Lydia G. WILCOX, et al., v. Tristan J. ORELLANO.
No. 77, Sept. Term, 2014.
Court of Appeals of Maryland.
May 28, 2015.
115 A.3d 621
Michelle R. Mitchell (D. Lee Rutland, Dana K. Schultz, Wharton, Levin, Ermantraut & Klein, PA), on brief, for respondent.
Argued before BARBERA, C.J., HARRELL, BATTAGLIA, GREENE, ADKINS, MCDONALD, and WATTS, JJ.
MCDONALD, J.
This case concerns the consequences of a voluntary dismissal of a medical malpractice action. The initial complaint filed by the plaintiff failed to comply with a statutory prerequisite for maintaining a medical
A statute specific to medical malpractice actions provides some relief from the statute of limitations when an initial complaint is dismissed for the particular defect that affected the plaintiff‘s complaint. However, the statutory savings provision does not apply in cases in which a plaintiff has voluntarily dismissed the prior complaint.
The Maryland Rules allow a plaintiff to voluntarily dismiss a complaint by filing a simple notice of dismissal before the defendant has answered the complaint. After an answer has been filed, the plaintiff can accomplish a voluntary dismissal only by obtaining the defendant‘s assent or the court‘s permission.
This case turns on whether it makes a difference that the voluntary dismissal in this case was effected by a stipulation of dismissal, necessary because the defendant had already answered the complaint, as opposed to a notice of dismissal. We hold that it does not and that the savings provision does not apply to any case in which there has been a voluntary dismissal.
I
Background
A. Voluntary Dismissals
For various reasons, a plaintiff in a civil action may choose to dismiss a claim—or an entire complaint—voluntarily. The process that a plaintiff must follow to do so—and the consequences of the dismissal—varies according to the stage of the proceeding and whether the plaintiff has previously dismissed the same claim, as elaborated in Maryland Rule 2-506.1 That rule, entitled “Voluntary Dismissal,” states in pertinent part:
(a) By notice of dismissal or stipulation. Except as otherwise provided in these rules or by statute, a party who has filed a complaint, counterclaim, cross-claim, or third-party claim may dismiss all or part of the claim without leave of court by filing (1) a notice of dismissal at any time before the adverse party files an answer or (2) a stipulation of dismissal signed by all parties to the claim being dismissed.
. . .
. . .
(c) By order of court. Except as provided in section (a) of this Rule, a party who has filed a complaint . . . may dismiss the claim only by order of court and upon such terms and conditions as the court deems proper. . . .
(d) Effect. Unless otherwise specified in the notice of dismissal, stipulation, or order of court, a dismissal is without prejudice, except that a notice of dismissal operates as an adjudication upon the merits when filed by a party who has previously dismissed . . . an action based on or including the same claim.
. . .
According to the plain language of the rule, a plaintiff may voluntarily dismiss a complaint in one of three ways: by a notice of dismissal, by a stipulation of dismissal, or by court order. State ex rel. Lennon v. Strazzella, 331 Md. 270, 275-76, 627 A.2d 1055 (1993). Thus, the concept of
As Rule 2-506 indicates, on the first occasion that a claim is voluntarily dismissed, the dismissal is “without prejudice“—i.e., it is not an adjudication on the merits that would, under the doctrine of res judicata, foreclose a plaintiff from refiling the action. (A second notice of dismissal, however, does operate as an adjudication on the merits and forecloses refiling.) It is well settled under the federal rule that, even though a dismissal is without prejudice, there is ordinarily no tolling of the statute of limitations and a plaintiff may be barred by limitations from re-filing an action that has been voluntarily dismissed “without prejudice.” 9 Wright, Miller & Kane, Federal Practice & Procedure, § 2367 (3d ed. 2008) (“[I]t seems well settled in the case law that the statute of limitations is not tolled by bringing an action that later is dismissed voluntarily under
B. Bringing a Claim under the Health Care Malpractice Claims Act
The Health Care Malpractice Claims Act (“HCMCA“), codified at
Pertinent to this case, the HCMCA sets forth the process that an individual must follow as a prerequisite to bringing a civil action in court. The individual must first file a claim with the Health Care Alternative Dispute Resolution Office (“HCADRO“).
