Delmus PUNTON, Plaintiff-Appellee/Cross-Appellant, v. The CITY OF SEATTLE, Defendant-Appellant/Cross-Appellee.
Nos. 83-3890, 83-4132
United States Court of Appeals, Ninth Circuit
Decided Dec. 9, 1986
805 F.2d 1378
Argued and Submitted March 8, 1984. Submission Vacated Jan. 17, 1985. Resubmitted May 5, 1986.
In this matter, the Krugerrands were directly traceable to the fraudulent taking and carrying away of funds in the care, custody, control and possession of ASL. In fact, the purchase of the Krugerrands was the object of the conspiracy to take and carry away Kaplan‘s funds deposited at ASL.
The judgment is AFFIRMED.
Lawrence B. Linville, Keller, Rohrback, Waldo, Hiscock, Butterworth & Fardal, Seattle, Wash., for plaintiff-appellee/cross-appellant.
Susan Rae Sampson, Asst. City Atty., Seattle, Wash., for defendant-appellant/cross-appellee.
Before WRIGHT, GOODWIN and NORRIS, Circuit Judges.
GOODWIN, Circuit Judge:
In September 1980, Punton, an officer of the Seattle Police Department, was dismissed from his job for conduct unbecoming an officer, disobedience of a superior‘s order, allowing unauthorized persons to ride in his patrol car and other infractions of department rules. Punton was not advised of the charges against him or afforded a hearing at any time prior to receiving his notice of dismissal.
Shortly after his dismissal, Punton filed an appeal with the Seattle Public Safety Civil Service Commission. He argued that the department‘s failure to provide a pretermination hearing rendered his discharge constitutionally invalid. The commission did not reach the constitutional question. Believing its jurisdiction to be “confined to the determination . . . whether [the] removal, suspension, demotion or discharge was made in good faith,” the commission affirmed the dismissal.
Punton then sought a writ of certiorari in King County Superior Court pursuant to
The superior court concluded that dismissal without a hearing violated Punton‘s state and federal due process rights. Punton did not seek general damages. The court ordered Punton‘s reinstatement with back pay and awarded Punton attorneys’ fees.
The commission appealed from the superior court to the Washington Court of Appeals. The court of appeals affirmed Punton‘s reinstatement, agreeing that there had been a due process violation. The appellate court, however, reversed the award of attorneys’ fees. The court stated that proceedings pursuant to a writ of certiorari are limited in scope and may only “secure the rendition of ‘the judgment which should have been rendered by the lower tribunal.‘” Punton v. City of Seattle Public Safety Commission, 32 Wash.App. 959, 970, 650 P.2d 1138, 1144 (1982) (quoting Bringgold v. City of Spokane, 19 Wash. 333, 336, 53 P. 368, 369 (1898)), cert. denied, 98 Wash.2d 1014 (1983). Thus, the court concluded, “the relief granted under the writ may be only that which is necessary to set aside action in excess of ‘the jurisdiction of [the] tribunal, board or officer, or [is illegal]’ (sic) or to ‘correct any erroneous or void proceeding, or a proceeding not according to the course of the common law.‘” Id. (quoting
While awaiting the decision of the Washington Court of Appeals, Punton filed this action in the United States District Court for the Western District of Washington. Once again, Punton alleged that his dismissal violated his due process rights. In federal court Punton sought damages for emotional distress resulting from the city‘s alleged violation of his constitutional rights, and attorneys’ fees under
We turn first to the city‘s appeal. As already indicated, the city contends that Punton‘s action was barred by the doctrine of res judicata.
