Darrell Johnson et al. v. Rockwell Automation, Inc. et al.
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Cite as 2009 Ark. 241
SUPREME COURT OF ARKANSAS
No.
08-1009
DARRELL JOHNSON & A. JAN
TH O M AS, JR ., BAN KR U PTC Y
TRUSTEE IN THE MATTER OF
DARRELL W. JOHNSON AND JANET
K. JOHNSON, DEBTORS,
PETITIONERS,
Opinion Delivered
April 30, 2009
CERTIFIED QUESTIONS OF LAW
FR O M T H E U N IT ED ST A T ES
D IST R IC T C O U R T FO R TH E
EASTERN DISTRICT OF ARKANSAS
VS.
HON. J. LEON HOLMES, JUDGE,
ROCKWELL AUTOMATION, INC.;
C O N SO LIDATED ELEC TR ICAL
D IST R IB U T O R S, IN C ., D /B /A
KEATHLEY-PATTERSON ELECTRIC;
& JOHN DOES 1–5,
RESPONDENTS,
CERTIFIED
ANSWERED.
QUESTIONS
PAUL E. DANIELSON, Associate Justice
This case involves two questions of law certified to this court by the United States
District Court for the Eastern District of Arkansas in accordance with Arkansas Supreme
Court Rule 6-8 (2008) and accepted by this court on September 11, 2008. See Johnson v.
Rockwell Automation, Inc., 374 Ark. 217, 286 S.W.3d 726 (2008).
The questions certified are the following:
1.
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Under the facts of this case, whether the provisions of Act 649 of 2003,
including, but not limited to those codified at Ark. Code Ann. § 16-55202, that require 1 a fact finder to consider or assess the negligence or
While the question was phrased by the parties and the district court using the word
“allow” rather than “require,” the statute itself uses the word “shall,” clearly mandating the
consideration of the fault of nonparties.
Cite as 2009 Ark. 241
fault of nonparties, violate the Arkansas Constitution, when considered
along with the modification of “joint and several” liability in the same
act, codified at Ark. Code Ann. § 16-55-201.
2.
Under the facts of this case, whether the provisions of Act 649 of 2003,
including, but not limited to those codified at Ark. Code Ann. § 16-55212(b), that addresses evidence of damages for the costs of necessary
medical care, treatment, or services, violate the Arkansas Constitution.
As to the first question, we conclude that the answer is yes, Ark. Code Ann. § 16-55202 is unconstitutional. As to the second question, we conclude that the answer is yes,
Ark. Code Ann. § 16-55-212(b) is unconstitutional.
According to the district court’s order, the certified questions arise from a complaint
filed by petitioner Darrell Johnson alleging that on or about February 24, 2004, Johnson was
injured while working as a control systems mechanic for Eastman Chemical Company. The
district court’s order reveals the following facts. At the time of the incident, Johnson was
working on a product referred to by Johnson and his coworkers as an Allen-Bradley “starter
bucket.” The starter bucket was designed, manufactured, and supplied to Eastman by the
respondent Rockwell Automation, Inc.
Petitioners alleged before the district court that a safety interlock on the starter bucket
was designed, manufactured, and supplied in a defective condition, allowing it to become
electrically powered at a time it should have been prevented from doing so, which was an
actual and proximate cause of the incident and Johnson’s injuries. As a result, petitioners
alleged that the respondents were strictly liable for Johnson’s injuries; liable for negligently
designing, manufacturing, and supplying the starter bucket; and liable for negligently failing
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to warn about the inherent risks in the design of the starter bucket. However, Rockwell
averred that after the starter bucket was supplied to Eastman, Eastman modified it without
Rockwell’s knowledge.
In its answer, Rockwell pled that the fault of all parties should be apportioned in
accordance with the Civil Justice Reform Act of 2003 (Act 649 of 2003) (CJRA), codified
at Ark. Code Ann. §§ 16-55-201 to 16-55-220 (Supp. 2003), and, further, that it was entitled
to “all defenses” available to it under the CJRA, including “restriction of liability to its
percentage share of actual liability” and “the right to name nonparties at fault.” Rockwell also
filed a “Notice of Nonparty Fault,” pursuant to Ark. Code Ann. § 16-55-202, designating
Eastman as a nonparty at fault for a list of alleged reasons. Petitioners responded that the
nonparty-fault provision, section 16-55-202 of the CJRA, violates the Arkansas Constitution
under the facts of the case.
Petitioners maintained that Johnson received medical care, treatment, or services,
which were necessary due to the incident and resulting injuries. While Johnson’s employee
medical plan paid the costs for the medical care, treatment, or services, the amount paid by
the plan was less than the full amount of the costs incurred. Therefore, Petitioners sought to
present evidence of the full amount of costs necessary for the medical care, treatment, or
services received by Johnson, even though that amount was greater than the amount of costs
actually paid by Johnson or on behalf of Johnson. However, Respondents sought to enforce
the terms of section 16-55-212(b) of the CJRA, limiting the evidence to only those costs
actually paid by or on behalf of Johnson or which remained unpaid and for which Johnson
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or any third party was legally responsible. Petitioners argued to the district court that such an
interpretation and application of section 16-55-212(b) was a limitation on damages in
violation of the Arkansas Constitution and offended the separation-of-powers doctrine.
Petitioners and Respondents then filed a joint motion for certification of the abovestated questions to this court on August 11, 2008. On August 21, 2008, the district court
granted the motion. We now turn to providing an answer to each of the certified questions.
It is well settled that there is a presumption of validity attending every consideration
of a statute’s constitutionality; every act carries a strong presumption of constitutionality, and
before an act will be held unconstitutional, the incompatibility between it and the constitution
must be clear. See Shipp v. Franklin, 370 Ark. 262, 258 S.W.3d 744 (2007). Any doubt as to
the constitutionality of a statute must be resolved in favor of its constitutionality. See id. The
heavy burden of demonstrating the unconstitutionality is upon the one attacking it. See id.
Finally, when possible, we will construe a statute so that it is constitutional. See id.
In determining the constitutionality of the statutes, we look to the rules of statutory
construction. When construing a statute, the basic rule is to give effect to the intent of the
legislature. See Rose v. Arkansas State Plant Bd., 363 Ark. 281, 213 S.W.3d 607 (2005). Where
the language of a statute is plain and unambiguous, we determine legislative intent from the
ordinary meaning of the language used. See id. In considering the meaning of a statute, we
construe it just as it reads, giving the words their ordinary and usually accepted meaning in
common language. See id.
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I. Ark. Code Ann. § 16-55-202
Petitioners argue that the nonparty-fault provision of the CJRA, codified at Ark. Code
Ann. § 16-55-202, is unconstitutional because: (1) it violates the due-process guarantees of
article 2, § 8 of the Arkansas Constitution; (2) it violates article 5, § 32 and article 2, § 13 of
the Arkansas Constitution by limiting recoveries and precluding complete recoveries for
personal injuries; (3) it invades the Arkansas Supreme Court’s constitutional grant of authority
to establish the rules of pleading, practice, and procedure pursuant to amendment 80, § 3 of
the Arkansas Constitution; and (4) it violates the separation-of-powers clause found in article
4, § 2 of the Arkansas Constitution. Respondents disagree with these arguments and aver that
section 16-55-202 should be upheld as it is rationally related to a desirable and legitimate
objective.
The nonparty-fault provision of the CJRA reads:
(a) In assessing percentages of fault, the fact finder shall consider the fault of
all persons or entities who contributed to the alleged injury or death or damage
to property, tangible or intangible, regardless of whether the person or entity
was or could have been named as a party to the suit.
(b)(1) Negligence or fault of a nonparty shall be considered if the plaintiff
entered into a settlement agreement with the nonparty or if the defending party
gives notice that a nonparty was wholly or partially at fault not later than one
hundred twenty (120) days prior to the date of trial.
(2) The notice shall be given by filing a pleading in the action designating the
nonparty and setting forth the nonparty’s name and last known address, or the
best identification of the nonparty which is possible under the circumstances,
together with a brief statement of the basis for believing the nonparty to be at
fault.
(c)(1) Except as expressly stated in this section, nothing in this section shall
eliminate or diminish any defenses or immunities which currently exist.
(2) Assessments of percentages of fault of nonparties shall be used only for
accurately determining the percentage of fault of named parties.
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(3) Where fault is assessed against nonparties, findings of fault shall not subject
any nonparty to liability in any action or be introduced as evidence of liability
in any action.
Ark. Code Ann. § 16-55-202.
We begin with petitioners’ argument that the nonparty-fault provision invades the
powers granted to the judiciary by the Arkansas Constitution in violation of article 4, § 2 and
amendment 80, § 3 by adding to or varying the Arkansas Rules of Civil Procedure.
Specifically, petitioners contend that the nonparty-fault provision effectively establishes a
procedure that conflicts with our “rules of pleadings, practice and procedure.” We agree, and
we hold the provision unconstitutional.
