Jeffrey M. Miller and Cynthia S. Miller v. Kristine C. Danz ( 2015 )

Feb 11 2015, 10:03 am
ATTORNEYS FOR APPELLANTS ATTORNEYS FOR APPELLEE
Kevin W. Betz Daniel D. Trachtman
Sandra L. Blevins Erica K. Drew
Jamie A. Maddox Wooden & McLaughlin LLP
Betz+Blevins Indianapolis, Indiana
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
Jeffrey M. Miller and Cynthia S. February 11, 2015
Miller Court of Appeals Case No.
49A05-1401-PL-45
Appellants,
Appeal from the Marion Superior
v. Court
Honorable Michael D. Keele, Judge
Cause No. 49D07-1003-PL-014761
Kristine C. Danz,
Appellee
Friedlander, Judge.
[1] Jeffrey M. Miller and Cynthia S. Miller (the Millers) appeal the grant of
summary judgment in favor of Kristine C. Danz on their complaint for
damages resulting from defamation per se, defamation per quod, invasion of
privacy – false light, tortious interference with a business relationship,
intentional infliction of emotional distress, and loss of consortium. The Millers
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present several issues for our review, which we consolidate and restate as: Did
the trial court properly grant summary judgment in favor of Danz?
[2] We affirm.
[3] Jeffrey Miller was president and CEO of Junior Achievement of Central
Indiana, Inc. (JACI) from September 1994 until his retirement on December 31,
2008. Jennifer Burk succeeded Miller as President and CEO of JACI. After his
retirement from JACI, Miller continued in the role of President of the
Experiential Learning and Entrepreneurship Foundation (the Foundation), a
separate organization that supports JACI, until February 2010.
[4] In May 2008, during Miller’s tenure as president of JACI, a three-way
collaborative project was announced between JACI, the Foundation, and Ivy
Tech Community College for the Foundation to construct a $4-million culinary
school on the JACI campus to be financed in part by a $2-million grant from
the Central Indiana Community Foundation/Eugene Glick family (CICF). As
a result of this collaboration, Ivy Tech would lease the culinary school from the
Foundation once the school was fully constructed and furnished with the latest
culinary equipment. Construction began in August 2009 but was suspended in
January 2010 because CICF stopped paying for the invoices submitted by the
Foundation even though there was sufficient money in the fund that had been
allocated for the culinary project. Apparently, CICF had concerns about how
the funds for the culinary project were being handled.
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[5] Kristine Danz is a partner at Ice Miller, LLP. In January/February 2010,
Danz’s then-husband was a board chairman for JACI. According to Danz’s
deposition testimony, sometime in January/February 2010, Mr. Danz was
“upset and angry” and in a “venting manner” communicated to her that there
had been or was going to be an audit of JACI and the culinary project because
there was a belief that funds allocated thereto may not have been managed
properly. Appellants’ Appendix at 551, 547-48, respectively. Danz also stated
that Mr. Danz seemed surprised that Miller was being considered for a position
with the City of Indianapolis because Mr. Danz “felt like [Miller’s]
performance at Junior Achievement wasn’t very strong.” Id. at 550.
[6] During January or February 2010, Danz inquired of Sarah Cotterill (Ms.
Cotterill),1 an associate partner at Ice Miller and then-wife of Chris Cotterill, the
Chief of Staff for the Mayor of Indianapolis, whether Miller was in fact being
considered for a position with the Mayor’s office.2 Danz communicated to Ms.
Cotterill the information she had received from Mr. Danz concerning an audit
of the culinary project and Miller’s involvement therein. Danz told Ms.
Cotterill that she did not know the outcome of the audit, but indicated that Ms.
Cotterill may want to inform Mr. Cotterill that he may want to inquire further
into the matter before hiring Miller to work in the Mayor’s office. In turn, Ms.
Cotterill relayed the information she received from Danz to Mr. Cotterill.
Danz admitted that the information she relayed to Ms. Cotterill was the kind of
1
Ms. Cotterill recalls that the conversation with Danz may have taken place in 2009.
2
Danz stated that her conversation with Ms. Cotterill occurred during a chance meeting in the hallway at Ice
Miller.
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information that “would cause one to pause in wanting to deal with a person.”
Id. at 556.
[7] Prior to Danz’s conversation with Ms. Cotterill, Miller at least had a job
opportunity with the Mayor’s office. Beginning in August of 2009 and
continuing through approximately March of 2010, Miller engaged in several
discussions with Mr. Cotterill regarding the position of Senior Policy Advisor to
the Mayor. Miller maintains that these discussions encompassed what Miller
could bring to the position of Senior Policy Advisor, that the purpose of the
position was to connect the business community to the Mayor’s office and to tie
the not-for-profit community closer together, a start date (being the end of
February 2010), and a salary range. In a follow-up conversation, Mr. Cotterill
told Miller that an announcement regarding Miller’s position with the Mayor’s
office would be made toward the end of February 2010.
[8] Ultimately, however, Miller did not receive the position as Senior Policy
Advisor with the Mayor’s office. On March 19, 2010, Miller recorded a
telephone conversation he had with Mr. Cotterill in which Mr. Cotterill told
Miller that a lawyer had contacted his wife and informed her that Miller or
JACI “were going to be sued by the CICF for misappropriation of funds.” Id.
at 477. During this conversation, Miller identified Danz as a possible source of
the comments made to Ms. Cotterill.3 Mr. Cotterill continued, informing Miller
3
The relevant part of the recorded telephone conversation between Miller and Mr. Cotterill follows:
Jeff Miller: So where did that come from?
