A decision without a published opinion is authority only in the case in which such decision is rendered and should not be cited in any other case in any court for any other purpose, nor should any court consider any such decision for any purpose except in
the case in which such decision is rendered. See Rule of Appellate Procedure 30 (e)(3).
NO. COA01-566
NORTH CAROLINA COURT OF APPEALS
Filed: 2 April 2002
ALLEN N. MARTIN, JANE R.
COOPER S. GORDON KNOWLES,
WILLIAM R. CHRISTY, and
THOMAS G. CHRISTY,
Plaintiffs,
v
.
Surry County
No. 00 CVS 1877
WILLIAM F. BADGETT, Individually
and in his capacities as Executor
of the Estate of Nannie G. Riggs,
as Administrator of the Estate of
James Wilkerson Gordon, a/k/a J.
Wilkerson Gordon, Wick Gordon, J.W.
Gordon, and as a partner of Badgett
and Taylor, a North Carolina
Partnership, RICHARD G. BADGETT,
Individually and in his capacities
as Executor of the Estate of Nannie
G. Riggs, as Attorney for the Estate
of James Wilkerson Gordon, a/k/a J.
Wilkerson Gordon, Wick Gordon, J.W.
Gordon, and as a partner of Badgett
and Taylor, a North Carolina Partnership,
and EMILY B. TAYLOR, as a partner of
Badgett and Taylor, a North Carolina
Partnership and as a legatee of the
Estate of James Wilkerson Gordon and
Nannie G. Riggs, and PATRICIA COE TODD,
in her capacity of Clerk of Superior
Court of Surry County,
Defendants.
Appeal by defendant from order entered 13 March 2001 by Judge
James M. Webb in Surry County Superior Court. Heard in the Court
of Appeals 9 January 2001.
Stone & Christy, P.A., by Bryant D. Webster and William H.
Christy, for plaintiff-appellees.
Attorney General Roy Cooper, Special Deputy Attorney General
Charles J. Murray, for defendant-appellants.
BIGGS, Judge.
This appeal arises out of the administration of the estates of
James Wilkerson Gordon (Gordon), and Nannie G. Riggs (Riggs).
Patricia Coe Todd, (defendant), the Clerk of Superior Court for
Surry County, appeals from the trial court's denial of her motion
to dismiss all claims against her. For the reasons that follow, we
reverse the trial court.
The plaintiffs are the heirs of Gordon and Riggs. Gordon died
intestate on 13 December 1994, and defendant appointed Frank
Badgett as administrator of Gordon's estate on 30 December 1994.
Riggs, who was one of Gordon's heirs, died in 1996; defendant
appointed Frank Badgett and his brother, Richard Badgett, co-
executors of Riggs' estate. Between 1996 and 2000, the Clerk's
office approved annual accountings of these estates, either by
defendant personally, or through her assistant clerks.
Plaintiffs filed suit on 7 December 2000, seeking compensatory
and punitive damages, removal of jurisdiction from defendant to the
Senior Resident Superior Court Judge, and removal of the executors
of the estates. Plaintiffs alleged that the executors had
committed many irregularities in the administration of the two
estates, including: the failure to record certain receipts and
expenditures; no-interest loans from the estate to Frank and
Richard Badgett; accountings that did not adequately account for
estate assets; failure to pay federal estate taxes, and; depletion
of assets. The complaint alleged further, in count six, paragraph
18, that defendant had: a. Issued letters of administration to Frank
Badgett without requiring a bond,
b. Approved annual accountings that contained
inaccuracies, and that blatantly showed
misconduct by the executors,
c. Approved annual accountings that included
commissions paid to executors, without
following proper procedures for payment of
such commissions,
d. Failed to adequately supervise her staff,
regarding annual accountings for estates, and
e. Failed to monitor these estates, resulting
in the depletion of estate assets by the
executors.
