NOT FOR PUBLICATION WITHOUT THE
APPROVAL OF THE APPELLATE DIVISION
SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-6000-98T2
GARY KUBIAK, JR., and SUSAN
KUBIAK, Individually and
as Parents and Natural Guardians
of the Minor Plaintiff, DANA
KUBIAK,
Plaintiffs-Appellants,
v.
ROBERT WOOD JOHNSON UNIVERSITY
HOSPITAL,
Defendant-Respondent/
Cross-Appellant,
and
DAVID SHARLIN, M.D., GLENN
PALSKY, M.D., and DELAWARE VALLEY
PEDIATRIC ASSOCIATES, P.A.,
Defendants-Respondents,
and
IMRA CHAUDHRI, M.D.,
Defendant.
________________________________________
Argued: January 3, 2000 - Decided: June 26,
2000
Before Judges Havey, A. A. Rodríguez and
Collester.
On appeal from the Superior Court of New
Jersey, Law Division, Mercer County.
Michael S. Levin argued the cause for
appellants (Flager & Yockey, attorneys;
Mr. Levin and J. Davy Yockey, on the briefs).
Lauren H. Walter argued the cause for
respondent/cross-appellant Robert Wood Johnson
University Hospital (Ronan, Tuzzio & Giannone,
attorneys; Ms. Walter on the briefs).
Joseph R. Lang argued the cause for
respondents Dr. David Sharlin, Dr. Glenn
Palsky and Delaware Valley Pediatric
Associates, P.A. (Lenox, Socey, Wilgus,
Formidoni & Casey, attorneys; Mr. Lang on the
brief).
The opinion of the court was delivered by
RODRÍGUEZ, A. A., J.A.D.
The novel issue presented in this appeal is whether dismissal
of a medical malpractice complaint for failure to provide a timely
affidavit of merit, as required by N.J.S.A. 2A:53A-27, the
Affidavit of Merit Statute (AMS), should be without prejudice
because the action is prosecuted on behalf of a minor. We hold
that, although the two-year personal injury statute of limitations,
N.J.S.A. 2A:14-21, is tolled during an injured person's minority,
once an action is filed on behalf of the minor, failure to comply
with the AMS will result in a dismissal with prejudice.
I
The pertinent facts are as follows. On July 4, 1996, four
year old Dana Kubiak was treated by Imran Chaudhri, M.D., an
emergency room physician at Robert Wood Johnson University Hospital
(Hospital), for a laceration to her right middle finger. Dr.
Chaudhri sutured the finger to close the wound. Plaintiffs claim
that Dr. Chaudhri committed an act of medical malpractice by
failing to recognize the severe tendon damage caused by the
laceration. Several days later, the stitches were removed by David
Sharlin, M.D., the family's pediatrician. They further allege that
Dr. Sharlin failed to recognize the extent of the tendon damage and
to take the medical steps necessary to repair the damaged tendon.
Dana's parents, Gary Kubiak, Jr. and Susan Kubiak
(plaintiffs), sued Dr. Chaudhri and his employer, the Hospital.
Plaintiffs also sued Dr. Sharlin, his partner Glenn Palsky, M.D.,
and their professional association Delaware Valley Pediatrics
(collectively "DV Pediatrics"). Before suit was filed, plaintiffs'
counsel obtained an outline prepared by Jeffrey A. Lindenbaum,
D.O., a physician who is board-certified in family practice. This
outline indicated that plaintiffs had a "valid claim" against all
defendants. However, this outline was not provided to defendants.
DV Pediatrics answered the complaint and moved 139 days later
to dismiss plaintiffs' complaint for failure to provide a timely
affidavit of merit. DV Pediatrics also challenged Dr. Lindenbaum's
qualification to provide an affidavit of merit because he is not a
pediatrician. The Hospital also filed a motion to dismiss the
complaint for failure to provide a timely affidavit 98 days after
filing its answer. Plaintiffs responded by providing to the
Hospital and DV Pediatrics affidavits of merit by Dr. Lindenbaum
and Steven Costalas, D.O., a board-certified physician in Emergency
Medicine.See footnote 11
At oral argument on the motion, the judge asked why plaintiffs
failed to provide a timely affidavit of merit to the defendants.
Plaintiffs' counsel explained that it was due to "an oversight of
counsel." He added: "I didn't recognize we didn't have it." The
judge concluded that plaintiffs' explanation did not constitute
good cause. Accordingly, the judge granted DV Pediatrics' and the
Hospital's motions and dismissed the complaint with prejudice.
Plaintiffs moved for reconsideration. Upon reconsideration,
the judge denied plaintiffs' motion as to DV Pediatrics. As to the
Hospital, the judge granted the motion because the Lindenbaum and
Costalos affidavits were submitted within 120 days of the filing of
the Hospital's answer. These are interlocutory orders because at
the time of this entry, defendant, Imran Chaudhri, M.D., had not
yet been served with the summons and complaint. As such,
plaintiffs moved for leave to appeal from the denial of their
motion for reconsideration as to DV Pediatrics. We granted leave.See footnote 22
The Hospital cross-appealed as to the order reinstating plaintiffs'
complaint against it.
