FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEES:
ROCCO A. MARRESE, M.D., J.D. MICHELE S. BRYANT
RONALD WARRUM CATHERINE M. HURT
Evansville, Indiana Bamberger, Foreman, Oswald and Hahn
Attorneys for Lloyd A. Southwood Evansville, Indiana
Attorneys for David Carlson, M.D. &
Evansville Surgical Associates
WILLIAM E. STATHAM
Statham, Johnson & McCray
Evansville, Indiana
Attorney for Deaconess Hospital
TODD J. KAISER
MARY R. FELDHAKE
Locke Reynolds Boyd & Weisell
Indianapolis, Indiana
Attorneys for Pallavi K. Bhatt, M.D.
LLOYD A. SOUTHWOOD, as administrator of )
the Estate of HELEN SOUTHWOOD, )
)
Appellant-Plaintiff, )
)
vs. ) No. 82A04-9703-CV-124
)
DAVID CARLSON, M.D., EVANSVILLE )
SURGICAL ASSOCIATES, P.K. BHATT, M.D., )
and DEACONESS HOSPITAL, )
)
Appellees-Defendants. )
STATON, Judge
This consolidated appeal arises from a medical malpractice lawsuit initiated by Lloyd
A. Southwood ("Southwood"), as the administrator for the Estate of Helen Southwood,
against David Carlson, M.D., Evansville Surgical Associates, P.K. Bhatt, M.D., and
Deaconess Hospital ("the Health Care Providers"). Southwood appeals from the trial court's
grant of summary judgment in favor of the Health Care Providers. The Health Care
Providers appeal from the trial court's grant of Southwood's T.R. 60(B) motion to set aside
summary judgment and his T.R. 76(B) motion for change of judge. Because the Health Care
Providers' appeal raises a jurisdictional issue, we address it first.
Co., 471 N.E.2d 278, 279 (Ind. 1984); Donahue v. Watson, 413 N.E.2d 974, 975-76 (Ind.
Ct. App. 1980), reh. denied, trans. denied. This rule facilitates the orderly presentation and
disposition of appeals and prevents the confusing and awkward situation of having the trial
and appellate courts simultaneously reviewing the correctness of the judgment. Id. at 976.
Recognizing the jurisdictional problems created by the consideration of T.R. 60(B)
motions during the pendency of an appeal, the Indiana Supreme Court has created a
procedure that parties must follow while a judgment is on appeal. See Logal v. Cruse, 267
Ind. 83, 368 N.E.2d 235, 237 (1977). A party seeking to file a T.R. 60(B) motion must file
a verified petition with the appellate court seeking leave to file the motion. Id. If the
appellate court determines that the motion has sufficient merit, it will remand the entire case
to the trial court for plenary consideration of the T.R. 60(B) grounds. Id. Such a remand
will terminate the appeal. Id.
Southwood did not avail himself of the above procedure. He argues that the Logal
procedure is inapplicable to his case because he filed his T.R. 60(B) motion prior to the court
of appeals obtaining jurisdiction. In Logal, the movant filed his T.R. 60(B) motion with the
trial court after the court of appeals had obtained jurisdiction. Here, Southwood filed his
T.R. 60(B) motion on January 2, 1997, approximately three months before this court obtained
jurisdiction.
We recognize that Southwood could not have followed the Logal procedure on
January 2, 1997, since this court did not yet have jurisdiction. Nevertheless, the fact remains
that the trial court was deprived of its jurisdiction to consider Southwood's motion when the
record of proceedings was filed on March 21, 1997. On that date, Southwood was obligated
to follow the Logal procedure if he still wished for the trial court to consider his T.R. 60(B)
motion.See footnote
2
Next, Southwood argues that the trial court was entitled to rule upon unresolved
motions pending at the time his appeal was perfected, citing Donahue v. Watson. In
Donahue, this court held that a trial court retained limited jurisdiction to award attorney fees
after the appellate court obtained general jurisdiction. 413 N.E.2d at 976. There, the trial
court had entered findings that the plaintiff was entitled to attorney fees, but had not awarded
them in the original judgment, which was the subject of the appeal. When the trial court
awarded the attorney fees subsequent to this court obtaining general jurisdiction, the
defendant challenged the award on the theory that the trial court had lost jurisdiction to enter
any orders with respect to the case. We disagreed, holding that the trial court does not lose
jurisdiction, upon the perfection of an appeal, to adjudicate unresolved claims. Id. In so
holding, we reasoned that the policies underlying the jurisdictional rule are not implicated
when the trial court rules on issues that could not have been raised in the appeal. Id.
