No. 00CV7290Supreme Court of Colorado.
December 17, 2001 Opinion modified, and as modified, Petition for Rehearing DENIED. EN BANC. January 14, 2002.
Original Proceeding Pursuant to C.A.R. 21 District Court, City County of Denver, Honorable Gloria A. Rivera, Judge, Case No. 01SA176.
RULE DISCHARGED
No. 01SA176, Redden v. SCI Colo. Funeral Servs., Inc., Non-party Designation — Certificate of Review — Fault
Brock Redden sued SCI Colo. Funeral Services, Inc. for personal injuries resulting from a vehicle accident between Redden and an SCI employee. In a pre-trial submission, SCI sought to designate a chiropractor who treated Redden two days after the accident as a non-party at fault and submitted a certificate of review, as required by statute in designations alleging professional negligence.
Because SCI’s designation alleged only that the chiropractor may have caused the stroke, but failed to indicate that the chiropractor treated Redden negligently or otherwise fell below the chiropractic standard of care, the trial court found the designation defective and gave SCI four days to supplement the designation. In an attempt to comply, SCI submitted reports, documentation, and affidavits, all showing the chiropractor’s treatment may have caused Redden’s stroke. Apart from the arguments of counsel, however, nothing in the materials suggested, and significantly, no expert opined, that the chiropractor had fallen below the appropriate standard of care for chiropractors. The trial court again denied the submission.
SCI submitted a third designation, this one containing the opinion of a South Carolina chiropractor who alleged that Redden’s chiropractor had fallen below the professional standard of care in treating the plaintiff. This submission satisfied the statutory requirements of the designation and certificate of review statutes, except that it arrived well past the statutory deadline. The trial court again rejected the submission, this time for tardiness. SCI sought, and this court issued, a Rule to Show Cause under C.A.R. 21.
The Supreme Court now holds that non-party designations alleging professional negligence must indicate the basis for asserting that the non-party is legally at fault. An allegation of mere causation is deficient as a matter of law because it fails to incorporate all the elements of negligence. Therefore, the trial court properly rejected a certificate of review when counsel failed to timely demonstrate that a qualified expert believed the non-party fell below the professional standard of care. Lastly, the trial court acted within its discretion in denying the third, tardy submission. The court, therefore, discharges its Rule to Show Cause and returns the case to the trial court for further proceedings.
Pearson Horowitz, P.C., Bruce G. Smith, Robert M. Horowitz Jane G. Ebisch, Denver, Colorado, Attorneys for Plaintiff.
Snell Wilmer, L.L.P., Timothy G. O’Neill, Stephanie J. Quincy James D. Kilroy, Denver, Colorado, Attorneys for Defendant.
EN BANC
JUSTICE KOURLIS delivered the Opinion of the Court.
[1] In this case, we address the statutory requirements associated with designating a professional non-party at fault in tort litigation. We conclude that such designation is deficient as a matter of law when it alleges only causation and not all the elements of negligence sufficient to establish legal responsibility. While the professionals consulted pursuant to section 13-20-602(3)(a), 5 C.R.S. (2001), need not necessarily be members of the same profession as the non-party, they must be able to opine competently that the non-party breached an applicable standard of care pursuant to the requirements of paragraph 602(3)(c). The trial court here acted within its discretion in dismissing a non-party designation of a professional that failed to meet these various standards, and we therefore discharge our rule to show cause. I.
[2] Brock Redden, Respondent here and plaintiff below, was involved in a vehicle accident with an employee of SCI Colorado Funeral Services, Inc., defendant below and Petitioner here. Redden appeared to suffer no injury in the mishap and drove from the scene under his own volition. Two days later, however, experiencing neck and back pain, he visited Dr. Mark Wolff, a Denver chiropractor. For two consecutive days, Wolff administered various chiropractic treatments targeting Redden’s neck and right shoulder. Three days after the last visit Redden suffered a debilitating stroke, the result of a dissection of his carotid artery.
