v.
Sundersansan Sambandam, M.D.
Supreme Court
No. 2022-22-M.P. (PC 16-4767)
(Dissent begins on Page 21) Patricia Noonan, individually and in : her capacity as Executrix of and on behalf of the beneficiaries of the Estate of William J. Noonan, et al. v. : Sundersansan Sambandam, M.D. :
NOTICE: This opinion is subject to formal revision before publication in the Rhode Island Reporter. Readers are requested to notify the Opinion Analyst, Supreme Court of Rhode Island, 250 Benefit Street, Providence, Rhode Island 02903, at Telephone (401) 222-3258 or Email: [email protected], of any typographical or other formal errors in order that corrections may be made before the opinion is published. Supreme Court No. 2022-22-M.P. (PC 16-4767) (Dissent begins on Page 21) Patricia Noonan, individually and in : her capacity as Executrix of and on behalf of the beneficiaries of the Estate of William J. Noonan, et al. v. : Sundersansan Sambandam, M.D. : Present: Suttell, C.J., Goldberg, Robinson, Lynch Prata, and Long, JJ. OPINION Justice Goldberg, for the Court. This case came before the Supreme Court on May 17, 2023, pursuant to a writ of certiorari issued upon petition by the plaintiffs, Patricia Noonan, individually and in her capacity as Executrix of and on behalf of the beneficiaries of the Estate of William J. Noonan, Linda Byrne, Terri Pare, Karen LeCam, and Steven Noonan (plaintiffs). The plaintiffs seek review of an order of the Superior Court granting the motion of the defendant, Sundaresan T. Sambandam, M.D. (defendant),1 to compel production of a complete, unredacted 1 We pause to note that there is an inconsistency in the record regarding the spelling of the defendant’s first name.
[*1]copy of the settlement agreement between the plaintiffs and the former codefendants who settled plaintiffs’ claims. The plaintiffs assert that the trial justice abused her discretion in granting the motion because the amount paid in accordance with the settlement agreement is not discoverable pursuant to Rule 26(b)(1) of the Superior Court Rules of Civil Procedure. The parties were directed to appear and show cause why the issues raised in this case should not be summarily decided. After considering the parties’ written and oral submissions and reviewing the record, we conclude that cause has not been shown and that this case may be decided without further briefing or argument. For the reasons stated herein, we quash the decision of the Superior Court.
Facts and Travel
This is a medical malpractice case arising out of treatment provided to William Noonan by defendants, Rhode Island Hospital, Barry Sharaf, M.D., Philip Stockwell, M.D., Nazia Khan, M.D., Peter B. Rintels, M.D. (collectively referred to as the settling codefendants), and Dr. Sambandam. Mr. Noonan was a patient at Rhode Island Hospital in June 2015; he received treatment for aplastic anemia, a blood disorder. While at the hospital, after receiving anticoagulant medication, Mr. Noonan suffered an intracranial hemorrhage and died.
Mr. Noonan’s wife, Patricia Noonan, was appointed to serve as the executrix of his estate. On October 12, 2016, Mrs. Noonan initiated the instant action by filing a complaint in the Superior Court. The operative complaint, the second amended complaint, sets forth thirteen counts: negligence against each defendant (counts one through six), lack of informed consent against each defendant (counts seven through twelve), and one count of loss of consortium, companionship, and society (count thirteen). Each defendant filed an answer and discovery ensued.
[*2]The plaintiffs then settled their claims with all defendants except for Dr. Sambandam; stipulations dismissing plaintiffs’ claims against the settling codefendants entered on March 26, 2020. Doctor Sambandam, the sole remaining defendant, filed a supplemental request for production of documents in which he sought a “complete copy of any and all documents and related materials regarding plaintiffs’ settlement of claims with any and all co-defendants. This includes a complete copy of any release and dismissal stipulation.” The defendant did not reference Rule 26 in his production request. The plaintiffs objected to the extent that the request sought “the settlement amount,” asserting that the amount was “not reasonably calculated to lead to the discovery of admissible evidence * * *.” Notwithstanding this objection, plaintiffs attached a redacted copy of the settlement agreement, excluding only the settlement amount.
The defendant then filed a motion to compel “the complete, unredacted [r]elease/settlement agreement regarding the settlement of [p]laintiffs’ claims with the former co-defendants.” Although defendant did not specifically reference Rule 26, he asserted that the “requested information [was] necessary to and discoverable by [him] pursuant to Rhode Island and federal law.” He argued that he “must know the amount which will be set off from any potential recovery by [p]laintiffs against [him]” pursuant to G.L. 1956 § 10-6-7 of the Uniform Contribution Among Tortfeasors Act. The defendant asserted that “the amount of consideration paid by the settling co-defendants is critical for an evaluation of potential damages prior to trial.” The plaintiffs objected and argued that the amount of the settlement was not discoverable because it was not likely to lead to the discovery of admissible evidence.
