Sulzen v. Williams

• Decision Date: 11 March 1999
• Docket Number: Nos. 981272-C,971301-CA,s. 981272-C
• Citation: 977 P.2d 497
• Parties: 364 Utah Adv. Rep. 55, 1999 UT App 76 Robert and Kathleen SULZEN, individually, and as guardians of Brandon James Holton, Plaintiffs and Appellants, v. Anita WILLIAMS, mother and general guardian of Seth Jepson; and Barry Carstensen, father and general guardian of Shaun Carstensen, Defendants and Appellees.
• Court: Utah Court of Appeals

Page 497

977 P.2d 497

364 Utah Adv. Rep. 55, 1999 UT App 76

Robert and Kathleen SULZEN, individually, and as guardians of Brandon James Holton, Plaintiffs and Appellants, v. Anita WILLIAMS, mother and general guardian of Seth Jepson; and Barry Carstensen, father and general guardian

of Shaun Carstensen, Defendants and Appellees.

Nos. 981272-CA, 971301-CA.

Court of Appeals of Utah.

March 11, 1999.

James R. Hasenyager, Marquardt, Hasenyager & Custen, Ogden, for Appellants.

Julianne Blanch, Robert C. Keller, Snow, Christensen, & Martineau, Salt Lake City, for Appellees Anita Williams and Seth Jepson.

Joseph J. Joyce and Kristin A. Vanorman, Strong & Hanni, Salt Lake City, for Appellees Carstensen.

Before GREENWOOD, Associate P.J., and JACKSON and ORME, JJ.

OPINION

ORME, Judge:

¶1 Plaintiffs Robert and Kathleen Sulzen, individually and on behalf of their grandson, Brandon Holton, over whom the Sulzens have legal guardianship, appeal the trial court's refusal to permit them to amend their complaint and dismissal of their wrongful death action. ¹ We reverse.

BACKGROUND

¶2 On July 25, 1994, Elizabeth Holton and her son, Brandon, accompanied Elizabeth's parents, the Sulzens, to the Hanging Rock Picnic area in American Fork Canyon. Also picnicking at Hanging Rock were Seth Jepson and Shaun Carstensen, who were both thirteen. Jepson and Carstensen crossed the American Fork River on a foot bridge east of the picnic area and hiked up a mountain slope to a vertical cliff high above the picnic area. Meanwhile, Elizabeth Holton was sitting on a rock in a stream beneath the cliff face. While hiking, Jepson and Carstensen dislodged a 20-25 pound rock. The rock struck Elizabeth on the head, killing her. Following Elizabeth's death, the Sulzens became Brandon Holton's legal guardians.

¶3 On June 28, 1996, the Sulzens, both individually and as Brandon's guardians, filed a complaint in Third District Court, alleging Jepson and Carstensen negligently caused Elizabeth's death. The complaint's caption listed the following individuals as defendants:

ANITA WILLIAMS, mother and general guardian of SETH JEPSON; and, BARRY CARSTENSEN, father and general guardian of SHAUN CARSTENSEN.

Both Anita Williams and Barry Carstensen were served with the complaint and a summons in early July. On July 26, Williams filed a Rule 12(b)(6) motion to dismiss the complaint. The complaint, Williams argued, failed to allege negligence on her part or any special relationship that would impose upon her any duty of care to the plaintiffs.

¶4 In response, the Sulzens conceded Williams was not herself liable, but argued that the body of the complaint correctly identified Seth Jepson as the negligent party and that Utah Rule of Civil Procedure 17(b) requires that minors be sued through their guardian--in this instance, Williams. Alternatively, the Sulzens moved the trial court for leave to amend the complaint's caption to specifically identify Seth Jepson and Shaun Carstensen as the real defendants. Williams countered that the trial court should dismiss the complaint and deny the Sulzens' motion to amend because they had neither stated an actionable claim against her, nor properly served Seth Jepson. On September 25, the trial court granted Williams's motion to dismiss. The complaint, the court ruled, failed to allege any special circumstances or relationship that imposed a duty on Williams, toward the plaintiffs, for the conduct of her minor son. Moreover, the court ruled, Seth Jepson was neither named as a party nor served with process. ² Consequently, the court dismissed the complaint against Williams without prejudice. In turn, Barry Carstensen filed a motion to dismiss, incorporating Williams's arguments by reference.

¶5 Meanwhile, the Sulzens filed a motion to amend their complaint, arguing Rule 15 of the Utah Rules of Civil Procedure permitted them to cure their mistaken caption by amendment. The Sulzens also argued that granting their motion to amend would nullify Barry Carstensen's motion to dismiss. Barry Carstensen countered that the Sulzens' proposed amended complaint introduced no new material facts and was an attempt to circumvent the statute of limitations for filing a claim against Shaun Carstensen.

¶6 On December 30, 1996, the trial court denied the Sulzens' motion to amend their complaint. The court ruled that the amended complaint set forth no new material facts and that the Sulzens' claim against Shaun Carstensen "may be legally insufficient or futile, for failure to give notice, and failure to serve during the appropriate time frame."

