Opinion Number: 2000-NMCA-036
Filing Date: March 3, 2000
Docket No. 19,929
GIA MAY BARTLETT,
Petitioner-Appellant,
v.
MARIA R. MIRABAL,
Respondent-Appellee.
APPEAL FROM THE DISTRICT COURT OF CIBOLA COUNTY
Martin G. Pearl, District Judge
Howard L. Anderson
Albuquerque, NM
for Appellant
Thomas L. Popejoy
Popejoy Law Offices, P.C.
Albuquerque, NM
for Appellee
APODACA, Judge.
{1}
This interlocutory appeal arises from a will contest.
Petitioner Gia May Bartlett filed the will of Silvestre
Mirabal (Decedent) for formal probate. Decedent's sister,
Respondent Maria R. Mirabal (Contestant), challenged the will
on various grounds. Petitioner moved for summary judgment.
At the hearing on the motion, Contestant abandoned all grounds
for contesting the will except her claim of undue influence.
The trial court denied the motion. On appeal, Petitioner
argues that the evidentiary standard of proof by clear and
convincing evidence should have been applied by the trial
court in determining whether genuine issues of material fact
existed on the issue of undue influence. The basis for
Petitioner's argument is that, because Contestant was
ultimately required to prove undue influence by clear and
convincing evidence at trial, the determination of whether
there were disputed material facts in the summary judgment
proceeding should have been governed by the same substantive
evidentiary standards that applied to the case on the merits. We disagree and affirm.
I. FACTUAL AND PROCEDURAL BACKGROUND
{2}
In response to Petitioner's motion for summary judgment,
Contestant presented evidence intended to show that Petitioner
had a confidential relationship with Decedent and that
suspicious circumstances surrounded the execution of his last
two wills. Both of these wills gave his entire estate to
Petitioner. According to Contestant, the suspicious
circumstances included (1) the unnatural and unjust
distribution of the estate, (2) lack of consideration for the
transfer or undue profit by Petitioner, (3) Petitioner's
participation in the procurement of the will, (4) Decedent's
age and frail health, (5) Decedent's susceptibility to undue
influence, (6) Petitioner's isolation of Decedent from his
family, and (7) abuse of a confidential relationship.
{3}
In granting the interlocutory appeal and denying summary
judgment, the trial court's order specifically provided:
If the burden of proof at summary judgment
proceedings were in fact "clear and convincing
evidence", as held by the United States Supreme
Court in Anderson v. Liberty Lobby, Inc., 477 U.S.
242, 106 S.Ct. 2505, 91 L.Ed2d 202 (1986), and
further suggested by Justice Ransom in Eoff v.
Forrest, 109 N.M. 695, 789 P.2d 1262 (1990), the
Court would have granted [Petitioner's] Motion for
Summary Judgment and dismissed the case.
Implicit in the order's language is that, for purposes of
deciding the existence of genuine issues of material fact at
the summary judgment stage, the trial court used the
preponderance-of-the-evidence standard, even though the burden
of proof on the issue of undue influence at trial would have
been under a clear-and-convincing standard.
II. DISCUSSION
A. Standard of Review
{4}
An appeal from the grant or denial of a motion for
summary judgment presents a question of law. We therefore
review de novo the trial court's denial of summary judgment.
See Harrell v. Hayes, 1998-NMCA-122, ¶ 11, 125 N.M. 814, 965
P.2d 933.
B. The Evidentiary Standard in Summary Judgment
Proceedings
1. Petitioner's Contentions Generally
{5}
Petitioner essentially argues that New Mexico has already adopted the United States Supreme Court's rationale in
Anderson. Anderson, of course, applied only to the federal
standard for summary judgment. See Fed. R. Civ. P. 56. It is
exclusively the province of the state judiciary in New Mexico
to decide the standard for our state rules on summary
judgment. See Rule 11-056 NMRA 2000. It is the state's
prerogative to follow or not to follow Anderson. If
Petitioner is correct that New Mexico has already adopted
Anderson for our state rule, then the trial court should have
applied the standard of clear and convincing evidence, the
burden of proof at trial, in considering her motion for
summary judgment. See Anderson, 477 U.S. at 254 ("When
determining if a genuine factual issue . . . exists . . . a
trial judge must bear in mind the actual quantum and quality
of proof necessary to support liability. . . .").
{6}
As additional support for her argument, Petitioner
analogizes a motion for summary judgment to a motion for a
directed verdict, insisting that the same evidentiary
considerations apply to both. See id. ("Just as the
'convincing clarity' requirement is relevant in ruling on a
motion for directed verdict, it is relevant in ruling on a
motion for summary judgment."); see also Melnick v. State Farm
Mut. Auto. Ins. Co., 106 N.M. 726, 727, 749 P.2d 1105, 1106
(1988) (considering cases on summary judgment and directed
verdict in evaluating propriety of reconsideration of denial
of motion for a directed verdict).