The expert certificate and report must attest that the treatment in question departed from the standard of care and that the departure was the proximate cause of the claimant‘s alleged injury.
or report need be filed if the sole issue is lack of informed consent.
Once the claimant has filed an expert certificate and report, the claimant may either proceed with arbitration or, in the alternative, unilaterally waive arbitration and file a complaint in a circuit court. See
A circuit court is to dismiss a complaint without prejudice if the claimant fails to timely file an expert certificate and report.
failure to file both the certificate and report within the statutory period and any extension will result in dismissal of a complaint.
C. Limitations for Malpractice Actions
The Statute of Limitations—CJ § 5-109
A medical malpractice claim must be filed within the earlier of five years from the date the injury was committed or three years from the date the injury was discovered.
The Savings Provision—CJ § 5-119
(a) (1) This section does not apply to a voluntary dismissal of a civil action or claim by the party who commenced the action or claim.
(2) This section applies only to a civil action or claim that is dismissed once for failure to file a report in accordance with § 3-2A-04(b)(3) of this article.
(b) If a civil action or claim is commenced by a party within the applicable period of limitations and is dismissed without prejudice, the party may commence a new civil action or claim for the same cause against the same party or parties on or before the later of:
(1) The expiration of the applicable period of limitations;
(2) 60 days from the date of the dismissal; or
(3) August 1, 2007, if the action or claim was dismissed on or after November 17, 2006, but before June 1, 2007.
Thus, if a claimant commences a medical malpractice claim within the period of limitations and the claim is dismissed without prejudice for failure to file an expert report, the claimant has up to 60 days to file a new civil action for the same cause against the same parties, even if the statute of limitations has otherwise run in the interim. This grace period does not apply,
The issue in this case is whether a plaintiff is precluded under
D. Ms. Wilcox‘s Claim
Alleged malpractice
Petitioner Lydia Wilcox9 was referred to Respondent Tristan Orellano, a physician who practices general surgery, for treatment of suspected breast cancer in September 2004.10 A biopsy confirmed the existence of cancer and Dr. Orellano performed an operation on her right breast on October 26, 2004.
After the surgery, Ms. Wilcox experienced swelling and redness in her right breast. Her radiation oncologist was unable to begin radiation treatment because of the swelling and placed Ms. Wilcox on antibiotics to treat a suspected infection. Ms. Wilcox called Dr. Orellano twice in December 2004 complaining of the swelling and discomfort and discussed the swelling and redness at an appointment with him that month. Dr. Orellano advised her to remain on the antibiotics, wear a support bra, and seek further follow-up treatment with her radiation oncologist. Dr. Orellano did not prescribe any treatment. Ms. Wilcox last visited Dr. Orellano on January 26, 2005, when he again noted the continued swelling and redness and her inability to commence radiation treatment but prescribed no treatment.
In March 2005, Ms. Wilcox moved to North Carolina and began seeing a new radiation oncologist. Ms. Wilcox received radiation therapy but the swelling and redness continued. In June 2005, tests confirmed that she had a MRSA infection.11 The infection grew worse, and additional infections developed, necessitating treatment in August and September 2005. Ms. Wilcox was required to visit a medical facility on a daily basis for approximately nine months for treatment of the infected areas. On March 17, 2006, Ms. Wilcox had surgery to resolve the infections.12
First Claim and Voluntary Dismissal
Ms. Wilcox first filed a claim against Dr. Orellano with HCADRO on June 12, 2008. HCADRO granted an automatic 90-day extension under
Ms. Wilcox a total of 180
Ms. Wilcox then waived arbitration and filed a complaint in the Circuit Court for Howard County on May 14, 2009. The complaint alleged that Dr. Orellano was negligent in failing to diagnose and treat her post-surgical infection and included counts of negligence, breach of contract, and loss of consortium. Ms. Wilcox did not allege that Dr. Orellano was negligent in performing the initial surgery or that he had chosen an inappropriate surgical procedure. Dr. Orellano answered the complaint a month later.
