CORNELIA A. CLARK, J., delivered the opinion of the Court, in which SHARON G. LEE, C.J., and GARY R. WADE, JEFFREY S. BIVINS, and HOLLY KIRBY, JJ., joined.
We granted this appeal to determine whether the courts below erred in concluding that the mother must be afforded relief from a void default judgment terminating her parental rights even though she did not seek relief from the void judgment under Rule 60.02(3) of the Tennessee Rules of Civil Procedure until more than eight years after it was entered. We agree with the courts below that the default judgment is void for lack of personal jurisdiction and also conclude that the reasonable time filing requirement of Rule 60.02 does not apply to petitions seeking relief from void judgments under Rule 60.02(3). Nevertheless, we hold that relief from a void judgment should be denied if the following exceptional circumstances exist: "(1)[t]he party seeking relief, after having had actual notice of the judgment, manifested an intention to treat the judgment as valid; and (2) [g]ranting the relief would impair another person's substantial interest of reliance on the judgment." Restatement (Second) of Judgments § 66 (1982). We hold that the record has not been sufficiently developed to determine whether exceptional circumstances exist. Accordingly, we reverse the judgments of the trial court and the Court of Appeals and remand for the trial court to determine, after a hearing, whether exceptional circumstances justify denying relief in this case.
Kevin Turner ("Father") and Stephanie Tullous Turner ("Mother") were married in Tennessee on July 3, 1996. Two children were born of the marriage—the first on September 13, 1996, and the second on January 4, 1998. On June 7, 1999, Father filed a complaint for divorce in the Chancery Court for Fayette County alleging inappropriate marital conduct and irreconcilable differences.
On September 2, 1999, Mother, by and through counsel, filed an answer and a counter-complaint for divorce. Mother denied inappropriate marital conduct, but she agreed a divorce should be granted based on irreconcilable differences. Mother asked for custody of the children and for Father to pay child support. She requested temporary visitation and opposed having her visitation subject to a plan approved by DCS. Mother also asked the trial court to order psychological evaluations to assist it in determining which parent should be awarded custody of the children.
Following a hearing, the trial court on September 17, 1999, granted Mother's request for court-ordered psychological evaluations and directed "the parties, their spouses or significant other[s], and their minor children" to "undergo psychological evaluation, testing and counseling" within thirty days to determine "parental fitness of the parties concerning the care, custody and/or visitation of the minor children." The trial court also directed Father and Mother to "submit to weekly drug screens and provide the results to the other attorney." Ten days later, the trial court entered an order "upon the stipulation of consent of the parties," which provided a temporary custody and visitation arrangement. Under this arrangement, Father received temporary custody of the children and Mother received visitation on alternate weeks from Thursday afternoon until Monday morning at 8:30 a.m. The trial court directed Mother not to leave the children with others during her visitation and directed both parties not to expose the children to drug or alcohol use. Additionally, the trial court entered a restraining order "against both parties" precluding them from "harassing or attempting to harass [each] other."
On November 9, 1999, Mother filed a motion, again by and through counsel, requesting holiday visitation. After a hearing on December 10, 1999, the trial court granted Mother holiday visitation, which ended on January 3, 2000.
On May 3, 2000, four months after the last day of her holiday visitation, Mother's attorney filed a motion to withdraw as counsel.
On May 19, 2000, Father filed: (1) a motion to terminate Mother's parental rights; (2) a motion to suspend her visitation; and (3) a motion to hold her in contempt. As grounds for termination, Father alleged that Mother had failed to exercise visitation with the children since returning them home from holiday visitation on January 3, 2000, and had "made no attempts or requests for visitation" since that time. As grounds for suspending her visitation, Father alleged that Mother was "again using illegal drugs" and thus was "unstable and unsuitable to be around the minor children without supervision." As grounds for contempt, Father alleged that Mother had not submitted to the court-ordered weekly drug screens since November 5, 1999.
On August 10, 2000, the trial court granted Father's motion to suspend Mother's "unsupervised visitation with the minor children . . . pending a clear drug screen" but also ordered that Mother would be allowed "to visit the minor children at the Daycare Center." The trial court did not rule on Father's motions to terminate her parental rights and to hold her in contempt.
On October 19, 2000, after a hearing, the trial court entered a final divorce decree, which: (1) granted Father "absolute and exclusive custody and control" of the minor children; (2) stated that Mother "had not visited or had any other contact with the parties['] minor children since January 3, 2000"; (3) declared that Mother would not be awarded visitation "until such time as she demonstrate[d] by clear and convincing evidence that she is no longer addicted to drugs"; (4) reserved the issue of child support; (5) divested Mother of all "right, title and interest" to the marital home, located at 65 Oak Court Cove; and (6) permanently enjoined Mother "from coming about [Father] or his residence or from harassing him in any form or manner whatsoever and from interfering with his custody of the parties['] minor children, except during such periods of visitation as may be awarded [Mother]."
