PATRICIA BRECKENRIDGE, Judge.
The family of Ira Mayes (plaintiffs) appeals the judgments of the trial court dismissing two actions they brought against Dr. Richard Stuart, Mid-America Heart & Lung Surgeons, P.C.,
On appeal of case # 2, the plaintiffs assert the trial court erred in dismissing their case for failure to file health care affidavits because section 538.225 violates the "open courts" guarantee in article I, section 14 of the Missouri Constitution and their right to a trial by jury under article I, section 22(a) of the Missouri Constitution and because the plaintiffs substantially complied with section 538.225 so as to meet the statute's intent. Because the plaintiffs failed to preserve their constitutional challenges to section 538.225 and because they failed to show substantial compliance, the trial court's judgment dismissing case # 2 is affirmed.
On appeal of case # 3, the plaintiffs assert the trial court erred in dismissing the case under the statutes of limitations because application of the statutes of limitations violates the "open courts" guarantee in article I, section 14 of the Missouri Constitution and their right to a trial by jury under article I, section 22(a) of the Missouri Constitution. Because the trial court correctly applied the statutes of limitations in finding that the claims in case # 3 were time barred, the trial court's judgment in case # 3 is affirmed.
In March 2008, Dr. Stuart performed a same-day surgical procedure on Mr. Mayes at Saint Luke's to remove a sternal wire from a prior aortic valve replacement surgery. This procedure left an open wound in Mr. Mayes' chest. An infection developed at Mr. Mayes' wound site and spread to his heart. Mr. Mayes died March 28, 2008.
On March 4, 2010, the plaintiffs — Mr. Mayes' wife and five children — filed case # 1 against defendants, alleging wrongful death and lost chance of recovery claims. In addition to the wrongful death and lost chance of recovery claims, the plaintiffs pleaded several "constitutional objections" to various statutes relating to medical malpractice actions, including asserting that the requirements in section 538.225 violated their rights under the "open courts"
On August 26, 2011, the plaintiffs voluntarily dismissed case # 1 without prejudice but, on August 31, 2011, they filed case # 2, asserting the same claims and constitutional objections. The plaintiffs did not file health care affidavits in case # 2, however. In either June or July of 2012, counsel for Saint Luke's noticed that no health care affidavits were filed in case # 2 and informed the plaintiffs' counsel. On August 29, 2012, defendants jointly moved to dismiss case # 2 due to the plaintiffs' failure to file the required health care affidavits. The plaintiffs filed a motion to strike the motion to dismiss as untimely and suggestions in opposition to the motion to dismiss. In their suggestions, the plaintiffs again asserted that the motion to dismiss was untimely and further asserted that they had complied with section 538.225 by filing the required affidavits within 90 days of the filing of the petition in case # 1 because counsel for the defendants had agreed "to carry forth the original suit into this refiled suit." A hearing was held on these motions. In its judgment entered October 24, 2012, the trial court found that "the parties agreed that the discovery conducted in the prior lawsuit was to be used in [case # 2] — including the deposition testimony of Dr. Berg."
The plaintiffs then filed a motion to reconsider and temporarily set aside the order of dismissal,
Counsel for Saint. Luke's objected to this first attempt to suggest a constitutional challenge to the dismissal. The trial court overruled the motion, and the plaintiffs appealed.
On October 30, 2012, before filing the notice of appeal in case # 2, the plaintiffs filed case # 3 with the same allegations and claims as in cases # 1 and # 2.
As a preliminary matter, the Court will address Saint Luke's claim that there is no final, appealable judgment in case # 2. Generally, a dismissal without prejudice is not a final judgment and, therefore, is not appealable. Mahoney v. Doerhoff Surgical Servs., Inc., 807 S.W.2d 503, 506 (Mo. banc 1991). An exception exists "[w]hen the effect of the order is to dismiss the plaintiff's action and not the pleading merely." Id. When the party elects not to plead further and stands on the original pleadings, the dismissal without prejudice is considered a final and appealable judgment. Id. In Mahoney, this Court held a dismissal without prejudice under section 538.255 was final and appealable. Id.
