PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
BRENDA A. BOSLEY, Administratrix
of the Estate of James C. Bosley,
Deceased; BRENDA BOSLEY,
Plaintiffs-Appellees,
v.
MINERAL COUNTY COMMISSION;
PAUL SABIN, Chief Deputy of the
Mineral County Sheriff’s Office;
CRAIG FRALEY, Sheriff,
Defendants-Appellants,
and No. 10-1203
D. L. LEMMON, Colonel,
Superintendent of the West
Virginia State Police, in his
official capacity; JAMES M. MILLS,
State Trooper, in his personal
capacity; MINERAL COUNTY
SHERIFF’S OFFICE; JOHN DOES 1-5,
in both their official and personal
capacities,
Defendants.
Appeal from the United States District Court
for the Northern District of West Virginia, at Martinsburg.
John Preston Bailey, Chief District Judge.
(3:07-cv-00142-JPB)
2 BOSLEY v. MINERAL COUNTY COMMISSION
Argued: May 12, 2011
Decided: June 14, 2011
Before TRAXLER, Chief Judge, and GREGORY and
DAVIS, Circuit Judges.
Affirmed by published opinion. Judge Davis wrote the opin-
ion, in which Chief Judge Traxler and Judge Gregory con-
curred.
COUNSEL
ARGUED: Steven Kenneth Nord, OFFUTT NORD, Hun-
tington, West Virginia, for Appellants. Harry P. Waddell,
LAW OFFICE OF HARRY P. WADDELL, Martinsburg,
West Virginia, for Appellees. ON BRIEF: Michael R. Dock-
ery, OFFUTT NORD, Huntington, West Virginia, for Appel-
lants.
OPINION
DAVIS, Circuit Judge:
Appellants, the County Commission of Mineral County,
West Virginia, County Sheriff Craig Fraley, and his Chief
Deputy, Paul Sabin, challenge the district court’s award of
attorney’s fees and costs under 42 U.S.C. § 1988 to Appellee
Brenda A. Bosley. Appellants do not challenge the calcula-
tion, the amount or the reasonableness of the award; nor do
they dispute that Appellee was a "prevailing party" under
§ 1988(b). Rather, they contend more narrowly that the dis-
trict court erred in holding that the amount Appellants offered
BOSLEY v. MINERAL COUNTY COMMISSION 3
to settle the dispute—a settlement offer which Appellants
served on Appellee as an offer of judgment pursuant to Fed.
R. Civ. P. 68(a), and which Appellee timely accepted—did
not include her attorney’s fees and costs. We affirm.
I.
In August 2005, after a period of increasingly aggressive
and peculiar behavior by her estranged husband, Dr. James C.
Bosley, Appellee filed a mental hygiene complaint attesting
that he was suicidal and a danger to others. With an appropri-
ate court order in hand, Chief Deputy Sabin, accompanied by
West Virginia State Trooper James Mills, arrived at Dr. Bos-
ley’s residence to take Dr. Bosley into custody for a psychiat-
ric examination. While the three men were in the house, Dr.
Bosley managed to sprint away from the officers, retreat into
an interior room and slam the door behind him, whereupon he
quickly obtained a firearm and then shot and killed himself.
Appellee filed this action in state court, asserting numerous
state-law claims and several federal constitutional claims pur-
suant to 42 U.S.C. § 1983.1 Appellee named as defendants, in
addition to Appellants, Trooper Mills and West Virginia State
Police Superintendent D. L. Lemmon. The defendants
removed the case to federal district court on the basis of fed-
eral question jurisdiction.2
In due course, all defendants filed motions for summary
judgment. While the motions were pending before the district
court, on or about July 23, 2009, Appellants served an offer
1
None of Appellee’s claims had as an element or measure of damages
attorney’s fees. On the other hand, as is customary in actions brought
under § 1983, Appellee sought recovery of attorney’s fees, as a part of her
costs, pursuant to § 1988.
2
In a prior appeal, we reversed the district court’s order remanding the
case to state court. See In re Mills, 287 F. App’x 273, 2008 WL 2937850
(4th Cir. 2008) (unpublished).
