TABLE OF CONTENTS
I.INTRODUCTION.1027-
A. Factual Background.1027
B. Procedural Background.1029
II.LEGAL ANALYSIS.1031
A. Jurisdictional Doctrines.1032
B. Younger Abstention.1034
1. The doctrine and the rationale.1034
2. Requirements for abstention.1035
a. Ongoing state judicial proceedings.1035
b. Important state interests.1036
c. Adequate opportunity to raise constitutional challenges.1036
i. Iowa law .1037
ii. Other states.1038
d. “Exceptional circumstances”.1039
3. Other federal precedent.1039
4. Summary.1039
C. Rooker-Feldman Doctrine.1040
III.CONCLUSION.1041
Can (or should) this court hear the plaintiffs motion for a temporary restraining order or preliminary injunction to restrain or enjoin the defendants from evicting the plaintiff and her five-month-old biracial child from her federally subsidized housing on the ground that her eviction is racially discriminatory? Although the plaintiff placed only the merits of preliminary injunctive relief before this court, the court
sua sponte
raised the question of its jurisdiction to hear this matter in light of pre-existing state court eviction proceedings. Because this federal court is a court of limited jurisdiction,
see Marbury v. Madison,
5 U.S. (1 Cránch) 137,
I. INTRODUCTION
A. Factual Background
The factual background for the plaintiffs motion for a temporary restraining order or preliminary injunction is necessarily drawn from the allegations in the plaintiffs complaint and accompanying affidavit. Plaintiff Shannon Newell, a single parent, resides with her five-month-old biracial child at the Rolling Hills apartment complex in Fort Dodge, Iowa.
1
Newell receives a “Section 8” HUD housing subsidy, pursuant to 42 U.S.C. § 1437f, based on
Since the birth of her daughter, Newell contends that she has been subjected to an attempt by the management of Rolling Hills to have her evicted, which she alleges is motivated by the facts that her child is ■biraeial and that she is visited at her apartment by Mends who are African-American. This attempt to evict her for racially discriminatory reasons, Newell asserts, consists of the following:
A. [Newell] received her first Notice of Non-compliance [with her lease] when she complained of neighboring noise. Immediately thereafter she was served with a notice concerning noise, when in fact no one other than she and her child had been at the apartment. This notice was also concerning a bag of garbage which the plaintiff had set outside, and then went to find someone to be with her baby while she took the garbage out. The garbage sack would have been unattended for less than ten minutes.
B. The current notice concerning garbage is done only in an attempt to evict the plaintiff, and is not the real reason. There are tenants that leave garbage unattended for days at a time without apparently receiving evictions. This notice is based on visits to the plaintiffs apartment by African Americans.
Complaint, ¶ 13. As to the second occasion on which Newell received a notice concerning garbage, Newell explains,
The sacks which are questioned in the [second] notice were not placed outside by the plaintiff. The plaintiff has a difficult [time] handling the garbage due to either caring for her child in her apartment, or having to cari*y her child with her. She has enlisted the assistance of friends to handle the garbage. On the occasion mentioned in the [second] Notice ... a friend may have, unbeknownst to the plaintiff, disposed of the garbage inappropriately. Such is not a material noncompliance with the landlord-tenant agreement.
Complaint, ¶ 14. Newell alleges that, if she is evicted, she will have no place to live and will be unable to receive “Section 8” housing assistance for at least one year. Complaint, ¶¶ 18-19.
In an affidavit in support of her motion for injunctive relief, Newell essentially repeats the ,, allegations in her Complaint. However, she also attached to her affidavit the latter of the two notices from Rolling Hills that she contends were motivated by racial animus. The second notice is denominated a “7 Day Notice of Recurring Noncompliance,” and is dated February 20, 2001. See Affidavit In Support Of Motion For Temporary Restraining Order And/Or Preliminary Injunction (Newell Affidavit), Unnumbered Exhibit 1. This notice asserts that Newell has failed, for the second time, to dispose of trash “in a manner consistent [sic] with our community policies,” and states, “This is notice that your tenancy terminates 7 days from now on the date of 2-27-01.” Id. (emphasis in the original). The notice further warns, “If you have not vacated and/or have not returned the keys, we will consider that you are still in possession, and we will proceed with the EVICTION process by serving a ‘3 Day Notice to Quit.’ ” Id. The notice is signed by Tony Jacobsen, Property Manager, Rolling Hills Apartments.
The record does not include any “3 Day Notice to Quit.” However, Newell also attached to her affidavit an Original Notice she received of a forcible entry and de-tainer action in Iowa District Court for Webster County.
