Lead Opinion
In ease no. 1110057, Jewel Campbell, Acie A. Campbell, William J. Campbell, Jr., Roy J. Campbell, Eva Campbell, William C. Campbell, Kelly Calvert, and Amanda Givens (“the plaintiffs”) appeal from a summary judgment in favor of Ethel C. Taylor, Paula Buettner, Gladys A. Campbell, Jason Bennett, and Mendi
Facts and Procedural History
These appeals involve a challenge to the disposition of the estate of A.V. Campbell, Sr. (hereinafter sometimes referred to as “the testator”), who died in 1977. He had at least four children: A.V. Campbell, Jr., William J. Campbell, Sr.,
After several hearings, the circuit court, on November 28, 2006, issued a judgment that, among other things, distributed property according to the testator’s will (“the 2006 judgment”). Specifically, certain property was awarded separately to (1) Ethel, (2) to Paula and Gladys, and (8) to “the heirs at law of William J. Campbell[, Sr.].” Jewel appealed from that judgment, and this Court affirmed the circuit court’s judgment without issuing an opinion. Campbell v. Estate of Campbell (No. 1060567, Sept. 28, 2007),
On June 2, 2009, the underlying action was filed in the Baldwin Circuit Court (“the trial court”). The plaintiffs purport to be the heirs of William J. Campbell, Sr. Some of the plaintiffs participated in the 2005 circuit court action; others did not. This new action was described as a “complaint to set aside judicial decree” and was alleged to be filed “pursuant to Rule 60(b) of the Alabama Rules of Civil Procedure as an independent action for the purpose of setting aside” the 2006 judgment. The plaintiffs contended that, as the heirs of William J. Campbell, Sr., they were also heirs of A.V. Campbell, Sr., and were thus entitled to certain ownership interests in the property distributed in the 2005 circuit court action. The plaintiffs further alleged that they had not all been “named as parties” in the 2005 circuit court action and that they “were not before the [circuit court] at the time of the final adjudication.” They thus alleged that they were “not subject to” and “not bound by” the 2006 judgment, and they asked that it be set aside. Of the defendants in the underlying action, Ethel, Paula, and Gladys participated in the 2005 circuit court action; Jason Bennett and Mendi Bennett did not.
After various motions and after granting a motion by the defendants to strike certain affidavit testimony filed by the plaintiffs, the trial court purported to enter a summary judgment in favor of Ethel. The plaintiffs appealed, and the Court of Civil
Ethel again moved for a summary judgment. The remaining defendants also filed a motion for a summary judgment. The plaintiffs responded with their own filings in opposition, and the defendants moved to strike certain affidavit testimony supplied by the plaintiffs with their opposition. The trial court, without stating the findings on which its decision was based, ultimately granted the defendants’ summary-judgment motions and denied their motions tó strike. In case no. 1110057, the plaintiffs appeal the summary judgment in favor of the defendants. In case no. 1110104, Paula and Gladys cross-appeal from the trial court’s denial of their motion to strike.
Discussion
The complaint in the underlying action sought, pursuant to Rule 60(b), Ala. R. Civ. P., to set aside the 2006 judgment as “void,” in substance, seeking relief from the 2006 judgment under Rule 60(b)(4), Ala. R. Civ. P. (“[T]he court may relieve a party or a party’s legal representative from a final judgment, order, or proceeding for the following reasons: ... the judgment is void.... ”). On appeal, as in the trial court, the plaintiffs contend that all the plaintiffs were “necessary parties” to the administration of the estate but that some of them did not receive notice of the 2005 circuit court action, were not served with pleadings filed in that action, and were not properly named as parties. Thus, the plaintiffs argue, the 2006 judgment is “void.”
“ ‘The standard of review on appeal from the denial of relief under Rule 60(b)(4) is not whether there has been an abuse of discretion. When the grant or denial of relief turns on the validity of the judgment, as under Rule 60(b)(4), discretion has no place. If the judgment is valid, it must stand; if it is void, it must be set aside. A judgment is void only if the court rendering it lacked jurisdiction of the subject matter or of the parties, or if it acted in a manner inconsistent with due process. Satterfield v. Winston Industries, Inc.,553 So.2d 61 (Ala. 1989).’
“Insurance Mgmt. & Admin., Inc. v. Palomar Ins. Corp.,590 So.2d 209 , 212 (Ala.1991). In other words, if the underlying judgment is void because the trial court lacked subject-matter or personal jurisdiction or because the entry of the judgment violated the defendant’s due-process rights, then the trial court has no discretion and must grant relief under Rule 60(b)(4).”
