Legal Document Mailing Requirements
Understanding the Requirements When Mailed Legal Documents Must Be Served
When legal documents are sent through the mail, certain requirements must be met, based on whether the document is considered a "legal notice," usually determined by state law, or a "legal document," such as a complaint. Legal notices are, for example, notifications that the windows are being boarded up when property is going to be taken by the government through eminent domain, or that a vehicle has been repossessed and your right to redeem it is being foreclosed. Legal notices are generally communications under state laws establishing legal procedures that do not require court intervention.
"Legal documents," however, are different. For example, a lawsuit seeking damages or judgment based upon a contract or other legal obligation, or a divorce petition, is a legal document, but a "legal notice" (notices and correspondence sent solely to notify individuals of the commencement of a particular statutory and administrative procedure) from the government may be sent by mail.
The legal requirements for mailing a legal document may be established by state or federal law, depending upon which entity sent the document. The state rules include California Rule of Court 1005 and Civil Code section 1013a, which establish all of the rules that must be followed when serving a legal document by mail, such as posting in the upper-left corner of the envelope: "Statutory Mail—Reply To: [Your Name/Address]," and as to all copies of the document being served must be similar to the original copies, the contact information (name, address and daytime telephone number) of the person serving the document on the left margin of the original copy of the document, and that the name and address of the sender (i.e., the person who signed the document served on a party) must be on the first page. Failure to properly post the envelope with the proper language or title or designated "Statutory Mail—Reply To" will void the proof of mailing submitted and not preserve the right to treat the mailing as proper .
For federal legal documents that must be served by mail, a federal rule that is similar to the California Rule of Court is Federal Rule of Civil Procedure 5(b)(2)(C) which allows service of a legal document by mail as follows: (1) when the parties have previously so agreed, (2) in the absence of any agreed method, by ordinary mail if postage is prepaid at the time of deposit, and (3) if service is being made on a person outside of the United States, by (C)(i) ordinary mail or (ii) express mail, postage prepaid, requiring the same delivery time as express mail within the United States. The Federal Rules require that a declaration of mailing be submitted to confirm that a legal document was actually mailed through the U.S. mail service (36 U.S.C. section 3004).
The California rules for mailing legal documents to non-parties are to be found in California Civil Procedure Code section 1013, subdivision (e), which require under penalty of perjury, that an affidavit or declaration be submitted to the court which describes the document being sent, the person or business entity to whom it was sent, that it was not returned by the post office, and that it was deposited in the mail within the State of California. If a person or business is outside of the State of California, a declarant may file an Affidavit which identifies the title of the document sent, from whom it was sent, to whom it was sent, and verifies that it was sent via U.S. Postal Service or prepaid from authorized agents of international carriers that provide express mail service.
Where there is no requirement for a declaration of mailing be submitted to the court, such as when serving individuals, the proof of service may simply state: "I declare under penalty of perjury the foregoing to be true and correct." California Code of Civil Procedure section 1775(b); 1988 Revision Report of Judicial Council. However, a declaration of mailing preserves the mailing as proof if the declaration is filed within 60 days after service of the underlying document was accomplished.
It is therefore critical to determine in advance the appropriate rules that govern mailing the legal document or notice to be served, if there is no proof of service already filed with the court in the case.
Choosing the Correct Form of Mail
The first step in the process of sending legal documents is to choose which service you’ll use to send your mail. The three most common services are the United States Postal Service (USPS), and major shipping carriers: FedEx and United Parcel Service (UPS). We’ll take a closer look at each of these three options, how they stack up for delivering legal documents, and how to choose the one that’s right for you.
Every lawyer is familiar with the USPS. It is probably the most accustomed service and arguably the most cost-effective option for simple legal correspondence. Costs range from less than a dollar for "priority" mail, to several dollars for "certified" mail. First class mail is usually quite slow, though, taking more than two days for delivery from anywhere in the country. Priority mail on the other hand is fairly quick, with an average delivery time of 1-3 days.
It is important to know that the USPS doesn’t offer any sort of package tracking services. If you use the certified mail service, you will receive a tracking number that can verify the mail was delivered. But neither the recipient nor you will be able to use that tracking number to see where the package is, or whether it’s been loaded into a delivery truck.
The USPS certified mail tracking is typically sufficient for the most basic legal correspondence, but it isn’t very reliable for other packages, and can’t protect you from the possibility that the recipient might deny ever receiving the item. If there’s a dispute, you’ll have no proof of delivery, and he said she said arguments abound.
FedEx and UPS are two of the largest commercial shipping companies in the world. They’ve built quite a presence so far in the legal services industry, including providing electronic filing options for many courts through their respective FAS-Track and eFiling services. Both of these companies have a strong reputation for secure and quick delivery, and provide a variety of options for delivery across the United States and worldwide. Comparing them side by side, they’re results will vary by the exact type of option you select. Again, a general overview is below:
For a simple comparison, USPS is usually more cost effective for simple correspondence, UPS is less expensive for heavier packages than FedEx, but the two are quite comparable for lighter packages.