4 BOSLEY v. MINERAL COUNTY COMMISSION
of judgment pursuant to Fed. R. Civ. P. 68(a) on Appellee,
which she timely accepted.3 The offer of judgment reads, in
relevant part:
Pursuant to [Fed. R. Civ. P. 68(a)], the . . . Defen-
dants hereby serve upon [Bosley] an Offer of Judg-
ment in the amount of Thirty Thousand Dollars
($30,000.00) as full and complete satisfaction of
[Bosley’s] claim against . . . Defendants.
J.A. 190 (emphasis added). The offer of judgment did not
mention costs or attorney’s fees. Meanwhile, the district court
granted summary judgment in favor of Trooper Mills and
Superintendent Lemmon, see 656 F.Supp. 2d 582 (S.D. W.
Va. 2009), but, as the offer of judgment had been accepted,
it denied as moot the motion filed by Appellants.
Thereafter, the clerk of court having failed to enter the
judgment as contemplated by Rule 68, see supra n.3, Appel-
lee moved the district court to enter judgment against Appel-
lants in the sum of $30,000, with costs, including attorney’s
fees, accrued as of the date of service of the offer of judg-
ment. Appellants opposed the motion on the ground that the
$30,000 sum was inclusive of attorney’s fees and costs and,
if not, then there existed no meeting of the minds as between
the parties. After full briefing by the parties, the district court
3
The present version of Rule 68(a) provides as follows:
(a) Making an Offer; Judgment on an Accepted Offer. At least
14 days before the date set for trial, a party defending against a
claim may serve on an opposing party an offer to allow judgment
on specified terms, with the costs then accrued. If, within 14 days
after being served, the opposing party serves written notice
accepting the offer, either party may then file the offer and notice
of acceptance, plus proof of service. The clerk must then enter
judgment.
Fed. R. Civ. P. 68(a). The 2009 Amendments to the rule, which became
effective after the events at issue in this case, have no bearing on the
issues presented.
BOSLEY v. MINERAL COUNTY COMMISSION 5
determined that the plain language of Rule 68, in light of set-
tled judicial interpretations of the rule, required it to award
Appellee her costs, including attorney’s fees. See 42 U.S.C.
§ 1988(b) (providing that "a reasonable attorney’s fee [consti-
tutes] part of the [allowable] costs" (alterations supplied)).
The court entered judgment in favor of Appellee in the
amount of $30,000, and directed her to file an application for
attorney’s fees and costs.
Appellee then filed a timely motion for an award of attor-
ney’s fees and costs, seeking $120,702.55. The district court
determined that Appellee was a "prevailing party" under the
fee-shifting provisions of § 1988(b) and granted her motion in
part, awarding attorney’s fees in the amount of $55,331.25
and costs in the amount of $11,132.55, for a total of
$66,463.80 in fees and costs. The district court denied Appel-
lants’ motion for reconsideration.
We have jurisdiction over this timely appeal under 28
U.S.C. § 1291.
II.
Generally, we review the district court’s award of attor-
ney’s fees and costs for abuse of discretion. See In re Abrams
& Abrams, P.A., 605 F.3d 238, 243 (4th Cir. 2010) (attorney’s
fees); Trimper v. City of Norfolk, 58 F.3d 68, 75-77 (4th Cir.
1995) (attorney’s fees and costs). However, where a district
court’s decision is based on a "premise and interpretation of
the applicable rule of law," and the facts are established, we
review that decision de novo. Eisenberg ex rel. Eisenberg v.
Montgomery Cnty. Pub. Schs., 197 F.3d 123, 128 (4th Cir.
