Jоel DÍAZ-NIEVES; Giovanny Díaz-Nieves; Aida Nieves-Pérez; Saúl Díaz-Rodríguez, Plaintiffs, Appellants, v. UNITED STATES of America, Defendant, Appellee.
No. 16-1107
United States Court of Appeals, First Circuit.
June 5, 2017
859 F.3d 678
Forte does also cite to our more recent decision in Baker v. Goldman, Sachs & Co., 771 F.3d 37 (1st Cir. 2014), in which we stated in a footnote that “[t]here is no right to trial by jury for claims brought under ch. 93A.” Id. at 48 n.5. But, the parties in Baker, like those in Wallace, did not actually raise the question whether there is a Seventh Amendment right to trial by jury for chapter 93A claims. Rather, in that case, the jury decided the plaintiff‘s common-law claims, and the district court decided the plaintiff‘s chapter 93A claims. Id. at 49. As such, Baker, like Wallace, does not decide the question. Accordingly, there is no precedent from our circuit that resolves whether the Seventh Amendment requires that a chapter 93A claim be tried to a jury in federal court, and Forte‘s claims to the contrary are misplaced.
Thus, given that Forte offers no developed, meritorious argument for why the District Court erred in submitting Full Spectrum‘s claim to a jury; that this chapter 93A claim was brought in the aggregate; and that one of its constituent parts appears to be analogous to the kind of tort action over which the courts at law traditionally had jurisdiction, we reject Forte‘s request for reversal. We leave for another day a fuller consideration of the extent to which the Seventh Amendment may apply to chapter 93A claims.
IV.
For the foregoing reasons, we affirm the denial of Forte‘s motion for judgment as a matter of law and affirm the submission of the chapter 93A claim to the jury.
Raúl S. Mariani-Franco, San Juan, PR, for appellants.
Mainon A. Schwartz, Assistant United States Attorney, with whom Rosa Emilia Rodríguez-Vélez, United States Attorney, and Mariana E. Bauzá-Almonte, Assistant United States Attorney, Chief, Appellate Division, were on brief, for appellee.
Before HOWARD, Chief Judge, TORRUELLA and BARRON, Circuit Judges.
Plaintiff Joel Díaz-Nieves (“Joel“) appeals from the district court‘s grant of partial summary judgment in favor of defendant-appellee the United States, dismissing his false arrest, false imprisonment, and malicious prosecution claims. Co-plaintiffs, Joel‘s parents, Saúl Díaz-Rodríguez and Aida Nieves-Pérez, and Joel‘s brother, Giovanny Díaz-Nieves,1 (collectively hereinafter his “family” or “relatives“) also appeal, challenging the district court‘s dismissal of their derivative and independent tort claims under
I. Background
A. Factual Background
This case originates under the Federal Tort Claims Act (“FTCA“),
On October 6, 2010, the FBI agents executed the arrest warrant at Joel‘s home. Joel lived with his parents, Saúl and Aida, and his brother, Giovanny. Saúl opened the door and, with a gun pоinted at him, was made to stand against an exterior wall. At some point, his pants fell to the ground and he was left standing naked in the street. Aida was also ordered to face a wall. Giovanny observed laser sights on his head and chest upon exiting to the balcony of his house. Joel, who was a Department of Corrections officer and had no previous criminal record, located his work weapon and headed to the front door. There, Joel observed laser sights on his body coming from the FBI agents’ weapons; consequently, he surrendered and was arrested.
Joel asked why he had been arrested and was told by FBI agеnts that he had been charged with drug trafficking, which he denied. An agent showed Joel a photograph taken from a video recording of Deal 105, which showed a man involved in a drug transaction, but Joel said he was not the man in the photo. Joel was processed and interviewed by the FBI, and he continued to assert his innocence. He was detained in the Metropolitan Detention Center in Guaynabo, Puerto Rico for three days. Joel‘s family retained a lawyer and paid fees for appraisals of properties in anticipation of obtaining bail. On October 9, 2010, Joel was released from custody. The FBI eventually discovered that the corrections officer claiming to be Joel Díaz-Nieves was in fact another corrections officer named José Nieves-Vélez (“Nieves-Vélez“), who had used Joel‘s name to shield his identity. Nieves-Vélez was arrested on October 12, 2010. The following day, the government moved to dismiss the indictment as to Joel.
