Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-azd-4_11-cv-00790/USCOURTS-azd-4_11-cv-00790-1/pdf.json

Nature of Suit Code: 442
Nature of Suit: Civil Rights Employment
Cause of Action: 28:1441 Petition for Removal - Employment Discrimination

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IN THE UNITED STATES DISTRICT COURT

FOR THE DISTRICT OF ARIZONA

RONALD ARMSTRONG,

Plaintiff, 

vs.

TOWN OF HUACHUCA CITY,

BYRON ROBERTSON,

Defendants. 

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No. CIV 11-790-TUC-CKJ (BPV) 

ORDER

On August 7, 2012, Magistrate Judge Bernardo P. Velasco issued a Report and

Recommendation (Doc. 16) in which he recommended Defendants’ Motion to Dismiss (Doc.

5) be denied, Defendants’ Motion to Strike (Doc. 10) be granted, and Plaintiff’s Motion to

Amend (Doc. 13) be granted. The magistrate judge advised the parties that written

objections to the Report and Recommendation were to be filed within fourteen (14) days of

service of a copy of the Report and Recommendation pursuant to 28 U.S.C. § 636(b) and that

responses were to be filed within fourteen (14) of service of any objections. Defendants have

filed an objection; Plaintiff has not filed a response.

Defendants have requested the Court to schedule this matter for oral argument. The

Court declines to schedule this matter for oral argument. See generally LRCiv. 7.2(f).

Notice of Claim - Sum Certain 

The magistrate judge determined that the Notice of Claim submitted by Plaintiff

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Ronald Armstrong (“Armstrong”) adequately set forth a sum certain as required by A.R.S.

§ 12-821.01(A) and recommended the Motion to Dismiss be denied on this basis.

Defendants argue that the magistrate judge’s recommendation inserts a “reasonableness” or

“substantial compliance” standard into the statute’s requirement that a claimant include a

specific amount for which the claim can be settled. Deer Valley Unif. Sch. Dist. No. 97 v.

Houser, 214 Ariz. 293, 152 P.3d 490 (2007). Indeed, the Deer Valley Court stated:

The notice of claim statute is clear and unequivocal: The statute instructs that a claim

“shall also contain a specific amount for which the claim can be settled and the facts

supporting that amount.” A.R.S. § 12–821.01.A (emphasis added). This language

unmistakably instructs claimants to include a particular and certain amount of money

that, if agreed to by the government entity, will settle the claim.

214 Ariz. at 296, 152 P.3d at 493. 

In Deer Valley, the plaintiff had defined her economic damages as “‘approximately

$35,000 per year or more going forward over the next 18 years.’” Id., emphasis in original.

The plaintiff also referred to a raise of $6,000 and noted that “she anticipated ‘similar

appropriate pay increases' over the next eighteen years.” Id. Further, the plaintiff stated that

“her damages for emotional distress and harm to her reputation are ‘no less than’ $300,000

and $200,000, respectively.” Id. The Court determined that “[t]hese statements simply do

not define a specific amount that [plaintiff] would have accepted to resolve her dispute” Id.

Therefore, “[i]n light of this substantial variation in potential value and the absence of any

clear aggregate claim amount in her letter, the amounts identified in [plaintiff's] letter cannot

be considered ‘specific.’” Id. at 494.

Unlike in Deer Valley, Armstrong’s Notice of Claim does not include the repeated use

of qualifying language. Armstrong’s demand is a clear aggregate sum that, if agreed to by

Defendants, would settle all of Armstrong’s claims. In a similar case, another district court

stated: “Nevertheless, [Defendant] goes out of its way to interpret the settlement amount

ambiguously, arguing that Plaintiffs’ reference to attorneys’ fees takes away the specificity

of any demand.” Auble v. Maricopa County, No. CV 08-1822-PHX-MHM, 2009 WL

3188378 * 3 (D.Ariz. 2009). However, in Auble, the plaintiffs had made clear that their

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demand was separate from court-awarded fees and costs. Id. While there is no comparable

statement in this case, the Court does not find the statement to be ambiguous. Rather, the

Notice of Claim stated the date of Armstrong’s employment termination and Arizona law

specifically provides a prejudgment interest rate. A.R.S. § 44-1201. 

“The Court can find nothing confusing about [Plaintiff’s] settlement demand and must

therefore conclude that any ambiguity complained of by [Defendants] is of their own

creation. [Plaintiff’s] notices of claim satisfy the [sum certain] notice of claim requirement

under A.R.S. § 12–821.01A.” Auble, at * 4.

Notice of Claim - Basis of Claim 

The magistrate judge determined that Armstrong’s Notice of Claim adequately stated

sufficient facts regarding the events and action to understand the basis of the claims, i.e., to

allow Defendants to adequately investigate and assess the claims. Defendants assert that,

“the notice of claim statute requires sufficient facts to understand the basis – the facts and the

basis are not the same thing. A claimant must include enough facts so that a public entity can

objectively identify what type of claim they are facing.” Objections, p. 5.

The Notice must “contain a specific amount for which the claim can be settled and the

facts supporting that amount.” A.R.S. § 12-821.01.A. Presenting “‘facts supporting that

amount’ requires that claimants explain the amounts identified in the claim by providing the

government entity with a factual foundation to permit the entity to evaluate the amount

claim.” Deer Valley, 214 Ariz. at 296, 152 P.3d at 493. This “requirement ensures that

claimants will not demand unfounded amounts that constitute ‘quick unrealistic exaggerated

demands.” Id., quoting Hollingsworth v. City of Phoenix, 164 Ariz. 462, 466, 793 P.2d 1129,

1133 (App. 1990).

The Supreme Court of Arizona has stated:

 The approach that best furthers legislative intent is to allow a claimant to decide what

facts support the amount claimed and to disclose those facts as part of the notice of

claim. As the State points out, only the claimant knows which facts he regards as

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The Backus Court pointed out that “a public entity can request more facts if needed

to evaluate a claim.” 220 Ariz. at 107, 203 P.3d at 505.

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supporting the amount claimed. Accordingly, the statutory requirement that the claim

include the facts supporting the amount claimed must refer to the view of the

claimant, rather than to that of the public entity. We hold, therefore, that a claimant

complies with the supporting-facts requirement of § 12–821.01.A by providing the

factual foundation that the claimant regards as adequate to permit the public entity to

evaluate the specific amount claimed. This standard does not require a claimant to

provide an exhaustive list of facts; as long as a claimant provides facts to support the

amount claimed, he has complied with the supporting-facts requirement of the statute,

and courts should not scrutinize the claimant's description of facts to determine the

“sufficiency” of the factual disclosure.

Backus v. State, 220 Ariz. 101, 106-7, 203 P.3d 499, 504-5 (2009). Armstrong’s Notice of

Claim provides “facts to support the amount claimed[.]” Id. The Notice of Claim states facts

regarding Armstrong’s former employment as a city clerk, age discrimination, a hostile work

environment, and retaliation and asserts that Armstrong was wrongfully terminated from his

employment. In other words, Armstrong stated in his Notice of Claim that he was employed

by the Town of Huachuca City and, as he was no longer employed by the town of Huachuca

City, he demanded $300,000 in lost wages. Clearly, Armstrong “provided those facts [he]

regarded as supporting the specific amounts [he] claimed. Accordingly, [the] notice of claim

letter[] compl[ies] with A.R.S. § 12–821.01.A.” Id. at 107, 203 P.3d at 505.1

Armstrong as Policymaker

Defendants have argued that dismissal of the age discrimination and retaliation claims

is appropriate because Armstrong was a policymaker rather than an employee for purposes

of the Age Discrimination in Employment Act of 1967, 29 U.S.C. § 621, et seq., (“ADEA”)

and 42 U.S.C. 2000(e), et. seq., and the Arizona Civil Rights Act, A.R.S. § 41-1481, et. seq,

(“ACRA”). The magistrate judge stated:

The Court finds that the issue of whether or not Plaintiff was a policymaker in his

capacity as town clerk remains an issue of fact in this matter. The Defendants claim

that Plaintiff’s position as town clerk rendered him a policymaker, and the Plaintiff

contends that his responsibilities did not amount to a role as a policymaker. Whether

an employee is a policymaker is a legal question that rests on factual findings, making

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this an improper question for a motion to dismiss in the face of obvious disputed

factual assertions. The relevant issues in this determination are questions of fact, and

the Court finds that necessary factual information is not currently found in the record.