Chris Cotterill: Some lawyer contacted Sarah, and I think that that lawyer’s at Ice Miller. I
didn’t really get into that with her.
Jeff Miller: Okay. That helps me, because I can trace that actually.
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that his name was also associated with a conversation regarding concerns about
“how the money moved around” for the culinary project in which JACI was
involved. Id. at 478. In light of this information, Mr. Cotterill told Miller that
part of his “professional responsibility is to do a 10-foot-pole rule” between the
Mayor’s Office and Miller. Id. at 481.
[9] The Millers filed their complaint on March 31, 2010, asserting claims for
defamation per se, defamation per quod, invasion of privacy – false light, tortious
interference with a business relationship, intentional infliction of emotional
distress, loss of consortium, and damages resulting from each. Initially, JACI,
CICF, Jennifer Burk, and Brian Payne were named as defendants. The Millers
thereafter filed a series of amended complaints by which multiple persons and
entities were added as defendants. Eventually, on February 27, 2012, the
Millers filed their Fourth Amended Complaint in which they named “John Doe
#8, a partner, employee or agent of Ice Miller, LLP” (John Doe #8) as a
defendant in the action and alleged that John Doe #8 told Ms. Cotterill, who in
turn told Mr. Cotterill, that “CICF was planning to sue Mr. Miller for
misappropriation of funds.” Id. at 236.
[10] On February 28, 2013, the Millers filed a Fifth Amended Complaint in which
they substituted Danz for John Doe #8, claiming that they first learned of
Chris Cotterill: Yeah, I mean –
Jeff Miller: There’s a . . . Harry Danz who works—who is on the executive committee at
JA[CI]; his wife works at Ice Miller.
Chris Cotterill: Okay. And I—
Jeff Miller: So that would make sense.
Id. at 344.
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Danz’s identity as John Doe #8 through the deposition of Ms. Cotterill taken
on January 18, 2013. Specifically, the Millers claimed in the Fifth Amended
Complaint that it was Danz who told Ms. Cotterill that “CICF was planning to
sue Mr. Miller for misappropriation of funds.” Id. at 262. The Fifth Amended
Complaint pleads multiple theories against Danz, including defamation,
invasion of privacy – false light, tortious interference with business or
contractual relationships, intentional infliction of emotional distress, and
conspiracy or concerted action.
[11] Danz filed a motion for summary judgment, a brief in support of her motion for
summary judgment, and a designation of evidence on August 30, 2013. Danz’s
primary argument4 in support of summary judgment in her favor was that the
claims asserted by the Millers accrued no later than March 19, 2010,5 and thus,
the Millers’ filing of the Fifth Amended Complaint against her nearly three
years later was barred by the applicable two-year statute of limitation.6 The
Millers filed their response to Danz’s motion for summary judgment on
October 4, 2013. The Millers argued that pursuant to Ind. Trial Rule 15(C),
Danz was properly substituted for John Doe #8, even though such substitution
4
Danz also asserted in her brief in support of summary judgment that the Millers’ claims failed on their
merits.
5
This is the date Miller recorded the telephone conversation with Mr. Cotterill in which Mr. Cotterill
explained to Miller that the reason he was not going to be brought on as a Senior Policy Advisor with the
Mayor’s office was because of information concerning an audit and/or possible misappropriation of funds by
Miller that had been related to him by Ms. Cotterill. Danz asserts that Miller knew he had been damaged at
least as of this point in time.
6
It is undisputed that all of the Millers’ claims against Danz are subject to a two-year statute of limitation.
See Ind. Code Ann. § 34-11-2-4 (West, Westlaw current with all 2014 Public Laws of the 2014 Second
Regular Session and Second Regular Technical Session of the 118th General Assembly) (“[a]n action for . . .
injury to person or character . . . must be commenced within two (2) years after the cause of action accrues”).
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occurred after the expiration of the applicable two-year statute of limitation,
because Danz had constructive notice of the lawsuit before the statute of
limitation expired. On October 22, 2013, Danz filed a reply brief in support of
her motion for summary judgment in which she specifically asserted that the
substitution of her as a defendant did not satisfy the requirements of T.R. 15(C).
The trial court held a summary judgment hearing on November 21, 2013.7
During this hearing, the Millers argued that Ind. Trial Rule 17(F), in
conjunction with T.R. 15(C), permitted the insertion of Danz’s name for John
Doe #8. After the submission of post-argument briefs, the trial court granted
Danz’s motion for summary judgment and directed that final judgment be
entered in an order dated January 10, 2014.8 The Millers timely filed a Notice
of Appeal on January 29, 2014.
[12] “When reviewing a trial court’s ruling on a motion for summary judgment, this
court stands in the shoes of the trial court and applies the same standards in
deciding whether to affirm or reverse the ruling.” In doing so, we must
construe all factual inferences in the nonmoving party’s favor and resolve all
doubts as to the existence of a genuine issue against the moving party. Chang v.
Purdue Univ., 985 N.E.2d 35 (Ind. Ct. App. 2013), trans. denied. A trial court’s
grant of summary judgment is clothed with a presumption of validity, and the
appellant bears the burden of demonstrating that the grant of summary
7
At the hearing, the parties’ arguments were focused solely upon whether the Fifth Amended Complaint
naming Danz was time-barred by the applicable statute of limitations.