On 26 January 2001, defendant filed a motion to dismiss, under
N.C.G.S. § 1A-1, Rule 12(b)(1), (2), and (6) (1999), on the grounds
that the trial court lacked subject matter and personal
jurisdiction, that the complaint did not state a claim for relief,
and that defendant enjoyed both absolute judicial immunity, and
qualified sovereign immunity, from prosecution for actions taken in
her capacity as Clerk of Superior Court. Defendant appealed from
the 9 March 2001 denial of her motion. On 17 May 2001, plaintiffs
filed a motion with this Court to dismiss defendant's appeal as
interlocutory, and for sanctions under N.C.R. App. P. 34 and 37,
for the filing of a frivolous appeal.
I.
We first address plaintiffs' motion to dismiss defendant's
appeal as interlocutory. The trial court's denial of defendant's
motion to dismiss was an interlocutory order, and, in general, a
party has no right to immediate appellate review of an
interlocutory order. Tise v. Yates Construction Co., 122 N.C.
App. 582, 584, 471 S.E.2d 102, 105 (1996), aff'd as modified and
remanded, 345 N.C. 456, 480 S.E.2d 677 (1997) (citing Veazey v.Durham, 231 N.C. 357, 362, 57 S.E.2d 377, 381 (1950)). However, a
party may appeal immediately from an interlocutory order that
affects a substantial right. N.C.G.S. § 1-277(a); N.C.G.S. §
7A-27(d)(1) (1999). [A]ppeals raising issues of governmental or
sovereign immunity affect a substantial right sufficient to warrant
immediate appellate review. Price v. Davis, 132 N.C. App. 556,
558-559, 512 S.E.2d 783, 785 (1999). Immediate appeal of such
interlocutory orders is allowed because the essence of absolute
immunity is its possessor's entitlement not to have to answer for
his conduct in a civil damages action. Epps v. Duke University,
122 N.C. App. 198, 201, 468 S.E.2d 846, 849, disc. review denied,
344 N.C. 436, 476 S.E.2d 115 (1996) (citations omitted).
In the case sub judice, defendant's appeal raises the issues
of judicial and sovereign immunity, and thus affects a substantial
right. We conclude that defendant's appeal is properly before this
Court, and, accordingly, deny plaintiffs' motion to dismiss
defendant's appeal as interlocutory.
II.
Defendant first argues that the trial court should have
dismissed the complaint against her for lack of subject matter
jurisdiction. A trial court's denial of a motion to dismiss for
lack of subject matter jurisdiction is an interlocutory order and,
as such, is not immediately appealable. Cross v. Residential
Support Services, 123 N.C. App. 616, 622, 473 S.E.2d 676, 680
(1996) (citing Teachy v. Coble Dairies, Inc., 306 N.C. 324, 327,
293 S.E.2d 182, 184 (1982)). However, in the exercise of ourdiscretion, we will address the issue, along with other issues in
this matter that are properly before this Court. See Servomation
Corp. v. Hickory Construction Co., 70 N.C. App. 309, 312, 318
S.E.2d 904, 906 (1984), rev'd on other grounds, 316 N.C. 543, 342
S.E.2d 853 (1986) (allowing review of interlocutory order not
affecting substantial right as part of Court's review of other
issues).
Defendant correctly states that the Clerk of Superior Court
has original exclusive jurisdiction over probate under N.C.G.S. §
28A-2-1 and N.C.G.S. § 7A-241 (1999). However, a plaintiff is not
necessarily barred from bringing a civil action in superior court,
merely because the suit involves events that occurred during the
administration of an estate. Ingle v. Allen, 69 N.C. App. 192,
196, 317 S.E.2d 1, 3, disc. review denied, 311 N.C. 757, 321 S.E.2d
135 (1984) (negligence suit against co-executrices of estate
allowed; Court holds that while the claims arise from
administration of an estate, their resolution is not a part of the
[estate's] administration). In the instant case, plaintiffs have
brought a tort action for negligence; therefore, the law governing
probate cases is not dispositive. We conclude that the trial court
enjoys subject matter jurisdiction over plaintiffs' action,
notwithstanding allegations of negligent acts undertaken during the
administration of an estate.
III.
Defendant argues next that the trial court erred in its denial
of defendant's motion to dismiss, on the grounds that defendant isentitled to absolute judicial immunity. The assertion of judicial
immunity is a challenge to the trial court's personal jurisdiction.
