JIMMY E. SHELTON v. KEVIN PARRISH, ADMINISTRATOR OF VERLON E. SHELTON ESTATE
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RENDERED: APRIL 6, 2007; 10:00 A.M.
NOT TO BE PUBLISHED
Commonwealth of Kentucky
Court of Appeals
NO. 2005-CA-002464-MR
JIMMY E. SHELTON
v.
APPELLANT
APPEAL FROM UNION CIRCUIT COURT
HONORABLE TIMOTHY C. STARK, JUDGE
ACTION NO. 05-CI-00063
KEVIN PARRISH, ADMINISTRATOR OF
VERLON E. SHELTON ESTATE
APPELLEE
OPINION
AFFIRMING
** ** ** ** **
BEFORE: NICKELL AND TAYLOR, JUDGES; PAISLEY,1 SENIOR JUDGE.
TAYLOR, JUDGE: Jimmy E. Shelton brings this appeal from an October 31, 2005,
order of the Union Circuit Court dismissing his action as barred by res judicata. We
affirm.
The procedural history underlying this case is convoluted and began in
1967. In that year, Jimmy filed a petition for dissolution of marriage in Henderson
1
Senior Judge Lewis G. Paisley sitting as Special Judge by assignment of the Chief Justice
pursuant to Section 110(5)(b) of the Kentucky Constitution and Kentucky Revised Statutes
21.580.
Circuit Court (Action No. 6645). He was then married to Rose Marie Shelton. In his
petition, Jimmy specifically stated that Rose “is expecting a child to be born on or about
June 8, 1967. Said child is not fathered by plaintiff herein and the pregnancy is not a
result of the marriage.” On May 24, 1967, Rose gave birth to Verlon E. Shelton. A few
weeks later, on June 9, 1967, Jimmy was deposed. In that deposition, the following
exchange took place between Jimmy and counsel:
48. Is it your opinion that her child is the result of her
relationship with Chuckie Gee?
A.
Yes sir.
In an Interlocutory Decree of Divorce, the circuit court dissolved Jimmy
and Rose's marriage and specifically concluded “that the plaintiff and defendant have no
children born as a result of this marriage.” This interlocutory decree was subsequently
incorporated into a Final Judgment of Divorce.
On October 28, 2003, Verlon was killed in a motor vehicle accident in
Union County, Kentucky. A motor vehicle crossed the center line on a two-lane highway
and collided head-on into the vehicle Verlon was driving. At the time of his death,
Verlon was thirty-six years of age, unmarried, and had no issue.
In Union District Court, Probate Division, Action No. 03-P-00168, Kevin
L. Parrish was appointed Administrator of Verlon's estate. The Administrator
subsequently pursued and settled the Estate's wrongful death claim against the driver of
the motor vehicle that collided with Verlon's vehicle.2 In District Court Action No. 03-P2
It appears that the wrongful death action was settled for $270,000.00.
-2-
000168, the Administrator filed a petition for leave to distribute proceeds from the
wrongful death action. In that petition, the Administrator claimed that Jimmy was not the
biological father of Verlon and requested leave to distribute the entire settlement
proceeds to Rose, Verlon's biological mother. In response, Jimmy filed a motion titled
“Opposition to Motion for Leave to Distribute Proceeds From Wrongful Death
Recovery.” Jimmy claimed to be the biological father of Verlon and entitled to receive a
portion of the settlement proceeds under Kentucky Revised Statutes (KRS) 411.130.
By order entered October 1, 2004, the district court determined that Jimmy
was not entitled to any portion of the settlement proceeds and relied in part upon KRS
411.137.3 The district court reasoned:
The proof in the case at bar shows there is no father
eligible to share in the proceeds recovered for [Verlon's]
wrongful death. If Jimmy believed [Verlon] to be his child he
could have sought to establish a relationship with him and
accept his parental responsibility. There is no evidence that
he made any attempt regarding either until after his death.
