Wallin v. Fuller

Decision Date20 April 1973
Docket NumberNo. 72-1132.,72-1132.
Citation476 F.2d 1204
PartiesMarsha Lee WALLIN, as Administratrix of the Estate of Carl R. Wallin, Deceased, Plaintiff-Appellant, v. Allen Ernest FULLER and Nationwide Mutual Insurance Company, Defendants-Appellees.
CourtU.S. Court of Appeals — Fifth Circuit

COPYRIGHT MATERIAL OMITTED

Jack Crenshaw, Maultsby Waller, Montgomery, Ala., for plaintiff-appellant.

Richard Ball, Montgomery, Ala., for defendants-appellees.

Before RIVES, WISDOM and RONEY, Circuit Judges.

WISDOM, Circuit Judge:

This case presents the question whether a trial court should instruct a jury on a theory of liability not mentioned in the pretrial order but supported by evidence introduced at the trial without objection. The district court declined so to instruct the jury. We reverse and remand for a new trial.

Carl Wallin was killed on August 16, 1970, when his Volkswagen, which he was driving, collided with a Pontiac driven by Allen Fuller on a two-lane highway near Lowndesboro, Alabama. Wallin held a policy of insurance with Nationwide Mutual Insurance Company, which contained a standard uninsured motorist clause. Fuller was an uninsured motorist within the meaning of this clause. Marsha Lee Wallin, widow of Carl Wallin, brought suit in federal district court seeking a declaratory judgment against Nationwide under the policy, alleging that Fuller's negligence had caused the collision.

On September 20, 1971, the district court held a pretrial hearing and entered an order specifying the issues agreed upon by the plaintiff, Mrs. Wallin, and defendant, Nationwide. The plaintiff's theory of recovery, as recited in the pretrial order, was that Fuller negligently drove onto his left side of the highway, thus causing the collision with Wallin's car. The defendant denied that Fuller had been negligent. Further, the defendant contended that Wallin had been contributorily negligent in pulling out onto his left-hand side of the highway to pass another car when there was insufficient room to pass.

Most of the plaintiff's case at the trial was devoted to showing that the collision had occurred in Wallin's righthand lane, and that Fuller therefore had been on the wrong side of the road. Mrs. Wallin, the plaintiff, identified photographs which she had taken showing that the left side had been torn off Wallin's Volkswagen. The plaintiff also submitted the testimony of two investigating officers, who stated that the point of impact was on Wallin's right side of the road.

The defense offered the deposition of George Mayes, who had been riding in Fuller's car at the time of the accident, and called Fuller himself to the stand. Both Mayes and Fuller testified that Wallin had pulled out to pass, and that the cars had collided while Wallin was still in the left lane and Fuller was in his right lane.

The testimony of both Mayes and Fuller revealed a possibility that, even if Wallin had been contributorily negligent, Fuller might have been guilty of subsequent negligence or wanton conduct. Under Alabama law a showing of subsequent negligence or wantonness defeats a defense of contributory negligence.1 Counsel for the defendant made no objection to the admission of any of this testimony at the trial. Mayes, the passenger, testified at his deposition that Fuller did not slow down when he first became aware that Wallin was trying to pass; that he finally shouted at Fuller to slam on his brakes; and that Fuller then applied his brakes and skidded into Wallin.2 The defense took the deposition of Mayes on September 8, 1971, before the pretrial hearing. The plaintiff's attorney was present at this deposition, but made no mention of the issues of subsequent negligence and wanton conduct either at the pretrial hearing or when the deposition was introduced into evidence at the trial.

Fuller, called as a witness by the defense, gave testimony on cross-examination by the plaintiff's attorney that tended to corroborate Mayes's version of the events.3 On recross, asked by the plaintiff's attorney whether the accident would not have happened if he had slowed down the least little bit, Fuller replied: "I guess not." Counsel for the defendant made no objection to any of this examination by the plaintiff's lawyer.

