PAMELA BRISSON and DALLAS BRISSON
v.
KATHY A. SANTORIELLO, M.D., P.A., and KATHY A. SANTORIELLO, M.D.
On discretionary review pursuant to N.C.G.S. § 7A-31 of a
unanimous decision of the Court of Appeals, 134 N.C. App. 65, 516
S.E.2d 911 (1999), reversing and remanding a 9 February 1998
order for judgment on the pleadings entered by Hudson, J., in
Superior Court, Cumberland County, and a 26 February 1998 order
entered by Brewer, J., in Superior Court, Cumberland County,
denying a motion for relief from the earlier order. Heard in the
Supreme Court 15 February 2000.
Patterson, Dilthey, Clay & Bryson, L.L.P., by Charles
George, for plaintiff-appellees.
Yates, McLamb & Weyher, L.L.P., by Barry S. Cobb, for
defendant-appellants.
Fuller, Becton, Slifkin & Bell, P.A., by Charles L. Becton
and James C. Fuller, on behalf of North Carolina Academy of
Trial Lawyers, amicus curiae.
Cranfill, Sumner & Hartzog, L.L.P., by Kari R. Johnson, on
behalf of North Carolina Association of Defense Attorneys,
amicus curiae.
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan,
L.L.P., by James D. Blount, Jr., Michael W. Mitchell, and
James Y. Kerr, II, on behalf of North Carolina Medical
Society; and Manning, Fulton & Skinner, P.A., by John B.
McMillan, on behalf of North Carolina Citizens for Business
and Industry, amici curiae.
ORR, Justice.
This case arises out of a medical malpractice action filed
in Superior Court, Cumberland County, against Dr. Kathy A.Santoriello (Dr. Santoriello), an obstetrician-gynecologist
(OB-GYN) practicing in Fayetteville, North Carolina. Plaintiffs
Pamela Brisson and Dallas Brisson alleged negligence and loss of
consortium, seeking damages in excess of $10,000, plaintiffs'
costs, and attorneys' fees.
The facts relevant to this action are as follows. On
27 July 1994, Dr. Santoriello performed an abdominal hysterectomy
on plaintiff Pamela Brisson. Several months later, it was
discovered that plaintiff had an obstruction of her vaginal canal
that prevented her from having sexual intercourse. Subsequently,
on 3 June 1997, plaintiffs filed a complaint alleging negligence
and loss of consortium against defendants Kathy A. Santoriello,
M.D., P.A., and Kathy A. Santoriello, M.D., arising out of
defendant Santoriello's performance of the 27 July 1994 abdominal
hysterectomy. Plaintiffs alleged, Defendant Physician, through
Defendant P.A., performed said surgery negligently, in that
Defendant failed to exercise or possess that degree of skill,
care, and learning ordinarily exercised or possessed by the
average obstetrician/gynecologist, taking into account the
existing state of knowledge and practice in the profession.
Plaintiffs then claimed that defendants' negligence proximately
resulted in various severe and permanent physical injuries in
addition to plaintiff Dallas Brisson's loss of consortium from
the companionship of his wife, plaintiff Pamela Brisson.
On 22 August 1997, defendants filed a motion to dismiss the
case pursuant to Rules 9(j) and 12(b)(6) of the North Carolina
Rules of Civil Procedure, arguing that plaintiffs' complaint
failed to meet the requirements set forth in N.C. R. Civ. P. 9(j)and also failed to state a claim upon which relief can be granted
based on N.C. R. Civ. P. 12(b)(6).
Rule 9(j) explicitly sets out several requirements that a
party must meet when pleading a medical malpractice cause of
action. In pertinent part, this rule provides as follows:
(j) Medical malpractice. -- Any complaint alleging
medical malpractice by a health care provider as
defined in G.S. 90-21.11 in failing to comply with the
applicable standard of care under G.S. 90-21.12 shall
be dismissed unless:
(1) The pleading specifically asserts that the
medical care has been reviewed by a person
who is reasonably expected to qualify as an
expert witness under Rule 702 of the Rules of
Evidence and who is willing to testify that
the medical care did not comply with the
applicable standard of care[.]
