HOPE DiCAMPLI-MINTZ, Plaintiff and Appellant, v. COUNTY OF SANTA CLARA et al., Defendants and Respondents.
No. S194501
Supreme Court of California
Dec. 6, 2012
55 Cal. 4th 983
Campbell, Warburton, Fitzsimmons, Smith, Mendell & Pastore, J. Michael Fitzsimmons and Lisa Jeong Cummins for Plaintiff and Appellant.
Cheong, Denove, Rowell & Bennett and John D. Rowell for Consumer Attorneys of California as Amicus Curiae on behalf of Plaintiff and Appellant.
Miguel Marquez, County Counsel, Lori E. Pegg, Acting County Counsel, Marcy L. Berkman and Melissa R. Kiniyalocts, Deputy County Counsel, for Defendants and Respondents.
Stephen D. Underwood; Michael M. Youngdahl and Jordan Sheinbaum for CSAC Excess Insurance Authority, California League of Cities and California State Association of Counties as Amici Curiae on behalf of Defendants and Respondents.
OPINION
CORRIGAN, J.—
I. BACKGROUND
On April 4, 2006, Dr. Bao-Thuong Bui and Dr. Abraham Sklar performed surgery on plaintiff Hope DiCampli-Mintz at Santa Clara Valley Medical Center (VMC), a hospital owned and operated by the County of Santa Clara (the County). In the recovery room, plaintiff complained of pain in her left leg, which appeared bluish and cold to the touch. An emergency tomography disclosed that her “left iliac artery” was “completely interrupted.” Plaintiff was returned to surgery and ultimately discharged.
Later that year, plaintiff went to VMC‘s emergency department “in a great deal of pain.” An emergency room physician told her that another procedure was required because blood vessels had been damaged in the first surgery.
Plaintiff retained counsel who prepared a letter for transmission to VMC, Dr. Bui, and Dr. Sklar, giving “notice, in accordance with Section 364 of the
On April 3, 2007, plaintiff‘s counsel personally delivered copies of the letter to an employee of the medical staffing office in the hospital‘s administration building. The letters were addressed to the Risk Management Department at VMC, Dr. Bui, and Dr. Sklar.3 While the letter included a request that it be forwarded to the recipient‘s insurance carrier, it did not request that it be forwarded to any of the statutorily designated recipients denoted in
It is undisputed that the letter was never personally served or presented, nor was it mailed to the county clerk or the clerk of the board. The parties
On July 2, 2007, plaintiff filed a complaint naming Dr. Bui, Dr. Sklar, and VMC as defendants. As described by the Court of Appeal, “The complaint acknowledged that ‘Plaintiff was required to comply with . . . [government claims statutes],’ but asserted she was ‘excused’ from doing so because defendants ‘failed to provide notice to Plaintiff as required by
On August 29, 2007, the County6 filed an answer denying plaintiff‘s allegations and asserting affirmative defenses, including that plaintiff “failed
The County filed a motion for summary judgment, alleging that plaintiff failed to comply with the
The trial court granted the County‘s summary judgment motion. It held that the County made a sufficient showing of noncompliance, and that plaintiff could not avoid summary judgment because she failed to “raise a reasonable inference that her claim was actually received by the clerk, secretary, auditor or board of the local public entity within the time prescribed for presentation thereof” and she also failed to “establish waiver and/or equitable estoppel.”
The Court of Appeal reversed. It found that plaintiff had “substantially complied” with the presentation requirements of the
II. DISCUSSION
A. The Government Claims Act
Suits for money or damages filed against a public entity are regulated by statutes contained in division 3.6 of the
Even if the public entity has actual knowledge of facts that might support a claim, the claims statutes still must be satisfied. (City of Stockton, supra, 42 Cal.4th at p. 738.) “The filing of a claim is a condition precedent to the maintenance of any cause of action against the public entity and is therefore an element that a plaintiff is required to prove in order to prevail.” (Del Real v. City of Riverside (2002) 95 Cal.App.4th 761, 767 (Del Real), italics added; see Shirk v. Vista Unified School Dist. (2007) 42 Cal.4th 201, 209 (Shirk).)
