Relation Back

What It Is

Relation back is the doctrine that treats an amended complaint as filed on the date of the original complaint. Federal Rule of Civil Procedure 15(c) controls. It matters most when the statute of limitations ran between the original complaint and the amendment.

Adding Claims Versus Adding Defendants

New claims against an existing defendant relate back if they arise out of the same conduct, transaction, or occurrence set out in the original pleading. Fed. R. Civ. P. 15(c)(1)(B). This is usually easy.

A new defendant is much harder. Rule 15(c)(1)(C) requires all of the following:

1. the claim arises from the same conduct, transaction, or occurrence
2. within the 90-day service period of Rule 4(m), the new defendant received notice of the action such that it will not be prejudiced in defending
3. within that same period, the new defendant knew or should have known that the action would have been brought against it, but for a mistake concerning the proper party’s identity

In Krupski v. Costa Crociere, the Supreme Court held that the third element asks what the new defendant knew or should have known, not what the plaintiff knew. A plaintiff’s delay in fixing the mistake is not a reason to deny relation back under this rule.

The John Doe Problem

Most circuits, including the Fifth Circuit, hold that not knowing an officer’s name is not a “mistake concerning the proper party’s identity.” Suing “Officer John Doe” and later substituting the real name usually does not relate back under Rule 15(c)(1)(C).

That leaves two other routes:

• Rule 15(c)(1)(A): relation back is allowed if the state law that supplies the limitations period would allow it. Some states are more generous than the federal rule. Check yours.
• Tolling: some states pause the limitations period while a defendant’s identity is concealed or while the plaintiff diligently pursues it. See tolling.

The practical lesson is to identify officers before you file. Use records requests and the naming defendants guide.

What to Document If You Must Add a Defendant Late

• when the identifying record first existed, and who held it
• when you first possessed it
• when the identity became reasonably knowable
• when you actually learned it, and how
• every request you made and every response or denial, with dates
• whether the new defendant had notice of the suit within 90 days of filing

Courts decide relation back and tolling on exactly these facts. See How and When to Amend Your Complaint.