On July 16, 2001, approximately nine months after the final divorce decree was entered, Father filed another petition to terminate Mother's parental rights. Father alleged that Mother had willfully abandoned her children by failing to have any contact with them since January 3, 2000, and by failing to provide them with any financial support. See Tenn.Code Ann. § 36-1-102(1)(A)(i) (2001). Terminating Mother's parental rights was in the children's best interests, Father alleged, because Mother's drug abuse had rendered
On the same day that Father filed his petition to terminate, July 16, 2001, a civil summons and copy of the petition was issued to Mother at the marital home address. On July 23, 2001, the summons was returned unserved with the process server's handwritten note, "She has moved." Two days later, on July 25, 2001, the Clerk and Master of the Chancery Court for Fayette County signed and filed a "Non-Resident Notice" (1) stating, based on the civil complaint, that Mother "is a non-resident of the State of Tennessee, and a Resident of the State of Unknown"; (2) directing Mother to file an answer by September 22, 2001, or the petition would be "taken for confessed and said cause set for hearing ex-parte"; and (3) "order[ing]" the notice "published for four consecutive weeks in a newspaper published in Somerville, Tennessee." The record contains neither a motion by Father requesting an order authorizing constructive service by publication nor an affidavit by Father or his counsel detailing the diligent inquiries that had been made to locate Mother's residence, both of which are required by statute before constructive service by publication is attempted.
Following a December 7, 2001 hearing, the trial court entered a default judgment on December 17, 2001, terminating Mother's parental rights. The judgment provided that Mother had "no further rights, responsibilities and obligations to the minor children," "no further right to notice of proceedings for the adoption of the minor children," "no right to object to the children's adoption," and no right "to have any relationship, legal or otherwise[,] with the minor children." Additionally, the judgment stated that Father had waived "any and all child support arrearages" that Mother owed him.
On July 29, 2010, more than eight years after the judgment had been entered terminating her parental rights, Mother filed, through counsel, a petition seeking to set it aside as void for lack of personal jurisdiction. Mother alleged that, because Father had received the marital home in the final divorce decree, he knew she was not residing at that address when the summons was issued. Mother also alleged that Father could have located her through her friends and family, or through his own knowledge of the drug houses she frequented, had he made any effort to do so. Finally, Mother alleged that Father's attempt at constructive service by publication was ineffective because he had failed to file an affidavit detailing the diligent efforts he had made to locate her, as required by statute.
On September 1, 2010, Father filed an answer to Mother's petition, and an initial hearing was held on December 16, 2010, but the matter was not resolved. Mother obtained new counsel after this initial hearing, and on March 7, 2011, filed a memorandum of law, in which she relied upon Rules 55.02
In an April 14, 2011 memorandum, Father argued that Mother's petition was barred by the one-year statute of repose applicable to judgments terminating parental rights and should be dismissed as a matter of law. See Tenn.Code Ann. § 36-1-113(q) (2014) ("[I]n no event, for any reason, shall a termination of parental rights be overturned by any court or collaterally attacked by any person or entity after one (1) year from the date of the entry of the final order of termination. This provision is intended as a statute of repose."). On May 18, 2011, Mother filed a response, arguing that the statute of repose does not apply to her petition because it challenges the default judgment as void ab initio for lack of personal jurisdiction. Alternatively, Mother argued that applying the statute of repose to bar her challenge to the void default judgment terminating her fundamental parental rights would render the statute unconstitutional. Three months later, Mother notified the Tennessee Attorney General and Reporter ("Attorney General") of her constitutional challenge to the statute of repose.
On August 18, 2011, an agreed order was entered allowing the Attorney General to intervene for the limited purpose of defending the constitutionality of the statute of repose. In a brief filed January 24, 2012, the Attorney General argued that the statute of repose does not apply to void judgments. As a result, the Attorney General argued that, if the default judgment terminating Mother's parental rights were determined to be void, Mother would lack standing to challenge the constitutionality of the statute of repose because it would not apply to bar her challenge.
The trial court held a second hearing on Mother's petition on March 18, 2012, at which the following facts were established as undisputed, either by reference to the record or by uncontroverted testimony or discovery admissions. Father knew Mother was not residing at the marital home when the summons was issued to that address on July 15, 2001. Father made no attempt to locate Mother before resorting to constructive service by publication, other than consulting with his attorney. Because of her relapse to drug use, Mother had not contacted Father or the children or provided the children with financial support since January 3, 2000, almost eighteen months before Father filed the petition to terminate her parental rights.
In his testimony at the hearing, Father denied having any knowledge of Mother's whereabouts or any contact information for her friends and family that would have enabled him to locate her. Father explained that he had visited Mother's family in California once in 1997, for less than two weeks, and had not recalled their names or contact information four years later when he filed the termination petition. Father was not asked, and therefore did not explain, why he had failed to attempt personal service on Mother at the address her own attorney had used when sending notice of the hearing on his motion to withdraw.
Mother testified that she has been drug-free and "clean" since entering a drug-treatment program in November 2004. After her release from the treatment center, Mother moved to Memphis and did not return to Fayette County. Mother had been working at a barbeque restaurant in Memphis since 2005, and by the time of the 2012 hearing on her petition, Mother held a manager position at the restaurant. According to Mother, she learned her parental rights had been terminated in 2008, but waited two years to file her petition because she could not afford to hire a lawyer. Mother admitted that she had made no attempt to contact, visit, or financially support the children since her last visitation with them on January 3, 2000.
Two of Mother's sisters testified on her behalf as well.
