Filed: Mar. 31, 1998
Latest Update: Mar. 02, 2020
Summary: UNITED STATES COURT OF APPEALS For the Fifth Circuit No. 96-11125 ROCHELLE MCGUIRE, Individually as Next Friend and on Behalf of the Two Minor Children of Shelia A. Moore, Deceased Plaintiff-Appellant VERSUS CHARLES A. TURNBO, Warden, Federal Correctional Institution at Fort Worth; JOHN DOE SINES, Lieutenant at the Federal Correctional Institution at Fort Worth; FREDDIE CASHAN, Correctional Officer at the Federal Correctional Institution at Fort Worth; JOHN DOE MILLER, Correctional Officer at th
Summary: UNITED STATES COURT OF APPEALS For the Fifth Circuit No. 96-11125 ROCHELLE MCGUIRE, Individually as Next Friend and on Behalf of the Two Minor Children of Shelia A. Moore, Deceased Plaintiff-Appellant VERSUS CHARLES A. TURNBO, Warden, Federal Correctional Institution at Fort Worth; JOHN DOE SINES, Lieutenant at the Federal Correctional Institution at Fort Worth; FREDDIE CASHAN, Correctional Officer at the Federal Correctional Institution at Fort Worth; JOHN DOE MILLER, Correctional Officer at the..
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UNITED STATES COURT OF APPEALS
For the Fifth Circuit
No. 96-11125
ROCHELLE MCGUIRE, Individually as Next Friend and on Behalf of
the Two Minor Children of Shelia A. Moore, Deceased
Plaintiff-Appellant
VERSUS
CHARLES A. TURNBO, Warden, Federal Correctional Institution at
Fort Worth; JOHN DOE SINES, Lieutenant at the Federal Correctional
Institution at Fort Worth; FREDDIE CASHAN, Correctional Officer at
the Federal Correctional Institution at Fort Worth; JOHN DOE
MILLER, Correctional Officer at the Federal Correctional
institution at Fort Worth; JOHN DOE TURNER, Correctional Officer at
the Federal Correctional Institution at Fort Worth; JANE DOE REYES,
Physician’s Assistant at the Federal Correctional Institution at
Fort Worth; JOHN DOES 1 TO 10, Federal Correctional Institution
Personnel, in their individual and official capacities,
Defendants-Appellees
Appeal from the United States District Court
For the Northern District of Texas
March 31, 1998
Before REYNALDO G. GARZA, DUHÉ, and STEWART, Circuit Judges.
JOHN M. DUHÉ, JR., Circuit Judge:
I
Shelia Moore, a federal inmate incarcerated for a narcotics
offense, was placed in an Administrative Detention cell for
suspicion of taking an unknown substance. Two hours later, she
began screaming and threw a nightstand. The attending officer
called the prison’s hospital for medical assistance. An ambulance
took Moore to the hospital where she died the next day of an acute
overdose of cocaine.
On December 6, 1991, Rochelle McGuire, Moore’s mother, sued
the warden, Charles Turnbo, and other prison personnel for Moore’s
wrongful death and under Bivens v. Six Unknown Named Agents of
Fed. Bureau of Narcotics,
403 U.S. 388 (1971)1 for violating
Moore’s Fifth, Eighth, and Fourteenth Amendment rights.
Three months after filing suit, the clerk of court prepared
summonses, for the named Defendants, the U.S. Attorney for the
Northern District of Texas, and the United States Attorney General.
McGuire requested that the clerk delay issuing the summonses. On
April 9, 1992, McGuire successfully moved to enlarge the time to
effect service to April 20. In May, the district court found that
Plaintiff had not yet filed proofs of service and dismissed the
complaint without prejudice. In June, McGuire successfully moved
for a new trial stating that the Defendants had been served but
that the proofs of service had not been filed. Attached to her
motion were certified return receipts addressed to the Defendants
and two affidavits from her counsel and his paralegal averring that
counsel had delivered personally a copy of the complaint and
summons to the U.S. Attorney’s office on April 9.
