FYBEL, J.
The dispositive issue in this case is whether, under principles of collateral estoppel, a judgment in a federal lawsuit on federal civil rights claims based on police conduct bars state law claims brought in state court based on the same conduct. We conclude collateral estoppel bars the state court lawsuit.
Adolf Anthony Sanchez Gonzalez (Decedent) was shot and killed in an incident with two Anaheim police officers. His mother and minor daughter (by and through her guardian ad litem, David Vazquez) filed a complaint in federal court (the Federal Complaint) against the City of Anaheim and the two officers. The Federal Complaint asserted civil rights claims under 42 United States Code section 1983 and five state law claims. The federal district court granted summary judgment in favor of the defendants on the civil rights claims and concluded the police officers did not use excessive force, act unreasonably, engage in conduct that shocked the conscience, or engage in conduct amounting to an independent violation of the Fourth Amendment to the United States Constitution. The federal court declined to exercise supplemental jurisdiction over the state law claims and dismissed them without prejudice.
Decedent's mother and minor daughter (by and through the same guardian ad litem) (collectively, Plaintiffs) then filed a complaint in superior court (the State Complaint) against the City of Anaheim and the two police officers (collectively, Defendants). The State Complaint reasserted the five state law claims dismissed without prejudice by the federal court. Defendants demurred to the State Complaint on the ground of collateral estoppel. The trial court sustained the demurrer without leave to amend and dismissed the State Complaint. Plaintiffs appeal.
We affirm. After we held oral argument in this matter, the Ninth Circuit Court of Appeals issued an opinion affirming the federal court judgment. (Gonzalez v. City of Anaheim (9th Cir., May 13, 2013, No. 11-56360) 2013 U.S.App. Lexis 9607.) On our own motion, we take judicial notice of this opinion. (Evid. Code, §§ 452, subds. (c) & (d), 459, subd. (a).) In Hernandez v. City of Pomona (2009) 46 Cal.4th 501, 506 (Hernandez), the California Supreme Court held, under similar facts, that a federal court judgment adjudicating federal civil rights claims collaterally estopped the plaintiffs in that case from pursuing their state court wrongful death claim, including on the theory that the officers' conduct before the shooting was negligent. Likewise here, the federal court judgment collaterally estops Plaintiffs from pursuing their state law causes of action based on both the shooting and on theory the officers' conduct before the shooting was negligent.
In the Federal Complaint, Plaintiffs asserted four claims for violation of civil rights pursuant to 42 United States Code section 1983 and state law claims for false arrest/false imprisonment, battery, negligence, and violation of the Bane Act. The four civil rights claims were (1) unreasonable search and seizure—detention and arrest; (2) unreasonable search and seizure and due process—excessive force and denial of medical care; (3) substantive due process; and (4) municipal liability for unconstitutional custom, practice, or policy.
The Federal Complaint's allegations were barebones: On September 25, 2009, Decedent was driving his car near the intersection of Santa Ana Street and Bond Street in the City of Anaheim. Decedent had not committed any crime, and Anaheim Police Officers Daron Wyatt and Matthew Ellis had neither reasonable suspicion to detain Decedent nor probable cause to arrest him. Officer Wyatt "discharged a firearm at the Decedent, striking him in the head, causing Decedent serious physical injury and eventually killing him." (Some capitalization omitted.) Finally, the Federal Complaint alleged Decedent was unarmed and posed no imminent threat of death or serious physical injury to the officers.
