Looney v. Moore

18 F. Supp. 3d 1338, 2014 WL 1877596, 2014 U.S. Dist. LEXIS 64869
CourtDistrict Court, N.D. Alabama
DecidedMay 12, 2014
DocketCivil Action No. 2:13-CV-00733-KOB
StatusPublished

This text of 18 F. Supp. 3d 1338 (Looney v. Moore) is published on Counsel Stack Legal Research, covering District Court, N.D. Alabama primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Looney v. Moore, 18 F. Supp. 3d 1338, 2014 WL 1877596, 2014 U.S. Dist. LEXIS 64869 (N.D. Ala. 2014).

Opinion

MEMORANDUM OPINION

KARON OWEN BOWDRE, Chief Judge.

This case involves a clinical research trial performed on premature infants with low birth weights. The purported class action suit-brought by the infant Plaintiffs, by and through their parents, alleges that the members of the University of Alabama [1339]*1339at Birmingham Institutional Review Board were negligent and lacked the informed consent of the participants, among other allegations. (Doc. 32).

This matter comes before the court on “Plaintiffs’ Motion to Compel Production of Institutional Review Board Documents Allegedly Protected by the Peer-Review Privilege.” (Doc. 45). In their motion, Plaintiffs ask the court to compel UAB to produce the documents generated by the Institutional Review Board (“IRB”) relating to “Surfactant Positive Pressure, and Oxygenation Randomized Trial” (“SUPPORT”). Defendants argue that the IRB’s documents are privileged under Alabama Code § 22-21-8. (Doc. 46). The substance of both parties’ arguments focuses on whether § 22-21-8 applies to the UAB IRB.

For the reasons discussed below, the court finds that the privilege from § 22-21-8 applies to the UAB IRB. Therefore, the court will deny the motion to compel without prejudice to Plaintiffs refiling at a later time, if necessary.

I. Alabama Code § 22-21-8 Applies to the UAB IRB

The key point of contention among the parties is whether. Alabama Code § 22-21-8 applies to the UAB IRB documents and, even if it applies, whether federal regulations preempt its use here. The application of this particular statute to an IRB is a matter of first impression in Alabama, although other state and federal courts have addressed the peer review privilege statutes of other states that have varying degrees of similarity to the Alabama version.

The function of § 22-21-8 is to render certain materials confidential and prevent those materials from being “subject to discovery or introduction in evidence in any civil action against, a health care professional or institution arising out of matters which are the subject of evaluation and review for accreditation, quality assurance or similar functions, purposes, or activities.” Ala.Code § 22-21-8 (1975). On its face, § 22-21-8 applies to “materials prepared by an employee, advisor, or consultant of a hospital, clinic, or medical staff and to materials prepared by an employee, advisor or consultant of an accrediting, quality assurance or similar agency or similar body....” Id. (emphasis added).

The Alabama Supreme Court has noted the title of the Act creating the statute— “To provide for the confidentiality of all written materials and activities concerning the accreditation, quality assurance, or similar function of any hospital, clinic, or medical staff’ — and interpreted § 22-21-8 expansively, “[gjiven the broad language used by the Legislature in the title of the Act.” Ex parte Krothapalli, 762 So.2d 886, 888-39 (Ala.2000) (holding that physician’s applications for staff privileges were protected by § 22-21-8, but that the statute would not preclude discovery of records obtained from sources other than the hospital review committee).

As such, the primary questions for this court are whether (1) the IRB’s documents were created for quality assurance purposes, (2) the IRBs documents are needed to guarantee the high quality of care for patients, and (3) the confidentiality of the reports and statements is necessary. See Ex parte Fairfield Nursing & Rehab. Ctr., L.L.C., 22 So.3d 445, 450 (Ala.2009). In support of its position that the privilege applies, UAB submitted affidavits describing the purpose, function, and practices of the UAB IRB. (Docs. 46-1, 46-2). The affidavits for Sheila Moore and Dr. Ferdinand Urthaler provide compelling evidence that the IRB’s function regarding SUPPORT involved evaluating and seek[1340]*1340ing to improve the quality of health care, as well as evaluating the qualifications, competence, and performance of providers of health care. The affidavits also address the necessity of confidentiality to the integrity of the IRB process. Thus, the IRB documents appear to fall in the protection of § 22-21-8.

Plaintiffs rely on three cases finding that IRBs are not entitled to protection under- state peer review statutes. In two of these cases, however, the underlying statute at issue, unlike the Alabama statute, made no mention of quality assurance. See P.J. v. Utah, 247 F.R.D. 664 (D.Utah 2007) (examining Utah Code Ann. § 26-25-8); Esdale v. Am. Cmty. Mut. Ins. Co., No. 94C4600, 1995 WL 263479, at *2 (N.D.Ill. May 3, 1995) (examining Texas Health and Safety Code, § 161.032 and § 5.06 of Texas Revised Civil Statutes Annotated 4495b). Furthermore, in all three of these cases that Plaintiffs cite, the courts narrowly construed the underlying peer review privileges. See Konrady v. Oesterling, 149 F.R.D. 592 (D.Minn.1993) (turning on the fact that the Minnesota Supreme Court considered the privilege to be “narrowly limited”); P.J., 247 F.R.D. at 671 (noting that caution should be used in expanding the role of the federal common law of privilege in discovery); Esdale, 1995 WL 263479, at *3 (noting that' “because evidentiary privileges operate to exclude relevant evidence and therefore to block the judicial fact finding function, they are not favored and, where recognized must be' narrowly construed.”). In Esdale, the one case where the federal court itself imposed the narrow construction rather than relying on a narrow construction from the state court, the Office of the Attorney General of Texas subsequently issued an opinion disagreeing with the Northern District of Illinois’s interpretation of Texas law in Esdale. Tex. Atty. Gen. Op. OR2001-0912 (Tex.A.G.) (“[I]n contrast to the Esdale court, this office does believe the Texas legislature intended to cover entities such as the IRB.... ”).

Here, however, Alabama courts have broadly interpreted § 22-21-8. See Krothapalli, 762 So.2d at 838-39. Thus, this case becomes more analogous to those cases finding IRBs to be protected under the peer review privilege. See KD, 715 F.Supp.2d at 593 (quoting Baltimore Sun Co. v. Univ. of Md. Medical Sys. Corp., 321 Md. 659, 584 A.2d 683, 687 (1991)) (finding the peer review' privilege applied-to the IRB, in part, because Maryland’s statute “provided ‘broad statutory protection’ ”); Pomona Valley Hosp. Med. Ctr. v. Superior Ct. of Los Angeles Cnty., 209 Cal.App.4th 687, 696, 147 Cal.Rptr.3d 376 (Cal.Ct.App.2012) (holding that “California’s protection is broader than Minnesota’s peer review statute.”); Doe v. Ill. Masonic Med. Ctr., 297 Ill.App.3d 240, 231 Ill.Dec. 411, 696 N.E.2d 707, 710 (1998) (holding that “the Illinois statute is broader than the Minnesota statute construed in Konrady ”). Given the broad scope of the Alabama privilege supported by the language of the statute, the court finds that the documents generated by the IRB are privileged under § 22-21-8 because they involve quality assurance review of the SUPPORT program.

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Cite This Page — Counsel Stack

Bluebook (online)
18 F. Supp. 3d 1338, 2014 WL 1877596, 2014 U.S. Dist. LEXIS 64869, Counsel Stack Legal Research, https://law.counselstack.com/opinion/looney-v-moore-alnd-2014.