A goal of the
Moreover, the intent of the
B. Application of the Government Claims Statute
Several points are important here. The County does not dispute that the content of the letter is sufficient to serve as a valid claim, nor does it dispute its timeliness. Plaintiff does not dispute that the County was the proper public entity where her claim should have been presented under
It is uncontested that the claim was never delivered or mailed to the “clerk, secretary or auditor” as required by
The proper construction of
The Court of Appeal erred by failing to adhere to the plain language of
While resort to extrinsic sources is unnecessary, our conclusion is consistent with the legislative history. In 1959, the California Law Revision Commission‘s (Commission) report found that there were conflicting claim presentation requirements for public entities throughout the state. The Commission urged that specificity and uniformity were necessary and recommended adoption of uniform procedures for certain claims against public entities. (See Recommendation and Study Relating to The Presentation of Claims Against Public Entities (Jan. 1959) 2 Cal. Law Revision Com. Rep. (1959) pp. A-57 to A-62, A-122 (1959 Study).) The Commission reported, “Much unnecessary litigation has been devoted to resolution of technical issues relating to allegedly improper presentation of claims. . . . [A recurring question is] whether presentation to the wrong official satisfies the statute. Avoidance of these problems can be achieved in part by clear identification of the officer to whom such claims are required to be presented and by express authorization of mailed notice. In order to avoid doubts and to preclude such purely technical issues from interfering with expeditious handling of claims, however, it is recommended that express provision be made to cure minor defects in the manner of service which do not prejudice the public entity.” (Id. at p. A-122, fns. omitted.)
The Commission also referred to a New York law providing that, ” ‘[I]f service of such notice . . . [is] not in compliance with the provisions of this subdivision, such service shall be deemed valid if such notice is actually received by such person . . . .’ ” (1959 Study, supra, 2 Cal. Law Revision Com. Rep., at p. A-122, italics added.) In 1959, the Legislature acted on the Commission‘s recommendation and added section 714, the predecessor of
It is logical to provide that actual receipt satisfies the claim presentation requirement. The goals of the claims statutes are to provide entities with sufficient information to investigate and appropriately resolve claims and to plan for potential liabilities. These goals are satisfied when an adequate claim is actually received by an appropriate entity representative. The Legislature retains authority to determine which representatives are appropriate. The Court of Appeal cannot override that determination simply because it concludes receipt by others should be considered sufficient.
The Court of Appeal placed substantial reliance on Jamison v. State of California (1973) 31 Cal.App.3d 513 (Jamison). Jamison proves too slender a reed to support the weight of the Court of Appeal‘s expansion. The Jamison holding was later repudiated by its own panel and is in conflict with more recent authority.
Jamison was injured in a traffic collision with a truck owned by the California Department of Water Resources. His lawyer filed a claim with the Department of Water Resources before filing suit. (Jamison, supra, 31 Cal.App.3d at p. 515.) The trial court dismissed the action for failure to comply with the
The Jamison court drew several conclusions: (1) The statutory requirement is not met when a claim is filed with the wrong entity. (Jamison, supra, 31 Cal.App.3d at p. 517.) That principle is reflected in Jackson v. Board of Education (1967) 250 Cal.App.2d 856, 858-860, which held that a requirement to serve a local board of education is not satisfied by serving the municipality. (2) If a claim is filed with the proper entity but with the wrong statutory official of that entity, the statute is satisfied if the claim is actually received by the statutory officer. (3) A complete failure to serve any responsible officer of the entity will not constitute substantial compliance. (Jamison, supra, 31 Cal.App.3d at p. 517.) As stated in Redwood v. State of California (1960) 177 Cal.App.2d 501, 503-504: “It has been repeatedly held that where the claims statute provides for the person upon whom the claim is to be served . . . service upon another is insufficient.”