3
KRS 411.137 provides in part:
(1)
A parent who has willfully abandoned the care and
maintenance of his or her child shall not have a right to
maintain a wrongful death action for that child and shall
not have a right otherwise to recover for the wrongful
death of that child, unless:
(a) The abandoning parent had resumed the care and
maintenance a t least one (1) year prior to the death of
the child and had continued the care and maintenance
until the child's death; or
(b) The parent had been deprived of the custody of his
or her child under an order of a court of competent
jurisdiction and the parent had substantially complied
with all orders of the court requiring contribution to the
support of the child.
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In a separate order also entered on October 1, 2004, the district court directed the
Administrator to distribute the proceeds from the settlement to Rose. Jimmy filed an
appeal (Action No. 04-XX-00006) in the Union Circuit Court.
On April 28, 2005, the Union Circuit Court affirmed the district court's
October 1, 2004, orders. In its opinion affirming, the circuit court initially stated that it
was faced with the question of whether the district court possessed subject matter
jurisdiction to determine whether Jimmy should share in the settlement proceeds. The
circuit court concluded that the district court was properly vested with jurisdiction and
reasoned:
[U]nless jurisdiction is vested solely in the Circuit Court, as
in the construction matter in Vega, any proceedings
conducted in District Court, regardless of whether they are
actually conducted in an adversarial manner, are, by
definition, non-adversarial. If either of the parties elect to
continue to fight in Circuit Court, then the District Court is
precluded from acting. Therefore, in this case since the
matter was resolved by a decision of the District Court,
without recourse to Circuit Court, the District Court had
jurisdiction. It appears that the District Court can approve or
disapprove a proposed distribution by personal representative.
In this action, that would bring into issue whether or not the
Appellant was the father for purposes of the wrongful death
statute. Consequently the District Court would have
jurisdiction to determine that he was not, and therefore that
the distribution excluding him would be proper.
The circuit court also determined that the district court correctly concluded Jimmy was
not entitled to share in the settlement proceeds and affirmed the district court's
distribution of said proceeds to Rose. Discretionary review of the circuit court's April 28,
2005, order was denied by the Court of Appeals on August 15, 2005.
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Before the appeal in Action No. 04-XX-00006 to the circuit court was
affirmed, Jimmy initiated this action (Action No. 05-CI-00063) against the
Administrator of Verlon's Estate in the Union Circuit Court on March 15, 2005. In his
complaint, Jimmy claimed to be the biological father of Verlon and entitled to share in
the proceeds from the wrongful death action. The Administrator filed an answer denying
Jimmy's allegations. On October 5, 2005, the Administrator filed a Motion To Dismiss
and claimed that the action was barred by res judicata. The Administrator argued that the
issue of proper distribution of the settlement proceeds had been previously decided by the
district court in Action No. 03-P-00168 and later affirmed on appeal by the circuit court
in Action No. 04-XX-00006. Moreover, the issue of the district court's jurisdiction was
also decided by the circuit court on appeal in Action No. 04-XX-00006. As such, Jimmy
was barred from pursuing the action by the doctrine of res judicata. By order entered
October 31, 2005, the circuit court dismissed the action as barred by res judicata. This
appeal follows.
Jimmy contends that the circuit court erroneously dismissed his action
based upon res judicata. Jimmy argues that the district court lacked subject matter
jurisdiction in Action No. 03-P-00168 to determine whether he was Verlon's father and,
thus, to distribute the proceeds from the wrongful death settlement. Specifically, Jimmy
maintains:
1.
The matter then before the court was not a probate
matter;
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2.
The matter then before the court was an adversarial
dispute which was required to be brought before the
circuit court.
Jimmy's Brief at 4. Jimmy also maintains that the district court's October 1, 2004, orders
are not entitled to the preclusive effect of res judicata, as the district court lacked subject
matter jurisdiction. We disagree.
