FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEY FOR APPELLEE:
JAMES E. AYERS MICHAEL PATRICK DUGAN
Wernle, Ristine & Ayers Riley Bennett & Egloff, LLP
Linden, Indiana Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
SALLY R. RILEY, )
)
Appellant-Plaintiff, )
)
vs. ) No. 54A04-0306-CV-303
)
HERITAGE PRODUCTS, INC., )
)
Appellee-Defendant. )
APPEAL FROM THE MONTGOMERY SUPERIOR COURT
The Honorable David A. Ault, Judge
Cause No. 54D01-0210-MI-355
February 26, 2004
OPINION - FOR PUBLICATION
MATHIAS, Judge
The workers compensation claim of Sally Riley (Riley) is currently pending before the
Workers Compensation Board. After her employer, Heritage Products, Inc. (Heritage), attempted to
obtain her employment records from her former employer, Riley filed a motion for
protective order in the Montgomery Superior Court. Heritage filed a motion to
dismiss Rileys motion for lack of subject matter jurisdiction. The trial court
granted Heritages motion to dismiss. Riley appeals and argues that the trial
court had jurisdiction to determine whether her former employer was required to produce
the requested documents. Concluding that the trial court lacked the requisite subject
matter jurisdiction, we affirm.
Facts and Procedural History
On January 31, 2002, Riley filed an application for adjustment of claim with
the Workers Compensation Board (the Board) alleging that she sustained an injury to
her lower back, right hip and leg within the course of her employment
at Heritage. Riley filed a second application for adjustment of claim approximately
two weeks later alleging a separate injury to her back.
On July 8, 2002, Heritage notified Riley that it intended to serve non-party
requests for production of documents on two of Rileys former employers: Masterguard Corporation
and SPI Bonding Company (SPI).
See footnote
Heritage did not receive an objection from
Riley. Therefore, on July 23, 2002, Heritage sent a request for production
of documents to SPI and requested all of Rileys employment records, wage statements,
personnel files, W-2 forms, and workers compensation files maintained by SPI.
See footnote
Appellees
App. p. 27. On August 9, 2002, SPI sent a letter to
Heritage stating that there were no documents in Rileys files concerning Rileys back,
right hip, or right leg, and that [a]ll documents are personal and private
in nature and providing them would be an invasion of Ms. Rileys privacy.
Appellees App. p. 30. Shortly thereafter, Heritage sent letters to both
SPI and Riley stating that Rileys employment records were subject to discovery and
that Heritage would file a motion to compel with the Board if the
documents were not received by August 30, 2002.
See footnote
Appellees App. pp. 31-32.
On October 23, 2002, Riley filed a motion for protective order in the
Montgomery Superior Court. On November 13, 2002, Heritage filed a motion to
dismiss Rileys motion for lack of subject matter jurisdiction, and Heritage requested fees
and costs. A hearing was held on the motion and on February
4, 2003, the trial court dismissed Rileys motion for protective order for lack
of subject matter jurisdiction and awarded costs and fees to Heritage. Riley
then filed a motion for reconsideration. On April 30, 2003, the trial
court granted Rileys motion for reconsideration in part by entering an order upholding
its dismissal of Rileys motion for protective order, but denying Heritages request for
costs and fees. Riley now appeals.
Discussion and Decision
A motion to dismiss for lack of subject matter jurisdiction presents a threshold
question concerning a courts power to act. Cmty. Hosp. v. Avant, 790
N.E.2d 585, 586 (Ind. Ct. App. 2003). When the facts before the
trial court are not in dispute, the question of subject matter jurisdiction is
purely one of law. GKN Co. v. Magness, 744 N.E.2d 397, 401
(Ind. 2001). Under those circumstances no deference is afforded the trial courts
judgment because appellate courts independently, and without the slightest deference to trial court
determinations, evaluate those issues they deem to be questions of law. Id.
(citation omitted). In this case, the relevant facts presented to the trial
court were not in dispute, and therefore, we review the trial courts decision
de novo.
Recovery for personal injury or death by accident arising out of and in
the course of employment can be sought exclusively under the Workers Compensation Act,
and such actions are cognizable only by the Workers Compensation Board.
Perry
v. Stitzer Buick GMC, Inc., 637 N.E.2d 1282, 1285 (Ind. 1994) (citation omitted);
Ind. Code § 22-3-2-6 (1991 & Supp. 2003). The legislature intended the
boards jurisdiction in such cases to be original and exclusive, and resort may
not be had to the courts until the administrative process has been completely
exhausted. Perry, 637 N.E.2d at 1285. Further,
[u]nder Indiana law, a claimant with an available administrative remedy must pursue that
remedy before being allowed access to the courts. If a party fails
to exhaust administrative remedies, the trial court lacks subject matter jurisdiction. By
requiring a party to first pursue all available administrative remedies before allowing access
to the courts, premature litigation may be avoided, an adequate record for judicial
review may be compiled, and agencies retain the opportunity and autonomy to correct
their own errors.
Lake County Sheriffs Corr. Merit Bd. v. Peron, 756 N.E.2d 1025, 1028 (Ind.
Ct. App. 2001) (internal citations omitted).
As Riley correctly notes, the Board, although not bound by technical rules of
practice, has expressly adopted Trial Rules 26 through 37. See Ind.
