Mitchell v. Hendricks

68 F.R.D. 564, 23 Fed. R. Serv. 2d 244, 1975 U.S. Dist. LEXIS 16152
District Court, E.D. Pennsylvania·Decided September 17, 1975·No. Civ. A. No. 72-2184·Published·Cited by 32 cases

Opinion

MEMORANDUM AND ORDER

JOHN MORGAN DAVIS, Senior District Judge.

Plaintiff, in this civil rights action, has filed a Motion for Leave to file an Amended Complaint in order to substitute a new party for one incorrectly named in the original Complaint.

The basis of plaintiff’s cause of action under 42 U.S.C. § 1983 is the alleged failure of certain doctors and prison officials to render medical treatment while he was incarcerated in various State Penal Institutions, one of which was the State Correctional Institution at Pittsburgh. In the Complaint, filed pro se 1, plaintiff named James F. Maroney as a party defendant, alleging that he was the superintendent of that institution. Later investigation has revealed, however, that Maroney was not the superintendent at Pittsburgh at the time of the events described in plaintiff’s Complaint.2

Plaintiff now seeks to add Joseph R. Brierley, who it is alleged, was the su-perintendant at Pittsburgh during the relevant period of plaintiff’s incarceration there. It should be noted that Brierley was also allegedly in office on February 1, 1973, that date when process was served on the originally named defendant Maroney at the prison.

The sole issue to be resolved on this Motion is whether the proposed amendment can be allowed to relate back to the date of the original Complaint. Plaintiff was confined at Pittsburgh from November 9, 1970 to January 9, 1971, and it is admitted that the applicable statute of limitations 3 as to any action arising during that time has expired. To avoid the bar of the statute, plaintiff invokes Rule 15(c) and the doctrine of relation back of amendments set forth therein. It is clear that if this doctrine is not applied, permitting the amendment now would offend the strong policies embodied in limitation statutes by allowing the assertion of a cause of action against a defendant not previously [566] sued within the appropriate time period. On the other hand, if the requirements of the rule are met, the amendment naming Brierley as a defendant would relate back, and the claim against him would not be barred. We agree with plaintiff’s position that Rule 15(c) may be applied, and accordingly, will grant the Motion.

Rule 15(c) provides that an amendment is deemed to relate back to the date of the original pleading “whenever the claim or defense asserted in the amended pleading arose out of the conduct, transaction, or occurrence set forth or attempted to be set forth in the original pleading.” Where, however, as in the present case, the amendment seeks to change a party against whom a claim is asserted, an amendment will relate back only if two additional requirements are met:

“An amendment changing the party against whom a claim is asserted relates back if the foregoing provision is satisfied and, within the period provided by law for commencing the action against him, the party to be brought in by amendment (1) has received such notice of the institution of the action that he will not be prejudiced in maintaining his defense on the merits, and (2) knew or should have known that, but for a mistake concerning the identity of the proper party, the action would have been brought against him.”

The purpose of these conditions is quite plainly to avoid the significant prejudice to one who, solely because of an untimely amendment to a party’s Complaint, must defend against a stale claim. As Professor Moore has stated:

“This provision characterizes the relationship which must exist between the action and the party to be joined, to justify denying the protection of the statute of limitations. The first requirement guarantees that the new party has received notice of the proceeding which, although informal, was sufficient to satisfy the limitations policy. The second condition, further defines the type of unofficial notice which can serve as an effective alternative to formal action within the period of limitations.”

3 Moore’s Federal Practice § 15.15 [4.-2] at p. 1050; see also, Wright and Miller § 1498.

There is no question that the claim against Joseph Brierley arose out of the same “conduct, transaction or occurrence” that is set forth in the original Complaint. In fact, exactly the same operational facts are alleged; only a different party defendant is now named. Plaintiff argues that the requirements of subsections (1) and (2) of Rule 15(c) are met as well by the fact thát service of process was made at the Pittsburgh prison when Brierley was actually the superintendent.

In opposition to the Motion, the Commonwealth contends that Rule 15(c) does not apply to an amendment joining additional parties. This argument, however, mistakes both the Rule and the nature of Plaintiff’s Motion. Plaintiff clearly intended to sue the superintendent of the prison during the time he was there, and by this motion seeks to substitute one party for another who was incorrectly named. We find no merit to any suggestion that summary judgment removed the originally named defendant as a party of record and therefore plaintiff’s motion now involves the addition and not the changing of a party to the action. Moreover, Rule 15(e), at least since the most recent amendments to its provisions in 1966, specifically applies to “an amendment changing the party against whom a claim is asserted” so long as the requirements of the Rule are met. See, generally, 3 Moore’s Federal Practice § 15.15[4.-2] 4

[567] Thus, in order to permit the amendment, we must assess whether or not the intended defendant Brierley had notice of the action, at least informally, and knew or should have known the defendant Maroney was incorrectly named as superintendent in plaintiff’s Complaint. We believe that the record before us is sufficient to demonstrate such informal notice.

As noted above, the Complaint naming James F. Maroney as superintendent was served at the Pittsburgh facility at a time when Brierley was in office. Although the Marshal’s return indicates that service was not made directly on the superintendent, the Complaint was accepted by a Records Officer at the prison and presumably brought to the attention of the superintendent (Brier-ley). Even if the matter did not come directly to his attention, process in fact was delivered to the superintendent’s office and accepted by his agent. We believe that this “service” itself was enough to provide the required degree of informal notification of this action. Since such constructive service is valid for all purposes in an ordinary case (F. R.Civ.P. 4(d) (1)), we see no reason why it was not enough here where the notice standards are less stringent.

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Mitchell v. Hendricks, 68 F.R.D. 564, 23 Fed. R. Serv. 2d 244, 1975 U.S. Dist. LEXIS 16152 (E.D. Pa. 1975).

68 F.R.D. 564 (Mitchell v. Hendricks) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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