Dr. Mark M. Wolff . . . provided a treatment and therapy regimen to Plaintiff. . . . This treatment involved neck and spinal manipulation, myofacial release and intersegmental traction. . . . Plaintiff’s attending physician could not rule out manipulation by a chiropractor as a cause of the corotid [sic] artery tear and subsequent infarct due to clot formation.
Accordingly, Defendant SCI designates Dr. Wolff and Green Mountain Chiropractic as responsible non-parties . . . for the reason that the conduct of these non-parties is wholly or partially at fault for Plaintiff’s claims, injuries, damages, and losses.
CERTIFICATE OF REVIEW
[4] Redden filed a motion to strike the designation as insufficient under the applicable statute, and on April 2, 2001, the trial court granted the motion, ruling the non-party designation “deficient as a matter of law.” The court noted that the designation “doesn’t tell us anything about Dr. Wolff. It tells us about some ER doctor who cannot rule something out. Now in my opinion that is speculation at this point.” Because the trial was then three months away, the court gave SCI just four days to correct the deficiency, in one of two ways. First, SCI could “supplement the designation, setting forth what Dr. Wolff is alleged to have done to constitute negligence . . . and the specialty of the expert that [SCI] conferred with.” Alternatively, SCI could submit in camera “the names of the experts, their specialties, their CV’s, specifically what each expert reviewed, and specifically their opinions.” On opposing counsel’s request, the trial judge added that she would like a copy of the “memorializing document” concerning conversations with consulted experts and, absent that, she wanted “the dates on which the conferrals were made.” [5] In response, on April 6th, 2001, SCI submitted a “supplemental designation” stating, “Dr. Wolff . . . provided a treatment and therapy regime to Plaintiff Brock Redden. . . . Dr. Wolff fell below the standard of care in that he should not have administered treatment, manipulation or diagnostic testing” in light of Redden’s numerous medical conditions. The supplemental designation continued:The below signed attorney consulted a person who has expertise in the area of the above alleged negligent conduct.
The professional who has been consulted has reviewed the known facts, including such records, documents, and other materials which the professional has found to be relevant (and currently available) to the allegations of negligent conduct and, based on the review of such facts, has concluded that the filing of this Non-Party at Fault designation does not lack substantial justification within the meaning of section 13-17-102(4).
The following discussion identifies facts and circumstances suggesting the causal correlation between chiropractic care and [Redden’s] carotid dissection.
[Redden’s] condition prior to the chiropractic care suggests that the chiropractic care was causally related to his stroke. . . .
. . . .
[6] SCI included three medical articles connecting stroke with chiropractic treatment and a “preliminary draft” report and substantial CV of one Dr. John Norris, a neurology and cerebrovascular disease specialist. The report is dated March 29th, 2001, and concludes:3. . . . It is just as likely that the severe jerking of a chiropractic manipulation could have caused a dissection or caused an aggravation of a dissection that would have otherwise healed on its own.
[7] Closing the submission, SCI’s counsel stated she would proffer additional expert testimony when the expert disclosures were due on April 30th, 2001. [8] To satisfy both of the trial court’s alternatives, SCI also provided a packet of information to the court for in camera review. That submission contained, among other things, the emergency room report noting that the stroke “is possibly related to his minor vehicle accident or manipulation by a chiropractor”; the report of Dr. Bryan Mahan, a cardiovascular and thoracic surgeon, who opined that the “visit to the chiropractor can result in the carotid dissections, particularly if rapid rotational forces are used to (correct) a cervical spinal lesion, as is commonly done”; and statements that counsel had “several discussions” with Dr. Norris “during the month of December, prior to [Redden’s] designation of Dr. Wolff.” Finally, SCI included several of Redden’s medical records. [9] On April 19th the trial court again ruled the designation deficient, stating:1. Under these circumstances even relatively modest chiropractor manipulation may tear the intima of the artery and so produce dissection. 2. In view of the timing and type of neck manipulation I believe that the chiropractic manipulation is the more probably [sic] factor though some partial role of the previous accident, cannot be excluded.
