Michael Quinlan, of the Estate of Lincy Sullivan v. Five-Town Health Alliance, Inc., dba Mountain Health Center and Sean May, PA-C
Michael Quinlan, of the Estate of Lincy Sullivan v. Five-Town Health Alliance, Inc., dba Mountain Health Center and Sean May, PA-C
Opinion
¶ 1. This is a consolidated appeal involving two successive malpractice actions brought by the executor of a decedent's estate against the clinic where the decedent received treatment prior to her death and against the physician assistant who treated her. The trial court dismissed the first action because plaintiff failed to file the certificate of merit required by 12 V.S.A. § 1042 with his complaint, and dismissed the second action as untimely. We conclude that the trial court properly dismissed both cases and therefore affirm.
¶ 2. Plaintiff Michael Quinlan alleged the following facts in his complaint. On October 21, 2014, plaintiff's wife Lincy Sullivan met with physician assistant (P.A.) Sean May at Mountain Health Center in Bristol, Vermont. She informed May that she was experiencing shortness of breath, leg pain, and chest pain. May concluded that Sullivan had allergies, prescribed an inhaler, and told Sullivan she could return home. Sullivan died from a pulmonary embolism on October 24, 2014.
¶ 3. Plaintiff subsequently retained an attorney to bring a medical malpractice claim against defendants. In July 2016, plaintiff's attorney consulted with a P.A. regarding plaintiff's claim. A few weeks later, plaintiff notified Mountain Health of the professional malpractice claim and asked it to refer the matter to its insurer. Plaintiff provided defendants' counsel with copies of Sullivan's medical records and a letter from the consulting P.A. opining that Mountain Health breached the standard of care for P.A.s in several ways, directly contributing to Sullivan's death.
¶ 4. On October 5, 2016, plaintiff, acting in his capacity as executor of Sullivan's estate, filed a wrongful death action against May and Mountain Health Center ( Quinlan I ). Service was complete on October 21, 2016. The two-year statute of limitations period established by 14 V.S.A. § 1492(a) for wrongful death actions expired on October 25.
¶ 5. On November 1, 2016, defendants moved to dismiss the action because plaintiff had failed to file a certificate of merit with his complaint as required by 12 V.S.A. § 1042. Section 1042 mandates that in all medical malpractice actions for personal injury or wrongful death occurring on or after February 1, 2013, the attorney or party filing the action must "file[ ] a certificate of merit simultaneously with the filing of the complaint."
*392 12 V.S.A. § 1042(a). The attorney or plaintiff must certify that he or she has consulted with a qualified expert who, based on reasonably available information, has described the applicable standard of care and indicated that there is "a reasonable likelihood that the plaintiff will be able to show that the defendant failed to meet that standard of care," thereby causing the plaintiff's injury. Id . § 1042(a)(2). Section 1042(e) provides that "[t]he failure to file the certificate of merit as required by this section shall be grounds for dismissal of the action without prejudice, except in the rare instances in which a court determines that expert testimony is not required to establish a case for medical malpractice." Id . § 1042(e). The statute contains a tolling provision to allow plaintiffs whose claims are about to expire to obtain the requisite expert opinion: "Upon petition to the clerk of the court where the civil action will be filed, an automatic 90-day extension of the statute of limitations shall be granted to allow the reasonable inquiry required by this section." Id . § 1042(d).
¶ 6. Plaintiff responded to defendants' motion to dismiss by filing a separate action with a certificate of merit on November 16, 2016 ( Quinlan II ), along with a petition for an extension of the statute of limitations under 12 V.S.A. § 1042(d). Plaintiff also opposed defendants' motion to dismiss in Quinlan I , arguing that dismissal under § 1042(e) was discretionary and would be inequitable in his case because he had complied with the substance of the rule by providing notice of his claim and the consulting P.A.'s report to defendants prior to filing suit.
¶ 7. In January 2017, the court granted defendants' motion to dismiss Quinlan I . It noted that the statute of limitations had run but declined to rule whether Quinlan II was timely filed. Plaintiff moved for reconsideration of the dismissal of Quinlan I . Meanwhile, defendants moved to dismiss Quinlan II as time-barred. The court stayed the motion for reconsideration in Quinlan I pending the outcome of the motion to dismiss in Quinlan II .