The United States District Court granted Defendants' motion for summary judgment of the federal civil rights claims. In an order entered July 11, 2011, the district court provided this factual background:
In granting summary judgment on the civil rights claim based on excessive force, the district court stated: "Officer Wyatt did not use excessive force when he struck the decedent's arm with a flashlight in an attempt to get the decedent to open his right hand. Both Officers Ellis and Wyatt tried multiple times to gain the decedent's compliance without the use of force. They ordered the decedent several times to open his hand, but each time, the decedent refused to comply with their orders, keeping his fist clenched. Given the decedent's consistent failure to comply with the Officers' orders, Officer Wyatt had legitimate concerns that the decedent might have either a weapon or contraband in his fist. As such, it was reasonable for him to use some level of force to gain compliance from the decedent." The district court concluded that "even assuming that Officer Ellis used a carotid restraint on the decedent, such use of force was reasonable under the circumstances." In addition, the district court concluded, "even considering the facts in the light most favorable to Plaintiffs, the Court finds that Officer Wyatt acted reasonably under the circumstances when he shot the decedent in the head after ordering the decedent to stop the car and trying to stop the car himself several times."
The district court also stated: "Plaintiffs argue that because the Officers acted recklessly and negligently before the shooting, a reasonable fact finder could conclude that they provoked the deadly force situation and should therefore be liable. However, the Ninth Circuit has held that `the fact that an officer negligently gets himself into a dangerous situation will not make it unreasonable for him to use force to defend himself.' [Citation.] `Thus, even if an officer negligently provokes a violent response, that negligent act will not transform an otherwise reasonable subsequent use of force into a Fourth Amendment violation.' [Citation.] As discussed above, none of the Officers' actions prior to the shooting constituted an independent Fourth Amendment violation. As such, Plaintiffs' argument is not persuasive."
On the substantive due process claim, the district court found that Officers Wyatt and Ellis were forced to make "split-second decisions" in an "emergency situation" requiring "immediate reaction." Although Decedent was unarmed, the officers' conduct did not "shock the conscience," the standard for a substantive due process claim, because the officers reasonably reacted to a perceived or an imminent threat to their safety.
Defendants also moved for summary judgment of the state law claims. The district court declined to exercise supplemental jurisdiction over the state law claims and dismissed them without prejudice.
On May 13, 2013, the Ninth Circuit Court of Appeals issued its unpublished opinion affirming the federal court judgment. (Gonzalez v. City of Anaheim, supra, 2013 U.S.App. Lexis 9607.)
Following the district court's dismissal of the state law claims, Plaintiffs filed the State Complaint, which asserted causes of action for (1) false arrest/false imprisonment, (2) battery, (3) negligence, (4) wrongful death, and (5) violation of the Bane Act.
The State Complaint overlaps the Federal Complaint but provides more detail. The State Complaint alleged the following:
Defendants demurred to the State Complaint on the ground the federal court judgment collaterally estopped Plaintiffs from pursuing their state law causes of action. The trial court granted Defendants' unopposed request for judicial notice of the Federal Complaint, the district court's order granting summary judgment, and the judgment on the Federal Complaint.
The trial court sustained Defendants' demurrer without leave to amend, on the following ground: "All five causes of action asserted in this action require a determination as to whether Officers Wyatt and Ellis acted reasonably under the circumstances. This issue has already been litigated and decided in [the federal court action]."
"`Collateral estoppel precludes relitigation of issues argued and decided in prior proceedings. [Citation.] Traditionally, we have applied the doctrine only if several threshold requirements are fulfilled. First, the issue sought to be precluded from relitigation must be identical to that decided in a former proceeding. Second, this issue must have been actually litigated in the former proceeding. Third, it must have been necessarily decided in the former proceeding. Fourth, the decision in the former proceeding must be final and on the merits. Finally, the party against whom preclusion is sought must be the same as, or in privity with, the party to the former proceeding. [Citations.]' [Citation.]" (Hernandez, supra, 46 Cal.4th at p. 511.)
We start by addressing requirements two through five, and address the first requirement (identity of issues) at length below in part C. Requirement two (actually litigated) and requirement three (necessarily decided) are satisfied. In granting summary judgment on Plaintiffs' civil rights claims, the district court decided adversely to Plaintiffs the issues whether Officers Wyatt and Ellis used excessive force against Decedent, whether the officers acted reasonably under the circumstances, and whether the officers' conduct shocked the conscience under substantive due process standards. Those issues were fully litigated in the district court. (See Hernandez, supra, 46 Cal.4th at p. 511 ["For purposes of collateral estoppel, an issue was actually litigated in a prior proceeding if it was properly raised, submitted for determination, and determined in that proceeding"].) Litigation of those issues was necessary to a ruling on Defendants' motion for summary judgment and resolving Plaintiffs' federal civil rights claims.
