Heck v. Humphrey (1994) 512 U.S. 477, 486-487 [129 L.Ed.2d 383, 114 S.Ct. 2364] (Heck) holds that when a judgment in favor of the plaintiff in a suit under title 42 of the United States Code section 1983 (section 1983) would necessarily imply the invalidity of the plaintiff's underlying conviction or sentence, the complaint must be dismissed, unless the plaintiff can demonstrate that his conviction or sentence has been invalidated. In Yount v. City of Sacramento (2008) 43 Cal.4th 885, 902 [76 Cal.Rptr.3d 787, 183 P.3d 471] (Yount), our Supreme Court held that the same principle applies to analogous state tort suits.
In this case, appellants Kristy Beets and Glenn Allen Rose are the parents of Glenn Patrick Rose (Rose), who was killed during an incident with the Los Angeles County Sheriff's Department and California Highway Patrol. Appellants, in their individual capacities and also as successors in interest to Rose,
Respondents demurred to the first amended complaint pursuant to Heck and Yount, arguing that Morales's conviction barred appellants' wrongful death claims. The trial court sustained respondents' demurrer and entered judgment for respondents. We reverse.
In the early morning hours of May 13, 2008, Rose allegedly stole a white Honda. A pursuit with police officers ensued. The white Honda became disabled during the pursuit, and Rose and his passenger, Morales, abandoned the car in an alley. Rose and Morales entered a maroon pickup truck that was parked in the same alley. Rose got into the driver's seat of the truck and Morales got into the passenger's seat.
Deputy Winter and three other officers stopped their patrol vehicles in the alley and ran to the maroon truck. Deputy Winter and a California Highway Patrol (CHP) officer ran to the driver's side of the truck where Rose was seated. CHP Officer Shultz and Sheriff's Deputy Mah ran to the passenger side of the truck where Morales was seated. While the truck was still parked, Rose attempted to strike Deputy Winter through the driver's window to free himself from the deputy's grasp. Morales kicked and punched Deputy Mah and Officer Shultz through the passenger window. Rose then started the truck and drove it forward and away from the officers and collided with a CHP patrol car across the alley. Deputy Winter ran a few steps in the direction of the truck. Rose then reversed away from the patrol car and in the direction of Deputy Winter. Rose changed directions yet again and went forward to collide with Deputy Winter's patrol car. He reversed the truck away from the patrol car and backed up a second time in the direction of Deputy Winter. Deputy Winter moved out of the truck's path by moving to the right, so that he was then positioned on the passenger side of the truck. Rose brought the truck to a momentary stop, at which time Deputy Winter drew his gun and shot at Rose. A shot hit Rose in the chest and caused fatal injuries.
As a result of the incident, Morales was tried and convicted of two counts of driving a vehicle without the owner's consent, three counts of assault with
The prosecution's theory at trial was not that Morales was the direct perpetrator of the assault against Deputy Winter. Rather, the prosecution's theory was that she was guilty of assault because (1) she aided and abetted Rose in evading an officer or resisting an officer; (2) during the commission of either evading an officer or resisting an officer, Rose committed ADW on an officer; and (3) Rose's ADW on an officer was a natural and probable consequence of his evading or resisting an officer. (People v. Mendoza (1998) 18 Cal.4th 1114, 1123 [77 Cal.Rptr.2d 428, 959 P.2d 735] ["the aider and abettor is guilty not only of the intended, or target, offense, but also of any other crime the direct perpetrator actually commits that is a natural and probable consequence of the target offense"].) Thus, the jury was instructed with CALCRIM Nos. 400 and 401 on the principles of aiding and abetting, and with CALCRIM No. 402 as follows:
"The defendant is charged in Count 6 with evading a peace officer in violation of Vehicle Code section 2800.2 and in Count 7 with resisting an executive officer in violation of Penal Code section 69.
"The defendant is also charged in Counts 2, 3 and 4 with [ADW on an officer] in violation of Penal Code section 245(c).
"You must first decide whether the defendant is guilty of either evading a peace officer or resisting an executive officer or both. If you find the defendant is guilty of either one or both of these crimes, you must then decide whether she is guilty of [ADW on an officer].
"Under certain circumstances, a person who is guilty of one crime may also be guilty of other crimes that were committed at the same time.
"To prove that the defendant is guilty of [ADW on an officer], the People must prove that:
"1. The defendant is guilty of either evading a peace officer or resisting an executive officer or both;
"AND
"3. Under all of the circumstances, a reasonable person in the defendant's position would have known that the commission of [ADW on an officer] was a natural and probable consequence of the commission of either evading a peace officer or resisting an executive officer or both.
"A co-participant in a crime is the perpetrator or anyone who aided and abetted the perpetrator. It does not include a victim or innocent bystander.