N.C.G.S. § 1A-1, Rule 9(j)(1) (1999).
Defendants' motion to dismiss was based in part on
plaintiffs' failure to include, pursuant to Rule 9(j), a
certification in their complaint that plaintiffs had a medical
expert who was reasonably expected to qualify as an expert, had
reviewed plaintiff's medical care, and was willing to testify
that the medical care plaintiff received from defendant
Dr. Santoriello did not comply with the applicable standard of
care. On 30 September 1997, plaintiffs filed a motion to amend
their complaint, along with an attached copy of the proposed
amended complaint, claiming that a physician has reviewed the
subject medical care, but it was inadvertently omitted from the
pleading (see attached Affidavit of Counsel), and to not grant
leave to amend would unduly prejudice plaintiffs, by subjecting
her [sic] to a dismissal. Plaintiffs also moved, in the
alternative, to voluntarily dismiss their complaint without
prejudice pursuant to N.C. R. Civ. P. 41(a)(1). Following a hearing on defendants' motion to dismiss and
plaintiffs' motion to amend the complaint, Judge D.B. Herring
denied plaintiffs' motion to amend, but reserved ruling on
defendants' motion to dismiss. As a result, on 6 October 1997,
plaintiffs voluntarily dismissed their claims against defendants
Dr. Santoriello and Kathy Santoriello, M.D., P.A., pursuant to
Rule 41(a)(1).
Subsequently, on 9 October 1997, plaintiffs filed another
complaint in Superior Court, Cumberland County, that contained
essentially the same allegations as the original complaint,
except that the new complaint included the appropriate
certification required under Rule 9(j). On 20 October 1997,
defendants filed an answer and moved for judgment on the
pleadings, alleging that plaintiffs' claims were barred by the
applicable statutes of limitations and repose pursuant to
N.C.G.S. § 1-15(c).
After a hearing in January 1998, Judge Orlando Hudson
granted defendants' motion for judgment on the pleadings by order
entered 9 February 1998, stating specifically that the Court
holds that the complaint filed on June 3, 1997 does not extend
the statute of limitations in this case because it does not
comply with Rule 9(j) of the North Carolina Rules of Civil
Procedure. The instant complaint, filed on October 9, 1997, is
barred by the statute of limitations . . . .
Plaintiffs then filed two separate motions for relief under
N.C. R. Civ. P. 60(b) requesting relief from Judge Herring's
order denying plaintiffs' motion to amend their complaint and
Judge Hudson's order allowing defendants' motion for judgment onthe pleadings. On 26 February 1998, Judge Coy Brewer denied both
motions for relief.
Plaintiffs filed notice of appeal with the Court of Appeals,
seeking review of the 9 February 1998 order entered by Judge
Hudson. The Court of Appeals unanimously reversed Judge Hudson's
ruling allowing defendants' motion for judgment on the pleadings
and reinstated plaintiffs' causes of action. On 7 October 1999,
this Court granted defendants' petition for discretionary review.
We note at the outset that the Court of Appeals, in its
opinion, addressed at length the effects of plaintiffs' proposed
amended complaint. We find that plaintiffs' motion to amend,
which was denied, is neither dispositive nor relevant to the
outcome of this case. Whether the proposed amended complaint
related back to and superceded the original complaint has no
bearing on this case once plaintiffs took their voluntary
dismissal on 6 October 1997. It is well settled that [a] Rule
41(a) dismissal strips the trial court of authority to enter
further orders in the case, except as provided by Rule 41(d)[,]
which authorizes the court to enter specific orders apportioning
and taxing costs. Walker Frames v. Shively, 123 N.C. App. 643,
646, 473 S.E.2d 776, 778 (1996). '[T]he effect of a judgment of
voluntary [dismissal] is to leave the plaintiff exactly where he
[or she] was before the action was commenced.' Gibbs v.