The doctrine of res judicata has two components: (1) claim preclusion and
(2) issue preclusion. Resolution of this appeal centers upon the doctrine of issue
preclusion. In Yoeman v. Commonwealth, 983 S.W.2d 459, 465 (Ky. 1998), the Court
concluded that issue preclusion would bar relitigation of an issue if the following
elements were present:
For issue preclusion to operate as a bar to further
litigation, certain elements must be found to be present. First,
the issue in the second case must be the same as the issue in
the first case. Restatement (Second) of Judgments § 27
(1982). Second, the issue must have been actually litigated Id.
Third, even if an issue was actually litigated in a prior action,
issue preclusion will not bar subsequent litigation unless the
issue was actually decided in that action. Id. Fourth, for issue
preclusion to operate as a bar, the decision on the issue in the
prior action must have been necessary to the court's judgment.
Id.
Also, it is axiomatic that a court must be properly vested with subject matter jurisdiction
before res judicata will attach to its judgment.
In the case sub judice, Jimmy claims that the district court lacked subject
matter jurisdiction in Action No. 03-P-00168; thus, its October 12, 2004, orders are not
entitled to the preclusive effect of res judicata. However, it is undisputed that the issue
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of the district court's subject matter jurisdiction in Action No. 03-P-00168 was squarely
placed before and previously decided by the circuit court in Action No. 04-XX-00006. In
fact, it is clear that the jurisdictional issue before the circuit court in Action No. 04-XX00006 is identical to the jurisdictional issue raised in this case. In Action No. 04-XX00006, the record reveals that Jimmy argued that the district court's October 1, 2004,
orders were void because the district court lacked subject matter jurisdiction. In its
opinion affirming, the circuit court concluded that the district court possessed subject
matter jurisdiction over the controversy. Considering the elements outlined in Yoeman,
we hold that the doctrine of issue preclusion bars relitigation of the issue of the district
court's subject matter jurisdiction in Action No. 03-P-00168. See Yoeman, 983 S.W.2d
459. In short, Jimmy is bound by the October 1, 2004, final orders of the district court.
Jimmy also argues that Judge Timothy Stark should have recused as circuit
court judge in the instant action (Action No. 05-CI-00063). Judge Stark was appointed as
special judge to preside over this action in circuit court. The record indicates that Judge
Stark was also the presiding judge in Jimmy's appeal (Action No. 04-XX-00006) to the
circuit court. Jimmy believes that Judge Stark was required to recuse under KRS
26A.015(2)(a). In his brief, Jimmy specifically states:
Judge Stark had personal knowledge of the disputed
facts from his sitting as special judge on the appeal of the
district court case number 03-P-00168, and had rendered an
opinion that those facts, though summarily decided, were
correct and that the district court had jurisdiction to decide the
matter before it.
Jimmy's Brief at 9.
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KRS 26A.015(2)(a) provides:
(2) Any justice or judge of the Court of Justice or master
commissioner shall disqualify himself in any proceeding:
(a) Where he has a personal bias or prejudice concerning a
party, or personal knowledge of disputed evidentiary facts
concerning the proceedings, or has expressed an opinion
concerning the merits of the proceeding[.]
In this appeal, Jimmy has failed to identify the alleged “disputed facts” and failed to cite
this Court to the record or to any evidence supporting the existence of such disputed
facts. Jimmy simply argues that Judge Stark should recuse because he presided over the
appeal (Action No. 04-XX-00006) to the circuit court and also presided over the instant
action in circuit court. We do not read KRS 26A.015(2)(a) as mandating recusal for such
reason. Consequently, we reject this argument as being without merit.
For the foregoing reasons, the Order of the Union Circuit Court is affirmed.
ALL CONCUR.
BRIEFS AND ORAL ARGUMENT FOR
APPELLANT:
BRIEF AND ORAL ARGUMENT FOR
APPELLEE:
Joel C. Rich
Dixon, Kentucky
Charles E. Moore
Owensboro, Kentucky
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