[10] After SCI’s supplemental submission, but before the trial court ruled, Redden had submitted a renewed motion to strike the designation. On April 27, 2001, SCI submitted a “Response to Plaintiff’s Renewed Motion to Strike and Motion for Reconsideration” in which SCI reasserted the legal arguments in support of the designation and also included, for the first time, an April 19th report by Dr. Blaine Fitzgerald, a chiropractor from South Carolina. Fitzgerald’s twelve-page report set forth a detailed analysis of Wolff’s failings in the treatment of Redden. It included several references to “standard of care” and alleged Wolff had clearly fallen below that standard. [11] On May 10, 2001, the court for the third time denied SCI’s designation. Without analysis, the judge determined that SCI had failed to establish “good cause” why she should allow the filing of the amended non-party designation or new certificate of review. Upon this ruling, SCI sought a rule to show cause under C.A.R. 21. We issued such rule, directing Redden to show cause why the trial court rulings were correct.Neither of the reviewing doctors (Norris or Mahan) is a chiropractor, as is Dr. Wolff. Neither of the reviewing doctors establishes what the standard of chiropractic care is, nor is there sufficient information presented from which the Court can conclude that they were qualified to so opine.
Neither of the reviewing doctors opines as to the specific conduct or omission of Dr. Wolff by which he was allegedly negligent. The standard of chiropractic care and breach thereof and is [sic] raised solely through arguments of counsel.
II.
[12] Colorado Appellate Rule 21 provides this court original jurisdiction to review whether a trial court abused its discretion in circumstances where a remedy on appeal would prove inadequate. Todd v. Bear ValleyVill. Apartments, 980 P.2d 973, 975 (Colo. 1999). Here, SCI argues that if the trial court erroneously precluded it from designating Wolff as a non-party defendant, then any outcome of the trial will be inherently flawed.
[14] Id. To satisfy these statutory requirements, the defendant in a case such as this must submit to the trial court, within ninety days of commencement of the action, four things: (1) the non-party’s name; (2) the non-party’s last-known address; (3) a brief statement of the basis for the non-party’s fault; and, (4) since a chiropractor is a licensed health care professional, a Certificate of Review under section 13-20-602, 5 C.R.S. (2001).Negligence or fault of a non-party may be considered . . . if the defending party gives notice . . . within ninety days following commencement of the action unless the court determines that a longer period is necessary. The notice shall be given by filing a pleading in the action designating such non-party and setting forth such non-party’s name and last-known address, . . . together with a brief statement of the basis for believing such non-party to be at fault. . . .
If the designated non-party is a licensed health care professional and the defendant designating such nonparty alleges professional negligence by such nonparty, the requirements and procedures of section 13-20-602 shall apply.
III.
[15] Because the first two requirements of the designation statute, name and address, are not in dispute, we begin by examining whether SCI satisfied the third statutory requirement: namely, a brief statement of the basis for fault. Within the ninety-day period required by the statute, SCI filed its first designation. That designation consisted of one paragraph indicating counsel’s belief that the chiropractic regimen Wolff performed on Redden was, at least in part, the cause of Redden’s stroke. The paragraph did not explain, nor attempt to explain, the basis for SCI’s contention that Wolff had breached a professional standard of care.
IV.
[22] We turn then to the second amended designation, with accompanying in camera materials. This designation made reference to “standard of care” and alleged that by treating Redden despite his abundant medical afflictions, Wolff had fallen below that standard. The submission set forth substantial alleged facts indicating Wolff “should not have administered” the treatment regimen. Again, however, the submission did not establish the standard of care. The trial court received no information indicating that, within the chiropractic profession, it is improper to treat a patient presenting symptoms like Redden’s. We recognize the designation statute requires only a “brief” statement, but that statement must show the non-party can be found legally at fault. The trial court correctly found that without first establishing the appropriate standard against which to judge Wolff’s conduct, a claim of professional negligence could not stand. Thus, even though SCI’s second submission went beyond mere causation, we conclude that it too failed to set out the elements of negligence or fault required by section 13-21-111.5(3)(b).