[*3]A hearing was held on November 4, 2021, during which plaintiffs argued that “the agreement amount is irrelevant to the determination of liability and, therefore, it’s not discoverable documentation at this point.” The plaintiffs further argued that the amount provided for in the settlement agreement was “not going to lead to the discovery of admissible evidence which is the standard.” The trial justice concluded that the settlement amount was discoverable and explained that “there’s no basis whatsoever for refusing to give the settlement agreement.” The trial justice opined that plaintiffs were “confusing admissibility with discoverability. It’s very clear that it’s discoverable. It’s not admissible.” Accordingly, the trial justice granted defendant’s motion to compel. An order reflecting this decision entered thereafter, instructing plaintiffs to produce “a complete, unredacted copy of any and all settlement agreements/releases” between plaintiffs and the settling codefendants.
[*4]On December 2, 2021, defendant moved for a conditional order of dismissal due to plaintiffs’ failure to comply with the order. The plaintiffs objected and a hearing was held on December 16, 2021, after which a different justice of the Superior Court granted the motion. A conditional order of dismissal entered on December 29, 2021. This petition for a writ of certiorari followed.
Standard of Review
“It is well settled that this Court limits its review on certiorari ‘to examining the record to determine if an error of law has been committed.’” Nickerson v. Reitsma, 853 A.2d 1202, 1205 (R.I. 2004) (quoting City of Providence v. S & J 351, Inc., 693 A.2d 665, 667 (R.I. 1997)). “We do not weigh the evidence on certiorari, but only conduct our review to examine questions of law raised in the petition.” Malachowski v. State, 877 A.2d 649, 653 (R.I. 2005) (quoting Jeff Anthony Properties v. Zoning Board of Review of North Providence, 853 A.2d 1226, 1229 (R.I. 2004)).
“[W]ith respect to determining the scope of Rule 26, we have repeatedly employed a de novo standard of review.” DeCurtis v. Visconti, Boren & Campbell, Ltd., 152 A.3d 413, 421 (R.I. 2017) (quoting Cashman Equipment Corp., Inc. v. Cardi Corp., Inc., 139 A.3d 379, 381 (R.I. 2016)). “However, ‘[i]n granting or denying discovery motions, a Superior Court justice has broad discretion,’ which ‘this Court will not disturb * * * save for an abuse of that discretion.’” State v. Lead Industries Association, Inc., 64 A.3d 1183, 1191 (R.I. 2013) (quoting Colvin v. Lekas, 731 A.2d 718, 720 (R.I. 1999)).
[*5]Analysis
The sole issue in this case is whether a nonsettling defendant may compel the disclosure of the amount of a settlement agreement reached between plaintiffs and the settling codefendants—an issue not yet addressed by this Court.2
The plaintiffs claim that the amount set forth in the settlement agreement is not discoverable pursuant to Rule 26(b)(1) and therefore the trial justice abused her discretion in granting defendant’s motion to compel plaintiffs to produce a complete, unredacted copy of the agreement. The plaintiffs assert that the amount set forth in the agreement is not discoverable because it is not admissible evidence at trial in
2 The United States Supreme Court also has not addressed this issue and there exists a split of viewpoint among jurisdictions that have reached it. Compare Blount v. Major, No. 4:15 CV 322 DDN, 2016 WL 6441597, at *3 (E.D. Mo. Nov. 1, 2016) (holding that certain portions of a settlement agreement, including amounts paid, were discoverable), Gaedeke Holdings VII, Ltd. v. Mills, No. CIV-11-649-M, 2015 WL 3440222, at *2 (W.D. Okla. May 27, 2015), Tanner v. Johnston, No. 2:11-CV- 00028-TS-DBP, 2013 WL 121158, at *5 (D. Utah Jan. 8, 2013), Carl E. Woodward, LLC v. Travelers Indemnity Company of Connecticut, No. 1:09CV781-LG-RHW, 2011 WL 13127845, at *1 (S.D. Miss. Jan. 19, 2011), and Bennett v. La Pere, 112 F.R.D. 136, 141 (D.R.I. 1986), with Moi v. Chihuly Studio, Inc., 846 F. App’x 497, 500 (9th Cir. 2021) (affirming a district court’s decision to preclude discovery of a settlement agreement), Doe v. Methacton School District, 164 F.R.D. 175, 176-77 (E.D. Pa. 1995), Lesal Interiors, Inc. v. Resolution Trust Corporation, 153 F.R.D. 552, 564 (D.N.J. 1994), Kalinauskas v. Wong, 151 F.R.D. 363, 367 (D. Nev. 1993), and Bottaro v. Hatton Associates, 96 F.R.D. 158, 159-60 (E.D.N.Y. 1982).
[*6]accordance with Rule 408 of the Rhode Island Rules of Evidence, nor is it “reasonably calculated to lead to the discovery of admissible evidence * * *.” According to plaintiffs, “[t]he settlement amount sought has no relevancy in determining whether [defendant] is liable to [plaintiffs]. The information sought is not relevant until after a damages verdict is rendered in [plaintiffs’] favor and a factfinder determines [defendant] is a joint tortfeasor with the settling defendants.” We agree with plaintiffs.
