Hassanati v. International Lease Finance Corp.
Hassanati v. International Lease Finance Corp.
Opinion of the Court
ORDER DENYING PLAINTIFFS’ MOTION TO APPOINT PERSONAL REPRESENTATIVES AND GRANTING DEFENDANT’S MOTION FOR SUMMARY JUDGMENT
On January 10, 2010, Mmadi Mlatamou Hassanati, individually, as heir and successor to Mohamed Abdou Said, and as guardian ad litem for Said’s children, filed this action in Los Angeles Superior Court.
On May 3, 2011, ILFC filed a motion to dismiss,
On September 27, 2011, plaintiffs filed a second amended complaint, in which they
On July 1, 2013, plaintiffs filed a motion for an order appointing personal representatives for each decedent on whose behalf the action had been filed.
I. BACKGROUND
A. Factual and Procedural Background
ILFC is in the business of leasing aircraft to airlines.
On June 30, 2009, the leased aircraft crashed
Plaintiffs contend that ILFC negligently entrusted the aircraft to Yemenia Airlines, and that it knew or should have known that the aircraft was being operated in an unsafe manner.
B. Plaintiffs’ Motion to Appoint Personal Representatives
The third.amended complaint names forty-two plaintiffs and alleges that they are the personal representatives of the decedents.
C. Defendant’s Motion for Summary Judgment
The parties raise similar arguments in support of and opposition to ILFC’s motion for summary judgment. ILFC contends that plaintiffs lack standing to prosecute their DOHSA claim because they have not been appointed personal representatives of the decedents, and that the statute of limitations has now expired. Plaintiffs counter that they can seek and obtain appointment as personal represen
II. DISCUSSION
A. Standard Governing Motions for Summary Judgment
A motion for summary judgment must be granted when “the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” Fed.R.Civ.PROc. 56(c). A party seeking summary judgment bears the initial burden of informing the court of the basis for its motion and identifying those portions of the pleadings and discovery responses that demonstrate the absence of a genuine issue of material fact. See Celotex Corp. v. Catrett, 477 U.S. 317, 323, 106 S.Ct. 2548, 91 L.Ed.2d 265 (1986). Where the moving party will have the burden of proof on an issue at trial, the movant must affirmatively demonstrate that no reasonable trier of fact could find other than for the moving party. On an issue as to which the nonmoving party will have the burden of proof, however, the movant can prevail merely by pointing out that there is an absence of evidence to support the nonmoving party’s case. See id. If the moving party meets its initial burden,' the nonmoving party must set forth, by affidavit or as otherwise provided in Rule 56, “specific facts showing that there is a genuine issue for trial.” Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 250, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986); Fed.R.Civ.Proc. 56(e).. Concluso-ry, speculative testimony in affidavits or moving papers is insufficient to meet this burden, or raise genuine issues of fact defeating summary judgment. See Nelson v. Pima Community College, 83 F.3d 1075, 1081-82 (9th Cir. 1996) (“mere allegation and speculation do not create a factual dispute for purposes of summary judgment”); Thornhill Pub. Co., Inc. v. GTE Corp., 594 F.2d 730, 738 (9th Cir. 1979).
In judging the evidence presented in support of or opposition to summary judgment, the court does not make credibility determinations or weigh conflicting evidence. Rather, it draws all inferences in the light most favorable to the nonmoving party. See T.W. Electrical Service, Inc. v. Pacific Electric Contractors Ass’n, 809 F.2d 626, 630-31 (9th Cir. 1987). Nonetheless, conclusory, speculative testimony in affidavits and moving papers is insufficient to raise genuine issues of fact and defeat summary judgment. See Falls Riverway Realty, Inc. v. Niagara Falls, 754 F.2d 49, 56 (2d Cir. 1985); Thornhill Pub. Co., Inc. v. GTE Corp., 594 F.2d 730, 738 (9th Cir. 1979).
B. The Statutory Framework of DOHSA
The Death on the High Seas Act provides:
“When the death of an individual is caused by wrongful act, neglect, or default occurring on the high seas beyond 3 nautical miles from the shore of the United States, the personal representative of the decedent may bring a civil action in admiralty against the person or vessel responsible. The action shall be for the exclusive benefit of the decedent’s spouse, parent, child, or dependent relative.” 46 U.S.C. § 30302.
Where death is caused by a commercial aviation accident, the statute only applies if the accident occurred twelve nautical miles or more from shore, not three. 46 U.S.C.
Because DOHSA actions must be prosecuted by the personal representative of the decedent, beneficiaries are not independently allowed to file claims under the statute. Renner v. Rockwell Intern. Corp., 403 F.Supp. 849, 851 (C.D.Cal. 1975) (“However, actions under both DOHSA and general maritime law must be brought by the personal representative of the decedent on behalf of the appropriate beneficiaries. Therefore, defendant’s motion to dismiss the complaint as to all plaintiffs other than the personal representatives must be granted” (citations omitted)), vacated on other grounds, 587 F.2d 1030 (9th Cir. 1978); see also Homlaor v. Korean Air Lines Co., Ltd., No. 84 Civ. 4083(TPG), 1997 WL 289477, *3 (S.D.N.Y. May 30, 1997) (“Only the personal representative of the decedent has a cause of action under DOHSA, not the beneficiaries named in the statute or any other beneficiary of the decedent’s estate”); Cruz v. Korean Air Lines Co., Ltd., 838 F.Supp. 843, 847 (S.D.N.Y. 1993) (“In other words, the children lack standing to prosecute their claims, which may only be prosecuted through the personal representative of the decedent’s estate.... Under DOHSA, then, the only plaintiff in this action is Roberta Cruz, as the appointed personal representative of the decedent’s estate, and she could bring claims on behalf of others as well as on behalf of herself and her deceased husband’s estate” (citations omitted)); Cao v. Nguyen, Civ. A. No. 92-1669, 1992 WL 373563, *1 (E.D.La. Dec. 7, 1992) (“Beneficiaries may not bring maritime wrongful death actions, even where there is a conflict of interest with the decedent’s authorized personal representative”).