8
The trial court did not set forth the basis for its entry of judgment in favor of Danz.
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judgment was erroneous. W.S.K. v. M.H.S.B., 922 N.E.2d 671 (Ind. Ct. App.
2010).
[13] On appeal, the Millers contend that Danz’s argument that the substitution of
her for John Doe #8 was not timely is at odds with the plain language of T.R.
17(F), which provides that “[w]hen the name or existence of a person is
unknown, he may be named as an unknown party, and when his true name is
discovered his name may be inserted by amendment at any time.” (emphasis
supplied). Danz’s response is that the Millers have not established that the
Fifth Amended Complaint inserting Danz for John Doe #8 meets the
requirements of Ind. Trial Rule 15(C) and therefore relates back to the filing of
the original complaint. Specifically, T.R. 15(C) provides:
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, the amendment relates back to the
date of the original pleading. An amendment changing the party against
whom a claim is asserted relates back if the foregoing provision is
satisfied and, within one hundred and twenty (120) days of
commencement of the action, 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.
(emphasis supplied). The threshold question to be answered in this case thus
concerns interpretation of the “at any time” language of T.R. 17(F) in a
situation where the applicable statute of limitation expired prior to the request
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to amend the complaint. In deciding this question, we must consider the
interplay between T.R. 17(F) and T.R. 15(C).
[14] In considering T.R. 17(F) and T.R. 15(C), we must also keep in mind that the
general purpose of a statute of limitation is to encourage the prompt
presentation of claims. Havens v. Ritchey, 582 N.E.2d 792 (Ind. 1991). Statutes
of limitation find their justification in necessity and convenience rather than in
logic. Id. They represent expedients, rather than principles. Id. They are
practical and pragmatic devices to spare the courts from litigation of stale
claims, and the citizen from being put to his defense after memories have faded,
witnesses have died or disappeared, and evidence has been lost. Id.
[15] We now turn to the question before us. We begin by looking at the history of
T.R. 17(F). Under the predecessor to T.R. 17(F), section 397 of the Indiana
Revised Statutes of 1881, a plaintiff, “ignorant of the name of a defendant,”
could designate a defendant “by any name” in any pleading or proceeding, and
“when his true name is discovered, the pleading or proceeding” could be
“amended accordingly, either before or after service of the summons.” This
provision was carried forward into the twentieth century and codified in section
2-1070 of Burns Indiana Statutes Annotated (1967 Repl.). In 1970, section 2-
1070 was repealed, and T.R. 17(F), using substantially different language than
its predecessors, was enacted. Even though the notion underlying T.R. 17(F)
has been in existence in some version for over a hundred years, questions
remain as to its purpose and how it operates in situations where the relevant
statute of limitation has run. See William F. Harvey, 2 Indiana Practice, § 17.11
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(2000). Interestingly, we have found no reported Indiana cases that have
specifically addressed the application of T.R. 17(F).
[16] The Millers, however, direct us to Sinks v. Caughey, 890 N.E.2d 34 (Ind. Ct.
App. 2008). Citing the Sinks case as support, the Millers graft the requirements
of T.R. 15(C) into the application of T.R. 17(F). The Millers then make their
case that the requirements of T.R. 15(C) were met because Danz had at least
constructive notice within the appropriate time frame. The Millers therefore
maintain that T.R. 17(F) permitted the substitution of Danz for John Doe #8
regardless of expiration of the applicable statute of limitation.
[17] The Millers misread the Sinks case. Although a John Doe complaint was filed
in that case, the John Doe party was eventually dismissed from the action and
the plaintiff sought an amendment to add a new party to the action after the
expiration of the applicable statute of limitation.9 On appeal, the court
9
The facts of Sinks were that the plaintiff was involved in a car accident and was aware that there were two
men at the scene, but did not know the identity of either man. Before filing her complaint, the plaintiff spoke
with a claims adjuster with American Family, the insurance company, who identified the owners of the other
vehicle and incorrectly identified the owner’s son as the driver of the other vehicle at the time of the accident.
Four days prior to the expiration of the applicable statute of limitations, the plaintiff filed her complaint
against the owners of the other vehicle, their son, and “John Doe.” Eventually, the trial court dismissed the
owners of the other vehicle from the suit and granted the defendants’ motion to strike “John Doe” as a
defendant. The remaining defendant filed a motion for summary judgment on grounds that he was not the
driver of the other vehicle at the time of the accident, but that another individual, identified as Sinks, was.
The plaintiff sought to amend the complaint nearly two and one-half years after expiration of the statute of
limitations to name Sinks as a party defendant.
The court concluded that the filing of the original complaint and notice given to American Family, which
entity was aware from its own investigation that Sinks was the driver of the other vehicle, constituted
constructive notice to Sinks. In focusing on fairness to the added defendant, the primary concern of T.R.
15(C), this court noted that American Family insurance received notice within the statute of limitation when
it received the summons against “John Doe.” This court further noted that American Family knew the
driver of the other vehicle involved in the accident was Sinks, and not any of the defendants named by the
plaintiff in her complaint relating to the accident. Ultimately, the court concluded that it was reasonable to
conclude that American Family knew or should have known that but for a mistake, Sinks would have been
named in the original action. The Court, finding that the requirements of T.R. 15(C) were met, concluded
that the trial court properly permitted the plaintiff to file a second amended complaint.