The Court finds that Plaintiff’s complaint is sufficient to withstand a motion to

dismiss at this time, but that the Defendants may well be able to demonstrate in a

motion for summary judgment that Plaintiff’s responsibilities and duties rendered him

a policymaker for purposes of exempting him from filing claims under the ADEA and

ACRA. Accordingly, the Court leaves the question of whether Plaintiff is excluded

from ADEA and ACRA as a policymaker to be determined on a motion for summary

judgment.

Report and Recommendation, pp. 12-13. Defendants assert, however, that Armstrong’s job

and responsibilities are not in dispute. 

Although Armstrong’s job and responsibilities may not be in dispute, they are not

alleged in the Complaint. However, they are set forth in Article 3-2-1 of the Town Code,

which has been provided by Defendants. Motion to Dismiss, Ex. 2. Furthermore, Armstrong

has not objected to consideration of the Town Code and, indeed, argues that the Town Code

supports his position. The Court finds it appropriate to take judicial notice of the Town

Code. See e.g., Toney v. Burris, 829 F.2d 622 (7th Cir. 1987). 

The Ninth Circuit has stated:

In Fazio, we set forth “[s]ome factors to be considered when determining whether a

job is a policymaking position,” including “vague or broad responsibilities, relative

pay, technical competence, power to control others, authority to speak in the name of

policymakers, public perception, influence on programs, contact with elected officials,

and responsiveness to partisan politics and political leaders.” 125 F.3d at 1334 n. 5.

These factors are intended to guide the “policymaker” analysis, but not supplant what

we have called “the essential inquiry” — whether “party affiliation is an appropriate

requirement for the effective performance of the public office involved.” Id. at 1331.

Hunt v. County of Orange, 672 F.3d 606, 613 (9th Cir. 2012), quoting Fazio v. City and

County of San Francisco, 125 F.3d 1328 (9th Cir.1997). Indeed, while the factors are

relevant in determining whether a person is a policymaker, the factors are to be considered

in light of the underlying purpose of the policymaker exception: “the question is whether the

hiring authority can demonstrate that party affiliation is an appropriate requirement for the

effective performance of the public office involved.” Hunt, 672 F.3d at 611-12, quoting

Branti v. Finkel, 445 U.S. 507, 518, 100 S.Ct. 1287, 63 L.Ed.2d 574 (1980).

In this case, Armstrong had specific duties provided for in the Town Code; however,

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they were vague and broad in that they were at the direction of the town council. See Town

Code, § 3-2-1, Doc. 5-1. Indeed, even though Armstrong had the authority to control others,

Town Code, § 3-2-1(G), such authority was as directed by the town council. Similarly,

although the defense argues that Armstrong’s presentation of the budget supports a

conclusion that he was a policymaker, the Town Code appears to state that budgetary

decisions were made by the town council. Town Code, § 3-2-1(F). Additionally, it appears

that Armstrong had extensive contact with elected officials. However, neither the Town

Code nor the allegations in the Complaint establish the other factors. Moreover, although

the issues presented indicate that a recall election may have played some role in

circumstances, see Doc. 1, p. 22 of 34, neither the Town Code nor the allegations in the

Complaint indicate whether party affiliation is an appropriate requirement for the effective

performance of the Town Clerk. The Court agrees with the magistrate judge that resolution

of this issue in determining whether Armstrong’s Complaint adequately states a claim upon

which relief may be granted is not appropriate. The Court will deny the Motion to Dismiss.

Conclusion

After an independent review, the Court finds denial of the Motion to Dismiss, as set

forth by the magistrate judge, to be appropriate. Further, the Court has reviewed the analysis

and recommendations of the magistrate judge as to Defendants’ Motion to Strike (Doc. 10)

and Armstrong’s Motion to Amend and finds it appropriate to adopt these recommendations.

Accordingly, IT IS ORDERED:

1. The Report and Recommendation (Doc. 16) is ADOPTED.

2. Defendants’ Motion to Dismiss (Doc. 5) is DENIED.

3. Defendants’ Motion to Strike (Doc. 10) is GRANTED.

4. Plaintiff’s Motion to Amend (Doc. 13) is GRANTED. Plaintiff shall

electronically file the Amended Complaint within ten (10) days of this Order. See Electronic

Case Filing Administrative Policies and Procedures Manual, § II.H. 

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5. This matter is referred back to Magistrate Judge Bernardo P. Velasco for

further pretrial proceedings and report and recommendation in accordance with the

provisions of 28 U. S. C. § 636(b)(1) and L.R.Civ. 72.1 and 72.2.

DATED this 11th day of September, 2012.

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