Data Gen. Corp. v. Cty. of Durham, 143 N.C. App. 97, 545 S.E.2d 243
(2001). Plaintiffs contend that we should not reach the merits of
defendant's argument, arguing that when defendant filed a motion to
extend the time for filing an answer, she made a general appearance
in the case, and thereby waived any challenge to personal
jurisdiction. Plaintiffs' contention in this regard is meritless.
Personal jurisdiction is addressed in N.C.G.S. § 1-75.7 (1999),
which provides in relevant part that:
A court of this State having jurisdiction of
the subject matter may, without serving a
summons upon him, exercise jurisdiction in an
action over a person:
(1) Who makes a general appearance in an
action; provided, that obtaining an extension
of time within which to answer or otherwise
plead shall not be considered a general
appearance[.] (emphasis added)
See also Bullard v. Bader, 117 N.C. App. 299, 450 S.E.2d 757,
(1994), in which this Court held:
An appearance constitutes a general appearance
if the defendant invokes the judgment of the
court on any matter other than the question of
personal jurisdiction. The appearance must be
for a purpose in the cause, not a collateral
purpose. . . . Our courts have applied a very
liberal interpretation to the question of a
general appearance and almost anything other
than a challenge to personal jurisdiction or a
request for an extension of time will be
considered a general appearance.
Id. at 301, 450 S.E.2d at 759 (emphasis added) (citation omitted).
We conclude that defendant's filing of a motion to extend time did
not constitute a waiver of her right to challenge personaljurisdiction, and that we may consider defendant's claim of
immunity on its merits.
The doctrine of judicial immunity protects a judicial official
from civil claims of negligence in the performance of his duties.
Fuquay Springs v. Rowland, 239 N.C. 299, 301, 79 S.E.2d 774, 776
(1954) (a judge is not subject to civil action for errors
committed in the discharge of his official duties). This Court
has stated that:
[Judicial immunity] is an absolute bar,
available for individuals in actions taken
while exercising their judicial function. . .
. [T]he rule of judicial immunity extends to
those performing quasi-judicial functions[,
involving]. . . the application of . . .
policies to individual situations rather than
the adoption of new policies.
Vest v. Easley, 145 N.C. App. 70, 73-74, 549 S.E.2d 568, 572 (2001)
(citing Northfield Dev. Co. v. City of Burlington, 136 N.C. App.
272, 523 S.E.2d 743, aff'd in part, review dismissed in part, 352
N.C. 671, 535 S.E.2d 32 (2000)).
Judicial immunity extends to quasi-judicial officials,
regardless of the forum in which they exercise their authority.
Hannon v. Grizzard, 99 N.C. 161, 6 S.E. 93 (1888) (county
commissioners have judicial immunity for actions taken in the
course of ascertaining whether individual elected as Register of
Deeds was qualified to assume office; Court holds that these are
judicial actions because the commissioners 'construe and interpret'
the law); Vest v. Easley, 145 N.C. App. 70, 549 S.E.2d 568 (2001)
(North Carolina Parole Commission entitled to qualified judicial
immunity). In the instant case, defendant is the Clerk of Superior Court
of Surry County, and as such is a judicial official of the General
Court of Justice, who engages in judicial functions that involve
the discretionary application of law to a given set of facts. See
N.C.G.S. § 7A-103 (1999) (enumerating judicial powers of Clerk of
Court). The Clerk serves as the ex officio judge of probate, with
jurisdiction over the administration of decedents' estates. See
N.C.G.S. § 28A-2-1 (1999), which provides that:
The clerk of superior court of each county, ex
officio judge of probate, shall have
jurisdiction of the administration,
settlement, and distribution of estates of
decedents including, but not limited to, the
following:
(1) Probate of wills;
(2) Granting of letters testamentary and of
administration, or other proper letters of
authority for the administration of estates.
Plaintiffs' complaint refers only to discretionary actions
taken by defendant in her capacity as Clerk of Court. We conclude
that, as a judicial official engaged in the administration of an
estate, defendant is entitled to judicial immunity, and may not be
held personally liable for mere negligence in the administration
of estates, absent evidence that her actions were corrupt or
malicious or that [she] acted outside of and beyond the scope of
[her] duties. Nelson v. Comer and Willoughby v. Adams, 21 N.C.
