Hawthorne v. Ayers et al
Filing
96
ORDER DENYING MOTION TO DISMISS by Hon. William Alsup denying 85 Motion to Dismiss.(whalc2, COURT STAFF) (Filed on 1/27/2012)
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IN THE UNITED STATES DISTRICT COURT
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FOR THE NORTHERN DISTRICT OF CALIFORNIA
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For the Northern District of California
United States District Court
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No. C 08-01473 WHA
CARLOS A. HAWTHORNE, II,
Plaintiff,
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ORDER DENYING
MOTION TO DISMISS
v.
R. AYERS, JR., et al.,
Defendants.
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INTRODUCTION
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In this civil rights action filed by a state prisoner, defendants move to dismiss plaintiff’s
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request for incidental, compensatory, and punitive damages against them. For the reasons stated
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below, the motion is DENIED.
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STATEMENT
Plaintiff Carlos A. Hawthorne, is an inmate at San Quentin State Prison (“SQSP”). On
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February 1, 2007, defendants A. Cota, R.W. Fox, J. Pickett, D. Lee, T. Holt, S. Robinson, and R.
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Cruz, comprised SQSP’s Institutional Classification Committee (“ICC”), which determined the
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prison yard where plaintiff would be permitted to exercise (Third Amd. Compl. ¶ 1). Mr.
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Hawthorne brings a Section 1983 claim against defendants based on alleged racial discrimination
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in violation of his right to equal protection of the laws under the Fourteenth Amendment.
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On a motion to dismiss, the well-pled allegations of the operative complaint must be taken
as true. On February 1, 2007, Mr. Hawthorne appeared before the ICC for a review of his
Mr. Hawthorne was classified as a “Grade A” inmate, which is an inmate without a high violence
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or escape potential. As a “Grade A” inmate, he was eligible to exercise in a “reintegrated mix”
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exercise yard (id. at ¶¶ 2, 21). During the ICC review on February 1, Mr. Hawthorne requested
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“Grade A” exercise yard number one, to which he had previously been assigned for a number of
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years, and which would be conducive to his education and religious studies (id. at ¶ 21).
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Defendant Fox denied Mr. Hawthorne’s request “because it’s too many blacks out there” (id. at ¶
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22). Instead, Mr. Hawthorne was asked to choose between assignment to either a “walk alone”
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exercise yard or yard number five, which is for inmates “who are not compatible with prisoners in
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other yards,” including inmates who are assigned to “protective custody” or “with special needs.”
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For the Northern District of California
program, including the prison yard where he would exercise (id. at ¶¶ 16, 19, 21). At that time,
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United States District Court
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Mr. Hawthorne opted against yard number five due to the “safety and security” concerns of being
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perceived as an inmate not welcome in other yards. Thus, he was assigned to a “walk alone”
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exercise yard, which involved worse conditions than the group exercise yard, such as no running
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water, no bathrooms, and no protection from rain during exercise (id. at ¶¶ 1, 23, 24). No
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penological purpose supported defendants refusal to assign Mr. Hawthorne to yard number one
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(id. at ¶ 26).
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The ICC is required to prepare a recording of its hearings on a Form 128G. The Form
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128G “must contain the specific reasons for the actions including the information upon which the
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decision was based,” and a copy must be issued to the inmate (id. at ¶ 18). On the Form 128G
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regarding Mr. Hawthorne’s yard assignment, defendants claimed that Mr. Hawthorne was not
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assigned to yard number one because he “refused to program on any other yard.” Upon receiving
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the Form 128G, Mr. Hawthorne filed an administrative appeal requesting a correction of the
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stated reason for which he was denied assignment to yard number one. Defendant Ayers, warden
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of SQSP, ordered correction of the Form 128G, finding that “plaintiff ha[d] supported his appeal
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with sufficient evidence or facts to warrant modification of the ICC chrono dated February 1,
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2007” because Mr. Hawthorne had never refused to program on other exercise yards (id. at ¶ 27).
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The form was corrected to acknowledge that Mr. Hawthorne’s request for assignment to yard
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number one was denied based on “the premise of recomposing the yard compositions to balance
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the ethnic and size structures of the exercise yards” (id. at ¶ 28).
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This case has a long procedural history, which is relevant to the instant motion. On March
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17, 2008, proceeding pro se, Mr. Hawthorne filed a civil rights complaint under Section 1983,
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naming defendants in their individual and official capacities, and seeking $10,000 in
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compensatory damages and $10,000 in punitive damages against each defendant (Dkt. No. 1).