V.
[23] Furthermore, SCI was laboring under an additional requirement: the need for a certificate of review under section 13-20-602, because SCI alleged negligence against a professional:
[24] Id. (emphasis added). Thus, to fulfil the requirements of this statute, counsel must “declare,” (1) that he or she has consulted an expert, (2) that the expert both reviewed the relevant information and concluded that the claim does not lack “substantial justification” as defined elsewhere,[4] and (3) that the person consulted is competent and qualified to opine as to the negligent conduct alleged. [25] SCI’s first “Certificate of Review” was a mere one-paragraph statement that precisely mirrored section 13-20-602(3)(a)(I)-(II), 5 C.R.S. (2001). It failed to declare the competency of the expert consulted, as required by paragraph 602(3)(c). The trial court then correctly sought to verify the content of SCI’s certificate as allowed under paragraph 602(3)(b). SCI then made its second submission, including the identification of Dr. Norris, the doctor’s CV, and a statement that Norris was consulted at various times in December (prior to the first attempted designation). For in camera review, SCI also submitted, among other things, Dr. Mahan’s report and several medical articles. [26] The statute requires that the certificate of review state the competence of the expert to opine on the alleged negligent conduct. §13-20-602(3)(c). Nowhere does the statute require the consulted expert to be of precisely the same profession or specialty as the licensed professional against whom the charge is leveled, but paragraph 602(3)(c) does direct trial courts to examine the certificate to assure that it identifies the necessary expertise. The language, “competent to express an opinion as to the negligent conduct alleged,” precludes the use of an expert with only general knowledge in the field; rather, a proper expert has a firm grasp on the appropriate standards, techniques and practices within the profession or specialty about which he or she is opining.Melville v. Southward, 791 P.2d 383, 388 (Colo. 1990) (“Clearly, when a proper foundation establishes that the expert witness, by reasons of knowledge, skill, experience, training, or education, is so substantially familiar with the standard of care applicable to the defendant’s specialty as to assure the court that any opinion will be as well-informed as the opinion of an expert witness practicing the same specialty as the defendant, the expert witness should be permitted to offer an opinion on the standard of care and on whether the defendant conformed to or deviated from that standard.”); Stocynski v. Livermore, 782 P.2d 834, 836(3)(a) A certificate of review shall be executed by the attorney for the plaintiff or complainant declaring:
That the attorney has consulted a person who has expertise in the area of the alleged negligent conduct; and
(II) That the professional who has been consulted pursuant to subparagraph (I) of this paragraph (a) has reviewed the known facts, including such records, documents, and other materials which the professional has found to be relevant to the allegations of negligent conduct and, based on the review of such facts, has concluded that the filing of the claim, counterclaim, or cross claim does not lack substantial justification within the meaning of section 13-17-102(4).
(b) The court, in its discretion, may require the identity of the . . . licensed professional who was consulted pursuant to subparagraph (I) of paragraph (a) of this subsection (3) to be disclosed to the court and may verify the content of such certificate of review. . . .
(c) [I]n any action against any other professional . . . [the certificate of review shall declare] that the person consulted can demonstrate by competent evidence that, as a result of training, education, knowledge, and experience, the consultant is competent to express an opinion as to the negligent conduct alleged.
VI.
[30] We arrive now at the final, April 27 submission by SCI. This submission satisfied the statutory requirements on all substantive fronts; its only deficiency relates to timing. It arrived nearly six months after the statutory deadline, and twenty-one days after the court-ordered deadline of April 6. We assume, because the trial court noted in its order that SCI had failed to demonstrate “good cause” for the late filing, that she denied the last submission because it was tardy under section 13-20-602(1)(a). That section specifies a sixty-day deadline that can be extended if the court “determines that a longer period is necessary for good cause shown.” The non-party designation statute itself, section 13-21-111.5(3)(b), also has a deadline, ninety days, which the court may extend if it “determines that a longer period is necessary.”
VII.
[36] We therefore discharge the rule to show cause.
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