The fourth requirement (finality) is satisfied. The judgment on the Federal Complaint has been affirmed by the Ninth Circuit Court of Appeals and is final notwithstanding the possibility of further proceedings before the Ninth Circuit or review in the United States Supreme Court. (Collins v. D.R. Horton, Inc. (9th Cir. 2007) 505 F.3d 874, 882 ["a final judgment retains its collateral estoppel effect, if any, while pending appeal"]; Tripati v. Henman (9th Cir. 1988) 857 F.2d 1366, 1367 [a pending appeal does not affect a judgment's finality for preclusion purposes].) "A federal judgment `has the same effect in the courts of this state as it would have in a federal court.'" (Younger v. Jensen (1980) 26 Cal.3d 397, 411; see also Calhoun v. Franchise Tax Bd. (1978) 20 Cal.3d 881, 887 ["A federal judgment is as final in California courts as it would be in federal courts"]; Martin v. Martin (1970) 2 Cal.3d 752, 761 ["A federal court judgment has the same effect in the courts of this state as it would in a federal court"].)
The final requirement (privity of parties) is satisfied because the parties against whom preclusion is sought—Plaintiffs—were also the plaintiffs in the federal court action.
The "`"identical issue" requirement addresses whether "identical factual allegations" are at stake in the two proceedings, not whether the ultimate issues or dispositions are the same. [Citation.]' [Citation.]" (Hernandez, supra, 46 Cal.4th at pp. 511-512.) In this case, the factual allegations resolved in federal court are identical to those raised in the State Complaint and were necessary for Plaintiffs to recover under the state law causes of action.
Hernandez, supra, 46 Cal.4th 501, is on point. In Hernandez, the decedent led City of Pomona police officers on a high-speed car chase until the decedent's car crashed. (Id. at p. 506.) The decedent got out of his car and ran away, with the police on foot in close pursuit. (Id. at p. 507.) According to one witness, the decedent lifted his shirt to expose his waistline and yelled that he did not have a gun. (Ibid.) According to one police officer, the decedent at one point reached toward his front pocket and yelled that he had a gun. (Ibid.) One police officer broadcast over his radio that the decedent had a gun. (Ibid.) A police dog was released and joined the pursuit. (Ibid.)
The police dog caught up with the decedent, struck him in the shoulder, and spun him around. (Hernandez, supra, 46 Cal.4th at p. 507.) According to one police officer, as the dog struck the decedent, he reached toward his waistband and yelled, "`I got a gun'" or "`Gun.'" (Ibid.) In response, the officer fired his gun at the decedent. (Ibid.) The other police officers, hearing gunshots, assumed the officer was in a gun battle with the decedent. (Ibid.) The officers fired a total of 37 shots, hitting the decedent 22 times and killing him. (Ibid.) The decedent was unarmed. (Ibid.)
The decedent's parents and minor children, the plaintiffs, filed a complaint in federal court against the City of Pomona and the police officers, seeking damages in connection with the decedent's death. (Hernandez, supra, 46 Cal.4th at pp. 507-508.) The plaintiffs asserted federal civil rights claims under 42 United States Code section 1983 and state law claims. (Hernandez, supra, p. 508.) The federal court bifurcated the federal and state law claims, and the federal claims went to trial before a jury, which rendered a verdict in favor of all but one of the police officers. (Ibid.) The jury could not reach a verdict as to the remaining police officer, and the federal court granted his motion for judgment as a matter of law, based on qualified immunity. (Ibid.) The federal court declined to exercise supplemental jurisdiction and dismissed without prejudice the plaintiffs' state law claims. (Id. at p. 509.)