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The complaint was screened and dismissed with leave to amend as to the claims for which Mr.
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Hawthorne sought damages (Dkt. No. 14).
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Mr. Hawthorne, still proceeding pro se, filed an amended complaint on November 17,
2008, seeking to “remove all San Quentin officials from any and all decision-making procedures
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For the Northern District of California
United States District Court
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and/or practices” and to replace them with a “fair and impartial interim committee,” and $10,000
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in compensatory damages and $10,000 in punitive damages against each named defendant (Dkt.
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No. 17 at 3–4, 6). In the order of service dated December 15, 2008, the amended complaint was
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found to have pled allegations sufficient to state an equal protection claim (Dkt. No. 19). By
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order dated September 1, 2009, defendants’ motion to dismiss the amended complaint was
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denied, finding Mr. Hawthorne had exhausted his equal protection claim (Dkt. No. 35).
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On September 2, 2010, defendants’ motion for summary judgment was granted as to the
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claims against defendant Ayers and denied as to the claims against defendants A. Cota, R.W. Fox,
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J. Pickett, D. Lee, T. Holt, S. Robinson, and R. Cruz (Dkt. No. 61). That same order dismissed
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the amended complaint with leave to amend.
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Mr. Hawthorne filed a second amended complaint on September 30, 2010, seeking
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injunctive and declaratory relief and adding new defendants and new claims (Dkt. No. 63). Only
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Mr. Hawthorne’s claim for the violation of the equal protection clause against defendants
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survived. The new defendants and new claims added to the seconded amended complaint were
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dismissed because Mr. Hawthorne was not granted leave to make such amendments (Dkt. No.
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66). Mr. Hawthorne did not request damages as to the equal protection claim, though the
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complaint did name defendants in their individual and official capacities.
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On May 3, 2011, the proceedings were stayed and the action was referred for appointment
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of pro bono counsel (Dkt. No. 75). Counsel was appointed on June 2, 2011, and the stay was
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lifted (Dkt. Nos. 76, 79). The parties stipulated to the filing of the operative third amended
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complaint, which was filed October 7 (Dkt. Nos. 83, 84). The operative complaint seeks damages
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and declaratory relief based on defendants’ alleged violations of Mr. Hawthorne’s right to equal
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protection of the laws under the Fourteenth Amendment (Dkt. No. 84).
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ANALYSIS
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To survive a motion to dismiss, a complaint must contain sufficient factual matter,
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accepted as true, to state a claim for relief that is plausible on its face. FRCP 12(b)(6); Ashcroft v.
Iqbal, 129 S. Ct. 1937, 1949 (2009). A claim is facially plausible when there are sufficient
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For the Northern District of California
United States District Court
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factual allegations to draw a reasonable inference that the defendants are liable for the misconduct
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alleged. While a court “must take all of the factual allegations in the complaint as true,” it is “not
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bound to accept as true a legal conclusion couched as a factual allegation.” Id. at 1949–50
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(quoting Bell Atl. Corp. v. Twombly, 550 U.S. 544, 555 (2007). “[C]onclusory allegations of law
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and unwarranted inferences are insufficient to defeat a motion to dismiss for failure to state a
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claim.” Epstein v. Wash. Energy Co., 83 F.3d 1136, 1140 (9th Cir. 1996).
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Defendants argue that the request for damages is tantamount to asserting new claims
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against them. Thus, defendants move under Rule 12(b)(6), to dismiss the request for incidental,
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compensatory, and punitive damages and the alleged new claims against defendants in their
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individual capacities on the ground that they are time-barred and that the alleged new claims do
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not relate-back to the initial complaint.
STATUTE OF LIMITATIONS.
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1.
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The order first determines the relevant statute of limitations period. The statute of
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limitations period in Section 1983 actions is governed by state law. See Wallace v. Kato, 549
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U.S. 384, 387 (2007). Our court of appeals has characterized Section 1983 actions as actions for
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injuries to personal rights, and as such, courts borrow the statute of limitations period that applies
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to personal-injury actions. Ibid. In California, pursuant to California Civil Procedure Code
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Section 335.1, that statue of limitations is two years.
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Federal law determines when the statute of limitations begins to run. TwoRivers v. Lewis,
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174 F.3d 987, 991 (9th Cir. 1998). Accrual occurs “when the plaintiff knows or has reason to
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know of the injury which is the basis of the action.” Ibid. Here, both defendants and plaintiff
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agree that Mr. Hawthorne’s action accrued in April 2007, when he initiated his administrative
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appeal concerning his yard assignment. Thus, the statute of limitations period expired in April
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2009. Both the initial and amended complaint were filed before April 2009.