The district court set a new deadline of June 24, 1993 for
McGuire to file the proper proofs of service with the clerk of
court. McGuire again successfully moved for an extension of time
1
Under Bivens, a person may sue a federal agent for money
damages when the federal agent has allegedly violated that person’s
constitutional rights. After Bivens, one is no longer limited to
suing for conduct that would, if done by a private actor, be
condemned by state law.
2
to file proofs of service. The district court gave McGuire until
September 15, 1993 to comply but warned that failing to do so could
result in a dismissal of the suit against any unserved defendant.
McGuire filed proofs of service on Turnbo, Reyes, and Turner.
In December 1993, all Defendants moved to dismiss or
alternatively for summary judgment. The unserved Defendants argued
for dismissal based on McGuire’s failure to effect service timely.
The served Defendants argued 1) that McGuire’s Fourteenth Amendment
claim applied to state action only and not to the actions of
federal employees, 2) that the Bivens claims had prescribed because
McGuire did not timely sue and she failed to timely serve the
defendants, and 3) that McGuire failed to name the United States as
a defendant in her Federal Tort Claims Act (“FTCA”) claim. The
district court then ordered additional briefing.
In McGuire’s response, she attempted to retract her prior
statements that she had not named the United States as a party
under the FTCA and that her suit could not be maintained under the
act. She also amended her complaint to include the United States
as a party.
The district court dismissed both the original and amended
complaints with prejudice. As to the FTCA claim, the court held
that the amended complaint did not relate back to the original
complaint because the United States did not receive notice within
the limitations period. It dismissed the Bivens claims against all
unserved defendants finding that Bivens action required personal
service. Further, it dismissed the Fourteenth Amendment claim
3
against the served defendants finding it inapplicable to McGuire’s
case alleging wrongful conduct. The court dismissed the Fifth and
Eighth Amendment claims, finding that McGuire had failed to timely
serve Turner, Turnbo, and Reyes. In determining that the service
was untimely the court applied Texas law for the limitations and
tolling periods.
II
We review a Rule 12 dismissal de novo. See generally, Pfau v.
Reed,
125 F.3d 927, 932 (5th Cir. 1997); St. Paul Reinsurance Co.
v. Greenberg,
1998 WL 49084, at *4 (5th Cir. 1998).
A. BIVENS CLAIMS
Under Bivens, a victim who has suffered a constitutional
violation by a federal actor can recover damages in federal court.
Id. at 395-97. McGuire’s complaint contained three Bivens causes
of action. First, she alleged that Moore’s treatment violated the
Eighth Amendment’s prohibition of cruel and unusual punishment.
Second, she alleged that the Defendants had violated Moore’s right
to due process of law under the Fifth Amendment. Last, McGuire
alleged that the Defendants had violated Moore’s rights under the
Fourteenth Amendment.
1. Fourteenth Amendment Claim
The Fourteenth Amendment, by definition, requires state
action. See U.S. CONST. amend. XIV. Here, McGuire is suing
Defendants because of their deeds as federal employees and actors.
Thus, McGuire cannot, as a matter of law, maintain a Fourteenth
Amendment claim.
4
2. Unserved Defendants
We agree that McGuire’s Bivens claims against the unserved
defendants were properly dismissed. The district court granted
McGuire several extensions and warned McGuire that if she did not
file proof of service any claims against unserved defendants would
be dismissed. Thus, McGuire received ample time and warning. She
cannot now complain that the court erred in dismissing her
complaints against those defendants.
