McIntosh v. Flynn, 71 F.3d 29, 1st Cir. (1995)
McIntosh v. Flynn, 71 F.3d 29, 1st Cir. (1995)
McIntosh v. Flynn, 71 F.3d 29, 1st Cir. (1995)
3d 29
33 Fed.R.Serv.3d 1
Well after he had been arrested and allegedly manhandled by Boston police
officers, plaintiff-appellant Audley McIntosh commenced a civil action under
42 U.S.C. Sec. 1983. The district court granted summary judgment in the
defendants' favor on the ground that McIntosh had brought suit a day late.
McIntosh appeals. We affirm.
I. BACKGROUND
2
We set forth the substantiated facts in the light most congenial to the party
opposing summary judgment. See Pagano v. Frank, 983 F.2d 343, 347 (1st
Cir.1993).
and battered him to boot. That afternoon, the police transported appellant to the
emergency room of a local hospital where he was treated and released at
approximately 7:00 p.m. The authorities charged him with a multitude of
offenses (including assault and battery of a police officer), but they did not
further detain him.
4
In short order, a Massachusetts state court dismissed all the charges. At a much
later date, appellant's attorney prepared a four-page complaint confined
exclusively to a claim premised on 42 U.S.C. Sec. 1983. The complaint
contained no pendent causes of action. It named Mayor Raymond Flynn, Police
Commissioner Francis Roache, and several "John Does" as defendants. On
January 7, 1993--three years to the day after appellant's infelicitous encounter
with the police--the lawyer (1) transmitted a facsimile of the complaint's first
two pages to the clerk's office of the federal district court, and (2) sent the
original complaint, with the required filing fee, to the clerk by certified mail.
The clerk's office received the abbreviated facsimile transmission after hours
(i.e., between 6:00 and 7:00 p.m. on January 7).1 The mailed envelope reached
the office on January 8 and a deputy clerk docketed the case that day.
The defendants answered the complaint, denied any wrongdoing, and asserted
an affirmative defense based on the statute of limitations. Following the
completion of discovery and a belated effort to reconfigure the suit,2 the
remaining defendants moved for brevis disposition under Fed.R.Civ.P. 56(c).
The lower court granted appellant two extensions of time for responding to the
motion. When the second extension expired, the court denied a third request
and subsequently decided the Rule 56 motion in the defendants' favor without
considering the delinquent opposition that appellant's counsel eventually
produced. See D.Mass.Loc.R. 56.1 (providing that the facts as presented by the
movant are deemed admitted for the purpose of a summary judgment motion
when no timely opposition is filed). These appeals ensued.
The district court rested its decision on the ground that appellant's section 1983
claim was time barred. On appeal, McIntosh disputes this conclusion. To afford
needed perspective, we start by reviewing certain abecedarian legal principles
that inform our analysis of the issues presented.
that there is no genuine issue as to any material fact and that the moving party
is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(c). We have written
copiously on the idiosyncracies of this rule and on its ramifications, see, e.g.,
McCarthy v. Northwest Airlines, Inc., 56 F.3d 313, 314-15 (1st Cir.1995);
Morris v. Government Dev. Bank, 27 F.3d 746, 748 (1st Cir.1994); National
Amusements, Inc. v. Town of Dedham, 43 F.3d 731, 735 (1st Cir.), cert.
denied, --- U.S. ----, 115 S.Ct. 2247, 132 L.Ed.2d 255 (1995); Vasapolli v.