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addressed whether the addition of a proper defendant after the applicable
statute of limitation expired related back to the filing of the original complaint.
The court’s analysis focused solely upon whether the requirements of T.R.
15(C) were met.
[18] We find that the case of Berns Constr. Co., Inc. v. Miller, 491 N.E.2d 565 (Ind. Ct.
App. 1986), summarily aff’d in relevant part by 516 N.E.2d 1053 (Ind. 1987),
provides some guidance as to application of T.R. 17(F). Although our Supreme
Court granted transfer in Berns because of a disparity among Court of Appeals
opinions concerning competing statutes of limitation and statutes of repose, the
Berns opinion also addressed relation back of an amended complaint in light of
T.R. 15(C), T.R. 17(F), and Ind. Trial Rule 21(A). In that case, the plaintiffs
filed a complaint against certain defendants and named other unknown
defendants pursuant to T.R. 17(F). The plaintiffs sought to amend their
complaint to name Berns Construction as a defendant two years and seven
months after his cause of action accrued, which was after the applicable statute
of limitation for his claim had expired. In rejecting the plaintiffs’ claim that
T.R. 17(F) permitted relation back upon a subsequent amendment of their John
Doe complaint after the statute of limitation had expired, the court noted that,
as a general rule, “if a new defendant is added by amendment, the amendment
must occur prior to the running of the statute of limitation.”10 Berns Constr. Co.,
10
The court cited Wojcik v. Almase, 451 N.E.2d 336 (Ind. Ct. App. 1983) as direct support for such
conclusion. In Wojcik, a products liability action, the court’s analysis was primarily concerned with when the
cause of action accrued. There is no discussion of T.R. 17(F), and the court, citing T.R. 15(C) simply states,
“it does not appear that Wojcik’s amended complaint adding Deseret as a party would relate back so as to
avoid the statute of limitations.” Wojcik v. Almase, 451 N.E.2d at 342.
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Inc. v. Miller, 491 N.E.2d at 573. The court intimated that an amendment to
insert a real party in interest for a previously named unknown party is an
amendment to add a new defendant. In other words, an amendment in this
regard constituted a new and independent claim as to the now-named party.11
The Berns Court continued and identified a line of cases that permits the
addition of an entirely new defendant after the statute of limitation has run if
the requirements of T.R. 15(C) are met.
[19] With these cases in mind, what is to be made of the language of T.R. 17(F) that
an amendment to the pleadings to name a previously unknown defendant may
be made “at any time”? Interpretation of the trial rules are guided by the rules
of statutory construction. See Noble County v. Rogers, 745 N.E.2d 194 (Ind.
2001). Thus, as with statutes, our objective when construing the meaning of a
rule is to ascertain and give effect to the intent underlying the rule. See Turner v.
Bd. of Aviation Comm’rs, 743 N.E.2d 1153 (Ind. Ct. App. 2001), trans. denied. We
are also mindful that “the Rules of Trial Procedure are to be construed together
and harmoniously if possible.” Rumfelt v. Himes, 438 N.E.2d 980, 983 (Ind.
1982). Where a rule has not previously been construed, the express language of
the rule controls the interpretation. Rumfelt v. Himes, 438 N.E.2d 980. If the
language of a rule is clear and unambiguous, it is not subject to judicial
interpretation. Spears v. Brennan, 745 N.E.2d 862 (Ind. Ct. App. 2001).
11
In this regard, we find that the insertion of a real party in interest for a previously named unknown defendant
after expiration of the statute of limitation is akin to “changing a party” within the meaning of T.R. 15(C).
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[20] I believe the purpose of T.R. 17(F) is to allow a party to be named “[w]hen the
name or existence of a person is unknown.” The Rule continues and provides
that an amendment to name a previously unknown defendant may be made “at
any time.” The current version of the Rule employs substantially different
wording than its predecessors and I have found no other jurisdiction that has a
rule drafted in such a way. This indicates to me that the words were carefully
chosen. Moreover, the words chosen are clear and unequivocal; the plain
meaning of the words used in T.R. 17(F) is that an amendment to name a
previously unknown defendant may be made “at any time.” In light of the
express language of the Rule, I see no need to engraft a due diligence
requirement onto T.R. 17(F). If the view of my colleagues is what the drafters
of T.R. 17(F) intended, T.R. 17(F) should be revised to provide for such a
requirement.
[21] Moreover, I do not find my interpretation of T.R. 17(F) to be at odds with
general policies of fairness and finality underlying the trial rules. Indeed, I
agree with the Court in Berns Constr. Co., Inc. v. Miller, that “[t]he filing of a John
Doe complaint can never toll the statute [of limitations] as to a substituted real
defendant.” 491 N.E.2d at 573 (citing 2 W. Harvey Indiana Practice Sec. 15.4
at 20 (1986 Supp.)). To be sure, as I noted above, an amendment under T.R.
17(F) constitutes a new and independent claim as to the now-named party.
Therefore, it must also be shown that the requirements of T.R. 15(C) have been
met. In this respect, I agree with Judge Vaidik that T.R. 15(C) “operates as a
check on Rule 17(F).” It remains, however, that the amendment is not defeated
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by application of T.R. 17(F) because that rule specifically provides that an
amendment may be made “at any time.”