{7}
Our Supreme Court, however, has clearly distinguished
between summary judgment proceedings and motions for directed
verdict. See Eoff, 109 N.M at 701, 789 P.2d at 1268
(discussing the differences between summary judgment and
directed verdict). The Court applied the traditional approach
to summary judgment proceedings in which the nonmoving party
need only show a genuine issue of material fact and need not
present evidence sufficient to meet the burden at trial. Id.
The Court determined that, when considering a summary judgment
motion, it is not the trial court's task to determine if all
the elements will be met, only that "one or more factual
issues" are in dispute. Id.
{8}
Petitioner's contentions require us to examine summary
judgment proceedings in New Mexico. The sole question posed
is whether Anderson has already been adopted in this state.
Our examination of New Mexico cases involving summary judgment
proceedings leads us to answer this question in the negative.
{9}
In his special concurrence, Judge Alarid relies on six
New Mexico cases he maintains support his contention that our
courts have made "a significant move towards adoption" of the
Anderson standard in summary judgment proceedings. The first
two cases, Blauwkamp v. University of New Mexico Hosp., 114
N.M. 228, 836 P.2d 1249 (Ct. App. 1992), and Furgason v.
Clausen, 109 N.M. 331, 785 P.2d 242 (Ct. App. 1989), are inapposite.
{10}
Blauwkamp involved a medical malpractice case in which
plaintiff would not be able to "establish an essential element
of [plaintiff's] claim" without an expert witness. Blauwkamp,
114 N.M. at 232, 836 P.2d at 1253 (quoting Celotex Corp. v.
Catrett, 477 U.S. 317, 331 (1986)). In such a situation, the
issue was cut and dry because, without an expert, plaintiff
had no case, and thus, "on these facts Celotex and existing
New Mexico cases produce[d] the same result." Id.
Additionally, Blauwkamp determined that the mere offering of
a qualified expert was sufficient to overcome a motion for
summary judgment. The weight to apply to the testimony (the
qualification of the expert) was "not properly resolved by
summary judgment." Id. at 235, 836 P.2d at 1256.
{11}
Furgason dealt with a unique issue involving the alleged
defamation of a public figure. In that case, in considering
a motion for summary judgment, the trial court needed to know
what issues of fact were disputed. One of these issues was
whether the plaintiff was a public figure. If he was, then
the issue of negligence in the case was irrelevant. If he was
not a public figure, then negligence would be a genuine issue
of material fact. Under these circumstances, the trial court
was required to determine the substantive evidentiary standard
(that is, the standard that applied to directed verdicts but
not summary judgment proceedings) before deciding whether to
grant summary judgment because the disputed issue of fact
depended on whether negligence was relevant.
{12}
We should also note that Furgason relied on an old New
Mexico Supreme Court case, Mahona-Jojanto, Inc. v. Bank of New
Mexico, 79 N.M. 293 (1968), in its discussion of the summary
judgment standard. The use of Mahona-Jojanto, a case decided
long before Anderson and which was steep in the traditional
approach to summary judgment, simply does not support the view
of the special concurrence. It should also be noted that
Furgason supports our later suggestion in this opinion that
Anderson may have been originally intended to be limited to
defamation cases.
{13}
The special concurrence next relies on Wolford v.
Lasater, 1999-NMCA-024, 126 N.M. 614, 973 P.2d 866, claiming
that our Court there recognized there were no distinctions
between federal and state summary judgment standards. We
disagree. Although Wolford agreed "with Defendants' argument
that the federal and our state's constructions of summary
judgment do not differ substantively," the opinion clearly
recognized that the standards were different, id. ¶ 11, as we
note in this opinion.
{14}
Finally, the three New Mexico Supreme Court cases
discussed by the special concurrence merely relied on either
Anderson or Celotex simply for the boilerplate language on summary judgment standards. Those cases contained no language
that could be construed as "a significant move towards" the
Anderson approach to summary judgment. Indeed, two of the
cases cite to Celotex only once and do not even mention
Anderson. As for Goradia v. Hahn Co., 111 N.M. 779, 810 P.2d
798 (1991), a case heavily relied on by the special
concurrence, a careful reading shows no such movement towards
the adoption of Anderson in New Mexico.
