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Bernay v. Sales
435 A.2d 398
D.C.
1981
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*2 KELLY, Before NEBEKER and FER- REN, Judges. Associate PER CURIAM: presents single This case question: allowing whether the trial court erred in plaintiff, Sales, Jeanne M. enter a dismissal without defendant, ap- dice of her suit pellant Beryl Bernay, appellant after filed a motion to dismiss for failure to state granted. a claim for which relief can be appellant’s We hold that bare motion to dismiss for failure to state a claim did not deprive appellee of her dismissal under the terms of 41(a)(l)(i), and we decline to bend the Thus, opposite rule to reach the result. we affirm.

I. appellee, On November Jeanne M. a resident of the District of Co- lumbia, complaint Superior filed in Court a against appellant, Beryl Bernay, a resident complaint alleged alien- of New York. The ation of affection and criminal conversa- tion, thereafter, arising Shortly April from relations with appellee’s spring husband “in the late pellee appellant filed and served on a notice during the summer of 1978.” 2,May of dismissal of the action. On after Judge hearing, accepted John R. Hess action,

Appellant appear not did 20,1978, and on December the clerk entered dismissal. *3 18, 1979, January default her. On reconsider, Appellant May moved but on having entry received notice of the of de- by again 24 the court memorandum order fault, appellant special appearance made a Super.Ct.Civ.R. 41(a)(l)(i), ruled that under for the “Defendant’s Mo- appellee complaint could dismiss her with- Alternatively tion to Dismiss or Defend- prejudice right. out as a matter of Quash ant’s Motion to Service of Process.” Appellant timely appealed this order. requested The motion dismissal of the com- ll-721(a)(l); See D.C. Code § plaint prejudice, supporting with and the App. panel R. 4 A divided of this points memorandum of and authorities originally court reversed and remanded the presented possible grounds several for re- Bernay D.C.App., case. (1) subject jurisdiction, lief: lack of matter (1980). Super.Ct.Civ.R. 12(bXl); (2) per- Following see A.2d lack of for jurisdiction, 12(b)(2); (3) sonal see id. R. rehearing, we now affirm. conveniens, forum non see D.C. Code 13-425; (4) insufficiency of service of II.

