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1. Appeal and Error_rules violations_ standard of review not defined_no
citations_appeal not dismissed
The Court of Appeals did not dismiss an appeal for multiple violations of the appellate
rules, finding it appropriate instead to charge the attorney with printing costs as a sanction under
Appellate Rule 34.
2. Judgments_motion to set aside_attorney withdrawing_not excusable neglect
The trial court did not abuse its discretion by not setting aside a judgment where
defendant's attorney withdrew, defendant elected to proceed pro se for a time, defendant
attempted to retain the attorney once again, and, after a continuance, neither defendant nor the
attorney appeared at the hearing at which summary judgment was granted. Any alleged neglect
during the time defendant proceeded pro se (such as failing to respond to admissions) was
directly attributable to him, and it is reasonable to conclude that defendant did not subsequently
diligently confer with the attorney.
3. Appeal and Error_preservation of issues--Servicemembers Civil Relief Act_failure
to raise at trial.
Defendant did not preserve for appeal any issue concerning the Servicemembers Civil
Relief Act that was not presented at trial.
Judge HUNTER concurring.
Judge TYSON dissenting.
Yow, Fox & Mannen, LLP, by Jerry A. Mannen, Jr., for
plaintiff-appellee.
Crossley, McIntosh, Prior & Collier, by Andrew J. Hanley, for
defendants-appellants.
JACKSON, Judge.
On 20 July 2004, McKinley Building Corporation (plaintiff)
filed a complaint against Danny Alvis individually (defendant
Alvis) and Danny Alvis d/b/a Battlecat Concrete (collectively,
defendants) for defective construction. Specifically, plaintiff
contended that defendants performed defective work as the
subcontractor responsible for placing and finishing concrete
footings and slabs at the Mayfair Town Center in Wilmington, North
Carolina. Plaintiff further alleged that he was forced to hire
another subcontractor at $60,950.00 to bring defendants' work into
compliance with the specifications of the contract between
plaintiff and defendants.
The parties arbitrated their dispute on 26 January 2005, and
the arbitrator awarded no compensation to plaintiff. On 24
February 2005, plaintiff filed a request for trial de novo. On 14
April 2005, plaintiff served defendants requests for admissions,
and after receiving no response, plaintiff filed a motion for
summary judgment on 1 July 2005. Defendants moved for a
continuance and the summary judgment hearing was continued to 19
September 2005. On 23 September 2005, the trial court granted
plaintiff's motion for summary judgment in the amount of
$59,343.91, with interest from the date of filing, along with
$8,901.58 in attorneys' fees and costs.
On 15 December 2005, defendants filed a motion to stay
execution and for relief from the judgment pursuant to Rule 60(b).
On 23 March 2006, the trial court denied defendants' Rule 60motion, and on 21 April 2006, defendants filed notice of appeal to
this Court.
[1] As a preliminary matter, we note that defendants' brief
fails to comport fully with the North Carolina Rules of Appellate
Procedure.
First, pursuant to Rule 28(b)(4), an appellant's brief is
required to contain a statement of the grounds for appellate
review, which in turn shall include citation of the statute or
statutes permitting appellate review. N.C. R. App. P. 28(b)(4)
(2006). Defendants, however, simply make the conclusory statement
that they appeal[] as a right from a [j]udgment of the lower
court without providing reference to any statute permitting such
appellate review.
Defendants also make the bald assertion that [t]he [t]rial
[c]ourt abused its discretion in failing to set aside the
[j]udgment entered by the [c]ourt on September 22, 2005. Rule
28(b)(6) provides that [t]he statement of the applicable
standard(s) of review shall contain citations of the authorities
upon which the appellant relies. N.C. R. App. P. 28(b)(6) (2006)
(emphasis added). Defendants, however, have failed to define the
abuse of discretion standard and have failed to provide citations
to legal authority supporting their proposed standard of review.