B. Procedural History
On March 14, 2013, Joel and his family (collectively, the “Plaintiffs“) filed a complaint alleging that, as a result of Joel‘s arrest, they had suffered damages and injuries compensable under the FTCA.3 Specifically, Joel asserted claims of negligent investigation, false arrest, false imprisonment, and malicious proseсution. His relatives asserted derivative claims for the actions against Joel and independent claims of excessive use of force under Article 1802 of the Puerto Rico Civil Code,
After discovery was completed, the parties filed cross-motions for partial summary judgment. In its motion, the United States requested the dismissal of only Joel‘s claims. On July 1, 2015, the district court denied Joel‘s motion for partial summary judgment and granted the United States’ motion for partial summary judgment, dismissing Joel‘s only remaining claims of false arrest, false imprisonment, and malicious prosecution. The district
The case continued as to Joel‘s relatives. On September 18, 2015, the government filed a motion to dismiss the remaining claims. The relatives opposed the motion. On December 14, 2015, the district court granted the government‘s motion, which it treated as one for judgment on the pleadings, finding that the relatives had failed “tо state a[ny] plausible claim for relief.” Accordingly, the district court entered judgment dismissing the complaint in its entirety. Plaintiffs timely appealed.
On appeal, Joel challenges the granting of partial summary judgment dismissing his false arrest, false imprisonment, and malicious prosecution claims under the FTCA.5 In turn, his relatives challenge the district court‘s dismissal of their independent claims for excessive use of force and their derivative claims due to Joel‘s arrest.
II. Discussion
A. Joel‘s Claims
This court reviews de novo the grant of a motion for summary judgment. Sch. Union No. 37 v. United Nat‘l Ins. Co., 617 F.3d 554, 558 (1st Cir. 2010). Typically, this court will reverse a district court‘s grant of summary judgment “only if, ‘after reviewing the facts and making all inferences in favor of the non-moving party ..., the evidence on record is sufficiently open-ended to permit a rational factfinder to resolve the issue in favor of either side.‘” Thompson v. Coca-Cola Co., 522 F.3d 168, 175 (1st Cir. 2008) (quoting Maymí v. P.R. Ports Auth., 515 F.3d 20, 25 (1st Cir. 2008)). The presence of cross-motions does not alter this general standard. “Cross motions simply require us to determine whether either of the parties deserves judgment as a matter of law on facts that are not disputed.” Barnes v. Fleet Nat‘l Bank, N.A., 370 F.3d 164, 170 (1st Cir. 2004) (quoting Wightman v. Springfield Terminal Ry., 100 F.3d 228, 230 (1st Cir. 1996)).
The FTCA provides a limited congressional waiver of the sovereign immunity of the United States for tortious acts and omissions committed by federal employees acting within the scope of their employment. Domínguez v. United States, 799 F.3d 151, 153 (1st Cir. 2015) (citing
The FTCA exempts intentional torts from its sovereign immunity waiver but expressly allows actions against the United States for claims of “‘assault, battery, false imprisonment, false arrest, abuse of process, or malicious prosecution’ arising out of ‘acts or omissions of investigative or law enforcement officers of the United States Government.‘” Solís-Alarcón, 662 F.3d at 583 (quoting
1. False Arrest/False Imprisonment Claim
Joel alleges the district court erred in granting summary judgment for the gov-
Under Puerto Rico law, false arrest and false imprisonment claims have identical elements, therefore courts treat them as identical causes of action. Abreu-Guzmán, 241 F.3d at 75. Thus, for the sake of simplicity we refer to Joel‘s claims for false arrest and false imprisonment as one for false arrest. A claim for false arrest arises, as defined by the Puerto Rico Supreme Court, when “[a] person, whether or not a law enforcement officer, may by himself or through another one unlawfully detain or cause the unlawful detention of another person. In both cases, said person would be liable for damages if said action is tortious or negligent.” Ayala v. San Juan Racing Corp., 12 P.R. Offic. Trans. 1012, 1021, 112 D.P.R. 804 (1982). For the claim to go forward, it is essential that the individual performing the arrest lack reasonable cause for believing that the arrestee committed a felony. Abreu-Guzmán, 241 F.3d at 75 (noting that false arrest and false imprisonment claims “focus on whether the arresting officer ‘lacked reasonable cause for believing that [the suspect] committed a felony‘” (alteration in original) (quoting Harrington v. United States, 748 F.Supp. 919, 933 (D.P.R. 1990))).