On appeal, plaintiffs contend that the judge erred in
dismissing their claim with prejudice because: (1) the AMS is
ambiguous; (2) plaintiffs substantially complied with the AMS'
requirements; and (3) extraordinary circumstances existed.
II
At the outset, we note a deficiency which unnecessarily
burdened our appellate review. Specifically, plaintiffs' counsel
failed to comply with
Rule 2:6-1(c) because their appendix's table
of contents does not "indicate the initial page of each document,
exhibit or other paper included . . . ." The rule requires that
"attachments to a document by way of affidavits, exhibits or
otherwise shall each be separately identified in the table of
contents
and the initial page of each such attachment noted
therein."
Ibid. (emphasis added). The purpose of this rule is to
provide easy access to the individual items contained in the
appendix. The rule is not burdensome. However, a litigant's
failure to abide by this rule can be quite burdensome on this court
because it requires us to waste time flipping page by page through
the appendix to locate a specific item. When, as frequently
happens, the appendix is voluminous the process is similar to
searching for the proverbial needle in a haystack.
III
Plaintiffs' first contention is that the AMS is ambiguous as
to when the sixty-day period for submitting an affidavit of merit
begins to run. We disagree. The AMS was enacted in 1995 as part
of a comprehensive package of tort reform bills passed in an effort
"to 'bring common sense and equity to the state's civil litigation
system.'"
Cornblatt v. Barow,
153 N.J. 218, 228 (1998) (quoting
Office of the Governor,
News Release 1 (June 29, 1995)). The AMS
provides in pertinent part:
In any action for damages for personal
injures, wrongful death or property damage
resulting from an alleged act of malpractice
or negligence by a licensed person in his
profession or occupation, the plaintiff shall,
within 60 days following the date of filing of
the answer to the complaint by the defendant,
provide each defendant with an affidavit of an
appropriate licensed person that there exists
a reasonable probability that the care, skill
or knowledge exercised or exhibited in the
treatment, practice or work that is the
subject of the complaint, fell outside
acceptable professional or occupational
standards or treatment practices. The court
may grant no more than one additional period,
not to exceed 60 days, to file the affidavit
pursuant to this section, upon a finding of
good cause.
[
N.J.S.A. 2A:53A-27.]
The purpose of this statute "was to require plaintiffs in
malpractice cases to make a threshold showing that their claim is
meritorious."
In re Petition of Hall,
147 N.J. 379, 391 (1997).
Failure to provide this threshold showing "constitutes a failure to
state a cause of action against that defendant."
Id. at 390
(citing
N.J.S.A. 2A:53A-29). Therefore, where a plaintiff fails to
comply with the filing requirements of the statute, a motion to
dismiss should be granted "with prejudice in all but extraordinary
circumstances."
Cornblatt,
supra, 153
N.J. at 242.
Plaintiffs allege that they failed to provide DV Pediatrics
with a timely affidavit of merit because it interpreted the statute
to require that it "be provided within no later than 120 days after
the filing of the
last filed answer." Therefore, plaintiffs argue
that, in cases involving multiple defendants, the AMS requires that
all answers be filed before the sixty-day period begins to run.
This is simply not so. As the Supreme Court has held, the AMS
mandates that "the plaintiff, within sixty days of the filing of an
answer to the complaint by
each defendant, must provide
that
defendant with an affidavit."
In re Petition of Hall,
supra, 147
N.J. at 390 (emphasis added).
Plaintiffs argue, in the alternative, that the doctrine of
substantial compliance should be applied here in order to avoid a
"technical defeat" of their valid claims.
Cornblatt,
supra, 153
N.J. at 239. They assert substantial compliance with the filing
requirements of the AMS because they "obtained the functional
equivalent of an affidavit of merit from a suitably licensed
practitioner in advance of the time [the] affidavits were required
of the plaintiffs." This, however, is not substantial compliance.
The AMS requires that a plaintiff "shall provide each defendant
with [the] affidavit," not merely obtain same.
N.J.S.A. 2A:53A-27.
Moreover, in
Burns v. Belafsky,
326 N.J. Super. 462, 468 (App. Div.
1999),
certif. granted, __
N.J. __ (2000), we held that the
substantial compliance doctrine is implicated only in the narrow
context "where a certification was used in lieu of an affidavit."
We observed that "[t]he Supreme Court set forth the requisite
circumstances justifying invocation of the substantial compliance
doctrine."
Id. at 468-69. One such circumstance would include
"'at the very least the
timely filing of a certification otherwise
complying with all the specifications for an Affidavit of Merit. .
. .'"
Id. at 469 (quoting
Cornblatt,
supra, 153
N.J. at 240).
Here, no such timely filing of a certification occurred.
IV
Plaintiffs also contend that the judge erred in dismissing the
complaint with prejudice because of the following extraordinary
circumstance; Dana is a minor and "incapable of acting for herself
until attaining the age of eighteen." Therefore, the dismissal of
the complaint filed on her behalf "is patently unjust" and
"impermissibly abrogates [her] . . . substantive rights under
N.J.S.A. 2A:14-21," which tolls the statute of limitations for
minors until such time as they reach the age of eighteen.