1999); see Marex Titanic, Inc. v. Wrecked & Abandoned Ves-
sel, 2 F.3d 544, 545 (4th Cir. 1993) (stating that the interpre-
tation of a Federal Rule of Civil Procedure is a question of
law reviewed de novo); see also Jason D.W. v. Houston
Indep. Sch. Dist., 158 F.3d 205, 208 (5th Cir. 1998) (per
curiam) ("[I]nterpretation of Rule 68 is an issue of law that we
6 BOSLEY v. MINERAL COUNTY COMMISSION
review de novo."). Here, the district court based its decision
to award Appellee attorney’s fees and costs on its interpreta-
tion of Rule 68. Accordingly, the appropriate standard of
review is de novo.
III.
A.
The Supreme Court considered the effect of Rule 68 in con-
junction with a fee-shifting statute in Marek v. Chesny, 473
U.S. 1 (1985), in which, as here, the plaintiff asserted claims
under 42 U.S.C. § 1983 and state law. The defendants in
Marek made a Rule 68 offer of judgment "for a sum, includ-
ing costs now accrued and attorney’s fees, of . . . $100,000[.]"
Id. at 3-4 (internal quotation marks omitted). The plaintiff did
not accept the offer and was later awarded a total of $60,000
in damages at trial. Id. at 4. As previously mentioned, a plain-
tiff who prevails in a § 1983 action may, in the court’s discre-
tion, obtain a "reasonable attorney’s fee" as part of her costs,
42 U.S.C. § 1988(b), and in Marek, the costs, including attor-
ney’s fees, that accrued prior to the Rule 68 offer of judgment
amounted to $32,000. Id. Because the $60,000 damages ver-
dict plus the $32,000 in pre-offer costs and attorney’s fees
(i.e., $92,000 total) was not more favorable than the compre-
hensive $100,000 offer of judgment, two questions arose: (1)
was the offer of judgment "valid," see id. at 5, and (2)
"whether the term ‘costs’ in Rule 68 includes attorney’s fees
awardable under 42 U.S.C. § 1988." Id. at 7.
The Marek Court answered both questions in the affirma-
tive. As to the issue of validity of the offer of judgment, the
plaintiff argued that, because the rule mentions "costs" sepa-
rately from the amount in the offer, a valid Rule 68 offer of
judgment must delineate the amount dedicated to each. Id. at
5-6. Accordingly, the plaintiff argued, the defendants’ lump
sum offer, notwithstanding that it clearly "include[d] costs
now accrued and attorney’s fees," was invalid. Id. at 5. The
BOSLEY v. MINERAL COUNTY COMMISSION 7
Supreme Court flatly rejected this argument: "We do not read
Rule 68 to require that a defendant’s offer itemize the respec-
tive amounts being tendered for settlement of the underlying
substantive claim and for costs." Id. at 6. The Court elabo-
rated as follows:
If an offer recites that costs are included or specifies
an amount for costs, and the plaintiff accepts the
offer, the judgment will necessarily include costs; if
the offer does not state that costs are included and
an amount for costs is not specified, the court will be
obliged by the terms of the Rule to include in its
judgment an additional amount which in its discre-
tion . . . it determines to be sufficient to cover the
costs. In either case, however, the offer has allowed
judgment to be entered against the defendant both
for damages caused by the challenged conduct and
for costs. Accordingly, it is immaterial whether the
offer recites that costs are included, whether it speci-
fies the amount the defendant is allowing for costs,
or, for that matter, whether it refers to costs at all. As
long as the offer does not implicitly or explicitly pro-
vide that the judgment not include costs, a timely
offer will be valid.
Id. (emphases added; citation omitted). This construction, the
Court reasoned, furthers the Rule’s objective of encouraging
settlement. Id. at 7.
B.
In the case at bar, there is no issue as to the validity of the
offer of judgment. Rather, the issue presented is whether the
amount of the offer included costs. Although the offer of
judgment in this case does not mention costs or attorney’s
fees, Appellants argue that it must be interpreted as a lump
sum offer inclusive of such costs and fees. This is so, they
seemingly contend, for three reasons: (1) the award of attor-
8 BOSLEY v. MINERAL COUNTY COMMISSION
ney’s fees and costs was part of the substantive relief sought
against them by the amended complaint, and the offer of judg-
ment unambiguously indicated that it covered all claims con-
tained in the complaint ("as full and complete satisfaction of
[Appellee’s] claim"); (2) refusal so to interpret the offer of
judgment will denigrate the aims of Rule 68; and (3) princi-
ples of equity. We reject Appellants’ contentions.
