Lee F. Benford, II
Ravenswood, West Virginia
Attorney for the Appellant
Dean A. Furner
William A. Trainer
Spilman, Thomas & Battle
Parkersburg, West Virginia
Attorneys for the Appellee
CHIEF JUSTICE McHUGH delivered the opinion of the Court.
JUSTICE ALBRIGHT did not participate.
RETIRED JUSTICE MILLER sitting by temporary assignment.
1. "A motion to vacate a judgment made pursuant to Rule 60(b), W. Va.
R.C.P., is addressed to the sound discretion of the court and the court's ruling on such motion
will not be disturbed on appeal unless there is a showing of an abuse of such discretion."
Syl. pt. 5, Toler v. Shelton, 157 W. Va. 778, 204 S.E.2d 85 (1974).
2. "'In determining whether a default judgment should be entered in the face
of a Rule 6(b) motion or vacated upon a Rule 60(b) motion, the trial court should consider:
(1) The degree of prejudice suffered by the plaintiff from the delay in answering; (2) the
presence of material issues of fact and meritorious defenses; (3) the significance of the
interests at stake; and (4) the degree of intransigence on the part of the defaulting party.'
Syllabus Point 3, Parsons v. Consolidated Gas Supply Corp., 163 W. Va. 464, 256 S.E.2d
758 (1979)." Syl. pt. 2, Monterre v. Occoquan Land Development, 189 W. Va. 183, 429
S.E.2d 70 (1993).
3. "In the absence of an express written waiver of his right to a committee
under W. Va. Code, 28-5-36, or a guardian ad litem under Rule 17(c) of the West Virginia
Rules of Civil Procedure, a suit cannot be directly maintained against a prisoner." Syl. pt.
2, Craigo v. Marshall, 175 W. Va. 72, 331 S.E.2d 510 (1985).
4. Where a guardian ad litem who has been appointed, pursuant to W. Va. R.
Civ. P. 17(c), to defend an incarcerated convict in a civil action, and who has been properly
served with process concerning the action, fails to appear, plead or otherwise defend, the circuit court, prior to entry of a default judgment, has a duty, under W. Va. R. Civ. P. 55(b),
to make an investigation or conduct a hearing upon the record concerning the guardian ad
litem's representation of the incarcerated convict and, in addition, may order that the
guardian ad litem be served with written notice of the application for default judgment, as
if the guardian ad litem had appeared in the action.
In this action, the guardian ad litem was appointed by the circuit court pursuant
to W. Va. R. Civ. P. 17(c). That Rule provides in part: "The court or clerk shall appoint
a discreet and competent attorney at law as guardian ad litem for an infant, incompetent
person, or convict not otherwise represented in an action, or the court shall make such other
order as it deems proper for the protection of any person under disability." Following the
appointment, the guardian ad litem was served with a copy of the summons and complaint.
See W. Va. R. Civ. P. 4(d)(4). Nevertheless, neither the appellant nor the guardian ad litem
appeared in the action or filed an answer prior to the entry of the default judgment. The final
order of September 2, 1994, found:
That the defendant, Joseph D. Davis, failed to make appearance
in this matter either in person or by his Guardian ad Litem, Lee
F. Benford, II, prior to the entry of the default judgment on June
23, 1993, even though defendant, Joseph D. Davis, was
represented in this action by Lee F. Benford, II, who was
appointed Guardian ad Litem pursuant to Rule 17(c) of the West
Virginia Rules of Civil Procedure.
Importantly, the record is barren of any reason or explanation for the guardian
ad litem's failure to appear and represent the appellant prior to the entry of the default
judgment. As the appellee's brief filed herein states: "Neither the Petition nor the record
disclose any reasons why the Appellant or guardian ad litem failed to file an answer or why
a motion under Rule 60(b) was not made until over a year after judgment was entered in the
case below."
