 167 N.J. 551, 772 A.2d 386 (2001); Cornblatt v. Barow, 153 N.J. 218, 708 A.2d 401, 411 (1998). In appropriate cases, "[c]ourts invoke the doctrine of substantial compliance to `avoid technical defeats of valid claims.'" Cornblatt, 708 A.2d at 412 (quoting Zamel v. Port of N.Y. Auth., 56 N.J. 1, 264 A.2d 201, 203 (1970)).

The doctrine of substantial compliance requires the defaulting party to show: (1) the lack of prejudice to the defending party; (2) a series of steps taken to comply with the statute involved; (3) a general compliance with the purpose of the statute; (4) a reasonable notice of petitioner's claim; and (5) a reasonable explanation why there was not strict compliance with the statute. Id. This equitable doctrine "requires a fact-sensitive analysis involving the assessment of all the idiosyncratic details of a case to determine whether `reasonable effectuation of the statute's purpose' has occurred." Galik, 771 A.2d at 1151 (citation omitted).

There is no legal prejudice to the defendants. Newell's complaint, filed in New York federal court on March 24, 1999, was accompanied by a Certificate of Merit attesting to the validity of her claim. Furthermore, Newell supplied defendants with copies of her mammograms and "took a series of steps that notified the defendants about the merits of the malpractice claims filed against them." Palanque v. Lambert-Woolley, 168 N.J. 398, 774 A.2d 501, 506 (2001). As the New Jersey Superior Court observed:

[There is] no prejudice whatever that would result to defendants, other than that they would have to defend against a potentially meritorious claim, which is not legal prejudice. Certainly, there has been no showing of prejudice to defendants that would outweigh the strong preference for adjudication on the merits rather than final disposition for procedural reasons.

Mayfield v. Cmty. Med. Assocs., 335 N.J.Super. 198, 762 A.2d 237, 243 (2000) (citations omitted).

The second and third prongs of the substantial compliance doctrine are related. Newell took steps generally complying with the purpose of New Jersey's Affidavit of Merit Statute.⁴ The purpose of N.J. Stat. Ann. S 2A:53A-27 is to "weed out frivolous lawsuits early in the litigation while, at the same time, ensuring that plaintiffs with meritorious claims will have their day in court." Hubbard, 774 A.2d at 500. As noted, New York's C.P.L.R. § 3012 a has the same purpose as New Jersey's statute: to "improve the quality of medical malpractice adjudications and deter the commencement of frivolous cases." Harmon v. Huntington Hosp., 163 Misc.2d 150, 619 N.Y.S.2d 492, 492 (1994) (quotation and citation omitted).

New York's C.P.L.R. § 3012 a seeks to achieve this purpose by requiring that a complaint for malpractice actions be accompanied by a certificate, executed by the attorney for the plaintiff, declaring:

[T]he attorney has reviewed the facts of the case and has consulted with at least one physician in medical malpractice actions... who is licensed to practice in this state or any other state and who the attorney reasonably believes is knowledgeable in the relevant issues involved in the particular action, and that the attorney has concluded on the basis of such review and consultation that there is a reasonable basis for the commencement of such action.

N.Y. C.P.L.R. § 3012-a.

As a result of Newell's compliance with New York's Certificate of Merit Statute, she effectively made a threshold showing that the case had merit at an early stage of the litigation, the primary goal of New Jersey's Affidavit of Merit Statute.⁵ Although untimely, Newell also took measures to comply with the New Jersey statute, filing an Affidavit of Merit from a Board Certified Radiologist on February 11, 2000.⁶ Furthermore, Newell forwarded copies of the mammograms to defendants so they could evaluate the merits of her claim and complied with all discovery requests. Perhaps for these...