MARTIN, Circuit Judge:
The children of Valmore Locarno Rodriguez, Victor Hugo Orcasita Amaya, and Gustavo Soler Mora, three former union leaders murdered in Colombia in 2001 ("the Children"), appeal from the dismissal of their complaint against Appellee-Defendants, Drummond Company, Inc., Drummond Ltd.,
As the district court recounted, "the allegations contained in the complaint are troubling:"
Baloco v. Drummond Co., No. 07:09-cv-00557-RDP, 2009 U.S. Dist. LEXIS 129624, at *3-4 (N.D.Ala. Nov. 9, 2009).
The Children also allege a "close, symbiotic relationship between the military and paramilitaries in Colombia." In support of this allegation, the Complaint cites reports from the United States State Department, the United Nations High Commissioner for Human Rights, and Amnesty International. The Children allege further:
Separately, the district court dismissed the claims of all eight plaintiffs on the basis that they lacked standing to sue under either the ATS or TVPA. The court reasoned that because the TVPA permits recovery of damages only "on behalf of" the deceased person, the Children lacked standing to sue for their own personal damages. The court likewise dismissed the ATS claim, concluding that the ATS shares the same standing requirements as the TVPA. Before us is the Children's appeal of these holdings.
We will analyze these issues separately. In Part A we address standing, both as a constitutional requirement and in terms of whether the Children possess a cause of action under the ATS and TVPA. In Part B we address the applicability of res judicata to the Children's claims.
We begin with standing, "the threshold question in every federal case." Maverick Media Grp., Inc. v. Hillsborough Cnty., Fla., 528 F.3d 817, 819 (11th Cir. 2008) (quoting Warth v. Seldin, 422 U.S. 490, 498, 95 S.Ct. 2197, 2205, 45 L.Ed.2d 343 (1975)). We review de novo whether the Children have standing to sue. See Region 8 Forest Serv. Timber Purchasers Council v. Alcock, 993 F.2d 800, 806 (11th Cir.1993).
"In essence the question of standing is whether the litigant is entitled to have the court decide the merits of the dispute or of
The requirement that a plaintiff must have standing to invoke the jurisdiction of the federal courts stems from the "case or controversy" requirement of Article III of the United States Constitution. See Lujan v. Defenders of Wildlife, 504 U.S. 555, 559, 112 S.Ct. 2130, 2136, 119 L.Ed.2d 351 (1992). To establish Article III standing, the Children must show that "(1) [they] ha[ve] suffered, or imminently will suffer, an injury-in-fact; (2) the injury is fairly traceable to the defendants' conduct; and (3) a favorable judgment is likely to redress the injury." Mulhall v. UNITE HERE Local 355, 618 F.3d 1279, 1286 (11th Cir.2010) (citation omitted).
The Children easily satisfy these requirements. First, each of the Children's fathers were murdered, causing an immediate "invasion of a legally protected interest which is (a) concrete and particularized... and (b) actual." Lujan, 504 U.S. at 560, 112 S.Ct. at 2136 (quotation marks omitted); see also Solomon v. Warren, 540 F.2d 777, 788 (5th Cir.1976) ("Without serious dispute, children may suffer a pecuniary deprivation, apart from the loss of support and financial contributions, from the death of their parents in the loss of parental guidance and training, commonly identified as the loss of nurture.").
We turn now to whether the ATS and TVPA, respectively, provide causes of action for the Children's suits. Here, "[t]he concept of a `cause of action' is employed specifically to determine who may judicially enforce statutory rights or obligations." Passman, 442 U.S. at 239, 99 S.Ct. at 2274. To resolve this inquiry, we start with the statutes themselves. See Bankston v. Then, 615 F.3d 1364, 1367 (11th Cir.2010).
The ATS states simply: "The district courts shall have original jurisdiction of any civil action by an alien for a tort only, committed in violation of the law of nations or a treaty of the United States." 28 U.S.C. § 1350. The statute "is jurisdictional and does not create an independent cause of action." Romero v. Drummond Co., Inc., 552 F.3d 1303, 1315 (11th Cir. 2008). Rather, "the [ATS's] jurisdictional grant is best read as having been enacted on the understanding that the common law would provide a cause of action for the modest number of international law violations with a potential for personal liability at the time." Sosa v. Alvarez-Machain, 542 U.S. 692, 724, 124 S.Ct. 2739, 2761, 159 L.Ed.2d 718 (2004).