Like Mahoney, the plaintiffs' petition in case # 2 was dismissed without prejudice under section 538.225 for their failure to file a health care affidavit. Saint Luke's asserts that, unlike in Mahoney, the plaintiffs elected not to stand on their original petition by filing another petition in case # 3 before filing a notice of appeal in case # 2. When a party elects to file another petition after a dismissal without prejudice, generally, the dismissal is not appealable. Getz v. TM Salinas, Inc., 412 S.W.3d 441, 447 (Mo.App.2013); Cramer v. Smoot, 291 S.W.3d 337, 339 (Mo.App.2009).
Despite the fact that the plaintiffs filed a new petition, they were not able to proceed on those new pleadings. The plaintiffs' wrongful death claims had to be filed within three years after the cause of
On appeal, the plaintiffs do not contend that case # 3 was timely filed under the savings provisions in section 516.230 and 537.100. Instead, they assert only that the requirements for filing health care affidavits in sections 516.230 and 537.100 are constitutionally invalid. Re-filing case # 3 did nothing to cure the defect that the plaintiffs assert, and doing so was not necessary to allow appellate review of their constitutional claims. See Basye v. Fayette R-III Sch. Dist. Bd. of Educ., 150 S.W.3d 111, 115 (Mo.App.2004). "If the dismissal was such that a refiling [sic] of the petition at that time would be a futile act, then the order of dismissal [without prejudice] is appealable." Nicholson v. Nicholson, 685 S.W.2d 588, 589 (Mo.App. 1985). Accordingly, the dismissal of case # 2 was a final and appealable judgment.
The plaintiffs assert the trial court erred in dismissing case # 2 for a failure to file health care affidavits because the affidavit requirement in section 538.225 violates their rights under the Missouri Constitution to open courts and a trial by jury. The defendants respond that these claims were not preserved properly in the trial court because the plaintiffs did not raise these arguments when faced with a motion to dismiss. To raise a constitutional challenge properly, the party must:
United C.O.D. v. State, 150 S.W.3d 311, 313 (Mo. banc 2004). The purpose of this rule is "to prevent surprise to the opposing party and permit the trial court an opportunity to fairly identify and rule on the issue." Winston v. Reorganized Sch. Dist. R-2, Lawrence Cnty., Miller, 636 S.W.2d 324, 327 (Mo. banc 1982).
The plaintiffs complied with the first two requirements by filing a petition in case # 2 that contained a section labeled "Constitutional Objections" in which the plaintiffs identify the specific constitutional provisions by challenging the health care affidavit requirement in section 538.225 as violating their right to a trial by jury, guaranteed by article I, section 22(a) of the Missouri Constitution, and their rights to "open courts and a certain remedy for every injury," guaranteed by article I, section 14 of the Missouri Constitution. This section of the plaintiffs' petition included numerous other constitutional challenges to section 538.225 and several other statutes.
The defendants primarily challenge preservation based on the fourth requirement for preservation — that the constitutional question must be preserved throughout the proceeding. The defendants are correct that, when they filed a motion to dismiss for failure to file health care affidavits, the plaintiffs failed to raise their constitutional objections. Rather, the plaintiffs' suggestions in opposition to the defendants' motion argued that they had complied with section 538.225 and that the motion to dismiss was untimely.
Even after the trial court had sustained the motion to dismiss and dismissed case # 2, the plaintiffs filed a motion to vacate without asserting any constitutional grounds. The plaintiffs only orally raised the constitutional issues to the trial court during a hearing on the motion to vacate that claimed substantial compliance with section 538.225. After dedicating most of his oral argument to the doctrine of substantial compliance, counsel for the plaintiffs stated in three sentences that application of the affidavit requirement violated his clients' rights to open courts and a certain remedy for every injury and trial by jury. Counsel did not cite any supporting cases or otherwise elaborate on these constitutional arguments. The plaintiffs' attempt to raise constitutional arguments at that time was objected to by counsel for Saint Luke's as waived because the claims were not timely raised. The record does not show that the trial court considered or ruled on the plaintiffs' constitutional claims when it exercised its discretion to consider their untimely claim of substantial compliance.