Neither attorney drew the court's attention to the fact that this testimony might show subsequent negligence or wanton conduct, or to the fact that the pretrial order precluded these issues, until after both sides had rested. The defendant then submitted requested written charges to the court. The plaintiff's attorney objected to one of these charges on the ground that it failed to include the issues of subsequent negligence and wanton conduct, and requested leave to amend the pleadings to include these issues. The trial court denied leave to amend, applying the standard of Rule 16 of the Federal Rules of Civil Procedure that, where the issues have been narrowed by a pretrial order, amendment will be permitted only when necessary to prevent "manifest injustice." The court proceeded to submit the case to the jury without instructions as to the legal effect of subsequent negligence or wanton conduct. The jury found for the defendant. The court then denied the plaintiff's motion for a new trial, and the plaintiff brought this appeal.

The pretrial conference serves the purposes of expediting litigation and eliminating surprise at the trial. Rule 16 of the Federal Rules of Civil Procedure establishes that the pre-trial order ordinarily governs the course of the trial.4 Under the Rule 16 "manifest injustice" standard, the question whether to permit amendment of the pretrial order in the course of the trial is generally a matter within the discretion of the trial judge, and an appellate court will intervene only if the trial judge has acted arbitrarily. See Ely v. Reading Co., 3 Cir. 1970, 424 F.2d 758; McKey v. Fairbairn, 1965, 120 U.S.App.D.C. 250, 345 F.2d 739; Case v. Abrams, 10 Cir. 1965, 352 F.2d 193.

Unbending adherence to the strictures of Rule 16 would, however, frustrate another broad policy of the Federal Rules favoring liberality of amendment. This policy is principally embodied in Rule 15, which deals with amendments to the pleadings.5 It is unlikely that the pretrial order under Rule 16 was intended to make the pleadings, and therefore Rule 15, obsolete. See Commentary, The Pre-Trial Order, 4 Fed.Rules Serv. 16.3, at 906 (1941); Note, Federal Pre-Trial Practice: A Study of Modifications and Sanctions, 51 Geo.L.J. 309, 312 (1963). Even though the parties have the advantage of discovery before the pretrial conference, events not anticipated at the pretrial stage may often occur at the trial. See Clark, To an Understanding Use of Pre-Trial, 29 F.R.D. 454, 459 (1961); Clark v. United States, 1952, D.Or., 13 F.R.D. 342, 345-346. And attorneys would be reluctant to enter agreements at the pretrial conference if later amendments were strictly forbidden.

Courts have therefore widely recognized that Rule 16 must be read in light of Rule 15, and that in some circumstances the policy of Rule 15 should moderate the strictures of Rule 16. Bucky v. Sebo, 2 Cir., 1953, 208 F.2d 304, 305; Brooks v. Wootton, 2 Cir. 1966, 355 F.2d 177; Dering v. Williams, 9 Cir. 1967, 378 F.2d 417; Blackwell v. Regal Cab Co., 1963, 114 U.S.App.D.C. 397, 316 F.2d 398; Meadow Gold Products Co. v. Wright, 1960, 108 U.S.App. D.C. 33, 278 F.2d 867; see Rosden v. Leuthold, 1960, 107 U.S.App.D.C. 89, 274 F.2d 747; 3 J. Moore, Moore's Federal Practice ¶ 15.131, at 982 (1972); 6 C. Wright & A. Miller, Federal Practice and Procedure: Civil § 1491, at 455-56 (1971); Christenson, The Pre-Trial Order, 29 F.R.D. 362, 375 (1961).

At a minimum the accommodation of Rule 16 to Rule 15 should mean that the more liberal standard of Rule 15 should apply when one of the parties seeks amendment to conform the pleadings to the issues actually raised by the evidence introduced at the trial. Monod v. Futura, Inc., 10 Cir. 1969, 415 F.2d 1170, 1173-1174; McDowall v. Orr Felt & Blanket Co., 6 Cir. 1944, 146 F.2d 136, 137; Mayfield v. First Nat'l Bank, 6 Cir. 1943, 137 F.2d 1013, 1016-1017. Rule 15(b) provides that when issues outside the pleadings are tried by express or implied consent of the parties, "they shall be treated in all respects as if they had been raised in the pleadings" (Emphasis added.) Amendment is thus not merely discretionary but mandatory in such a case. 3 J. Moore, ¶ 15.132 at 996.