Our state constitution has long recognized the importance of separation of powers. It
reads, “[n]o person or collection of persons, being of one of these departments, shall exercise
any power belonging to either of the others, except in the instances hereinafter expressly
directed or permitted.” Ark. Const. art. 4, § 2. Most importantly, amendment 80, § 3 to the
Arkansas Constitution instructs that the Arkansas Supreme Court “shall prescribe the rules of
pleading, practice and procedure for all courts.”
We have previously struck down acts that conflicted with our procedure for
commencing civil actions. In Summerville v. Thrower, 369 Ark. 231, 253 S.W.3d 415 (2007),
this court struck down the statutory requirement to submit a reasonable-cause affidavit within
thirty days of filing a complaint as unconstitutional. Prior to Summerville, this court struck
down as unconstitutional the sixty-day notice statute that governed actions for medical injury.
See Weidrick v. Arnold, 310 Ark. 138, 835 S.W.2d 843 (1992). In Weidrick, we noted that the
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statute required a sixty-day notice to sue as a condition before commencing an action for
medical injury. See id. This court reasoned in both cases that, “[w]e can think of few rules
more basic to the civil process than a rule defining the means by which complaints are filed
and actions commenced for a common law tort.” Summerville, 369 Ark. at 239, 253 S.W.3d
at 420 (citing Weidrick, 310 Ark. at 146, 835 S.W.2d at 847). We noted in Summerville that
the legislation in that case, as well as the legislation in Weidrick, had added an encumbrance
to commencing a cause of action that was not found in Ark. R. Civ. P. 3. See Summerville,
supra.
As was the case in Summerville and Weidrick, the nonparty-fault provision in the instant
case conflicts with our “rules of pleading, practice and procedure.” While respondents assert
that the nonparty-fault provision should be upheld because it does not directly conflict with
our rules of procedure as the legislative requirements did in Summerville and Weidrick, we take
this opportunity to note that so long as a legislative provision dictates procedure, that
provision need not directly conflict with our procedural rules to be unconstitutional. This is
because rules regarding pleading, practice, and procedure are solely the responsibility of this
court. See Ark. Const. amend. 80, § 3.
Law is substantive when it is “[t]he part of the law that creates, defines, and regulates
the rights, duties, and powers of parties.” Summerville, 369 Ark. at 237, 253 S.W.3d at 419–20
(citing Black’s Law Dictionary 1443 (7th ed. 1999)). Procedural law is defined as “[t]he rules
that prescribe the steps for having a right or duty judicially enforced, as opposed to the law
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that defines the specific rights or duties themselves.” Id., 253 S.W.3d at 420 (citing Black’s Law
Dictionary 1221 (7th ed. 1999)).
Clearly the law modifying joint and several liability, Ark. Code Ann. § 16-55-201,
defines the right of a party, a defendant, and is substantive. However, after reviewing section
16-55-202, it is clear to this court that the legislature has, without regard to this court’s “rules
of pleading, practice and procedure,” established its own procedure by which the fault of a
nonparty shall be litigated. While respondents argued in oral argument that a defendant has
always been able to “point to the empty chair,” the “phantom defendant” established by
section 16-55-202 is different. The nonparty-fault provision bypasses our “rules of pleading,
practice and procedure” by setting up a procedure to determine the fault of a nonparty and
mandating the consideration of that nonparty’s fault in an effort to reduce a plaintiff’s
recovery.
Additionally, the plain language of the statute even instructs that “a pleading” be filed
to meet the notice requirement. See Ark. Code Ann. § 16-55-202(b)(2). This is in direct
conflict with our Ark. R. Civ. P. 7, which specifically sets forth the pleadings and instructs
that “[n]o other pleadings shall be allowed.” Because subsection (b) instructs when the
negligence or fault of a nonparty shall be considered, subsection (a) falls as well, as it is
dependent on (b).
Because the nonparty provision is procedural, it offends the principle of separation of
powers and the powers specifically prescribed to this court by amendment 80. Accordingly,
we hold that Ark. Code Ann. § 16-55-202 violates separation of powers under article 4, § 2,
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as well as amendment 80, § 3 of the Arkansas Constitution. Because we conclude the
nonparty-fault provision is unconstitutional based on the stated grounds, we need not address
the remaining constitutional challenges to this statute presented by the petitioners.
II. Ark. Code Ann. § 16-55-212(b)
Petitioners also assert that the medical-costs provision of the CJRA, codified at Ark.
