All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Car olina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be consid ered authoritative.
THE ESTATE OF KENNETH B. FENNELL, by and through its Administrator,
Annie B. Fennell, and ANNIE B. FENNELL v. RICHARD L. STEPHENSON, in his
personal and official capacity; THE NORTH CAROLINA STATE HIGHWAY PATROL;
and OTHER UNKNOWN NORTH CAROLINA STATE HIGHWAY PATROL EMPLOYEES in their
personal and official capacities
1. Statute of Limitations--unconstitutional detention--state trooper--suit in official capacity
Although plaintiffs contend in their claim for unconstitutional detention that defendant state trooper
while acting in his official capacity unconstitutionally detained or seized decedent who was shot and killed
by the state trooper during a traffic stop, plaintiffs failed to name the state trooper as a party in his official
capacity within the three-year time period of the statute of limitations under N.C.G.S. § 1-52(13) that began
to run the day the trooper stopped and killed decedent.
2. Statute of Limitations--sovereign immunity--constitutional claims
The Court of Appeals erred by reversing the trial court's finding that sovereign immunity precluded
plaintiffs' constitutional claim against the State Highway Patrol in an incident where a state trooper shot and
killed an individual during a traffic stop, because: (1) the claim was filed after the expiration of the
applicable statute of limitations when the complaint was filed more than five years after the decedent was
stopped and killed, more than two years after the statute of limitations expired on any constitutional claims,
and over three years after the statute of limitations had passed for wrongful death actions; (2) the addition of
the State Highway Patrol in the amended state complaint does not relate back to the original state complaint;
and (3) timely filing in federal court within the statute of limitations has no effect on the claim against the
Highway Patrol in our state courts when the Highway Patrol was never named as a party in the original
federal complaint.
On discretionary review pursuant to N.C.G.S. § 7A-31 of a unanimous
decision of the Court of Appeals, 137 N.C. App. 430, 528 S.E.2d 911
(2000), affirming in part and reversing in part an order entered by
Eagles, J., on 15 February 1999 in Superior Court, Guilford County.
Heard in the Supreme Court 12 March 2001.
McSurely & Osment, by Alan McSurely and Ashley Osment, for
plaintiff-appellees.
Roy A. Cooper, Attorney General, by Isaac T. Avery, III, Special
Deputy Attorney General, and Patricia A. Duffy, Assistant Attorney
General, for defendant-appellants Richard Stephenson and the North
Carolina State Highway Patrol.
Patterson, Harkavy & Lawrence, L.L.P., by Martha A. Geer, on behalf
of the North Carolina Academy of Trial Lawyers, amicus curiae.
American Civil Liberties Union of North Carolina Legal Foundation,by Seth H. Jaffe, amicus curiae.
ORR, Justice.
On 30 August 1993, Kenneth Fennell was shot and killed by North
Carolina State Trooper R.L. Stephenson during a traffic stop. In
particular, the evidence tended to show that Mr. Fennell, an African-
American male in his early twenties, was driving on Interstate 85 in
Guilford County when he was pulled over by Defendant, who was working in
drug interdiction efforts on the Interstate in Guilford County.
Sometime after issuing Mr. Fennell a traffic citation for driving
without a license, an altercation between the two ensued, quickly
escalated and ultimately culminated in Mr. Fennell being shot numerous
times. He died on the scene. In May of 1994, the Guilford County
district attorney announced that his investigation had led him to
conclude that the homicide of . . . Fennell was justified.
Mr. Fennell's parents initially brought a lawsuit on 25 August 1995
on their own behalf and as coadministrators of the estate of Kenneth B.
Fennell in United States District Court against R. L. STEPHENSON, in
his personal capacity; GORDON B. ARNOLD, in his personal capacity; and
OTHER UNKNOWN STATE OFFICIALS, in their personal capacities. Included
in this complaint were causes of action alleging violations of the
plaintiff Kenneth Fennell's constitutional rights under the United
States and North Carolina Constitutions, a conspiracy to deprive and
cover up deprivation of constitutional rights, and a wrongful death
claim.
In an order signed 29 July 1997, United States District Judge
William Osteen granted defendants' summary judgment motion on all ofplaintiffs' federal claims. The grounds stated in the memorandum
opinion by Judge Osteen entered contemporaneously with his order
included:
As a result of Plaintiffs' failure to file a timely
response to Stephenson's Motion for Summary Judgment, the
court must accept the uncontested facts as stated in
Stephenson's motion. The facts do not establish a genuine
issue of material fact as to either of the two elements which
Plaintiffs have the burden of establishing to defeat
Stephenson's motion.