The Jamison court went on to draw a fourth conclusion that it phrased as follows: “Service upon any responsible official of the entity, but not the statutory officer, is sufficient if the party served has the duty to notify the statutory agent.” (Jamison, supra, 31 Cal.App.3d at p. 517.) Jamison cited no California authority for this proposition, referring instead to cases from Indiana (Galbreath v. City of Indianapolis (1970) 253 Ind. 472) and the District of Columbia (Stone v. District of Columbia (D.C. Cir. 1956) 99 U.S. App.D.C. 32 [237 F.2d 28] [applying D.C. law]). (Jamison, supra, 31 Cal.App.3d at p. 517.) The Jamison opinion does not reveal whether the statutes at issue in those cases bore any similarity to the California statutory scheme.
As justification for importing its fourth conclusion into California law, the Jamison court stated, “Certainly, any responsible officer or employee of a major state agency knows, or should know, that if a substantial claim for damages is presented that it should be forwarded to the Board of Control. In the event the officer or employee actually receiving the claim does not know the proper agency, then a simply [sic] inquiry to the Attorney General‘s office would result in advice as to the proper agency.” (Jamison, supra, 31 Cal.App.3d at p. 518.) The court cited no statutory authority supporting the duty it created. Other California appellate courts have refused to follow it. (Del Real, supra, 95 Cal.App.4th 761; Life, supra, 227 Cal.App.3d 894.)
In Life, supra, 227 Cal.App.3d 894, the plaintiff was involved in an automobile accident. He was treated by medical staff at the county medical center that allegedly committed negligence. The plaintiff retained counsel who sent a personal injury claim to the medical center‘s legal department. (Id. at p. 897.) The legal department was not the proper body to receive the plaintiff‘s claim. The plaintiff later retained new counsel who filed a late claim with the county board of supervisors. (Ibid.)
After the county denied the claim as untimely and his application for leave to present a late claim was also denied, Life filed a complaint against the county alleging medical negligence. (Life, supra, 227 Cal.App.3d at p. 897.) The county moved for summary judgment on the ground that Life had failed to timely present a claim. (Id. at p. 898.) The Court of Appeal affirmed, holding that Life‘s presentation of the claim to the hospital‘s legal department was insufficient. Compliance with
In Del Real, supra, 95 Cal.App.4th at page 764, the claim arose from an automobile accident with a Riverside police officer, Eric Charrette. Del Real‘s attorney wrote to Charrette seeking his account of the accident and requesting that the letter be forwarded to Charrette‘s insurance company. The city attorney responded to the letter, informing counsel that it represented Charrette and that he would not provide a statement. The letter also stated that any further contact with Charrette should be made through the city attorney‘s office. (Ibid.) Del Real later sued Charrette and the City of Riverside. Defendants moved for summary judgment alleging Del Real failed to satisfy the Government claims statutes. Del Real urged in reply that her letter to Charrette constituted a timely claim. She argued that “even if the letter was not actually received by the appropriate person or body, it should have been,” citing Jamison for the proposition that Charrette had a duty to transmit the letter to the appropriate recipient. (Del Real, at p. 770.)
In addition to holding that the letter did not contain the contents of a proper claim, the Court of Appeal held that because the letter was not properly directed it failed to comply with
The Court of Appeal below further relied on cases decided before the enactment of
The Court of Appeal also erred by relying on Elias v. San Bernardino County Flood Control Dist. (1977) 68 Cal.App.3d 70, 75, and Carlino v. Los Angeles County Flood Control Dist. (1992) 10 Cal.App.4th 1526, 1533. These cases hold that when the governing body of one public entity is also the governing body of another public entity, a claim against the subordinate entity that is delivered to the governing body constitutes substantial compliance with the claims statute. (Elias, supra, 68 Cal.App.3d at pp. 75–77; Carlino, supra, 10 Cal.App.4th at pp. 1533-1534.) That is not the case here.12
III. DISPOSITION
The judgment of the Court of Appeal is reversed.
Cantil-Sakauye, C. J., Kennard, J., Baxter, J., Werdegar, J., Chin, J., and Liu, J., concurred.