In Rodriguez v. United States, 54 F.3d 41 (1st Cir. 1995), this court considered for the first time a false arrest claim under Puerto Rico law, based on the execution of a valid arrest warrant against the wrong person. There, a Puerto Rican woman who had been arrested by federal agents on the mistaken assumption that she was the person identified in a valid warrant, sued under the FTCA for false arrest. The plaintiff had the same name, social security number, birthplace, birthdаte, and general physical features (with some slight discrepancies) as the person named in the warrant. Id. at 42-43. In addition, both women had a sister with the same name and their parents were deceased. Id. In determining the applicable law, this court noted that “careful research ha[d] disclosed no reported Puerto Rico Supreme Court decision addressing [the issue]” and pointed out that “[a]s a general matter, however, the Puerto Rico Supreme Court has conformed its limited ‘false arrest’ jurisprudence to common law principles.” Id. at 45. “Accordingly, consistent with our longstanding practice in cases where the Puerto Rico court has not diverged from common law principles, ... we adopt[ed] the Restatement (Second) of Torts, §§ 35-45A, 112-36, as the appropriate framework” for analysis of the false arrest claim at issue in Rodriguez. Id. (citations omitted). Under that framework, generally “an arrest conducted pursuant to a valid war-
The “conditional privilege” doctrine protects officers from liability if the arrestee was:
(a) ... a person sufficiently named or otherwise described in the warrant and [was] reasonably believed by thе [officer] to be, the person intended, or
(b) although not such person, ... knowingly caused the actor[s] to believe [her] to be so.
Id. at 46 (alterations in original) (quoting Restatement (Second) of Torts § 125). Accordingly, an officer “is privileged to arrest the person to whom the name [in the warrant] applies with complete accuracy, although the [officer] may have reason to suspect that a mistake has been made, and that the person, though accurately named, is not the person intended.” Id. (alterations in original) (quoting Restatement (Second) of Torts § 125 cmt. g). Applying this doctrine, this court concluded in Rodriguez that the оfficer had acted reasonably inasmuch as the arrestee had similar or identical physical and personal characteristics as the person named in the warrant and, thus, “the United States was entitled to rely on the privilege which attached to the arresting deputy marshals as a complete defense to liability for false arrest.” Id. at 46-47.
The facts in this case are similar to those in Rodriguez. Here, Joel was arrested by federal agents pursuant to a valid arrest warrant that had his name, on the mistaken assumption that he was the person who had committed the crime. Joel essentially concedes that if Rodriguez is still good law, his arrest would have been conditionally privileged and the government would not be liable for false arrest. He argues, however, that Rodriguez is no longer good law after the Puerto Rico Supreme Court case of Valle, which, according to him, binds us to reach a different conclusion. The government, on its part, argues that Valle is clearly distinguishable and does not change the scenario outlined in Rodriguez.