Another of Mother's sisters, VT, testified that Mother had no regular contact with her family from the time of her relapse
Two other witnesses, former babysitters for Mother and Father, testified that they could have located Mother had Father contacted them, but these witnesses were unable to provide any specific address or location where Mother was residing at the time Father filed the termination petition. Father admitted knowing these witnesses but testified that he had not known, and had no reason to believe, they would have had information about Mother's whereabouts.
On July 18, 2012, the trial court granted Mother's petition and set aside the default judgment terminating her parental rights.
On August 14, 2012, Father filed a notice of appeal from the trial court's ruling. The Court of Appeals thereafter dismissed the appeal without prejudice, finding that the trial court's order was not final because it had not adjudicated the issues concerning the applicability of the statute of repose. The trial court subsequently ordered Mother, Father, and the Attorney General to brief the statute of repose issues and conducted another hearing. On July 17, 2013, the trial court agreed with the Attorney General and ruled that, because the judgment terminating Mother's parental rights is void ab initio, the statute
Father filed an application for permission to appeal. Tenn. R.App. P. 11. We granted Father's application, and in addition, directed the parties to address in their briefs the following issues: "whether [Mother] was required under [Tennessee Rule of Civil Procedure] 60.02 to file her petition to set aside within a reasonable time and, if not, whether exceptional circumstances exist in this case that require a different rule." Turner v. Turner, No. W2013-01833-SC-R11-CV (Tenn. Nov. 20, 2014) (order granting the application and directing supplemental briefing).
In general, we review a trial court's ruling on a request for relief from a final judgment under Rule 60.02 of the Tennessee Rules of Civil Procedure ("Tennessee Rule 60.02") pursuant to the abuse of discretion standard. Discover Bank v. Morgan, 363 S.W.3d 479, 487 (Tenn.2012) (citing Henry v. Goins, 104 S.W.3d 475, 479 (Tenn.2003)). We have not previously considered whether this standard applies to a trial court's ruling on a motion alleging that a judgment is void for lack of jurisdiction under Tennessee Rule 60.02(3). Nevertheless, we have previously held that "[w]hether a trial court has subject matter jurisdiction over a case is a question of law that we review de novo with no presumption of correctness." Furlough v. Spherion Atl. Workforce, LLC, 397 S.W.3d 114, 122 (Tenn.2013) (citing Word v. Metro Air Servs., Inc., 377 S.W.3d 671, 674 (Tenn. 2012)). Moreover "[a] decision regarding the exercise of personal jurisdiction over a defendant involves a question of law" to which de novo review applies, Gordon v. Greenview Hosp., Inc., 300 S.W.3d 635, 645 (Tenn.2009), and de novo review also applies when we are interpreting the Tennessee Rules of Civil Procedure, Thomas v. Oldfield, 279 S.W.3d 259, 261 (Tenn. 2009).
Furthermore, when interpreting our own rules of civil procedure, we consult and are guided by the interpretation that has been applied to comparable federal rules of procedure. Id. at 261-62; see also Williamson Cnty. v. Twin Lawn Dev. Co., 498 S.W.2d 317, 320 (Tenn.1973) ("[O]ur Rules having been taken from the Federal Rules of Civil Procedure, and the object of our virtual adoption of the federal rules being to have similar rules of procedure in state trial courts and federal district courts, it is proper that we look to the
Rule 60(b)(4) of the Federal Rules of Civil Procedure ("Federal Rule 60(b)(4)") is comparable, indeed, identical to Tennessee Rule 60.02(3). Federal courts apply de novo review when considering a district court's ruling on a Federal Rule 60(b)(4) motion. See Cent. Vermont Pub. Serv. Corp. v. Herbert, 341 F.3d 186, 189 (2d Cir.2003) ("Almost every Circuit has adopted de novo review of [Federal] Rule 60(b)(4) motions, and we know of no Circuit that defers to the district court on a [Federal] Rule 60(b)(4) ruling." (citing Vinten v. Jeantot Marine Alliances, S.A., 191 F.Supp.2d 642, 649-50 & nn. 12-13 (D.S.C.2002) (collecting cases)); Jackson v. FIE Corp., 302 F.3d 515, 522 (5th Cir. 2002) ("[W]e review Rule 60(b)(4) challenges [to a void judgment] de novo "because it is `a per se abuse of discretion for a district court to deny a motion to vacate a void judgment.'" (quoting Carter v. Fenner, 136 F.3d 1000, 1005 (5th Cir. 1998)); Burke v. Smith, 252 F.3d 1260, 1263 (11th Cir.2001) (stating that de novo review applies to a federal district court's ruling on a motion for relief from a void judgment based on Rule 60(b)(4) of the Federal Rules of Civil Procedure "`because the question of the validity of a judgment is a legal one.'" (quoting Export Group v. Reef Indus., Inc., 54 F.3d 1466, 1469 (9th Cir.1995))). We agree with the rationale of these decisions and will apply de novo review, with no presumption of correctness, when reviewing a trial court's ruling on a Tennessee Rule 60.02(3) motion to set aside a judgment as void. Any factual findings a trial court makes shall be reviewed de novo, with a presumption of correctness, unless the evidence preponderates otherwise. Tenn. R.App. P. 13(d).