The plaintiffs filed an action against the same defendants in superior court. (Hernandez, supra, 46 Cal.4th at p. 509.) The complaint included a wrongful death claim based on the same allegations the plaintiffs had set forth in the wrongful death claim of their federal lawsuit. (Ibid.) The defendants demurred to the complaint on the ground that in the federal action, the issue of excessive and unreasonable force had been decided in their favor and that decision barred the plaintiffs' state law wrongful death cause of action under collateral estoppel principles. (Ibid.) The trial court agreed with the defendants on the issue of excessive force, but overruled the demurrer because, the court concluded, the federal court judgment did not bar the plaintiffs from recovering under a theory that the defendants failed to summon medical aid and prevented aid from being rendered once it was available. (Id. at p. 510.) To expedite an appeal, the plaintiffs dismissed with prejudice their wrongful death claim to the extent it was based on allegations regarding medical aid. (Ibid.) The plaintiffs then appealed from the judgment in the defendants' favor. (Ibid.)
The Court of Appeal reversed the judgment. (Hernandez, supra, 46 Cal.4th at p. 510.) The Court of Appeal held the federal court judgment did preclude the plaintiffs from recovering on the theory that the police officers failed to exercise reasonable care in using deadly force. (Ibid.) The Court of Appeal then held, however, the plaintiffs could proceed on the theory the officers failed to use reasonable care in creating, through their preshooting conduct, a situation in which it was reasonable for them to use deadly force. (Ibid.)
The Supreme Court reversed the Court of Appeal. The Supreme Court held that, "on the record and conceded facts here, the federal judgment collaterally estops plaintiffs from pursuing their wrongful death claim, even on the theory that the officers' preshooting conduct was negligent." (Hernandez, supra, 46 Cal.4th at p. 506.) The court explained that the issue whether the officers exercised reasonable care in the use of deadly force was raised, submitted for decision, and actually decided against the plaintiffs in the federal action in resolving their claims under 42 United States Code section 1983. (Hernandez, supra, at p. 512.) The court rejected the plaintiffs' argument that the standard of reasonableness in a section 1983 action based on excessive force is not the same as the standard of reasonableness applicable in a negligence action under California law. (Id. at p. 513.)
Although the federal jury did not make a finding on the officers' conduct before the shooting, the Supreme Court concluded that, in light of the finding by the federal jury that the shooting was reasonable, "liability in this case may not be based on the officers' alleged preshooting negligence." (Hernandez, supra, 46 Cal.4th at pp. 517-518.) The officers had probable cause to arrest the decedent and therefore did not act unreasonably by making the decision to pursue him. (Id. at pp. 518-519.) Various California statutes protected the officers from civil liability based on the manner in which they carried out the pursuit. (Ibid.)
The federal court judgment collaterally estops Plaintiffs from pursuing their wrongful death and negligence causes of action. Here, as in Hernandez, the issue whether Officers Wyatt and Ellis exercised reasonable care in the use of deadly force was raised, submitted for decision, and actually decided against Plaintiffs in the federal action in resolving their claims under 42 United States Code section 1983. The district court, in granting summary judgment, adjudicated the issues whether Officers Wyatt and Ellis used excessive force, acted reasonably under the circumstances, and engaged in conduct that shocked the conscience under substantive due process standards. In affirming the federal court judgment, the Ninth Circuit concluded the officers did not use deadly force and had probable cause to believe Decedent posed a significant threat of causing death or serious injury to them or to others. (Gonzalez v. City of Anaheim, supra, 2013 U.S.App. Lexis 9607 at pp. *12, *16.)
