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Malovec v. Hamrell3/1/1999
CERTIFIED FOR PUBLICATION
(Super. Ct. No. SC041302)
APPEAL from a judgment of the Superior Court of Los Angeles County. Robert T. Altman, Judge. Reversed.
After granting defendant's motion for summary judgment, the trial court on its own motion ordered plaintiff's attorney to show cause why sanctions pursuant to Code of Civil Procedure section 128.7 should not be imposed for the filing and pursuit of the complaint. Plaintiff filed a voluntary dismissal with prejudice of the complaint. After a hearing, the trial court imposed monetary sanctions against plaintiff's attorney in favor of defendant and the county. We conclude: (1) a trial court may not initiate section 128.7 sanctions against a plaintiff for filing and pursuing a complaint after it has granted a defendant's motion for summary judgment; and (2) a trial court may not award section 128.7 monetary sanctions to an opposing party on its own motion. We reverse.
F ACTS AND PROCEDURAL BACKGROUND
Appellant Attorney Bruce Fagel represented minor Justin Malovec and his mother in a medical malpractice action against defendant and respondent Charles Hamrell, M.D. The action arose out of injuries Justin suffered during his birth. Dr. Hamrell was the Chief of Obstetrics of the hospital where Justin had been born. The Malovecs had previously brought against and settled with the hospital an action arising from the same injuries. The complaint against Dr. Hamrell was filed on March 12, 1996. Dr. Hamrell demurred to the complaint on the ground of the settlement with and release of the hospital. The demurrer was overruled. Dr. Hamrell moved for summary judgment on the same ground. The motion was granted at a hearing held on January 30, 1997.
At the hearing on the summary judgment motion, the trial court on its own motion set the matter for an order to show cause hearing on March 6, 1997, as to why section 128.7 sanctions should not be imposed against Attorney Fagel for filing and prosecuting the complaint. On February 27, 1997, prior to the entry of judgment on the complaint, Attorney Fagel filed a request for voluntary dismissal of the action with prejudice. The clerk entered dismissal. Attorney Fagel opposed the sanctions motion on the ground that he had withdrawn the challenged pleading during the 30-day safe harbor period. The trial court found the voluntary dismissal to be ineffective and imposed sanctions against Attorney Fagel in the amount of $10,000 in favor of Dr. Hamrell and in the amount of $10,000 in favor of the County of Los Angeles.
Attorney Fagel filed a timely notice of appeal from the sanctions order.
DISCUSSION
In this case, we examine section 128.7 to determine the limitations applicable to monetary sanctions imposed on the trial court's own motion. We first consider whether a trial court may initiate monetary sanctions following a dispositive ruling on an improper pleading. We next consider whether a trial court on its own motion may award monetary sanctions in favor of a party.
Legislative Intent
"Our obligation in applying section 128.7 is to carry out the Legislature's intent. [Citations.] The words of a statute are the surest indication of the Legislature's intent. . . . Further, in applying a statute, it may be appropriate to look to its legislative history." (Goodstone v. Southwest Airlines Co. (1998) 63 Cal.App.4th 406, 423.)
Statutory Provisions
In cases filed prior to January 1, 1995, a trial court was authorized to impose sanctions pursuant to section 128.5 against a party or the party's attorney for bad faith actions or tactics. "Every trial court may order a p
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