Additionally, defendants' lone assignment of error violates
Rule 10(c), which requires assignments of error to direct[] the
attention of the appellate court to the particular error about
which the question is made, with clear and specific record ortranscript references. N.C. R. App. P. 10(c)(1) (2006) (emphasis
added). Similarly, pursuant to Rule 28(b)(6), [i]mmediately
following each question [presented in the brief] shall be a
reference to the assignments of error pertinent to the question,
identified by their numbers and by the pages at which they appear
in the printed record on appeal. N.C. R. App. P. 28(b)(6) (2006)
(emphasis added). Defendants' assignment of error, both in the
record on appeal and as presented in their brief, fails to provide
this Court with specific record and transcript references as
required by the Rules of Appellate Procedure.
It is well settled that the Rules of Appellate Procedure 'are
mandatory and not directory.' State v. Hart, 361 N.C. 309, 311, __
S.E.2d __, __ (2007) (quoting Reep v. Beck, 360 N.C. 34, 38, 619
S.E.2d 497, 500 (2005)). We believe, however, that the violations
in the instant case are not sufficiently egregious to warrant
dismissal. See Caldwell v. Branch, 181 N.C. App. 107, 110-11, 638
S.E.2d 552, 555 (2007). Thus, we choose to order defendants'
counsel to pay the printing costs of this appeal pursuant to Rule
34(b) of the North Carolina Rules of Appellate Procedure. See id.;
see also Hart, 361 N.C. at 311, __ S.E.2d at __ (holding that
every violation of the rules does not require dismissal of the
appeal or the issue, although some other sanction may be
appropriate, pursuant to Rule 25(b) or Rule 34 of the Rules of
Appellate Procedure.). We therefore respectfully instruct the
Clerk of this Court to enter an order accordingly. The dissent argues that this appeal should be dismissed based
upon defendants' numerous Rules violations. However, we believe
that the Supreme Court's recent decision in State v. Hart mandates
a closer look at this Court's recent practice of dismissing
numerous appeals. See Jones v. Harrelson & Smith Contr'rs, LLC, 180
N.C. App. 478, 484-85, 638 S.E.2d 222, 227.30 (2006) (dismissing
appeal for failure to argue or present authority in support of two
assignments of error and failure to state a legal basis or set
forth record pages in support of the remainder); Stann v. Levine,
180 N.C. App. 1, 3-4, 636 S.E.2d 214, 215.22 (2006) (dismissing
appeal for numerous Appellate Rule violations); State v. Summers,
177 N.C. App. 391, 699, 629 S.E.2d 902, 908 (2006) (dismissing
defendant's assignment of error for failure to include a statement
of the applicable standard of review), appeal dismissed and disc.
rev. denied, 360 N.C. 653, 637 S.E.2d 192 (2006). Cf. State v.
Lockhart, 181 N.C. App. 316, 319, 639 S.E.2d 5, 7 (2007) (requiring
defendant's counsel to personally pay the printing costs of the
appeal for failure to include the standard of review and failure to
double-space the brief), disc. rev. denied, 361 N.C. 365, __ S.E.2d
__ (2007); Caldwell, 181 N.C. App. at 111, 638 S.E.2d at 555
(taxing printing costs against defendant's counsel as single
Appellate Rule violation was not substantial); Seay v. Wal-Mart
Stores, Inc., 180 N.C. App. 432, 434, 637 S.E.2d 299, 301 (2006)
(invoking Rule 2 and noting that [p]laintiff's rule violations,
while serious, are not so egregious as to warrant dismissal of the
appeal.). In fact, Hart explicitly states that dismissal is onlyone possible sanction for a violation of the Appellate Rules.
Hart, 361 N.C. at 311, __ S.E.2d at __. Because of the Supreme
Court's language disavowing this Court's interpretation that
Steingress, Viar and Munn require dismissal in every case in which
there is a violation of the Rules of Appellate Procedure, id. at
313, __ S.E.2d at __, we believe that it is appropriate to apply
sanctions pursuant to Rule 34(b), rather than dismissing
defendants' appeal in the instant case. To do so would be a step
backward rather than the step forward that Hart asks us to take in
applying the full range of sanctions available under the Appellate
Rules rather than summarily dismissing many appeals.