The purpose of an order appointing a guardian ad litem is to protect the person
under disability. 6 Moore's Federal Practice 55.05[4] (2d ed. 1995); 10 Wright, Miller and
Kane, Federal Practice and Procedure: Civil 2d § 2689 (2d ed. 1983). As the above cited
language of Rule 17(c) makes clear, a circuit court shall appoint a guardian ad litem in an
action such as this one, or "make such other order as it deems proper for the protection of
any person under disability." Moreover, that general principle of protection applies in the
context of default judgments. In syllabus point 2 of Craigo v. Marshall, 175 W. Va. 72, 331
S.E.2d 510 (1985), we held: "In the absence of an express written waiver of his right to a
committee under W. Va. Code, 28-5-36, or a guardian ad litem under Rule 17(c) of the West
Virginia Rules of Civil Procedure, a suit cannot be directly maintained against a prisoner."
As we explained in Craigo: "This rule also reflects the special solicitude shown in Rule 55
of the West Virginia Rules of Civil Procedure relating to prohibiting default judgments
against incarcerated convicts who are unrepresented." 175 W. Va. at 75, 331 S.E.2d at 514.
Here, the guardian ad litem asserts that, because neither the appellant nor the
guardian ad litem appeared in the action, the circuit court was without authority to enter the
default judgment. The guardian ad litem relies upon the following language of Rule 55(b):
In all other cases the party entitled to a judgment by default
shall apply to the court therefore and shall file with the court an
affidavit showing the other party's failure to appear or otherwise
defend; but no judgment by default shall be entered against an
infant, incompetent person, or incarcerated convict unless
represented in the action by a guardian, guardian ad litem,
committee, curator or other representative who has appeared
therein. If the party against whom judgment by default is sought
has appeared in the action, he (or, if appearing by
representative, his representative) shall be served with written
notice of the application for judgment at least 3 days prior to the
hearing on such application. If, in order to enable the court to
enter judgment or to carry it into effect, it is necessary to take an
account or to determine the amount of damages or to establish
the truth of any averment by evidence or to make an
investigation of any other matter, the court may conduct such
hearings or order such references as it deems necessary.
(emphasis added).
Although this Court can find little by way of case decisions concerning this
area of the law, the invalidity of the guardian ad litem's argument is highlighted by the time
frame in this action. Here, the guardian ad litem never filed an answer to the complaint and
did not file the Rule 60(b) motion to set aside the default judgment until over a year after the
default judgment was entered. Certainly, the guardian ad litem should not be able to defeat
the entry of a default judgment by simply not appearing in the action. Rather, the above
language of Rule 55(b) indicates that a default judgment is authorized upon a failure to appear or "otherwise defend." In this action, the appellant and the guardian ad litem did not
appear or defend the action, and, thus, default judgment was entered.
Considering the time frame herein in isolation, and the failure to file an answer
to the complaint, the setting aside of a default judgment in such circumstances would be
unusual. However, the rationale of the circuit court notwithstanding, we are concerned by
the fact that the circuit court specifically appointed the guardian ad litem in this action to
represent a defendant under disability, i.e., an incarcerated convict, within the meaning of
the West Virginia Rules of Civil Procedure, and, yet, no defense to the action was made and
no explanation was set forth in the motion to set aside or elsewhere in the record. There is
no transcript of the August 11, 1994, hearing upon that motion.
Moreover, the circumstances in this action are in contradistinction to the
protective purpose to be served by the order appointing the guardian ad litem. The Craigo
case, supra, was cited in Gossett v. Gilliam, 452 S.E.2d 6 (S.C. Ct. App. 1994). In Gossett,
the South Carolina court stated:
Where a prisoner is sued, a lawyer will ordinarily represent the
plaintiff which places the prisoner at a considerable
disadvantage. Because of the attendant restrictions of
incarceration, it is often difficult for a prisoner to secure counsel
or the appointment of a guardian ad litem prior to the expiration
of the time for filing responsive pleadings.