Southwood's position differs from that of the plaintiffs in Donahue. The Donahue
plaintiffs sought a trial court ruling on an ancillary matter, unrelated to the judgment being
appealed. Southwood's T.R. 60(B) motion was a challenge to the very judgment that was
also the subject of Southwood's appeal. Thus, any trial court decision on the motion would
have an affect on the subject of the appeal, as Southwood himself recognized by filing a
motion to remand in this court after the trial court purported to grant his T.R. 60(B) motion.
When a trial court's rulings affect the issues on appeal, the very purpose of our jurisdictional
rule -- to prevent trial courts and appellate courts from simultaneously reviewing the
correctness of judgments -- is implicated. Thus, our holding in Donahue does not assist
Southwood.
Because we conclude that the trial court was without jurisdiction to rule upon
Southwood's T.R. 60(B) and T.R. 76(B) motions, we vacate the court's April 21, 1997
rulings on those motions.See footnote
3
Southwood contends that Judge Dietsch's failure to disqualify himself based upon his
relationship with one of the defendant doctors violates this canon, and requires this court to
reverse the judgments entered in favor of the Health Care Providers and remand with
instructions for a change of judge and venue.
Assuming without deciding that Judge Dietsch's alleged relationship with Dr. Carlson
required disqualification, we conclude that reversal is not warranted in this case. Despite the
presence of Southwood's counsel at the hearing in which Judge Dietsch allegedly stated his
relationship with Dr. Carlson, Southwood did not request that Judge Dietsch disqualify
himself until after the trial court granted summary judgment in favor of the Health Care
Providers. Recognizing that such a delay subjects him to waiver, Southwood argues that a
judge's potential conflict can never be waived by a party, citing Tyson v. State, 622 N.E.2d
457 (Ind. 1993).
In Tyson, Chief Justice Shepard, acting alone, considered an appellant's request that
he vacate his earlier disqualification from consideration of the appellant's case. Discussing
his decision to disqualify himself, Chief Justice Shepard wrote:
Indiana practice has always leaned toward recusal where reasonable questions
about impartiality exist. In fact, Indiana departed from the ABA model code
by omitting provisions for the remittal of disqualification, former Canon 3(D),
believing that parties should not be permitted to waive grounds for recusal
which the public might find warranted. . . . [I]n a close case where impartiality
might reasonably be questioned, a judge must recuse.
Id. at 460 (emphasis added) (footnote omitted). Southwood contends that this excerpt from
Chief Justice Shepard's opinion stands for the proposition that his delay in requesting
disqualification cannot result in waiver. Southwood's argument reflects a misunderstanding
of Chief Justice Shepard's opinion and ignores precedent to the contrary.
Chief Justice Shepard's reference to former Canon 3(D) was made in the context
of his decision whether or not to disqualify himself from a case.See footnote
4
He used this state's
omission of the canon from the Code of Judicial Conduct as an example of our strong policy
in favor of disqualification where any question regarding a judge's impartiality exists.
Unlike Tyson, the issue here is not whether Judge Dietsch should have disqualified himself
under Canon 3(E)(1); we are assuming for argument's sake that he should have. Rather, the
issue is whether Southwood may wait until after he has received an unfavorable ruling to
make such an argument. We conclude that he cannot, and hold that Southwood has waived
this argument.