3. Served Defendants
McGuire argues, as to the served defendants, that the court
erred in finding her service untimely because she served those
defendants within the extended deadline. The district court found
that McGuire had timely filed her complaint but that she had not
timely served it. The court looked to Texas law which states that
merely filing suit does not toll the statute of limitations; rather
the plaintiff must file suit within the limitations period and
continuously exercise due diligence in serving the defendant for
limitations to toll. Hanslere v. Mainka,
807 S.W.2d 3, 4 (Tex.
App.--Corpus Christi 1991, no writ). Because McGuire did not serve
defendants Turnbo, Turner, and Reyes until nearly two years after
filing suit, the court found McGuire had not exercised due
diligence. Thus, it reasoned, the suit was untimely as a matter of
law.
When a plaintiff brings a Bivens action in federal court,
those courts look to state law to determine the applicable
limitations period. Spina v. Aaron,
821 F.2d 1126, 1128-29 (5th
5
Cir. 1987). The issue in this appeal, which this Court has never
addressed, is whether a court deciding a Bivens suit should also
borrow a state’s service provisions. In West v. Conrail,
481 U.S.
35, 39 (1987), the Supreme Court held that “when an underlying
cause of action is based on federal law and the absence of an
express federal statute of limitations makes it necessary to borrow
a limitations period from another statute, the action is not barred
if it has been ‘commenced’ in compliance with Rule 3 within the
borrowed period.” While the Bivens opinion does not state directly
that its cause of action is based on federal law, Justice Harlan,
in his concurrence, notes that the interests a Bivens claims
protects are federal.
The district court erred in applying Texas’ tolling provisions
to this case. Here, McGuire brings a Bivens claim, which is based
on federal law. Further, the district court found, and the
Appellees do not contest, that McGuire filed her action within the
limitations period. There is no question that McGuire complied
with Rule 3. Therefore, we hold that McGuire’s Bivens claims are
not time barred.
McGuire’s Bivens claims against the served Defendants do not
fail for lack of service, either. According to Rule 4(m),2 a
plaintiff must serve the other parties within 120 days. FED. R.
CIV. P. 4(m). Under Rule 6(b)(2), a court may extend the 120 day
period if failure to serve resulted from excusable neglect. FED.
2
At the time McGuire filed suit, the rule in effect was Rule
4(j). In 1993, Rule 4 was amended, and the substance of Rule 4(j)
is now contained in Rule 4(m).
6
Rawle CIV. P. 6(b)(2). According to the district court’s last
extension, McGuire had until September 15, 1993 to serve Defendants
and file proofs of service. She served and filed proofs on Turnbo,
Turner, and Reyes on September 14. Therefore, she has timely
served her complaint on these Defendants.
B. FTCA
The FTCA waives the United States’ sovereign immunity from
tort suits, 28 U.S.C. § 2674, and is the exclusive remedy for
compensation for a federal employee’s tortious acts committed in
the scope of employment. 28 U.S.C. § 2679. To sue successfully
under the FTCA, a plaintiff must name the United States as the sole
defendant. Atorie Air, Inc. v. Federal Aviation Administration,
942 F.2d 954, 957 (5th Cir. 1991).
McGuire argues that the district court erred in finding her
FTCA claim untimely because her amended complaint asserting it did
not relate back to the original complaint under Rule 15(c). Rule
15(c) reads in pertinent part:
An amendment of a pleading relates back to the date of
the original pleading when. . . (2)the claim. . .asserted
in the amended pleading arose out of the conduct,
transaction, or occurrence set forth. . .in the original
pleading, or (3) the amendment changes the party or the
naming of the party against whom a claim is asserted if
the foregoing provision (2) is satisfied and, within the
[120 day] period. . . for service of the summons and
complaint, the party to be brought in by amendment (A)
has received such notice of the institution of the action
that the party will not be prejudiced in maintaining a
defense on the merits, and (B) 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.
McGuire contends that the amended complaint relates back because
7
none of the Appellees had filed responsive pleading to her original
complaint3 and because the United States received notice within the
time provided by Rule 4(m).