In cases brought pursuant to
Under Washington law, clearly those claims which were actually litigated in the earlier proceeding are barred. Seattle-First National Bank v. Kawachi, 91 Wash.2d 223, 226, 588 P.2d 725, 727 (1978). The district court was of the opinion that Punton‘s claim for general damages for emotional suffering could have been litigated in state court by joining it with his civil service proceeding even though the kind of review (certiorari) provided for those disappointed in the result of the civil service proceeding is very narrow. See Standow v. City of Spokane, 88 Wash.2d 624, 632, 564 P.2d 1145, 1150 (1977). The Washington Court of Appeals in Punton v. City of Seattle Public Safety Commission, 32 Wash.App. 959, 650 P.2d 1138, 1140-41 (1982), cert. denied, 98 Wash.2d 1014 (1983), implied that certiorari proceeding is a “special” form of action that is sharply limited in scope. The court, however, did not discuss the possibility of joinder and combination of claims in the superior court.2
While we agree with the district court that Punton‘s federal claim was not barred by a requirement of exhaustion of state remedies, Patsy v. Board of Regents, 457 U.S. 496, 102 S.Ct. 2557, 73 L.Ed.2d 172 (1982), it does not necessarily follow that Punton still had a viable
Punton‘s federal constitutional right was a right to not be deprived of property without due process of law. Tenured public employment has been held to be a species of property for
If the question were one of first impression it would be difficult to say that Congress intended
On a case-by-case basis, the courts have evolved a doctrine that one who is deprived of a fundamental liberty or property interest by state action must be afforded a remedy, either through due process of law before the deprivation, or through some kind of process afterward that approximates due process. See, e.g., Haygood v. Younger, 769 F.2d 1350 (9th Cir.1985) (en banc) cert. denied sub nom. Cranke v. Haygood, 478 U.S. 1020, 106 S.Ct. 3333, 92 L.Ed.2d 739 (1986), and cases collected therein. In Haygood, the interest infringed was a liberty interest, and by the time Haygood received a hearing and a remedy in the state courts, he had been kept in prison some 17 months after his keepers knew, or should have known, that he was claiming a right, as a matter of law, to be released. We held that the release, belatedly, after a hearing, did not bar his resort to federal court for the additional remedy of damages and attorneys’ fees.
In the case at bar, Punton complained after he had lost his job without a hearing, in circumstances in which the City‘s own regulations required a hearing, and in due course he was reinstated in his job with back pay. He says that he was not able to litigate in state courts his claim for emotional suffering because the only process available to him was limited to reinstatement and back pay. The district court disagreed, but held that exhaustion of state remedies was not required.
Punton‘s case is analogous to that of an injured workman in an industrial plant covered by compulsory workmen‘s compensation who collects his statutory compensation and then looks around for someone to sue for additional damages for mental suffering, loss of consortium, and the like. The injured workman sometimes can find a third party who supplied an appliance or who otherwise may be sued for damages, but he is barred by the claim preclusion feature of the local compensation law from relitigating his own employers’ liability. Here there is no third party with a deeper pocket. Punton is looking for supplemental relief in another judicial system.
Punton‘s election to proceed initially in the state court amounted to a splitting of his cause of action as well as an election of remedies. At the start, he could have proceeded directly in federal court with a
Punton now represents that he could not have litigated his
It is highly unlikely that Congress intended to permit state court vindication of state created property interests to set up offensive collateral estoppel for federal claims brought pursuant to
We recently held in an employment grievance case originating in California that claim preclusion arising from a state court mandamus action in which substantial but incomplete relief was granted barred relitigation of the claim in federal court under
Another instructive case is that of a police officer in Philadelphia who was charged with a crime, discharged from his job, acquitted after trial, and upon application to the municipal Civil Service Commission, reinstated without back pay. Cohen v. City of Philadelphia, 736 F.2d 81 (3rd Cir.1984). The commission found that whether or not Cohen had participated in the burglary for which he was acquitted, he had violated police department rules by lending money to a superior officer. Cohen thereupon sued in federal court, alleging a
It is not necessary in this case to decide how far we might be willing to march to the drum of the Third Circuit if we were faced with another case on all fours with Cohen. It does appear, however, that Punton decided at some point, while waiting for
The judgment of the district court is reversed with neither party to recover costs in this court.
The cross-appeal is dismissed as moot.
NORRIS, Circuit Judge (dissenting):
The question presented by the City‘s appeal concerns the preclusive effect of a final Washington state court judgment reinstating Delmus Punton as a Seattle police officer and awarding him back pay because the Seattle Police Department denied Punton due process by firing him without a pretermination hearing. Punton v. City of Seattle Public Safety Commission, 32 Wash.App. 959, 650 P.2d 1138 (1982), cert. denied, 98 Wash.2d 1014 (1983). More specifically, the question is whether the Washington state court judgment precludes Punton from bringing a separate
For reasons that are obscure, the majority disposes of this appeal on the ground that the City did not deny Punton due process. Thus the majority decides the merits of Punton‘s constitutional claim without determining the preclusive effect of the contrary state court judgment.1 I find this peculiar for several reasons: First, concerns for judicial economy and restraint counsel us to address threshold preclusion issues before reaching the merits of a claim, especially a constitutional one. Second, the City has not appealed the district court‘s summary judgment ruling in Punton‘s favor that the state court judgment bars the City from relitigating the merits of the due process question in this federal action. Third, second-guessing the Washington Court of Appeals’ decision that Punton was denied due process contravenes the principle of “comity between state and federal courts that has been recognized as a bulwark of the federal system.” Allen v. McCurry, 449 U.S. 90, 96, 101 S.Ct. 411, 415, 66 L.Ed.2d 308 (1980); cf. Younger v. Harris, 401 U.S. 37, 43-45, 91 S.Ct. 746, 750-51, 27 L.Ed.2d 669 (1971).
Rather than revisiting the merits of the due process question in this dissent,2 I ad-
At first blush, it would seem that elementary principles of res judicata would bar Punton from bringing a separate action to seek relief over and above the relief he was awarded in his successful action against the City. Punton contends, however, and the district court below agreed, that he is not barred under Washington law from bringing an independent action to
recover general damages and fees for his wrongful dismissal after winning reinstatement and back pay. This counterintuitive argument is based upon the limited jurisdiction enjoyed by the Washington superior court when reviewing the Seattle Safety Commission‘s decision that Punton had not been wrongfully terminated. Punton claims that the superior court‘s jurisdiction was limited to awarding him reinstatement and back pay for two reasons: First, the court could grant him only that relief which the administrative tribunal was authorized to provide, and second, the court could not entertain evidence concerning his claim for damages and fees because that evidence was not contained in the administrative record. Citing Seattle-First National Bank v. Kawachi, 91 Wash.2d 223, 226, 588 P.2d 725, 727 (1978) for the proposition that under Washington law res judicata precludes relitigation only of “matter[s]
Without the benefit of the thinking of Judges Wright and Goodwin on this issue of Washington law, I am inclined to agree with Punton that the district court‘s judgment should be affirmed. First, when a Washington court grants a writ of certiorari to review the decision of an administrative tribunal, the court‘s jurisdiction is quite limited in scope. “[T]he function of a writ of certiorari is to secure the rendition of ‘the judgment which should have been rendered by the lower tribunal,‘” Punton, 32 Wash.App. at 970, 650 P.2d at 1144 (quoting Bringgold v. Spokane, 19 Wash. 333, 336, 53 P. 368, 369 (1898)). Because of this limited appellate function “the relief granted under the writ may be only that which is necessary to set aside action in excess of ‘the jurisdiction of [the] tribunal, board or officer, or [is illegal]’ (sic) or to ‘correct any erroneous or void proceeding, or a proceeding not according to the course of the common law.‘” Id. (quoting
Moreover, under Washington law a superior court acting pursuant to a writ of certiorari is limited to the administrative record when adjudicating a dispute. It can neither hear witnesses nor receive evidence. Carleton v. Board of Police Pension Fund Commissioners, 115 Wash. 572, 197 P. 925 (1921). See also Chaussee v. Snohomish County Council, 38 Wash.App. 630, 644-45, 689 P.2d 1084, 1095 (1984) (superior court had jurisdiction to consider issue of equitable estoppel not considered by administrative tribunal below but properly concluded it could not decide issue because administrative record was inadequate); Bay Industry, Inc. v. Jefferson County, 33 Wash.App. 239, 240-41, 653 P.2d 1355, 1357 (1982). The record of the administrative proceeding below does not contain the evidence concerning Punton‘s alleged pain and suffering that Punton presented to the federal district court in his
The City responds that, even if the Washington superior court had no jurisdiction in the certiorari proceeding to award damages and fees, Punton could have presented a claim for damages and fees in an action at law and joined it to his certiorari proceeding. Appellant‘s Opening Brief, at 11-12. The City cites no authority for this contention, and I find the argument unpersuasive. It would make little sense for Washington to design a special certiorari proceeding to streamline review of administrative adjudications and then permit plaintiffs to join cumbersome damage actions to their appeal.
The City bases its contention on the Washington Supreme Court‘s statement in Standow v. Spokane, 88 Wash.2d 624, 632, 564 P.2d 1145, 1150 (1977) that “[f]iling an action for damages does not preclude the subsequent issuance of a writ of certiorari in the same cause, upon a proper showing, where relief in the way of damages is inadequate as it is here.” Reliance on this language seems to me to be misplaced. The court in Standow made this statement while addressing a claim that the plaintiff was not entitled to a writ of certiorari because in an earlier action he had sought
It therefore seems to me that, according to Washington res judicata law, Punton would not be barred from bringing a