In Hobson v. State, 471 N.E.2d 281 (Ind. 1984), our supreme court held that a
criminal defendant could not wait until after an unfavorable outcome at trial, and then
complain he was prejudiced by a judge's pre-trial violation of the Code of Judicial Conduct.
Id. at 287. Likewise, in Renforth v. Fayette Memorial Hosp. Ass'n, Inc., 178 Ind.App. 475,
383 N.E.2d 368 (1978), trans. denied, cert. denied, 444 U.S. 930, 100 S.Ct. 273, 62 L.Ed.2d
187 (1979), we held that a party who knew or had reason to know before final judgment that
the judge was the father-in-law of an opposing attorney could not wait until after the
judgment to raise an objection. Id. at 372. Indeed, Chief Justice Shepard addressed this
precise issue in Tyson when he stated: Timeliness is important on recusal issues. 'Counsel
. . . may not lie in wait, raising the recusal issue only after learning the court's ruling on the
merits.' 622 N.E.2d at 460 (quoting Phillips v. Amoco Oil Co., 799 F.2d 1464 (11th Cir.
1986), cert. denied, 481 U.S. 1016, 107 S.Ct. 1893, 95 L.Ed.2d 500 (1987)).
Finally, Southwood argues that he should not be deemed to have waived the argument
because, he argues, Judge Dietsch denied him the opportunity to raise an objection.
Specifically, Southwood indicates that Judge Dietsch failed to make his statement on the
record and that the Judge failed to reinform Southwood of his relationship with Dr. Carlson.
Counsel for Southwood asserts that he did not remember the judge's off-the-record statement
because no record had been made and because twenty-two months had passed between the
time the statement was made and the filing of Southwood's lawsuit.See footnote
5
Southwood contends
that Judge Dietsch was obligated to reinform him of his relationship, and without such
information he was unable to make an objection.
Initially, we note the incongruity of Southwood's argument and the facts.
Southwood's counsel argues that because twenty-two months had passed he was unable to
recall Judge Dietsch's statement. Yet, twenty-nine months after the Judge's statement and
after unfavorable judgments were rendered, Southwood's counsel was able to remember.
disregarded these affidavits because Southwood failed to comply with the time requirements
of T.R. 56(C).
T.R. 56(C) requires the non-moving party to respond to a motion for summary
judgment within thirty days after service. This response must include the non-movant's
designation of evidence in opposition to the motion. T.R. 56(C). Here, the last summary
judgment motion was filed and served on July 26, 1996 by Deaconess Hospital. Southwood
responded to all three motions for the first time on September 9, 1996, the same day as the
hearing on the Health Care Providers' motions. Southwood's response and designation of
evidence was not made within thirty days of service of the summary judgment motions.
In Seufert v. RWB Medical Income Properties I Ltd. Partnership, 649 N.E.2d 1070
(Ind. Ct. App. 1995), we considered a similar set of facts. Seufert filed suit against RWB,
and RWB subsequently filed a motion for summary judgment. Seufert did not file a response
to this motion within thirty days. On the day of the summary judgment hearing, which was
held approximately two months after RWB filed its motion, Seufert requested a continuance.
The trial court denied the continuance and entered summary judgment in favor of RWB
because Seufert had not designated any evidence raising a genuine issue of material fact.
Like Southwood, Seufert argued on appeal that it was within the trial court's
discretion to alter any time limits found within T.R. 56. Reviewing T.R. 56, we held:
T.R. 56 requires an adverse party to respond within 30 days by either (1) filing
affidavits showing issues of material fact, (2) filing his own affidavit
indicating why the facts necessary to justify his opposition are unavailable, or
(3) requesting an extension of time in which to file his response.
A judge disqualified by the terms of Section 3E may disclose on the record the basis of the
judge's disqualification. If following disclosure of any basis for disqualification other than
personal bias or prejudice concerning a party, the parties and lawyers, without participation
by the judge, all agree that the judge should not be disqualified, and the judge is then willing
to participate, the judge may participate in the proceeding. . . .
Model Code of Judicial Conduct Canon 3(F) (1990).
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