{15}
In Goradia, as in Chen v. Metropolitan Ins. and Annuity
Co., 907 F.2d 566 (5th Cir. 1990), a case relied on by Goradia
and the special concurrence, there were no genuine issues of
fact in dispute. Consequently, the sole question was whether
the facts could support the plaintiff's contentions. Because
no facts were in dispute, the court's determination at the
summary judgment stage would be based on the same standard as
would be used at the end of trial for a directed verdict.
That determination was whether, as a matter of law, "but one
reasonable conclusion [could] be drawn" from the undisputed
facts. See Goradia, 111 N.M. at 782, 810 P.2d at 801 (quoting
Anderson); see also Chen, 907 F.2d at 567 (citing to
Anderson). Once again, the special concurrence takes a unique
situation, on this occasion a situation where no facts were in
dispute, and attempts to declare "a significant move towards
adoption" of Anderson.
{16}
These cases then, as noted previously, only relied on
Anderson for its boilerplate summary judgment holding, not its
new approach to summary judgment. We therefore believe these
Supreme Court cases do not support the proposition that New
Mexico has moved towards the adoption of the Anderson
standard.
2. Law of Summary Judgment Generally
{17}
New Mexico case law holds that, in a summary judgment
proceeding, the moving party must show there is "no genuine
issue of fact as to one or more of the requisite elements . .
. ." Eoff, 109 N.M. at 701, 789 P.2d at 1268. The burden is
first on the moving party to "make a prima facie showing that
there [is] no genuine issue of fact as to one or more of the
requisite elements in [non-movant's] claim . . . ." Id.
(emphasis omitted); see also State ex rel. Children, Youth &
Families Dep't v. Joe R., 1997-NMSC-038, ¶ 15, 123 N.M. 711,
945 P.2d 76 (stating that moving party is "required to make a
prima facie showing that . . ." no genuine issues are
disputed). Upon the showing by the moving party that no
genuine issue exists, it is then the burden of the nonmoving
party to present "a concise statement of all of the material
facts as to which the moving party contends no genuine issue
exists." Rule 1-056(D)(2) NMRA 2000. The nonmoving party
need not, as contended by Petitioner, convince the trial court
that the nonmoving party has evidence to "support all the
elements of his case." The nonmoving party must merely show that "one or more factual issues appear from the materials
submitted to the court in connection with the motion" are
contested. Eoff, 109 N.M. at 699, 789 P.2d at 1266. Even if
the materials submitted to the court do not establish all the
elements of the claim, it is enough if the materials are
"sufficient to give rise to several issues of fact." Id. at
700, 789 P.2d at 1267. In short, "[s]ummary judgment should
not be granted when material issues of fact remain or when the
facts are insufficiently developed for determination of the
central issues involved." Vieira v. Estate of Cantu, 1997-NMCA-042, ¶ 17, 123 N.M. 342, 940 P.2d 190.
3. Petitioner's Reliance on Specific Case Law
{18}
Petitioner primarily relies on three cases decided by our
Supreme Court that she contends implicitly adopt the
rationale, if not the holding, in Anderson. They are:
Melnick, 106 N.M. 726, 749 P.2d 1105; Chavez v. Manville
Products Corp., 108 N.M 643, 777 P.2d 371 (1989); and Eoff,
109 N.M. 695, 789 P.2d 1262.
{19}
At the outset, we note that these cases were decided well
after Anderson. Yet, none of them address or even mention
Anderson, even though the Court had the opportunity to do so.
We recognize that fact alone does not imply a rejection of
Anderson's rationale. Justice Ransom's concurring opinion in
Eoff, however, leads us to infer that our Supreme Court was
well aware of Anderson's holding. See Eoff, 109 N.M. at 702,
789 P.2d at 1269 (Ransom, J., concurring) (proposing adoption
of Anderson). We discuss separately the three cases relied on
by Petitioner.
a. Melnick v. State Farm Mut. Auto. Ins. Co.
{20}
Melnick discussed the requirements for directed verdicts.
Petitioner states that the Court treated summary judgment and
directed verdict interchangeably. We disagree. Melnick only
compared summary judgment and directed verdict in the context
of whether a "trial court may revise or rescind an
interlocutory order . . . ." Melnick, 106 N.M. at 727, 749
P.2d at 1106. In her brief-in-chief, Petitioner correctly
analyzes Melnick's holding. The case addressed the issue of
whether a trial court's reversal of its own interlocutory
ruling was reversible error and determined that it was not.
Id. The analysis in Melnick dealt only with a directed
verdict proceeding. We understand Petitioner to argue that
the only difference between summary judgment and directed
verdict proceedings is one of timing. In seeking to extend
Melnick's holding to a summary judgment proceeding, we believe
Petitioner is reading too much into the Court's discussion in
that case. For that reason, Petitioner's reliance on Melnick
is misplaced.
b. Chavez v. Manville Products Corp.