The dispositive issues in this appeal are: (1) whether the trial court and Court of Appeals erred in concluding that the order terminating Mother's parental rights is void for lack of personal jurisdiction; (2) if the order is void, is Mother automatically entitled to relief, or does Tennessee Rule 60.02(3) condition relief upon Mother having filed her motion within a reasonable time; and (3) if the reasonable time filing requirement does not apply to motions based on Tennessee Rule 60.02(3), may a court deny relief from a void judgment based on exceptional circumstances. To answer these questions, we begin with an overview of the general legal principles relevant to jurisdiction, void judgments, and constructive service by publication.
The lawful authority of a court to adjudicate a controversy brought before it depends upon that court having jurisdiction of the subject matter and jurisdiction of the parties. Landers v. Jones, 872 S.W.2d 674, 675 (Tenn.1994); Kane v. Kane, 547 S.W.2d 559, 560 (Tenn.1977); Brown v. Brown, 155 Tenn. 530, 296 S.W. 356, 358 (1927). Subject matter jurisdiction refers to the power of a court to adjudicate the particular category or type of case brought before it. Estate of Brown, 402 S.W.3d 193, 198-99 (Tenn. 2013); Chapman v. DaVita, Inc., 380 S.W.3d 710, 712 (Tenn.2012); Word, 377 S.W.3d at 674. Personal jurisdiction refers to the power of a court over the parties to the controversy to render a binding judgment. Landers, 872 S.W.2d at 675. The concepts of subject matter jurisdiction and personal jurisdiction are fundamentally different. Ins. Corp. of Ireland v. Compagnie des Bauxites de Guinee, 456 U.S. 694, 701-03, 102 S.Ct. 2099, 72 L.Ed.2d 492 (1982); Landers, 872
By contrast, personal jurisdiction recognizes and protects an individual liberty interest that flows from the Due Process Clause and requires that maintenance of the suit "not offend `traditional notions of fair play and substantial justice.'" Ins. Corp. of Ireland, 456 U.S. at 702, 102 S.Ct. 2099 (quoting Int'l Shoe Co. v. Washington, 326 U.S. 310, 316, 66 S.Ct. 154, 90 L.Ed. 95 (1945)). "It represents a restriction on judicial power not as a matter of sovereignty, but as a matter of individual liberty." Id. at 703, 102 S.Ct. 2099. Because the requirement of personal jurisdiction functions to protect an individual right, it can, like other such rights, be waived. Id.; Landers, 872 S.W.2d at 675.
"[A] void judgment is one so affected by a fundamental infirmity that the infirmity may be raised even after the judgment becomes final. The list of such infirmities is exceedingly short; otherwise, [the] exception to finality would swallow the rule." United Student Aid Funds, Inc. v. Espinosa, 559 U.S. 260, 270, 130 S.Ct. 1367, 176 L.Ed.2d 158 (2010) (internal citation omitted). A judgment rendered by a court lacking either personal or subject matter jurisdiction is void. Ins. Corp. of Ireland, 456 U.S. at 694, 102 S.Ct. 2099; Hood v. Jenkins, 432 S.W.3d 814, 825 (Tenn.2013); Gentry v. Gentry, 924 S.W.2d 678, 680 (Tenn.1996).
Gentry, 924 S.W.2d at 680 (Tenn.1996) (quoting William H. Inman, Gibson's Suits in Chancery § 228 at 219-20 (7th ed.1988)). If the defect allegedly rendering the challenged judgment void is not apparent from the face of the judgment or the record of the proceeding from which the challenged judgment emanated and must instead be established by additional proof, the judgment is merely voidable, not void. Hood, 432 S.W.3d at 825.
The trial court's subject matter jurisdiction over Father's petition to terminate Mother's parental rights has not been questioned, nor has any contention been made that the default judgment terminating Mother's parental rights was outside the scope of the pleadings. This case focuses solely on whether the default judgment terminating Mother's parental rights is void because the constructive service by publication was not accomplished in accordance with statutory requirements and therefore failed to provide the trial court with personal jurisdiction over Mother.
A court obtains personal jurisdiction over a party defendant by service of process. Ramsay v. Custer, 387 S.W.3d 566, 568 (Tenn.Ct.App.2012); see also Johnson v. McKinney, 32 Tenn.App. 484, 222 S.W.2d 879, 883 (1948) ("The general rule is that notice by service of process or in some other manner provided by law is essential to give the court jurisdiction of the parties; and judgment rendered without such jurisdiction is void and subject to attack from any angle." (emphasis added)). "The record must establish that the plaintiff complied with the requisite procedural rules, and the fact that the defendant had actual knowledge of attempted service does not render the service effectual if the plaintiff did not serve process in accordance with the rules." Ramsay, 387 S.W.3d at 568; see also Overby v. Overby, 224 Tenn. 523, 457 S.W.2d 851, 852 (1970) ("That a judgment [i]n personam against a defendant who is not before the court either by service of process or by entry of appearance is void there can be no question. It is well settled that a judgment rendered against a defendant in any kind of a case, when process has never been served on him . . . in the way provided by law. . .; and where there has been no voluntary appearance of the defendant, is clearly void." (emphasis added) (citation and internal quotation marks omitted)). A court "without personal jurisdiction of the defendant" is wholly "without power to proceed to an adjudication" binding on that defendant, regardless of the specific reason such jurisdiction is lacking. Employers Reinsurance Corp. v. Bryant, 299 U.S. 374, 381, 57 S.Ct. 273, 81 L.Ed. 289 (1937).