At the outset, we pause to note that, in granting defendant’s motion to compel production of the settlement amount, the trial justice provided no reasoning as to her decision. This was error. See Fisher v. Lau, 291 A.3d 1261, 1262 (R.I. 2023) (mem.) (explaining that “[t]he trial justice’s decision [was] devoid of any meaningful analysis” and, as a result, “our examination of the record and decision [was] hampered by this vacuum”); see also State v. Gibson, 291 A.3d 525, 544 (R.I. 2023) (“In providing a rationale for a decision, however, the trial justice need not refer to all the evidence supporting the decision but need only cite evidence sufficient to allow this Court to discern whether the justice has applied the appropriate standards.”) (quoting State v. Franco, 225 A.3d 623, 631 (R.I. 2020)); Fitzpatrick v. Pare, 552 A.2d 1185, 1186 (R.I. 1989) (holding that the Court was “unable to reach the merits of the petitioner’s contentions” because the “District Court’s decision * * * [was] devoid of any supportive reasoning[,]” therefore “making intelligent appellate review impossible” and requiring remand to the District Court with direction for the trial judge to “create a record and state the factual and legal determinations supportive of his decision”). We nonetheless address plaintiffs’ claim because we are presented solely with a question of law, which we review de novo. See DeCurtis, 152 A.3d at 421.
[*7]“The provisions of the Superior Court Rules of Civil Procedure pertaining to discovery generally are liberal, and are designed to promote broad discovery among parties during the pretrial phase of litigation.” DeCurtis, 152 A.3d at 420 (quoting Henderson v. Newport County Regional Young Men’s Christian Association, 966 A.2d 1242, 1246 (R.I. 2009)). “The philosophy underlying modern discovery is that prior to trial, all data relevant to the pending controversy should be disclosed unless the data is privileged.” Id. at 421 (quoting Cabral v. Arruda, 556 A.2d 47, 48 (R.I. 1989)).
The scope and limits of pretrial discovery are clearly set forth in Rule 26(b)(1), which provides, in pertinent part:
“Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any documents, electronically stored information, or tangible things and the identity and location of persons having knowledge of any discoverable matter. It is not ground for objection that the information sought will be inadmissible at the trial if the information sought appears reasonably calculated to lead to the discovery of admissible evidence.” Thus, if the information sought is inadmissible at trial, “Rule 26(b)(1) requires * * * that the materials sought be ‘reasonably calculated to lead to the discovery of admissible evidence.’” DeCurtis, 152 A.3d at 420 (emphasis omitted); see also Nye v. Town of Westerly, 668 A.2d 1267, 1268 (R.I. 1995) (mem.) (explaining that items sought in discovery production request were not discoverable because they were “not relevant evidence nor [were] they ‘reasonably calculated to lead to the discovery of admissible evidence’”) (quoting Super. R. Civ. P. 26(b)(1)).
[*8]In the case at hand, the settlement agreement and amount therein is flatly inadmissible at trial to prove plaintiffs’ claims, pursuant to Rule 408 of the Rhode Island Rules of Evidence. Rule 408 provides in part:
“Evidence of (1) furnishing or offering or promising to furnish, or (2) accepting or offering or promising to accept, a valuable consideration in compromising or attempting to compromise a claim which was disputed as to either validity or amount, is not admissible to prove liability for or invalidity of the claim or its amount. Evidence of conduct or statements made in compromise negotiations is likewise not admissible. This rule does not require the exclusion of any evidence otherwise discoverable merely because it is presented in the course of compromise negotiations. This rule also does not require exclusion when the evidence is offered for another purpose, such as proving bias or prejudice of a witness, negativing a contention of undue delay, or proving an effort to obstruct a criminal investigation or prosecution.” In other words, “Rhode Island law recognizes that offers to compromise and evidence of settlement negotiations generally are not admissible into evidence.” Votolato v. Merandi, 747 A.2d 455, 461 (R.I. 2000). This Court has opined that “unless evidence of a settlement is relevant to some issue, other than the quantum of damages, a trial justice is instructed to bar the admission of such evidence and subsequently to make the appropriate reduction in any jury award rendered in favor of the plaintiff.” Id. at 462. We have adopted this rule of law because the “[e]xclusion of such evidence facilitates an atmosphere of compromise among the parties and promotes alternatives to litigation.” Id. at 461. “Further, it is well settled that such evidentiary protection extends to settlements reached between plaintiffs and third party tortfeasors.” Id.
[*9]The defendant does not contend that the settlement amount would be admissible at trial.[3] Accordingly, it must be “reasonably calculated to lead to the discovery of admissible evidence.” DeCurtis, 152 A.3d at 420 (emphasis omitted).
The defendant argues that he “must be apprised of the amount which may be set off from any potential recovery” by plaintiffs against him. We are not persuaded.