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Smart Summary

Factual and Procedural Background

Rawson sustained injuries, including brain damage, from a motor vehicle collision and sued Kipp in superior court. After a psychological evaluation in March 1988, the parties reached a settlement agreement in October, which Rawson later repudiated. Kipp moved to enforce the settlement. Meanwhile, Rawson applied for and obtained a marriage license and married the next day. Rawson and his wife then petitioned the probate court for guardianship over Rawson’s person and property, anticipating damages from the lawsuit. The probate court appointed a guardian ad litem and ordered an evaluation of Rawson. Kipp sought to intervene in the guardianship proceedings, asserting an interest tied to the lawsuit and the competency issue critical to the superior court case. The probate court denied Kipp’s motion to intervene and granted letters of guardianship to Mrs. Rawson. Kipp appealed the denial of intervention and the granting of guardianship.

Legal Issues Presented

  1. Whether intervention under OCGA § 9-11-24 is permissible as a matter of law in probate court guardianship proceedings.
  2. Whether Kipp made a satisfactory showing for intervention as a matter of right or permissive intervention under OCGA § 9-11-24.
  3. Whether the probate court erred in granting guardianship following a bench trial despite Kipp’s demand for a jury trial on competency.
  4. Whether Kipp has standing to appeal the denial of intervention and the guardianship order.

Arguments of the Parties

Appellant's Arguments

  • Kipp contended the probate court erred in denying his motion to intervene because he was materially affected by the guardianship, had a significant interest that might be impaired, and was not adequately represented by existing parties.
  • He argued the court erred in granting guardianship after a bench trial on competency without allowing a jury trial as demanded.

Appellee's Arguments

  • Mrs. Rawson, as guardian, moved to dismiss the appeal asserting that Kipp had no standing to appeal because he was not a party to the guardianship proceeding.
  • She argued the issues were moot and that the appeal was frivolous under Court of Appeals Rule 26(b).

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
State Farm c. Ins. Co. v. Five Transp. Co., 246 Ga. 447 (271 S.E.2d 844) (1980) Denial of intervention is appealable. The court cited this case to reject the appellee's argument that Kipp lacked standing to appeal the denial of intervention.
Allgood v. Ga. Marble Co., 239 Ga. 858 (239 S.E.2d 31) (1977) Denial of intervention is appealable. Used similarly to support that Kipp's appeal from denial of intervention was proper.

Court's Reasoning and Analysis

The court first addressed whether intervention is legally permissible in probate guardianship proceedings. It found the probate court erred in concluding intervention was prohibited by law. The relevant statutes confer original, exclusive jurisdiction on probate courts over guardianships but do not specifically prohibit third-party intervention. OCGA § 9-11-81 mandates that the Civil Practice Act's provisions on intervention apply to probate proceedings unless expressly overridden, and no such overriding provision exists. The Uniform Probate Court Rules do not forbid intervention either. Consequently, the probate court’s summary denial of Kipp’s motion to intervene on a legal basis was erroneous.

The court declined to address whether Kipp met the requirements for intervention as a matter of right or permissive intervention since the probate court did not rule on that issue. It also did not consider the probate court’s factual finding regarding Kipp’s standing based on pleadings not in the record.

Regarding Kipp’s demand for a jury trial on competency, the court did not reach this issue because it first needed to determine if Kipp may become a party to the probate proceedings.

The court rejected appellees’ motion to dismiss the appeal. It held that Kipp had standing to appeal the denial of intervention despite not being a party to the guardianship proceeding, and that the appeal was not moot. It also declined to address the request for frivolous appeal penalties given its ruling.

Holding and Implications

The Court of Appeals REVERSED the probate court’s denial of Kipp’s motion to intervene and the grant of guardianship, remanding for further proceedings consistent with its opinion.

The direct effect is that Kipp may pursue intervention in the guardianship proceedings, and the probate court must reconsider the matter. No new precedent was established beyond clarifying that intervention is not prohibited as a matter of law in probate guardianship cases and that denial of intervention is appealable.

KIPP v. RAWSON et al.

BEASLEY, Judge.

Kipp appeals the probate court's granting of a petition for guardianship brought under OCGA § 29-5-6 and the denial of his motion to intervene in the guardianship proceedings. OCGA § 29-5-9 provides the means for any interested person to petition for the modification or termination of a guardianship, but appellant did not choose to wait to challenge the guardianship in this manner.

The following is undisputed. Rawson sued Kipp in the superior court as a result of injuries, including brain damage, he allegedly sustained in a motor vehicle collision. In March 1988, a psychological evaluation was done on Rawson. In October, counsel for the parties reached a settlement agreement. Rawson later gave notice that he would not follow through with it, and Kipp moved the superior court to enforce the agreement. A few days later Rawson applied for a marriage license and was married. The following day, Rawson responded to Kipp's motion, asserting that the settlement was not binding because of his mental incompetency and that he had filed a petition in probate court seeking appointment of Mrs. Rawson as guardian of his person and property. He and his wife had in fact done so the same day, in light of anticipated receipt of damages from Rawson's lawsuit against Kipp.

A hearing was scheduled in superior court on Kipp's motion to enforce the settlement. Rawson requested a continuance because of the pending guardianship petition in probate court. On November 21, Kipp moved the superior court to determine Rawson's competency as related to the settlement. The next day, the probate court ordered an evaluation of Rawson and on the 28th appointed a guardian ad litem. An evaluation of Rawson was made.

On December 8, Kipp filed in the probate court a motion to intervene in the guardianship proceedings, contending entitlement to intervention because of his interest in the lawsuit, the anticipated proceeds from which formed the basis for the guardianship petition, and because the issue of Rawson's competency was critical in the superior court proceeding. Kipp also prayed that all evidence on the issue of Rawson's competency be produced and evaluated by the psychiatrist appointed by the court to interview and evaluate Rawson, that he be permitted to participate in the competency hearing, present evidence and examine and cross-examine witnesses, and it be a trial by jury.

Rawson's initial counsel moved to intervene in the superior court proceeding in order to protect his fee interest. On December 14, Rawson moved for a continuance of the hearing on that counsel's motion to intervene. A hearing on the request for a continuance was held on December 15, at which Rawson advised Kipp that the guardianship hearing in probate court was scheduled for December 19.

On that date, Kipp filed a "showing" in the probate court protesting that he had not received notice of the guardianship hearing and arguing that the guardianship petition should be denied because (1) the Rawsons were estopped from asserting Mr. Rawson's mental incompetence when they relied on his competence to obtain a marriage license the day before they filed the guardianship petition, (2) the evaluation by the court-appointed physician was incomplete because the Rawsons had not disclosed Mr. Rawson's prior psychological evaluations, (3) the previous evaluations had shown Mr. Rawson functioning within the normal range of intelligence, and (4) Mr. Rawson had obtained a driver's license.

On the same day, the probate court issued letters of guardianship to Mrs. Rawson and denied Kipp's motion to intervene. The probate court drew two conclusions: Kipp as a matter of fact was not a proper party to the guardianship proceedings because of certain acknowledgments in Kipp's motion to determine Rawson's competency in superior court; Kipp had no standing to intervene as a matter of law because the specific rules of practice and procedure made no provision for intervention in probate courts in actions where original, exclusive and general jurisdiction is conferred on probate courts pertaining to incompetent persons.

Appellant Kipp contends that the probate court erred in denying his motion to intervene in the guardianship proceedings, because he was materially affected by them, was so situated that disposition of the issue of guardianship might have impaired or impeded his ability to protect his interest, and his interest was not adequately represented by existing parties. Kipp further contends the court erred in granting the letters of guardianship after a bench trial on the issue of Rawson's competency in the face of his demand for a jury trial on that issue.

1. The first question is whether or not intervention via OCGA § 9-11-24 is permissible as a matter of law in a probate court guardianship proceeding.

Probate courts have authority, unless otherwise provided by law, to exercise original, exclusive, and general jurisdiction of all other matters and things as appertain or relate to estates of persons who are incompetent because of mental illness or mental retardation. OCGA § 15-9-30 (a) (10). A judge of the probate court may appoint guardians for mentally incapacitated adults. OCGA § 29-5-1 (a) (1) and (2).