Carolina Power & Light Co., 265 N.C. 459, 464, 144 S.E.2d 393,
398 (1965) (quoting 17 Am. Jur. Dismissal, Discontinuance, &
Nonsuit § 89, at 161 (1938). After a plaintiff takes a Rule
41(a) dismissal, [t]here is nothing the defendant can do to fan
the ashes of that action into life[,] and the court has no roleto play. Universidad Central Del Caribe, Inc. v. Liaison Comm.
on Med. Educ., 760 F.2d 14, 18 n.4 (1st Cir. 1985).
The only issue for us to review on appeal is whether
plaintiffs' voluntary dismissal pursuant to N.C. R. Civ. P.
41(a)(1) effectively extended the statute of limitations by
allowing plaintiffs to refile their complaint against defendants
within one year, even though the original complaint lacked a Rule
9(j) certification. We hold that it does.
Rule 41(a) provides, in pertinent part:
[A]n action or any claim therein may be dismissed by
the plaintiff without order of court (I) by filing a
notice of dismissal at any time before the plaintiff
rests his case . . . . If an action commenced within
the time prescribed therefor, or any claim therein, is
dismissed without prejudice under this subsection, a
new action based on the same claim may be commenced
within one year after such dismissal . . . .
N.C.G.S. § 1A-1, Rule 41(a)(1) (1999). [A] party always has the
time limit prescribed by the general statute of limitation and in
addition thereto they get the one year provided in Rule
41(a)(1). Whitehurst v. Virginia Dare Transport. Co., 19 N.C.
App. 352, 356, 198 S.E.2d 741, 743 (1973). If the action was
originally commenced within the period of the applicable statute
of limitations, it may be recommenced within one year after the
dismissal, even though the base period may have expired in the
interim. 2 Thomas J. Wilson, II & Jane M. Wilson, McIntosh
North Carolina Practice and Procedure § 1647, at 69 (Supp. 1970).
Thus, it is important to note that under Rule 41, a plaintiff may
dismiss an action that originally was filed within the statute
of limitations and then refile the action after the statute of
limitations ordinarily would have expired. Clark v. VisitingHealth Prof'ls, ___ N.C. App. ___, ___, 524 S.E.2d 605, 607
(2000).
Defendants argue that plaintiffs' claims were barred by the
applicable statute of limitations set out in N.C.G.S. § 1-15(c),
which provide that medical malpractice causes of action must be
brought within three years of the last allegedly negligent act of
the physician. Based on the facts before us, the applicable
statute of limitations began to run on 27 July 1994, the date
Dr. Santoriello performed Pamela Brisson's abdominal
hysterectomy. Plaintiffs filed their original complaint against
defendants on 3 June 1997, safely within the time period
prescribed by N.C.G.S. § 1-15(c). However, on 6 October 1997,
plaintiffs voluntary dismissed this action and, thus, were
granted one year within which to refile. Plaintiffs filed a
second complaint on 9 October 1997. Defendants contend that the
one-year saving provision allowed by Rule (41)(a)(1) did not
apply to plaintiffs' claims because plaintiffs' first complaint
failed to comply with the Rule 9 pleading requirements. Thus,
defendants reason, plaintiffs' causes of action were barred by
the statute of limitations.
The Court of Appeals held that plaintiffs were entitled to
the benefit of the Rule 41(a)(1) extension. Plaintiffs' second
complaint, therefore, was not barred by the statute of
limitations, and the trial court erred in entering judgment on
the pleadings in favor of defendants. Brisson v. Kathy A.
Santoriello, M.D., P.A., 134 N.C. App. 65, 72-73, 516 S.E.2d 911,
916 (1999). However, this decision rests on the erroneous
reasoning discussed above that plaintiffs' proposed amended
complaint related back to the original complaint. We agree withthe Court of Appeals' holding but differ, in part, in our
reasoning, finding it unnecessary to rely on the proposed amended
complaint.