Rostoff, 39 F.3d 27, 32 (1st Cir.1994); Dow v. United Bhd. of Carpenters, 1
F.3d 56, 58 (1st Cir.1993); Pagano, 983 F.2d at 347; Wynne v. Tufts Univ. Sch.
of Med., 976 F.2d 791, 793-94 (1st Cir.1992), cert. denied, 507 U.S. 1030, 113
S.Ct. 1845, 123 L.Ed.2d 470 (1993); United States v. One Parcel of Real
Property (Great Harbor Neck, New Shoreham, R.I.), 960 F.2d 200, 204 (1st
Cir.1992); Rivera-Muriente v. Agosto-Alicea, 959 F.2d 349, 351-52 (1st
Cir.1992); Medina-Munoz v. R.J. Reynolds Tobacco Co., 896 F.2d 5, 7-8 (1st
Cir.1990); Garside v. Osco Drug, Inc., 895 F.2d 46, 48-49 (1st Cir.1990), and it
would serve no worthwhile purpose to rehearse that jurisprudence here. It
suffices to reaffirm that "summary judgment's role is to pierce the boilerplate of
the pleadings and assay the parties' proof in order to determine whether trial is
actually required." Wynne, 976 F.2d at 794.
9
10
Questions anent the applicability and effect of the passage of time on particular
sets of facts often are grist for the summary judgment mill. See, e.g., RiveraMuriente, 959 F.2d at 352; Jensen v. Frank, 912 F.2d 517, 520 (1st Cir.1990);
Kali Seafood, Inc. v. Howe Corp., 887 F.2d 7, 9 (1st Cir.1989). And when a
defendant moves for summary judgment based on a plausible claim that the suit
is time barred, the onus of identifying a trialworthy issue customarily falls on
the plaintiff. See, e.g., Morris, 27 F.3d at 748.
12
The linchpin of the appellant's case is his section 1983 claim. We, therefore,
train our sights exclusively on this claim.3
13
14
15
In this venue, the parties briefed the appeal on the same underlying assumption.
At oral argument, however, the appellant tried to recharacterize his section
1983 claim as one for malicious prosecution to take advantage of the differently
configured limitation period. See Calero-Colon v. Betancourt-Lebron, 68 F.3d
1, 3-4 (1st Cir.1995) (discussing need and methodology for such
characterization). This effort comes too late and offers too little. The original
complaint asserted that appellant's civil rights had been abridged by means of
"false arrest" and "assault and battery." The complaint did not mention
malicious prosecution and, indeed, there is nothing in the record to suggest that
any of the named defendants had a hand in whatever prosecution may have
transpired. Since the district court properly characterized the suit as it stood as
one for false arrest, the question before us is precisely the same as the question
to which the district court responded. We review the district court's answer to
the question de novo. See Rivera-Muriente, 959 F.2d at 352.
16
Although the limitation period is borrowed from state law, the jurisprudence of
section 1983 directs us to examine federal law in order to determine the accrual
period. See Calero-Colon, 68 F.3d at 3; Morris, 27 F.3d at 748. Under federal
law, accrual starts when the plaintiff "knows, or has reason to know, of the
injury on which the action is based." Rivera-Muriente, 959 F.2d at 353. Most
accrual disputes focus on when the limitation period began to run, that is, when
the plaintiff's causes of action accrued. See, e.g., Calero-Colon, 68 F.3d at 3-4;
Morris, 27 F.3d at 749. Here, the commencement date is not a problem: all the
relevant actions of the police officers took place on January 7, 1990; the
appellant was treated and released from the hospital that day; and he knew then
that he had been harmed. Thus, the appellant's cause of action accrued on
January 7, 1990. But the accrual period is measured by both a starting date and
an ending date, and the pivotal controversy in this case concerns the latter.
Consequently, we must shine the light of our understanding on the available
facts to determine the date when McIntosh took an action sufficient to interrupt
the running of the limitation period.
III. ANALYSIS
17
The district court's ruling is stark in its simplicity: the appellant's section 1983
claim arose on January 7, 1990; the three-year limitation period began to accrue
then and there; the time for bringing suit ran out on January 7, 1993; the
appellant's action was not filed until the next day; and, accordingly, the suit was
untimely. The appellant offers a salmagundi of reasons to support his
contention that the district court erred in determining that time had passed him
by. We examine these reasons below.
A. Filing By Facsimile.
18
19
The appellant posits that the January 7 facsimile transmission satisfied the
filing requirements of the Civil Rules, thus stopping the limitations clock. He is
whistling past the graveyard. Absent a local rule authorizing the practice,
facsimile filings in a federal court are dead on arrival.