process, Super.Ct.Civ.R. 12(b)(5); see (5) failure to state a claim for which relief Appellant’s principal contention is 12(b)(6). granted, can see id. R. Also the trial court should have considered accompanying the motion were four affida- appellant’s motion to dismiss for failure to opposition Appellee vits. filed an to this summary state claim as a motion for motion. judgment, precluded ap- which would have 26, 1979, On for March the date set pellee’s voluntary dismissal. We conclude dismiss, hearing motion to legal that the affidavits and memorandum parte praecipe filed an ex of volun- by appellant support submitted of her tary judge, dismissal. The motions then motion to dismiss were insufficient to con Superior Judge Pryor, ap- Court William C. summary vert that motion into a motion for Later, however, proved praecipe. judgment. Accordingly, challenge her parently appellant’s request, Judge Pryor ground dismissal on this fails. praecipe amended the to read “with Superior 41(a)(l)(i) permits Ct.Civ.R. Appellee dice with leave to seek costs.” plaintiff voluntarily to dismiss an action reconsideration, then filed a motion ob- any without “at time before ser- jecting to the conditions that court by party vice the adverse of an answer or of praecipe inserted in the of dismissal. On summary judgment, motion for whichever April hearing, Judge Pryor after a void- praecipe. A ed the first occurs . court must treat a Super.Ct.Civ.R. 41(a) provides prejudice, except in full: al is without that a notice operates adjudication upon as (a) an VOLUNTARY DISMISSAL: EFFECT by plaintiff the merits when filed who has THEREOF. PLAINTIFF; any once dismissed in of the United BY BY STIPULATION. Subject 23(e), provisions States or of state an action based on of Rule statute, any applicable including the same and of claim. by Except BY action be dismissed with- ORDER OF COURT. (i) by filing provided paragraph out order of court a notice of of this subdivision rule, dismissal at time before service of this an action shall not be dismissed plaintiffs upon adverse of an or of motion for at the instance save order of answer occurs, summary judgment, court and terms and whichever first condi- (ii) by filing stipulation proper. or signed by tions as the court deems If a of dismissal coun- appeared pleaded by all has been a defendant who have terclaim prior plaintiff’s to the service him of the action. Unless otherwise stated stipulation, notice of dismissal or the dismiss- motion to action shall not be Rivers, pleading,” motion dismiss for failure to state a side the see Richardson v. granted, claim for which relief can be Su 333, 335, U.S.App.D.C. per.Ct.Civ.R. 12(bX6), as a motion for sum McGrath, (1964); Sardo v. mary judgment, id. R. when “matters pleading outside the are accompanying appellant’s affidavits 12(b);2 not excluded the court.” Id. R. to dismiss related to her claim of insuffi- Stanton, see Carter v. U.S. process, Super.Ct.Civ.R. cient service of (1972) (per 31 L.Ed.2d 569 S.Ct. cu 12(b)(5), not to her substantive defense un- riam); Doolin v. Environmental Power therefore, 12(b)(6). They, der Rule failed to Ltd., D.C.App., 360 A.2d 496 n.5 transform her Rule motion into a Annot., A.L.R.Fed. Nix, summary judgment. (1969 Supp.1980); & A. Mil note 3 ler, Federal Practice & Procedure *4 (1969 Supp.1981).3 Accordingly, & a de Appellant did submit a memoran sup fendant’s motion to points addressing dum of and authorities ported by pleading,” “matters outside the theory appellee her had failed to state deprives of the of volun granted. which claim for relief could be tary Lodge dismissal. Nix v. Fulton appellee’s She contended that cause of ac 2,No. International Association of Machin tion had been in both the District abolished ists, 794, 1971), 798 cert. Columbia, Supp., see D.C. Code 1978 denied, 946, 2044, 406 U.S. 92 S.Ct. 32 York, Hanfgarn and in New see § (1972). generally L.Ed.2d 332 5 Moore’s Mark, 47, 48, 274 N.Y. 8 N.E.2d (2d Federal Practice ed. 1981 & 41.02[3] modified, 570, 556, Supp.1981); Miller, ap 274 N.Y. supra N.E.2d & A. (1971 Supp.1981). peal dismissed, 641, 57, & 302 U.S. 58 S.Ct. points L.Ed. 498 Memoranda of and by appellant support material filed in authorities, however, do not constitute of her motion to dismiss does not constitute pleadings” “matters outside the extra-pleading necessary matter to con- 12(b). Young Simon, Inc., Kron v. & vert a Rule motion into a motion 293, summary judgment. First, (1970); Richardson, for although A.2d af- n.4, fidavits supra n.4; Sardo, constitute “matters out- at 335 335 F.2d at 998 objection objections responsive pleading dismissed the defendant’s in a or mo- pending pleading unless the counterclaim can remain tion. If a forth sets a claim for independent adjudication for the court. relief to which the adverse is not re- order, specified Unless otherwise quired pleading, responsive to serve a he paragraph dismissal under this is without any assert at the trial defense in law or fact prejudice. If, to that claim for relief. on a motion as- serting the defense numbered to dismiss Super.Ct.Civ.R. 12(b) provides in full: pleading for failure of the to state claim (b) defense, Every HOW PRESENTED. granted, which relief can matters outside the fact, any plead- law or ing, to a claim for relief pleading are to and not excluded claim, counterclaim, whether a cross- court, by the the motion shall be treated as claim, claim, third-party shall be asserted summary judgment disposed one for responsive pleading thereto if one is provided in Rule and all shall required, except following that the defenses given opportunity present reasonable option pleader at the of the be made pertinent all material made to such a motion jurisdiction motion: lack of over the sub- by Rule 56. matter, ject lack of over the person, (3) [VACANT], (4) insufficiency of only 3. This conversion can occur with a motion process, (5) insufficiency proc- of service of 12(b)(6), to dismiss under Rule not with a mo ess, (6) failure to state a claim tion to dismiss under other subsection of granted, (7) join relief can be party failure to 12(b). Wright supra making any A under Rule 19. motion Titus, Riley of these defenses shall be made before ing n.1, n.1, denied, cert. 342 U.S. pleading permitted. if a further No (1951); Super. 