John Michael Borneman v. United States of America, John Michael Borneman v. United StatesJohn Michael Borneman v. United States of America, John Michael Borneman v. United States
Affirmеd in part, vacated in part, and remanded by published opinion. Judge NIEMEYER wrote the opinion, in which Judge WILLIAMS and Judge DIANA GRIBBON MOTZ joined.
OPINION
In this appeal, we address whether John Borneman, a United States postal employee, may maintain a state common-law action against Richard McCauley, a fellow postal employee, for an assault and battery that allegedly occurred during work. Proceeding under the Westfall Act, the United States represented McCauley and removed this action to federal court, certifying that McCаuley had acted within the scope of his employment and substituting the United States as the sole defendant. The United States then moved to dismiss the action because McCauley’s conduct, as so imputed to the United States, was protected by sovereign immunity. Without resolving disputed facts, the district court concluded that the United States’ certification and substitution were erroneous. The district court found that the removal to federal court was therefore improper and entered an order remanding the case to state сourt.
After addressing the complex question of whether we have jurisdiction to review the district court’s rulings and concluding that we do, we vacate the district court’s remand order, as well as its rulings that the United States’ certification and substitution were erroneous, and we remand this case to the district court to resolve the factual question of whether McCauley’s actions fell within the scope of his employment. We affirm the district court’s order denying Borneman his attorneys fees.
I
John Borneman, employed by the United States Postal Serviсe as a rural route mail carrier, commenced this assault and battery action in state court in Wilmington, North Carolina, against a Postal Service manager, Richard McCauley, who, Borneman alleged, assaulted him during a dispute at work. In his complaint, Borne-man, /who also served as a union shop steward, alleged that on May 9, 1997, he
The United States, as McCauley’s employer, undertook to represent McCauley and filed (1) a notice of removal to federal court pursuant to
Borneman opposed removal and moved to remand his suit to state court, arguing that McCаuley had acted outside the scope of his employment in assaulting Borneman and that federal jurisdiction was .therefore lacking. The government.responded with the affidavit of McCauley, in which he asserted that he did not physically touch Borneman and that he did not cause Borneman’s injury. According to McCau-ley, Borneman left McCauley’s office, “walking backwards some distance from me,” making obscene gestures and “cursing.” McCauley stated that he ordered Borneman “to leave the building, turned and was walking back to my office when I heard a noise. I looked back and [Borne-man] was on the floor. I never touched [Borneman], did not push him, and presume he tripped while walking backwards.” Borneman responded with his own affidavit, alleging additional facts supporting his claims of assault and battery and challenging McCauley’s description of the eyents as “simply untrue.” Borneman attached to his affidavit a letter from his physician stating that in his opinion, “the greatest likelihood of mechanism of injury [to Borneman’s knee] based on his pathology would be a forward fаll,” which tended to support Borneman’s version of the facts.
Without a hearing and based on this record, the district court disposed of the United States’ motion to dismiss the complaint and Borneman’s motion to remand in an opinion and order dated October 15, 1998. The district court ruled that under the North Carolina law of respondeat superior, McCauley’s actions, taken as alleged by Borneman in his complaint and affidavit, did not fall within the scope of McCauley’s employment. The district court therefore concluded that the sсope-of-employment certification by the Attorney General “was erroneous,” that the substitution of the United States as the defendant “also was erroneous,” and that removal of the action by the United States to federal court “was improper.” The court determined accordingly that it lacked subject matter jurisdiction and remanded the case to state court, citing 28 U.S.C. §•■ 1447(c) as the basis for its remand.
The United States filed a motion for reconsideration pursuant to
Thereafter, Borneman filed a motion for an award of attorneys fees and costs in the amount of $6,273 because the position of the United States in removing this case “was not substantially justifiеd.” The district court denied this motion, concluding that the United States “did not act improvidently or in bad faith” in removing the suit.
The United States filed this appeal, challenging the district court’s ruling that the United States’ certification and substitution actions were erroneous based on an application of North Carolina principles of respondeat superior. The United States also filed a petition for a writ of mandamus, seeking review of the district court’s order remanding the case to the state court. Borneman filed a cross-appeal, challenging the distriсt court’s decision not to award him attorneys fees.
II
We first address Borneman’s contention that we lack jurisdiction to consider the United States’ appeal and petition for mandamus relief. Borneman argues that the district court’s order remanding the case to state court deprives this court of jurisdiction because, under
A motion to remand the case on the basis of any defect other than lack of subject matter jurisdiction must be made within 30 days after the filing of the notice of removal under section 1446(a). If at any time before final judgment it appears that the district court lacks subject matter jurisdiction, the case shall be remanded.