"A natural and probable consequence is one that a reasonable person would know is likely to happen if nothing unusual intervenes....
"To decide whether [the] crime, of [ADW on an officer] was committed, please refer to the separate instructions that I will give you on those crimes."
As indicated in the final paragraph of CALCRIM No. 402, the trial court then instructed the jury on ADW on an officer. The court instructed that an element of the offense was that "[w]hen the defendant acted, the person assaulted was lawfully performing his duties as a peace officer ...." (CALCRIM No. 860.) The court further instructed with CALCRIM No. 2670 that:
"The People have the burden of proving beyond a reasonable doubt that Cory Shultz, Steven Winter and Calvin Mah were lawfully performing their duties as a peace officer. If the People have not met this burden, you must find the defendant not guilty of [ADW on an officer] ....
"A peace officer is not lawfully performing his or her duties if he or she is using unreasonable or excessive force in his or her duties.
"A peace officer may use reasonable force to arrest or detain someone, to prevent escape, to overcome resistance, or in self-defense ...."
Morales appealed her conviction, and the Court of Appeal affirmed on December 8, 2009. Our Supreme Court denied her petition for review on February 24, 2010.
Appellants filed the precursor to this lawsuit in the United States District Court for the Central District of California on January 23, 2009. The federal
On January 7, 2010, appellants appealed the dismissal of their section 1983 claims to the Ninth Circuit Court of Appeals.
The court entered judgment against appellants on July 27, 2010. Appellants filed a timely notice of appeal on September 24, 2010.
A demurrer tests the sufficiency of a plaintiff's complaint by raising questions of law. (Marina Tenants Assn. v. Deauville Marina Development Co. (1986) 181 Cal.App.3d 122, 127 [226 Cal.Rptr. 321].) When the trial court sustains a demurrer, we review the complaint de novo to determine whether it contains sufficient facts to state a cause of action. (Hernandez v. City of Pomona (1996) 49 Cal.App.4th 1492, 1497 [57 Cal.Rptr.2d 406].) We accept as true all properly pleaded material factual allegations of the complaint and other relevant matters that are properly the subject of judicial notice, and we liberally construe all factual allegations of the complaint with a view to substantial justice between the parties. (Marina Tenants Assn. v. Deauville Marina Development Co., supra, at p. 127.)
In Heck, the United States Supreme Court considered "whether a state prisoner may challenge the constitutionality of his conviction in a suit for damages under 42 U.S.C. § 1983." (Heck, supra, 512 U.S. at p. 478.) Roy Heck was convicted in Indiana state court of voluntary manslaughter, and while the appeal from his conviction was pending, he filed a lawsuit in the district court under section 1983, alleging that state law enforcement officers had engaged in an unlawful investigation, destroyed evidence, and used unlawful voice identification procedures in his manslaughter trial. (Heck, at p. 479.) Heck's conviction was affirmed on appeal while his section 1983 lawsuit was pending. (Heck, at p. 479.)
In Susag v. City of Lake Forest (2002) 94 Cal.App.4th 1401 [115 Cal.Rptr.2d 269] (Susag), the California Court of Appeal applied the Heck rule to section 1983 claims and related state law claims. Cory Susag was tried and convicted of resisting an officer during an incident with the Orange County Sheriff's Office. (Susag, at p. 1406.) After he was convicted, Susag filed the section 1983 lawsuit and also alleged assault, battery, use of excessive force, false imprisonment, and intentional infliction of emotional distress. Susag's lawsuit arose from the same incident with the Orange County Sheriff for which he was convicted. (Susag, at p. 1407.) The court noted that an essential element of resisting an officer is that the officer must be engaged in the performance of his or her duties, and the use of excessive force is not within the performance of an officer's duties. (Id. at p. 1409.) Thus, Susag's allegations that he was subjected to excessive force, if proven, would necessarily imply the invalidity of his conviction for resisting an officer. Accordingly, his section 1983 claim was barred by Heck. The court determined that Susag's state law claims were also barred because it "appear[ed] unsound to distinguish between section 1983 and state law claims
The Heck rule came into being because the Supreme Court wanted to prevent defendants' collateral attacks on their convictions through the means of a civil lawsuit. Heck, Yount, and the California cases applying the rule all involve convicted defendants whose subsequent civil lawsuits would challenge their own convictions. (Heck, supra, 512 U.S. at pp. 478-479; Yount, supra, 43 Cal.4th at pp. 888-889 [plaintiff who pled guilty to resisting an officer subsequently brought excessive force lawsuit arising from same events]; Truong v. Orange County Sheriff's Dept. (2005) 129 Cal.App.4th 1423, 1426, 1429 [29 Cal.Rptr.3d 450] [same]; Susag, supra, 94 Cal.App.4th at pp. 1406-1407; see also Lujano v. County of Santa Barbara (2010) 190 Cal.App.4th 801, 805 [118 Cal.Rptr.3d 707] [minor charged with resisting an