Although Hart cautions us that Rule 2 must be applied
cautiously, id. at 315, __ S.E.2d at __, and therefore its
application inherently is limited,
Hart suggests no similar
limitation on the application of Rules 25 and 34, and we see no
reason to engraft any limitation beyond the language contained
within the Rules at this time. Under Hart, clearly, it is
appropriate to apply the other sanctions envisioned by these Rules
liberally and to allow appeals to proceed.
[2] On appeal, defendants contend that the trial court abused
its discretion in failing to set aside the trial court's summary
judgment entered 22 September 2005. We disagree.
Pursuant to Rule 60 of the North Carolina Rules of Civil
Procedure,
[o]n motion and upon such terms as are just,
the court may relieve a party or his legal
representative from a final judgment, order,
or proceeding for the following reasons:
(1) Mistake, inadvertence, surprise,
or excusable neglect;
(2) Newly discovered evidence which
by due diligence could not have been
discovered in time to move for a new
trial under Rule 59(b);
(3) Fraud (whether heretofore
denominated intrinsic or extrinsic),
misrepresentation, or other
misconduct of an adverse party;
(4) The judgment is void;
(5) The judgment has been satisfied,
released, or discharged, or a prior
judgment upon which it is based has
been reversed or otherwise vacated,
or it is no longer equitable that
the judgment should have prospective
application; or
(6) Any other reason justifying
relief from the operation of the
judgment.
N.C. Gen. Stat. . 1A-1, Rule 60 (2005). As this Court has noted,
Rule 60(b) functions as a grand reservoir of equitable power to do
justice in a particular case. Jim Walter Homes, Inc. v. Peartree,
28 N.C. App. 709, 712, 222 S.E.2d 706, 708 (1976) (citation and
quotation marks omitted).
It is well-established that [a] Rule 60(b) motion 'is
addressed to the sound discretion of the trial court and the
court's ruling will not be disturbed without a showing that the
court abused its discretion.' Danna v. Danna, 88 N.C. App. 680,
686, 364 S.E.2d 694, 698 (quoting Sink v. Easter, 288 N.C. 183,
198, 217 S.E.2d 532, 541 (1975)), disc. rev. denied, 322 N.C. 479,
370 S.E.2d 221 (1988). A trial court may be reversed for abuse of
discretion only upon a showing that its actions are 'manifestlyunsupported by reason.' Davis v. Davis, 360 N.C. 518, 523, 631
S.E.2d 114, 118 (2006) (quoting Clark v. Clark, 301 N.C. 123, 129,
271 S.E.2d 58, 63 (1980)). Furthermore, the trial court's findings
'are conclusive if there is any evidence on which to base such
finding of fact. Whether the facts found constitute excusable
neglect or not is a matter of law and reviewable upon appeal.'
Doxol Gas of Angier, Inc. v. Barefoot, 10 N.C. App. 703, 704, 179
S.E.2d 890, 891 (1971) (quoting Jones-Onslow Land Co. v. Wooten,
177 N.C. 248, 250, 98 S.E. 706, 707 (1919)); see also JMM Plumbing
& Utils., Inc. v. Basnight Constr. Co., Inc., 169 N.C. App. 199,
202, 609 S.E.2d 487, 490 (2005) (Whether neglect is 'excusable' or
'inexcusable' is a question of law which depends upon what, under
all the surrounding circumstances, may be reasonably expected of a
party to litigation. The trial judge's conclusion in this regard
will not be disturbed on appeal if competent evidence supports the
judge's findings, and those findings support the conclusion.
(internal citations and quotation marks omitted)).
