Ceara v. Deacon
Opinion
*210
Plaintiff Rafael Ceara, a state inmate who alleges that he was attacked by a prison guard, filed a
pro se
complaint under
BACKGROUND
Ceara was incarcerated at the Downstate Correctional Facility in Fishkill, New York in Complex 1, D Block. Defendant Joseph Deacon was a corrections officer who patrolled D Block. Deacon's brother, who shared the last name Deacon, also worked as an officer in D Block.
Ceara alleged that on September 5, 2010, a corrections officer pushed him down a set of concrete stairs located just outside of D Block. Ceara was initially uncertain of the full name of the officer who had pushed him. After the incident, Ceara filed several grievances, many of which named a "C.O. Deagon" or "Officer Deagon." He also filed an Inmate Injury Report, wrote to the prison superintendent, filed two official grievances with the New York State Department of Corrections, and spoke with an investigator from the Inspector General's Office. In many of these communications, he referred to the officer in question as "Officer Deagan."
Ceara filed his original complaint on August 22, 2013, two weeks before the statute of limitations expired. In the caption of the complaint, Ceara named as the defendant "correctional officer John Doe[,] which worked at Downstate Corr. Fac. on Sep. 5, 2010 on the 7:[00]AM - 3:[00]PM shift in D-Block, complex 1. I have wrote [ sic ] to Inspector General for full names and have had no response (c.o. Deagan, He has old brother [ sic ] by same name)[.]" App'x 12. Below that, Ceara listed the defendant as "John Doe (c.o. Deagan younger brother)[.]" Id.
In September 2013, the District Court ordered the New York State Office of the Attorney General to provide Ceara information to help determine the defendant's precise identity. In October 2013, the Attorney General's Office notified Ceara that both Officers John Haag and Joseph Deacon were on duty at the time and place of Ceara's alleged incident. Finally, on November 22, 2013, after the three-year statute of limitations had expired, Ceara filed an amended complaint that replaced "Joseph Deacon" for "John Doe" as the defendant.
After the case had proceeded through discovery, Deacon moved for summary
*211
judgment on the grounds that Ceara had not exhausted his administrative remedies and that Ceara's claim was time barred. The District Court denied summary judgment on the ground of exhaustion, a ruling that has not been appealed. The District Court, however, granted summary judgment on the second ground, concluding that the amended complaint did not relate back to the original complaint and was barred by the statute of limitations. Ceara appeals, contending: (1) the District Court erred in determining that the amended complaint did not relate back under Fed. R. Civ. P. 15(c)(1)(C) because it relied on
Barrow
, a decision which Ceara claims was overruled by the Supreme Court's decision in
Krupski v. Costa Crociere S.p.A.
,
This Court reviews a grant of summary judgment
de novo
.
Gorman v. Rensselaer Cty
.,
DISCUSSION
I.
Rule 15(c)(1)(C) allows for an amended pleading to relate back to the date of the original pleading if four conditions are met: "(1) the claim must have arisen out of conduct set out in the original pleading; (2) the party to be brought in must have received such notice that it will not be prejudiced in maintaining its defense; (3) that party [knew or] should have known that, but for a mistake of identity, the original action would have been brought against it; and ... [4] the second and third criteria are fulfilled within [the period provided by Rule 4(m) for serving the summons and complaint], and ... the original complaint [was] filed within the limitations period."
Hogan v. Fischer
,
The parties agree that conditions (1), (2), and (4) have been met. The only condition they contest is whether Deacon knew or should have known that the original action would have been brought against him, but for a mistake of identity. The District Court concluded that no mistake under Rule 15(c)(1)(C) had occurred because of our Court's decision in Barrow v. Wethersfield Police Department . There we held that amendments to "John Doe complaints"
*212
to add real names do not relate back under Rule 15(c)(1)(C) because such amendments were made "not to correct a mistake but to correct a lack of knowledge."
In
Barrow
, an incarcerated
pro se
plaintiff who contended that the Wethersfield Police Department had used excessive force in arresting him filed a timely complaint under § 1983 and named as defendants "the Wethersfield Police Department, the Town of Wethersfield, and ten 'John Doe' officers."