This Court has repeatedly stated that [s]tatutes dealing
with the same subject matter must be construed in pari materia
and harmonized, if possible, to give effect to each. Board of
Adjust. v. Town of Swansboro, 334 N.C. 421, 427, 432 S.E.2d 310,
313 (1993). On these facts, we must look to our Rules of Civil
Procedure and construe Rule 9(j) along with Rule 41. Although
Rule 9(j) clearly requires a complainant of a medical malpractice
action to attach to the complaint specific verifications
regarding an expert witness, the rule does not expressly preclude
such complainant's right to utilize a Rule 41(a)(1) voluntary
dismissal. Had the legislature intended to prohibit plaintiffs
in medical malpractice actions from taking voluntary dismissals
where their complaint did not include a Rule 9(j) certification,
then it could have made such intention explicit. In this case,
the plain language of Rule 9(j) does not give rise to an
interpretation depriving plaintiffs of the one-year extension
pursuant to their Rule 41(a)(1) voluntary dismissal merely
because they failed to attach a Rule 9(j) certification to the
original complaint. [T]he absence of any express intent and the
strained interpretation necessary to reach the result urged upon
us by [defendants] indicate that such was not [the legislature's]
intent. Sheffield v. Consolidated Foods Corp., 302 N.C. 403,
425, 276 S.E.2d 422, 436 (1981).
Moreover, pursuant to Rule 41(b), a defendant may move for
an involuntary dismissal of an action if the plaintiff's
complaint fails to prosecute or to comply with these rules orany order of court. N.C.G.S. § 1A-1, Rule 41(b). Thus, this
evidences the legislature's intent, under a different subsection
of Rule 41, to subject a plaintiff's claim to an involuntary
dismissal based on a failure to comply with the applicable rules.
Had the trial court involuntarily dismissed plaintiffs' complaint
with prejudice pursuant to defendants' motion before plaintiffs
had taken the voluntary dismissal, then plaintiffs' claims set
forth in the second complaint would be barred by the statute of
limitations. Such was not the case here, however.
Defendants rely primarily on Estrada v. Burnham, 316 N.C.
318, 341 S.E.2d 538 (1986), in arguing that Rule 41(a)(1) applies
only to a timely filed complaint that conforms to the rules of
pleading set forth in the North Carolina Rules of Civil
Procedure. In their brief, defendants assert that this case was
barred by the statute of limitations unless the complaint in the
first lawsuit complied with Rule 9(j) at the time of its
dismissal.
The facts in Estrada are distinguishable from the facts of
this case. In Estrada, the plaintiff filed a medical malpractice
action the day before the expiration of the statute of
limitation; however, the complaint lacked allegations describing
the specific manner in which defendant was purportedly negligent.
Two minutes after the plaintiff filed the original complaint, the
plaintiff took a voluntary dismissal of the action under Rule
41(a)(1) and, almost one year later, filed a second complaint
against the same defendant alleging medical malpractice arising
out of the same surgery as the original complaint. The defendant
then filed a motion to dismiss based, in part, on the grounds
that the plaintiff's action was barred by the applicable statuteof limitations. In Estrada, the plaintiff's counsel admitted in
his briefs before the Court of Appeals and this Court that the
original 'lawsuit was filed with the intention of dismissing it
in order to avoid the lapse of the statute of limitations.' Id.
at 322, 341 S.E.2d at 541. This Court determined the issue
before it as follows:
The dispositive question is whether a plaintiff
may file a complaint within the time permitted by the
statute of limitations for the sole purpose of tolling
the statute of limitations, but with no intention of
pursuing the prosecution of the action, then
voluntarily dismiss the complaint and thereby gain an
additional year pursuant to Rule 41(a)(1).
Id. at 323, 341 S.E.2d at 542. We held that the plaintiff's
complaint was filed in bad faith, in violation of Rule 11(a) of
the North Carolina Rules of Civil Procedure, and thus, that the
complaint could not be used to extend the statute of limitations
pursuant to the one-year saving provision of Rule 41(a)(1).