[22] The purpose of the doctrine of relation back under current T.R. 15(C) is to
strike the proper balance between the basic goal of the Trial Rules to promote
decisions on the merits and the policies underlying statutes of limitation, the
most significant of which are to provide fairness and finality to defendants.
Porter Cnty. Sheriff Dep’t v. Guzorek, 857 N.E.2d 363 (Ind. 2006). Thus, while
T.R. 17(F) liberally allows amendments to pleadings in cases where a
previously unknown party was named, T.R.15(C) seeks to ensure that the now-
named defendants “receive notice of claims within a reasonable time, and thus
are not impaired in their defense by evidence that is lost or diminished in its
clarity because of the undue passage of time.” See Olech v. Vill. of Willowbrook,
138 F. Supp. 2d 1036, 1041 (N.D. Ill. 2000); see also William F. Harvey, 2
Indiana Practice: Rules of Procedure Annotated § 15.7, at 70 (3d ed. 2000). It is T.R.
15(C) that serves to achieve the goals of finality and fairness to defendants.
[23] This perhaps explains the analysis of the court in Berns Constr. Co., Inc. v. Miller,
infra. As I noted above, implicit in that court’s analysis is that an amendment
was permissible under the clear language of T.R. 17(F). When the defendants
challenged the amendment by raising the expiration of the statute of limitations
as an affirmative defense, T.R. 15(C) became the vehicle by which to consider
whether the amendment was fair to the defendant. The Berns court’s analysis
therefore focused on whether the requirements of T.R. 15(C) had been met.
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[24] In summary, I find that T.R. 17(F) permits the insertion of the name of a real
party in interest “at any time.” In cases where the statute of limitation has
expired and the opposing party raises the expiration of the statute of limitations
as an affirmative defense, T.R. 15(C) provides the framework for determining
whether the complaint against the now-named party, as amended pursuant to
T.R. 17(F), relates back. See Crossroads Serv. Ctr., Inc. v. Coley, 842 N.E.2d 822
(Ind. Ct. App. 2005), trans. denied.
[25] The party who seeks relation back under T.R. 15(C) bears the burden of proving
that (1) the claim in the amended complaint arises out of the conduct,
transaction, or occurrence set forth or attempted to be set forth in the original
complaint;12 (2) within 120 days after the commencement of the action, the
party to be brought into the action must have received notice of the institution
of the action so that it will not be prejudiced in maintaining a defense on the
merits; and (3) within 120 days after commencement of the action, the party
knew or should have known that absent a mistake concerning the identity of the
proper party, the action would have been brought against the party to be
brought in by the amendment. Id.
[26] Here, the Millers filed their original complaint on March 31, 2010. In their
Fourth Amended Complaint, filed just short of two years after the original
complaint (i.e., February 27, 2012), the Millers added John Doe #8 as a
defendant to the action. One year later, and almost three years after the action
12
No argument is made that the Fifth Amended Complaint did not arise “out of the conduct, transaction, or
occurrence set forth or attempted to be set forth in the original pleading.” See T.R. 15(C).
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accrued and the original complaint was filed, on February 28, 2013, the Millers
filed their Fifth Amended Complaint to insert Danz for John Doe #8. The
filing of the Fifth Amended Complaint was after expiration of the applicable
two-year statute of limitations governing the underlying claims. T.R. 17(F)
does not, as the Millers claim, operate to permit the filing of the Fifth Amended
Complaint.
[27] With regard to the requirements of T.R. 15(C), we begin by considering the
mistake requirement. Typically, the “but for a mistake” clause of T.R. 15(C)(3)
encompasses cases that involve misnomers and mistaken identity. Here, the
Millers equate their inability to specifically identify Danz within the limitation
period as a mistake falling with the ambit of T.R. 15(C). In response, Danz
maintains that not knowing the identity of the defendant is not a “mistake” as is
required under T.R. 15(C).
[28] Under the current version of T.R. 15(C), courts have found the mistake
requirement to be satisfied in instances involving both mistakes of fact and
mistakes of law.13 3-15 Ind. Pleading & Practice with Forms § 15.14 (2005). In
Crossroads Serv. Ctr., Inc. v. Coley, this court, looking to federal decisions applying
Federal Rule 15(C), upon which T.R. 15(C) is based, noted that Federal Rule
15(C)(3) “permits an amendment to relate back to the original complaint when
an error has been made concerning the identity of the proper party and where
13
This is most clearly demonstrated by federal cases allowing relation back where plaintiffs pursuing § 1983
claims had incorrectly named immune institutional entities rather than individual defendants. See, e.g., Donald
v. Cook Cty. Sheriff’s Dep’t, 95 F.3d 548 (7th Cir. 1996); Woods v. IUPUI, 996 F.2d 880 (7th Cir. 1993).
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that party is chargeable with the knowledge of that mistake, but relation back is
not permitted when there is a lack of knowledge of the proper party.” 842
N.E.2d at 826 (citing Baskin v. City of Des Plaines, 138 F.3d 701, 704 (7th Cir.
1998); Delgado-Brunet v. Clark, 93 F.3d 339, 344 (7th Cir. 1996)); see also Berns
Const. Co., Inv. v. Miller, 491 N.E.2d 565 (noting that “[t]here is no relation back
where there is a lack of knowledge of the proper party”) (citing Wood v.