72 S.Ct. 96 L.Ed. 644 objection by being defense or is waived 12(b); Civ.R. note 2 joined with one or more other defenses or Nix, why recting Harvey to show cause it should 196 F.2d at bringing enjoined from the same not be 797 —9 8.4 jurisdiction. other cause of action properly ruled The trial court therefore responding, Harvey filed a Id. Instead 12(b)(6) motion to dismiss Id. The dismissal. notice equivalent to a motion for summa- was not Cyanamid’s subsequent court denied ry judgment not bar vol- and did dismissal, Cyan- to vacate the untary dismissal of the action. appealed that order. amid appeal, Circuit reversed. On the Second III. Hand, Augustus opinion by Judge In an N. Aluminum, authority Inc. On the court held that had not been Cyanamid 203 F.2d 105 v. American entitled to dismissal. See id. at denied, Cir.), 345 U.S. 73 S.Ct. cert. pur- 108. The court reasoned that “[t]he originally this division L.Ed. 41(a)(1)] pose of this rule is to [Fed.R.Civ.P. case, with voted to reverse and remand this dismissals, facilitate but to limit leave for to seek dismiss proceedings early them to an approval al with court under joined.” Harvey, issue is before Bernay, large amount of 107. The court noted reconsideration, however, 129. On follow Cyanamid expended and effort time ing rehearing, we decline to defending against Harvey’s motion for *5 right Harvey exception follow the to the of injunction. The preliminary id. at 107. See 41(a)(l)(i). dismissal of court further reasoned that “the merits controversy squarely raised and the were Harvey, supra, the Circuit Second part based its denial of the district court placed equitable plain on an limitation the injunction on its conclusion that the right voluntary dismissal under tiff’s of on the merits was tiffs’ chance of success 41(a)(l)(i). Harvey Alumi Fed.R.Civ.P. Id. at The court concluded small.” 107-08. num, (Harvey) sued American Inc. had although Cyanamid “pa- had filed no that seeking specific Cyanamid (Cyanamid), Co. per labeled ‘answer’ or ‘motion for summa- performance of a contract for the sale of ., application of ry judgment’ .. . a literal Cyanamid’s of assets located in Brit certain 41(a)(1) present controversy Rule injunction preliminary ish and a Guiana be in with its essential would not accord of those prohibiting the sale or transfer purpose preventing arbitrary dismissals of supra party. Harvey, at assets to third stage of a suit has been after an advanced prelimi the 106-07. The trial court denied Id. at 108. reached.” ground, among oth nary injunction on the ers, only a slim chance of in this Harvey that stood Our research has revealed no case Fearing Harvey’s merits. Id. at 107. that has considered success on the Guiana, right voluntary dismiss- sue in British limitation of the to that would 41(a)(l)(i).5 Courts in other Cyanamid parte an ex order di- al under Rule obtained Franklin, however, System, D.C.Mun.App., note, sit Inc. v. 4. We that a trial court treating question presented bounds of its discretion in a A.2d 357 The there within the summary Rule motion as a motion trial court had abused its was whether the judgment gives granting the the court to dismiss un- discretion in a motion judgment summary here, 41(a)(2) not, its intention to consider whether the der Rule — adequate opportunity present to affida- plaintiff right and an to dismiss under Rule had a appropriate ruling Inc., to vits or other matters System, Transit su- See D.C. See, g., a motion. e. Kron v. First Fed. By analogy Harvey, appel- pra the at 358. 865, Ass’n, (5th Cir. Sav. & Loan 449 F.2d argued lant there that dismissal under Rule Dollahite, 430, 1971); Scott 54 F.R.D. v. early stage 41(a)(2) “to an should be restricted (N.D.Miss.1972). generally Wright & C. proceedings.” at 358. The court of the held, 1366, Miller, supra A. at 678-79. however, had been trial court granting the motion to within its discretion local, case, juris- only federal or in this 5. The at 358-59. dismiss. See id. Harvey is D.C. Tran- diction that has even cited jurisdictions including only applica- the Second of Cir not broad but inconsistent — Freight Inc., Carriers, cuit —have criticized and refused to follow tions. Pilot su- See, g.. Scarne, Thorp pra the case. e. v. at 916. The Circuit itself has Second (2d 1979); expressed F.2d 1174-76 eloquently Cir. D.C. weakness Electronics, Corp., approach: Inc. v. Nartron 511 F.2d Harvey (6th 1975); Freight 297-98 Cir. Pilot have Aluminum fur- [W]hile Carriers, Inc. International Brotherhood purpose 41(a)(l)(i), one of thered Rule Teamsters, of confining early that of dismissals an Cir.), denied, cert. U.S. S.Ct. stage proceedings, it so at did (1975); 45 L.Ed.2d 700 Littman expense of perhaps a concurrent and Bache & equally important purpose, estab- 1958). 5 Moore’s lishing bright-line marking test the ter- -34; 41.02[3], at 41-32 to plaintiff’s mination of a otherwise unfet- A. right voluntarily unilaterally tered [Thorp, supra dismiss an action. 1175.] permit We believe this reluctance to Accord, Electronics, Inc., 297; judicial right restriction of Carriers, Inc., Freight Pilot supra at 916. specified 41(a)(l)(i) dismissal Rule 41(a)(1), moreover, sound. gives At common law Rule a defend- right ant protection against repeti- to dismiss suit without reasonable tious, litigation litigation. until a vexatious A defendant verdict has power plaintiff’s was to cut judgment reached or off unilateral entered. Amer right Kerschbaum, ican Electrotype Co. v.

