Case Title: Cutting v. Down East Orthopedic Associates, P.A.

Citation: 

Docket Number: 2021 ME 1

State: maine

Court: Maine Supreme Court

Date: 2021-01-12T00:00:00Z

Document:
MAINE SUPREME JUDICIAL COURT 
Reporter of Decisions 
Decision: 
2021 ME 1 
Docket: 
Pen-20-115 
Argued: 
November 19, 2020 
Decided: 
January 12, 2021 
 
Panel: 
MEAD, GORMAN, JABAR, HUMPHREY, HORTON, and CONNORS, JJ. 
 
 
CAROL CUTTING 
 
v. 
 
DOWN EAST ORTHOPEDIC ASSOCIATES, P.A. 
 
 
MEAD, J. 
[¶1]  Down East Orthopedic Associates, P.A. (Down East) appeals from an 
order of the Superior Court (Penobscot County, Anderson, J.) denying its motion 
to dismiss Carol Cutting’s complaint for medical malpractice.  Down East urges 
us to accept this appeal pursuant to the judicial economy exception to the final 
judgment rule, and it contends that the court erred in determining that the 
complaint was not barred by the claim preclusion branch of res judicata.  
Because this case involves complex questions of interpretation of state and 
federal claim preclusion law and Down East has not demonstrated unique 
circumstances, we conclude that the appeal does not come within the judicial 
economy exception.  Accordingly, we dismiss the appeal. 
 
 
2 
I.  BACKGROUND 
[¶2]  The substantive facts are taken from the allegations in the complaint 
and viewed as if they were admitted, see Saunders v. Tisher, 2006 ME 94, ¶ 8, 
902 A.2d 830, and the procedural facts are drawn from the record.  On 
June 20, 2013, Cutting went to see a doctor at Down East to address right 
shoulder pain.  She informed the doctor that she had Tourette’s syndrome and 
experienced vocal and motor tics that included “occasional arm movements 
and pointing.”  During the visit, the doctor moved across the room to distance 
himself because of Cutting’s Tourette’s, stating, “I don’t want you to hit me.” 
[¶3]  The doctor gave Cutting a diagnosis and told her that he would 
perform certain procedures but did not state that her Tourette’s would affect 
his surgical approach.  During the process of gaining Cutting’s informed consent 
prior to surgery, providers at Down East did not discuss how her Tourette’s 
might affect her surgery, including that, if a rotator cuff tear was found, the 
doctor would not repair it because the surgery would be “guaranteed to fail” 
due to the motor tics caused by her Tourette’s.  On November 13, 2013, the 
doctor performed a debridement of Cutting’s shoulder area but did not repair 
the rotator cuff after discovering a tear.  Cutting continued to experience 
shoulder pain and sought treatment from different providers; she ultimately 
 
 
3 
underwent surgery to repair the rotator cuff in 2015 and other procedures in 
2018. 
[¶4]  In November 2016, Cutting filed a notice of claim against Down East 
in the Superior Court pursuant to the Maine Health Security Act (MHSA), see 
24 M.R.S. § 2853 (2020), asserting negligence for failure to obtain informed 
consent, failure to obtain an updated MRI, and failure to repair the rotator cuff.  
She further alleged that the doctor’s treatment of her violated the Americans 
with Disabilities Act (ADA), 42 U.S.C.S. §§ 12182-12213 (LEXIS through 
Pub. L. No. 116-259), and therefore amounted to a breach of the standard of 
care.  Also in November 2016, Cutting filed a lawsuit in the United States District 
Court for the District of Maine (the federal discrimination case) alleging 
disability discrimination pursuant to the ADA and a violation of the Maine 
Human Rights Act, 5 M.R.S. §§ 4571-4634 (2020), asserting that the doctor 
“treated her in a disrespectful, rude, and insulting manner”; did not tell her that 
his approach to surgery would differ from his ordinary approach; and refused 
to repair the rotator cuff, all because of her Tourette’s. 
[¶5]  In May 2018, the prelitigation screening panel issued its findings 
that Down East was not negligent.  See 24 M.R.S. § 2855 (2020).  Cutting then 
filed a medical malpractice case in federal court (the federal malpractice case) 
 