A personal representative must be appointed by the court. In re Air Crash Disaster off Coast of Nantucket Island, Massachusetts on October 31, 1999, No. MD-00-1344 (BMC), 2010 WL 1221401, *4 (E.D.N.Y. Mar. 29, 2010) (“Defendants’ position is fairly straightforward. They assert that the Death on the High Seas Act (‘DOHSA’) governs this dispute; that under the DOHSA, only a court-appointed personal representative of the deceased may bring suit for wrongful death; and that plaintiff Mohamed, who only became a personal representative of his deceased parents’ estate almost seven years after the limitations period expired, lacks the capacity to sue. I agree with defendants”); id. at *5 (“A ‘personal representative of the decedent must be a person empowered by law to administer the decedent’s estate,’ ” citing Complaint of Cosmopolitan Shipping Co., S.A., 453 F.Supp. 265, 266 (S.D.N.Y. 1978) (“The term personal representative requires some designation by a court that the individual seeking to prosecute the wrongful death action is an administrator of the decedent’s estate”)); see also Alcabasa, 62 F.3d at 407 (“[A] ‘personal representative’ is by definition a court-appointed executor or administrator of an estate, not merely an heir,” citing Briggs v. Walker, 171 U.S. 466, 19 S.Ct. 1, 43 L.Ed. 243. (1898)); Homlaor, 1997 WL 289477 at *3 (“The ‘personal representative’ of the decedent must be a person empowered by law to administer the decedent’s estate”).
DOHSA claims must be brought within three years of a decedent’s death.
Because plaintiffs have not been appointed personal representatives, and the statute has expired, the court begins by addressing plaintiffs’ motion to appoint personal representatives. If the court is unable to grant plaintiffs’ motion, or if the appointment does not relate back to the filing of the original complaint, then ILFC will be entitled to summary judgment as a matter of law.
C. Whether the Court Has Jurisdiction to Appoint Personal Representatives
ILFC argues that, as a threshold matter, the court lacks jurisdiction to appoint plaintiffs as personal representatives. “The probate exception is a jurisdictional limitation on federal courts that ‘reserves to state probate courts the probate or annulment of a will and the administration of a decedent’s estate; it also precludes federal courts from endeavoring to dispose of property that is in the custody of a state probate court.’ ” Hollander v. Irrevocable Trust Established by James Brown in August 1, 2000, No. CV 10-7249 PSG (AJWx), 2011 WL 2604821, *2 (C.D.Cal. June 30, 2011) (quoting Marshall v. Marshall, 547 U.S. 293, 311-12, 126 S.Ct. 1735, 164 L.Ed.2d 480 (2006)). Although some courts apply the exception only in diversity cases, the Ninth Circuit applies the exception in federal question cases as well. See In re Marshall, 392 F.3d 1118, 1132 (9th Cir. 2004), rev’d on other grounds, 547 U.S. 293, 126 S.Ct. 1735, 164 L.Ed.2d 480 (2006); see also Jones v. Brennan, 465 F.3d 304, 306-07 (7th Cir. 2006) (citing Marshall, noting the split of authority as to whether probate exception applies only in diversity cases or may be invoked in federal question cases as well, and holding that the exception applies to both); Bruce S. Ross and Jeryll S. Cohen, CalifoRnia PRACTICE Guide: Probate ¶ 3:60.25 (The Rutter Group 2013) (“There is a long-established so-called ‘probate exception’ to otherwise proper federal court jurisdiction: Even where federal district court jurisdiction otherwise exists (e.g., based on diversity of citizenship or a ‘federal question’), federal courts may not exercise jurisdiction to probate or annul a will, administer a decedent’s estate or otherwise endeavor to dispose of property in the custody of a state probate court”).
The Ninth Circuit has adopted the two step analysis set forth by the Second Circuit in Moser v. Pollin, 294 F.3d 335, 340 (2d Cir. 2002), for purposes of determining whether the probate exception applies. In re Marshall, 392 F.3d at 1132. “The first part of the inquiry focuses on the question whether the matter is purely probate in nature, in that the federal court is being asked directly to probate a will or administer an estate. As the Moser court noted ‘since few practitioners would be so misdirected as to seek, for example, letters testamentary or letters of administration from a federal judge,’ the answer to this question is almost always ‘No.’” Id. at 1133. The second step asks if “the matter is probate related by determining whether, by exercising jurisdiction over the matter, the federal court would: (1) interfere with the probate proceedings; (2) assume general jurisdiction of the probate; or (3) assume control over property in custody of the state court.” Id.