Appellees respond with three arguments: (1) the complaint
could not relate back because the United States did not receive
notice within the FTCA limitations period; (2) even if the
complaint related back, the court properly dismissed McGuire’s FTCA
claim for failing to serve the United States with 120 days of the
original filing; and (3) McGuire waived her FTCA claim.
We address the waiver issue first. To support their argument,
the Appellees point out that McGuire stated in her response to
their motion to dismiss that she could not pursue a claim under the
FTCA because she had not sued the United States. McGuire attempted
to retract the statement in her re-briefed response to the motion
to dismiss. While the district court struck McGuire’s attempted
retraction, it pointed out that McGuire could (and did) amend her
FTCA claim under Rule 15(a) since it was her first amendment and
the defendants had not filed any responsive pleadings.4 Thus,
McGuire did not waive her FTCA claim, and we now turn to the other
arguments.
The first issue, one of first impression in this Circuit, is
whether a complaint will relate back under Rule 15(c) when the
3
Under Rule 15(a), a party may amend at any time before a
responsive pleading is served.
4
Motions for summary judgment and to dismiss are not
responsive. See, Zaidi v. Ehrlich,
732 F.2d 1218, 1219 (5th Cir.
1984).
8
district court has enlarged Rule 4(m)’s notice period. The
district court stated that the amended complaint could relate back
only if the original complaint was timely filed and if the United
States was timely served. FED. R. CIV. P. 15(c). To determine if
McGuire’s amended complaint fell within this rule, the district
court relied upon Vernell v. United States Postal Service,
819 F.2d
108 (5th Cir. 1987). Vernell held that an amended complaint could
relate back only if the United States received notice within six
months after the administrative claim was denied.
Id. at 110-11.
Here, the district court found that McGuire did not notify the
United States within the limitations period. We hold that the
district court erred in so finding.
The district court mistakenly relied upon Vernell which was
decided before Rule 15(c) was amended.5 Under the old rule, an
added party had to receive notice within the limitations period.
The new rule, though, as mentioned above, allows the plaintiff to
notify the defendant within the 120 days allowed for service.
Further, the comments to amended Rule 15(c) state that the rule not
only allows service during the 120 days but also during any
extension the court may grant. FED. R. CIV. P. 15(c) advisory
committee’s notes. This Court’s task, then, is to determine
whether the United States received notice within Rule 4(m).
McGuire’s attorney and his employee, in affidavits, swore that
they had personally delivered a copy of the complaint and summons
5
The new rule was amended five days before McGuire filed suit
and so it unquestionably applies here.
9
to the Fort Worth U.S. Attorney’s office on April 9, 1992. With
respect to the United States, delivery of process to the United
States Attorney satisfies the notice and the knew or should have
known requirements of Rule 15(c). While the notice does not fall
within Rule 4(m)’s 120 day period, it does fall within the
enlargement the court granted.6 Thus, the amended complaint did
relate back.
Appellees final argument is that even if the amended complaint
relates back, the court correctly dismissed the FTCA claim because
the United States was not timely served. McGuire served the United
States on April 9 which was five days after Rule 4(m)’s service
period expired. We note that these last two arguments are similar,
but service and notice have different requirements. Notice
requires mailing or delivery of process to the U.S. Attorney or the
Attorney General. FED. R. CIV P. 15(c). Service requires both
delivery to the U.S. Attorney and mailing to the Attorney General
a copy of the summons and complaint. FED. R. CIV. P. 4(i).
Appellees and the district court do not discuss whether a copy of
the complaint and summons was mailed to the Attorney General;
however the record contains two return receipts from the Attorney
General which show receipt on April 10 and 13. As mentioned
earlier, the district court granted McGuire until April 20 to
serve. All of these dates fall within that deadline; therefore, we
hold that the United States was timely served.
6
The court granted McGuire until April 20 to serve summonses
and file proofs thereof.
10
CONCLUSION
For the above reasons we AFFIRM in part and REVERSE in part
the district court’s grant of the motion to dismiss and REMAND for
further proceedings.
11