All three of these companies are relatively reliable when you need to send legal documents. And when you need something more than a simple letter, UPS and FedEx are typically your best option. But the cost when sending bigger packages can be reportable, so you may want to invest in an account with both services.
Getting Legal Papers Ready for Mailing
You’ve drafted the initial pleading and secured a notary’s seal. Your address is on file with the State Bar and all the parties have signed a notice that you’re attempting to serve an unrepresented party without an address. Now you’re ready to serve and file this lawsuit in federal court or file a collection action in state court. You’re chomping at the bit to get the documents in the mail, but not so fast! There are a few more steps to take before filing and serving your legal documents. A best practice is to use paper that’s white or light yellow. Copies of documents should not be labeled "COPY." The court will identify what is a copy by the stamp it places on the document when it’s filed. All administrative documents should be attached separately in the order identified in the Court’s Procedural Guidance (currently available in the Southern District of California). Currently, the Southern District of California requires the following documents when serving a complaint:
- Civil Cover Sheet;
- Summons;
- Report on Possible Dispositive Motion and Early Neutral Evaluation;
- Consent to Proceed Before Magistrate Judge;
- Notice, Consent, and Reference of a Civil Case to a Magistrate Judge;
- Order Setting Status Conference;
- Order to Court for Initial Attorneys’ Meeting Under FRCP 26(f);
- Privacy Act Statement;
- Patent or Copyright Case Filing Requirements; and
- Social Security Cases Filing Requirements.
The documents should be stapled together, with the exception of the consent and the reference to magistrate judge, which should be securely glued to the top of the other documents as they should not be removed from the package. Ignore the rules for spacing in federal court, which typically calls for a 1/2" margin at the top and bottom and a 1" margin on all sides of a pleading. Instead, reduce the font for anything after a signature to no less than 10 pt. The space between paragraphs should not be reduced, though, because you want the Court to be able to quickly determine the next paragraph you are discussing. For the purpose of serving documents on pro se parties, do not fold the documents, which may confuse someone who isn’t familiar with reading legal documents. Instead, place them into a larger sized envelope (size 14 and up), such that the contents remain visible, and seal them securely. It’s best to avoid clipboards or other rigid materials as they increase the likelihood of damage to the documents. In most civil cases, you won’t be facing any service challenges with the exception of those who have recently been released from prison and now reside in homeless shelters. Take precautions when serving lenders, banks and other well-funded litigants. There’s always the risk of being served on the last day of a limitation period, so they may be less than cooperative in confirming whether the document was received, let alone clicked open. Conservatism is key and making sure you received good proof of service from the process server is imperative. Additionally, you should not expect non-responsive parties to be familiar with the procedure for properly filing a response. It’s always best to send a copy of the complaint (sealed envelope) immediately to the opposing counsel, even if he or is not yet formally involved in the case. In California state court, routine documents can be served by "any non-party 18 years or older." (Cal. CCP § 416.10.) This means you are responsible for arranging service through a professional process server or serve yourself from your office, though the latter is always the riskier option. In federal court, you may only serve the defendant (or his authorized agent) personally, by mail or on a commercial carrier like Federal Express that provides the documents in the course of business. No matter the situation, you must file a proof of service with the Court within 14 days and be sure to serve the defendant with the proof of service thereafter. As with all pleadings, there’s no filing fee for documents unless they become the subject of a motion. It’s best to use the Court’s CM/ECF filing system when filing documents and, where possible, the party you’re filing against should be properly linked with that filing.
Making Sure the Envelope is Properly Addressed
If you plan to fax a document, you must fax the document to the correct recipient, which is generally the office or individual that asked you for the documents in the first place. For Document Requests made by the Internal Revenue Service, the fax number is located in IRS Publication 4564 and the accompanying instructions sent with the Document Requests. For many executors and trustees, actual documents may be mailed to a legal firm, bank and/or trust company. If any release is required for mailing, do not sign any release unless you have reviewed the document being released to you by a third party. Paper work has been known to be mysteriously altered from the time it is sent to you until it is returned signed.
In mailing documents, you will want to be sure that you have addressed and addressed and addressed for the receiver.
Lettering the Address
The name of the individual to whom the envelope is addressed should not be abbreviated. For example, "Estate of John Smith" should never be listed as "Est Of J Smith."
Malformed Letters
Big mistakes come from letters being too small. The address needs to be big and legible. It is also important that the address be centered on the page. If you do not center the document, with a smaller margin it may take a little extra effort to make sure the address is accurate.
Unclear Punctuation
Make sure the punctuation is uncomplicated and easy to read. Make sure not to use periods in abbreviations: "Lawyer Blog…" "Lawyer Blog…."