Father argues that the judgment terminating Mother's parental rights is not void because the record contains prima facie evidence that the trial court acquired personal
Constructive service by publication of a small notice in the classified section of a local newspaper has been an accepted method of substituted service for well over a century. See, e.g., Pennoyer v. Neff, 95 U.S. 714, 727, 24 L.Ed. 565 (1877). However, sixty-five years ago, the United States Supreme Court clarified that constructive service by publication is permissible only if it is accomplished in a manner reasonably calculated to give a party defendant adequate notice of the pending judicial proceedings. Mullane v. Cent. Hanover Bank & Trust Co., 339 U.S. 306, 314, 70 S.Ct. 652, 94 L.Ed. 865 (1950).
In Mullane, the Supreme Court observed that "[m]any controversies have raged about the cryptic and abstract words of the Due Process Clause but there can be no doubt that at a minimum they require that deprivation of life, liberty or property by adjudication be preceded by notice and opportunity for hearing appropriate to the nature of the case." Id. at 313, 70 S.Ct. 652. The Supreme Court noted that personal service is the classic form of notice and is "always adequate in any type of proceeding." Id. at 313, 70 S.Ct. 652. But the Supreme Court stopped short of mandating personal service in all circumstances, explaining that "[a] construction of the Due Process Clause which would place impossible or impractical obstacles in the way could not be justified." Id. at 313-14, 70 S.Ct. 652. Nevertheless, the Supreme Court reiterated that "when notice is a person's due, process which is a mere gesture is not due process." Id. at 315, 70 S.Ct. 652. The Supreme Court highlighted some of the problems with publication notice:
Id. For missing or unknown persons, the Supreme Court explained that service by this "indirect and even . . . probably futile" means—publication—does not raise Due Process concerns. Id. at 317, 70 S.Ct. 652. But as to known parties with known addresses, the Supreme Court concluded that notice by publication is constitutionally defective because it is not "reasonably calculated, under all the circumstances, to apprise interested parties of the pendency of the action and afford them an opportunity to present their objections." Id. at 314, 70 S.Ct. 652.
The Court revisited Mullane thirty-three years later in Mennonite Board of
From these decisions, a common theme emerges: constructive service by publication should be viewed as a last resort means of serving a party whose identity is known. See Walker v. City of Hutchinson, 352 U.S. 112, 117, 77 S.Ct. 200, 1 L.Ed.2d 178 (1956) ("In too many instances notice by publication is no notice at all."); City of New York v. New York, New Haven & Hartford R.R. Co., 344 U.S. 293, 296, 73 S.Ct. 299, 97 L.Ed. 333 (1953) ("Notice by publication is a poor and sometimes a hopeless substitute for actual service of notice. Its justification is difficult at best."); In re Adoption of M.D.W., Jr., No. M2007-01689-COA-R3-PT, 2008 WL 820561, at *2 (Tenn.Ct.App. Mar. 26, 2008) ("Constructive service is the last resort and is only permitted when the defendant's residence is unknown."); 1 Restatement (Second) of Judgments § 2, reporter's note cmt. a (1982) ("Some courts still do not seem to have appreciated the thrust of Mullane. The critical distinction is between notice to known claimants and notice to persons unknown. Notice by publication meets the requirement of adequate notice as to the latter but not as to the former." (internal citations omitted)).
Tennessee statutes permitting constructive service by publication incorporate safeguards to ensure that the foregoing constitutional principles are satisfied. See Garland v. Seaboard Coastline R.R., 658 S.W.2d 528, 530 (Tenn.1983) (recognizing that the provisions of Rule 4 of the Tennessee Rules of Civil Procedure were designed to ensure that process is served in a manner reasonably calculated
Service of process in termination of parental rights cases in chancery and circuit courts is accomplished pursuant to the Tennessee Rules of Civil Procedure and state statutes. Tenn.Code Ann. §§ 36-1-113(e),-117(m)(1). With respect to constructive service, the Tennessee Rules of Civil Procedure generally defer to the statutes. See Tenn. R. Civ. P. 4.08 ("In cases where constructive service of process is permissible under the statutes of this state, such service shall be made in the manner prescribed by those statutes, unless otherwise expressly provided in these rules."). Several statutes address the topic of constructive service by publication. First, Tennessee Code Annotated section 21-1-203(a) authorizes dispensing with personal service of process in various circumstances, including, "[w]hen the residence of the defendant is unknown and cannot be ascertained upon diligent inquiry." Tenn.Code Ann. § 21-1-203(a)(5). To dispense with personal service of process in any of the instances described in subsection (a), however, subsection (b) requires that the facts "be stated under oath in the bill, or by separate affidavit, or appear by the return." Id. § 21-1-203(b). Another statute, which applies specifically to parental termination proceedings, provides that, when a plaintiff seeks to dispense with personal service of process, the plaintiff must move "for an order of publication" and states that the plaintiff's motion "shall be accompanied by an affidavit of the petitioners or their legal counsel attesting, in detail, to all efforts to determine the identity and whereabouts of the parties against whom substituted service is sought." Id. § 36-1-117(m)(3) (emphasis added).