If a district court orders a remand based on
In this case, the court did state that it was remanding the case for lack of jurisdiction, citing
But even if a remand order does not in this oblique manner become subject to review when its underlying premises are appealed,
In
Gutierrez de Martinez v. Lamagno,
Thus,
Because the District Judge remanded a properly removed case on grounds that he had no authority to consider, he exceeded his statutorily defined power; and issuance of the writ of mandamus was not barred by§ 1447(d) .
Accordingly, as
Thermtron
instructs,
Therefore,' we hold (1) that
This brings us to the merits of the district court’s rulings that the United States’ scope-of-employment certification was erroneous and that, accordingly, the substitution of itself as party defendant was also erroneous. The district court reached these conclusions by applying the law of North Carolina, where the alleged assault and battery occurred, to the facts as asserted by Borneman in his complaint аnd affidavit and determining that “McCauley’s tortious act was not committed in the scope of his employment.” The United States’ challenge to these rulings presents two questions: (1) whether the district court followed the proper procedure for reviewing a Westfall Act certification and (2) whether the district court properly applied the North Carolina law of respondeat superior — questions that we now address.
A
In
Marón v. United States,
Recognizing the “desirability of quickly resolving the scope-of-employment issue” because “immunity under the Westfall Act, like other forms of absolute and qualified immunity,’is an
immunity from suit
rather than a mere defense to liability,’”
Gutierrez,
Once any factual issues are resolved, the district court must then proceed to “weigh the evidence on eaсh side to determine whether the certification should stand.”
Gutierrez, 111
F.3d at 1155. In making this ultimate determination, the district court must apply the law of the state in which the alleged tort occurred to ascertain whether the federal employee was acting within the scope of his employment.
See Maron,
In this case, the district court properly recognized that Borneman presented evidence refuting the United States’ certification. The court referred to Borneman’s complaint and his affidavit, reciting Borneman’s version of the facts. But then, without discussing the facts presented by the United States in McCauley’s affidavit, the court simply concluded that “McCauley’s tortious ,act was not committed in the scope of his employment.” Because the court never acknowledged the competing factual position presented by the United States, it overlooked its obligation to resolve disputed factual contentions. Rather, it accepted Borneman’s
While the accounts of Bornemаn and McCauley are consistent in some respects, they differ on the central issue of this case. Borneman contends that McCauley pushed and tripped him, causing him to fall. McCauley denies that any physical contact occurred and claims that he had turned around and was returning to his office at the time he heard Borneman fall. Clearly, if McCauley’s account of the incident were believed, there would be no basis for asserting that he had committed an intentional tort and no basis for finding that he had acted outside the scope of his employment. This critical discrepancy is therefore material to the court’s determination. Nonetheless, the district court apparently took Borneman’s allegations as true, rather than requiring him to “presentí ] persuasive evidence,”
Marón,
B
Even if Borneman’s version of events, as stated in his complaint and alleged in his affidavit, is found to be controlling, it is not сlear that McCauley acted outside the scope of his employment under North Carolina law. While it is true, as the district court recognized, that under the North Carolina law of
respondeat superior,
an intentional tort is “rarely considered to be within the scope of an employee’s employment,”
Medlin v. Bass,
North Carolina case law discloses numerous instances in which the issue of whether an intentional assault by an employee was within the scope of employment so as to impose vicarious liability on the employer was determined to be a jury question.
See, e.g., Clemmons v. Life Ins. Co. of Ga.,
C
Because we conclude that material factual issues exist with respect to both the existence of the alleged assault and its nature, we find that the district court’s decision to reject the United States’ scope-of-employment certification was premature. Borneman must be held to his burden of proof, and the district court must resolve the material factual issues. We therefore remand this case for proceedings consistent with the Marón /Gutierrez procedures outlined above.
Should the district court conclude, after resolving all material facts, that McCauley was not acting within the scope of his employment, McCauley must be resubstituted as the defendant in this case. But the district court may not thereafter remand the case to state court. Remand is precluded by the Attorney General’s removal under
IV
In light of our ruling on the merits and our belief, in any event, that the district court did not abuse its discretion in denying Borneman his attorneys fees, we affirm the district court’s ruling in that regard.
V
In sum, we vacate the district court’s remand order and its rulings finding erroneous the United States’ certification and
AFFIRMED IN PART, VACATED IN PART, AND REMANDED
Notes
.
See Gutierrez de Martinez v. Lamagno,
. We understand removal to be a forum selection procedure that of itself confers no jurisdiction. Rather, it depends on an independent ground for jurisdiction. Thus, when removal is conclusively allowed by
. The government moved for dismissal in the district court on the dual grounds that Borne-man failed to satisfy the FTCA’s administrative exhaustion requirement,
see