See id.,
Unnumbered Exhibit 2. This Original Notice, with an
B. Procedural Background
Newell, through counsel, initiated the present federal action by filing an Application For Leave To Proceed In Forma Pau-peris and a supporting affidavit, which were mailed to the court on March 7, 2001, and received and filed by the Clerk of Court on March 9, 2001. The court granted Newell leave to proceed in forma pau-peris, and Newell’s Complaint, Motion For Temporary Restraining Order And Preliminary Injunction, and affidavit in support of the motion for injunctive relief were all filed March 9, 2001. The Complaint, generally, seeks injunctive relief pending eviction, and legal relief for discrimination pursuant to the Fair Housing Act and 42 U.S.C. § 1983 for violation of Newell’s civil rights guaranteed by the United States Constitution. Complaint, ¶ 1. The defendants in this action are identified as Rolling Hills, an apartment complex in Fort Dodge, Iowa, and ACN-Fort Dodge Partners, L.P., and ACN-Fort Dodge Partners II, L.P., one or both of which are alleged to be the owners of Rolling Hills apartments (collectively, “Rolling Hills”). Id. at ¶ 6.
The principal factual allegations of the Complaint were outlined above. These allegations, Newell contends, give rise to the following causes of action. First, in Count I, Newell alleges that Rolling Hills “discriminated against the plaintiff in the terms, conditions and privileges in the rental of her dwelling based on the race and/or color of her child and acquaintances,” causing her to suffer and continue to suffer irreparable injury and monetary damages. Complaint, ¶¶ 21-22. This count seeks injunctive relief enjoining Rolling Hills from evicting Newell. Count II alleges that Rolling Hills acted under color of state law when it sent Newell the Notice of Recurring Noncompliance, that Rolling Hills violated and is continuing to violate Newell’s constitutional right of association with her friends and her child by denying her the right to choose whom she sees at her dwelling unit, and alleges that Rolling Hills’ conduct has caused Newell to suffer and to continue to suffer irreparable injury and monetary damages “in violation of 42 U.S.C. §§ 1981 and 1983.”
Id.
at ¶¶ 25-27. This count also prays that Rolling Hills be enjoined from evicting Newell.
Id.
at ¶ 28. In a separate Prayer for Relief, the Complaint specifically prays that the court do the following: declare that the acts and practices of Rolling Hills alleged in the Complaint are in violation of the Fair Housing Act, 42 U.S.C. § 3604; declare that the acts and practices of Rolling Hills alleged in the Complaint are in violation of the Civil Rights Act, 42 U.S.C. §§ 1981 and 1983; enjoin Rolling Hills from evicting Newell; enjoin and permanently restrain Rolling Hills “from precluding access to anyone with whom plaintiff chooses to associate”; award compensatory and punitive damages, costs of the action, and reasonable
On March 8, 2001, Newell’s counsel emailed the court a courtesy copy of a brief in support of Newell’s motion for temporary restraining order and preliminary injunction. However, apparently owing to failures in the e-mail system, that e-mail was not received until March 10, 2001, and the attached brief could not be opened or printed. Newell’s counsel was notified of this problem by e-mail on March 11, 2001, and the court received both a fax copy and a filed “hard” copy of the brief on March 12, 2001.
The court’s preliminary research over the weekend indicated that there could be significant jurisdictional impediments that would bar the court from entertaining Newell’s action for injunctive relief. Therefore, on March 12, 2001, the court entered an order directing the parties to submit briefs by noon on March 13, 2001, concerning the applicability of issue preclusion and the Rooker-Feldman doctrine 3 to the present action. Also on March 12, 2001, by separate order, the court set a telephonic hearing on Newell’s motion for a temporary restraining order or preliminary injunction for 3:00 pan. on March 13, 2001. 4
As directed, on March 13, 2001, Newell’s counsel faxed the court a copy of her Supplementary Brief In Support Of Temporary Restraining Order addressing the jurisdictional issues raised by the court in its order for supplemental briefing. In that brief, Newell explained that, on March 8, 2001, the state magistrate hearing the forcible entry and detainer action by Rolling Hills against Newell had “deferred entry of any judgment to determine whether a Temporary Restraining Order would be issued by this [federal] Court.” Plaintiffs Supplementary Brief In Support Of Temporary Restraining Order (Plaintiffs Supplementary Brief) at 2.
Prior to the scheduled hearing in these proceedings on March 13, 2001, the court entered another order directing the parties to be prepared to discuss at the hearing the applicability of two recent decisions,
Jacobs v. Gear Properties,
A non-lawyer employee representative of Rolling Hills notified the court by telephone prior to the time scheduled for the hearing that she had not yet been able to secure counsel to represent the defendants at the TRO/preliminary injunction hearing. Therefore, the court reset the telephonic hearing on Newell’s motion for a temporary restraining order or preliminary injunction for 1:00 p.m. on March 14, 2001. Rolling Hills notified the court on the morning of March 14, 2001, that it had secured counsel for the hearing.