The trial court erred in applying Rule 16 rather than Rule 15(b). Under the standards of Rule 15(b) the defendant impliedly consented to the trial of issues outside the pretrial order, and the pleadings should therefore have been amended. A substantial quantity of evidence tending to establish subsequent negligence or wanton conduct was brought before the jury, through the deposition of Mayes and the testimony of Fuller, without objection by defense counsel. Indeed, both Mayes and Fuller were defense witnesses, and Fuller was himself a defendant. Cf. Vogrin v. Hedstrom, 8 Cir. 1955, 220 F.2d 863, cert. denied, 1955, 350 U.S. 845, 76 S.Ct. 86, 100 L.Ed. 753. Having deposed Mayes well in advance of the trial, defense counsel cannot complain of having been unaware that the evidence might tend to establish subsequent negligence and wantonness. In these circumstances the failure of the defense to seek to limit the evidence during the trial in accordance with the pretrial order establishes consent to the trial of these issues. See Pan-American Casualty Co. v. Reed, 5 Cir. 1957, 240 F.2d 336; 3 J. Moore, ¶ 15.132 at 994; 6 C. Wright & A. Miller, § 1493 at 463-65.

The possibility of prejudice to the opposing party may of course be reason to find a lack of consent to amendment under Rule 15(b). See 6 C. Wright & A. Miller, § 1493 at 468. Any danger of prejudice to the defendant in this case could have been averted by the trial court. All witnesses to the accident had testified, as had...

To continue reading

Request your trial
50 cases
  • Coastal States Marketing, Inc. v. Hunt
    • United States
    • U.S. Court of Appeals — Fifth Circuit
    • January 14, 1983
    ...Cir.1978); Associated Beverages Co. v. P. Ballantine & Sons, 287 F.2d 261, 263 (5th Cir.1961). Coastal's reliance on Wallin v. Fuller, 476 F.2d 1204, 1209-10 (5th Cir.1973), is misplaced. Wallin involved the modification of a pretrial order to reflect an issue that the parties had, by impli......
  • Puget Sound Gillnetters Ass'n v. U.S. Dist. Court for Western Dist. of Wash.
    • United States
    • U.S. Court of Appeals — Ninth Circuit
    • April 24, 1978
    ...F.2d 709 (6th Cir. 1974). The Fifth Circuit points out that in these circumstances allowing the amendment is mandatory. Wallin v. Fuller, 476 F.2d 1204 (5th Cir. 1973).11 The fact that Gray's Harbor is outside the area ceded is irrelevant if Quinault Indians customarily fished there. Seufer......
  • Hardin v. Manitowoc-Forsythe Corp., MANITOWOC-FORSYTHE
    • United States
    • U.S. Court of Appeals — Tenth Circuit
    • October 5, 1982
    ...States, 508 F.2d 1251, 1258-60 (6th Cir. 1975), cert. denied, 439 U.S. 981, 99 S.Ct. 569, 58 L.Ed.2d 652 (1978); Wallin v. Fuller, 476 F.2d 1204, 1208-11 (5th Cir. 1973); Deakyne v. Commissioners of Lewes, 416 F.2d 290, 297 n. 12 (3d Cir. 1969); Monod v. Futura, Inc., 415 F.2d 1170, 1173-74......
  • Baker v. John Morrell & Co.
    • United States
    • U.S. District Court — Northern District of Iowa
    • June 11, 2003
    ...6 CHARLES A. WRIGHT, ARTHUR R. Miller & Mary Kay Kane, Federal Practice and Procedure § 1491, at 454 (1971); see Wallin v. Fuller, 476 F.2d 1204,1210 (5th Cir.1973). In this case, amendment would not inject any new issues or theories into the case. The issues raised in Baker's proposed ICRA......
  • Request a trial to view additional results

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT