The Estate of Jerry A. Amaro I, et al v. City of Oakland, et al
Filing
FILED OPINION (MARY M. SCHROEDER, CARLOS T. BEA and JANIS L. SAMMARTINO) AFFIRMED. Judge: CTB Authoring, FILED AND ENTERED JUDGMENT. [7835682]
Case: 10-16152 07/28/2011 Page: 1 of 13
ID: 7835682 DktEntry: 31-1
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
THE ESTATE OF JERRY A. AMARO
III; GERALDINE MONTOYA;
STEPHANIE MONTOYA,
Plaintiffs-Appellees,
v.
CITY OF OAKLAND; E. KARSSEBOOM;
R. HOLMGREN; S. NOWAK; M.
BATTLE; C. BUNN; M. PATTERSON;
T. PENA; EDWARD POULSON;
RICHARD WORD,
Defendants-Appellants.
No. 10-16152
D.C. No.
3:09-cv-01019WHA
OPINION
Appeal from the United States District Court
for the Northern District of California
William H. Alsup, District Judge, Presiding
Argued and Submitted
June 16, 2011—San Francisco, California
Filed July 28, 2011
Before: Mary M. Schroeder and Carlos T. Bea,
Circuit Judges, and Janis L. Sammartino, District Judge.*
Opinion by Judge Bea
*The Honorable Janis L. Sammartino, District Judge for the U.S. District Court for Southern California, San Diego, sitting by designation.
9761
Case: 10-16152 07/28/2011 Page: 2 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9763
COUNSEL
James B. Chanin, Julie M. Houk, Law Offices of James B.
Chanin, Berkeley, California; John L. Burris, Law Offices of
John L. Burris, Oakland, California, for the plaintiffsappellees.
John A. Russo, Randolph W. Hall, Christopher Kee, City
Attorney’s Office, Oakland, California; Aimee HamoyPerera, John Verber, Burnham Brown, Oakland, California,
for the defendants-appellants.
Case: 10-16152 07/28/2011 Page: 3 of 13
9764
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
OPINION
BEA, Circuit Judge:
This interlocutory appeal requires us to resolve only the
following question certified by the district court: whether the
doctrine of equitable estoppel should apply where a plaintiff
believes she has a 42 U.S.C. § 1983 claim but is dissuaded
from bringing the claim by affirmative misrepresentations and
stonewalling by the police. We hold that the equitable doctrine does apply in such a context and affirm the district
court’s holding on that legal question.1
Background
On March 23, 2000, Jerry Amaro—a 36-year old Oakland
resident—was arrested during a reverse drug sting operation
by the Oakland Police Department (“the Department”).
Undercover officers posed as drug dealers during the operation, while other officers waited in a nearby van to apprehend
the buyers when the purchases were completed. According to
the police report of Amaro’s arrest, Amaro purchased crack
cocaine from an undercover officer and was apprehended as
he left the scene. The police report does not mention any use
of force by the officers during Amaro’s arrest. However,
Amaro and several witnesses contended that Amaro was
beaten severely while being arrested. Timothy Murphy, who
was also arrested by the police during the sting operation,
stated in his deposition that officers repeatedly kicked Amaro
in the ribs, punched him in the face, and kneed him in the
back. This testimony was corroborated by several independent
non-arrestee witnesses, including Theresa Batts, who testified
that Amaro was “bum rushed,” and “unnecessarily” beaten by
the officers in an “overly violent” manner. Another witness,
Laureen White, testified that she saw officers punch the 1401
This court has jurisdiction to review certified questions of law on interlocutory appeal under 28 U.S.C. § 1292(b).
Case: 10-16152 07/28/2011 Page: 4 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9765
pound Amaro several times in the back. According to Murphy, when Amaro was placed in the police car, Amaro was
bleeding from his nose and mouth, crying, and moaning in
pain.
While being transported to jail, Amaro complained of pain
in his ribs to the arresting officers and requested medical
attention from them. The officers denied Amaro’s requests.
The admitting officer at the Oakland county jail testified that
Amaro had bruises on his face at the time of booking and
complained of rib injuries. Amaro’s cell-mate also testified
that Amaro complained of constant pain and could barely get
out of bed. During this time, despite Amaro’s repeated
requests for medical treatment, he was given only Motrin, an
over-the-counter analgesic for the claimed pain.
On March 28, 2000, five days after his arrest, Amaro was
released from custody. Amaro informed his mother, Geraldine
Montoya—the lead plaintiff in this action—that he had been
beaten by Oakland police officers, and that he had asked for
medical attention several times but had been denied treatment.
Amaro showed his mother several large bruises on his face
and his body to support this assertion. The pain persisted and
on April 18, Amaro was seen by Dr. Angelica Green. Dr.
Green took X-rays of Amaro’s chest and torso. The X-rays
revealed five fractured ribs and a collapsed lung. Dr. Green
recommended Amaro seek immediate emergency care to
drain fluid from his lungs. After his meeting with Dr. Green,
Amaro showed his mother and his sister his X-rays, and he
announced his intention to sue the Department for excessive
use of force during his arrest. Amaro did not pursue the emergency treatment that Dr. Green had recommended.
Three days later, on April 21, 2000, Amaro died in the
basement of his friend Gilbert Becerra’s home. Amaro had
arrived at Becerra’s home the night before complaining of
severe pain caused by a police beating during a recent arrest.
The autopsy report prepared by Dr. Van Meter on April 23
Case: 10-16152 07/28/2011 Page: 5 of 13
9766
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
listed Amaro’s cause of death as “bronchopneumonia[2] and
hemothorax[3] due to multiple rib fractures due to blunt
trauma to the chest.”
Amaro’s death was investigated by a team of Oakland
homicide officers led by Sergeant Gus Galindo. By noon on
the day Amaro died, Sergeant Galindo had inspected Becerra’s basement and reviewed Amaro’s March 23 arrest report,
which did not mention any force used by the officers during
the arrest. However, by 4:00 p.m. on the day of Amaro’s
death, Sergeant Galindo and his homicide investigators had:
(1) spoken with Dr. Green, who told investigators that Amaro
complained he was beaten by police during his arrest and had
suffered broken ribs and a punctured lung; (2) spoken to the
intake officer at the Oakland county jail who stated that
Amaro had complained of rib pain and had facial injuries
when booked on March 23; (3) reviewed the Oakland County
Jail nurses’ log which indicated Amaro had complained
numerous times of rib pain and being hit by police; and (4)
spoken to a non-arrestee witness of Amaro’s March 23 arrest,
Laureen White, who related she had seen police officers beating an individual matching Amaro’s description.
Around 5:30 p.m. on the day Amaro died, Sergeant Galindo
went to Amaro’s residence to inform Amaro’s parents that
Amaro had died. According to Montoya (Amaro’s mother),
Sergeant Galindo told her that Amaro had “died in the street,”
the result of a gang dispute over drugs. Sergeant Galindo’s
statement was demonstrably false in at least one regard:
Amaro’s body was found in Becerra’s basement, not in the
street. Additionally, by the time he spoke to Montoya, Sergeant Galindo had already received information corroborating
2
Bronchopneumonia is the acute inflamation of the walls of the airway
branches in the lungs.
3
Hemothorax is the collection of blood in the pleural cavity (the space
between the chest wall and the lung).
Case: 10-16152 07/28/2011 Page: 6 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9767
Montoya’s contention that Amaro had been beaten by the
police; there was no evidence of a gang beating.
Despite Sergeant Galindo’s misrepresentations, Montoya
believed her son’s contention that he had been beaten during
his March 23 arrest, and suspected that Amaro died as a result
of injuries suffered during the police beating. Thus, in the
months following Amaro’s death, Montoya attempted to
gather evidence for a lawsuit against the Department for her
son’s wrongful death. In April and May 2000, Montoya put
up posters throughout her neighborhood seeking information
about Amaro’s March 23 arrest. The posters stated that
Amaro had been beaten by “6 task force officers,” and that he
had sustained numerous broken ribs as a result of the beating
but had been refused medical attention while in jail.