II. LEGAL ANALYSIS
Rule 65 of the Federal Rules of Civil Procedure provides for the issuance of temporary restraining orders and preliminary injunctions. Fed. R. Civ. P. 65. In a recent decision,
Branstad v. Glickman,
However, as this court also noted in Branstad,
[T]he Eighth Circuit Court of Appeals recently reiterated, “It is axiomatic that the federal courts lack plenary jurisdiction.” Southwestern Bell Tel. Co. v. Connect Communication Corp.,225 F.3d 942 , 945 (8th Cir.2000) (citing Godfrey v. Pulitzer Publ’g Co.,161 F.3d 1137 , 1141 (8th Cir.1998)). Rather, “[t]he inferior federal courts may only exercise jurisdiction where Congress sees fit to allow it.” Id. Therefore, courts must resolve challenges to subject matter jurisdiction first. United States v. Negele,222 F.3d 443 , 446 (8th Cir.2000) (citing Steel Co. v. Citizens for a Better Environment,523 U.S. 83 , 95,118 S.Ct. 1003 ,140 L.Ed.2d 210 (1998)).
Branstad,
Therefore, before considering the merits of Newell’s motion for preliminary injunc-tive relief under the
Dataphase
standards, the court finds that it must address questions about its jurisdiction to hear the motion. Notwithstanding that the court must be satisfied of its subject matter jurisdiction, “[t]he Supreme Court recently affirmed that federal courts “ ‘have no more right to decline the exercise of jurisdiction which is given, than to usurp that which is not given,’ ” and that “ ‘[t]he one or the other would be treason to the Constitution.’””
Night Clubs, Inc. v. City of Fort Smith, Ark.,
A. Jurisdictional Doctrines
The record available to the court until shortly before the temporary restraining
The Rooker-Feldman doctrine recognizes that, with the exception of habeas corpus petitions, lower federal courts lack subject matter jurisdiction over challenges to state court judgments. See District of Columbia Court of Appeals v. Feldman,460 U.S. 462 , 476,103 S.Ct. 1303 ,75 L.Ed.2d 206 (1983); Rooker v. Fidelity Trust Co.,263 U.S. 413 , 416,44 S.Ct. 149 ,68 L.Ed. 362 (1923). Instead, federal jurisdiction to review most state court judgments is vested exclusively in the United States Supreme Court. See 28 U.S.C. § 1257; Feldman,460 U.S. at 486 ,103 S.Ct. 1303 . Because the Rook-er-Feldman rule is jurisdictional, it may be addressed for the first time on appeal and may be raised sua sponte. See Doctor’s Associates, Inc. v. Distajo,107 F.3d 126 , 137 (2d Cir.1997). We review questions of subject matter jurisdiction de novo. See Charchenko v. City of Stillwater,47 F.3d 981 , 982-83 (8th Cir.1995).
The Rooker-Feldman doctrine forecloses not only straightforward appeals .but also more indirect attempts by federal plaintiffs to undermine state court decisions. Thus, a corollary to the basic rule against reviewing judgments prohibits federal district courts from exercising jurisdiction over general constitutional claims that are “inextricably intertwined” with specific claims already adjudicated in state court. See Feldman,460 U.S. at 482 n. 16,103 S.Ct. 1303 ; Fielder v. Credit Acceptance Corp.,188 F.3d 1031 , 1034 (8th Cir. 1999); Neal v. Wilson,112 F.3d 351 , 356 (8th Cir.1997). A general federal claim is inextricably intertwined with a state court judgment “if the federal claim succeeds only to the extent that the state court wrongly decided the issue before it.” Pennzoil Co. v. Texaco, Inc.,481 U.S. 1 , 25,107 S.Ct. 1519 ,95 L.Ed.2d 1 (1987) (Marshall, J., concurring). In such cases, “where federal relief can only be predicated upon a conviction that the state court was wrong, it is difficult to conceive the federal proceedings as, in substance, anything other than a prohibited appeal of the state-court judgment.” Id. The state and federal claims need not be identical. See In re Goetzman,91 F.3d 1173 , 1177 (8th Cir.1996).
Lemonds v. St. Louis County,
In Younger v. Harris,401 U.S. 37 , 43-44,91 S.Ct. 746 ,27 L.Ed.2d 669 (1971), the Supreme Court advanced the position that federal courts should refrain from interfering with pending state judicial proceedings absent extraordinary circumstances. Under Younger, abstention is warranted if the action complained of constitutes the basis of an ongoing state judicial proceeding, the proceedings implicate important state interests, and an adequate opportunity exists in the state proceedings to raise constitutional challenges. See Fuller v. Ulland,76 F.3d 957 , 959 (8th Cir.1996).