On appeal, the plaintiffs argue the trial court erred in dismissing their case because section 538.225 violates their constitutional rights. The record shows that the trial court did not have the opportunity to consider these constitutional claims when ruling on the defendants' motion to dismiss because the plaintiffs neglected to raise them. The requirements for preserving constitutional issues for appeal are in place "to permit the trial court an opportunity to fairly identify and rule on the issue." Land Clearance for Redevelopment Auth. of Kansas City, Missouri v. Kansas Univ. Endowment Ass'n, 805 S.W.2d 173, 175 (Mo. banc 1991). This requirement is not limited to constitutional questions because Rule 78.09 requires a party, "at the time the ruling or order of the court is made or sought, [to] make[] known to the court the action that the party desires the court to take or objections to the action of the court and grounds therefor." Failure to do so constitutes a waiver of the objection. See Pollard v. Whitener, 965 S.W.2d 281, 291 (Mo.App.1998); Niederkorn v. Niederkorn, 616 S.W.2d 529, 535 (Mo.App.1981). "It is well recognized that a party should not be entitled on appeal to claim error on the part of the trial court when the party did not call attention to the error at trial and did not give the court the opportunity to rule on the question." Niederkorn, 616 S.W.2d at 535.
To give the court an opportunity to rule on the issue, a party must make a timely objection or request, which is one "made when the occasion for the ruling desired first appears." Brown v. Thomas, 316 S.W.2d 234, 237 (Mo.App.1958). Here, the occasion for the plaintiffs' desired ruling regarding the constitutional validity of section 538.225 first appeared when the trial court was ruling on defendants' motion to
While the plaintiffs previously asserted constitutional objections in their petition, the statements in the petition alone were insufficient to raise these constitutional claims. The petition, which was filed almost a year before the defendants' motion to dismiss, contained a multitude of constitutional challenges and only conclusory statements that various statutes were unconstitutional without any application to the facts of this case. When asserting a constitutional claim, the party must "state the facts showing the [constitutional] violation." United C.O.D., 150 S.W.3d at 313. The plaintiffs' petition does not state facts showing that section 538.225 violates their constitutional rights or otherwise demonstrate how the statute is unconstitutional. Moreover, issues not presented to the trial court, even if pleaded in the petition, are not preserved for review. See Pilgrim Evangelical Lutheran Church of Unaltered Augsburg Confession of St. Louis, Mo. v. Lutheran Church-Missouri Synod Foundation, 661 S.W.2d 833, 840 (Mo.App. 1983). The constitutional objections in the petition, therefore, do not preserve the plaintiffs' claims for review when the plaintiffs failed to assert them in their response to the motion to dismiss.
Nor was the plaintiffs' failure to preserve remedied by their counsel's brief remarks regarding the constitutional claims during the hearing on the motion to vacate. "`An attack on the constitutionality of a statute is of such dignity and importance that the record touching such issues should be fully developed and not raised as an afterthought in a post-trial motion or on appeal.'"
Notwithstanding their failure to preserve the claims, the plaintiffs ask this Court to consider the merits of their constitutional claims because they are well developed in the parties' briefs and are unlikely to be reviewable in another case. The plaintiffs fail to provide support for this Court's authority to review unpreserved constitutional claims on this basis, and it declines to do so here.
Alternatively, the plaintiffs ask this Court to review their unpreserved claims for plain error. This Court has discretion to review unpreserved claims for plain error. In re Adoption of C.M.B.R., 332 S.W.3d 793, 808-09. Plain error review, however, rarely is granted in civil cases. St. Louis Cnty. v. River Bend Estates Homeowners' Ass'n, 408 S.W.3d 116, 125 n. 6 (Mo. banc 2013). The Court will review an unpreserved point for plain error only if there are "substantial grounds for believing that the trial court committed error that is evident, obvious and clear" and where the error "resulted in manifest injustice or miscarriage of justice." C.M.B.R., 332 S.W.3d at 809 (internal quotations omitted); Rule 78.08.
The alleged error is the trial court's dismissal of case # 2 under section 538.225 for the plaintiffs' failure to file health care affidavits. Section 538.225.6 states that a trial court "shall, upon motion of any party, dismiss the action" if affidavits have not been filed. Because no affidavits were filed in case # 2, the trial court dismissed the action as section 538.225 directs the court to do. If there was any error in applying section 538.225, such an error is not evident, obvious or clear when the trial court followed the requirements in a statute that has not been declared unconstitutional. This Court declines to review the plaintiffs' claims for plain error.
Saint Luke's asserts that the plaintiffs' failure to preserve the constitutional issues means this Court does not
The plaintiffs also assert the trial court erred in dismissing case # 2 because they had substantially complied with section 538.225 so as to meet its intent by filing the required health care affidavits in case # 1, producing the expert disclosed in those affidavits for a deposition in case # 1, and agreeing to transfer discovery conducted during case # 1 to case # 2. The defendants argue that the plaintiffs' substantial compliance claim, like their constitutional claims, was not preserved for review because it was not raised in the plaintiffs' response to the motion to dismiss.
