Government Code
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 Code of Civil Procedure, that Hope DiCampli-Mintz will file suit against you for damages resulting from the personal injury of Hope DiCampli-Mintz." Code of Civil Procedure section 364 requires that a plaintiff give notice of an intent to sue to a health care provider 90 days before filing a negligence action.
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.
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 Government Code §§ 910.8, 911, 911.3, and therefore waived any defenses they may have had to the sufficiency of Plaintiff's claim (Notice of Intention to Commence Action) as presented.'"
On August 29, 2007, the County
The County filed a motion for summary judgment, alleging that plaintiff failed to comply with the Government Claims Act because her claim was never presented to or received by a statutorily designated recipient as required by section 915. In opposition, plaintiff argued that she had "substantially complied" with the Government Claims Act on April 3, 2007, by delivering the letter of intent to the Risk Management Department at VMC. She also alleged that the letter was received by the Santa Clara County Risk Management Department by April 6, 2007, and that this department was the county department most directly involved with the processing and defense of tort claims against the County.
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 Government Claims Act. The Court of Appeal rejected other Court of Appeal cases holding that compliance is deemed satisfied only by actual receipt by the statutorily designated persons, under section 915(e)(1).
Section 915(a) provides, "A claim ... shall be presented to a local public entity by either of the following means: [¶] (1) Delivering it to the clerk, secretary or auditor thereof. [¶] (2) Mailing it to the clerk, secretary, auditor, or to the governing body at its principal office." Section 915(e)(1) clearly and narrowly sets forth how actual receipt may meet the presentation requirement: "A claim ... shall be deemed to have been presented in compliance with this section even though it is not delivered or mailed as provided in this section if, within the time prescribed for presentation thereof, any of the following apply: [¶] (1) It is actually received by the clerk, secretary, auditor or board of the local public entity." (Italics added.)
A goal of the Government Claims Act is to eliminate confusion and uncertainty resulting from different claims procedures. (Recommendation Relating to Sovereign Immunity (Jan. 1963) 4 Cal. Law Revision Com. Rep. (1963) p. 1008.) As we pointed out in City of Stockton, supra, 42 Cal.4th at
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 section 915(a). The case stands or falls on whether presentation of plaintiff's letter of intention to someone other than the statute's designated recipients or the actual receipt of notice by a proper recipient, satisfies the prefiling claim requirement.
It is uncontested that the claim was never delivered or mailed to the "clerk, secretary or auditor" as required by section 915(a). Likewise, the "clerk, secretary, auditor or board" never actually received the claim. (§ 915(e)(1).) Thus, neither section 915(a)'s specific requirements for compliance, nor
The Court of Appeal erred by failing to adhere to the plain language of section 915. Instead, it rewrote the statute to read as the court believed it should provide.
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 section 915.
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 [107 Cal.Rptr. 496] (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 California's 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 Government Claims Act. (Jamison, at p. 515.) At the time, section 915, subdivision (c), a prior version of section 915(e), required that notice be filed with the State Board of Control and Jamison had failed to do so. (Jamison, at pp. 515-516.) The Court of Appeal concluded Jamison had substantially complied with the existing statute. It noted that most claim statute cases dealt with "substantial compliance" in disputes over whether the contents or form of the claim was adequate, not whether the filing was properly presented. (Id. at p. 516.) It then reviewed the few California cases involving "the question of filing a proper claim with the wrong governmental department or agency." (Ibid.)
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 [58 Cal.Rptr. 763], 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
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 [255 N.E.2d 225]) 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 section 915 would have occurred only if the misdirected claim was "`actually received by the clerk, secretary, auditor or board of the local public entity ....'" (Life, at p. 900.)
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 section 915. (Del Real, supra, 95 Cal.App.4th at p. 770.) In rejecting Del Real's argument, the Fourth District Court of Appeal stated, "we have reconsidered our earlier decision in Jamison and, as did the court in Life v. County of Los Angeles, supra, 227 Cal.App.3d at pages 900-901, we find that it is at odds with section 915, subdivision (c). We therefore decline to follow it." (Ibid.) We agree with the holdings in Life and Del Real. Their application of the compliance doctrine is consistent with the language of section 915(e)(1) requiring actual receipt by the statutorily designated recipient. Jamison is unpersuasive because it fails to follow the statutory language specifically identifying who must actually receive a claim. Finding compliance when any agency employee is served exponentially expands the scope of the statute. By placing a duty on a public employee who receives a misdirected claim to forward it to the proper agency, Jamison improperly shifted the responsibility for presenting a claim from the claimant to the public entity. (See §§ 910, 915.)
The Court of Appeal below further relied on cases decided before the enactment of section 915 or its predecessor, section 714.
The Court of Appeal also erred by relying on Elias v. San Bernardino County Flood Control Dist. (1977) 68 Cal.App.3d 70, 75 [135 Cal.Rptr. 621], and Carlino v. Los Angeles County Flood Control Dist. (1992) 10 Cal.App.4th 1526, 1533 [13 Cal.Rptr.2d 437]. 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.
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.
The "Santa Clara County Risk Management Department" is a department within the County's Employee Services Agency and deals with legal claims against the County. The "Risk Management Department at the Valley Health Center Clinic at VMC" is responsible for such things as the hospital's quality assurance and its compliance with regulatory matters. For reasons set forth below, any differences are irrelevant because plaintiff failed to properly present her letter to a statutorily designated person, nor did any such designee actually receive the letter. (§ 915(a) & (e).)
Plaintiff also cites numerous out-of-state cases. (Finnie v. Jefferson County School Dist. (Colo. 2003) 79 P.3d 1253; Robinson v. Washington County (Me. 1987) 529 A.2d 1357; Hansen v. City of Laurel (2010) 193 Md.App. 80 [996 A.2d 882, 891]; Kelly v. City of Rochester (1975) 304 Minn. 328 [231 N.W.2d 275, 276]; Kirkpatrick v. City of Glendale (Mo.Ct.App. 2003) 99 S.W.3d 57; Ferrer v. Jackson County Bd. of Supervisors (Miss. 1999) 741 So.2d 216; Myears v. Charles Mix County (1997) 1997 SD 89 [566 N.W.2d 470]; Mount v. City of Vermillion (S.D. 1977) 250 N.W.2d 686.)
We find these authorities unpersuasive. Neither the Court of Appeal nor plaintiff explains how the claim statutes at issue in these cases were consistent with California's Government Claims Act.