On at least three occasions between April 2000 and October 2000, Montoya also requested copies of the police report
for Amaro’s March 23 arrest, as well as records related to Sergeant Galindo’s homicide investigation into Amaro’s April 21
death. Her requests were first denied on the basis that the matter was still “under investigation.” However, the Department
continued to deny Montoya’s requests for the police reports
even after Sergeant Galindo had completed his homicide
investigation. The Department’s stated reason for denying
Montoya’s request after Sergeant Galindo’s investigation was
complete was an outstanding arrest warrant for (the deceased)
Amaro.
The Department also launched an Internal Affairs (“IA”)
investigation into the alleged use of force against Amaro during his March 23 arrest, and a purported post-arrest coverup
by the officers involved. This investigation was completed in
August 2000, and made the following findings:
Jerry Amaro was severely injured during his arrest of
23 Mar ‘00. His five broken ribs were most likely a
result of being forcibly taken to the sidewalk, but
Case: 10-16152 07/28/2011 Page: 7 of 13
9768
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
there were at least five officers who used some form
of physical prowess on the 140 pound Amaro. There
is no documentation of any use of force in the
[arrest] report. While the force used by the officers
in this case was justified, there is no indication of
any resistance on the part of Amaro or explanation
for the use of force in the report. Unfortunately, this
was not an anomaly for the operation that night.
There is very little doubt Amaro was struck by officers during his arrest.
Additionally, the IA report found that the reporting officer
had forged his supervisor’s signature on the police report of
Amaro’s arrest, the use of force against Amaro was unacceptably left out of the police report, and the officers were “derelict” in not responding to Amaro’s requests for medical
treatment. Finally, the investigation concluded that Lieutenant
Edward Poulson, the commanding officer of the reverse drug
sting operation, inappropriately met with other officers prior
to their interviews with IA investigators, and that his failure
adequately to handle or document Amaro’s complaint of pain
could easily be considered contributory to his death. Despite
her requests for police records related to Amaro’s arrest and
death, Montoya was never informed of the results of either the
homicide or IA investigations.
At various points between May 2000 and September 2000
—within the statute of limitations period—Montoya also met
with five different attorneys regarding representation for her
potential wrongful death lawsuit against the Department. At
the time of her attorney interviews, Montoya had not found
any witnesses to her son’s arrest, had been denied access to
the police report for Amaro’s March 23 arrest and the homicide/IA investigation reports, and had been told by Sergeant
Galindo that Amaro was found dead in the street as a result
of gang and drug activity. Based on this evidence, none of the
five lawyers Montoya consulted—including John Burris, her
counsel here—would take her case.
Case: 10-16152 07/28/2011 Page: 8 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9769
Nonetheless, on September 13, 2000, Burris helped Montoya file a pro per government claim for damages against the
City of Oakland pursuant to Cal. Gov. Code § 910, alleging
that the officers’ use of excessive force during the March 23
arrest caused Amaro’s death.4 There is no record of any action
having been taken by the City on this claim.
More that eight years later, in January 2009, the FBI
received an anonymous tip that Poulson, the commanding
officer of the reverse drug sting, had kicked Amaro repeatedly
during his arrest and had covered it up by instructing subordinate officers to lie. The FBI launched a formal investigation
into this allegation and other allegations of excessive force by
Oakland police officers. Soon after, news reports surfaced
detailing the force used against Amaro during his arrest and
the true circumstances of his death, as well as the alleged
coverup engineered by Poulson—who was suspended from
his position as head of Internal Affairs at the Oakland Police
Department. Based on this newly-revealed information, Montoya was able to secure counsel for the instant claim.
In March 2009, Montoya filed this 42 U.S.C. § 1983 suit
against the City of Oakland in federal district court alleging
4
Montoya’s government claim alleges:
This claim is based on the use of excessive force by officers of
the Oakland Police Department against Jerry Andrew Amaro III
during the course of his arrest on March 23, 2000. Mr. Amaro
died as a result of the beating he received. The excessive force
used by the police officers and their failure to provide adequate
medical/emergency assistance to Jerry Andrew Amaro III during
his arrest and subsequent custody at the Oakland City Jail, caused
or substantially contributed to his death. The injuries of decedent
were sustained in the vicinity of the 7200 block of Holly Street
in Oakland.
Mr. Amaro complained of pain when he was booked into jail but
was not provided medical treatment. He was transferred to Santa
Rita jail and released March 28. He died on April 21, 2000 as a
result of the injuries sustained during his arrest.
Case: 10-16152 07/28/2011 Page: 9 of 13
9770
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
that the police officers’ excessive use of force during Amaro’s
arrest, and their subsequent denial of medical treatment,
caused Amaro’s death. The City moved to dismiss Montoya’s
§ 1983 claim as time-barred under the applicable two-year
statute of limitations. Judge Alsup, of the Northern District of
California, denied the City’s motion, finding that Montoya
had shown “a plausible factual basis” for the argument that
the City was equitably estopped from raising a statute of limitations defense because of its fraudulent concealment.
Discovery then proceeded on all issues, and the City moved
for summary judgment on the same basis. The district court
again denied the City’s motion, holding that Montoya had
raised a genuine issue of material fact as to the applicability
of equitable estoppel, such that the issue should go to a jury.
Judge Alsup found the issue suitable for an interlocutory
appeal under 28 U.S.C. § 1292(b) and certified the following
question: “Whether the doctrine of equitable estoppel should
apply where a plaintiff believes she has a Section 1983 claim
but is dissuaded from bringing the claim by affirmative misrepresentations and stonewalling by the police.”
Analysis
I.
Equitable estoppel does apply where the plaintiff
believes she has a cause of action but is “dissuaded”
from bringing the claim because of defendant’s affirmative misrepresentations and stonewalling within the
limitations period.
[1] The doctrine of equitable estoppel, often referred to as
fraudulent concealment, is based on the principle that a party
“should not be allowed to benefit from its own wrongdoing.”
Collins v. Gee West Seattle LLC, 631 F.3d 1001, 1004 (9th
Cir. 2011). The doctrine “focuses primarily on the actions
taken by the defendant in preventing a plaintiff from filing
suit.” Santa Maria v. Pac. Bell, 202 F.3d 1170, 1176 (9th Cir.
Case: 10-16152 07/28/2011 Page: 10 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9771
2000). In this circuit, the plaintiff carries the burden of pleading and proving the following elements of equitable estoppel:
(1) knowledge of the true facts by the party to be
estopped, (2) intent to induce reliance or actions giving rise to a belief in that intent, (3) ignorance of the
true facts by the relying party, and (4) detrimental
reliance.
Bolt v. United States, 944 F.2d 603, 609 (9th Cir. 1991).
Additionally, when estoppel is sought against the government,
“there must be affirmative misconduct (not mere negligence)
and a serious injustice outweighing the damage to the public
interest of estopping the government.” Id.
[2] The City contends that equitable estoppel does not
apply to this case because Montoya thought she had a cause
of action, and thus, cannot establish the third prong of the
equitable estoppel test: ignorance of the true facts by the relying party. However, this court has held exactly the opposite.
This court’s precedent holds that a plaintiff can know, or suspect, that she has a cause of action and still be “ignorant of
the true facts” of the case. Most directly, this court has held
that equitable estoppel applies to bar a statute of limitations
defense “when a plaintiff who knows of his cause of action
reasonably relies on the defendant’s statements or conduct in
failing to bring suit.” Stitt v. Williams, 919 F.2d 516, 522 (9th
Cir. 1990) (emphasis added). Therefore, the focus of the equitable estoppel analysis is not whether the plaintiff knew she
had a cause of action—or even pursued some other form of
litigation based on that knowledge—but whether the defendant’s fraudulent concealment or misrepresentation deprived
the plaintiff of a full understanding of the true facts, and thus,
dissuaded the plaintiff from filing the claim at issue within the
limitations period.
The case which best draws the distinction between knowledge of a cause of action and knowledge of the true facts is
Case: 10-16152 07/28/2011 Page: 11 of 13
9772
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
UA Local 343 v. Nor-Cal Plumbing, Inc., 48 F.3d 1465 (9th
Cir. 1994). In Local 343, defendant Elmar Lee Pettit appealed
the district court’s grant of summary judgment in favor of the
plaintiff Union in the Union’s suit against Pettit for running
a “double-breasted” plumbing operation (running one union
shop and a parallel non-union shop to circumvent the collective bargaining agreement). Id. at 1469. Union officers suspected Pettit of illegal double-breasting, but when confronted
with their suspicions, Pettit lied and claimed that the second,
non-union plumbing shop was owned by his wife. Id. at 1474.
