Michele A. Robb, Individually and as a Personal Representative of the Estate of Paul D. Robb v. Norfolk & Western Railway CompanyMichele A. Robb, Individually and as a Personal Representative of the Estate of Paul D. Robb v. Norfolk & Western Railway Company
This аppeal concerns the issue of whether attorney negligence in missing a filing deadline may be deemed “excusable neglect” for purposes of
I. BACKGROUND
The plaintiff-appellant’s husband, Paul D. Robb, was killed on September 15, 1993 when the ear he was driving collided with a train at a railroad crossing in Marshall County, Indiana. In 1994, Michele A. Robb, the decedent’s wife, brought a wrongful death action against NWR, both individually and in her capacity as personal representative of her husband’s estate. Robb alleged that the railroad (which owned and operated both the train and the railroad crossing involved in the accident), had “negligently failed to adequately protect [the decedent] from the danger of collision with oncoming train traffic.”
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The Robb lawsuit was filed in Indiana state court, and subsequently removed to thе federal district court on the basis that the parties were of diverse citizenship.
The railroad filed a motion for summary judgment on December 1, 1995, after discovery had been completed. Robb’s response to this motion was due on December 19, 1995. A final pre-trial conference was scheduled for February 5, 1996 and the trial was set for February 20, 1996. At the time the responsive brief came due in December, Robb’s lead attorney, Martin W. Kus, found himself involved in “substantive and time consuming negotiations” relating to two of his other cases. He thus asked counsel for NWR if he would'object to an extension of time in which to file a response to the summary judgment motion. When counsel for the railroad voiced no objection, Attorney Kus concluded that he had reached an informal, oral agreement for an extension until January 8, 1996. Notwithstanding the demands on Kus’ schedule, Robb’s law firm, under Kus’ direction, attended to various aspects of the case, such as noticing the depositions of Mr. Robb’s treating physician and nurse and various expert witnesses, responding to NWR’s request for a sеttlement demand, forwarding a list of witnesses and exhibits to NWR’s counsel, and preparing the response brief that Kus believed to be due January 8. Robb’s attorney had failed, however, to notify the.trial court concerning the agreement reached, nor had he obtained the court’s approval for the extension, as required by local rule, which provided, in relevant part:
[Extensions of time shall be granted only by order of the assigned or presiding judge or magistrate for good cause shown.... Failure to file an answer brief or reрly brief within the prescribed time period may subject the motion to summary ruling.
Northern District of Indiana Rule 7.1. On January 4, 1996, sixteen days after the response was due, the district judge granted summary judgment in favor of NWR, on the basis that the plaintiff had failed to file a response to the summary judgment motion.
On January 9,1996, the plaintiff Robb filed a Motion to Reconsider and for Relief from Judgment, pursuant to
In concluding his memorandum opinion, the district judge made clear that he would have granted Robb’s 60(b)(1) motion if not for his perception that Seventh Circuit precedent prohibited him from exercising discretion. The court observed, based upon a ten-year personal knowledge of Robb’s lead attorney, that he was “among the bar’s most conscientious in following the district’s rules and meeting deadlines.” Mem. Op. аt 346. The trial court further found that the error of appellant’s counsel in failing to give notice to the court of the agreed-upon extension of time was “minor,” did not amount to “flouting the rules or ignoring the case,” and was “sufficiently rare to allow characterization of the neglect as excusable.” Id. at 349. The court concluded that if he were to grant the motion, the “only ‘prejudice’ to [defendant] would be that its summary judgment motion would face testing on its merits with due regard to [plaintiffs] evidence and arguments, rather than being decided in the absence of oppositiоn.” Id. It is clear from the district judge’s memorandum opinion that he believed he was without discretion to consider these factors, and that for this reason he denied Robb’s 60(b)(1) motion. Robb appeals.
II. ISSUE
The question presented is a narrow one: “Did the trial judge err when he concluded that he lacked
discretion
to determine whether the negligence of Robb’s attorney amounted to “excusable neglect” for purposes of
III. DISCUSSION
A. Standard of Review
The text of
On motion and upon such terms as are just, the court may relieve a party or a party’s legal rеpresentative from a final judgment, order, or proceeding for the following reasons: (1) mistake, inadvertence, surprise, or excusable neglect ...
B. “Excusable Neglect”
1. Pre-Pioneer Case Law
Prior to 1993, the circuit courts of appeal were divided over the question of whether attorney negligence could constitute “excusable neglect,” as that term is used in
2. The Supreme Court’s Decision in Pioneer
We need not dwell on our “excusable neglect” case law prior to 1993, for in that year the Supreme Court resolved the aforementioned circuit split over the meaning and scope of “excusable neglect,” specifically rejecting the “narrow” approach taken by this circuit and others.
Pioneer,
The ordinary meaning of ‘neglect’ is ‘to give little attention or respect’ to a matter, or, closer to the point for our purposes, ‘to leave undone or unattended to especially] through carelessness.’ Webster’s Ninth New Collegiate Dictionary 791 (1983) (emphasis added). The word therefore encompasses both simple, faultless omissions to act and, more commonly, omissions caused by carelessness.