1.
In support of the argument that Appellee’s substantive
claims encompassed attorney’s fees and costs, Appellants rely
on First Fin. Ins. Co. v. Hammons, 58 F. App’x 31 (4th Cir.
2003) (No. 02-1208) (unpublished), and Nordby v. Anchor
Hocking Packaging Co., 199 F.3d 390 (7th Cir. 1999). Ham-
mons (which, in any event, as an unpublished opinion, is not
binding on this panel) and Nordby, however, are readily dis-
tinguishable from this case based on the character and nature
of the claims asserted.
In Hammons and Nordby, the plaintiffs asserted claims
premised on a doctrine and statute expressly providing for the
recovery of attorney’s fees as the substantive relief sought in
the judgment. Hammons, 58 F. App’x at 33 n.4 ("[T]he crux
of [the claim raised by Hammons] is its attorneys’ fees com-
ponent."); Nordby, 199 F.3d at 392-93 (concluding that Rule
68 offer for "‘judgment in the amount of $56,003.00 plus
$1,000 in costs as one total sum as to all counts of the
amended complaint’" included attorney’s fees in part because
such fees were specified as the relief sought in one of the sub-
stantive counts of the complaint damages and noting that the
outcome might be different "if instead of seeking an award of
attorneys’ fees specified in one of the counts, the plaintiff
were seeking an award of fees under a statute or rule or com-
mon law principle not cited in any of the counts of the com-
plaint, authorizing an award of fees to a prevailing party").
Conversely in this case, Appellee asserted claims of consti-
tutional violations and claims of negligence and wrongful
BOSLEY v. MINERAL COUNTY COMMISSION 9
death under common law, but none of her claims are premised
on a doctrine or statute expressly providing for the recovery
of attorney’s fees as the principal relief. See W. Va. Const.
art. III, § 10; 42 U.S.C. § 1983; W. Va. Code Ann. § 55-7-6
(LexisNexis 2008) (specifying the damages that may be
awarded to a wrongful-death claimant); Strahin v. Clea-
venger, 603 S.E.2d 197, 205 (W. Va. 2004) ("An action in
negligence is based in tort law and is brought to recover dam-
ages from a party whose acts or omissions constitute the prox-
imate cause of a claimant’s injury."); see also W. Va. Code
Ann. §§ 29-12A-1 to 29-12A-18 (LexisNexis 2008 & Supp.
2010) (providing immunity and damage liability limitations
for certain political subdivisions).
While it is certainly true, as Appellants point out, that
Appellee included a prayer for an award of attorney’s fees and
costs in her ad damnum clause, the inclusion of this request
did not serve to transform the action into one that principally
sought recovery of attorney’s fees and costs. Accordingly,
Appellants’ contention that awardable costs, including attor-
ney’s fees, were (silently) incorporated into the offer of judg-
ment is without merit.
2.
Appellants also suggest that failing to interpret the offer of
judgment in this case as inclusive of attorney’s fees and costs
will serve to defeat Rule 68’s objective of encouraging settle-
ments. This suggestion is without merit. Marek’s interpreta-
tion of Rule 68 does not make lump sum offers mandatory;
rather, it merely permits them. See Marek, 473 U.S. at 6-7 ("If
defendants are not allowed to make lump-sum offers that
would, if accepted, represent their total liability, they would
understandably be reluctant to make settlement offers."). If a
defendant intends to make a lump sum Rule 68 offer inclusive
of awardable costs, Marek makes abundantly clear the means
by which to do so: precise drafting of the offer to recite that
costs are included in the total sum offered. Id. at 6 ("If an
10 BOSLEY v. MINERAL COUNTY COMMISSION
offer recites that costs are included or specifies an amount for
costs, and the plaintiff accepts the offer, the judgment will
necessarily include costs."); see also Laskowski v. Buhay, 192
F.R.D. 480, 482 (M.D. Pa. 2000) ("If there is any occasion in
civil litigation [that] calls for caution and care by counsel, it
is the drafting of a Rule 68 offer." (internal quotation marks
and alteration omitted)).