20
21
Papers
may be filed by facsimile transmission if permitted by rules of the district
court, provided that the rules are authorized by and consistent with the standards
established by the Judicial Conference of the United States.
22
For one thing, the Conference, at the same time it granted the limited
authorization to which we have alluded, warned that "the routine acceptance ...
of court documents by facsimile would present practical problems and would
create an administrative and resource burden to the courts." Id. The facsimile
filing here occurred in the most mundane of contexts and was not brought
about by any special exigency but by the attorney's nonchalance. Thus, the
circumstances are hardly "compelling."
24
For another thing, the appellant's argument ignores the plain language of Rule
5(e). Implicit therein is the concept that, absent a local rule authorizing filing
by facsimile, such filings are null. See, e.g., In re Hotel Syracuse, Inc., 154 B.R.
13, 17 (N.D.N.Y.1993) (holding that a notice of appeal filed by facsimile, not
authorized under any local rule, did not interrupt the progression of the appeal
period). The appellant's suggested construction would render the reference to
local rules superfluous. Since a court called upon to construe a procedural rule
should give effect, whenever possible, to every word and phrase contained in
the rule's text, see Jamerson v. Board of Trustees of the Univ. of Ala., 80 F.R.D.
744, 749 (N.D.Ala.1978), see also United States v. Ven-Fuel, Inc., 758 F.2d
741, 751-52 (1st Cir.1985) (explicating similar principle in respect to statutory
construction), we decline to follow the appellant's lead. The local rules of the
United States District Court for the District of Massachusetts do not authorize
the filing of papers by facsimile. That ends the matter.
25
In this case, moreover, the appellant's facsimile filing is invalid for two other
reasons. First, the January 7 transmission was incomplete. Although the notice
pleading requirements of the Civil Rules are to be construed liberally, there are
bounds to liberality. For purposes of commencing an action, half a complaint-particularly an unsigned half that does not even contain a demand for
judgment--is no better than none.
26
Second, the appellant did not send even the partial facsimile transmission until
after the close of business on January 7, 1993. Despite the fact that
Fed.R.Civ.P. 77(a) states that "district courts shall be deemed always open for
the purpose of filing any pleading or other proper paper ...," the word "filing"
as used therein is a word of art. It "means delivery into the actual custody of the
proper officer." Casalduc v. Diaz, 117 F.2d 915, 916 (1st Cir.), cert. denied,
314 U.S. 639, 62 S.Ct. 74, 86 L.Ed. 512 (1941). Consequently, Rule 77(a) has
been interpreted uniformly to mean that the clerk's office need not be kept open
around the clock, and that, outside of ordinary business hours, merely leaving
papers in a closed or vacant office does not constitute "filing" sufficient for
commencement of an action.5 See Greenwood v. State of N.Y. Office of Mental
Health, 842 F.2d 636, 639 (2d Cir.1988); Casalduc, 117 F.2d at 916; see also
12 Charles A. Wright & Arthur R. Miller, Federal Practice and Procedure Sec.
3081, at 179 (1990).B. Filing By Mailing.
27
The appellant argues that the complaint should be deemed to have been filed on
January 7, 1993, because it was mailed on that date. This is a hard sell; as the
appellant acknowledges, the Civil Rules do not so provide, and the proposition
that he hawks therefore rises or falls on the strength of his thesis that the district
court should have followed state practice. The proposition falls.
28
29
The appellant suggests two reasons why this case does not come within Hanna
's sphere of influence. First, he tells us that using the state procedural rule is
fitting because the federal question arises under section 1983 and, therefore, the
district court must borrow the appropriate statute of limitations from state law.
See Wilson, 471 U.S. at 276-80, 105 S.Ct. at 1947-49. But this is a distinction
bereft of a meaningful difference.
30
bridging interstices in federal law, federal courts should borrow "only what is
necessary to close the gap left by Congress." West, 481 U.S. at 40 n. 6, 107
S.Ct. at 1541 n. 6.