Worachek, 618 N.E.2d 1225 (7th Cir. 1980)).
[29] Here, the Millers filed their Fourth Amended Complaint to name John Doe #8.
The Millers acknowledge that they did not know of the identity of John Doe #8
until after taking the deposition of Sarah Cotterill in January 2013, nearly three
years after the original complaint was filed. The Millers did not make a mistake
as to the identity of John Doe #8, they simply lacked knowledge as to the
proper party. The Millers have not established the mistake requirement of T.R.
15(C).14 It cannot therefore be said that their Fifth Amended Complaint relates
back to the filing of the original complaint. Having been filed after expiration
of the statute of limitation applicable to the underlying claims, the Fifth
Amended Complaint was time-barred. The trial court did not err in granting
Danz’s motion for summary judgment.
[30] Judgment affirmed.
14
I acknowledge that the Millers provided us with additional, non-binding authority that would perhaps lend
itself to reaching a different result in this case. My reading of Indiana cases to date, however, does not favor
the analysis followed in those jurisdictions.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 17 of 29
Vaidik, C.J., and May, J., concur in result.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 18 of 29
IN THE
COURT OF APPEALS OF INDIANA
Jeffrey M. Miller and Cynthia S. February 11, 2015
Miller Court of Appeals Cause No.
49A05-1401-PL-45
Appellants,
Appeal from the Marion Superior
v. Court
Honorable Michael D. Keele, Judge
Cause No. 49D07-1003-PL-014761
Kristine C. Danz,
Appellee
Vaidik, Chief Judge, concurring in result.
[31] In this case, the lead opinion concludes that Jeffrey and Cynthia Miller’s fifth
amended complaint—in which they sought to name Kristine Danz as John Doe
#8—does not relate back to the filing of the Millers’ original complaint. I
agree, but I reach that conclusion because the facts show that the Millers knew
that Danz was John Doe #8 as early as March 2010—before they commenced
this action and nearly three years before they sought the amendment at issue.
See slip op. at 4-5. The lead opinion’s conclusion, however, is based on an
interpretation of Indiana Trial Rules 15(C) and 17(F). This interpretation
creates a serious problem for a plaintiff who—for any number of reasons—does
not know a defendant’s identity when filing a complaint. Under Judge
Friedlander’s reasoning, a plaintiff who diligently pursues such information
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 19 of 29
may have no legal recourse when he obtains it. Because I cannot endorse such
a result, I respectfully concur in result.
[32] As the lead opinion points out, this case turns on the interaction between Trial
Rules 15(C) and 17(F). Rules pertaining to the amendments of pleadings
should be read in conjunction with one another, and here, Rule 15(C) operates
as a check on Rule 17(F).
[33] Trial Rule 17(F) provides that “[w]hen the name or existence of a person is
unknown, he may be named as an unknown party, and when his true name is
discovered his name may be inserted by amendment at any time.” The lead
opinion interprets Rule 17(F) to allow a plaintiff to change a complaint’s
caption at any time—but does not permit the action to continue as to the newly
named defendant. This interpretation renders Rule 17(F) meaningless and
potentially denies plaintiffs their day in court. I propose an alternative
interpretation.
[34] I would read Rule 17(F) to allow the insertion of the name of a real party in
interest at any time provided the plaintiff used due diligence to discover the
defendant’s identity. Inserting a due-diligence requirement does not conflict
with the phrase “at any time.” And under this interpretation, a plaintiff who
diligently seeks a defendant’s identity beyond the statute of limitations may
have legal recourse against that defendant—provided that the plaintiff can also
satisfy the requirements of Rule 15(C). Other jurisdictions impose a similar
due-diligence requirement in this context. See, e.g., Sparks v. Alpha Tau Omega
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 20 of 29
Fraternity, Inc., 255 P.3d 238, 243 (Nev. 2011); Price v. Clark, 21 So. 3d 509, 525
(Miss. 2009); Ex parte Nationwide Ins. Co., 991 So. 2d 1287, 1291 (Ala. 2008);
DeRienzo v. Harvard Indus., Inc., 357 F.3d 348, 353 (3d Cir. 2004) (applying New
Jersey law); Regjovich v. First Western Invs., Inc., 997 P.2d 615, 621 (Idaho 2000);
Ensey v. Culhane, 727 A.2d 687, 690 (R.I. 1999). Although what constitutes due
diligence is typically a fact-sensitive inquiry, courts may consider whether the
defendant concealed his identity or obstructed the plaintiff’s investigation,
whether the plaintiff utilized discovery or judicial mechanisms in attempting to
learn the defendant’s identity, and any unreasonable delay by the plaintiff in
amending their pleadings once the defendant’s identity is discovered. See
Sparks, 255 P.3d at 243 (citations omitted).
[35] Interpreting Rule 17(F) to require due diligence would not lead to open-ended
statutes of limitation in cases where a defendant’s identity is unknown,
however, because a plaintiff must also satisfy the requirements of Trial Rule
15(C).15 Rule 15(C) provides:
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, the amendment relates back to the
date of the original pleading. An amendment changing the party
against whom a claim is asserted relates back if the foregoing provision
is satisfied and, within one hundred and twenty (120) days of
15
I do not believe this Court’s analysis in Berns Construction Company v. Miller, 491 N.E.2d 565, 572 (Ind. Ct.