 
4 
asserting counts for failure to obtain informed consent and medical negligence 
and seeking a declaratory judgment that the panel proceedings violated her 
right to due process.  She asserted that the federal court had federal question 
and supplemental jurisdiction pursuant to 28 U.S.C.S. §§ 1331, 1367 (LEXIS 
through Pub. L. No. 116-252). 
[¶6]  Cutting simultaneously filed a motion in the federal discrimination 
case to either join the two federal cases or amend the discrimination complaint 
to add her medical malpractice claims.  In September 2018, after a conference 
among the federal court and the parties, the court issued an order stating that 
Cutting’s motion to join or amend “is withdrawn without prejudice” and 
allowing Cutting to renew the motion after the court ruled on Down East’s 
motion for summary judgment in the federal discrimination case and motion to 
dismiss in the federal malpractice case. 
[¶7]  On May 2, 2019, the federal court granted Down East’s motion for 
summary judgment and entered judgment in Down East’s favor in the federal 
discrimination case.  On the same day, by separate order, it granted Down East’s 
motion to dismiss the federal malpractice case for lack of subject matter 
jurisdiction.  Thereafter, on May 30, 2019, Cutting filed the complaint giving rise 
 
 
5 
to this appeal in the Superior Court (the state malpractice case), asserting the 
same causes of action as those in her federal malpractice case. 
[¶8]  Down East moved to dismiss the state malpractice case on, inter alia, 
claim preclusion grounds, arguing that Cutting litigated or could have litigated 
her medical malpractice claims in the federal discrimination case that was 
adjudicated on the merits.  Cutting opposed the motion and attached as exhibits 
the federal discrimination complaint, summary judgment order and judgment 
on the federal discrimination complaint, federal malpractice complaint, motion 
to join or amend, and order dismissing the federal malpractice complaint.1 
[¶9]  In March 2020, after a hearing, the Superior Court denied 
Down East’s motion to dismiss on claim preclusion grounds.  It determined that 
(1) Down East had failed to demonstrate that Cutting’s claims were or could 
have been litigated in the federal discrimination case; (2) Cutting could not 
have litigated her medical malpractice claims until after the panel proceedings 
were finished; (3) Cutting tried to bring the claim in federal court but it was 
dismissed for lack of subject matter jurisdiction; and (4) Cutting committed “no 
                                         
1  Notably, although the Superior Court considered “materials outside the pleadings, the 
proceeding was not transformed into a summary judgment proceeding because those materials were 
public records and their authenticity was not challenged.”  Estate of Treworgy v. Comm’r, Dep’t of 
Health and Hum. Servs., 2017 ME 179, ¶ 7 n.2, 169 A.3d 416. 
 
 
 
6 
procedural error or infirmity in proceeding as she did” in federal court.  
Down East timely appealed from the denial of its motion to dismiss on claim 
preclusion grounds.  See M.R. App. P. 2B(c)(1). 
II.  DISCUSSION 
 
[¶10]  Res judicata “is a court-made collection of rules designed to ensure 
that the same matter will not be litigated more than once.”  Machias Sav. Bank 
v. Ramsdell, 1997 ME 20, ¶ 11, 689 A.2d 595 (quotation marks omitted).  When 
a matter has been litigated in state court, the claim preclusion branch of 
res judicata “bars relitigation if: (1) the same parties or their privies are 
involved in both actions; (2) a valid final judgment was entered in the prior 
action; and (3) the matters presented for decision in the second action were, or 
might have been litigated in the first action.”  Id. (quotation marks omitted).  We 
apply a “transactional test” when considering the third factor,  
examining the aggregate of connected operative facts that can be 
handled together conveniently for purposes of trial to determine if 
they were founded upon the same transaction, arose out of the 
same nucleus of operative facts, and sought redress for essentially 
the same basic wrong.  In such circumstances, the newly pleaded 
claim is precluded even if the latest suit relies on a legal theory not 
advanced in the first case, seeks different relief than that sought in 
the first case, or involves evidence different from the evidence 
relevant to the first case.  Claim preclusion does not, however, 
apply when a court reserves a party’s right to maintain a second 
action, as happens when a court dismisses a claim without 
prejudice.  
 
 
7 
 
Norton v. Town of Long Island, 2005 ME 109, ¶ 18, 883 A.2d 889 (citations and 
quotation marks omitted). 
 
[¶11]  However, “[i]n determining the preclusive effect of a federal court 
judgment, federal law controls.”  Estate of Treworgy v. Comm’r, Dep’t of Health 
and Hum. Servs., 2017 ME 179, ¶ 11, 169 A.3d 416 (quotation marks omitted).  
Pursuant to federal law, “a final judgment on the merits of an action precludes 
the parties or their privies from relitigating claims that were raised or could 
have been raised in that action.” Breneman v. United States ex rel. FAA, 
381 F.3d 33, 38 (1st Cir. 2004) (quotation marks omitted).  The elements of 
claim preclusion in federal courts are “(1) a final judgment on the merits in an 
earlier proceeding, (2) sufficient identicality between the causes of action 
asserted in the earlier and later suits, and (3) sufficient identicality between the 
parties in the two actions.”  Id. (quotation marks omitted).  Causes of action are 
considered identical “if both sets of claims . . . derive from a common nucleus of 
operative facts.”  Id. (quotation marks omitted); see Brown v. Osier, 
628 A.2d 125, 127-29 (Me. 1993) (applying the federal standard).  More 
specifically, “if [the claims asserted in two lawsuits] were founded upon the 
same transaction, arose out of the same nucleus of operative facts, and sought 
redress for essentially the same basic wrong, the two suits advanced the same 
 
 
8 
cause of action notwithstanding any differences in remedies sought or theories 
of recovery pleaded.”  Kale v. Combined Ins. Co. of Am., 924 F.2d 1161, 1166 
(1st Cir. 1991).  But see id. at 1167 (“In general, the rule requiring all claims 
arising from a single cause of action to be asserted in a single lawsuit will not 
apply if the plaintiff was unable to assert a particular claim or theory in the 
original case because of the limitations on the subject matter jurisdiction of the 
courts.” (quotation marks omitted)). 
 
[¶12]  It is unclear, considering the facts and the current posture of this 
case, whether claim preclusion bars Cutting’s state malpractice case.  
Down East asserts that federal claim preclusion law clearly bars Cutting’s state 
malpractice action because her claims in both the federal discrimination case 
and the state malpractice case arise from the same facts.  That is, Down East 
contends that the mere fact that Cutting’s malpractice causes of action arise 
from the same events—and therefore the same “nucleus of operative facts,” 
Breneman, 381 F.3d at 38 (quotation marks omitted)—that formed the basis 
for her federal discrimination claims precludes her state malpractice case. 
 
[¶13]  For her part, Cutting contends that her state malpractice claims are 
not precluded, even though they arose from the same nucleus of facts, because 
she could not have litigated them in the federal discrimination case considering 
 
 
9 
that (1) she had to first proceed through the prelitigation screening panel 
process in accordance with the MHSA and (2) when she attempted to litigate 
her malpractice claims in the federal court those efforts were blocked.  
Consequently, to decide the merits of this appeal, we would be called upon to 
decide the complicated questions of how state and federal claim preclusion law 
operate under the particular facts of this case, how the MHSA interacts with 
that law, and whether Cutting’s claims should be precluded under the 
governing law. 
 
[¶14]  This brings us to the threshold issue: whether we should reach the 
merits of this interlocutory appeal in the first instance.  “The denial of a motion 
to dismiss is not a final judgment, and ordinarily we would dismiss the appeal 
from the denial as an interlocutory appeal.”  Salerno v. Spectrum Med. Grp., P.A., 
2019 ME 139, ¶ 7, 215 A.3d 804 (quotation marks omitted). 
 
[¶15]  The final judgment rule is a judicially-created doctrine that 
“promotes judicial economy and curtails interruption, delay, duplication and 
harassment.”  Dep't of Hum. Servs. v. Lowatchie, 569 A.2d 197, 199 (Me. 1990) 
(quotation marks omitted).  We will apply an exception and reach the merits of 
an interlocutory appeal where application of the rule “would not further its 
purpose.”  Id. 
 
 
10 
 
[¶16]  Down East relies primarily on the judicial economy exception to 
the final judgment rule in arguing that we should reach the merits.2  This 
exception “may be invoked in those rare cases in which appellate review of a 
non-final order can establish a final, or practically final, disposition of the entire 
litigation . . . [and] the interests of justice require that an immediate review be 
undertaken.”  Town of Minot v. Starbird, 2012 ME 25, ¶ 9, 39 A.3d 897 
(quotation marks omitted). 
 