Pioneer,
Although
Pioneer
involved Bankruptcy Rule 9006(b)(1), the Court also discussed the meaning of the term “excusable neglect” аs it is used elsewhere in the array of federal procedural rules, including
at bottom an equitable one, taking account of all the relevant circumstances surrounding the party’s omission. These include ... the danger of prejudice to the [defendant], the length оf the delay and its potential impact on judicial proceedings, the reasons for the delay, including whether it was within the reasonable control of the movant, and whether the movant acted within good faith.
Id.
at 395,
3. Post -Pioneer Case Law
Under the approach set forth by the Supreme Court in
Pioneer,
we think it is clear that a trial court has
discretion
to consider the equities and then determine whether a missed filing deadline attributable to an attorney’s negligence is (or is not) “excusable neglect.” Moreover, we do not agree with the trial judge’s broad statement that “the Seventh Circuit’s post
-Pioneer
decisions have not modified the rule that attorney negligence
cannot
constitute ‘excusable neglect.’” At least two of our
post-Pioneer
decisions — not cited by the trial judge — explicitly acknowledged that
Pioneer
broadened the definition of “excusable neglect.” Shortly after
Pioneer
was decided, in
Matter of Bulic,
NWR relies primarily upon two of this circuit’s
post-Pioneer
decisions,
Matter of Plunkett,
In
Plunkett,
the only
post-Pioneer
decision cited by the district court, we did not have occasion to discuss
Pioneer
at length, and
In addition to
Plunkett,
NWR relies upon this court’s
post-Pioneer
decision in
Prizevoits v. Indiana Bell Tel. Co.,
By contrast, although we do not approve of Attorney Kus’ failure to inform the court concerning the agreement he had reached with NWR for an extension, we do not believe that his conduct can be characterized as “egregious.” In fact, the district judge observed that the error of Robb’s attorney was “minor” and did not amount to “flouting the rules or ignoring the case.” Likewise, we do
Finally, we note that in addition to
Plunkett
and
Prizevoits,
NWR relies in its brief upon a handful of other
post-Pioneer
cases from this circuit which in one way or another involved the issue of “excusable neglect.”
United States v. McKenzie,
Building upon our decisions
Bulic
and
Singson, supra,
which clearly acknowledged
Pioneer’s
broader reading of “excusable neglect,” we wish to clarify that there is not a “hard and fast” rule in this circuit which bars a trial judge from exercising discretion to determine whether attorney negligence in missing a filing deadline may bе deemed “excusable neglect.” In the absence of an actual exercise of discretion by the trial judge, it would be problematic to hold that there has been an
abuse
of discretion in this case. Nevertheless, because we are of the opinion that the district judge’s refusal to grant Robb’s motion was based on the incorrect premise that he lacked discretion to do so, we vacate the district court’s order and remand this ease so that the trial judge, consistent with
Pioneer,
may exercise his
discretion
in assessing whether the negligence of Robb’s attorney amounts to “excusable neglect” warranting relief from the entry of summary judgment. Our holding'— mandated by the Supreme Court’s
Pioneer
decision
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' — 'is also a limited one in the respect that we neither venture a comment on
how
the district judge ought to exercise his discretion in ruling on the
By following
Pioneer
in a clear and straightforward fashion, we join the other circuits that acknowledge “excusable neglect” has a new and broader mеaning in the aftermath of the Supreme Court’s 1993 decision.
See United States v. Thompson,
A final unresolved issue concerns whether the trial judge may take into account the fact that Attorney Kus “is among the bar’s most conscientious in follоwing ... rules and meeting deadlines” when he considers Robb’s
IY. CONCLUSION
In closing, we wish to emphasize the limited character of our decision. Obviously, attorneys are always well-advised to comply with the filing deadlines and loсal rules established by a trial court, and nothing in our opinion should be construed as condoning the failure to do so, for legal professionals are expected “to exercise vigilance and caution in the performance of [their] responsibilities.”
Redfield,
Remanded.
Notes
. Robb’s complaint alleged that the railroad crossing where the accident occurred was “extra hazardous” (and known to be so by NWR), in that (a) it "failed to provide [drivers with] an unobstructed view of oncoming train traffic,” and (b) there were no "active traffic control warning signals and devices at [thе] crossing.”
. One
pre-Pioneer
case from this circuit which departed from a narrow definition of “excusable neglect” was
Redfield v. Continental Cas. Co.,
. Judge Eschbach’s perception that the court had failed to address Pioneer adequately prompted him to write a dissenting opinion. Id. at 135-36.
. By pointing out that these cases do not discuss or cite Pioneer, wе do not mean to suggest that they were incorrectly decided, much less that they are inconsistent with Pioneer.
. All Article III courts, including this one, are bound to follow the holdings of our Nation's highest court, including its interpretation of “excusable neglect" in
. Two ol these circuit court opinions presented facts similar to those in this case (i.e., attorneys who missed filing deadlines), and in each the court held that it was an abuse of discretion
not
to grant relief under