App. 1986), reh’g denied, summarily aff’d, 516 N.E.2d 1053 (Ind. 1987), prohibits this interpretation. In Berns we
held that “if a new defendant is added by amendment, the amendment must occur prior to the running of the statute
of limitation” but noted that the addition of a new defendant after the statute of limitations has run is permitted if
the requirements of Rule 15(C) are met. 491 N.E.2d at 573. To the extent the lead opinion relies on Berns for its
conclusions with respect to Rule 15(C)’s mistake requirement, I disagree for the reasons explained below.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 21 of 29
commencement of the action, the party to be brought in my
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.
[36] The four requirements set forth in Rule 15(C)—the same conduct, transaction,
or occurrence requirement; the 120-day notice, no-prejudice requirements; and
the mistake requirement—protect defendants from stale claims in much the
same way statutes of limitation do.
[37] While I agree with Judge Friedlander that a plaintiff must satisfy Rule 15(C) in
this situation, I believe that the lead opinion interprets Rule 15(C)’s mistake
requirement in a manner that disproportionally favors defendants. See T.R.
15(C)(2) (“An amendment changing the party against whom a claim is asserted
relates back if . . . the party to be brought in by amendment . . . 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.”). Under the lead opinion’s
reasoning, a plaintiff can never satisfy Rule 15(C)’s mistake requirement if they
lack knowledge of a defendant’s identity.
[38] Admittedly, there is precedent to support Judge Friedlander’s position. In
Crossroads Service Center, Inc. v. Coley, 842 N.E.2d 822, 825-26 (Ind. Ct. App.
2005), trans. denied, this Court held:
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 22 of 29
Because we find no Indiana cases applying the revised Trial Rule
15(C) and because the Indiana Trial Rules are based on the federal
rules, it is appropriate to look to federal decisions for guidance in
determining the outcome of this case. Foor v. Town of Hebron, 742
N.E.2d 545, 552 (Ind. Ct. App. 2001). The Seventh Circuit has stated
that Federal Rule 15(c)(3) only permits an amendment to relate back
to the original complaint when an error has been made concerning the
identity of the proper party and where that party is chargeable with the
knowledge of that mistake, but relation back is not permitted when
there is a lack of knowledge of the proper party. Baskin v. City of Des
Plaines, 138 F.3d 701, 704 (7th Cir. 1998); Delgado-Brunet v. Clark, 93
F.3d 339, 344 (7th Cir. 1996).
(footnote omitted). But after Coley, the United States Supreme Court decided
Krupski v. Costa Crociere S. p. A., 560 U.S. 538 (2010). In Krupski, the Supreme
Court held that the focus should be the would-be defendant’s knowledge—not
the plaintiff’s. See 560 U.S. at 548 (“By focusing on Krupski’s knowledge, the
Court of Appeals chose the wrong starting point. The question under Rule
15(c)(1)(C)(ii) is not whether Krupski knew or should have known the identity
of Costa Crociere as the proper defendant, but whether Costa Crociere knew or
should have known that it would have been named as a defendant but for an
error.”). And since Krupski, some courts have recognized that lack of
knowledge may be considered a mistake. See Ferencz v. Medlock, 905 F. Supp. 2d
656, 668 (W.D. Pa. 2012) (“[T]he Third Circuit considers a plaintiff’s lack of
knowledge regarding a defendant’s identity to constitute a ‘mistake’ within the
meaning of Rule 15(c)(1)(C)(ii), and thus permits relation-back amendments of
complaints to substitute a real name for a John Doe.”); Archibald v. City of
Hartford, 274 F.R.D. 371, 377 (D. Conn. 2011) (“In Krupski . . . the Supreme
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 23 of 29
Court arguably confirmed that the reference to ‘mistake’ in Rule 15(c)(1)(C)
does not necessarily bar relation back for a plaintiff who failed to properly name
a defendant because he lacked knowledge of that defendant’s name.”); Abdell v.
City of New York, 759 F. Supp. 2d 450, 457 (S.D.N.Y. 2010) (“After Krupski, it is
clear that a mistake ‘concerning the proper party’s identity’ under Rule 15(c)
includes lack of knowledge regarding the conduct or liability of that party.”). In
light of Krupski, and provided that the other requirements of Rule 15(C) are
satisfied, I cannot agree that an amendment should be disallowed merely
because a plaintiff “lacked knowledge as to the proper party.” Slip op. at 16.
[39] Our trial rules aim to strike a balance between promoting decisions on the
merits and providing closure, finality, and fairness to defendants. I believe that
both interests are served by reading a due-diligence requirement into Rule
17(F), recognizing that Rule 15(C) operates as check on Rule 17(F), and
acknowledging that lack of knowledge as to a defendant’s identity may
constitute a mistake for purposes of Rule 15(C). I believe Judge Friedlander
construes these rules too narrowly and to the detriment of plaintiffs, potentially
denying them their day in court. On the other hand, I believe Judge May
construes Rule 17(F) too broadly and to the detriment of defendants, potentially
allowing stale claims to proceed long after statutes of limitation have run,
memories have faded, and evidence has been lost. I respectfully concur in
result, however, because the facts show that the Millers knew that Danz was
John Doe #8 before they commenced this action and nearly three years before
they filed their fifth amended complaint. For that reason, I agree that the
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 24 of 29
Millers’ fifth amended complaint does not relate back to the filing of the
original complaint, and the trial court properly granted summary judgment for
Danz.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 25 of 29
IN THE
COURT OF APPEALS OF INDIANA
Jeffrey M. Miller and Cynthia S. February 11, 2015
Miller Court of Appeals Case No.