Thus, consistent with Mullane and Mennonite Board of Missions, Tennessee statutes authorize dispensing with personal service of process in a proceeding to terminate parental rights only if: (1) "the defendant's residence is unknown and cannot be ascertained upon diligent inquiry," Tenn.Code Ann. § 21-1-203(a)(5); and (2) the plaintiff has asked for an order authorizing constructive service by publication and has supported the request with an affidavit "attesting, in detail, to all efforts to determine the identity and whereabouts of the parties against whom substituted service is sought." Tenn.Code Ann. § 36-1-117(m)(3). Only when the residence of the defendant cannot be obtained through diligent inquiry may a party resort to constructive service by publication. The statute permitting constructive service by publication in parental termination proceedings specifically "places the burden of demonstrating diligent inquiry upon the
In determining whether the default judgment terminating Mother's parental rights is void for lack of personal jurisdiction, we have limited our consideration to the face of the default judgment itself and the record of the proceedings from which the judgment emanated. The record contains neither a motion from Father requesting an order authorizing constructive service by publication nor an affidavit describing the diligent inquiries that were made to locate Mother's whereabouts or her residence. The sole affidavit in the record, filed by counsel for Father in support of Father's motion for default judgment, states only that, "[a]fter a failure to obtain service on [Mother] because she had moved with no [ ] forwarding address, service on [her] was obtained by publication." This affidavit is facially insufficient to satisfy the statutory requirement. Not only was this affidavit submitted after Father had resorted to constructive service by publication, it provided no detailed description of any diligent inquiries or efforts that were made to locate Mother or her residence.
Furthermore, the record contains no order from the trial court authorizing constructive service by publication. The only document in the record bearing any resemblance to such an order is the "Non-Resident Notice," which was signed by the Clerk and Master. But even this document fails to describe any diligent inquiries or efforts that were made to locate Mother, and this document lacks any reference to a separate affidavit providing this information. Indeed, the "Non-Resident Notice" purported to authorize constructive service by publication based upon the allegations of Father's petition alone.
The record of the proceedings in which Mother's parental rights were terminated thus demonstrates that Father failed to submit the statutorily required affidavit detailing his diligent efforts to locate Mother's whereabouts or residence. Father's evident failure to comply with the statutory requirements necessary for dispensing with personal service and resorting to constructive service by publication deprived the trial court of personal jurisdiction over Mother. Therefore, as the trial court and Court of Appeals determined, the judgment terminating Mother's parental rights is void.
Having determined that the record of the termination proceedings demonstrates that the default judgment terminating Mother's parental rights is void, we need not address Father's argument that the evidence offered at the hearing on Mother's petition to set aside the default judgment preponderates against the trial court's finding that Father failed to exercise diligent efforts to locate Mother. We reiterate that, when determining whether a judgment is void, a court must confine its review to the record of the proceeding from which the judgment emanated. If additional evidence is required to establish a defect, then the challenged judgment is voidable, not void. Hood, 432 S.W.3d at 825. Had Father provided the statutorily required affidavit detailing his diligent efforts to locate Mother's residence, Mother would not have been permitted to attack the validity of the judgment via Rule 60.02(3) by offering evidence in addition to that in the record to impeach the averments of the affidavit. By the same token,
Nevertheless, even if Father could validate the constructive service by publication by offering after-the-fact evidence of diligent efforts, we conclude that the record fully supports the trial court's finding that Father failed to establish diligent efforts. Father admitted that his efforts to locate Mother consisted solely of: (1) attempting to serve Mother at the marital home address while knowing that he owned the home and that Mother had not resided there since May 24, 1999, when the couple separated; and (2) consulting with counsel. Father made no attempt to serve Mother at the address her own lawyer had used when sending notice of the hearing on his motion to withdraw from representing Mother, even though that address appeared in the record of the divorce proceeding. We need not in this appeal undertake an exhaustive analysis of the measures that must be taken to satisfy the diligent efforts standard. Wilson v. Blount Cnty., 207 S.W.3d 741, 747 (Tenn. 2006) (discussing diligence in the context of personal service of process). Suffice it to say that the diligent efforts standard requires more than attempting to serve a defendant with process at a location where the plaintiff knows the defendant will not be found. "[A]ctions taken to achieve service of process in these [termination] cases should not be merely perfunctory." Adoption Place, Inc. v. Doe, 273 S.W.3d 142, 148 (Tenn.Ct.App. Dec. 5, 2007) (citing In re C.L.M., No. M2004-02922-COA-R3-PT, 2006 WL 842917, at *5 (Tenn.Ct.App. Mar. 30, 2006)).
We also reject Father's argument that any failure on his part to exercise diligence should be excused because he had no knowledge or information that would have enabled him to locate Mother or her address; thus, any attempt to locate her would have been futile. We have no way of knowing now whether Father would have been successful in locating Mother had he diligently attempted to do so at the time he filed his petition to terminate her parental rights. In the face of statutory and constitutional requirements and Father's own admission that he made no effort at all to locate Mother before resorting to constructive service by publication, we cannot excuse his blatant noncompliance. We reiterate that Tennessee Code Annotated sections 21-1-203(a) and 36-1-117(m)(3), consistent with constitutional due process principles, require that diligent efforts be made and prescribe the circumstances and procedures that must be followed before a plaintiff may resort to constructive service by publication in termination of parental rights actions. The record reflects clearly that Father failed to abide by these statutory procedures. Therefore, constructive service by publication was ineffective, and the judgment terminating Mother's parental rights is void for lack of personal jurisdiction.