Plaintiffs argue the district court's conclusion the officers acted reasonably under the circumstances did not extend to their conduct before shooting Decedent. To the contrary, the district court rejected Plaintiffs' argument the officers acted recklessly and negligently before the shooting, and found that "none of the Officers' actions prior to the shooting constituted an independent Fourth Amendment violation." On the issue of the officers' prior conduct, the Ninth Circuit concluded: "[Decedent]'s representatives argue that the shooting was provoked by the officers' prior conduct. As a result, they claim we should hold the shooting unreasonable. However, we have held that in order for an officer's conduct to render an otherwise reasonable response unreasonable, the prior conduct must itself be an independent constitutional violation. [Citation.] Because the officers' prior conduct never amounted to a constitutional violation, the shooting was not unreasonable as a result." (Gonzalez v. City of Anaheim, supra, 2013 U.S.App. Lexis 9607 at pp. *16-*17.) Thus, "in light of the finding [by the federal court] that the shooting was reasonable, liability in this case may not be based on the officers' alleged preshooting negligence." (Hernandez, supra, 46 Cal.4th at p. 518.)
The federal court judgment also collaterally estops Plaintiffs from pursuing their battery and false arrest/false imprisonment causes of action. A title 42 United States Code section 1983 claim has been described as the federal counterpart of a state law cause of action for battery or wrongful death. (Yount v. City of Sacramento (2008) 43 Cal.4th 885, 902.) A common law battery cause of action against a police officer making an arrest or detention requires proof the officer used unreasonable force. (Ibid., citing Edson v. City of Anaheim (1998) 63 Cal.App.4th 1269, 1273-1274.) In the false arrest/false imprisonment cause of action, Plaintiffs alleged Officers Wyatt and Ellis deprived Decedent of his freedom of movement "by use of force, threats of force, menace, fraud, deceit, and unreasonable duress," and detained Decedent without probable cause.
The Federal Complaint alleged a claim for civil rights violation based on "unreasonable search and seizure—detention and arrest" (capitalization omitted), the district court adjudicated the issue whether Officers Wyatt and Ellis used excessive or unreasonable force in placing Decedent in a carotid restraint and striking him, and the Ninth Circuit affirmed. The officers had probable cause to make a traffic stop, and, as the district court concluded, the officers' actions before the shooting did not constitute an independent Fourth Amendment violation. When the officers approached Decedent, he refused to comply with their orders to unclench his fists and demonstrate he was unarmed. Thus, under principles of collateral estoppel, the federal court judgment bars Plaintiffs from recovering for false arrest/false imprisonment.
Plaintiffs' fifth cause of action asserted a violation of the Bane Act, which is cited in the State Complaint as Civil Code section 51.7. The "`Tom Bane Civil Rights Act,'" or the "`Bane Act,'" is codified at Civil Code section 52.1, while section 51.7 is commonly known as the "`Ralph Act'" or the "`Ralph Civil Rights Act.'" (Venegas v. County of Los Angeles (2004) 32 Cal.4th 820, 845 (conc. opn. of Baxter, J.).) The fifth cause of action alleged that Officers Wyatt and Ellis "interfered with or attempted to interfere with the rights of DECEDENT to be free from unreasonable searches and seizures, and to be free from state actions that shock the conscience, by threatening or committing acts involving violence, threats, coercion, or intimidation." These allegations track section 52.1, subdivision (a).
"Civil Code section 52.1 authorizes an action at law, a suit in equity, or both, against anyone who interferes, or tries to do so, by threats, intimidation, or coercion, with an individual's exercise or enjoyment of rights secured by federal or state law." (Jones v. Kmart Corp. (1998) 17 Cal.4th 329, 331.) "A defendant is liable if he or she interfered with or attempted to interfere with the plaintiff's constitutional rights by the requisite threats, intimidation, or coercion." (Shoyoye v. County of Los Angeles (2012) 203 Cal.App.4th 947, 956.)
In the fifth cause of action, Plaintiffs alleged that Officers Wyatt and Ellis interfered with Decedent's Fourth Amendment right to be free from unreasonable searches and seizures, and substantive due process rights to be free from state actions that shock the conscience. The district court found against Plaintiffs on their civil rights claims, which included claims of unreasonable search and seizure, excessive force, and violation of substantive due process. As a consequence, Plaintiffs are collaterally estopped from pursuing their cause of action under Civil Code section 52.1.
The judgment is affirmed. Respondents shall recover costs incurred on appeal.
BEDSWORTH, ACTING P. J. and IKOLA, J., concurs.
