Opinion ID: 1759252
Heading Depth: 1
Heading Rank: 6

Heading: Exception of Res Judicata

Text: In the second of the consolidated cases, defendant Mike Unkel asserts the court of appeal erred in denying his exception of res judicata, which he raised for the first time on appeal. The doctrine of res judicata precludes subsequent litigation when all of the following are satisfied: (1) the judgment is valid; (2) the judgment is final; (3) the parties in the two matters are the same; (4) the cause or causes of action asserted in the second suit existed at the time of the final judgment in the first litigation; and (5) the cause or causes of action asserted in the second suit arose out of the transaction or occurrence that was the subject matter of the first litigation. La. R.S. 13:4231; see also Burguieres v. Pollingue, 02-1385, p. 8 (La.2/25/03), 843 So.2d 1049, 1053. Unkel asserts that the stipulated judgment dismissing with prejudice Smith's initial suit against him bars any future litigation regarding the lease, including the instant litigation. La.Code of Civil Procedure art. 2163 affords a party the opportunity to raise peremptory exceptions, such as res judicata, for the first time in the appellate court. However, the article specifically states that for such an exception to be considered proof of the ground of the exception must appear of record. Id. The article does allow for remand of the case to take evidence on the exception if it is based on prescription. Id. Numerous cases by this court and the lower appellate courts have strictly interpreted this article and denied exceptions of res judicata if insufficient evidence appears on the record. See Wallace v. Wallace, 167 La. 149, 118 So. 869 (1928); Rohm v. Jallans, 134 La. 913, 64 So. 829 (1914); Capitol House Preservation Co. v. Perryman Consultants, Inc., 01-2524 (La.App. 1 Cir. 12/31/02), 836 So.2d 680, writs denied, 03-0323 (La.4/21/03), 841 So.2d 794, 03-0324 (La.4/21/03), 841 So.2d 795; Giammanchere v. Ernst, 96-2458 (La.App. 4 Cir. 5/19/99), 742 So.2d 572; Robinson v. Ieyoub, 97-2204 (La.App. 1 Cir. 12/12/98), 727 So.2d 579. However, within the last decade several circuits have remanded cases to the trial court to hear evidence on exceptions of res judicata when the record lacks evidence thereof. See Mandalay Oil & Gas, L.L.C. v. Energy Dev. Corp., 01-0993 (La.App. 1 Cir. 7/3/02), 867 So.2d 709; National Union Fire Ins. Co. v. Cagle, 94-322 (La.App. 3 Cir. 11/2/94), 649 So.2d 642; Stansell v. Stansell, 622 So.2d 1203 (La. App. 2 Cir.1993). These cases cite Lewis v. Lewis, 155 La. 231, 99 So. 202 (1923), as precedent for their decisions to remand. However, in Lewis, this court remanded the exception of res judicata to the trial court because the grounds alleged for the exception did not come into existence until after the appeal had been lodged and is clearly distinguishable from these latter cases. Id; see also State ex rel. Continental Supply Co. v. Fontenot, 152 La. 912, 94 So. 441 (1919)(remanding case to trial court to hear evidence on recent amended court decision that provided grounds for the exception of res judicata). In the instant litigation, the court of appeal denied Unkel's exception of res judicata because no proof of the ground was in the record. Unkel argues to the contrary, urging that the petitions and judgment regarding the initial suit is contained in the record. However, a close examination of the record indicates that only the stipulated judgment of dismissal is contained in the record, and not the actual petitions. Furthermore, even if it was appropriate to review the record of the consolidated case for evidence on this exception, again only the judgment and not the petitions relating to this initial suit between Unkel and Smith can be found. Considered on its own, this stipulated judgment on its face is not sufficient to rest the exception of res judicata. Next, Unkel asserts that if there is insufficient evidence in the record to support a claim of res judicata, this court may remand the case to the district court for the purpose of permitting the introduction of evidence in support of the pleas of estoppel and res judicata. Fontenot, 94 So. at 445. However, Unkel's reliance on this aberration in the jurisprudence of res judicata exceptions is misplaced. Article 2163 is clear and unambiguous: if grounds of the exception of res judicata do not appear in the record, the exception cannot be considered for the first time in the appellate court and must be denied. Since the record does not contain the necessary petitions and documents to support the claim of res judicata, the exception was properly denied by the court of appeal.