This case appears to be one of the unusual situations referenced by the Mos-er court in which counsel seeks to have the court issue letters of administration. See
The court agrees with the weight of the authority, and concludes that under the probate exception, it lacks jurisdiction to
D. Legal Standard Governing the Appointment of Personal Representatives
ILFC argues that plaintiffs’ application should be denied for the additional reason that it fails to follow the requirements of the California Probate Code. Under Rule 17(b) of the Federal Rules of Civil Procedure, the capacity of one acting in a representative capacity to sue is determined by the law of the state where the court is located. Fed.R. Crv.PROC. 17(b); Smith v. Cimmet, 199 Cal.App.4th 1381, 1393, 132 Cal.Rptr.3d 276 (2011) (“The local law of the forum — not the law of the appointing jurisdiction — determines the extent to which the forum will recognize the authority of a foreign representative ... ”). California follows the common law rule that a personal representative cannot sue in his or her representative capacity outside the state of appointment. Smith, 199 Cal.App.4th at 1391, 132 Cal.Rptr.3d 276 (citing Vaughan v. Northup, 40 U.S. 1, 5-6, 15 Pet. 1, 10 L.Ed. 639 (1841)); see also id. at 1393, 132 Cal.Rptr.3d 276 (“A foreign jurisdiction like Oregon ‘cannot confer, as a matter of right, any authority to collect assets of the deceased[ ] in any other state; and whatever operation is allowed to it beyond the original territory of the grant, is a mere matter of comity’ exercised by the forum state. Oregon’s statute cannot, as a matter of right, confer any authority upon its representatives to prosecute actions in California” (citation omitted)); Cal. Code Crv. PROC. § 1913(b) (“The authority of a guardian, conservator, or committee, or of a personal representative, does not extend beyond the jurisdiction of the government under which that person was invested with authority, except to the extent expressly authorized by statute”). Accordingly, to be appointed personal representatives for purposes of this action, plaintiffs must satisfy the requirements of California law.
As noted, the appointment of a personal representative becomes effective when the court issues letters. Cal. PROB. Code § 8400(a). “Letters,” as the term “relates to a personal representative, means letters testamentary, letters of administration, letters of administration with the will annexed, or letters of special administration.” Id., § 52(a). Additional requirements apply to personal representatives who reside outside California or the United States. A person residing outside California may be appointed a “nonresident personal representative,” but must sign and file a statement of his or her permanent address and a notice upon any change of address. Id., §§ 8570; 8573. The court may require a nonresident personal representative to furnish a bond. Id., § 8571. Prior to the issuance of letters, the representative must take an oath to perform the “duties of the office,” and file an acknowledgment of receipt of a “statement of [the] duties and liabilities of [the] office.” Id., §§ 8403, 8404. A person who is not a resident of the United States is not competent to act as a personal representative unless he or she is “named as executor or successor executor in the decedent’s will.” Id., § 8402.
“Ancillary administration” proceedings are proceedings for the administration of the estate of a non-domiciliary decedent; these can include the appointment of a local personal representative. Id., §§ 12501, 12510. The same procedures used to appoint personal representatives for California-domiciled decedents are used to appoint personal representatives in ancillary administration proceedings. Id., § 12512.
“As a general practice, a foreign representative who wants to sue, collect claims, or otherwise exercise authority over the decedent’s property situated in California petitions a California court for ancillary probate administration.” Smith, 199 Cal.App.4th at 1391, 132 Cal.Rptr.3d 276 (citing Cal. Prob.Code § 12500 et seq., and Ross and Cohen, supra, ¶¶ 14:290 et seq.) “The California court then appoints a local personal representative (commonly, the same person appointed by the sister state) who is then vested with authority to marshal California assets.” Smith, 199 Cal.App.4th at 1391-92, 132 Cal.Rptr.3d 276 (citing Cal. PROB. Code §§ 12504, 12513).
Proceedings for the administration of an estate, including ancillary proceedings, are commenced by filing a petition for probate in California state court. Cal. Prob.Code §§ 8000, 12530. A petition must contain:
(1) The date and place of the decedent’s death.
(2) The street number, street, and city, or other address, and the county, of the decedent’s residence at the time of death.
(3) The name, age, address, and relation to the decedent of each heir and devisee of the decedent, so far as known to or reasonably ascertainable by the petitioner.
(4) The character and estimated value of the property in the estate.
(5) The name of the person for whom appointment as personal representative is petitioned. Id., § 8002(a).
In addition, if the decedent left a will, the petitioner must attach a copy of the will, and if it is written in a foreign language, the petitioner must include a correct English translation. Id., § 8002(b).
(6) A hearing on the petition will be set fifteen to thirty days after it is filed. Id., § 8003(a). Due process requires that notice of the hearing be given to all “interested persons.” Tulsa Professional Collection Services, Inc. v. Pope, 485 U.S. 478, 489-90, 108 S.Ct. 1340, 99 L.Ed.2d 565 (1988) (holding that published notice was not sufficient to apprise known or reasonably ascertainable creditors that they must file claims); Estate of Carter, 111 Cal.App.4th 1139, 1145-46, 4 Cal.Rptr.3d 490 (2003) (holding that Tulsa Professional Collection Services requires that reasonably ascertainable heirs or potential heirs be given notice). Two forms of notice are required. Heirs, devisees, and any non-
E. Whether Plaintiffs Have Satisfied the Legal Standard for Appointment as Personal Representatives
Even if the court had jurisdiction to consider plaintiffs’ motion for the appointment of personal representatives, it could not grant it, since plaintiffs’ application does not satisfy California’s requirements for the appointment of personal representatives. The declaration of Mark Millard suggests that some or all of the proposed personal representatives reside outside of the United States.
ILFC argues that plaintiffs have also failed to comply with the notice requirements.
Plaintiffs cite Wallan v. Rankin, 173 F.2d 488, 493 (9th Cir. 1949), for the proposition that “[a] foreign representative may bring a wrongful death action in California federal court under [a] sister state statute as intermediary for decedent’s widow and children.”