Having disposed of plaintiffs' federal claims, Judge Osteen
declined to exercise supplemental jurisdiction over plaintiffs' pending
state claims for wrongful death pursuant to Chapter 28 of the North
Carolina General Statutes, common law civil conspiracy, and claims for
deprivation of equal protection brought under the North Carolina
Constitution. Those claims were dismissed without prejudice pending
their timely refiling in a proper state forum.
Plaintiffs then appealed the summary judgment ruling by Judge
Osteen and on 21 July 1998, the United States Court of Appeals for the
Fourth Circuit unanimously affirmed the order dismissing plaintiffs'
federal claims. Estate of Fennell v. Stephenson, 155 F.3d 558 (4th Cir.
1998)(per curiam). Three days after the Fourth Circuit ruling, a new
complaint (the state complaint) was filed in Superior Court in
Guilford County by Anne B. Fennell and the Estate of Kenneth B. Fennell,
by and through its administrator, Anne B. Fennell. The named defendants
in this complaint were: RICHARD L. STEPHENSON, in his personal and
official capacity, and OTHER UNKNOWN STATE EMPLOYEES in their personal
and official capacities.
On 24 September 1998, plaintiffs filed an amended complaint (the
amended state complaint) in which the new caption reflected thefollowing defendants: RICHARD L. STEPHENSON, in his
personal and
official capacity; THE NORTH CAROLINA STATE HIGHWAY PATROL; and OTHER
UNKNOWN STATE HIGHWAY PATROL EMPLOYEES in their personal and official
capacities. In both the original state complaint and the amended state
complaint, plaintiffs alleged violations of Kenneth Fennell's rights
under the North Carolina Constitution, a conspiracy to deprive and cover
up deprivation of constitutional rights, conspiracy to deprive the
victim of a crime and his family rights under the North Carolina
Constitution, and a wrongful death claim.
On 12 February 1999, the trial court granted defendant Stephenson's
motion to dismiss, stating:
THIS CAUSE was heard by the undersigned judge at the
February 1, 1999 Session of Superior Court on motion of
defendant Stephenson to dismiss the plaintiff's complaint on
the basis of the statute of limitations, failure to state a
claim, and collateral estoppel, the court finds and concludes
that Claims I, II and III of the plaintiff's complaint are
barred by the statutes of limitation. In the alternative,
that Claims I and II fail to state a claim for which relief
can be granted against defendant Stephenson. Claim III for
wrongful death is barred by the doctrine of collateral
estoppel based upon the judgment of the United States District
Court for the Middle District of North Carolina, The Estate of
Fennell v. Stephenson, 2:95 CV 00795.
It is therefore ORDERED that the plaintiff's complaint
against defendant Stephenson be dismissed.
On the same day, the trial court also entered an order granting the
North Carolina State Highway Patrol's motion to dismiss, stating:
THIS CAUSE coming on to be heard and being heard by the
undersigned judge presiding at the February 1, 1999 Session of
Superior Court on the motion of the North Carolina State
Highway Patrol to dismiss on the basis of sovereign immunity.
This court finds and concludes that the claims against the
North Carolina State Highway Patrol are barred by the doctrine
of sovereign immunity.
It is therefore ORDERED that plaintiff's complaint
against the North Carolina State Highway Patrol be dismissed.
Plaintiffs appealed the trial court's orders to the North Carolina
Court of Appeals, arguing four issues. In an opinion filed 18 April
2000, the Court of Appeals affirmed the orders of the trial court in
part and reversed in part. In all, there were only two issues upon
which plaintiffs prevailed in the Court of Appeals opinion: (1) the
statutes of limitation for their state claims against defendant
Stephenson were tolled pending appeal to the Fourth Circuit, and thus
plaintiffs had thirty days (from the date of the Fourth Circuit opinion)
to timely file their complaint in state court; and (2) their
constitutional claim against the North Carolina State Highway Patrol was
not barred by the doctrine of sovereign immunity.
In part I of the Court of Appeals' opinion, the court determined
that [b]ecause the period of limitations for Plaintiffs' claims was
tolled for thirty days subsequent to the 21 July 1998 decision,
Plaintiffs' claims, which were filed three days after the federal court
of appeals decision, were timely filed. Estate of Fennell, 137 N.C.
App. at 435, 528 S.E.2d at 914. However, in part III, the Court of
Appeals also concluded that: (1) all the constitutional claims against
defendant Stephenson in his personal capacity were properly dismissed;
and (2) all the constitutional claims against defendant Stephenson in
his official capacity were properly dismissed except one -- the claim
for unconstitutional detention. Id. at 437, 528 S.E.2d at 915.