We have previously explained that there are three elements to a proper ATS claim. Specifically, "[t]o obtain relief under the AT[S], [the] plaintiff[] must be (1) an alien, (2) suing for a tort, which was (3) committed in violation of international law." Aldana, 416 F.3d at 1246 (citing Abebe-Jira v. Negewo, 72 F.3d 844, 847 (11th Cir.1996)).
For these reasons, and insofar as we are bound to accept the Children's well-pleaded allegations as true, we conclude that the Children have adequately pled a cause of action cognizable under the ATS. We therefore reverse the district court's conclusion that the plaintiffs lack standing under the ATS.
Albeit for different reasons, we also reverse the district court's conclusion that the Children lack standing under the TVPA. Our review of both the statute's plain text as well as its legislative history convinces us that the Children may litigate their TVPA claim as "person[s] who may be a claimant in an action for wrongful death." 28 U.S.C. § 1350 note § 2(a)(2).
The TVPA differs from the ATS in certain crucial ways. Whereas the ATS is a jurisdiction conferring statute, "the [TVPA] provides a cause of action for torture and extrajudicial killing." Romero, 552 F.3d at 1315. Specifically, the statute imposes liability, on the following terms, upon:
28 U.S.C. § 1350 note § 2(a). Additionally, the statute provides definitions for the
28 U.S.C. § 1350 note § 3(b).
Second, the statute defines "extrajudicial killing" as:
28 U.S.C. § 1350 note § 3(a). That the TVPA and ATS employ different definitions of "torture" and "extrajudicial killing" has consequences. As we have explained, the difference means "each statute provides a means to recover for torture [and extrajudicial killing] as [those] term[s] separately draw[] [their] meaning[s] from each statute." Romero, 552 F.3d at 1316 (quotation marks omitted). For this reason, the TVPA is not the exclusive remedy for claims of extrajudicial killing. Id.
Two other features also distinguish the TVPA from the ATS. First, the TVPA empowers both United States citizens and aliens to recover for acts of torture and extrajudicial killing. Cabello, 402 F.3d at 1154 ("[T]he TVPA extended the [ATS], which had been limited to aliens, to allow citizens of the United States to bring suits for torture and extrajudicial killings in United States courts."). Second, "[t]here is an express requirement of state action in the [TVPA]," such that a private actor can be held liable only when "there [exists] a symbiotic relationship between [that] private actor and the government." Romero, 552 F.3d at 1316-17.
The parties' dispute centers upon whether the Children are proper "claimant[s] in an action for wrongful death" as that phrase is used in the TVPA. Now at the pleadings stage of this case, we are convinced they are. The statute provides that the perpetrator of an extrajudicial killing can be held liable for "damages to the individual's legal representative, or to any person who may be a claimant in an action for wrongful death." § 1350 note § 2(a)(2) (emphasis added). This circuit has held that the use of the disjunctive "or" in statutes should be read as creating two different alternatives that should be treated separately. See Rine v. Imagitas, Inc., 590 F.3d 1215, 1224 (11th Cir.2009) (citing United States v. Harmas, 974 F.2d 1262, 1266 (11th Cir.1992)). As applied to the TVPA, then, the disjunctive use of the term "or" in § 2(a)(2) establishes that a defendant can be held liable for damages to the legal representative of the victim or for damages to a person who has shown that he or she could be a claimant in a wrongful death action for the victim. In other words, the TVPA expressly creates a separate cause of action for the wrongful death claimant through which "any person" fitting that description can sue for TVPA damages.
This construction finds support in the statute's underlying purpose. In enacting the TVPA, Congress explained that the Act would "protect[] ... human rights by establishing a civil action for recovery of damages from an individual who engages in torture or extrajudicial killing." Torture Victim Protection Act, Public Law No. 102-256, 106 Stat. 73 (Jan. 3, 1992). This suggests that the focus of the TVPA is thus the torturer and the extrajudicial killer, and the statute's intent is to deter their tortious conduct. This purpose is better served by allowing more than one affected plaintiff to bring separate lawsuits.
Furthermore, the TVPA's legislative history supports this result. Both the House and Senate Reports accompanying the TVPA set forth that the Act supports multiple claims for recovery. See H.R. Rep. 102-367(I) at 4 (1991), reprinted in 1992 U.S.C.C.A.N. 84, 87 ("In cases of extrajudicial killing, ... the victim[']s `legal representative' and `any person who may be a claimant in an action for wrongful death' may bring suit." (emphasis added)); S. Rep. 102-249, at 7, 1991 WL 258662 (1991) ("The legislation permits suit by the victim or the victim's legal representative or a beneficiary in a wrongful death action." (emphasis added)). That the statute permits multiple suits is a strong indication that Congress intended for appropriate wrongful death claimants to be able to sue alongside representatives of the deceased, as our construction permits. Certainly, allowing multiple suits furthers the statute's intent to hold torturers and extrajudicial killers "legally accountable." See 138 Cong. Rec. S2667 (daily ed. Mar. 3, 1992) (statement of Sen. Arlen Specter).