{21}
Petitioner also misapplies the holding in Chavez. There,
an employee brought suit against his former employer, claiming
breach of contract and retaliatory discharge. Chavez, 108
N.M. at 644, 777 P.2d at 372. The employer moved for summary
judgment and the trial court granted the motion on the breach
of contract claim. Id. at 646, 777 P.2d at 374. Upon
completion of employee's case on the retaliatory discharge
claim, the employer moved for a directed verdict, which the
trial court granted. Id. at 647, 777 P.2d at 375. The
employee appealed both the summary judgment and the directed
verdict. Our Supreme Court affirmed the summary judgment but
reversed the directed verdict. Id. at 650, 777 P.2d at 378.
{22}
Chavez separated the discussion of the summary judgment
issue, see id. at 644-46, 777 P.2d at 372-74 (discussing
entire issue concerning trial court's order granting summary
judgment) from its discussion of the directed verdict issue.
See id. at 647-50, 777 P.2d 375-78 (discussing entire issue
concerning the directed verdict). Petitioner correctly notes
that "Chavez recognized the principles enunciated in the
Melnick case." Those principles, however, only applied to the
directed verdict issue, not the summary judgment issue. See
Chavez, 108 N.M. at 647, 777 P.2d at 375 ("We recently have
reviewed the standards for granting a directed verdict in
Melnick . . . ."). Because Chavez involved both a summary
judgment and a directed verdict, our Supreme Court essentially
had the opportunity to address Petitioner's claim that the
"only difference between [the two proceedings] is timing."
The Court did not do so, choosing instead to separate
discussion of the two issues. Id. at 644-50, 777 P.2d at 372-78.
c. Eoff v. Forrest
{23}
In Eoff, the trial court granted the defendants' motion
for summary judgment. Our Supreme Court examined the
materials that were available to the trial court in ruling on
the motion. Eoff, 109 N.M. at 699-700, 789 P.2d at 1266-67.
The Court recognized that the evidentiary standard at trial
would be clear and convincing. Id. at 699, 789 P.2d at 1266.
The Court also concluded, however, that in a case involving a
motion for summary judgment, the nonmoving party need not
establish, by clear and convincing evidence, any of the
required elements of their case. Id. at 700, 789 P.2d at
1267. It is "sufficient to give rise to several issues of
fact." Id.
{24}
Petitioner also argues that Eoff "was not in a position
to adopt the Anderson standard in summary judgment proceedings
because it never got that far." Petitioner correctly points
out that our Supreme Court in Eoff determined that the
defendants failed to "make a prima facie showing that there
was no genuine issue of fact as to one or more of the
requisite elements." Id. at 701, 789 P.2d at 1268 (emphasis omitted). Eoff also stated, however, that the standard for
considering a summary judgment motion applied equally to both
parties; that standard was whether there is "no genuine issue
as to one or more of the material facts necessary to give rise
to a claim . . . ." Id. at 702, 789 P.2d at 1269.
C. The Holding in Anderson
{25}
Even though none of the New Mexico cases we have just
discussed adopted the rationale or holding in Anderson, we
recognize that many state courts have adopted Anderson's
approach to summary judgment proceedings. We also note that
the trial court in this appeal expressly stated in its order
denying Petitioner's motion for summary judgment that, if the
standard in considering whether to grant summary judgment was
clear and convincing evidence as held in Anderson, it would
have granted Petitioner's motion. We therefore consider
whether Anderson's holding should be adopted as law in New
Mexico.
1. Analysis of Anderson's Holding
{26}
In Anderson, the plaintiff, a public official, brought a
libel suit against a magazine. The issue the Court addressed
was "whether the clear-and-convincing-evidence requirement
must be considered . . . on a motion for summary judgment . .
. ." Anderson, 477 U.S. at 244. At the outset, we note that
Anderson's discussion gives us reason to pause.
{27}
First, it is somewhat unclear whether the Court intended
to limit its holding in Anderson to libel suits in which New
York Times Co. v. Sullivan, 376 U.S. 254 (1964) applies. See
Anderson, 477 U.S. at 247. ("Our inquiry is whether the Court
of Appeals erred in holding that the heightened evidentiary
requirements that apply to proof of actual malice in this New
York Times case need not be considered for the purposes of a
motion for summary judgment."); id. at 257 ("In sum, a court
ruling on a motion for summary judgment must be guided by the
New York Times 'clear and convincing' evidentiary standard in
determining whether a genuine issue of actual malice
exists . . . ."). What is abundantly clear, however, is that
Justice Brennan, in his dissent, believed the majority's
opinion was not so limited. Id. at 258, n.1 (Brennan, J.,
dissenting). Additionally, both federal and state courts have
broadly applied Anderson to all summary judgment proceedings.