Moreover, in part IV, the Court of Appeals affirmed the trial court's
dismissal of plaintiffs' wrongful death claim against defendant
Stephenson. Id. at 440, 528 S.E.2d at 917.
A summary of the Court of Appeals decision reveals that plaintiffs
were afforded the chance to pursue but one claim, unconstitutionaldetention, against defendant Stephenson, while acting in his official
capacity. The decision also permitted plaintiffs to pursue an equal
protection claim against a second defendant, the State Highway Patrol.
Thus, having lost on all issues but the aforementioned two,
plaintiffs could have pursued any of the following options: (1) give
notice of appeal to this Court where appropriate; (2) file a petition
for discretionary review; or (3) in response to defendants' petition for
discretionary review, bring forward additional issues for this Court's
consideration pursuant to Rule 15(d) of the North Carolina Rules of
Appellate Procedure. Plaintiffs have done none of the above.
Therefore, this Court's review of the Court of Appeals decision is
limited to the issues raised by defendants' petition for discretionary
review, made pursuant to N.C.G.S. § 7A-31. Although defendants raise a
variety of far-reaching issues in their petition, we confine our
analysis to those holdings adverse to defendants' interests -- in sum,
the two issues upon which plaintiffs prevailed. For the reasons
outlined below, we hold that the statute of limitations serves as a bar
to both the claim against defendant Stephenson and the claim against
defendant State Highway Patrol. As a consequence of so holding, none of
plaintiffs' state claims survive.
[1]We turn first to the claim that Trooper Stephenson, while
acting in his official capacity, unconstitutionally detained or seized
. . . Kenneth Fennell. Assuming, without deciding, that this claim was
properly defined by the Court of Appeals, we note that the lower court
did not address whether plaintiffs named Trooper Stephenson as a party
in his official capacity within the period of the applicable statute of
limitations. As a matter of law, we hold that plaintiffs did not. In North Carolina, it is well-established law tha
t if a plaintiff
does not name the party responsible for his alleged injury before the
statute of limitations runs, his claim will be dismissed. See, e.g.,
Crossman v. Moore, 341 N.C. 185, 459 S.E.2d 715 (1995). The statute of
limitations for plaintiff's alleged claim of unconstitutional detention
is three years, as defined in N.C.G.S. § 1-52(13). See Fowler v.
Valencourt, 334 N.C. 345, 350, 435 S.E.2d 530, 533 (1993) (N.C.G.S. §
1-52(13) deals expressly with claims arising out of assault, battery,
and false imprisonment by a public officer acting under color of his
office . . . .). The alleged claim at issue is premised on events that
occurred on 30 August 1993, the day Trooper Stephenson stopped and
killed Mr. Fennell, and that is when any applicable statutes of
limitation began to run. See Wilson v. Crab Orchard Dev. Co., 276 N.C.
198, 214, 171 S.E.2d 873, 884 (1970) (holding that a statute of
limitation begins to run when the plaintiff's right to maintain an
action for the wrong accrues). Plaintiffs, therefore, were required to
file their state constitutional claims against the proper parties within
three years of that date, a deadline they failed to meet.
Plaintiffs did file the federal complaint on 25 August 1995, which
stated clearly that the plaintiffs sued Officer Stephenson and other
state officials in their personal capacities and only in their personal
capacities. It read:
THE ESTATE OF KENNETH B. FENNELL, by and through its
co-administrators, Norwood F. Fennell, and Annie B. Fennell,
Plaintiffs,
v.
R.L. STEPHENSON, in his personal capacity; GORDON B. ARNOLD,
in his personal capacity; and OTHER UNKNOWN STATE OFFICIALS,
in their personal capacities;
Defendants.
(Emphasis added.)
Long-standing North Carolina law has established that law
enforcement officers such as Trooper Stephenson are state officers. See
Isenhour v. Hutto, 350 N.C. 601, 517 S.E.2d 121 (1999) ([t]his Court
has previously recognized that police officers are public officials
[and not] public employees); see also State v. Hord, 264 N.C. 149,
155, 141 S.E.2d 241, 245 (1965) (holding that police officers are
considered state officers). This Court has also clearly stated that
when a plaintiff sues a state officer for violating the North Carolina
Constitution, he must sue the officer in his official capacity. In
light of the purpose and language of the [North Carolina] Constitution,
plaintiff cannot rely on the Constitution to support a claim for money
damages against individuals, acting in their personal capacities . . . .
[I]t is the state officials, acting in their official capacities, that
are obligated to conduct themselves in accordance with the Constitution.
Therefore, plaintiff may assert his [constitutional rights] only against
state officials, sued in their official capacity. Corum v. University
of N.C., 330 N.C. 761, 788, 413 S.E.2d 276, 293, cert. denied, 506 U.S.