Id.
In the case at bar, defendants cite as support this Court's
dicta in Estrada wherein we stated, [I]n order for a timely
filed complaint to toll the statute of limitations and provide
the basis for a one-year 'extension' by way of a Rule 41(a)(1)
voluntary dismissal without prejudice, the complaint must conform
in all respects to the rules of pleading. Id. However,
defendants here admit that plaintiffs did not file their initial
complaint in bad faith. Nonetheless, they contend that the
dicta in Estrada should extend to the facts of this case, and
thus, defendants argue, plaintiffs' second complaint should be
barred by the statute of limitations because of the initial
complaint's failure to comply with the 9(j) pleading
requirements. We find no merit to defendants' argument and holdthat plaintiffs were entitled to voluntarily dismiss their action
without prejudice.
We note that the language in Estrada upon which defendants
rely is mere dicta and not controlling in the disposition of the
case at bar. Further, Estrada cited no authority in support of
the proposition that the complaint must conform in all respects
to the rules of pleading in order to benefit from the one-year
extension. The literal interpretation of such a comprehensive
and unlimited statement could essentially eviscerate the
legislature's intent in creating the long-standing benefit of a
Rule 41(a)(1) voluntary dismissal one-year extension.
The Rule 41(a) voluntary dismissal has salvaged more
lawsuits than any other procedural device, giving the plaintiff a
second chance to present a viable case at trial. 2 G. Gray
Wilson, North Carolina Civil Procedure § 41-1, at 32 (2d ed.
1995). Many plaintiffs have used this rule to cure an
unforeseen defect in a claim that did not become apparent until
trial . . . . The rule also offers a safety net to plaintiff or
his counsel who are either unprepared or unwilling to proceed
with trial the first time the case is called. Id. at 33. The
purpose of our long-standing rule allowing a plaintiff to take a
voluntary dismissal and refile the claim within one year even
though the statute of limitations has run subsequent to a
plaintiff's filing of the original complaint is to provide a one-
time opportunity where the plaintiff, for whatever reason, does
not want to continue the suit. The range of reasons clearly
includes those circumstances in which the plaintiff fears
dismissal of the case for rule violations, shortcomings in the
pleadings, evidentiary failures, or any other of the myriadreasons for which the cause of action might fail. The only
limitations are that the dismissal not be done in bad faith and
that it be done prior to a trial court's ruling dismissing
plaintiff's claim or otherwise ruling against plaintiff at any
time prior to plaintiff resting his or her case at trial.
Therefore, we conclude that plaintiffs properly filed their
9 October 1997 complaint within the statute of limitations
pursuant to the Rule 41(a)(1) voluntary dismissal one-year
extension. Accordingly, the decision of the Court of Appeals, as
modified herein, is affirmed.
As to defendants' third issue on appeal, Does an amended
complaint which fails to allege that review of the medical care
in a medical malpractice action took place before the filing of
the original complaint satisfy the requirements of Rule 9(j) of
the North Carolina Rules of Civil Procedure? we hold that
discretionary review was improvidently allowed.
The dissent categorizes this decision as repugnant and a
complete evisceration of the malpractice statute of
limitations. This greatly overstates the practical ramifications
of the decision which merely harmonizes the provisions of Rules
9(j) and 41(a). A frivolous malpractice claim with no expert
witness pursuant to Rule 9(j) still meets the ultimate fate of
dismissal. Likewise, a meritorious complaint will not be
summarily dismissed without benefit of Rule 41(a)(1), simply
because of an error by plaintiffs' attorney in failing to attach
the required certificate to the complaint pursuant to Rule 9(j).
MODIFIED AND AFFIRMED IN PART; DISCRETIONARY REVIEW
IMPROVIDENTLY ALLOWED IN PART.
*** Converted from WordPerfect ***