Admin. Code tit. 631, r. 1-1-3 (1988). Riley argues that by adopting
the discovery trial rules, the Board accepted and recognized that jurisdiction of some
such disputes should be within the realm of the civil courts. Br.
of Appellant at 16. Specifically, Riley argues that a party or non-party
under Indiana law and in accordance with Trial Rule 34, is entitled to
go to a Court in the county where production is sought to seek
protection from improperly requested production. That is the proper forum to resolve
T.R. 34 non-party production disputes. Id. at 17. In urging this
interpretation, Riley relies on the use of the term court in Rule 34(C),
the rule addressing production of documents by non-parties, and Rule 37, the rule
addressing motions for orders compelling discovery and sanctions. Further, although Riley concedes
that the Board has jurisdiction to address motions to compel discovery, she contends
that courts of general jurisdiction have jurisdiction to issue a protective order to
prevent the coercive compulsion of discovery from a non-party[.] Reply Br. of
Appellant at 3-4.
In making these arguments, Riley ignores the discovery procedures described in Rule 28(F),
which provides:
Whenever an adjudicatory hearing, including any hearing in any proceeding subject to judicial
review, is held by or before an administrative agency, any party to that
adjudicatory hearing shall be entitled to use the discovery provisions of Rules 26
through 37 of the Indiana Rules of Trial Procedure. Such discovery may
include any relevant matter in the custody and control of the administrative agency.
Protective and other orders shall be obtained first from the administrative agency, and
if enforcement of such orders or right of discovery is necessary, it may
be obtained in a court of general jurisdiction in the county where discovery
is being made or sought, or where the hearing is being held.
Ind. Trial Rule 28(F) (2004) (emphasis added). The unambiguous language of Rule
28(F) clearly states that a party must first obtain a protective order from
the administrative agency and that jurisdiction to enforce that order rests with courts
of general jurisdiction.
In State v. Frye, 161 Ind. App. 247, 315 N.E.2d 399 (1974), a
state employee filed a complaint against a state agency with the State Employees
Appeals Commission. During the pending complaint proceedings, the employee served interrogatories on
the agency, which the agency refused to answer. Id. at 248, 315
N.E.2d at 400. The employee then filed a motion in the Parke
Circuit Court requesting that the court order the agency to answer the interrogatories.
Id. The trial court denied the agencys motion to dismiss and
ordered the agency to answer the interrogatories. Id.
On appeal, we observed that while the Commission had statutory authority to order
the parties to submit to depositions, answer interrogatories, and therefore resolve objections during
those discovery proceedings, we noted that administrative agencies do not have contempt power.
Id. at 249, 252, 315 N.E.2d at 401, 403. Further, pursuant
to Rule 28(F),
See footnote the trial court had the power and authority to issue
enforcement orders to require the agency to answer the employees interrogatories.
Id.
Nevertheless, we concluded:
Although the trial court had that power, it is our opinion that its
action was premature and erroneous, in that the Commission had not been requested
by [the employee] to order [the agency] to submit answers to [the employees]
interrogatories and the same was prerequisite to [the employee] requesting the aid of
the trial court.
It is our further opinion that the trial court could not properly pass
upon the interrogatories in a case such as this until such time the
Commission had ruled that the interrogatories be answered and the same had not
been answered within the time ordered by the Commission. After such
failure, if any, to answer we can see no reason why the party
filing the interrogatories should not then go to the trial court for relief,
as provided in TR. 28(F). It is incumbent on [employee] Frye to
exhaust all of his administrative remedies prior to the seeking of the aid
of the trial court.
Id. at 252-53, 315 N.E.2d at 403.
Indiana Code section 22-3-1-3 authorizes the Board to subpoena witnesses, administer oaths, apply
to the circuit or superior court to enforce the attendance and testimony of
witnesses and the production and examination of books, papers, and records, and to
exercise all other powers and duties conferred upon the board by law.
Ind. Code § 22-3-1-3 (1991 & Supp. 2002) (emphasis added).
See footnote
We agree
with Heritage that pursuant to the Workers Compensation Act and Rule 28(F), the
Board has jurisdiction to resolve discovery disputes. Further, the circuit or superior
courts jurisdiction is limited to enforcement of the Boards discovery orders.
In this case, Riley never attempted to obtain a protective order from the
Board pursuant to Rule 28(F). Consequently, she failed to exhaust her administrative
remedies and the trial court properly dismissed her motion for protective order for
lack of subject matter jurisdiction.
Affirmed.
SHARPNACK, J., and VAIDIK, J., concur.
Footnote:
The request sent to Masterguard was resolved by the parties and is
not relevant to this appeal.
Footnote: On July 26, 2002, Riley sent a letter to SPI stating that
Riley objected to Heritages requests for production, but gave consent to SPI to
release any documents concerning Rileys back, right hip, and right leg. Appellants
App. p. 20. However, Riley did not send a copy of the
letter to Heritage and did not inform Heritage of her objections.
Footnote: On October 1, 2002, Heritage sent another letter to SPI requesting Rileys
employment records. The letter also stated that a records deposition would be
scheduled if the records were not produced in a timely manner.
However, Heritage did not schedule a deposition despite SPIs failure to respond.
Appellees App. p. 35.
Footnote: At the time
Frye was decided, Rule 28(F) provided:
Whenever a hearing before an administrative agency is required, parties shall be entitled
to all the discovery provisions of Rules 26 though 37. Protective and
enforcement orders shall be issued by a court of the county where discovery
is being made or where the hearing is to be held. Leave
of court shall not be required as provided in Rule 30, and the
agency shall make the determinations provided in Rule 36(B).
Id. at 249, 315 N.E.2d at 401.
Footnote:
See also Ind. Code § 22-3-4-2 (1991) (The board or any member
of the board shall have the power for the purpose of IC 22-3-2
through IC 22-3-6 to subpoena witnesses, administer or cause to have administered oaths,
and to examine or cause to have examined such parts of the books
and records of the parties to a proceeding as they relate to questions
in dispute. . . . The circuit or superior court shall, on
application of the board or any member of the board, enforce by proper
proceedings the attendance and testimony of witnesses and the production and examination of
books, papers, and records.).