¶ 8. In his opposition to defendants' motion to dismiss Quinlan II , plaintiff argued that because he had filed an extension request under § 1042(d) within ninety days after the limitations period expired on October 25, 2016, the limitations period should be deemed to have been extended for those ninety days, thereby making his complaint and certificate of merit in Quinlan II timely. 1 He also argued that dismissal would violate his right to equal protection under the Vermont and United States Constitutions and that the statute of limitations was otherwise tolled by 12 V.S.A. § 558.
¶ 9. On March 8, 2017, the trial court dismissed Quinlan II with prejudice, finding that it was time-barred. The court rejected plaintiff's equal protection and tolling arguments. It also denied plaintiff's motion for reconsideration in Quinlan I . Plaintiff appealed both decisions. At plaintiff's request, the appeals were consolidated for our review.
¶ 10. Plaintiff's primary argument on appeal is that this Court should use its equitable powers to reverse the dismissal of
Quinlan I
because he substantially complied with 12 V.S.A. § 1042(a) by obtaining an expert opinion describing the breach of the standard of care and providing it to defendants prior to filing suit. We conclude that plaintiff's proposed approach conflicts
*393
with Vermont law and the legislative intent behind § 1042, and agree with the trial court that dismissal of
Quinlan I
was required under our recent decision in
McClellan v. Haddock
,
¶ 11. In McClellan , the administrator of a decedent's estate filed a wrongful death action against the decedent's physician and the physician's employer three days before the limitations period expired. The defendants moved to dismiss the action because the plaintiff did not file a certificate of merit with her complaint. The plaintiff argued that her complaint incorporated the certificate of merit requirements because she alleged that the defendants had breached professional standards of care, her attorney had signed the complaint, and her attorney had already provided defendant's counsel with a copy of her expert's preliminary opinion. The plaintiff also moved to amend her complaint to add a certificate of merit. The trial court denied the motion to amend and dismissed the complaint with prejudice because the statute of limitations had expired.
¶ 12. On appeal, we held that the trial court properly denied the plaintiff's motion to amend her complaint to add a certificate of merit, reasoning that "such an amendment would be fundamentally inconsistent with the statutory purpose" of 12 V.S.A. § 1042.
McClellan
,
¶ 13. We also rejected the plaintiff's argument that the trial court had discretion not to dismiss the case under 12 V.S.A. § 1042(e) :
While the phrase "grounds for dismissal" does suggest that dismissal is not required in every case where the certificate of merit does not comport with the requirements of the statute, we do not read it to authorize a later-filed amendment to supply a certificate of merit otherwise entirely omitted from the original complaint. As discussed, the overarching purpose of the statute is to protect defendants from the burden of defending medical malpractice claims lacking in expert support. Dismissal of a complaint filed without the requisite certificate of merit attesting to such support is essential to effectuate that purpose.
Id . ¶ 25.
¶ 14. Finally, we rejected the plaintiff's argument that the trial court should have treated her motion to amend as the equivalent of a request for a ninety-day extension of the statute of limitations under § 1042(d). We held that "the phrase 'where the civil action will be filed ' plainly requires that an extension-request precede the filing of the complaint." Id . ¶ 27. Further, "even if § 1042(d) could be construed to authorize an extension-request after the filing of a complaint, the trial court here could not have granted a ninety-day extension of a statute of limitation that had already expired when the motion to amend was filed." Id . We therefore affirmed the trial court's dismissal of the complaint. Id .
¶ 15. As the trial court found, this case is squarely controlled by
McClellan
. Like the plaintiff in
McClellan
, plaintiff here filed his initial complaint without the required certificate of merit. Dismissal was therefore required under § 1042(e). See
McClellan
,
*394
¶ 16. Plaintiff contends that we should reverse because unlike the plaintiff in
McClellan
, he "substantially complied" with § 1042(a) by investigating the claim and providing defendants with an expert report that was equivalent to the certificate of merit prior to filing suit.