But respondents have not cited any published cases in which a plaintiff's civil lawsuit was Heck/Yount barred by a third party's underlying conviction, nor are we aware of any. There is, however, a published Ninth Circuit opinion holding that a plaintiff's excessive force lawsuit is not barred by a third party's related conviction, Cunningham v. Gates (9th Cir. 2002), 312 F.3d 1148, 1156 (Cunningham). In Cunningham, police surrounded the getaway car of two robbers, Robert Cunningham and Daniel Soly. (Id. at p. 1152.) Cunningham and Soly exchanged gunfire with the police; Cunningham was seriously injured and Soly died as a result of the incident. (Id. at pp. 1151-1152.) Cunningham was convicted of three counts of attempted murder of the officers, the murder of Soly by provoking officers to shoot at the getaway car, robbery, and burglary. (Id. at p. 1152.) Both Soly's parents and Cunningham filed a section 1983 lawsuit for use of excessive force. (Cunningham, at p. 1152.) The court held that Cunningham's claims were barred by Heck. (Cunningham, at pp. 1154-1155.) However, the claims of Soly's parents were not barred by Cunningham's convictions. (Id. at p. 1156.) The court held that Heck did not apply to the Solys' claims and looked at the issue as one of collateral estoppel. (Cunningham, at pp. 1155-1156.) Cunningham's convictions would prevent the Solys' section 1983 claims under the law of collateral estoppel only if (1) the issues decided at Cunningham's trial were identical to the issues in the Solys' claims, (2) Cunningham's trial resulted in a judgment on the merits, and (3) the Solys were in privity with Cunningham during his trial. (Cunningham, at p. 1155.) While the first two elements were satisfied, the Solys were not in privity with Cunningham at his trial:
"[W]e cannot conclude that the Solys' interests at Cunningham's trial were so similar that Cunningham was their `virtual representative.' [Citations.] ...
"It is impossible to say, with the kind of certainty required to apply collateral estoppel, that, even were he to have faced the same charges as Cunningham, Soly's interests at trial would not have sharply diverged from Cunningham's. [Citation.] Obviously, had Soly been alive, Cunningham would not have faced a felony murder charge for his death. In the trial that did occur, the Solys were not represented by counsel and had no voice in the
"We also note that the circumstances of Cunningham's trial do not suggest that the Solys could expect to be bound by the results. The jury's verdict rested on Cunningham's actions, not Soly's. It was Cunningham's provocation, not Soly's, that was the focus of Cunningham's trial." (Cunningham, supra, 312 F.3d at p. 1156.)
Because privity between Soly and Cunningham was lacking, the Solys' section 1983 claims could proceed. (Cunningham, supra, 312 F.3d at p. 1156.)
Here, it is not the case that Rose was convicted of ADW on Deputy Winter and now seeks to profit from his own bad act by bringing an excessive force lawsuit. Nor is it the case that Morales is bringing an excessive force lawsuit after being convicted. These would be cases in which the Heck/Yount bar would likely apply. But we do not believe it appropriate to apply the same bar to appellants' wrongful death lawsuit when Rose was never convicted of a crime arising from the facts. The success of appellants' lawsuit does not necessarily invalidate Morales's conviction.
The first element of collateral estoppel is satisfied here. Appellants' first amended complaint is based on the allegation that Deputy Winter's use of deadly force against Rose was unreasonable. Under the prosecution's theory in Morales's trial, Morales was guilty of ADW on an officer because she aided and abetted Rose, the direct perpetrator. As an element of the offense, the jury had to determine whether Deputy Winter was engaged in the performance of his duties during the assault (Pen. Code, § 245, subd. (c)), and the court properly instructed the jury that an officer who uses unreasonable or excessive force is not lawfully performing his duties. (People v. White (1980) 101 Cal.App.3d 161, 167 [161 Cal.Rptr. 541].) The court also instructed the jury that it had to find Morales not guilty if Deputy Winter was not lawfully performing his duties. Thus, the issue here—whether Deputy Winter used unreasonable force—was an issue in Morales's trial.
The second element of collateral estoppel is also satisfied. Morales's conviction, having been affirmed by the Court of Appeal and denied review by our Supreme Court, was a final judgment on the merits.
In sum, we hold that privity is lacking, and accordingly, Morales's conviction does not have a collateral estoppel effect in this case. Heck and Yount likewise do not bar appellants' lawsuit.
The judgment is reversed. Appellants to recover costs on appeal.
Rubin, Acting P. J., and Grimes, J., concurred.