In the case sub judice, defendants premised their Rule 60(b)
motion on [m]istake, inadvertence or excusable neglect, pursuant
to Rule 60(b)(1), and the failure of [defendants]' attorney
[Kathryn Fagan, or Fagan] to file an Answer and her actions in
leaving the County after telling [defendants] that she was handling
the case, pursuant to Rule 60(b)(6). The trial court, however,
found as fact the following:
that on October 18, 2004, the Court granted
then counsel for the defendant Kathryn Fagan's
Motion to Withdraw; that on July 6, 2005
defendant filed his own Motion to Continue thehearing of plaintiff's Motion for Summary
Judgment and requested the hearing be heard on
September 19, 2005 which Motion was allowed;
that the plaintiff's Motion for Summary
Judgment was set for September 19, 2005 and it
was not until sometime around August 26, 2005
that defendant attempted to retain Kathryn
Fagan again; that prior to August 26, 2005
defendant was acting as his own counsel; that
on September 17, 2005 Kathryn Fagan sent to
the Court a Motion requesting a continuance of
the Summary Judgment Motion set for September
19, 2005; that the Motion for Continuance was
denied by the Court at the September 19, 2005
Session of Court; that neither defendant nor
Kathryn Fagan appeared at the September 19,
2005 session of Court . . . .
Accordingly, the trial court concluded that while there may have
been neglect on Kathryn Fagan's part[,] it does not appear that
defendant's neglect in this matter can be blamed solely on her nor
does it amount to excusable neglect under the facts and
circumstances.
Upon reviewing the record, we hold that there exists competent
evidence to support the trial court's findings. On 18 October
2004, the trial court denied defendants' Rule 12(b)(6) motion to
dismiss, and the following day, the trial court granted defendants'
attorney's motion to withdraw. The trial court specifically
provided that Kathryn Fagan was relieved of any further
responsibility in the case. Thereafter, defendants chose to
proceed pro se until, as the trial court found, they apparently
attempted to retain Fagan once again on or about 26 August 2005.
(See footnote 1)
Thus, any alleged neglect during this time was directly
attributable to defendants and not their attorney. During the time
defendants elected to proceed pro se, defendants failed to respond
to plaintiff's requests for admissions on 14 April 2005, and as a
result, those matters were deemed admitted. Plaintiffs filed a
motion for summary judgment on 1 July 2005, yet defendants neither
responded to the motion nor attempted to retain replacement
counsel. Defendants filed a pro se motion to continue on 7 July
2005 on the grounds that defendant Alvis would be out of the state
until 24 July 2005, and the trial court rescheduled the hearing for
19 September 2005. On 17 September 2005, defendants once again
attempted to continue the hearing, and the trial court denied the
motion. Neither defendants nor Fagan appeared at the summary
judgment hearing on 19 September 2005, and on 23 September 2005,
the trial court granted plaintiff's motion for summary judgment.
From 19 October 2004 until 26 August 2005, defendants chose to
proceed pro se. As this Court has noted, [w]hat constitutes
excusable neglect depends upon what, under all the surrounding
circumstances, may be reasonably expected of a party in paying
proper attention to his case. However, . . . the failure of a
party to obtain an attorney does not constitute excusable neglect.
Scoggins v. Jacobs, 169 N.C. App. 411, 415, 610 S.E.2d 428, 432
(2005) (internal quotation marks and citations omitted). Defendants are responsible for the failure to respond to the
requests for admissions, and we cannot find that such conduct
constitutes excusable neglect.
Furthermore, with respect to defendants' contention that
Fagan's failure to appear at the 19 September 2005 hearing
constitutes excusable neglect, this Court has stated that
[w]here a defendant engages an attorney and
thereafter diligently confers with the
attorney and generally tries to keep informed
as to the proceedings, the negligence of the
attorney will not be imputed to the defendant.
If, however, the defendant turns a legal
matter over to an attorney upon the latter's
assurance that he will handle the matter, and
then the defendant does nothing further about
it, such neglect will be inexcusable.