[¶17]  “We generally construe the exception’s first requirement 
narrowly.”  Forest Ecology Network v. Land Use Regul. Comm’n, 2012 ME 36, 
¶ 18, 39 A.3d 74.  We do not “entertain as a matter of course all interlocutory 
appeals from rulings concerning res judicata or other affirmative defenses.  
On the contrary, we will review such appeals only in those situations in which 
the application of an affirmative defense is clear and an immediate review is 
necessary to promote judicial economy.”  Norton v. Town of Long Island, 
2003 ME 25, ¶¶ 7-8, 816 A.2d 59 (citations and quotation marks omitted).  
Indeed, in Norton, where “th[e] appeal present[ed] complicated questions 
concerning res judicata’s applicability,” we declined to review the merits of the 
                                         
2  Down East briefly asserts that the death knell and collateral order exceptions also apply.  We 
conclude that these bare assertions are without merit and do not warrant further discussion.  See 
Bruesewitz v. Grant, 2007 ME 13, ¶¶ 7-8, 912 A.2d 1255 (reiterating the requirements for each 
exception to apply). 
 
 
11 
appeal.  Id. ¶ 9; see also Porrazzo v. Karofsky, 1998 ME 182, ¶ 6, 714 A.2d 826 
(declining to apply the judicial economy exception where the appeal “would 
[have] require[d] us to resolve complex legal issues involving conflict-of-law 
principles and the law of both Rhode Island and Massachusetts”); Dep’t of Hum. 
Servs. v. Hart, 639 A.2d 107, 107-08 (Me. 1994) (dismissing an interlocutory 
appeal “because we ha[d] not yet resolved the question whether res judicata 
would apply in the circumstances of th[e] case”). 
 
[¶18]  “Generally, we invoke the judicial economy exception when there 
are particularly unique circumstances in the history of a case such as 
exceedingly long litigation, multiple pending proceedings involving the same 
party, or litigation subject to inordinate delay.”  Quirion v. Veilleux, 2013 ME 50, 
¶ 9, 65 A.3d 1287 (alteration and quotation marks omitted); see also Liberty v. 
Bennett, 2012 ME 81, ¶ 22, 46 A.3d 1141 (collecting cases exemplifying 
“[p]articularly unique circumstances”).  Thus, we will reach the merits of the 
case when a decision could end the litigation and there is some additional 
reason to accept the appeal.  See, e.g., Forest Ecology Network, 2012 ME 36, ¶ 23, 
39 A.3d 74 (applying the judicial economy exception because “the denial of 
appellate review could result in unnecessary judicial interference with an 
extensive rulemaking process by an Executive Branch agency, thus burdening 
 
 
12 
the separation of powers,” coupled with the “unprecedented and far-reaching 
effects of [the agency action] and the potential waste of extensive agency 
resources”); Town of Minot, 2012 ME 25, ¶¶ 9-10, 13, 39 A.3d 897 (reviewing 
the merits of an interlocutory appeal regarding the legal issue of whether the 
term “right-of-way” included a public easement because a decision, regardless 
of what the decision was, would dispose of the litigation and the case presented 
“unique and peculiar circumstances”). 
 
[¶19]  Down East has not convinced us that this is the rare case that 
warrants the application of the judicial economy exception.  Far from being a 
clear application of claim preclusion, see Norton, 2003 ME 25, ¶¶ 7-9, 
816 A.2d 59, this appeal would require us to undertake a complex application 
of state and federal laws to the facts presented in order to determine whether 
Cutting’s malpractice claims are precluded. 
 
[¶20]  Accordingly, we decline to accept this appeal pursuant to the 
judicial economy exception and dismiss it.  See Salerno, 2019 ME 139, ¶ 7, 
215 A.3d 804; Norton, 2003 ME 25, ¶¶ 7-9, 816 A.2d 59. 
The entry is: 
 
Appeal dismissed. 
 
 
 
 
 
 
 
 
 
 
 
13 
Russell B. Pierce, Jr., Esq. (orally), Norman, Hanson & DeTroy, LLC, Portland, for 
appellant Down East Orthopedic Associates, P.A. 
 
Laura H. White, Esq. (orally), White & Quinlan, LLC, Kennebunk, for appellee 
Carol Cutting 
 
 
Penobscot County Superior Court docket number CV-2016-192 
FOR CLERK REFERENCE ONLY