{28}
Second, in discussing summary judgment proceedings in
general, the Court reiterated the basic principles for
granting a summary judgment motion. See id. at 248 ("[T]he
requirement [for granting summary judgment] is that there be
no genuine issue of material fact."). It also stated that a
trial court is not to weigh the evidence but simply determine
whether a "jury could reasonably find for the plaintiff." Id.
at 251. The Court concluded that, to overcome the motion for summary judgment, the plaintiff in Anderson had to present
"sufficient evidence" of the existence of actual malice. Id.
at 249.
{29}
It is clear that the Anderson majority did not give the
trial court the power to weigh the evidence. Id. at 255.
With this in mind, we must attempt to discern what the trial
court should do when applying the evidentiary standard at
trial to summary judgment proceedings. It is our
understanding that the trial court need only determine if the
disputed facts could possibly meet the appropriate standard at
trial. The court must look at the "possibility" of meeting
the standard because for the court to "determine" whether the
evidence meets that standard is to weigh that evidence, which
we know is a function Anderson leaves to the jury. Id. If
the evidence presented at summary judgment has the possibility
of meeting the clear-and-convincing standard, then the
granting of summary judgment is not appropriate. See id. at
256 (stating that where evidence is presented "from which a
reasonable juror could return a verdict in his favor" summary
judgment is not appropriate). If the evidence could allow a
jury to conclude that the nonmovant's claim is true, then we
believe Anderson requires denial of the motion. Id. In our
view, this is the only possible interpretation that allows the
Court's holding as a whole to be in harmony with each of its
component parts.
{30}
If Anderson's holding, after all its "intellectual
tidiness," as Chief Justice Rehnquist termed it in his
dissent, supports the premise that credibility is for the
jury, then summary judgment would again be inappropriate. Id.
at 255; see also id. at 270 (Rehnquist, J., dissenting) ("[A]s
long as credibility is exclusively for the jury, it seems the
Court's analysis would still require this case to be decided
by that body."). The Anderson majority conceded that "the
[nonmovant], to survive the [movant's] motion [for summary
judgment], need only present evidence from which a jury might
return a verdict in his favor." Id. at 257. If circumstances
are presented from which a jury could infer undue influence,
then summary judgment should be denied. See id. at 249
(Summary judgment will not be granted if "the moving parties'
submissions [have] not foreclosed the possibility of the
existence of certain facts from which it would be open to a
jury . . . to infer from the circumstances" that the elements
of a claim have been met.).
2. Should We Adopt Anderson?
{31}
We are inclined to agree with Justice Brennan's and
Justice Rehnquist's observations in their dissenting opinions.
It appears that Anderson's holding does not so much change the
standard for summary judgment proceedings, but merely creates
confusion for trial courts when determining the proper basis
for granting or denying summary judgment. See Anderson, 477 U.S. at 264-65 (Brennan, J., dissenting) (comparing the
court's ruling to "the child's game of 'telephone,' in which
a message is repeated from one person to another [until] the
message bears little resemblance to [the] original
[message]"); id. at 268-69 (Rehnquist, J., dissenting)
(determining that the court's opinion is "intellectual
tidiness" that would have little effect on summary judgment
proceedings). As noted by both dissents, the majority opinion
apparently continues to hold that "[c]redibility
determinations, the weighing of the evidence, and the drawing
of legitimate inferences from the facts are jury functions,
not [the function] of [the] judge." Id. at 255; see id. at
265 (Brennan, J., dissenting) (reiterating the majority's
holding that the trial court should not weigh the evidence);
id. at 270 (Rehnquist, J., dissenting) (pointing out that the
majority still leaves "credibility determinations" to the
jury).
{32}
Additionally, we share Justice Brennan's concern that the
Anderson approach to summary judgment could turn what is a
summary proceeding "into a full-blown paper trial on the
merits." Id. at 267 (Brennan, J., dissenting). This type of
approach places the trial court in the position of weighing
the evidence, which the majority in Anderson clearly
determined was the domain of the jury. See id. at 255
("[W]eighing of the evidence . . . [is a] jury function[].").
As Justice Brennan noted, determining whether evidence is
sufficient to establish by a preponderance or by clear and
convincing is the domain of the factfinder. Id. at 267-68
(Brennan, J., dissenting) (giving an example of the problem
with allowing the trial court to weigh evidence). It is
clearly necessary, in determining what standard is met, to
weigh the evidence. This is one of the many contradictions
found in Anderson's holding. It is not the function of the
trial court to weigh the evidence. See id. at 249 ("[A]t the
summary judgment stage[,] the [trial court's] function is
not . . . to weigh the evidence and determine the truth . . .