In September 2009, Dr. Orellano moved to dismiss the complaint for failure to attach an expert report as required by
Second Claim and Dismissal on Limitations Grounds
Approximately a week after Ms. Wilcox dismissed her complaint in the Circuit Court for Howard County, she filed a second claim against Dr. Orellano with HCADRO. This claim not only alleged that Dr. Orellano was negligent in failing to treat her post-surgical infection, as her original claim had alleged, but also included new allegations that Dr. Orellano had been negligent in performing the surgery—in particular, that he had undertaken a surgical procedure greater in scope than had been recommended by Ms. Wilcox‘s treating oncologist and thereby increased the risk of infection. This time, Ms. Wilcox‘s claim was accompanied by an expert certificate with an expert report attached.
In April 2010, Ms. Wilcox waived arbitration as to her second claim. On May 14, 2010, she filed a three-count complaint that was similar to her first complaint and that also included the new claim of negligence related to her initial surgery. This time, however, she filed suit in the Circuit Court for Prince George‘s County instead of the Circuit Court for Howard County.
Dr. Orellano moved to dismiss the complaint on limitations grounds. The Circuit Court initially denied that motion. The Circuit Court held that Ms. Wilcox‘s claim accrued by March 2006, at the latest, and therefore her claim had to be filed by March 2009. The Circuit Court reasoned that even though the second claim was not filed until October 2009, it was not barred by the statute of limitations because it was essentially an extension of the first claim filed in June 2008.
Dr. Orellano sought reconsideration of his motion to dismiss after the Court of Special Appeals held, in Bi v. Gibson, 205 Md.App. 263, 45 A.3d 305 (2012), that, if a civil action is voluntarily dismissed pursuant to Rule 2-506(a), any subsequent similar action must still be filed within the applicable period of limitations. In other words, the filing of the initial complaint did not toll limitations with respect to the second, similar complaint.13 The Circuit
The court concluded that her second claim did not come within the scope of
Ms. Wilcox appealed the dismissal of her second complaint. The Court of Special Appeals affirmed the decision of the Circuit Court in a reported decision. 217 Md.App. 417, 94 A.3d 127 (2014). We then granted a writ of certiorari to consider whether
II
Discussion
A. Standard of Review
This case presents a question of statutory interpretation. As indicated above, Ms. Wilcox asserts that her initial medical malpractice claim was filed within the period of limitations.14 Her second claim, which was initiated in October 2009 after dismissal of the first, was filed after the period of limitations would ordinarily expire. There is no dispute that
concerns the interpretation of
B. Whether the Savings Provision of CJ § 5-119 Applies
As noted above,
Ms. Wilcox advances two arguments why we should not read the statute this way. First, she argues that the reference to “voluntary dismissal” in paragraph (a)(1) only encompasses a voluntary dismissal by a plaintiff without the assent of the opposing party—i.e., only a voluntary dismissal effected before the filing of an answer. Second, she argues that paragraph (a)(2) of the statute—which limits the savings provision to medical malpractice actions—somehow frees her case from the limitation of paragraph (a)(1). In our view, neither argument has merit.