31
Beyond the need to borrow a limitation period simpliciter, the case at hand
presents no occasion for resort to state law. In the wake of West, federal courts
consistently have held that questions concerning the commencement of a
section 1983 action in a federal court are governed by Fed.R.Civ.P. 3. See, e.g.,
Martin v. Demma, 831 F.2d 69, 71 (5th Cir.1987); Del Raine v. Carlson, 826
F.2d 698, 706-07 (7th Cir.1987). Rule 3 is complete on its face. The appellant
has identified no lacuna that must be filled by reference to state law, and none is
visible to us.
32
The seamlessness of Rule 3, and its fit with other federal procedural rules,
defeats the appellant's claim. Rule 3 adequately covers the mechanics of
commencing an action in a federal district court, and the rule makes it
transpicuously clear that an action is commenced when the papers are filed. In
turn, Fed.R.Civ.P. 5(e) defines filing, for all intents and purposes, as "filing ...
with the clerk of the court."6 The commencement construct created by the Civil
Rules is complete and self-contained, and leaves no room for improvisation.
Under the construct, the instant complaint was not effectively filed until
January 8, 1993, and, therefore, the underlying action was not commenced
within the limitation period. When papers are mailed to the clerk's office, filing
is complete only upon the clerk's receipt of them. See Cooper v. City of
Ashland, 871 F.2d 104, 105 (9th Cir.1989) (per curiam); see also Torras
Herreria v. M/V Timur Star, 803 F.2d 215, 216 (6th Cir.1986) ("Filings
reaching the clerk's office after a deadline are untimely, even if mailed before
the deadline.").
33
In a last-ditch effort to forestall the inevitable, the appellant insists that the
animating principle of Guaranty Trust Co. v. York, 326 U.S. 99, 109-12, 65
S.Ct. 1464, 1469-71, 89 L.Ed. 2079 (1945), requires that we look to the state
procedural rule since establishing a time line will determine the outcome of the
litigation. This argument will not wash.
34
supplies the basis for decision), the correct inquiry is not whether the choice
between federal and state procedural rules will prove outcome determinative,
but whether a federal rule exists that covers the point in dispute. If it does, it
must be applied. See id. 380 U.S. at 469-74, 85 S.Ct. at 1142-45. Put another
way, when federal and state procedural rules collide, the federal rule
necessarily trumps the state rule in a federal forum.7 See id.; accord Aceves v.
Allstate Ins. Co., 68 F.3d 1160, 1167 (9th Cir.1995); Cutting v. Town of
Allenstown, 936 F.2d 18, 21 (1st Cir.1991); Frechette v. Welch, 621 F.2d 11,
13-14 (1st Cir.1980). As the Court wrote in Hanna, "to hold that a Federal Rule
of Civil Procedure must cease to function whenever it alters the mode of
enforcing state-created rights would be to disembowel either the Constitution's
grant of power over federal procedure or Congress' attempt to exercise that
power...." 380 U.S. at 473-74, 85 S.Ct. at 1145-46. There is even less basis for
charting so drastic a course where, as here, the right at issue is created under
federal rather than state law.
35
To recapitulate, the general rule is that merely placing a complaint in the mail
does not constitute filing sufficient to mark the commencement of an action in a
federal court. This case falls squarely within the maw of the general rule. It
follows inexorably that the appellant did not seasonably commence his suit by
mailing the complaint to the clerk's office on January 7, 1990.
C. Miscellaneous Arguments.
36
37
We have considered all the appellant's remaining arguments and find them to
be unpersuasive. Only three of them require any comment.
38
1. The Failure to Grant a Third Extension. The district court allowed the
appellant two extensions of time within which to oppose the defendants' motion
for summary judgment, but balked the third time around. The appellant assigns
error. We discern none.
39
879 F.2d 1396, 1399 (6th Cir.1989); Clinkscales v. Chevron U.S.A., Inc., 831
F.2d 1565, 1569 (11th Cir.1987).