."). Yet, it is a trial court's function to determine the
weight a jury may give a particular piece of evidence. See
id. at 251 ("'[I]n every case . . . there is a preliminary
question for the [trial court], not whether there is literally
no evidence, but whether there is any upon which a jury could
properly proceed to find a verdict for the party producing
it . . . .'"). (Citation omitted.)
{33}
Finally, we agree with Justice Brennan that Anderson's
majority opinion "is replete with boilerplate language to the
effect that trial courts are not to weigh evidence when
deciding summary judgment motions . . . ." Id. at 265
(Brennan, J., dissenting). Yet, he correctly notes that the
majority's "opinion is also full of language [that] could
surely be understood as an invitation_if not an instruction_to
trial courts to assess and weigh evidence much as a juror
would . . . ." Id. at 266.
{34}
Justice Brennan's observation of Anderson's holding sums
up our own concern:
I simply cannot square the direction that the
judge "is not himself to weigh the evidence" with
the direction that the judge also bear in mind the
"quantum" of proof required and consider whether
the evidence is of sufficient "caliber or quantity"
to meet that "quantum." I would have thought that
a determination of the "caliber and quantity,"
i.e., the importance and value, of the evidence in
light of the "quantum," i.e., amount "required,"
could only be performed by weighing the evidence.
Id.
{35}
In summary, having reviewed Anderson's majority opinion
and its dissents, we are at a loss in ascertaining what
substantive benefits, if any, the case would have on the law
of summary judgment in New Mexico. Contestant contends on
appeal that application of Anderson has "brought about a
dramatic and fundamental change in summary judgment practice
in federal courts." She also claims that Anderson has
"resulted in more summary judgment motions being filed and
more such motions being granted." Finally, Contestant argues
that Anderson, along with other decisions, has "significantly
expanded the applicability of summary judgment into an
instrument designed to control both the volume of litigation
overall and its scope in any particular case." We need not
determine the merit of these arguments.
{36}
We also note at this juncture that procedural law in New
Mexico is not merely a mirror image of federal law. Before we
seriously consider a change in the traditional manner in which
our courts have conceptually viewed summary judgment
proceedings and adopt the federal approach, persuasive
arguments for that change must be presented. Petitioner has
failed to do so in this appeal. At this time, we perceive no
sound need or rationale for discarding what in New Mexico has
been a reliable method of applying the summary judgment rules,
in exchange for the uncertainty and the potentially chaotic
universe of the federal rule.
{37}
We make one final observation_there is one adverse effect
any express adoption of the parties' interpretation of
Anderson would have_confusion for trial courts. Trial courts,
we fear, would interpret such adoption as greater authority in
granting summary judgment motions and a greater invitation to
weigh the evidence. Whatever benefits might accrue to New
Mexico from adoption of the federal rule do not outweigh what
we see as its burdens.
{38}
The role of trial courts as gatekeepers has proven
beneficial to our judicial process. But we believe there are limits to the trial court's authority in not permitting an
entire case or a particular piece of evidence to be considered
by a jury, the ultimate trier of fact. Permitting trial
courts a license to quantify or analyze the evidence in a
given case under whatever standard may apply, we believe,
would adversely impact our jury system and infringe on the
jury's function as the trier of fact and the true arbiter of
the credibility of witnesses. Thus, in light of our Supreme
Court's ruling in Eoff, as well as our own reservations about
applying Anderson to state court proceedings, we decline to
adopt Anderson for summary judgment proceedings in New Mexico.
III. CONCLUSION
{39}
We determine that the cases relied on by Petitioner do
not support her claim that Anderson is "already the law of the
State of New Mexico." Additionally, we decline to adopt the
discussion or rationale in Anderson as procedural law in New
Mexico because policy considerations support the retention of
our traditional approach to summary judgment. We therefore
affirm the trial court's denial of summary judgment. The
parties shall bear their respective costs on appeal.
{40}
IT IS SO ORDERED.
__________________________
RUDY S. APODACA, Judge
I CONCUR:
___________________________________
RICHARD C. BOSSON, Judge
A. JOSEPH ALARID, Judge, specially concurring
ALARID, Judge (specially concurring)
{41} I am unable to find a clear message in New Mexico cases
discussing summary judgment standards in the aftermath of
Anderson and Celotex, two controversial federal summary
judgment cases. My review of New Mexico decisions indicates
that Anderson and Celotex have been cited in seven reported
appellate decisions. While Celotex's holding concerning the
movant's initial burden is not directly implicated in the
present case, I have surveyed New Mexico cases citing either
Anderson or Celotex because I believe they are equally
indicative of a tendency to treat federal and state summary
judgment standards as interchangeable.