Whether the usual definition of “voluntary dismissal” applies for purposes of (a)(1)
Ms. Wilcox asserts that, given the statute‘s remedial purpose of saving certain medical malpractice claims from the operation of the statute of limitations, the phrase “voluntary dismissal . . . by the party who commenced the action or claim” in paragraph (a)(1) should be construed to apply only to a voluntary dismissal accomplished unilaterally by the plaintiff. However, the statute does not include its own special definition for “voluntary dismissal.” In the absence of a special definition, we assume the Legislature used the phrase in accordance with its ordinary meaning. Tatum v. Gigliotti, 321 Md. 623, 628, 583 A.2d 1062 (1991). In particular, when a phrase in a statute refers to a specific procedural mechanism, we presume that reference to be to the ordinary understanding of the procedural term. See Dean v. Pinder, 312 Md. 154, 161, 538 A.2d 1184 (1988) (“when the term in a statute is a legal term, absent any legislative intent to the contrary, the term is presumed to be used in its legal sense“).
The longstanding Maryland rule on voluntary dismissals by “a party who has filed a complaint” encompasses a dismissal by stipulation after
example. Plaintiff A files a medical malpractice action with a defective expert certificate. Plaintiff A realizes the defect almost immediately and voluntarily dismisses his complaint before an answer is filed pursuant to Rule 2-506 without need for the court‘s permission or the adversary‘s agreement. In the meantime, the period of limitations has expired. Even Ms. Wilcox would concede that Plaintiff A does not get the benefit of the savings provision and is barred from filing a new action.17
Plaintiff B files an identical action with all other circumstances the same, except that Plaintiff B does not realize the defect in the complaint until the defendant has filed an answer (which perhaps, as in this case, asserts a limitations defense). Plaintiff B then voluntarily dismisses the complaint but under Rule 2-506 needs to do so by stipulation. Again, limitations has run. But under Ms. Wilcox‘s interpretation of paragraph (a)(1), unlike Plaintiff A, Plaintiff B would have the benefit of the savings provision and would not be barred from filing a new complaint. This would seemingly make the applicability of the savings
Finally, the facts of this case suggest a policy reason why the Legislature would not extend the savings provision to voluntary dismissals. The stipulation of dismissal in this case did not state the basis for the dismissal. The reason for the dismissal is critical because
initial surgery in addition to the follow-up care. It may well be that the Legislature, in creating a safety valve “only” for actions dismissed because of an incomplete expert certificate, did not wish to allow the savings provision to be used to allow a plaintiff to do such things as amend a complaint outside the period of limitations or obtain a change of venue.18
Whether (a)(2) negates the application of (a)(1)
In an effort to find some support in the statutory language, Ms. Wilcox suggests that the two paragraphs that limit the scope of the statute in
This interpretation finds no footing in the statute. Paragraph (a)(1) states that “this section“—i.e.,
Ms. Wilcox attempts an argument based on legislative history. She notes that the bill that ultimately enacted
If, as Ms. Wilcox contends, the Legislature had intended the savings provision of
any medical malpractice claim that was previously voluntarily dismissed.
III
Conclusion
Ms. Wilcox failed to file the required expert report to prosecute her first claim against Dr. Orellano and voluntarily dismissed her complaint. Her second claim, which resulted in the current action, was filed after the expiration of the relevant period of limitations and would ordinarily be barred on that ground. While the Legislature created a special savings provision for medical malpractice actions, it did not extend that grace period to actions that had previously been the subject of a voluntary dismissal. In our view, that exclusion encompasses a voluntary dismissal after a defendant has filed an answer, for which a plaintiff is required to obtain the assent of the defendant. Accordingly, Ms. Wilcox cannot rely on the saving provision of
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONERS.
Notes
The rule is indeed broader, but not in the way that Ms. Wilcox suggests. The rule governs voluntary dismissals not only by the party that commenced the action by filing a complaint, but also dismissals by other parties, such as defendants who assert counterclaims, which may or may not have occurred in any particular case—therefore the reference to “a party.” The statute only concerns voluntary dismissals of complaints—a necessary pleading in any civil action—therefore, the reference to the “the party” that filed the complaint. The notion that the Legislature intended to limit the type of voluntary dismissal for