Father next contends that Mother is not entitled to relief from the void default judgment because she failed to file her petition to set it aside within a reasonable time as required by Tennessee Rule 60.02. Mother responds that her petition to set aside the void judgment is not subject to the reasonable time filing requirement of Tennessee Rule 60.02.
Tenn. R. Civ. P. 60.02 (emphasis added). The plain language of Tennessee Rule 60.02 indicates that the "reasonable time" filing requirement applies to all motions for relief from judgment, including motions attacking a judgment as void based upon Tennessee Rule 60.02(3). This Court has stated that the reasonable time filing requirement applies to all motions filed under Tennessee Rule 60.02, but we were not at that time considering a motion based on Tennessee Rule 60.02(3). See Furlough, 397 S.W.3d at 128 ("All motions for relief based on Rule 60.02 `shall be made within a reasonable time.'" (quoting Tenn. R. Civ. P. 60.02.)). With respect to void judgments, Tennessee courts have held, both before and after the adoption of Tennessee Rule 60.02, that such judgments are subject to attack at any time. See, e.g., Acuff v. Daniel, 215 Tenn. 520, 387 S.W.2d 796, 798 (1965); Tennessee Marble & Brick Co. v. Young, 179 Tenn. 116, 163 S.W.2d 71, 75 (1942); Barbash v. Bruell, No. E2005-00387-COA-R3-CV, 2006 WL 568230, at *2 (Tenn.Ct.App. Mar. 9, 2006); Team Design v. Gottlieb, 104 S.W.3d 512, 525 (Tenn.Ct.App.2002), overruled on other grounds by Tuetken v. Tuetken, 320 S.W.3d 262 (Tenn.2010); West v. Jackson, 28 Tenn.App. 102, 186 S.W.2d 915, 917 (Tenn.Ct.App.1944).
Although this Court has not addressed whether the reasonable time filing requirement of Tennessee Rule 60.02 applies to motions under Tennessee Rule 60.02(3), the Court of Appeals addressed this issue in Pittman v. Pittman, No. 01-A-01-9301-CH00014, 1994 WL 456348, at *2-3 (Tenn. Ct.App. Aug. 24, 1994).
In Pittman, the intermediate appellate court first emphasized, correctly, that Tennessee Rule of Civil Procedure 60.02(3) is "identical" to Rule 60(b)(4) of the Federal Rules of Civil Procedure, and as a result, the Court of Appeals looked to federal precedents "for helpful guidance." Id. at *2. The Pittman court determined that a majority of federal courts had held that Federal Rule of Civil Procedure 60(b)(4) "does not impose a time limit on post-judgment motions challenging a void judgment, although some text writers envision that exceptional circumstances may exist wherein the reasonable time limitation would require a showing of diligence on the part of the movant." Id. (citation
The legal landscape has changed little in the twenty years since the Court of Appeals decided Pittman. The text of Federal Rule 60
Courts departing from the majority rule have held either that the reasonable time filing requirement functions as a bar to motions challenging judgments as void or that it serves as a factor for courts to consider when deciding whether to grant relief from void judgments. See, e.g., Bridgeport Music, Inc. v. Smith, 714 F.3d 932, 942-43 (6th Cir.2013) ("A motion to vacate a judgment under Rule 60(b)(4)-(6) must be brought within a reasonable time. The reasonableness of the delay depends on the facts of a given case including the length and circumstances of the delay, the prejudice to the opposing party by reason of the delay, and the circumstances compelling equitable relief." (citations and internal quotation marks omitted)); U.S. v. Dailide, 316 F.3d 611, 618 (6th Cir.2003) ("Fed.R.Civ.P. 60(b)(4) permits a collateral motion challenging a court's subject matter jurisdiction, but only if such lack of subject matter jurisdiction makes the judgment "void." However, we have held that such an attack is only cognizable if brought within a reasonable time."); McGrew v. McGrew, 139 Idaho 551, 82 P.3d 833, 841 (2003) ("To obtain relief from a void judgment under Rule 60(b)(4) of the Idaho Rules of Civil Procedure, a party must bring a motion for such relief within a reasonable time. Where judgment is entered without the party's knowledge, what constitutes a reasonable time is judged from the time that the party learned of the judgment." (citation omitted)); In re Harrison Living Trust, 121 Nev. 217, 112 P.3d 1058, 1060 (2005) ("We recognize that judgments, once found to be void, should generally be set aside. But we see no reason to ignore the express language of a rule that requires the district courts to consider the timeliness of a motion to set aside a void judgment when determining whether exceptional circumstances, such as lack of diligence or equitable estoppel, exist to justify denying the motion. The reasonableness of the time taken to set aside such judgments is an important factor in such cases."). Courts in the minority have based their decisions upon the plain language of their own procedural rules, which, like that of Tennessee Rule 60.02(4), literally apply the reasonable time filing requirement to motions seeking relief from void judgments. See, e.g., In re Harrison Living Trust, 112 P.3d at 1060; McDaniel v. U.S. Fidelity and Guar. Co., 324 S.C. 639, 478 S.E.2d 868, 871 (App.1996).