{42} In Furgason v. Clausen, 109 N.M. 331, 785 P.2d 242 (Ct.
App. 1989), we acknowledged that in the wake of Gertz v.
Robert Welch, Inc., 418 U.S. 323 (1974), a plaintiff who is a
public figure must establish by clear and convincing evidence
that the defendant acted with actual malice, whereas a
plaintiff who is not a public figure must merely establish that the defendant negligently failed to check the truth or
falsity of the communication prior to publication. Furgason,
109 N.M. at 337-39, 785 P.2d at 248-50. In reversing the
grant of summary judgment in favor of the defendant, we cited
Anderson without any qualifying signal as direct support for
the proposition that "[a] motion for summary judgment in a
defamation action necessarily involves determination of the
substantive evidentiary standard of proof that would apply at
a trial on the merits." Furgason, 109 N.M. at 339, 785 P.2d
at 250.
{43} In Blauwkamp v. University of New Mexico Hospital, 114
N.M. 228, 836 P.2d 1249, (Ct. App. 1992), we held that the
defendants in a medical malpractice action could establish a
prima facie case of entitlement to summary judgment merely by
pointing out that the plaintiff lacked an expert witness and
without the necessity of presenting an affidavit by their own
expert. We discussed Celotex, holding that "on these facts
Celotex and existing New Mexico cases produce the same
result." Blauwkamp, 114 N.M. at 232, 836 P.2d at 1253.
{44} More recently, in Wolford v. Lasater, 1999-NMCA-024, 126
N.M. 614, 973 P.2d 866, we considered whether differences in
federal and state summary judgment standards would justify
denying preclusive effect to a summary judgment granted in
federal court. In Wolford, the plaintiff, citing Anderson,
argued that the trial court should have refused to give
preclusive effect to a prior federal summary judgment because
plaintiff "had a significantly heavier burden of persuasion
with respect to the issue in the initial action than in the
subsequent action." Wolford, 1999-NMCA-024, ¶ 5 (quoting
Restatement (Second) of Judgments § 28(4) (1980)). We
rejected this argument, stating that "[w]e agree with
Defendants' argument that the federal and our own state's
constructions of summary judgment do not differ
substantively." Wolford, 1999-NMCA-024, ¶ 11.
{45} A review of New Mexico Supreme Court decisions indicates
that our Supreme Court has cited Celotex or Anderson in four
cases: Eoff, discussed in the majority opinion; Goradia v.
Hahn Co., 111 N.M. 779, 810 P.2d 798 (1991); Paca v. K-Mart
Corp., 108 N.M. 479, 775 P.2d 245 (1989) and Peck v. Title USA
Ins. Corp., 108 N.M. 30, 766 P.2d 290 (1988). In Peck and
Paca the Supreme Court, employing the introductory signal,
"see also" cited Celotex for the unexceptional proposition
that summary judgment is appropriate where there are no
genuine issues of material fact. I find Goradia to be the
most interesting of the post-Anderson/Celotex cases.
{46} In my view, Goradia represents a significant move towards
adoption of Justice Ransom's special concurrence in Eoff.
Unlike Eoff, which was decided based on the movant's failure
to make out a prima facie case of entitlement to summary
judgment, Goradia was decided based on the non-movant's
failure to meet his burden in responding to a motion for
summary judgment. In Goradia, the Supreme Court described the applicable standard:
If from the facts presented, "but one
reasonable conclusion" can be drawn, Anderson, 477
U.S. at 250, then summary judgment must be granted.
Only if a fair minded factfinder, on the facts
presented in [defendant's] motion, could return a
verdict for [plaintiff] can [defendant's] motion be
denied. See, e.g., Chen v. Metropolitan Ins. and
Annuity Co., 907 F.2d 566, 567 (5th Cir. 1990)
(construing Anderson).