2
He urges us to adopt the approach followed by New Jersey courts in screening malpractice complaints. See
Ferreira v. Rancocas Orthopedic Assocs.
,
¶ 17. We find the New Jersey high court's interpretation of its affidavit-of-merit statute to be unpersuasive because that statute takes a far more lenient approach to screening malpractice cases than § 1042. New Jersey's statute requires the plaintiff in any professional malpractice action to provide each defendant with an affidavit of an expert stating that the defendant breached the standard of care for that profession "within 60 days following the date of filing of the answer to the complaint by the defendant." N.J. Stat. Ann. § 2A:53A-27. The statute permits the court to grant one sixty-day extension to file the affidavit.
*395
¶ 18. By contrast, 12 V.S.A. § 1042 requires the certificate of merit to be filed "simultaneously with the filing of the complaint." Thus, the intent is to "screen out meritless claims
at the outset
."
McClellan
,
¶ 19. We therefore make explicit what we implicitly held in
McClellan
, namely, that § 1042's requirement that a certificate of merit be filed simultaneously with the complaint is mandatory and demands strict compliance.
4
When a certificate of merit is "
entirely omitted
from the original complaint," dismissal is necessary to effectuate the statutory purpose of screening out frivolous claims at the outset.
McClellan
,
¶ 20. Our conclusion that failure to timely file a certificate of merit requires dismissal is consistent with our prior decisions in this area of the law. In
Fercenia v. Guiduli
,
¶ 21. Courts in other jurisdictions have concluded, based on similar mandatory statutory language, that strict compliance with filing requirements for medical malpractice claims is required. See
Myers v. AMISUB (SFH), Inc.
,
¶ 22. Plaintiff argues that requiring strict compliance with § 1042 violates his right to equal protection under the Common Benefits Clause of the Vermont Constitution. 6 According to plaintiff, our interpretation of § 1042 arbitrarily disadvantages litigants with otherwise meritorious claims who file suit without a certificate of merit close to the end of the limitations period, because they are foreclosed from correcting their mistake, while plaintiffs who file suit earlier are able to try again.
¶ 23. The Common Benefits Clause provides "[t]hat government is, or ought to be, instituted for the common benefit, protection, and security of the people, nation, or community, and not for the particular emolument or advantage of any single person, family, or set of persons, who are a part only of that community." Vt. Const. ch. I, art. 7. To determine whether a legal
*397
requirement violates the Common Benefits Clause, we consider the following questions: "(1) what 'part of the community' is disadvantaged by the legal requirement; (2) what is the governmental purpose in drawing the classification; and (3) does the omission of part of the community from the benefit of the challenged law bear 'a reasonable and just relation to the governmental purpose?' "
In re Hodgdon
,
¶ 24. Here, we do not see that any part of the community is denied any benefit. In
Quinlan I
, plaintiff was treated the same as any other plaintiff who fails to file a certificate of merit simultaneously with a medical malpractice complaint: his complaint was dismissed pursuant to § 1042(e) and
McClellan
. In
Quinlan II
, plaintiff was treated the same as any other plaintiff who files suit after the applicable limitations period expires: his complaint was dismissed as time-barred. The disadvantage experienced by plaintiff and other similarly situated litigants is not created by § 1042 or
McClellan
. Rather, it is created by their own inadvertence, their decision on when to file the action, and the operation of the applicable statute of limitations. Although these plaintiffs may have differing outcomes from those who file noncompliant actions earlier in the limitations period, these outcomes result from factors entirely within their control. Plaintiff has therefore failed to establish that he is being arbitrarily treated differently from others. See
Vt. Human Rights Comm'n v. State
,
¶ 25. Moreover, both § 1042 and the statute of limitations are reasonably related to legitimate governmental purposes. As discussed above and in
McClellan
, the purpose of § 1042 is to weed out frivolous medical malpractice claims at the outset of litigation. The statute of limitations likewise serves several legitimate purposes, "including fairness to defendants, protecting the court's interest in reliance and repose, and guarding against stale demands."