Plaintiffs also argue that the Tort Claims Act (
N.J.S.A. 59:1-1 to
12-3) has, in effect, expressly recognized a minor's status to be
an "extraordinary circumstance." Specifically, the Tort Claims Act
provides for the late filing of a notice of a minor's or
incompetent person's claim until such time as the person comes to
"full age or sane mind."
N.J.S.A. 59:8-8. Plaintiffs assert that
the Legislature's purpose in providing this safety valve
demonstrates their concern for "the interests of minors" and that
"a similar rule of fundamental fairness must be implied [in the
AMS] where . . . the plaintiff is a minor."
Plaintiffs acknowledge, however, that the Legislature
expressly provided, by statute, the tolling of civil claims and
tort claims filed against public entities by minors. Yet, the
Legislature did not provide an exception for minors in the filing
requirements set by the AMS. This omission is telling and in other
contexts, similar omissions have been dispositive.
See Scharwenka
v. Cryogenics Management, Inc.,
163 N.J. Super. 16, 21-22 (App.
Div. 1978) (refusing to extend tolling of a minor's dependency
petition of workers' compensation benefits which was time barred
under
N.J.S.A. 34:15-41 because it did not expressly provide for an
exception or qualification as to minors);
Giantonio v. Reliance
Ins. Co.,
175 N.J. Super. 309, 314-15 (Law Div. 1980) (refusing to
extend tolling provision for infants in the statute of limitations
for PIP benefits reasoning that the Legislature could have
effortlessly done so had it been their intention).
Moreover, the AMS requires dismissal of a malpractice
complaint because an affidavit of merit is not timely filed, not
because a period of limitations has expired. The tolling of the
period of limitations pursuant to
N.J.S.A. 2A:14-21 and 59:8-8 is
to protect the legal rights of the minor who cannot be "expected to
understand or act upon [their] legal rights . . . ."
O'Connor v.
Altus,
67 N.J. 106, 132 (1975). However, where, as here, a
guardian ad litem pursues a child's claim on behalf of the minor,
the guardian steps into the shoes of the minor and is obligated to
comply with court rules and the applicable statutes. In short, a
minor is protected from a parent's or guardian's inaction, but not
by their improvident actions in the course of litigation. A
dismissal for failure to comply with the AMS is not any different
than a dismissal after plenary or summary adjudication. Under
those circumstances, the minor is barred by the doctrine of
res
judicata from re-litigating the action.
Therefore, if a guardian pursues a malpractice action on
behalf of a minor, a dismissal with prejudice will ensue if the AMS
requirements are not met. Accordingly, we hold that plaintiffs
have failed to meet the requirements of the AMS with respect to DV
Pediatrics because they did not submit either an affidavit of merit
within sixty days of the filing of the answer or a motion to
extend, for good cause, the sixty-day period. We also conclude
that the fact of Dana's minority does not call for a dismissal
without prejudice as a result of non-compliance with the AMS's
requirement.
V
On cross-appeal, the Hospital argues that the judge erred in
reconsidering the dismissal of plaintiffs' complaint against it.
In
Burns,
supra,
326
N.J. Super. at 472, we held that "counsel's
neglect qualifies as good cause thereby establishing the right to
an extension [where] the affidavit filed sets forth a 'threshold
showing' of malpractice and [is] filed within the extension time
period permitted by the statute." We reasoned that the
Legislature, in preventing the filing of meritless claims, did "not
intend[] to establish a period of limitation beyond which claims
should be barred."
Ibid. Although counsel's oversight "would not
qualify as good cause to excuse a failure to file within the period
set by a statute of limitations," the purpose of precluding stale
claims is quite different than weeding out meritless claims.
Ibid.
We held that "[a]bsent demonstrable prejudice, 'it is neither
necessary nor proper to visit the sins of the attorney upon his
blameless client.'"
Id. at 471 (quoting
Jansson v. Fairleigh
Dickinson Univ.,
198 N.J. Super. 190, 196 (App. Div. 1985)).
Here, we have not been provided with a copy of the transcript
containing the judge's reason for reconsideration. We do not know
whether the judge considered any claims of prejudice to the
Hospital. We therefore, remand to the Law Division for a
determination of whether plaintiffs are entitled to an extension of
the sixty-day period in which to file an affidavit of merit against
the Hospital.
Accordingly, the summary judgment dismissing the complaint as
to DV Pediatrics is affirmed, and the order reconsidering the
dismissal of the complaint against the Hospital is reversed and
remanded.
Footnote: 1 1Both affidavits are very sparse. Their language is
identical. The affidavits state:
I . . . have reviewed the pertinent medical
records relating to Dana Kubiak's lacerated
right middle finger injury on or about July
4, 1996 and there is reasonable probability
that the care and treatment given by the
Defendants, Robert Wood Johnson University
Hospital and Dr. Imran Chaudhri fell outside
acceptable professional standards and
practices.
Footnote: 2 2Kubiak v. Robert Wood Johnson Univ. Hosp., No. M-6161-98
(App. Div. July 8, 1999).