To the extent plaintiffs intimate that they can bypass ancillary administration and the need to secure appointment by the state court as- personal representatives of the decedents, they misapprehend the holding in Wallan. Plaintiffs have not shown that they have been appointed administrators or executors in another state or country. Consequently, the Wallan exception does not apply. See Smith, 199 Cal.App.4th at 1392, 132 Cal.Rptr.3d 276 (“There is also a distinction made between a foreign representative acting in that capacity on behalf of the decedent (which is generally barred) and a foreign representative acting in another capacity such as trustee, judgment creditor, dr intermediary for decedent’s survivors in a wrongful death action (which is generally permitted)”). Appointment in some jurisdiction is particularly necessary here where only personal representatives have authority to assert a claim under DOHSA.
Plaintiffs argue in their reply that DOH-SA does not require that there be a local estate in order to maintain a DOHSA action.
Citing Stoddard v. Ling-Temco-Vought, Inc., 513 F.Supp. 339 (C.D.Cal. 1981), and Chermesino v. Vessel Judith Lee Rose, Inc., 211 F.Supp. 36, 39 (D.Mass. 1962), plaintiffs also argue that the court apportions any recovery among the appropriate heirs, such that there would be no assets for an estate to manage.
Finally, plaintiffs argue that a federal court’s power to appoint a guardian ad litem for a minor under Rule 17(c) is similar to DOHSA’s requirement that the action be initiated by a personal representative of the decedent.
For all of these reasons, even if the court had jurisdiction to appoint plaintiffs as personal representatives of the decedents, it would be unable to do so because plaintiffs have not satisfied the prerequisites to appointment nor demonstrated that they have been appointed by the courts of the decedents’ domicile.
F. Whether Appointment Would Relate Back
Plaintiffs argue that under Rule 17, their appointment as personal representatives should relate back to the time they filed their complaint,
“A literal interpretation of Rule 17(a)(3) would make it applicable to every case in which an inappropriate plaintiff has been named. However, the rule should be applied only to cases in which substitution of the real party in interest is necessary to avoid injustice.” 6A Charles Alan Wright, Arthur R. Miller, & Mary Kay Kane, FedERAl Practice And ProcedüRE: Civil 3D § 1555 (2013). The Advisory Committee Notes to the 1966 amendment to Rule 17 illustrate this principle:
“The provision ... is added simply in the interests of justice.... Modern decisions are inclined to be lenient when an honest mistake has been made in choosing the-party in whose name the action is to be filed — in both maritime and nonmaritime cases. The provision should not be misunderstood or distorted. It is intended to prevent forfeiture when determination of the proper party to sue is difficult or when an understandable mistake has been made.” Fed.R.Civ.Proc. 17(a), Advisory Committee Notes to the 1996 Amendments (citations omitted and emphasis added).
Rule 15(c) provides that an amendment to a pleading will relate back to the date of the original pleading when
“the amendment changes the party or the naming of the party against whom a claim is asserted, if Rule 15(c)(1)(B) is satisfied and if, within the period provided by Rule 4(m) for serving the summons and complaint, the party to be brought in by amendment: (I) received such notice of the action that it will not be prejudiced in defending on the merits; and (ii) knew or should have known that the action would have been brought against it, but for a mistake concerning the proper party’s identity. Fed.R.Civ. Proc. 15.
The 1966 Advisory Committee notes to Rule 15 clarify that the rule also applies to amendments changing plaintiffs. Fed. R.Civ.ProC. 15, Advisory Committee Notes to the 1966 Amendments (“The relation back of amendments changing plaintiffs is not expressly treated in revised Rule 15(c) since the problem is generally easier. Again the chief consideration of policy is that of the statute of limitations, and the attitude taken in revised Rule 15(c) toward change of defendants extends by analogy to amendments changing plaintiffs”).
Rule 15 and Rule 17 are closely related, see 1966 Advisory Committee Notes to Fed. R.Civ.ProC. 15(c); Wright et al., supra, § 1501, and courts have applied them in tandem, see United States for Use and Benefit of Wulff v. CMA, Inc., 890 F.2d 1070, 1073-75 (9th Cir. 1989) (applying Rules 15(c)-(d) and 17(a) in holding that an amended complaint did not relate back); see also Crowder v. Gordons Transports, Inc., 387 F.2d 413, 417-18 (8th Cir. 1967) (applying Rules 15(c) and 17(a) in holding that an amended complaint related back).
ILFC relies on cases in which courts concluded that an amendment did not relate back because plaintiffs were attempting to use relation back to evade the statute of limitations. In Wulff, for example, plaintiffs asserted a claim under the Miller Act six days before the statute of limitations expired, seeking money the defendant contractor owed its subcontractor; plaintiffs had previously obtained a default judgment against the subcontractor. Id. at 1071. Because the Miller Act does not apply to creditors of contractors, however, plaintiffs’ complaint did not state a cause of action under the Act. Id. at 1072, 1074. More than eight months later, plaintiffs obtained a written assignment of the subcontractor’s claim against the contractor; they amended their complaint to allege the assignment in order to bring the claim within the ambit of the Act. Id. at 1073.
The Ninth Circuit held the supplemental complaint did not relate back to the original complaint under Rule 15(d), because it involved “what is essentially a new party pursuing a new claim based on different facts.” Id. at 1073. The court then held that Rule 17(a) did not apply because plaintiffs’ persistent efforts to obtain an assignment from the subcontractor showed they knew the subcontractor was the real party in interest. It observed: “[Tjhere was no difficulty and no mistake in determining who was the proper party to bring suit.” Id. at 1074-75. It added that “Rule 17(a) does not apply to a situation where a party with no cause of action files a lawsuit to toll the statute of limitations and later obtains a cause of action through assignment. Rule 17(a) is the codification of the salutary principle that an action should not be forfeited because of an honest mistake; it is not a provision to be distorted by parties to circumvent the limitations period.” Id. at 1075.
Courts have declined to apply Rule 17(a) in DOHSA actions where plaintiffs filed suit within the statute of limitations alleging that they were the personal representatives of a decedent’s estate, but did not obtain appointment until after the statute of limitations had expired. In Cao, 1992 WL 373563, the court followed Wulff and held that Rule 17(a) did not apply to a
Similarly, in In re Air Crash Disaster off Coast of Nantucket Island, Massachusetts on October 31, 1999, 2010 WL 1221401, plaintiff filed a DOHSA claim as the decedent’s personal representative, but only sought appointment as personal representative months later. Nearly eight years passed before he was finally appointed. Id. at *5-6. The court held Rule 17(a) did not apply and noted that plaintiffs efforts to secure appointment as personal representative after he filed his lawsuit showed that he knew he did not have the right to bring the action. Id. at *6. As the court explained: “Rule 17(a) has no application to plaintiff Mohamed, who filed this lawsuit when he had no cause of action and later obtained the cause of action through his appointment as a representative.” M
Other courts, by contrast, have permitted DOHSA actions to proceed where the plaintiff filed suit when not yet appointed personal representative, and secured appointment only after the statute of limitations had expired. In a recent case in this district, In re Seaway Co. of Catalina, No. CV 11-0336 PA (Ex), 2013 WL 877393 (C.D.Cal. Mar. 7, 2013), the plaintiff filed a DOHSA claim within the statute of limitations, but was not appointed personal representative of the decedent’s estate until slightly more than a month after the limitations period expired. Id. at *10. The court held that plaintiff had standing to assert the claim because he “cured the real party in interest issue within a reasonable time.” Id. at *10. It did not further detail its reasoning.
Plaintiffs cite Estate of Hirata v. Ida, No. 10-00084 LEK, 2012 WL 3777148 (D.Haw. Aug. 28, 2012), in which the plain
Plaintiffs also cite cases in which courts have applied Rule 17 in non-DOHSA settings-. Brohan v. Volkswagen Mfg. Corp. of America, 97 F.R.D. 46 (E.D.N.Y. 1983), was a wrongful death action filed after a decedent was killed by a malfunctioning cherry picker. Id. at 48. The decedent’s widow filed an action on October 2, 1979; New York law required that the claim be brought only by the decedent’s personal representative. Id. at 49. Plaintiff, however, filed the action as an individual and did not secure appointment as executrix of her husband’s will until after September 2, 1982, nearly one year after the statute of limitations had expired. Id. at 48. The concluded held that plaintiff had made an “honest mistake,” and that her “lateness in obtaining and pleading her appointment as executrix [was] the kind of technical mistake apparently contemplated by Rule 17(a).” Id. at 49. The court then addressed whether plaintiff had moved to cure the mistake within a “reasonable time” as required by Rule 17(a). Id. It observed that the issue of standing had first been raised on November 24, 1980, and that plaintiff moved to amend her complaint to sue as executrix on October 19, 1982. It found this was a “reasonable time” within the meaning of Rule 17(a). Id.
In Crowder v. Gordons Transports, Inc., 387 F.2d 413 (10th Cir. 1967), an Arkansas widow instituted a timely action for the wrongful death of her husband as adminis-tratix of his estate in the mistaken belief that the Arkansas wrongful death statute
In Esposito v. United States, 368 F.3d 1271 (10th Cir. 2004), the district court dismissed a Federal Tort Claims Act wrongful death action filed in the name of the decedent. Id. at 1272. The court denied plaintiffs motion to substitute the decedent’s widow and administratrix as plaintiff after the limitations period had expired, reasoning that Rule 17(a) did not apply because while the mistake in naming decedent as plaintiff was “honest,” it was not “understandable.” Id. The Tenth Circuit reversed. Id. The court stated: “In this circuit, however, we have never required a plaintiff seeking substitution to show that his mistake was ‘understandable’ in addition to being ‘honest.’ Instead, our cases focus primarily on whether the plaintiff engaged in deliberate tactical maneuvering (i.e. whether his mistake was ‘honest’), and on whether the defendant was prejudiced thereby.” Id. at 1276. The rule in the Ninth Circuit, however, appears to be different. In Wulff, the court emphasized that “The purpose of ... Rule 17(a) is to prevent forfeiture of an action when determination of the right party to sue is difficult or when an understandable mistake has been made.” 890 F.2d at 1074. See also Dunmore v. United States, 358 F.3d 1107, 1112 (9th Cir. 2004) (stating that under Rule 17(a), “[pjrovided Dun-more’s decision to sue in his own name was an ‘understandable mistake,’ the real party in interest’s ratification relates back to the . October 17, 1997, filing date of the complaint,” and citing Wulff); Goodman v. United States, 298 F.3d 1048 (9th Cir. 2002) (quoting Wright & Miller’s statement that “Rule 17(a) ‘is designed to avoid forfeiture and injustice when an understandable mistake has been made in selecting the party in whose name the action should be brought,’ ” and citing Wulff). These cases suggest that the court must evaluate whether plaintiffs were unaware they needed to obtain appointment as the decedents’ personal representatives at the time they filed the action. Plaintiffs can make a credible argument that they were unaware of the need to secure appointment as the decedents’ personal representatives, since their original complaint did not plead a claim under DOHSA. No later than September 7, 2011, however, when the court decided ILFC’s first motion to dismiss, plaintiffs knew that the only claim they could assert was a DOHSA claim, and that in order to prosecute the claim, they had to be appointed the personal representatives of the decedents. Plaintiffs filed an amended complaint twenty days later, on September 27, 2011, alleging that they were the decedents’ personal representatives, but took no steps to secure appointment until they filed the instant motion on July 1, 2013. Although the court is not aware of any evidence that plaintiffs engaged in deliberate efforts to circumvent the statute of limitations, cf. Wulff, 890 F.2d at 1075 (Rule 17(a) is not to be used
Plaintiffs cannot claim “honest” ignorance of* the personal representative requirement — and, to them credit, they do not attempt to do so — because the court •informed them in its September 7, 2011 order that a DOHSA action must be brought by the decedents’ personal representatives, that a “ ‘personal representative’ is by definition a court-appointed executor or administrator of an estate, not merely an heir,” and that a personal representative “must be a person empowered by law to administer the decedent’s estate.”
Plaintiffs’s counsel assert that he was unable to communicate with his clients in the Comoros because plaintiffs’ Comoran counsel was unavailable “for quite some time.”
G. Whether ILFC Waived Any Objection to Plaintiffs’ Appointment as Personal Representatives
Plaintiffs also argue that ILFC has waived any objection to their appointment as personal representatives.
H. Whether the Relatives on Whose Behalf Plaintiffs Sue Can Recover Under DOHSA
ILFC next contends that plaintiffs have not demonstrated that all of the individuals identified in the documents attached to their motion fall within the narrow class of beneficiaries eligible to recover under DOHSA.
Plaintiffs attach documents to their motion listing individuals they assert are decedents’ lawful heirs and identifying those individuals’ relationships to the decedents.
I. Conclusion Regarding Plaintiffs’ Motion to Appoint Personal Representatives
The court lacks jurisdiction to appoint plaintiffs as the personal representatives of the decedents. Even if the court had jurisdiction, moreover, it could not grant plaintiffs’ motion because their application is deficient under California law and they have not shown that they were duly appointed by any other state or country. Consequently, plaintiffs’ motion is denied. Plaintiffs ask that the court afford them a reasonable time to seek appointment as personal representatives in California probate court.
J. Whether the Court Should Grant ILFC’s Motion for Summary Judgment
As noted, the parties’ arguments in support of and opposition to ILFC’s motion for summary judgment are similar to the arguments advanced concerning plaintiffs’ motion for appointment as personal representatives. In support of its motion, ILFC adduces evidence that plaintiffs have not been appointed personal representatives by any foreign court. Specifically, ILFC proffers a letter from counsel for Yemeni Airlines stating that the airline has conducted “extensive investigations” of the plaintiffs, and that, with one exception, they are pursuing claims in their own right against Yemenia in either France or the Comoros.
In opposition to ILFC’s summary judgment motion, plaintiffs proffer the evidence they adduced to support their motion for appointment as personal representatives. Plaintiffs also proffer their responses to ILFC’s interrogatories, as well as the letter from Yemenia’s counsel.
III. CONCLUSION
For the reasons stated, plaintiffs’ motion to appoint personal representatives is denied and ILFC’s motion for summary judgment is granted.
. Defendant International Lease Finance Corporation's Notice of Removal ("Removal”), Complaint, Docket No. 1 (Mar. 16, 2011) at 9.
. Third Amended Complaint ("TAC”), Docket No. 74 (Sept. 20, 2012) ¶ 60.
. Removal at 1-3.
. First Amended Complaint ("FAC"), Docket No. 22 (May 12, 2011).
. Motion to Dismiss, Docket No. 24 (May 3, 2011).
. Order Granting Motion to Dismiss and Denying Motion to Remand Case ("Order”), Docket No. 40 (Sept. 7, 2011) at 24-25.
. Id. at 17.
. Id. at 18-20.
. Id. at 19.
. ILFC’s Statement of Uncontroverted Facts and Conclusions of Law ("SUF"), Docket No. 86-1 (July 5, 2013), ¶ 4; Plaintiffs’ Separate Statement of Uncontroverted Facts and Conclusions of Law ("SGI”), Docket No. 100 (Sept. 16, 2013), ¶ 4. In their statement of genuine issues, plaintiffs concede only that Comoran counsel was not responding to communications from Los Angeles counsel "for a period of time.” (SGI, ¶ 4). In his declaration accompanying plaintiffs’ motion to appoint personal representatives, however, plaintiffs’ counsel states that "[p]laintiffs['] Comoran counsel became unavailable for quite some time[J” (Declaration of Mark Millard ("Millard DecL”), Docket No. 82-1 (July 1, 2013), ¶ 5.) The court treats this statement by counsel as a party admission. Fed. R.Evid. 801(d)(2); Totten v. Merkle, 137 F.3d 1172, 1176 (1998) ("First, because it was Tot-ten’s habeas attorney who offered this document into evidence, it qualifies as an admission of a party. Under the federal rules, a statement made by an attorney is generally admissible against the client").
. Second Amended Complaint, Docket No. 43 (Sept. 27, 2011), ¶¶ 1-44.
. Order Granting Stipulation to Amend the Complaint, Docket No. 66 (Aug. 8, 2012); see also Opposition to Defendants' Motion for Summary Judgment ("MSJ Opposition”), Docket No. 98 (Sept. 16, 2013) at 11.
. Motion to Appoint Personal Representatives ("Personal Representatives Motion”), Docket No. 82 (July 1, 2013) at 2.
. Memorandum in Opposition to Motion to Appoint Personal Representatives ("Personal Representatives Opposition”), Docket No. 113 (Sept. 30, 2013).
. Motion for Summary Judgment ("MSJ”), Docket No. 86 (July 5, 2013).
.MSJ Opposition.
. TAC, ¶ 49.
. Id., ¶¶ 52, 54-55.
. Id., ¶ 56.
. Id., ¶ 58.
. Id., ¶59.
. Id.; SUF, ¶ 2; SGI, ¶ 2.
. TAC, ¶ 60.
. Id., ¶ 68.
. Id., ¶ 61.
. Id., ¶ 69.
. Id., ¶¶ 69, 80.
. Id., ¶ 80.
. Id., ¶¶ 78-90.
. Id., ¶¶ 1-44. Youssouf Itrisso Fatima is identified as the personal representative for both Youssoufa Hassana and Youssoufa Has-sanati. {Id., ¶¶ 28-29.) It is unclear whether Youssoufa Hassana and Youssoufa Hassanati are one in the same.
. SUF, ¶ 1; SGI, ¶ 1. ILFC asserts that no plaintiff has been appointed personal representative, while plaintiffs concede only that they have not received a "Judicial appointment.” Under DOHSA, personal representatives must be appointed by a court. Alcabasa v. Korean Air Lines Co., Ltd., 62 F.3d 404, 407 (D.C.Cir. 1995) ("[A] 'personal representative’ is by definition a court-appointed executor or administrator of an estate, not merely an heir”). Consequently, the distinction plaintiffs attempt to draw is not a meaningful one.
. Personal Representatives Motion at 2.
. Id.
. This difference is immaterial, since plaintiffs allege that Yemenia Airlines Flight 626 crashed over the Indian Ocean. (TAC, ¶ 68). The court takes judicial notice of the fact that the Indian Ocean is more than 12 nautical miles from the shore of the United States. See Heay v. Phillips, 201 F.2d 220, 223 (9th Cir. 1952) (taking judicial notice of Alaska's large size).
. Millard Decl., ¶ 83 ("Plaintiffs Personal Representatives in France and the Comoros
. The documents plaintiffs filed with their motion list only the names of each beneficiary and his or her relationship to the decedent. (Exhibits to Declaration of Mark E. Millard, Docket Nos. 82-2, 82-3, and 82-4 (July 1, 2013), Exhs. 1-44.)
. Personal Representatives Opposition at 14.
. Personal Representatives Motion at 3.
.Reply to Opposition to Defendant International Lease Finance Corporation’s Opposition to Plaintiffs’ Motion for Appointment of Personal Representatives (“Reply to Personal Representatives Opposition”), Docket No. 114 (Oct. 7, 2013) at 3.
. Personal Representatives Motion at 3.
. Id. at 4-5.
. Personal Representatives Motion at 5.
. Id. at 12.
. In Wulff, the Ninth Circuit concluded that Rule 15(d) applied, rather than Rule 15(c), because the amendment concerned the assignment of a claim after the action was commenced. It held, however, that the distinction was immaterial. 890 F.2d at 1073.
. Plaintiffs note that In re Air Crash Disaster off Coast of Nantucket Island is an unpublished case. (Personal Representatives Motion at 17.) To the extent plaintiffs intimate that this and other unpublished cases are without precedential value, they are mistaken. See Continental Western Ins. Co. v. Costco Wholesale Corp., No. CIO-1987 RAJ, 2011 WL 3583226, *3 (W.D.Wash. Aug. 15, 2011) ("When looking to another federal district court decision, it generally does not matter whether the decision is 'published' in an official reporter, 'unpublished' in that it is published only on an electronic database, or 'unpublished' in the sense that it exists only in paper format in the archives of whatever court issued it. A few district court judges designate some of their own decisions as "Not for Publication" or "Non-Precedential” and decree that others should not cite them. Whatever legal effect their decrees might have, as a practical matter they serve as a signal to another court that the court issuing the decision did not intend it to contribute to shaping the law. Sometimes, moreover, the length and tenor of a decision (be it published or unpublished) suggests that the issuing court did not intend it to contribute to the development of the law. This court takes that into consideration when reviewing any nonbinding precedent of another court. But this court has never forbidden the citation of ‘unpublished’ federal district court decisions”); see also Bahrampour v. Lampert, 356 F.3d 969, 977 (9th Cir. 2004) ("The district court determined that in forming its regulations, ODC properly relied on unpublished opinions, despite their lack of binding prece-dential effect. ODC argues before this Court that unpublished decisions can be considered in determining whether the law was clearly established. We agree”).
. Order at 18-20 (emphasis added).
. This distinguishes the present situation from Brohan, where the court found that a plaintiff who secured appointment as personal representative some two years after the defendant first raised lack of standing in its answer had acted within a reasonable time. See Brohan, 97 F.R.D. at 49.
. Declaration of Mark E. Millard in Support of Plaintiffs['] Opposition to Motion for Summary Judgment, Docket No. 99 (Sept. 16, 2013), ¶¶7-8. Millard’s declaration states that plaintiffs have counsel both in France and Comoros. (Id., ¶ 6.) Millard does not assert that he was unable to communicate with French counsel during the period Comoran counsel were unavailable. Sixteen plaintiffs are French citizens and 46 are French residents; this is in addition to 73 Comoran citizens and 53 Comoran residents. (Declaration of Mark E. Millard in Support of Plain
. MSJ Opposition at 21-22.