40
2. Waiver. The appellant asserts that, by failing to move for judgment on the
limitations defense earlier in the proceedings, the defendants waived it. This
assertion has no foothold in the law. The defendants raised the affirmative
defense in a timeous manner by including it in their answer. See Fed.R.Civ.P.
8(c), 12(b)(6), 12(h)(2). They were under no obligation to do more. Once a
defendant timely raises a limitations defense in his answer, the issue remains in
the case until it is deleted from the pleadings or resolved by the court. See
Pessotti v. Eagle Mfg. Co., 946 F.2d 974, 979 (1st Cir.1991). There is no
inequity in this rule; if the plaintiff desires to force an up-or-down decision on
the asserted defense in the early stages of the case, he has the power to bring it
to the forefront. See Fed.R.Civ.P. 12(c)-(d).10 Here, the appellant could have
seized the opportunity but chose not to do so. As a result, it does not lie in his
mouth to complain of the defense's alleged laggardness.
41
IV. CONCLUSION
42
We need go no further. Over two and one-half centuries ago, an English author
called procrastination the thief of time. See Edward Young, Night Thoughts
(1745). As this case proves, time, once stolen, engenders other losses as well.
Because McIntosh filed his civil action a day late, we affirm the district court's
entry of summary judgment in the defendants' favor.
43
Affirmed.
For some reason, the remaining two pages of the complaint, including the
demand for judgment, were not sent by facsimile transmission to the clerk's
office until the next afternoon
On January 20, 1994, appellant filed an amended complaint that spelled out a
Apart from the section 1983 claim, the record reveals no independent basis for
federal jurisdiction. Thus, if the lower court appropriately granted summary
judgment on the section 1983 claim, then the court (which expressly disclaimed
any intention of exercising supplemental jurisdiction under 28 U.S.C. Sec.
1367(c)(3)) acted well within its discretion in jettisoning the appended statelaw claims. See Martinez v. Colon, 54 F.3d 980, 990-91 (1st Cir.1995)
(reaffirming principle that the district court, in its discretion, may dismiss
pendent claims contemporaneous with a determination, in advance of trial, that
"no legitimate federal question exist[s]"), cert. denied, --- U.S. ----, 116 S.Ct.
515, 133 L.Ed.2d 423 (1995). Consequently, we need not address any claim
apart from the section 1983 claim
Later in 1993, Rule 5(e) was amended. The Advisory Committee described the
change as "a technical amendment" aimed at "permit[ting] filing not only by
facsimile transmissions but also by other electronic means," Fed.R.Civ.P. 5(e),
advisory committee's note to 1993 amendment. The revision is not relevant to
these appeals
After hours, papers can validly be filed by in-hand delivery to the clerk or other
proper official. See Casalduc, 117 F.2d at 916. In addition, some clerks' offices
reportedly have established so-called "night depositories" to accommodate
after-hours filings. This case does not involve an established night depository,
and we take no view of the efficacy of that practice
Rule 5(e) contains one explicit exception. It allows judges, in their discretion, to
"permit the papers to be filed with the judge, in which event the judge shall
note thereon the filing date and forthwith transmit them to the office of the
clerk."
Counsel's statement amounts to little more than a plaint that he was suddenly
called out of town on other business on the last day of the second extension
period. But "most attorneys are busy most of the time and they must organize
their work so as to be able to meet the time requirements of matters they are
handling or suffer the consequences." Pinero Schroeder v. Federal Nat'l
Mortgage Ass'n, 574 F.2d 1117, 1118 (1st Cir.1978) (per curiam)
10
Rule 12(c) provides in part that "any party may move for judgment on the
pleadings." Rule 12(d) provides in part: "The defenses specifically enumerated
(1)-(7) in subdivision (b) of this rule, whether made in a pleading or by motion,
and the motion for judgment mentioned in subdivision (c) of this rule shall be
heard and determined before trial on application of any party...." (emphasis
supplied)
11
The appellant never advanced the argument below. Apart from its other
shortcomings, the argument fails for this reason as well. See Clauson v. Smith,
823 F.2d 660, 666 (1st Cir.1987)