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2.
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Defendants contend that Mr. Hawthorne’s request for damages is tantamount to alleging
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TIMELY NOTICE.
new claims against defendants in their individual capacities, and is thus time-barred (Br. 3–4).
Mr. Hawthorne responds that the request for damages is not a new claim, and that the allegations
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For the Northern District of California
United States District Court
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and claims for relief pled in his initial and amended complaint provided defendants with sufficient
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notice, prior to the expiration of the statute of limitations period, that he sought to sue defendants
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in their individual capacities and obtain damages as one form of relief. The order agrees.
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The Rule 8 pleading standard requires that a complaint must only provide a “plausible
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short and plain statement of the plaintiff’s claim” and need “not [be] a model of the careful
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drafter’s art or “pin plaintiff’s claim for relief to a precise legal theory.” Skinner v. Switzer, 131
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S. Ct. 1289, 1296 (2011). The Rule 8 pleading standards should be “liberally construed” for
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claims brought pro se because “a pro se complaint, however inartfully pleaded, must be held to
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less stringent standards than formal pleadings drafted by lawyers.” Erickson v. Pardus, 551 U.S.
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89, 93 (2007).
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Here, Mr. Hawthorne timely alleged his equal protection claim against defendants seeking
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relief for damages, and he even named them in their individual and official capacities in his initial
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complaint. The initial complaint stated that “[t]he plaintiff is also seeking $10,000 dollars in
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compensatory damages against each defendant, jointly and severally. Punitive damages in the
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amount of $10,000 against each defendant” (Dkt. No. 1 at 6). Although the initial complaint was
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dismissed after being screened, plaintiff’s amended complaint again timely alleged a claim for
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which Mr. Hawthorne sought damages.
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The amended complaint stated that “[t]he Plaintiff is also seeking $10,000 dollars in
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compensatory damages against each defendant, jointly and severally,” and “punitive damages in
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the amount of $10,000 against each defendant” (Dkt. No. 17 at 6). Defendants were served the
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amended complaint. Although the amended complaint did not explicitly name plaintiffs in their
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individual or official capacities, it clearly indicated that plaintiff sought damages against each
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defendant. Given that in Section 1983 actions damages can only be sought against defendants
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named in their individual capacities, defendants were put on notice that they were being sued in
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their individual capacities, even if, such notice was not as “carefully crafted” as it would have
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been had the pleading been crafted by an attorney. Defendants’ argument on reply that the Court
never acknowledged Mr. Hawthorne’s claims for damages in the amended complaint is of no
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consequence, as the Court need not “acknowledge” claims for damages in order for them to be
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valid.
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Defendants are not now prejudiced by the fact that Mr. Hawthorne did not explicitly
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request damages in the second amended complaint because prior complaints had put them on
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notice that plaintiff was seeking damages. Moreover, the second amended complaint named
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defendants in their individual and official capacities. Prior to the filing of the third amended
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complaint, discovery had not yet been conducted. And defendants have already raised the
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defense of qualified immunity in their summary judgment briefing, which is a defense that is only
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available in a suit against an individual in his individual capacity. Thus, the request for damages
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will not likely require preparation of new defenses.
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Once Mr. Hawthorne obtained pro bono counsel, counsel immediately filed a third
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amended complaint seeking damages, just as plaintiff proceeding pro se had done in his initial
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and amended complaint. The opposition to the motion to dismiss indicates that Mr. Hawthorne
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omitted the request for damages in his second amended complaint because in misunderstanding a
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previous order, he thought his prior request for damages relief was viewed by the Court as a
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request for an inappropriate form of relief (Opp. 7). This is understandable in this case.
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Within the statute of limitations period, Mr. Hawthorne provided defendants with
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sufficient notice that he intended to sue them in their individual and official capacities and request
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damages as one form of relief for their alleged violations of his right to equal protection of the
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laws under the Fourteenth Amendment. Thus, the order need not consider whether the claim
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against defendants in their individual capacities and request for damages relates back to the initial
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complaint.
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CONCLUSION
For the foregoing reasons, defendants’ motion is DENIED.
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IT IS SO ORDERED.
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Dated: January 27, 2012.
WILLIAM ALSUP
UNITED STATES DISTRICT JUDGE
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For the Northern District of California
United States District Court
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