Burnett v. HillBurnett v. Hill
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¶ 1. Plaintiff Steven Burnett (Burnett), seeks review of a published decision of the court of appeals affirming an order of the circuit court for Milwaukee County, William J. Haese, judge. The order dismissed Burnett‘s cause of action for lack of personal jurisdiction over the Defendant, Claude Hill, d/b/a Sportsman‘s Lounge, and ABC Insurance Company (hereinafter “Hill“). 1 The court of appeals held that Burnett‘s failure to authenticate the summons he served by publication was a fundamental error depriving the circuit court of personal jurisdiction over Hill. Although Burnett did not strictly comply with the statutory service requirements of § 801.02(3)(a) (1993-94), 2 we conclude that the defect is not fundamental and did not prejudice Hill. We therefore reverse the decision of the court of appeals, vacate the order of dismissal and remand to the circuit court for further proceedings.
FACTS AND PROCEDURAL HISTORY
¶ 2. The procedural facts are not in dispute. Burnett filed an action for damages for personal injuries arising out of the alleged negligence of Hill. A summons and complaint against Hill were filed with the Milwau
¶ 3. Before or concurrent with the November 30, 1993 publication of the first summons under
¶ 4. Hill‘s counsel filed a Notice of Retainer and Answer on December 7, 1993. In his answer, Hill asserted lack of personal jurisdiction as an affirmative defense. Consequently, on April 26, 1994, Hill filed a motion to dismiss the complaint, pursuant to
¶ 5. The court of appeals affirmed the order of the circuit court on January 9, 1996. 199 Wis. 2d 163, 544 N.W.2d 580 (Ct. App. 1996). The appellate court agreed that the failure to authenticate the summons served by publication was a fundamental error that deprived the lower court of personal jurisdiction over Hill. 199 Wis. 2d at 171-73. In so ruling, the court of appeals also relied on the reasoning in
American Family Mut. Ins. Co. v. Royal Ins. Co. of America,
167 Wis. 2d 524, 481 N.W.2d 629 (1992), that where there is a failure to comply with
STANDARD OF REVIEW
¶ 6. The question before us is whether the typed publication summons must be authenticated before it is mailed along with authenticated copies of the original summons and complaint, in order to confer
¶ 7. Our statutes provide that if a complainant is unable to achieve personal service of a summons on a defendant after reasonable diligence, service by publication is permitted.
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There is no assertion here that Burnett did not properly file and authenticate the orig
ARGUMENTS OF THE PARTIES
¶ 8. Burnett argues that the court of appeals’ decision should be reversed for two reasons. First, he contends that
¶ 9. Secondly, Burnett argues that if the legislature had required that an authenticated copy of the publication summons be mailed to respondent in addition to mailing authenticated copies of the summons and complaint, the statute would clearly state as much. Burnett asserts that
¶ 10. Hill responds to Burnett‘s argument by relying on
American Family.
Hill asserts that a failure to authenticate the publication summons is a fundamental defect which deprives the circuit court of personal jurisdiction. First, Hill contends that it follows from
¶ 11. We agree with Hill that the plain language of
¶ 12. We further agree with Hill, and Burnett virtually concedes, that Burnett did not comply with the authentication requirement. His failure to authenticate the publication summons constituted a defect in service. Our task then becomes one of determining whether the defect is a “fundamental error” that deprives the circuit court of personal jurisdiction over the defendant, or if the defect is merely a “technical error.” Whether a defect is fundamental or technical is a question of law that we review without deference to the lower courts. Dungan v. County of Pierce, 170 Wis. 2d 89, 93, 486 N.W.2d 77 (Ct. App. 1992) (citing American Family, 167 Wis. 2d at 529). If the error is merely technical, we look to see whether the complainant has established that the defendant was not prejudiced by such error. Gaddis, 198 Wis. 2d at 401-02.
FUNDAMENTAL ERROR
¶ 13. We considered the nature of defects in the form and service of summons and complaints
in American Family,
167 Wis. 2d at 532-33. There we discerned two series of cases analyzing whether such defects are fatal to personal jurisdiction. One line of cases stressed strict statutory compliance and the other made room for non-prejudicial technical errors.
Id.
at 530. After reviewing those cases, we were unable to reconcile the two analytical approaches, but ultimately favored the
¶ 14. In
American Family,
we said that “fundamental errors” are those where there is a failure to meet the burden set out in
¶ 15. Citing to American Family, the court of appeals later agreed that failing to personally serve a defendant with an authenticated copy of the summons was a “fundamental error.” Studelska v. Avercamp, 178 Wis. 2d 457, 460, 465, 504 N.W.2d 125 (Ct. App. 1993). However, whether service of an unauthenticated summons was a fundamental error was not the question before the Studelska court, because the plaintiffs there had conceded fundamental error. Id. at 460. Rather, the question was whether such an error can be waived if not properly raised by defendant in a motion or pleading. Id. Thus, Studelska does not assist in our analysis of whether the alleged defect here was fundamental.