Claims of error presented to or expressly decided by the trial court are preserved for review. Section 512.160, RSMo 2000. The plaintiffs' substantial compliance argument was presented sufficiently to the trial court. In their motion to vacate, the plaintiffs identified the law with respect to the substantial compliance doctrine, provided several citations to authority, and applied the law to the facts of their case. The defendants did not object to the substantial compliance argument as untimely, and the motion was set for a hearing. The hearing transcript shows that the trial court exercised its discretion to adjudicate the merits of the plaintiffs' substantial compliance claim when overruling the motion to vacate. Therefore, the plaintiffs' claim that the trial court erred in dismissing case # 2 because they had substantially
On occasion, this Court has construed certain procedural statutes and rules to find that substantial compliance with the requirements is sufficient. See Brickell v. Kansas City, Mo., 364 Mo. 679, 265 S.W.2d 342, 344-45 (1954); State ex rel. Maring v. Swanger, 212 Mo. 472, 111 S.W. 7, 7-8 (1908). This Court has allowed substantial compliance under a statutory directive to construe a statute liberally or under a statute that expressly allows for substantial compliance. Pierson v. Treasurer of State, 126 S.W.3d 386, 388 (Mo. banc 2004) (statutorily required to construe workers' compensation statutes liberally); Committee For A Healthy Future, Inc. v. Carnahan, 201 S.W.3d 503, (Mo. banc 2006) (finding deviation from statutory form was not fatal when statute stated it is sufficient to follow the form substantially); Ginger v. Halferty, 193 S.W.2d 503, (Mo.1946) (allowing substantial compliance with statutory ballot form when statute stated that form may be "substantially as follows"). On the other hand, this Court has refused to allow substantial compliance where it would be contrary to the unambiguous language of a statute. Gray v. Reorganized Sch. Dist. R-4 of Oregon Cnty., 356 S.W.2d 55, 58 (Mo. banc 1962) (time and quantity requirements in notice statute requires actual compliance in full); State ex Inf. Mayfield ex rel. Bradford v. Crisp, 248 S.W.2d 664, 665 (Mo.1952) (statute required school district director to be taxpayer who "shall have paid a state and county tax within one year preceding his ... election"). This Court has never addressed whether substantial compliance can satisfy section 538.225's requirements, but a review of these cases and others discussing substantial compliance weighs against such a finding.
Section 538.225 provides in pertinent part:
There is no statute directing courts to construe liberally section 538.225, and the statute lacks any language indicating that a plaintiff's affidavit may contain substantially similar information. Instead, the language regarding the affidavit requirement is unambiguous and mandatory. The plaintiff "s hall file an affidavit with the court," and if the plaintiff fails to do so, "the court shall, upon motion of any party, dismiss the action." Id. (emphasis added). Prior to 2005, the statute stated that a court may dismiss the action if the plaintiff fails to file the affidavit. Section 538.225, RSMo 2000. It then was amended to require mandatory dismissal. Section 538.225. The statutory language, both in terms of directing a plaintiff to file an affidavit and directing the court to dismiss the action if an affidavit is not filed, demonstrates that the legislature intended the
Even if this Court were to conclude that section 538.225 allows for substantial compliance, the plaintiffs' actions do not constitute substantial compliance. The plaintiffs argue that they substantially complied because they showed their claims were not frivolous by filing health care affidavits in case # 1 and with Dr. Berg's deposition testimony, which was a part of the discovery in case # 2. While the purpose of section 538.225 is to stop medical malpractice suits "that lack even color of merit" at an early stage, see Mahoney, 807 S.W.2d at 507, merely showing that this case does not violate that purpose does not amount to substantial compliance. Rather, in the cases where a party was found to substantially comply, the party made an attempt — albeit a deficient attempt — to comply with the procedure. See, e.g., David v. City of St. Louis, 339 Mo. 241, 96 S.W.2d 353, 355-56 (1936) (notice to mayor that plaintiff was injured on a particular date was sufficient for notice requirement even if did not state the circumstances and character of injuries); State ex rel. Title Guaranty & Trust Co. v. Broaddus, 210 Mo. 1, 108 S.W. 544, 545-46 (1908) (affidavit for appeal stating that affiant considered "himself" aggrieved by judgment complied with statutory requirement that affiant state that "appellant" is aggrieved); Putnam v. Ross, 46 Mo. 337, 338-39 (Mo.1870) (notice of mechanic's lien listing debtors as "Ross & Shane" complied with requirement to list debtors although only Ross was a debtor). Cf. State ex re. Scott v. Kirkpatrick, 484 S.W.2d 161, 164 (Mo. banc 1972) (no substantial compliance with the requirement that an initiative petition contain an enacting clause when the petition contained no enacting clause). Here, the plaintiffs were required to file a health care affidavit with the trial court in case # 2, but they never attempted to file an affidavit with the trial court in that case.