452 S.E.2d at 7. See also Chandos, Inc. v. Samson, 150 W. Va. 428, 434, 146 S.E.2d 837,
841 (1966) (No valid judgment can be entered against an incompetent, unless he is "properly
represented" in a suit or action.); Rom v. Gephart, 30 Ill. App. 2d 199, 208, 173 N.E.2d 828, 832 (1961), (The appointment of guardian ad litem is not a mere formality.); Laxy v. Laxy,
3 Ill. App. 2d 156, 164, 120 N.E.2d 881, 885 (1954), (The duties of a guardian ad litem are
not perfunctory.); Lugar & Silverstein, West Virginia Rules of Civil Procedure, p. 163
(Michie 1960), ("A default judgment may not be entered under Rule 55(b)(2) against a
person under disability unless he is properly represented, as provided in this Rule (17).); 6
Moore's Federal Practice, 55.05[4] (2d ed. 1995), ("If the infant or incompetent defendant
is not represented by a general fiduciary who has appeared in the action, the court should
appoint a guardian ad litem who should plead such a denial as to put the plaintiff to the proof
of the case.").
Although the scope of a circuit court's discretion with regard to the entry of a
default judgment should not be unduly confined, the circuit court should proceed with
caution where a guardian ad litem has been appointed. Upon all of the above, therefore, this
Court holds that where a guardian ad litem who has been appointed, pursuant to W. Va. R.
Civ. P. 17(c), to defend an incarcerated convict in a civil action, and who has been properly
served with process concerning the action, fails to appear, plead or otherwise defend, the
circuit court, prior to entry of a default judgment, has a duty, under W. Va. R. Civ. P. 55(b),
to make an investigation or conduct a hearing upon the record concerning the guardian ad
litem's representation of the incarcerated convict and, in addition, may order that the
guardian ad litem be served with written notice of the application for default judgment, as
if the guardian ad litem had appeared in the action. By this ruling we are simply utilizing the
language of Rule 55(b) which permits an investigation in the default context and, further, allows the circuit court to conduct hearings. Moreover, ordering the guardian ad litem to be
served with written notice of the application for default judgment is a practical option which
may assist the circuit court in its inquiry concerning the guardian ad litem's actions.
As stated above, the record herein is barren of any reason or explanation for
the guardian ad litem's failure to appear and represent the appellant prior to the entry of the
default judgment. Upon remand, the circuit court should investigate the question of whether
its order appointing the guardian ad litem was followed and, in that context, whether the Rule
60(b) motion to set aside the default judgment was filed within a reasonable time.See footnote 1 Thereafter, the circuit court must decide whether to set aside the default judgment entered
on June 23, 1993.
Accordingly, the final order of the Circuit Court of Jackson County, entered
on September 2, 1994, is reversed, and this action is remanded to that court for proceedings
consistent with this opinion.
Specifically, void judgments are classified under ground number (4) under
Rule 60(b). In Savas v. Savas, 181 W. Va. 316, 382 S.E.2d 510 (1989), this Court held,
in syllabus points 1 and 3:
1. Rule 60(b) of the West Virginia Rules of Civil
Procedure provides a basis for relieving a party from a final
judgment upon the following grounds: (1) mistake, surprise,
excusable neglect, or unavoidable cause; (2) newly
discovered evidence; (3) fraud, misrepresentation, or
misconduct; (4) the judgment is void; (5) the judgment has
been satisfied or vacated; or (6) any other reason justifying
relief. The motion for relief must be made within a
reasonable time, and for reasons (1), (2), (3), and (6) not more
than eight months after the judgment order was entered.
3. Under Rule 60(b) of the West Virginia Rules of
Civil Procedure, motions based on grounds numbered (4) and
(5) are required only to be filed within a reasonable time and
are not constrained by the eight-month period.
See also syl. pt. 2, Jenkins v. Johnson, 181 W. Va. 281, 382 S.E.2d 334 (1989).