Allsopp v. Bolding,
It is under this standard that we review the trial court’s ruling; however, the plaintiffs on appeal do not explicitly present their arguments in terms of the framework of the above three grounds — a lack of subject-matter jurisdiction, a lack of personal jurisdiction over the parties, or a violation of due process. Instead, they cite caselaw holding generally that all heirs are proper and necessary parties in estate actions like the 2005 circuit court action. See Jacobs v. Murphy,
This Court has long referred to a failure to join a “necessary” or “indispensable” party as a “jurisdictional defect.” See Gilbert v. Nicholson,
Other decisions appear to refer to the joinder of necessary or indispensable parties as a statutory requirement for certain actions or as a requirement of “due process.” See Holland v. Flinn,
Other references to the lack of necessary or indispensable parties impacting “jurisdiction” refer to issues of personal jurisdiction. See Burnett v. Munoz,
Despite the language in prior decisions referring to the lack of a necessary or indispensable party as an issue of “jurisdiction,” it is clear that the court in the 2005 circuit court action possessed subject-matter jurisdiction in that case. Specifically, a circuit court’s subject-matter jurisdiction is derived from the Alabama Constitution and the Alabama Code. Ex parte Seymour,
The cases cited by the plaintiffs — Jacobs and Irwin, supra — do not hold otherwise. Specifically, those cases refer to the necessity of certain parties in an administration of an estate removed from the probate court as a requirement to exercise “jurisdiction” in equity. Jacobs.states that the “heirs at law are necessary parties” in actions involving a decedent’s lands, but this is for the purpose of properly exercising equitable powers:
“ ‘All persons interested in a suit in equity, and whose rights will be directly affected by the decree, must be made parties, unless they are too numerous, or some of them are beyond the reach of process, or not in being; and in every case there must be such parties before the court as to insure a fair trial of the issue in behalf of all.’ ”
Jacobs,
Given that § 12-11 — 41 provided the court in the 2005 circuit court action with subject-matter jurisdiction, the 2006 judgment is not void for lack of subject-matter jurisdiction.
We thus turn to the issue whether the 2006 judgment is “void” for lack of personal jurisdiction.
First, we note that under certain circumstances the lack of personal jurisdiction is subject to waiver, i.e., “defects in personal jurisdiction ... can be waived,” which distinguishes personal jurisdiction from subject-matter jurisdiction, which “ ‘may not be waived; a court’s lack of subject-matter jurisdiction may be raised at any time by any party and may even be raised by a court ex mero motu.’ ” J.T. v. A.C.,
Second, the removal of the administration of an estate from the probate court to the circuit court is not a new action, but simply the continuation of the action in another forum:
“ ‘[W]hen the administration of an estate is removed from the probate court to the circuit court, the circuit court typically takes the proceeding where the probate court left off.’ Ex parte Farley,981 So.2d 392 , 396 (Ala.2007); see also Estate of Autry v. McDonald,332 So.2d 377 , 379 (Ala.1976); Ex parte Stephens,233 Ala. 167 , 169,170 So. 771 , 773 (1936) (‘When the circuit court, in the exercise of its unquestioned jurisdiction, reached out and brought before it for administration the estate ..., it took over that estate, and the proceedings had therein, just where they stood when the same were taken over. The order of removal did not serve to set aside or to annul what had been properly done theretofore in the probate court, but rather to “pick up the proceedings” where the probate court had left off....’).”
Sims v. Estate of West,
Portions of the probate court record included in the 2005 circuit court action indicate that Jewel and William J. Campbell, Jr., both filed a “waiver of notice and consent to probate” in the probate pro
Kelly Calvert and Amanda Givens were not parties to the original probate court action.
Eva and William C. Campbell were not yet born at the time of the initiation of the probate court proceedings. Their father, Dennie Rudolph Campbell, had been a party to those proceedings and had also filed a “waiver of notice and consent to probate.” Dennie died in 1999. Nothing before us indicates what happened in the probate court regarding his interests after he died: it appears that no suggestion of death was filed and that no substitution of parties under Rule 25, Ala. R. Civ. P., occurred.
Eva and William C. Campbell claim to be heirs *of A.V. Campbell, Sr., through Dennie and argue that they were thus necessary parties to the 2005 circuit court action; they therefore contend that their failure to be named as parties renders the 2006 judgment “void.” Again, as wé held above, the failure to join a necessary party did not render the 2006 judgment void for lack of subject-matter jurisdiction. In their‘brief on appeal, the plaintiffs do not present a direct argument as to the issue of personal jurisdiction; instead, they rely on the argument that the lack of necessary parties itself rendered the judgment void. In support of that argument, they cite Maxwell v. State,
Neither of these decisions addresses whether a probate court or, after removal of proceedings under § 12-11^41, a circuit court has personal jurisdiction over the heirs to the estate of one who was previously a proper party in the case.