In Valle, an arrest warrant was issued against one “John Doe I.” 157 D.P.R. at 6. Law enforcement agents went into Valle‘s residence to execute the warrant allegedly issued against him (which named “John Doe I“) for violations of the Puerto Rico Controlled Substances Act. Id. The news media was present during the arrest operation, which was broadcast by television networks in Puerto Rico and the United States, and Valle was identified as a drug dealer. Id. at 10-11. Valle was arrested and remained incarcerated for three days until he was able to secure bond. Id. at 7.6 During the preliminary hearing, an undercover agent stated that Valle was not the person with whom he had engaged in the drug transaction underlying the arrest warrant. Id. The judge found no cause to prosecute Valle and dismissed all charges pending against him. Id. Valle then filed a false arrest claim against the Commonwealth of Puerto Rico. Id. At trial, the Commonwealth introduced as evidence a surveillance report that desсribed “John Doe I” as approximately 21 years old, weighing approximately 130 pounds, and standing about 5‘5” tall. Id. at 8. Valle, however, was 23 years old, about 6‘0” tall, and weighed around 180 pounds. Id. The undercover agent testified at trial that after the drug transaction took place, he did
In Valle the Puerto Rico Supreme Court reiterated the elements of a tort claim under Puerto Rico law,7 but clarified that it needed to “strike a fair and appropriate balance between the right of the State to act vigorously in the investigation and prosecution of criminal causes and the right to liberty of our fellow citizens.” Id. at 22-23 (emphasis omitted). There, the court distinguished between situations in which a suspect‘s identity is clear and the suspect is thus identified by his or her name, and those situations in which all that is available is a nickname or physical description of the suspect. Id. at 21-22. The
court clearly stated that in the latter, which was the situation present in Valle, officers will be found liable for false arrest if they are negligent by failing to take the necessary steps to validate the suspect‘s identity.8 Id. at 24. The court then concluded that, inasmuch as the identification efforts made in Valle consisted of writing down a license plate number of a truck, checking who it belonged to in the Department of Transportation and Public Works files, and showing a picture of the truck owner to the undercover agent (without then following up when the agent raised a red flag that the man in the picture “had some resemblance” with the man that participated in the drug transaction), the agents involved in the operation that led to Valle‘s arrest “did not fully comply with the[ir] obligation.” Id. at 23 (emphasis omitted). They “took the ‘easiest way out‘; in other words, they made an extremely minimum effort, ‘as if to get it over with,’ to carry out an identification procedure they had a duty to follow thoroughly.” Id.
Valle is silent, however, as to what circumstances would lead to a finding of negligence, and thus liability, in cases where an arrest warrant adequately identifies and names a suspect, such as in the instant appeal, where the arrest warrant did not rely on a nickname or description to identify the subject, but rather explicitly named
Our post-Valle decision in Solís-Alarcón, 662 F.3d 577, also supports our conclusion that Rodriguez is still good law. In Solís-Alarcón, agents of the Drug Enforcement Administration (“DEA“) and Puerto Rico police officers went to Solís‘s residence to arrest an individual, who they had “ample reason to believe” had engaged in drug transactions, and a warrant had been issued for his arrest. 662 F.3d at 579. The agents believed they would find the individual at Solís‘s house, based on events that occurred earlier in the year. Id. Although the agents had no warrant to search the house, they searched it looking for the individual and seized a sport utility vehicle believed to have been used in a drug crime. Id. at 580. The individual was nowhere to be found. Id. Solís and his wife sued the government and DEA agents asserting tort claims against the United States for the agents’ conduct under the FTCA. The district court dismissed their claim. On appeal, this court applied the common law approach discussed in Rodriguez and affirmed, finding that the officers were not liable because they had acted under the reasonable belief that the suspect was inside the house. Id. at 583-84. We found Rodriguez to be consistent with Valle, and held that “[although] Puerto Rico imposes liability for fault or negligence that causes injury, ... protecting law enforcement agents for reasonable mistakes is common.” Id. at 583 (citing Unus v. Kane, 565 F.3d 103, 117 (4th Cir. 2009)). We “assumed that Puerto Rico tort law would not impose personal liability for mistaken arrests where the officers would be protected ... by qualified immunity” inasmuch as an opposite position might raise “a significant question” of “whether any local court could impose damage liability on federal officers where they would be exempt in a federal lawsuit and whether Congress under the FTCA would expect the federal government to shoulder such liability.” Id. at 583-84 (citations omitted).
Under Rodriguez and Solís-Alarcón, and consistent with the statements made in Valle regarding the need to balance the right to compensation with the interest or duty of investigating criminal causes, we hold that the arresting officers had reasonable belief that they were arresting Joel pursuant to a valid arrest warrant based on probable cause. Thus, his arrest was conditionally privileged, which forecloses his false arrest claim.
2. Malicious Prosecution Claim
Joel seems to argue that the district court also erred in dismissing his malicious prosecution claim. According to him, viewing all the facts and drawing all reasonable inferences in the light most favorable to him would have required the district court to deny summary judgment as to this claim. He points out that since July 2010 the FBI possessed a video recording of Nieves-Vélez participating in Deal 105 and the FBI also obtained Joel‘s photograph in August 2010, when the FBI got his personnel record from the Puerto Rico Department of Corrections to verify that Joel was indeed a corrections officer. Thus, Joel argues, the FBI could have compared the two images prior to September 21, 2010, when the indictment was issued. By failing to do so, his argument goes, the FBI was negligent, submitted “false/incorrect evidence” to the grand jury, and caused an indictment to be imрroperly obtained, which gives rise to a malicious prosecution claim. We disagree.