49A05-1401-PL-45
Appellants,
Appeal from the Marion Superior
v. Court
Honorable Michael D. Keele, Judge
Cause No. 49D07-1003-PL-014761
Kristine C. Danz,
Appellee
May, Judge, concurring in result.
[40] Both the lead opinion and Chief Judge Vaidik’s concurrence proceed on the
premise “we must consider the interplay between T.R. 17(F) and T.R. 15(C),” (Slip
op. at 9), and “this case turns on the interaction between Trial Rules 15(C) and
17(F). (Slip op. at 2) (Vaidik, C.J., concurring). As the relation back provision
of T.R. 15(C) does not apply to the situation before us, there is no such
“interplay” or “interaction.” The trial court’s judgment may be affirmed by the
proper application of T.R. 17(F) alone, and I accordingly concur in the result.
[41] T.R. 15(C) governs “amendment” of pleadings, but subsection (C), which
addresses relation back, does not apply to the situation before us, i.e., adding
the correct name of a “John Doe” defendant. That situation is explicitly
governed by T.R. 17(F) alone.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 26 of 29
[42] T.R. 15(C) first addresses the relation back requirement that 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,” but
that is not the question before us. It then addresses amendments “changing the
party against whom a claim is asserted.” That part of the rule provides there is
relation back if
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.
Ind. R. Trial P. 15 (emphasis added).
[43] The “relation back” provisions of T.R. 15(C) do not apply to a “John Doe”
situation, because the T.R. 17(F) situation where the name or existence of a
party is unknown is not the same as the T.R. 15(C) situation where there has
been a mistake about the identity of the proper party. In other words, adding a
party because there has been a mistake about who should be the proper
defendant, is governed by T.R. 15(C). That is not the same situation as giving a
name to a previously-unidentified party who is already a “John Doe” defendant.
T.R. 17(F) applies when “the name or existence of a party is unknown,” and
provides “his name may be inserted by amendment at any time.” Correcting a
mistake is not the same as learning an unknown party’s name.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 27 of 29
[44] T.R. 15(C) governs the relation back of an amendment due to a mistake
concerning the identity of a party, but the failure to identify individual
defendants when the plaintiff knows that such defendants must be named is not
a “mistake.” See, e.g., Hogan v. Fischer, 738 F.3d 509, 518 (2d Cir. 2013) (“the
lack of knowledge of a John Doe defendant’s name does not constitute a
‘mistake of identity’”) (addressing Fed. R. Civ. P. 15); Barrow v. Wethersfield
Police Dep’t, 66 F.3d 466, 470 (2d Cir. 1995), modified, 74 F.3d 1366 (2d Cir.
1996) (Fed. R. Civ. P. 15(c) explicitly allows, under certain circumstances, the
relation back of an amendment due to a ‘mistake’ concerning the identity of the
parties, but the failure to identify individual defendants when the plaintiff
knows that such defendants must be named cannot be characterized as a
mistake); Cooper v. Rhea Cnty., Tenn., 302 F.R.D. 195, 200 (E.D. Tenn. 2014)
(naming a defendant as “John Doe” in a complaint is not considered a
“mistake” under Fed. R. Civ. P. 15(c)).
[45] Because there was no “mistake,” T.R. 15(C) has no application to the case
before us, and we need not and should not decide whether there is “relation
back.” It is clear from the language of T.R. 17(F) that a complaint may be
amended to name a “John Doe” party even when an amendment premised on
“mistake” might not relate back. Instead, in the case before us we must
determine the independent effect of the language in T.R. 17(F) that “when the
name or existence of a person is unknown, he may be named as an unknown
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 28 of 29
party, and when his true name is discovered his name may be inserted by
amendment at any time.”16 (Emphasis added.)
[46] While I believe the relation back provisions in T.R. 15(C) have no application
to the case before us because there was no “mistake,” I agree with the lead
opinion and the concurrence that the summary judgment for Danz was not
error, and I accordingly concur in the result.
16
While many jurisdictions permit “John Doe” pleadings and have adopted rules to govern them,
the “at any time” language appears to be unique to the Indiana rules. See, e.g., Nev. R. Civ. P. 10:
“A party whose name is not known may be designated by any name, and when the true name is
discovered, the pleading may be amended accordingly.” And see Ala. R. Civ. P. 9:
When a party is ignorant of the name of an opposing party and so alleges in the party’s
pleading, the opposing party may be designated by any name, and when that party’s true name
is discovered, the process and all pleadings and proceedings in the action may be amended by
substituting the true name.
I agree with the reasoning articulated in the concurring opinion that T.R. 17(F) allows the insertion
of the name of a real party in interest at any time provided the plaintiff used due diligence to discover
the defendant’s identity, and I agree Danz was entitled to summary judgment because the facts show
the Millers knew Danz was John Doe #8 before they commenced this action and nearly three years
before they filed their fifth amended complaint. But as explained above, I do not agree with the lead
opinion and the concurrence that a plaintiff must independently satisfy T.R. 15(C) in this situation.
Court of Appeals of Indiana | Opinion 49A05-1401-PL-45 | February 11, 2015 Page 29 of 29