Wrongful death claimants are thus eligible to bring suit for damages under the TVPA.
Where the federal statute itself does not elucidate the plain meaning of a particular provision, a statute's Congressional history may assist a court in determining the appropriate definition to apply. For example in Taylor v. United States, the Supreme Court considered the meaning of the undefined term "burglary" as it was used in 18 U.S.C. § 924(e), a federal sentencing enhancement statute. 495 U.S. 575, 579-98, 110 S.Ct. 2143, 2148-57, 109 L.Ed.2d 607 (1990). After first noting that it was not possible to discern from the statute itself whether Congress intended a particular state's definition or some other uniform meaning of burglary to apply to
The House and Senate Committee Reports accompanying the TVPA legislation also speak directly to Congress's intentions. In explaining the wrongful death claimant provision of the TVPA, the report issued by the House of Representatives Committee on the Judiciary states that "[c]ourts may look to state law for guidance as to which parties would be proper wrongful death claimants." H.R.Rep. No. 102-367(I), at 4 (1991). The Senate Committee Report similarly explained "[t]he term `beneficiary in a wrongful death action' is generally intended to be limited to those persons recognized as legal claimants in a wrongful death action under Anglo-American law." S.Rep. No. 102-249, at 7 (1991). In addition, the Senate Report also elaborated that:
Id. at n. 10. Thus, Congress's intent, as evinced in the House and Senate reports, is that state law should govern the determination of whether a plaintiff is a claimant in an action for wrongful death and, where state law would provide no remedy, a court may apply the foreign law that would recognize the plaintiff's claim.
We must therefore first determine whether the plaintiffs are wrongful death claimants under Alabama law. Alabama adheres to the doctrine of lex loci delicti, and thus determines the substantive rights of an injured party in a wrongful death action according to the law of the state where the injury occurred. Northeast Utilities, Inc. v. Pittman Trucking Co., 595 So.2d 1351 (Ala.1992). For this reason, substantive determinations, including the nature of the claims available and the identification of the proper parties, are determined here according to Colombian law. See Powell v. Sappington, 495 So.2d 569, 569-70 (Ala.1986). We thus turn to Colombia's wrongful death law in deciding whether the Children could act as "claimant[s] in an action for wrongful death" for purposes of the TVPA.
The Children alleged in their complaint that they are "legal beneficiaries" under Colombian law, with standing to sue for their personal damages. In further support of this proposition, they attached to their pleadings filed in response to the Motion to Dismiss, an affidavit containing the "legal expert opinion" of Pedro R. LaFont Pianetta, a former Justice on the Supreme Court of Colombia. The record does not reflect that the appellees have disputed the Children's assertion that they are proper wrongful death claimants under Columbian law; Mr. Pianetta's conclusions to that effect; or Mr. Pianetta's qualifications to render this opinion. After thorough consideration, we conclude that the Children have properly alleged their entitlement to proceed as wrongful death claimants under Colombian law.
Having concluded that the Children adequately plead a TVPA violation, we also reverse the district court's finding that the Children lack standing to litigate their TVPA claim.
Because of our conclusion that the Children have standing to bring their claims for damages stemming from the deaths of their fathers, we must now address the district court's finding that the claims of five of the eight plaintiffs are barred by the doctrine of res judicata. We have concluded that the district court resolved the issue prematurely. The pleadings alone are simply insufficient to assure us that those asserting claims for the minor children in Drummond I have interests identical to those being asserted by the Children in this action. See generally Green v. Jefferson County Com'n, 563 F.3d 1243, 1253 (11th Cir.2009).
What should be obvious—the identities and interests of the plaintiffs in the prior Drummond I suit—is not so because the family members of the deceased union leaders in that case were permitted to assert their claims anonymously as "John Does" and "Jane Does" to protect their safety. In the Third Amended Complaint filed in that action, each of the John or Jane Doe plaintiffs identified themselves merely as the "legal heirs" to the three murdered union leaders, Locarno Rodriguez, Orcasita Amaya, and Soler Mora. The district court in Drummond I then ordered the plaintiffs to file under seal a "Notice of Identity of Plaintiffs," which they did, and the Notice was incorporated by reference within the Third Amended Complaint. In that Notice, the Drummond I plaintiffs identified the various John and Jane Does by their true names and relationships with the murdered victims. For example, Jane Doe I is identified as "(1) Josefina Larios Henriquez, the legal wife of Valmore Locarno, and (2) the child of Josefina and Valmore." The other John and Jane Does were identified in a similar fashion.