Code Ann. § 16-55-212(b), violates the constitution because: (1) it prevents a plaintiff from
recovering the full value of medical services in conflict with the collateral-source rule; (2) it
violates the separation-of-powers clause found in article 4, § 2 and violates amendment 80,
§ 3 of the Arkansas Constitution; and (3) it limits the amount that can be recovered for injury
to a plaintiff in violation of article 5, § 32 of the Arkansas Constitution. Respondents aver that
the medical-costs provision does not conflict in any way with the collateral-source rule
because it does not seek to introduce evidence that other payments were received for a
plaintiff’s medical bills; rather, they claim, it limits the reasonable value of a plaintiff’s expenses
to the amount actually paid or to be paid on a plaintiff’s behalf. Further, Respondents contend
that it does not limit recovery because it does not place a cap, or a dollar limitation, on the
amount a plaintiff may recover.
The medical-costs provision of the CJRA reads:
Any evidence of damages for the costs of any necessary medical care, treatment,
or services received shall include only those costs actually paid by or on behalf of
the plaintiff or which remain unpaid and for which the plaintiff or any third
party shall be legally responsible.
Ark. Code Ann. § 16-55-212(b) (Supp. 2003) (emphasis added).
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It is undisputed that the rules of evidence are “rules of pleading, practice and
procedure.” Moreover, we have held that the rules of evidence are rules falling within this
court’s domain. See Ricarte v. State, 290 Ark. 100, 717 S.W.2d 488 (1986). Our review of the
plain language of the medical-costs provision reveals that the instant statute promulgates a rule
of evidence. Here, the provision clearly limits the evidence that may be introduced relating
to the value of medical expenses to the amount of medical expenses paid or the amount to
be paid by a plaintiff or on a plaintiff’s behalf, thereby dictating what evidence is admissible.
Because rules regarding the admissibility of evidence are within our province, we hold that
the medical-costs provision also violates separation of powers under article 4, § 2 and
amendment 80, § 3 of the Arkansas Constitution and, therefore, is unconstitutional.
Because we conclude that Ark. Code Ann. § 16-55-212(b) is unconstitutional based
on the stated grounds, we do not address the remaining constitutional challenges to this statute
presented by the petitioners.
Certified questions answered.
McMath Woods, P.A., by: James Bruce McMath and Neil Chamberlin, for
petitioners.
Watts, Donovan & Tilley, P.A., by: David M. Donovan and Staci Dumas Carson,
for respondents.
Jeffrey R. White, Center for Constitutional Litigation, P.C., and Ralph Cloar,
for amicus curiae American Association for Justice.
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Shook, Hardy & Bacon, L.L.P., by: Mark A. Behrens, and Mitchell, Williams,
Selig, Gates & Woodyard, P.L.L.C., by: M. Samuel Jones, III, for amici curiae
American Tort Reform Association, Chamber of Commerce of the United States
of America, National Association of Manufacturers, American Insurance
Association, Property Casualty Insurers Association of America, National
Association of Mutual Insurance Companies, American Chemistry Council,
American Petroleum Institute, American Health Care Association and the
National Center for Assisted Living, Pharmaceutical Research and Manufacturers
of America, American Trucking Associations, and Association of American
Railroads.
Wilkes & McHugh, P.A., by: Susan Nichols Estes and David L. Eanes, Jr., for
amicus curiae Arkansas Advocates for Nursing Home Residents.
Brian G. Brooks, for amicus curiae Arkansas Trial Lawyers Association.
Bassett Law Firm, by: Woody Bassett; Atchley, Russell, Waldrop & Hlavinka, LLP,
by: Alan Harrel; Shackleford, Phillips, & Ratcliff, P.A., by: Dennis Shackleford; and
Mitchell, Williams, Selig, Gates & Woodyard, P.L.L.C., by: Nicholas Thompson, for
amici curiae Meek Manufacturing Company, Inc.; Fed Ex Freight East, Inc.; E.C.
Barton & Company; Star Transportation; SeaArk Marine; Pinnacle Investments;
Mitchell’s Nursing Home; Yarnell’s Ice Cream Co.; Cooper Tire & Rubber
Company; The Committee to Save Arkansas Jobs, Inc.; and Arkansas Healthcare
Association.
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Law Office of David Couch, by: David A. Couch, for amicus curiae National
Citizen’s Coalition for Nursing Home Reform.
Leslie Brueckner, Public Justice, P.C., and Cauley Bowman Carney & Williams,
PLLC, by: Hank Bates, for amicus curiae Public Justice, P.C.
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