985, 121 L. Ed. 2d 431 (1992).
The Corum rule is not merely a pleading convention; there is a real
difference in choosing between capacities. See Meyer v. Walls, 347 N.C.
97, 110, 489 S.E.2d 880, 887 (1997) (holding that [a] suit against a
defendant in his individual capacity means that the plaintiff seeks
recovery from the defendant directly; a suit against a defendant in his
official capacity means that the plaintiff seeks recovery from the
entity of which the public servant defendant is an agent). Thus, whena plaintiff seeks recovery from the state for state constitutio
nal
violations, and when he does so by suing a state officer, he must name
the state officer in his official capacity. Naming the officer in his
personal capacity is simply not enough.
Plaintiffs in this action for the first time sought recovery from
the state by suing Trooper Stephenson, in his official capacity, and the
State Highway Patrol, for violations of their son's rights under the
North Carolina Constitution. Their counsel filed a lawsuit alleging the
violation of Kenneth Fennell's constitutional right to be free of
unreasonable detention. As discussed above, any claim asserting the
deprivation of such a right can be enforced only against state officials
who are acting in their official capacity. Corum, 330 N.C. at 788, 413
S.E.2d at 293. Thus, if plaintiffs and their counsel intended to sue
Trooper Stephenson for violating Kenneth Fennell's constitutional
rights, they needed to sue him in his official capacity. Id.
Plaintiffs failed, however, to name Trooper Stephenson in his official
capacity until the state complaint on 24 July 1998, almost five years
after the cause of action accrued, and almost two years after the
statute of limitations had expired. Thus, their constitutional claim
for unreasonable detention against Trooper Stephenson in his official
capacity is barred by the statute of limitations.
[2]Defendants next argue that the Court of Appeals erred when it
reversed the trial court's finding that sovereign immunity precluded
plaintiffs' constitutional claim against the State Highway Patrol.
While we agree with defendants' contention that the trial court's
dismissal was correct, we do so on different grounds. In our view,
dismissal was proper because, as defendants pointed out in paragraphnumber 3 of their 16 November 1998 motion to dismiss, the cla
im was
filed well beyond the expiration of the applicable statute of
limitations.
Assuming without deciding that the Court of Appeals correctly
concluded that sovereign immunity cannot serve as a shield against
alleged deprivations of constitutional rights, see id. at 786, 413
S.E.2d at 292 (when there is a clash between . . . constitutional
rights and sovereign immunity, the constitutional rights must prevail),
plaintiffs nevertheless failed to name the State Highway Patrol as a
party to their lawsuit until the amended state complaint on 24 September
1998. Thus, the complaint was filed more than five years after
Mr. Fennell was stopped and killed, more than two years after the
statute of limitations expired on any constitutional claims, and over
three years after the statute of limitations had passed for wrongful-
death actions. Moreover, despite the contentions of plaintiffs'
counsel, the addition of the State Highway Patrol in the amended state
complaint does not relate back to the original state complaint. This
Court has directly and explicitly stated that while Rule 15 of the North
Carolina Rules of Civil Procedure permits the relation-back doctrine to
extend periods for pursuing claims, it does not apply to parties.
Crossman, 341 N.C. at 187-88, 459 S.E.2d at 717. Furthermore, even if
the naming of the North Carolina State Highway Patrol as a party did
somehow relate back to the original state complaint, the addition would
not rectify the fact that the original state complaint was not filed
until 24 July 1998, nearly five years after Mr. Fennell was killed and
almost two years after the statute of limitations for the claim had
expired. We additionally note that while plaintiffs had originally filed
their claims in federal court within the statute of limitations period,
such timely filing has no effect on their claim against the Highway
Patrol in our state courts. Although 28 U.S.C. § 1367(d) provides that
[t]he period of limitations for any claim [over which a federal court
has supplemental jurisdiction] that is voluntarily dismissed . . . shall
be tolled while the claim is pending and for a period of 30 days after
it is dismissed, the statute does not toll claims against parties not
named in the federal lawsuit. Thus, 28 U.S.C. § 1367(d) did not toll
claims against the Highway Patrol, which was never named as a party in
the original federal complaint.
In sum, for the aforementioned reasons, we reverse the Court of
Appeals on the two issues presented, thereby reinstating the trial
court's order dismissing all claims against Trooper Stephenson and the
Highway Patrol. We also hold that we improvidently allowed
discretionary review on any additional issues not specifically addressed
in this opinion.
REVERSED IN PART; DISCRETIONARY REVIEW IMPROVIDENTLY ALLOWED IN
PART.
Justice EDMUNDS did not participate in the consideration or
decision of this case.
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