The
Barrow
court noted that the version of Rule 15(c)(1)(C) in effect at the time allowed relation back only if "the misidentified party 'knew or should have known that, but for a mistake concerning the identity of the proper party, the action would have been brought against the party.' "
Barrow
illustrates the rule in this Circuit regarding the relation back of amended John Doe complaints. There has been, however, substantial disagreement in the district courts in this Circuit regarding whether the Supreme Court's decision in
Krupski
implicitly overruled
Barrow
. In
Krupski
, the Supreme Court "granted certiorari to resolve tension among the Circuits over the breadth of Rule 15(c)(1)(C)(ii)."
Krupski v. Costa Crociere S.p.A.
,
*213
The Supreme Court reversed. It held that the plaintiff's knowledge of Costa Crociere's existence did not preclude the possibility that the plaintiff had made a "mistake" by initially suing Costa Cruise. A determinative question for the Court was whether, under Rule 15(c)(1)(C)(ii), "Costa Crociere knew or should have known that it would have been named as a defendant but for an error. ... For purposes of that inquiry, it would be error to conflate knowledge of a party's existence with the absence of mistake."
Contrary to Ceara's contention,
Krupski
did not abrogate
Barrow
, which remains the law of this Circuit. This Court has continued to apply the rule articulated in
Barrow
after
Krupski
was decided
. See
Hogan v. Fischer
,
II.
Applying
Barrow
, we hold that the District Court erred by treating Ceara's complaint as a true "John Doe" complaint for the purposes of "mistake" under Rule 15(c)(1)(C). It is of considerable significance that Ceara was an unrepresented incarcerated litigant and the District Court was required to construe Ceara's
pro se
pleading liberally and with "special solicitude."
Williams v. Correction Officer Priatno
,
In the original complaint, Ceara referred to Deacon as "C.O. Deagan," which is two letters removed from Deacon's true last name. In addition, the complaint contained details identifying Deacon, including that he had a brother who worked at the facility, that he was the younger of the two brothers, and that he worked at Downstate on September 5, 2010 on the 7:00am-3:00pm shift in a particular area of the facility. Having named "Deagan" as the defendant and included additional identifying information, it is implausible that DOCCS and Deacon did not know to whom Ceara was referring.
*214 The amended complaint substituted "Joseph Deacon, D.O.C.C. Officer" for "Correctional Officer John Doe." It was clear from the first complaint to whom Ceara was referring, and it was clear from the amended complaint that he was referring to the same individual. Consequently, no "new" party was added. Accordingly, we conclude that Ceara's complaint was not a true "John Doe" complaint subject to the no-relation-back rule of Barrow , and the District Court erred by treating it as such.
This conclusion is consistent with our law and with decisions from other circuits. In
Datskow v. Teledyne, Inc. Cont'l Prod. Div
.,
As the Supreme Court noted in
Krupski
, "The only question under Rule 15(c)(1)(C)(ii)... is whether [a prospective defendant] knew or should have known that, absent some mistake, the action would have been brought against him."
Krupski
,
Ceara's use of "John Doe" did not create a John Doe placeholder complaint of the type at issue in
Barrow. See
Tapia-Ortiz v. Doe
,
*215 when justice so requires." Fed. R. Civ. P. 15(a)(2). Therefore, Ceara's amendment to correctly spell the defendant's name relates back to his original timely complaint.
CONCLUSION
For the foregoing reasons, the judgment of the District Court is VACATED and the case is REMANDED to the District Court for further proceedings.
Rule 15(c)(1)(C) states:
(1) When an Amendment Relates Back . An amendment to a pleading relates back to the date of the original pleading when:
....
(C) the amendment changes the party or the naming of the party against whom a claim is asserted, if Rule 15(c)(1)(B) is satisfied and if, within the period provided by Rule 4(m) for serving the summons and complaint, the party to be brought in by amendment:
(i) received such notice of the action that it will not be prejudiced in defending on the merits; and
(ii) knew or should have known that the action would have been brought against it, but for a mistake concerning the proper party's identity.
Fed. R. Civ. P. 15(c)(1)(C).
See also
Dandrea v. Malsbary Mfg. Co.
,
Reference
- Full Case Name
- Rafael CEARA, Plaintiff-Appellant, v. DOCCS Officer Joseph DEACON, Defendant-Appellee.
- Cited By
- 200 cases
- Status
- Published