¶ 17. The defective service in
American Family
arose when a defendant insurance company personally served another defendant insurance company with unauthenticated photocopies of the plaintiffs authenticated summons and complaint and the insurance defendant‘s cross-claim. In all, the defendant in the cross-claim received three unauthenticated copies of pleadings, and no authenticated copies of either the summons, complaint or cross-claim. 167 Wis. 2d at 527-28. We held in
American Family
that the error was fundamental because the manner of service did not comply with the clear requirements of
¶ 18. However, at least one appellate court has said that strict compliance with the statutory form of the summons is not required, at least when the statute does not specify the form of the summons when the action is commenced by a pro se litigant.
Dungan,
170
¶ 19. More recently we have said that a summons is a form document which simply gives notice to the defendant that an action has been commenced against him or her.
Gaddis v. LaCrosse Products, Inc.
198 Wis. 2d 396, 405. There we reviewed the legislative history of
¶ 20. In
Gaddis,
we considered whether an unsigned summons,
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accompanied by a signed complaint, constituted a fundamental defect depriving the circuit court of personal jurisdiction over the defendant.
Id.
at 399. We considered the purpose of the signature requirement of
¶ 21. The court of appeals decision in this case was filed ten days before we rendered our decision in
¶ 22. Because the defect here is only a technical error, we consider whether Burnett has established a lack of prejudice to Hill.
PREJUDICE
¶ 23. As a preliminary matter, Hill argues that an additional basis exists for affirming the order of dismissal. He contends that Burnett failed to meet his burden of proof under American Family to establish that Hill was not prejudiced by the technical defect. Hill first asserts that Burnett‘s failure to respond in writing to Hill‘s motion to dismiss constituted a waiver of Burnett‘s right to respond to that motion under the Local Rule 364. 12 Second, Hill contends that because Burnett made no showing of lack of prejudice at either the May 31, 1994 hearing on the motion to dismiss, or at the July 11, 1994 motion for reconsideration, such failure to meet a burden of proof is, by default, prejudicial to Hill.
¶ 25. We must decide whether Burnett has sufficiently established a lack of prejudice to Hill. In determining whether a technical error has prejudiced a defendant, we bear in mind the legislature‘s instruction that we disregard a defect which does not affect the substantial rights of the party asserting error.
¶ 26. In an early case involving service by publication, this court ruled that the receipt of a summons and complaint by mail to a non-resident defendant constituted service for the purpose of determining when the suit had commenced. Diedrichs v. Stronach, 9 Wis. 500 [*548], 501 [*549] (1859). There, the plaintiff had attempted service by publication. The order of publication of summons had been made and publication had commenced, but had not been completed at the time the defendant received the pleadings in the mail. While not applying a prejudice analysis per se, the court concluded that because the defendant appeared in the suit after receipt of the summons and complaint in the mail, and before the time for publication had lapsed, service was deemed effective at the time of receipt. Id.
¶ 27. In neither the Diedrichs nor the Schlumpf case were the substantial rights of the defendant affected by the technical error in service. Nor is a substantial right of Hill affected by the technical failure of Burnett to serve Hill with an authenticated publication summons. By virtue of receiving the authenticated copies of the summons and complaint and the unauthenticated copy of the publication summons simultaneously, Hill acquired all of the information necessary for him to timely respond to Burnett‘s complaint. Hill‘s attorney appeared in the suit after his receipt of the summons and complaint by mail, and before publication ceased.
¶ 29. While we hold here that Burnett‘s actions did not technically comply with
By the Court. — The decision of the court of appeals is reversed and the cause remanded with directions to vacate the order of dismissal.
Notes
Burnett v. Hill, 199 Wis. 2d 163, 544 N.W.2d 580 (Ct. App. 1996).
All future references are to the 1993-94 volume unless otherwise indicated.
Pursuant to
Personal jurisdiction, manner of serving summons for. A court of this state having jurisdiction of the subject matter and grounds for personal jurisdiction as provided in s. 801.05 may exercise personal jurisdiction over a defendant by service of a summons as follows:
(1) Natural person. Except as provided in sub. (2) upon a natural person:
(a) By personally serving the summons upon the defendant either within or without this state, (b) If with reasonable diligence the defendant cannot be served under par. (1), then by leaving a copy of the summons at the defendant‘s usual place of abode;
(c) If with reasonable diligence the defendant cannot be served under par. (a) or (b), service may be made by publication of the summons as a class 3 notice, under ch. 985, and by mailing. If the defendant‘s post-office address is known or can with reasonable diligence be ascertained, there shall be mailed to the defendant, at or immediately prior to the first publication, a copy of the summons and a copy of the complaint. The mailing may be omitted if the post-office address cannot be ascertained with reasonable diligence.
The record before us does not contain an affidavit of mailing affirming that these three documents were mailed to Hill on or about November 30, 1993. Burnett makes this assertion in his brief, Petitioner‘s brief at 3, and Hill has not disputed the fact of mailing before any of the courts considering this matter. See Respondent‘s brief at 4. Similarly, the record does not contain any evidence of Hill‘s signed receipt of these three documents, but Hill has not disputed such receipt. In fact, Hill‘s counsel attached a copy of the unauthenticated typed publication summons to his Notice of Motion and Motion to Dismiss, filed on April 26, 1994. Record at 7:11. Thus, we accept these uncontested factual assertions as true.
There is no indication in the record before us that any written or oral discovery was taken by the parties. Nor does it appear that Burnett filed a written response to Hill‘s motion prior to his counsel‘s appearance at the May 31,1994 hearing on the motion to dismiss.
Burnett‘s notice of appeal, filed August 3, 1994, purports to appeal “from the whole of the Judgments entered on the 31st day of May, 1994, and July 11, 1994. . .wherein the Court granted defendant‘s Motion to Dismiss and dismissed plaintiff‘s complaint against said defendant.” However, there is no judgment or order in the record before us reflecting the circuit court‘s denial of Burnett‘s motion for reconsideration. The parties have only provided us with a copy of the July 11, 1994 transcript from the motion for reconsideration hearing. Nevertheless, Hill does not challenge Burnett‘s basis to appeal from the judgment entered on June 23,1994, before reconsideration was denied.
The court of appeals also relied on Hafem v. Davis, 10 Wis. 443 [*501], 445, [*502-03] (1860), which held that where an affidavit serving as the basis for an order for publication of summons was defective, the trial court did not have personal jurisdiction over the defendant. 199 Wis. 2d at 171. In Hafem, the court determined that certain allegations of fact required by the code of civil procedure then in effect, were missing from the affidavit for publication. 10 Wis. at 445 [*502-03]. The insuffi-ciencies included a failure to state that the defendant departed from the state with intent to defraud his creditors or to avoid service, or that he ever resided in the state. Id. The affidavit also included statements made on information and belief, contradicting the existing rule requiring the best evidence available. Id. at 446 [*504]. The affidavit was further flawed for failing to include the names of informants. Id. at 447 [*504].
We do not find the Hafem decision helpful to our analysis here. The decision predates the fundamental/technical error analysis invoked by the American Family court. American Family Mut. Ins. Co. v. Royal Ins. Co. of America, 167 Wis. 2d 524, 481 N.W.2d 629 (1992).
Commencement of an action. (1) A civil action in which a personal judgment is sought is commenced as to any defendant when a summons and a complaint naming the person as defendant are filed with the court, provided service of an authenticated copy of the summons and of the complaint is made upon the defendant under this chapter within 60 days after filing.
(3) The original summons and complaint shall be filed together. The authenticated copies shall be served together except:
(a) In actions in which a personal judgment is sought, if the summons is served by publication, only the summons need be published, but a copy of the complaint shall be mailed with a copy of the summons as required by s. 801.11, and;. . .
(4) No service shall be made under sub. (3) until the action has been commenced in accordance with sub. (1) or (2).
Summons, contents of. There may be as many authenticated copies of the summons and complaint issued to the plaintiff or counsel as are needed for the purpose of effecting service on the defendant. Authentication shall be accomplished by the clerk‘s placing a filing stamp indicating the case number on each copy of the summons and the complaint.
There was no dispute in Gaddis as to the manner of service. Because the summons and complaint were served together, Gaddis v. LaCrosse Products, Inc., 198 Wis. 2d 396, 399, 542 N.W.2d 454 (1996), we can assume that service there was other than by publication.
Local Rule 364 of the Rules for the First Judicial District, State of Wisconsin (Nov. 11,1996), states in pertinent part:
364. SUMMARY JUDGMENT AND DISMISSAL MOTIONS
(b) A respondent shall have 15 days from the receipt of the movant‘s motion within which to serve and file an opposing brief or supporting documents.
The court shall, in every stage of an action, disregard any error or defect in the pleadings or proceedings which‘shall not affect the substantial rights of the adverse party.