Under Puerto Rico law, to prove a malicious prosecution claim, the moving party must show that officers “acted with malice and without probable cause, defined as ‘a suspicion founded upon circumstances sufficiently strong to warrant a reasonable man in the belief that the charge is true.‘” Abreu-Guzmán, 241 F.3d at 75 (quoting Lora-Rivera v. Drug Enf‘t Admin. Dep‘t of Justice, 800 F.Supp. 1049, 1051-52 (D.P.R. 1992)). To succeed on a malicious prosecution claim, the claimant must prove four elements: “(1) that a criminal action was initiated or instigated by the defendants; (2) that the criminal action terminated in favor of plaintiff; (3) that defendants acted with malice and without probable cause; and (4) that plaintiff suffered damages.” Barros-Villahermosa v. United States, 642 F.3d 56, 58 (1st Cir. 2011) (quoting González Rucci v. U.S. I.N.S., 405 F.3d 45, 49 (1st Cir. 2005)). “The third element may also be described as two separate elements because plaintiff must show both that the defendant acted with malice and that he acted without probable cause.” Rivera-Marcano v. Normeat Royal Dane Quality, 998 F.2d 34, 37 (1st Cir. 1993) (emphasis in the original) (citing Vince v. Posadas de P.R., S.A., 683 F.Supp. 312, 315 & n.4 (D.P.R. 1988)). “For purposes of malicious prosecution, Puerto Rico courts equate malice with bad faith.” Paret-Ruiz v. United States, 827 F.3d 167, 178 (1st Cir. 2016) (quoting Barros-Villahermosa, 642 F.3d at 59). “[A] grand jury indictment definitively establishes probable cause” unless “law enforcement defendants wrongfully obtained the indictment by knowingly presenting false testimony to the grand jury.” González Rucci, 405 F.3d at 49.
Joel‘s claim for malicious prosecutiоn falters on the third element because he has failed to show that officers acted without probable cause and with malice. To the
B. The Relatives’ Claims
We now turn to consider the district court‘s entry of judgment on the pleadings dismissing the claims of Joel‘s relatives. This court reviews the grant of judgment on the pleadings de novo. Pérez-Acevedo v. Rivero-Cubano, 520 F.3d 26, 29 (1st Cir. 2008). A motion under
Joel‘s relatives allege that the district court erroneously dismissed their derivative claims under Article 1802 of the Puerto Rico Civil Code,
Under Article 1802 of the Puerto Rico Civil Code—Puerto Rico‘s General Tort Statute— “[a] person who by an act or omission causes damage to another through fault or negligence shall be obliged to repair the damage so done.”
Finally, Joel‘s relatives argue that the following facts give rise to an independent claim for damages under Article 1802 of the Puerto Rico Civil Code due to the agents’ alleged excessive use of force when executing Joel‘s arrest warrant: “immediately upon opening the door of the house[, Saúl] was forcibly taken out and at gunpoint made to stand against a wall” while his family watched; at some point his pants fell to the ground and he “was left naked outside his house in full view of his family and neighbors“; Aida was also forced (at gunpoint) to face a wall; Giovanny “saw how he was targeted by [] dozens of laser sights on his head and chest upon exiting the balcony of his house“; they all witnessed how the agents surrounded their house and “feared for their life, their physical integrity,” and those of their loved onеs. These facts fail to state a plausible claim for relief.
Joel‘s relatives did not cite any authority suggesting that the manner in which Joel‘s arrest warrant was executed was tortious under Puerto Rico law and would result in private liability. They merely referenced Pueblo v. Alcalá Fernández, 9 P.R. Offic. Trans. 430, 437, 109 D.P.R. 326 (1980), for
III. Conclusion
For the reasons stated above, the orders of the district court granting partial summary judgment for the government and entering judgment on the pleadings are affirmed.
Affirmed.