Having thoroughly considered the authorities on both sides of the issue, we reaffirm Pittman, which adopted the majority rule, and hold that Tennessee Rule 60.02 does not abrogate the longstanding rule that void judgments may be attacked at any time. The reasonable time filing requirement thus may not be applied to bar motions seeking relief from void judgments pursuant to Tennessee Rule 60.02(3). Nevertheless, we also conclude, as did the Court of Appeals in Pittman, that relief from a void judgment may be denied if certain exceptional circumstances exist.
As previously noted, no Tennessee court has attempted to define the exceptional circumstances that justify denying relief from a void judgment. Other jurisdictions
The Restatement (Second) of Judgments has more precisely articulated the concepts of exceptional circumstances and estoppel by benefit as follows:
Restatement (Second) of Judgments § 66 (1982).
Id. § 66 cmts. a-c (emphasis added) (illustration omitted). "[W]hen the [challenged] judgment is for money, it may not affect the parties' future conduct—and hence create interests of reliance on the judgment—until an attempt is made to execute on the judgment." Id. § 65 cmt. c. On the other hand, "when a judgment has prominent future effects, such as a judgment determining marital or filial status, reliance interests are very likely to arise." Id. (emphasis added). "Few judgments have more substantial future ramifications than those affecting parentage." In re E.R., 385 S.W.3d 552, 568 (Tex.2012). As the Texas Supreme Court has explained:
Id. at 568-69. This statement is true in Tennessee as well, where "a parent's duty to support his or her child is owed to the child and continues until the age of majority, no matter where or with whom the child lives." Kirkpatrick v. O'Neal, 197 S.W.3d 674, 680 (Tenn.2006).
We conclude, as have other state courts, that section 66 of the Restatement (Second) of Judgments provides a sensible and balanced definition of the exceptional circumstances which justify denying relief from a default judgment that is void for lack of personal jurisdiction. See In re Paternity of T.M.Y., 725 N.E.2d 997, 1003 (Ind.Ct.App.2000) (discussing and applying section 66 of the Restatement (Second) of Judgments); In re E.R., 385 S.W.3d at 567-69 (remanding to the trial court to determine whether the mother should be denied relief from the void order terminating her parental rights based on section 66 of the Restatement (Second) of Judgments); McDougall, 961 P.2d at 384 (citing section 66 of the Restatement (Second) of Judgment and recognizing the doctrine of estoppel as an exceptional circumstance that does not validate an invalid decree but which functions as a disability that precludes a party from obtaining relief from it).
Having concluded that section 66 provides the appropriate legal definition of exceptional circumstances, we must set aside the trial court's and Court of Appeals' judgments and remand this case to the trial court to determine, after a hearing, whether the exceptional circumstances defined by section 66 justify denying Mother relief from the void judgment terminating her parental rights. The hearing on remand will afford the parties an opportunity to be heard and to present proof relevant to the exceptional circumstances as defined by section 66. Cf. State v. Anderson, 937 S.W.2d 851, 855 (Tenn.1996) (adopting a new legal standard and remanding to the trial court to allow for additional development of the factual record with the new standard in mind and for reconsideration in light of the new standard).
Specifically, section 66 will require the trial court on remand to determine whether, after receiving actual notice of the judgment terminating her parental rights, Mother manifested her intention to treat the judgment as valid. The undisputed facts in the record on appeal establish that Mother waited approximately two years after receiving actual notice of the default judgment terminating her parental rights before filing her petition for relief from it under Tennessee Rule 60.02(3). During this two-year period, the proof in the record indicates that Mother did not attempt to contact, visit, or provide financial support for the children, although she knew where Father was employed.
If the trial court finds that Mother manifested an intention to treat the judgment terminating her parental rights as valid, then the trial court must determine whether granting relief from that judgment "would impair another person's substantial interest of reliance on the judgment." Id. § 66. Reliance interests protected by denying relief include "interests in status" and "interest in repose from legal controversy." Id. § 66 cmt. c. Father's petition to terminate Mother's parental rights recited that the woman he had remarried after divorcing Mother was functioning as the children's parent and intended to adopt them. However, aside from the statements of counsel in the trial court,
Furthermore, in determining whether granting relief from the void judgment would impair another person's substantial reliance interest, the trial court may consider the relative equities between the parties. See Restatement (Second) of Judgments § 66 cmt. c. Mother's failure to make any effort to contact her children or financially support them from January 2001 until July 29, 2010, when she filed her petition is relevant to determining where the relative equities lie. This is particularly true here, where, although Father's residence changed, his place of employment remained the same throughout the years of Mother's inaction. Thus, the record on appeal establishes that Mother could have attempted to contact and support her children during this time by contacting Father at his place of employment but failed to do so. On remand, the trial court may consider this circumstance, and any other fact relevant to the relative equities of the parties, when determining whether granting relief from the void judgment would substantially impair another person's substantial reliance interest on the judgment.
Having carefully considered the record on appeal and the relevant authorities, we conclude that the courts below correctly held that the judgment terminating Mother's parental rights is void for lack of personal jurisdiction. We also conclude that, although the reasonable time filing requirement does not apply to bar motions filed under Tennessee Rule 60.02(3), exceptional circumstances as defined by section 66 of the Restatement (Second) of Judgments may justify denying relief from a void judgment. We remand to the trial court for a hearing, consistent with this decision, to determine whether exceptional circumstances justify denying Mother relief in this case. Costs of this appeal are taxed to Kevin Turner, for which execution may issue if necessary.