Conclusion
The trial court’s judgment in favor of the defendants denying the plaintiffs’ Rule 60(b)(4) motion is affirmed; the cross-appeal is dismissed as moot.
1110057 — AFFIRMED.
1110104 — APPEAL DISMISSED AS MOOT.
Notes
. The spelling of Mendi's name appears in the record both as "Mindi” and as "Mendi.”
. William J. Campbell, Sr., had predeceased his father, dying in 1972.
. That Code section states:
"The administration of any estate may be removed from the probate court to the circuit court at any time before a final settlement thereof, by any heir, devisee, legatee, distributee, executor, administrator or administrator with the will annexed of any such estate, without assigning any special equity; and an order of removal must be made by the court, upon the filing of a sworn petition by any such heir, devisee, legatee, distributee, executor, administrator or administrator with the will annexed of any such estate, reciting that the petitioner is such heir, devisee, legatee, distributee, executor, administrator or administrator with the will annexed and that, in the opinion of the petitioner, such estate can be better administered in the circuit court than in the probate court.”
. We take judicial notice of the record in that action, which came before this Court in a prior appeal discussed below. See Morrow v. Gibson,
. There is no explicit argument before us that the 2006 judgment was “void” on the ground of lack of due process; therefore, we do not address that Rule 60(b)(4) ground.
. Further, both Jewel and William J. Campbell, Jr., actually participated in the 2005 circuit court action: both were represented by counsel. Jewel even filed an appeal from the court's judgment. See Campbell v. Estate of Campbell, supra.
. Kelly and Amanda’s mother, Janice Calvert, who died in 1987, was a party to that case and, like Jewel and William J. Campbell, Jr., filed a "waiver of notice and consent to probate” in that proceeding.
.Testimony in the record indicates that both Eva and William C. Campbell were actually present at the courthouse during hearings conducted in the 2005 circuit court action; for all that appears, they had actual notice that the administration of the estate was proceeding in the circuit court.
. They further cite in their reply brief Johnston v. White-Spunner, supra, and Rogers v. Smith, supra, both of which, as noted above, indicate that a judgment is “void” if the trial court did not have subject-matter or personal jurisdiction.
. Indeed, another case cited on appeal. Cook, supra, suggests that the administrator of Dennie’s estate was a necessary party.
Concurrence Opinion
(concurring in the rationale in part and concurring in the result in case no. 1110057 and concurring in case no. 1110104).
I agree with the analysis of the main opinion in case no. 1110057 -with respect to
“Because an objection to the failure to join a person who should be regarded as indispensable under Rule 19(b) may be raised as late as on an appeal from a final judgment or by the court on its own motion, the impression is created that a failure to join is jurisdictional, since ordinarily only jurisdictional defects are treated in this fashion. Thus, it is not surprising that cases can be found that speak of nonjoinder as ousting the court of jurisdiction. Since the indispensable-party doctrine is equitable both in its origin and nature, however, scholarly commentary as well as the vast majority of courts reject this ‘jurisdictional’ characterization.”
Charles Alan Wright, Arthur R. Miller & Mary Kay Kane, Federal Practice & Procedure § 1611 (3d ed.2001) (emphasis added).
I do not agree with the rationale offered by the main opinion, however, for affirming the trial court’s judgment as to some of the plaintiffs. The main opinion reasons that “this Court has explicitly held that notice to the parties of the removal under § 12 — 11—41[, Ala.Code 1975,] of the administration of an estate from the probate court to the circuit court is not required.”
That said, as to Jewel Campbell and William J. Campbell, Jr., I would affirm the 2006 judgment (as does the main opinion), but I would do so on the different ground that both'of those parties either received notice of the 2006 petition and the ensuing proceedings and/or did in fact participate in those proceedings in a manner sufficient to give rise to a waiver of any deficiency in his or her notice of the same.
As to Acie and Roy, I also would affirm on a different ground than that stated in the main opinion. Elsewhere in the main opinion, it is stated that “the plaintiffs do not present a direct argument as to the issue of personal jurisdiction; instead, they rely on the argument that the lack of necessary parties itself rendered the judgment void.” 159 So.Sd at 18. That is, we are not presented in this appeal with an argument differentiating among the plaintiffs for purposes of application of the principles of in personam jurisdiction (or, for
. The main opinion uses the term “2005 circuit court action.” The estate-administration proceedings were initiated in 1977 and were removed to the circuit court pursuant to a removal petition filed in June 2005. The dispute as to the ownership of certain land that was adjudicated in the 2006 judgment, however, was the subject of a specific petition seeking that adjudication filed on July 10, 2006.