App. 636, 638, 205 S.E.2d 537, 538 (1974) (notary public entitled
to immunity for judicial or quasi-judicial acts). We conclude that
it was error for the trial court to deny defendant's motion to
dismiss on this basis.
IV.
Defendant next argues that the trial court erred in its denial
of her motion to dismiss, because she is entitled to qualified
sovereign immunity, in addition to judicial immunity. We agree.
[T]he doctrine of governmental, or sovereign, immunity bars
actions against,
inter alia, the state, its counties, and its
public officials sued in their official capacity.
Messick v.
Catawba County, 110 N.C. App. 707, 714, 431 S.E.2d 489, 493,
disc.
review denied, 334 N.C. 621, 435 S.E.2d 336 (1993). In the
absence of some statute that subjects them to liability, the State,
its municipalities, and the officers and employees thereof sued in
their official capacities, are shielded from tort liability when
discharging or performing a governmental function.
Dawes v. Nash
County, __ N.C. App. __, __, 559 S.E.2d 254, 256 (2002).
In the case
sub judice, defendant is a public official. All
the actions alleged by plaintiffs were undertaken in the
performance of her duties, and we conclude that the doctrine of
sovereign immunity is generally applicable to defendant.
However, sovereign immunity does not bar suit if the State
expressly consents to be sued through a waiver, evidenced by the
purchase of liability insurance[.]
Vest v. Easley, 145 N.C. App.
70, 73, 549 S.E.2d 568, 572 (2001). Civil actions filed pursuant
to such a waiver are addressed in N.C.G.S. § 58-76-5 (1999), which
provides in part:
Liability and right of action on official
bonds:
Every person injured by the neglect,
misconduct, or misbehavior in office of anyclerk of the superior court, . . . may
institute a suit or suits against said officer
. . . and their sureties upon their respective
bonds for the due performance of their duties
in office in the name of the State[.]
This Court has construed N.C.G.S. § 58-76-5 to require a plaintiff
to bring suit against the surety, and not merely the alleged
defendant, in order to establish a waiver of sovereign immunity.
Summey v. Barker, 142 N.C. App. 688, 544 S.E.2d 262 (2001)
(doctrine of sovereign immunity may be waived by purchase of bond
or insurance only if surety is joined as a party in the action);
George v. Administrative Office of the Courts, 142 N.C. App. 479,
542 S.E.2d 699 (2001) (noting that negligence action against Clerk
of Court must comply with [G.S.] 58-76-5"). Provision of a bond
for clerks of court is addressed in N.C.G.S. § 7A-107 (1999), as
follow:
7A-107. Bonds of clerks, assistant and deputy
clerks, and employees of office.
The Administrative Officer of the Courts shall
require, or purchase, in such amounts as he
deems proper, individual or blanket bonds for
any and all clerks of superior court, . . .
such bond or bonds to be conditioned upon
faithful performance of duty, and made payable
to the State. The premiums shall be paid by
the State.
The surety is the party, generally an insurance company, who
is primarily liable for the payment of the debt or the performance
of the obligation of another.
Trust Co. v. Creasy, 301 N.C. 44,
52, 269 S.E.2d 117, 122 (1980).
In the instant case, plaintiffs amended their complaint to add
the State of North Carolina as a party. However, the State is not
the surety, and thus, defendant's sovereign immunity was notwaived.
Mellon v. Prosser, 126 N.C. App. 620, 486 S.E.2d 439
(1997),
rev'd on other grounds, 347 N.C. 568, 494 S.E.2d 763 (1998)
(where surety not joined as party, immunity not waived).
We
conclude, therefore, that defendant is entitled to sovereign
immunity, and that the trial court erred by not granting
defendant's motion to dismiss on this ground.
For the reasons discussed above, we deny plaintiffs' motion to
dismiss defendant's appeal as interlocutory, and for sanctions. We
reverse the trial court's denial of clerk's motion to dismiss, on
the grounds that defendant is entitled to sovereign and judicial
immunity. Further, in light of this ruling, we find it unnecessary
to address defendant's other contentions.
Reversed.
Judges WALKER and MCGEE concur.
Report per Rule 30(e).
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