. Notice of Motion and Motion to Dismiss, Docket No. 17 (April 22, 2011) at 5.
. Notice of Motion and Motion to Dismiss, Docket No. 24 (May 31, 2011) at 5.
. Answer to Amended Complaint, Docket No. 44 (Oct. 17, 2011), ¶¶ 1-44.
. Id. at 16.
. At the hearing, plaintiffs argued that ILFC first objected to their status in its motion for summary judgment, and that plaintiffs had not had "a reasonable time” to demonstrate that they are the real parties in interest or to substitute the real parties as required by Rule 17(a)(3). This argument ignores ILFC’s multiple prior objections that plaintiffs had not alleged and had not demonstrated that they were the personal representatives of the decedents.
. Although the In re Air Crash Disaster off Coast of Nantucket Island court analyzed whether plaintiffs were entitled to bring a DOHSA claim as a question of capacity to sue, and addressed waiver under Rule 9(a), the more appropriate question is whether plaintiffs are the real party in interest under Rule 17(a), which does not implicate Rule 9(a). See Wright et al, supra, § 1542 ("As used in Rule 17(a), the real-party-in-interest principle is a means to identify the person who possesses the right sought to be enforced. Therefore, the term directs attention to whether plaintiff has a significant interest in the particular action plaintiff has instituted, and Rule 17(a) is limited to plaintiffs. By way of contrast, capacity is conceived to be a party’s personal right to litigate in a federal court. The issue is determined under Rule 17(b) and Rule 17(c) for all parties to the suit and is neither limited to plaintiffs, nor dependent on the character of the specific claim involved in the litigation. Thus it is possible to be the real party in interest and yet lack capacity to sue because a person has become mentally incompetent or is an infant. Conversely, a person may have capacity to sue under Rule 17(b), but if the person has assigned all interest in the claim before the action is instituted, the person no longer is the real party in interest. Although real party in interest and capacity occasionally have been confused by the courts without notable consequence to the parties, the distinction can have procedural significance”). "Federal Rule of Civil Procedure 9(a) requires that the lack of capacity defense be raised 'by a specific denial, which must state any supporting facts that are peculiarly within the parties’ knowledge.’ The capacity defense is an affirmative defense, and can be waived if not raised 'in a timely matter, i.e., at the outset of the lawsuit.' ” In re Air Crash Disaster off Coast of Nantucket Island, 2010 WL 1221401 at *6 (citations omitted). See also De Saracho v. Custom Food Mach., Inc., 206 F.3d 874, 878 (9th Cir. 2000) ("Case law in this circuit states that the 'specific negative averment’ must be made ‘in the responsive pleading or by motion before pleading,’ ” quoting Summers v. Interstate Traptor & Equip. Co., 466 F.2d 42, 49-50 (9th Cir. 1972)). Although not subject to the heightened requirements of Rule 9(a)(2), in the Ninth Circuit, Rule 17(a) is an affirmative defense that is waived if not raised in a timely manner. United States ex rel. Reed v. Callahan, 884 F.2d 1180, 1183 n. 4 (9th Cir. 1989) (refusing to address a real party in interest defense raised for the first time on appeal); see also Wright et al, supra, § 1542 ("Despite the absence of a comparable requirement in the rules for objecting to a party’s failure to comply with Rule 17(a), that defense, since it is dilatory in nature, also should be raised promptly. Any unreasonable delay may encourage the court to deny the objection on the ground of prejudice”). ILFC satisfied either rule, because it raised the defense in its motion to dismiss plaintiffs’ original and first amended complaints, and again in its answer to plaintiffs' second amended complaint.
The court notes that, in contrast to In re Air Crash Disaster off Coast of Nantucket Island, the Helman court analyzed plaintiffs’ ability to file a DOHSA action as a question of standing. Standing, of course, acts as a limitation on the subject matter jurisdiction of federal courts and can be raised by a party or by the court sua sponte. See Wright et al., supra, § 1542 ("In this context, objections to standing, unlike Rule 17(a) objections, cannot be waived and may be raised by a federal court sua sponte ”).
. Personal Representatives Opposition at 12-13.
.Millard Exhs., Exhs. 1-44. Two of the numbered exhibits state that they have intentionally been left blank, while four state that there is a missing “affidavit” that will be submitted at a later date. Plaintiffs did not supplement their filing prior to the date of the hearing.
. Reply to Personal Representatives Opposition at 5.
. Declaration of Matthew J. Kalas, Docket No. 86-2 (July 5, 2013), ¶¶2-3; id., Exh. A.
. Id.
. Id.., ¶ 4; id., Exhs. C.
. Id., Exh. C.
. MSJ Opposition, Exhs. 4-6, Docket Nos. 101-110.
. SGI, ¶1; SUF, ¶1.
. ILFC made several evidentiary objections to plaintiffs’ evidence. (Reply in Support of Motion for Summary Judgment, Docket No. Ill (Oct. 7, 2013) at 15-18.) Because the court has concluded that it is appropriate to grant ILFC’s motion for summary judgment, it need not address ILFC's objections to the admissibility of plaintiffs' evidence.
Reference
- Full Case Name
- Mmadi Mlatamou HASSANATI, individually, as heir and as Successor in Interest to Mohamed Abdou Said, deceased Mmadi Mlatamou Hassanati, as Guardian ad Litem for MMR, MMR, MR, MMH, and MMH, minors and heirs to Mohamed Abdou Said v. INTERNATIONAL LEASE FINANCE CORPORATION and Does 1-100
- Cited By
- 10 cases
- Status
- Published