The plaintiffs contend they attempted to comply with section 538.225 by filing health care affidavits in case # 1 and by transferring the deposition testimony of Dr. Berg to case # 2. The affidavits filed in case # 1 cannot constitute an attempt to comply with the affidavit requirement for case # 2 because case # 1 had been dismissed voluntarily. When a case is voluntarily dismissed, it is as if the case had never been filed. White v. Tariq, 299 S.W.3d 1, 4 (Mo.App.2009). Therefore, any filings in a voluntarily dismissed case are treated as if they had never been filed.
Similarly, the deposition testimony of Dr. Berg does not amount to substantial compliance with section 538.225 because it was never filed with the trial court. Section 538.225 requires a party to file the required information with the court. If section 538.225 allowed for substantial compliance, a party would have to file, at the very least, the required information with the trial court. The deposition transcript is only part of the parties' discovery. It never was filed with the trial court, nor was anything filed with the court within the required time period referencing the existence of the deposition. Dr. Berg's deposition testimony does not constitute substantial compliance with section 538.225.
The plaintiffs also appeal the trial court's dismissal of their claims in case # 3 under the statutes of limitations, claiming application of the statutes of limitations
In ruling on the defendants' motions to dismiss case # 3, the trial court only considered section 537.100, RSMo 2000, which provides the applicable statute of limitations for the plaintiffs' wrongful death action. Under section 537.100, RSMo 2000, the plaintiffs' wrongful death claims expired March 28, 2011 — three years after Mr. Mayes died. The plaintiffs filed case # 3 on October 30, 2012, more than a year after the statute of limitations period expired.
Nevertheless, the plaintiffs argue the trial court indirectly dismissed case # 3 for their failure to file health care affidavits in case # 2. But, they fail to show the trial court's authority, when applying the statute of limitations, for considering whether a previous action was dismissed unconstitutionally. Merely because the plaintiffs would not have had to file case # 3 but for case # 2 being dismissed under section 538.225 does not invoke section 538.225 in the dismissal of case # 3. The trial court properly dismissed case # 3 because, as
The plaintiffs' claims of error with respect to case # 3 are simply a thinly veiled attack on the court's dismissal of case # 2. Generally, a party cannot attack the validity of a judgment by a collateral attack. Reimer v. Hayes, 365 S.W.3d 280, 283 (Mo.App.2012). The plaintiffs can challenge the dismissal of case # 2 only through a direct appeal of case # 2. The plaintiffs attempt to do so, but their failure to preserve their claims precludes this Court from reviewing them. And this Court cannot review those claims in the appeal of case # 3.
The plaintiffs failed to preserve their constitutional claims in case # 2 for appellate review by failing to raise them in their response to the defendants' motion to dismiss, which was when the occasion for raising the claims first appeared. Additionally, the plaintiffs fail to demonstrate that they substantially complied with section 538.225. Accordingly, this Court affirms the trial court's judgment in case # 2.
The plaintiffs' points of error regarding the trial court's dismissal of case # 3 challenge the constitutional validity of section 538.225, which was not at issue in the dismissal of case # 3. The plaintiffs' claims in case # 3 were barred by the statutes of limitations, and the trial court properly dismissed the claims under the statutes of limitations without consideration of whether the dismissal of case # 2 pursuant to section 538.225 violated the plaintiffs' constitutional rights. Therefore, this Court affirms the trial court's judgment in case # 3.
RUSSELL, C.J., FISCHER, STITH, DRAPER and WILSON, JJ., concur; TEITELMAN, J., dissents.