App.D.C. 241, answer summary judgment F.2d (or equivalent (per curiam). Rule ac- 41(a)(1), companied by originally adopted in was to confine ings”). Thorp, supra at D.C. Elec- early dismissal “to an tronics, Inc., *6 Littman, proceeding,” 41(a)(l)(i). Civ.R. rule also allows the 480: a right could dismiss as of plaintiff only voluntary one dismissal with- only before the defendant served an an prejudice; out the second comes with Moore’s, swer. See 5 In ¶41.01[2]. Thorp, supra dice. D.C. Electron- the rule was to amended include ser ics, Inc., Super.Ct.Civ.R. vice of summary judgment by a motion for 41(a)(l)(i). the adverse as a further on limitation plaintiff’s right the to dismiss. See id. case, appellant In this filed a to motion Electronics, ¶41.01[4]. dismiss prejudice suit with on Inc., supra at 296-97. grounds, including various failure to state a claim, relating and attached four affidavits Harvey derogation in stands of the com- alleged inadequacy proc- to the of service promise 41(a)(l)(i) in reflected Rule toas ess. This motion was to bar insufficient ease frequency the and with voluntary express dismissal under the terms can prejudice. tiff dismiss suit without 12(b) 41(a)(l)(i). of Super.Ct.Civ.R. and Thorp, supra Harvey, at 1175-76. Part II moreover, presents poten- and awkward tially inequitable to alternative the rule: Looking light at this case in the Har- pertinent Harvey under exception considerations vey plaintiff’s right to the —whether dismissal, the defendant voluntary has undertaken we recognize that a large sufficiently 12(b)(6) “amount research defendant’s Rule motion re- preparation,” id. at quire prepara- whether “the mer- considerable “research and controversy its of the squarely tion,” Harvey, [have been] raised,” id., and plaintiff[’s] “squarely whether “the merits of case. raise[ ]” small,” case, chance of success on however, the merits this because filed [is] tests, vague id. at 107-08—are susceptible her notice of dismissal before the motion, 12(b)(6) hearing appellant’s on Rule tion —even a meritorious one—unless the pass 12(b)(6) court had no occasion to on supported the trial the Rule defendant has the merits of the defense. In these circum- plead- motion outside the with “matters stances, to in order determine whether 12(b)(6) ings” the Rule and thus converted pellee’s chances of success the merits on summary judg- motion into a motion sufficiently right small to were limit her ment. Harvey dismissal under the ex- appellant’s If we Rule were to hold that effect, required, we would be ception, to 12(b)(6) supported only to motion 12(b)(6) on Rule our- rule motion law, by a blocked appel- memorandum of selves. voluntary dismissal lee’s to under so, inviting to do we If we were would be moreover, we exception, would whose to dismiss any defendant motion uncomfortably holding to come close that 12(b)(6) prejudice under Rule has been with (whether 12(bX6) Rule or not plaintiff’s voluntary dis- frustrated supported by missal without ings”) bars dismissal under Rule 41(a)(l)(i) (and, trial court if change If such a court) necessary, this block the desirable, rule 41(a)(l)(i) is should theory the trial dismissal on the that court, provide. This be amended so to how- had a chance to rule on the Rule court had ever, task will not take itself motion, 12(b)(6) granted it should have it. construing overtly (by either the rule to agreed If court the defend- the trial with motion, 12(b)(6) such, include a Rule ant, plaintiff’s voluntary could block the it among plaintiff’s right the limitations on whether, and then consider not- dismiss),6 covertly by importing 12(b)(6) withstanding meritorious jurisdiction. into this rule motion, exercise it should its discretion Affirmed. Super.Ct.Civ.R. under allow dismissal disagreed with If the trial defendant, permit it would the dismissal KELLY, Judge, dissenting: Associate ground the Rule mo- division, As a of this I member adhere tion, precluded its de- which the dismissal reasoned, (overtly) original, majority ciding, lacked would have merit Bernay opinion in this case. Beyond incongruities, these it event. I 424 A.2d 123 Thus am in even conceivable that court’s determi- dissent. the merits of the Rule nation of judicata have res effect motion would *7 plaintiff filed event the a second suit. short, pursuit this would be wasteful of

judicial contrary resources and to Rule implicitly

41(a)(lXi), allows voluntarily a suit notwith-

tiff to dismiss

standing of a Rule mo- placing gloss News TV Publish- as itself “an unwarranted In Tele-Views News Co. S.R.B. Moore’s, rule,” 41.02[3], (E.D.Pa.1961), ing 28 F.R.D. n.10, Wright Harvey gloss rejected and Miller have stat- while presents powerful id., reargument “a ed Tele-Views News but on held that argument it seems better addressed to the was the a Rule dismiss —but Advisory summary judgment, Rules.” equivalent on Civil Committee of a n.30. & A. or not the defendant had whether 1175-76; Freight Thorp, supra pleadings.” See also Pilot See id. at Carriers, Inc., supra at 916-17. Moore has characterized Tele-Views

Case Details

Case Name: Bernay v. Sales
Court Name: District of Columbia Court of Appeals
Date Published: Sep 4, 1981
Citation: 435 A.2d 398
Docket Number: 79-628
Court Abbreviation: D.C.
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