Spaces That Cause Problems
Semicolons, colons, and other instances must help to avoid mistakes and not increase them. One example is that it isn’t easy to tell the difference between a lower case "l" and an upper case "I" – make you never heard anyone mention the drop shadow (or drop line as I prefer) in computer science. Also keep an eye out for the "I" and the "a" because sometimes the drop line markup can make them look confusing.
Punctuation Usage
Big mistakes happen when punctuation is used incorrectly. Such as "Estate of John Smith, Jr" (should not have a comma following the name) or "Estate of John Smith Sr" (should have a period after "Sr").
Including Options for Tracking and Confirming Delivery
When mailing legal documents, it is prudent to include tracking and delivery confirmation options. These services not only provide a higher level of security for your sensitive materials, but also serve to confirm that the recipient has received the documents in question. If there is any risk of an unflattering legal document falling into the wrong hands, tracking and confirmation options can be invaluable tools for your mailing needs.
Most people picture the U.S. Postal Service for non-lethal mail. Aside from the occasional anthrax scare, they are typically viewed as a safe option. However, for those of you who practice in jurisdictions with electronic filing systems, you probably refrain from utilizing the courts’ U.S. Mail system. Many courts now require "proof of service" on pleadings, which refers to an affidavit that confirms that the receiving party actually received the documents that they were supposed to . Although the USPS handles our mail, they cannot confirm for you whether or not the mail actually made it into the receiving party’s hands.
Other than asking the receiving party to execute an affidavit confirming that they received the mailing, you could also utilize delivery confirmation services. The idea is pretty simple; when you return the receipt to the post office, a record is generated and mailed back to you. This way, you have proof that you mailed the documents, proof that the post office received them, and proof that the receiving party received them.
Mind you, both services come with an additional price tag, but the peace of mind it affords you may be well worth the few extra cents. When it comes to protecting your clients, typically the more secure, the better.
What to Do if a Legal Paper Gets Returned or is Lost
Mail doesn’t always arrive at its destination, and when it doesn’t, you need to be prepared to take the necessary next steps to ensure clients receive their legal documents in a timely fashion.
If your certified mail isn’t deliverable and is returned to you unopened, you can follow these steps to ensure you comply with all applicable rules and your client receives (or legally receives) the legal documents:
If your certified or registered mail does not arrive at its intended destination, it may be lost. In this instance, you may still be provide delivery evidence in the form of certified mail receipts, registered and return receipt particulars and copy certified or registered letters. However, once you are certain that the mail is truly lost, you’ll want to re-issue the certified or registered letter (if necessary), taking additional precautions to prove delivery. For instance, you may try the following steps: When a certain deadline is approaching, you may need to produce a secondary form of delivery evidence in your compliance package. For example, you may be concerned that the recipient’s legal argument as to the mail not being delivered could prevent relief due to a missed deadline. Taking immediate steps to ensure compliance and receiving additional proof of delivery can help speed up the compliance process and protect your client from additional legal ramifications and expenses. It’s important to remember that, although the U.S. Postal Service or other mailing service may provide tracking to verify delivery, an attorney has a duty to ensure that they provide evidence of delivery. You may not rely solely on an independent service. Therefore, you must still keep your own records and evidence that you provided legal documents by certified or registered mail.
If you have any further questions about delivering legal documents in your state, or you’re unsure how to prove delivery and receipt of legal documents, speak with the specific state bar association to confirm that you’re complying with all local legal and ethical requirements.
Mailing Legal Papers Internationally
Whether you’re sending a demand letter to a company overseas or a AAA arbitration award to an international respondent, here are some additional considerations if you’re dealing with a party in a different country.
You may be worrying about whether the document will get there or what the judge said in your last hearing. If that’s the case, your mind might be a bit addled, but you need to clear your head to make sure you don’t mess up this seemingly simple task.
Don’t avoid it – the prospect of extra work or some additional costs associated with mailing internationally may worry you, but that prospect should not delay you from sending your documents. It is worth the extra effort and expense not to risk your judgment remaining unenforced. Also, even when dealing with an escaped defendant (cf. E! Entertainment Television, Inc. v. Mitra>, 426 F Supp 2d 1068 (C.D. Cal . 2003)), there still may be a way to enforce a judgment against an organization with international ties.
What are the extra steps? The main difference between mailing a legal document domestically as compared with mailing the document to another country is that you’ll have to fill out a customs form.
You can obtain a customs form (at no cost) at any post office. If you go to the U.S. Postal Service (USPS) website, you can also print one out beforehand – Customs Declaration CN22 forms (customarily used for items priced under $400) are available for free download.
With respect to service of legal documents for use in Canada, the United States and Canada are both parties to the Civil Evidence Act, thereby providing for cross-border recognition of documents. Note that the Hague Service Convention (i.e., the "int’l relivs" box on the summons) does not extend to the United States and Canada.