The Union nevertheless lodged an unfair labor practice charge
with the NLRB based on its suspicions (the charge was later
withdrawn when the NLRB threatened dismissal). Id. The
Union later filed suit against Pettit alleging breach of the
CBA; however, the suit was filed after expiration of the fouryear limitations period, for breach of a written contract. Relevant here, the district court held that Pettit could not assert a
statute of limitations defense to the Union’s suit because he
had fraudulently concealed the true facts of the case during
the limitations period. This court affirmed, rejecting Pettit’s
contention that fraudulent concealment could not apply where
the Union acted on its suspicions in filing a charge with the
NLRB. Id. The court concluded: “[w]here a plaintiff suspects
the truth but investigates unsuccessfully, fraudulent concealment will toll the statute [of limitations].” Id. at 1475.
[3] We find no basis for distinguishing the reasoning of
Local 343, even though Local 343 presents itself, at least
nominally, as an equitable tolling case. See id. at 1474 (“We
agree with the district court that the doctrine of equitable tolling applies here.”). This court has held that, although the doctrines of equitable tolling and equitable estoppel are often
confused, “the better reasoning states that equitable tolling
applies when the plaintiff is unaware of his cause of action,
while equitable estoppel applies when a plaintiff who knows
of his cause of action reasonably relies on the defendant’s
statements or conduct in failing to bring suit.” See Stitt, 919
F.2d at 522. As such, we believe the logic of Local 343—
Case: 10-16152 07/28/2011 Page: 12 of 13
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
9773
where the Union strongly suspected it had a claim against Pettit, so much so that it filed a charge with the NLRB—can be
extended to estop the City of Oakland from raising a statute
of limitations defense to Montoya’s § 1983 suit.
[4] Here, Montoya diligently investigated her son’s arrest
and death within the limitations period and believed she had
a claim against the Department. However, five different lawyers told her that, in light of Amaro’s uncorroborated statements about a police beating and Sergeant Galindo’s
(mis)statements regarding Amaro’s death, Montoya did not
have sufficient evidence to file a § 1983 claim. Instead, she
filed a pro per government claim to put the City of Oakland
on notice of her grievance, and thereby preserve her cause of
action under California’s Governmental Tort Action statute
(Cal. Gov. Code. § 910). Although the language of Montoya’s
government claim reveals her suspicion—and subjective
knowledge—that her son died as a result of a police beating,
Sergeant Galindo’s misrepresentations regarding the circumstances of Amaro’s death and the Department’s continued
stonewalling in refusing her requests for Department reports
prevented Montoya from appreciating the full nature of her
claim and dissuaded her from filing a § 1983 claim. Just as
the filing of an NLRB charge by the Union in Local 343 did
not preclude invocation of equitable estoppel by this court, the
fact that Montoya expressed her suspicions in a § 910 Government Code claim does not bar application of the doctrine
here. Therefore, we answer the district court’s certified question in the affirmative: the doctrine of equitable estoppel does
apply where a plaintiff believes she has a 42 U.S.C. § 1983
claim but is dissuaded from bringing the claim by affirmative
misrepresentations and stonewalling by the police.5
5
We do not address the district court’s determination that there exist
genuine issues of material fact as to the four constituent elements of equitable estoppel. That issue was not certified to this court and is not otherwise amenable to direct appeal. See Rodriguez v. Lockheed Martin Corp.,
627 F.3d 1259, 1264 (9th Cir. 2010) (“[A] denial of summary judgment
on the basis of an issue of material fact is ordinarily not a final judgment
and not a basis for an interlocutory appeal.” (citing Johnson v. Jones, 515
U.S. 304, 315-18 (1995)).
Case: 10-16152 07/28/2011 Page: 13 of 13
9774
ID: 7835682 DktEntry: 31-1
ESTATE OF AMARO v. CITY OF OAKLAND
AFFIRMED.
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
Why Is My Information Online?