Robert Norlock v. City of Garland

768 F.2d 654, 2 Fed. R. Serv. 3d 1102, 1985 U.S. App. LEXIS 21241
CourtCourt of Appeals for the Fifth Circuit
DecidedAugust 15, 1985
Docket85-1008
StatusPublished
Cited by95 cases

This text of 768 F.2d 654 (Robert Norlock v. City of Garland) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Robert Norlock v. City of Garland, 768 F.2d 654, 2 Fed. R. Serv. 3d 1102, 1985 U.S. App. LEXIS 21241 (5th Cir. 1985).

Opinion

ALVIN B. RUBIN, Circuit Judge:

The plaintiff in this civil rights suit attempted to serve his complaint by mail under the provisions of the Federal Rules of Civil Procedure authorizing such service, first adopted in 1983. The attempted mail service included neither copies of a notice and acknowledgment of receipt of the summons and complaint nor a stamped self-addressed return envelope as required by the rule permitting service by mail. 1 The district court dismissed the suit without prejudice because the plaintiff had not perfected service within 120 days after filing his complaint. It refused to reinstate the suit because the defects were never remedied. Finding no error in the court’s insistence on compliance with the plain language of the rule, so easy to follow, we affirm. Service by mail is quick, convenient, and inexpensive. Because, however, it is subject to abuse, the well-considered requirements of the rules, designed to assure that mail service will be adequate, are not to be disregarded with impunity.

*656 Robert Norlock filed his complaint on March 30, 1984, pursuant to 42 U.S.C. § 1983, against R.C. Parker, a Garland, Texas, police officer, and the City of Garland seeking damages for injuries sustained during his arrest on April 3, 1982 and for the alleged denial of medical treatment to him until the following morning. He served the complaint by mail pursuant to Federal Rule of Civil Procedure 4(c)(2)(C)(ii). His attorney mailed to each of the two defendants, on April 4, 1984, a copy of the summons and complaint and a cover letter that made no mention of the need for acknowledgment. Neither mailing included any copies of the notice and acknowledgment form specifically prescribed by the rule. 2 Neither contained a stamped, self-addressed envelope as the rule also requires.

On motion of the defendants, the district court dismissed Norlock’s action without prejudice on November 19, 1984 because “service on the Defendant [sic] has not been accomplished within 120 days of filing the original complaint....” Norlock moved to reinstate his cause of action. In its order denying the motion to reinstate, the district court found that,- while “Plaintiff has been aware since Defendants filed their motion to dismiss on May 22, 1984 that he did not make proper service, yet Plaintiff did not acknowledge that the motion to dismiss had been filed until November 9, 1984 when he moved for an ‘order recognizing service of process has been made on defendants.’ ” Norlock did not attempt to perfect service after the motion to dismiss for failure to serve was filed.

Because Rule 4 does not authorize service by mail on municipal corporations, even had Norlock perfected service by mail on the City of Garland, service would have been insufficient. 3 Service by mail is authorized only for two classes of defendants, individuals and domestic or foreign corporations. 4 The City of Garland is neither; it is a “municipal corporation ... subject to suit” within the meaning of Rule 4(d)(6). 5

Once the validity of service of process has been contested, the plaintiff “must bear the burden of establishing its validity.” 6 Norlock has failed to meet this burden for at least two reasons. First, Nor-lock’s attorney failed to comply with the specific requirement of Rule 4(c)(2)(C)(ii) that the plaintiff include with the summons and complaint “two copies of a notice and acknowledgment conforming substantially to form 18-A and a return envelope, postage prepaid, addressed to the sender.” 7 The cover letter enclosed by Norlock’s attorney makes no mention of the need to return a sworn acknowledgment. Therefore, it cannot be seriously contended that this letter “conform[ed] substantially to form 18-A.” 8 This is not an instance of a single error in the acknowledgment form, “minor and obviously incorrect,” such as the addition of a single word on the form that might be insubstantial and over- *657 looked, 9 nor the omission of only the return envelope. 10 No fault is attributable to the defendant as it might be had he received the notice and acknowledgment form and refused to return the acknowledgment. 11

The district court’s conclusion that service by mail was never perfected is consistent with the purpose and function of the amended rule. As the Fourth Circuit has stated, the effectiveness of mail service “is dependent upon an appropriate response by the defendant on the Notice and Acknowledgment for Service by Mail form. The notice clearly informs the defendant that the penalty for failure to sign, date and return the form is that it may be required to pay the costs of procuring service in some other manner.” 12

Norlock, moreover, after failing to achieve service by mail, failed thereafter to effect or, so far as the record shows, even to attempt, personal service. By first essaying service by mail, he “thereafter locked [him]self into the only subsequent mode of service, namely, actual personal delivery of the summons and complaint on defendants], a mode of service which admittedly has not been attempted, much less accomplished, here.” 13 The only action Norlock took after he was put on notice that the defendants were attacking the sufficiency of service of process was to file his motion to have service by mail recognized by the court.

Norlock argues that the defendants waived their objections to sufficiency of service of process by filing what he characterizes as an “answer,” but what defendants labelled a motion to dismiss. Because it is clear from the record that the defendants “have at all times maintained their objections to the adequacy of the service made upon them,” 14 we need not consider whether, as one commentator has observed, “[the] defendants] ... may be deemed to have waived the defense [of insufficient service of process] by first defending on the merits or taking other action amounting to a waiver.” 15

Norlock suggests that dismissal was discretionary and that the district court abused its discretion by dismissing the complaint without a hearing or an opportunity to serve process again. Federal Rule of Civil Procedure

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Bluebook (online)
768 F.2d 654, 2 Fed. R. Serv. 3d 1102, 1985 U.S. App. LEXIS 21241, Counsel Stack Legal Research, https://law.counselstack.com/opinion/robert-norlock-v-city-of-garland-ca5-1985.