Goradia, 111 N.M. at 782, 810 P.2d at 801 (parallel citation
omitted). Goradia's fair-minded-juror summary judgment
standard mirrors New Mexico's directed verdict standard. See
Eoff, 109 N.M. at 702, 789 P.2d at 1269 (Ransom, J., specially
concurring) (motion for directed verdict must be denied where
sufficient evidence has been introduced to allow reasonable
juror to find in plaintiff's favor under applicable burden of
proof). The Goradia court's reliance on the Chen decision
further supports the conclusion that the Goradia court was
moving toward equating summary judgment and directed verdict
standards. In Chen, the United States Court of Appeals for
the Fifth Circuit described the non-movant's burden as
follows:
When [plaintiffs] received [defendant's] motion for
summary judgment, they bore the onus of
establishing that some fact issue existed showing
that the insured's death was accidental. The
[plaintiffs] were entitled to the trial court's
indulging in their favor all reasonable inferences
proceeding from the facts before it. If a fair
minded jury, on the facts presented in the motion,
could have returned a verdict for the [plaintiffs],
then the judge is required to deny the motion for
summary judgment. The motion for summary judgment
involves two competing interests: the [plaintiffs],
asserting that their claim is adequately based in
fact; and the insurer's defense that the
[plaintiffs'] claim has no basis in fact. The
trial court's obligation is to give due regard to
both interests, and the trial judge is not to
determine whether in his opinion the contradictory
evidence favors one side or the other.
Chen, 907 F.2d at 567-68 (citations to Anderson and Celotex
omitted) (emphasis added). Chen's fair-minded-jury-could-have-returned-a-verdict summary judgment standard is
remarkably similar to the directed verdict standard described
by Justice Ransom's concurrence in Eoff.
{47} Express adoption of Anderson would affect summary
judgment practice in two important ways. First, it would
eliminate any question as to whether the standards for
deciding summary judgments and directed verdict motions are
the same. See Anderson, 477 U.S. at 250-51. Second, it would require consideration of the applicable burden of proof in the
context of summary judgment. See Anderson, 477 U.S. at 252-55.
{48} By the time a case gets to the summary judgment phase,
the litigants will have had the benefit of our liberal
discovery provisions. If a party needs additional time to
respond to a premature motion for summary judgment, Rule 1-056(F) authorizes trial courts to grant continuances to enable
non-movants to develop evidence to oppose summary judgment.
The point of summary judgment seems to me to be to weed out
those cases in which a party's case is so weak that no
rational jury could return a verdict in that party's favor.
If the evidence a party has on hand to respond to a motion for
summary judgment is too weak to prove its case at trial, how
does that same evidence justify empaneling a jury? What
process occurs subsequent to summary judgment and prior to
trial to transform this inadequate evidence into a submissible
case? Anderson gives content to the term "genuine issue" by
directly relating this term to the non-movant's burden at
trial.
{49} Moreover, I believe that the majority overstates the
difficulties in applying Anderson. In particular, I do not
accept the premise that adoption of Anderson would embroil
trial courts in impermissible "weighing" of the evidence.
When a trial court rules on a motion for directed verdict or
a motion for judgment notwithstanding the verdict, it must
evaluate the evidence under the relevant burden of proof.
When we review the sufficiency of the evidence supporting a
criminal conviction or a judgment terminating parental rights,
we review the evidence in the light of heightened burdens of
proof. It is clear, however, that regardless of the
applicable burden of proof, in each of these contexts the
court does not weigh the evidence in the sense of deciding
credibility or assigning relative values to conflicting
evidence. If courts did not consider the varying burdens of
proof in reviewing the sufficiency of the evidence supporting
a party's case, these varying burdens of proof could simply be
disregarded by the factfinder. I believe that trial courts
are capable of making the same type of distinctions we make in
substantial evidence review, or that trial courts themselves
routinely make in ruling on motions for a directed verdict,
when they rule on motions for summary judgment.
{50} Based on my review of the record, I believe that
application of Anderson would likely be outcome-determinative
in the present case. Cf. In re Estate of Gersbach, 1998-NMSC-013, 125 N.M. 269, 960 P.2d 811 (reversing trial court finding
of undue influence on ground that evidence was insufficient to
enable reasonable factfinder to find by clear and convincing
evidence that testator made a gift he would not have made
absent improper influence). Nevertheless, I have chosen to
specially concur rather than to dissent because I believe that
the dispositive question on appeal is whether our Supreme
Court has, in fact, adopted the federal standards, and not whether New Mexico's traditional standards represent the
better approach. If our Supreme Court has adopted Anderson
and Celotex, we should apply their standards to this case. If
the Supreme Court has not, adoption of the federal standards
is tantamount to substantially rewriting Rule 1-056, and
therefore is beyond the authority of this Court. See Tafoya
v. S & S Plumbing Co., 97 N.M. 249, 252, 638 P.2d 1094, 1097
(Ct. App. 1981). While I am less confident than the other
members of the panel that New Mexico still clings to its pre-Anderson/Celotex summary judgment standards, I concur in the
result reached because of my belief that adoption of Anderson
or Celotex should be accomplished, if at all, by express
directive of our Supreme Court.
_______________________________
A. JOSEPH ALARID, Judge