¶7 The Sulzens appealed this ruling, challenging the trial court's apparent conclusion that the statute of limitations had run and that their effort to amend their complaint was thus futile. The Sulzens contended that the statute of limitations was tolled with respect to Brandon Holton because he was a minor. Additionally, the Sulzens argued they were entitled to amend their complaint under Rule 15's "relation back" doctrine and liberal amendment policy.

¶8 On March 21, 1997, while their appeal was pending before this court, the Sulzens filed a second action naming Seth Jepson and Shaun Carstensen as defendants, sued through their legal guardians. Once again, the Sulzens filed their claim both individually and on behalf of Brandon Holton.

¶9 Jepson subsequently filed a Rule 12(b)(6) motion for dismissal of the second complaint, or, in the alternative, a motion for summary judgment in his favor. According to Jepson, the Sulzens' claims were barred by the applicable statute of limitations, which requires claimants to bring actions "for recovery of damages for a death caused by the wrongful act or neglect of another" within two years. Utah Code Ann. § 78-12-28(2) (Supp.1998). Jepson asserted that, because Elizabeth Holton was killed in July 1994 and the Sulzens were appointed as Brandon's guardians in November of that same year, the Sulzens filed their March 21, 1997, complaint well past section 78-12-28(2)'s two-year deadline. In later pleadings, Jepson further contended that Utah Code Ann. § 78-12-36 (1996), which tolls statutes of limitations for minors during their minority, did not apply to Brandon Holton's claim. A 1987 amendment to section 78-12-36, Jepson claimed, removed minors with legal guardians from the scope of the statute's tolling provision. Hence, Jepson argued that since Brandon's grandparents had been appointed his legal guardians, section 78-12-36 did not toll the statute of limitations pertaining to his claim.

¶10 The trial court agreed, granted Jepson's motion, and dismissed the Sulzens' second complaint as barred by section 78-12-28(2)'s limitations period. The Sulzens again appealed. In the interest of judicial economy, we consolidated the Sulzens' two appeals. For reasons which will become clear, we focus our decision all but exclusively on the first appeal.

ISSUES AND STANDARD OF REVIEW

¶11 The Sulzens appeal the trial court's grant of Jepson's motion to dismiss and denial of the Sulzens' motion to amend their complaint in their first action, which rulings were based on (1) the court's conclusion that the amendment sought by the Sulzens set forth no new material facts; (2) statute of limitations concerns; and (3) concerns with the timeliness of service of process. The Sulzens also appeal the trial court's grant of Jepson's motion to dismiss and/or motion for summary judgment in their second action, which ruling was based solely on the statute of limitations.

¶12 "The standard of review of a denial to amend pleadings is abuse of discretion." Kasco Servs. Corp. v. Benson, 831 P.2d 86, 92 (Utah 1992). Because they present questions of law, in reviewing summary judgments and rule 12(b)(6) dismissals "we accord no deference to the trial court's determinations and review the issues under a correctness standard." Harmon City, Inc. v. Nielsen & Senior, 907 P.2d 1162, 1167 (Utah 1995).

AMENDMENT OF THE COMPLAINT

¶13 Rule 15(a) mandates that leave to amend pleadings "shall be freely given when justice so requires." Utah R. Civ. P. 15(a). Moreover, "rule 15 should be interpreted liberally so as to allow parties to have their claims fully adjudicated." Timm v. Dewsnup, 851 P.2d 1178, 1183 (Utah 1993). "When the statute of limitations has expired before an amendment to a pleading is made, the amendment must relate back to the date of the original complaint if the amendment is to be effective." Wilcox v. Geneva Rock Corp., 911 P.2d 367, 369 (Utah 1996).

¶14 The relation back doctrine is governed by Utah Rule of Civil Procedure 15(c), which provides that "[w]henever the claim or defense asserted in the amended pleading arose out of the conduct, transaction, or occurrence set forth or attempted to be set forth in the original pleading, the amendment relates back to the date of the original pleading." Utah R. Civ. P. 15(c).

[W]hile "generally Rule 15(c) ... will not apply to an amendment which substitutes or adds new parties for those brought before the court by the original pleadings," [the Utah Supreme Court has] made an exception to the general rule. "The exception operates where there is a relation back, as to both plaintiff and defendant, when new and old parties have an identity of interest; so it can be assumed or proved the relation back is not prejudicial."

Wilcox, 911 P.2d at 369 (quoting Doxey-Layton Co. v. Clark, 548 P.2d 902, 906 (Utah 1976) (alterations in original)). ³ Parties have an identity of interest when "the real parties in interest were sufficiently alerted to the proceedings, or were involved in them unofficially, from an early stage." Doxey-Layton Co., 548 P.2d at 906. "[T]he rationale underpinning [the identity of interest] exception is one which obstructs a mechanical use of a statute of limitations; to prevent adjudication of a claim." Id.

¶15 In this case, the parents incorrectly named as defendants in the original complaint's caption--i.e., named...