The statute outlining the procedure for appointment of a guardian, OCGA § 29-5-6, does not specifically provide for intervention by a third party in a guardianship proceeding. Nor does it prohibit such intervention. It permits the petition for guardianship to be brought by any "interested person or persons," and "any interested person" can move for appointment of a guardian ad litem for the proposed ward. OCGA § 29-5-6 (a) (1) and (b) (2) (D).

OCGA § 15-9-122 provides, "[u]nless provided to the contrary by Code Section 9-11-81, the general laws and rules of practice, pleading, procedure, and evidence which are applicable to the superior courts of this state shall be applicable to and govern in civil cases in the probate courts."

OCGA § 9-11-81 provides that the chapter should "apply to all special statutory proceedings except to the extent that specific rules of practice and procedure in conflict herewith are expressly prescribed by law; but, in any event, the provisions of this chapter governing ... intervention,... shall apply to all such proceedings."

The Uniform Probate Court Rules contain no prohibition against third party intervention in a guardianship case. UPCR 1.3 states that the rules "are not intended to apply in instances, if any, where they conflict with statutory time frames or any other statutory provisions, including (by way of example and not by way of limitation) statutory provisions concerning guardianship of incapacitated adults...."

Even if a specific rule of practice and procedure in the probate court was in conflict with OCGA § 9-11-24, according to OCGA § 9- 11-81 the Civil Practice Act governing intervention would still apply.

Thus, the probate court was mistaken in concluding that there was no provision for intervention by a third party in the guardianship proceeding as a matter of law. Consequently, the summary denial of Kipp's petition to intervene, on that basis, was error.

2. Whether or not appellant made a satisfactory showing below of intervention as a matter of right, OCGA § 9-11-24 (a), or of permissive intervention, OCGA § 9-11-24 (b), is not before this court as the probate court made no ruling in this regard.

In addition, we do not address the probate court's asserted factual determination of no standing to intervene because of certain statements on behalf of Kipp made in pleading in the superior court case, because such pleading is not in the record.

3. We do not reach appellant's contention that the probate court erred in granting the guardianship following a bench decision on the issue of competency in the face of his demand for a jury trial, because there has not yet been a determination that appellant may become a party to the probate court proceedings.

4. Appellee Mrs. Rawson as her husband's guardian moved to dismiss the appeal on the bases that appellant (a) has no standing to bring the appeal under OCGA §§ 5-6-34 and 29-5-6; (b) the questions presented have become moot under OCGA § 5-6-48; (c) the appeal is frivolous as is contemplated by Court of Appeals Rule 26 (b).

(a) The argument regarding lack of standing to appeal because he was not a "party" to the OCGA § 29-5-6 proceeding is premised on the contention that intervention was prohibited as a matter of law, which is erroneous. See Division 1, supra. Moreover, contrary to appellee's position, a denial of intervention is appealable. See, e.g., State Farm c. Ins. Co. v. Five Transp. Co., 246 Ga. 447 ( 271 S.E.2d 844) (1980); Allgood v. Ga. Marble Co., 239 Ga. 858 ( 239 S.E.2d 31) (1977).

Nor is the appeal dismissable because taken as a direct appeal under OCGA § 5-6-34. Appellant originally filed a notice of appeal solely from the denial of his motion to intervene. On January 23, 1989, the probate court, apparently sua sponte, issued an "order granting application for appeal" which recited that there had been no application for a certificate of review of the interlocutory ruling and asked that nonetheless the appellate court grant review of the case. Any defect in following proper interlocutory review procedure was rendered irrelevant by the filing of appellant's subsequent timely "amended" notice of appeal from the final grant of guardianship and the immediately preceding denial of intervention.

(b) The questions presented in this appeal did not become moot so as to warrant dismissal under OCGA § 5-6-48 (b) (3).

(c) Although in the motion to dismiss appellees contend that appellant or a non-party lacks standing to appeal, they request the imposition of a frivolous appeal penalty under Rule 26 (b). Because of our decision above, we need not address whether a penalty can be assessed against a stranger.

Appellee's motion to dismiss the appeal is denied, and the judgment is reversed for further proceedings in accordance herewith.

Judgment reversed. Carley, C. J., and McMurray, P. J., concur.

DECIDED NOVEMBER 14, 1989.
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KIPP v. RAWSON
(Nov 14, 1989)