Kirby v. Asheville Contracting Co., Inc., 11 N.C. App. 128, 131.32,
180 S.E.2d 407, 410 (emphasis added) (internal quotation marks and
citations omitted), cert. denied, 278 N.C. 701, 181 S.E.2d 602
(1971). In the record on appeal, there are no emails, faxes,
letters, or other communications from defendant Alvis to Fagan nor
are there any documents demonstrating that defendant Alvis
diligently conferred with Fagan. Indeed, the only correspondence
in the record between defendant Alvis and Fagan is an email from
Fagan to defendant Alvis dated 23 August 2005, in which Fagan
states that she will prepare an affidavit and handle the motion for
summary judgment. In the email, Fagan states, Please, please let
me know if you receive this with the attachment!!! The record is
devoid of any response to Fagan's request. When Fagan ultimately
filed the 17 September 2005 motion for continuance, she purportedly
did so solely at Mr. Alvis' request and only promised a limitedappearance should the continuance be denied. Although Fagan did
not appear at the hearing, defendants made no attempt to follow up
with Fagan or the trial court with respect to the hearing. The
trial court held the matter open for several days after the
hearing. The trial court then granted plaintiff's motion for
summary judgment, signing the order on 22 September 2005 and filing
the order the following day. Thereafter, defendants waited nearly
three more months before requesting relief from the summary
judgment. In sum, it is reasonable to conclude that defendant
Alvis did not diligently confer with Fagan with respect to his
case, and thus, defendant Alvis cannot demonstrate excusable
neglect.
[3] Additionally, although defendants requested relief from
the judgment on the grounds of [m]istake, inadvertence or
excusable neglect as well as the failure of [defendants]'
attorney to file an Answer and her actions in leaving the County
after telling [defendants] that she was handling the case,
defendants now argue that the trial court should have set aside the
judgment pursuant to the federal Servicemembers Civil Relief Act,
50 U.S.C. app. § 501 et seq. Pursuant to the Act,
[i]f a servicemember, in the opinion of the
court, is materially affected by reason of
military service in complying with a court
judgment or order, the court may on its own
motion and shall on application by the
servicemember_
(1) stay the execution of any
judgment or order entered against
the servicemember; and
(2) vacate or stay an attachment or
garnishment of property, money, or
debts in the possession of the
servicemember or a third party,
whether before or after judgment.
50 U.S.C. app. § 524(a). Specifically, defendants contend that
defendant Alvis' active duty military service from 2 July 2005
until 12 September 2005 precluded him from adequately preparing for
the summary judgment hearing. Defendants, however, did not present
any argument respecting the Servicemembers Civil Relief Act to the
trial court, and thus, this issue has not been preserved for our
review. See N.C. R. App. P. 10(b) (2006) (In order to preserve a
question for appellate review, a party must have presented to the
trial court a timely request, objection or motion, stating the
specific grounds for the ruling the party desired the court to make
. . . .).
In sum, the trial court properly found defendant's neglect
inexcusable and that Fagan's negligence, if any, is imputed to
defendants. '[I]n the absence of sufficient showing of excusable
neglect, the question of meritorious defense becomes immaterial.'
Scoggins, 169 N.C. App. at 413, 610 S.E.2d at 431 (quoting Howard
v. Williams, 40 N.C. App. 575, 580, 253 S.E.2d 571, 574 (1979)).
We, therefore, need not address defendant[s'] argument in this
regard. Estate of Teel by Naddeo v. Darby, 129 N.C. App. 604, 611,
500 S.E.2d 759, 764 (1998). Accordingly, the trial court did not
abuse its discretion in denying defendants' Rule 60(b) motion for
relief from the judgment, and defendants' lone assignment of error
is overruled. Affirmed.
Judge HUNTER concurs in a separate opinion.
Judge TYSON dissents in a separate opinion.
HUNTER, Judge concurring.
I concur entirely with the majority opinion. I write
separately only to reiterate my support for this Court's use, in
cases such as this, of Rules 25 and 34 for the reasons set out in
my dissent in Dogwood Dev. & Mgmt. Co., LLC v. White Oak Transp.
Co., 183 N.C. App. __, __ S.E.2d __ (2007).
TYSON, Judge dissenting.
The majority's opinion acknowledges defendants' numerous
appellate rule violations, but concludes the appropriate sanction
is to simply order defendants' counsel to pay the cost of printing
this appeal. Based upon the numerous and egregious violations of
the North Carolina Rules of Appellate Procedure, defendants' appeal
should be dismissed. Defendants presented no basis and the record
does not show any reason to suspend the appellate rules, invoke
Appellate Rule 2, and reach the merits of defendants' appeal. I
respectfully dissent.
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