Appellants could have easily drafted a Rule 68 offer either
reciting that recoverable costs were included in the sum or
specifying an amount for such costs. But they failed to do so,
and it is this drafting failure that requires the result the district
court reached here. When a Rule 68 offer of judgment is silent
as to costs, a court faced with such an offer that has been
timely accepted is obliged by the terms of the rule to include
in its judgment an amount above the sum stated in the offer
to cover the offeree’s costs. Marek, 473 U.S. at 6. Attorney’s
fees under 42 U.S.C. § 1988 qualify as Rule 68 costs because
the statute defines those fees as costs. Id. at 9. Thus, because
the offer in this case did not indicate that recoverable costs
were included, the district court was required by Rule 68 to
include an additional amount in its judgment for such costs.
3.
Finally, Appellants argue that it would be unjust for this
court to uphold the district court’s award of attorney’s fees
and costs because Appellee was fully aware that the $30,000
sum included attorney’s fees and costs. In support of this
argument, Appellants invite the court to review both the nego-
tiations between the parties that preceded Appellee’s accep-
tance of the offer of judgment and the actions of her counsel
after she accepted the offer.
We decline this offer as imprudent, impractical, and as
wholly foreclosed by the reasoning of Marek. By choosing to
couch their settlement offer in terms of a Rule 68(a) offer of
judgment, Appellants availed themselves of the tactical
BOSLEY v. MINERAL COUNTY COMMISSION 11
advantages not available to the offeror of an ordinary settle-
ment offer—namely, the ability to eliminate liability for any
post-offer attorney’s fees and costs in the event of a less
favorable judgment after trial. See Said v. Va. Commonwealth
Univ./Medical Coll. of Va., 130 F.R.D. 60, 63 (E.D. Va.
1990). A Rule 68(a) offeree is in a difficult position because
the rule has a "binding effect when refused as well as when
accepted." Webb v. James, 147 F.3d 617, 621 (7th Cir. 1998).
Unlike the offeree of an ordinary settlement offer—who may
accept such offer on its terms or, without binding herself to
the terms of the offer, reject it or make a counteroffer—a Rule
68(a) offeree is faced with the following choice: either accept
the offer on its terms or proceed to trial and run the risk not
only of obtaining a judgment less than the offer but also pay-
ing the defending party’s post-offer costs. Said, 130 F.R.D. at
63.
Because the Rule 68 offeree does not have the luxury of
refusing the offer to assure that she has not bound herself to
any terms that may later become unfavorable, she may con-
strue the offer’s terms strictly, see id., and ambiguities in the
offer are to be resolved against the offeror, Nordby, 199 F.3d
at 393; Nusom v. COMH Woodburn, Inc., 122 F.3d 830, 833
(9th Cir. 1997). Evidence extrinsic to the offer’s terms should
not be considered. See Chambers v. Manning, 169 F.R.D. 5,
8 (D. Conn. 1996) (citing cases); Said, 130 F.R.D. at 63
("[C]ourts should be reluctant to allow the offeror’s extrinsic
evidence to affect th[e] construction [of the Rule 68 offer.]");
see also Clark v. Sims, 28 F.3d 420, 424 (4th Cir. 1994) (rec-
ognizing that settlement discussions do not constitute an offer
of judgment).
We thus reject Appellants’ argument that its Rule 68 offer
of judgment should be modified on the basis of evidence
extrinsic to the written terms contained within it. Because the
offer contains no language limiting Appellants’ liability for
Appellee’s recoverable pre-offer costs, including attorney’s
12 BOSLEY v. MINERAL COUNTY COMMISSION
fees, the district court properly enforced it as drafted and
served by Appellants.
IV.
For the reasons set forth, the judgment of the district court
is
AFFIRMED.