Vt. Human Rights Comm'n
,
¶ 26. Finally, plaintiff asserts that this Court should reverse the dismissal of Quinlan II because the statute of limitations was tolled by 12 V.S.A. § 558 for one year following the dismissal of Quinlan I . Section 558 provides, in pertinent part:
The plaintiff may commence a new action for the same cause within one year after the determination of the original action, when the original action has been commenced within the time limited by any statute of this State, and the action has been determined for any of the following reasons:
....
(2) where the action is dismissed for lack of jurisdiction of the subject matter or person, improper venue, or failure to join an indispensable party ....
12 V.S.A. § 558(a). Plaintiff argues that dismissal for failure to file a certificate of merit is a dismissal for lack of subject matter jurisdiction, and therefore his claim is protected by § 558.
*398
¶ 27. " 'Subject matter jurisdiction' refers to the power of a court to hear and determine a general class or category of cases."
Lamell Lumber Corp. v. Newstress Int'l, Inc.
,
¶ 28. Under common law, the superior court traditionally has had the power to hear medical malpractice claims. See, e.g.,
Domina v. Pratt
,
Affirmed .
Plaintiff does not pursue this argument on appeal, with good reason. He filed his petition to extend the statute of limitations after the limitations period expired. The petition therefore did not toll the running of the limitations period. See
McClellan v. Haddock
,
In McClellan , the plaintiff provided a preliminary expert opinion to the defendants, but the trial court found that it could not substitute for the certificate of merit because it failed to describe the standard of care or to opine that the alleged breach of that standard caused the plaintiff's injury, as required by § 1042(a). McClellan v. Haddock , 482-5-15 Cncv, at *3 (Vt. Super. Ct. Nov. 30, 2015), https://www.vermontjudiciary.org/sites/default/files/documents/2016-12-7-3.pdf [https://perma.cc/YV8V-946N]. The plaintiff did not appeal that portion of the trial court's decision. In this case, the trial court did not address whether the consulting P.A.'s report met the substantive requirements of § 1042(a). Defendants argue on appeal that the report is insufficient because it did not describe the standard of care or give a clear opinion on causation. Because we determine that the trial court properly dismissed Quinlan I due to plaintiff's failure to file a certificate with the complaint, we do not consider the substance of the report.
Even if this Court were to adopt New Jersey's substantial compliance doctrine, plaintiff's claim would still fail because he has not provided "a reasonable explanation why there was not strict compliance with the statute."
Ferreira
,
Our conclusion applies to the timing of the filing of the certificate of merit only. As we recognized in
McClellan
, dismissal may not necessarily be required "where the plaintiff files a timely certificate of merit that nevertheless fails in some particular to meet the statutory requirements, and where allowing an amendment to correct the deficiency-rather than ordering dismissal-would not undermine the legislative purpose."
For similar reasons, it is irrelevant whether defendants suffered prejudice due to plaintiff's failure to file the certificate of merit in this case. The filing requirement must be strictly complied with, and the failure to do so is the fault of plaintiff, not defendants. See
Fercenia
,
Plaintiff also alleges that the alleged classification violates his rights under the Equal Protection Clause of the U.S. Constitution. This argument is inadequately briefed, so we do not address it. See
Concord Gen. Mut. Ins. Co. v. Gritman
,
The cases cited by plaintiff do not support a contrary conclusion. In
James v. United States
,
While we agree with the trial court's conclusion that dismissal under § 1042(e) is not a dismissal for lack of subject matter jurisdiction, we disagree with its conclusion that such a dismissal is necessarily an adjudication on the merits. The court's dismissal of
Quinlan I
had the same practical effect as an adjudication on the merits because plaintiff's subsequent suit was barred under the statute of limitations. However, the statute provides that failure to file the requisite certificate of merit requires "dismissal
without prejudice
." 12 V.S.A. § 1042(e) (emphasis added). Dismissal under § 1042(e) therefore would not preclude a plaintiff from pursuing a malpractice claim in a subsequent action. See
McClellan
,
Reference
- Full Case Name
- Michael QUINLAN, Executor of the Estate of Lincy Sullivan v. FIVE-TOWN HEALTH ALLIANCE, INC., D/B/A Mountain Health Center and Sean May, PA-C
- Cited By
- 16 cases
- Status
- Published