In light of the minority status of the plaintiffs in Drummond I, our inquiry into the "substantial identity of the parties" in the two cases requires more than one step. Even if we assume that the five children whose claims the district court dismissed on res judicata grounds are the same individuals identified as the children of the deceased in the Drummond I suit, this does not necessarily resolve the question of whether they were parties in the prior suit for the purposes of imposing a res judicata bar. Because at the time of the filing of the suit in Drummond I these five children were minors (and still are), they did not have the capacity to sue in their own right. Rather, Federal Rule of Civil Procedure 17(c)(2) provides that a minor may sue (or be sued) only through a "duly appointed representative," by a "next friend," or by a "guardian ad litem." See Roberts v. Ohio Cas. Ins. Co., 256 F.2d 35, 38-39 (5th Cir.1958). Certainly, the
There is nothing on the face of the Third Amended Complaint in Drummond I or the Notice of Identities of Plaintiffs that would allow us to conclude that the children-plaintiffs in that case sued either by a "next friend" or through a guardian ad litem or that the court appointed a representative on their behalf. Although their mothers were also plaintiffs in Drummond I, we cannot presume that they intended to represent their children's separate legal interests because the Notice did not indicate that the children were present in the suit "by and through their mother and next friend." We have found nothing in the complaint or any other document for which we may take judicial notice that would confirm that the legal interests of the Drummond I children were properly represented by a guardian ad litem or other court appointed representative. For this reason, and at this stage of the proceedings when we are confined to the pleadings, we cannot conclude that the Children were also parties to the Drummond I suit. Cf. Gerrard v. Larsen, 517 F.2d 1127, 1134-35 (8th Cir.1975) (recognizing that a factual determination is necessary when resolving whether parents represented children's interest in prior litigation). As a result, we reverse the district court's dismissal of the Children's TVPA claims to the extent that it concluded on a motion to dismiss that the doctrine of res judicata precluded the Children from proceeding with this case, and remand for further factual development as to the scope, if any, of the Children's involvement in the Drummond I litigation.
For these reasons, we conclude that the district court's dismissal of the Children's complaint for lack of standing on their TVPA and ATS claims is due to be REVERSED. We also reverse the district court's dismissal of the TVPA and ATS claims of five of the Children on res judicata grounds, and we REMAND this case for further proceedings.
REVERSED and REMANDED.
We do not read the statute to be so limited. To be sure, Congress specified that "any person who may be a claimant in an action for wrongfully death" is eligible to bring suit pursuant to the statute, but there is no indication that such individual's eligibility as a wrongful death claimant also informs the relief available to him. See 28 U.S.C. § 1350 note § 2. Here, the statute's uniform use of the term "damages" throughout section (2) suggests that Congress did not intend to limit a plaintiff's damages when she appeared as a "wrongful death claimant." 28 U.S.C. § 1350 note § 2; see MDY Indus., LLC v. Blizzard Entm't, Inc., Nos. 09-15932, 09-16044, 629 F.3d 928, 946 2010 WL 5141269, *11 n. 8 (11th Cir. Dec. 14, 2010) ("a legislative body generally uses a particular word with a consistent meaning in a given context" (quotations marks omitted)). Congress appears to have contemplated a uniform damages rule tailored to the purposes of the TVPA.
Our previous encounters with the TVPA have recognized as much. In Cabello v. Fernandez-Larios, we affirmed an award for $4 million dollars for violations cognizable under the ATS and TVPA. 402 F.3d 1148, 1151, 1156-58 (11th Cir.2005). We explained that these damages constituted both compensatory and punitive awards, and did not question their propriety despite their lack of a nexus to principles of state and federal wrongful death litigation. Id. As a result, although we cannot speculate as to any damages that may or may not be warranted in this case, Cabello makes clear that their appropriate measure is not limited by the Children's status as wrongful death claimants. See also Abebe-Jira, 72 F.3d at 848 ("[T]he Alien Tort Claim Act establishes a federal forum where courts may fashion domestic common law remedies to give effect to violations of customary international law."); id. at 846-48 (affirming verdict of $200,000 in compensatory damages and $300,000 in punitive damages).