Harmon v. City of Kansas City, Mo.,
B. Younger Abstention
1. The doctrine and the rationale
In
Yamaha Motor Corporation v. Stroud,
In Younger, the Supreme Court articulated the strong policy considerations that counsel against the exercise of jurisdiction in the face of ongoing state proceedings:
[T]he concept [of federalism] repre-sentes] ... a system in which there is sensitivity to the legitimate interests of both State and National Governments, and in which the National Government, anxious though it may be to vindicate and protect federal rights and federal interests, always endeavors to do so in ways that will not unduly interfere with the legitimate activities of the States.
Younger,401 U.S. at 44 ,91 S.Ct. 746 . Younger itself involved federal abstention from a request to enjoin a state criminal proceeding, see id. at 53,91 S.Ct. 746 , but similar policy concerns apply when there is a pending state administrative proceeding. Ohio Civil Rights Comm’n v. Dayton Christian Schools, Inc.,477 U.S. 619 ,106 S.Ct. 2718 ,91 L.Ed.2d 512 (1986); Middlesex County Ethics Committee v. Garden State Bar Association,457 U.S. 423 , 431-32,102 S.Ct. 2515 ,73 L.Ed.2d 116 (1982).
Stroud,
2. Requirements for abstention
As the Eighth Circuit Court of Appeals explained in Stroud,
Abstention is proper if there is an ongoing state judicial proceeding, the proceeding implicates important state interests, there is an adequate opportunity in the state proceedings to raise constitutional challenges, and in the absence of “bad faith, harassment, or other exceptional circumstances.” Middlesex,457 U.S. at 432, 437 ,102 S.Ct. 2515 .
Stroud,
a. Ongoing state judicial proceedings
The first requirement for application of the doctrine is that there be an “on-going” state judicial proceeding.
See Stroud,
b. Important state interests
The second requirement is that the state and federal proceedings must implicate “important state interests.”
Stroud,
c. Adequate opportunity to raise constitutional challenges
The third requirement for application of the
Younger
abstention doctrine is that there must be an adequate opportunity in the state proceedings to raise constitutional challenges.
See Stroud,
Newell contended, however, in argument concerning a similar requirement under the
Rooker-Feldman
doctrine, that she is precluded by Iowa Code § 648.19 from asserting her constitutional claims as counterclaims or affirmative defenses in a forcible entry and detainer action. Newell is correct that she cannot obtain the
recovery
she seeks on her federal claims in the forcible entry and detainer action.
See
i.
Iowa law.
In
Rokusek v. Jensen,
it.
Other states.
It appears that the majority of states to consider the question recognize that the landlord’s discriminatory conduct, that is, discriminatory conduct towards a tenant on the basis of a protected characteristic, such as race, color, or disability, is a cognizable defense in a forcible entry and detainer action.
See Capone v. Kenny,
Nor can the court find “exceptional circumstances” counseling against
Younger
abstention. “[Exceptional circumstances making abstention inappropriate” include, for example, situations in which the state tribunal is “incompetent, biased, or otherwise incapable of fairly interpreting the [state] statute in question.”
Stroud,
3. Other federal precedent
This court’s conclusion that abstention is appropriate is also in accord with federal decisions considering whether or not the court should abstain, under the
Younger
doctrine, from considering actions to enjoin state eviction proceedings on the basis of alleged discrimination or other conduct by the landlord in violation of federal law.
See Wood v. City of Hayward,
4. Summary
The court concludes that
Younger
abstention is appropriate in this case, at least until and unless the plaintiff demonstrates that she has been prevented from asserting race discrimination as a defense in the
C. Rooker-Feldman Doctrine
Moreover, as a further prudential consideration in the court’s determination of whether or not to exercise jurisdiction over the present action at this time, the court concludes that it is almost inevitable that the present action will run afoul of the
Rooker-Feldman
doctrine, if the state court proceeding runs to judgment. In
Jacobs v. Gear Properties,
Leland W. Jacobs appeals the District Court’s dismissal of his civil rights action, in which he claimed that defendants evicted him from his apartment for a discriminatory or retaliatory reason. Plaintiffs eviction occurred after defendants prevailed in their state court unlawful detainer action against him. After de novo review, see Lemonds v. St. Louis County,222 F.3d 488 , 492 (8th Cir.2000), we conclude the District Court properly dismissed plaintiffs action, as it lacked subject matter jurisdiction under the Rooker-Feldman doctrine. See Charchenko v. City of Stillwater,47 F.3d 981 , 983 (8th Cir.1995) (Rooker-Feldman precludes federal claims if relief requested would effectively reverse state court decision or void its ruling).
Accordingly, we affirm. See 8th Cir. R. 47B.
Jacobs,
Moreover,' a more thorough (and published) decision of the Seventh Circuit Court of Appeals,
Long v. Shorebank Dev. Carp.,
In other words, while Long complains that the defendants deprived her of her property without due process in initiating and pursuing the eviction action, the injuries she alleges were complete only when the Circuit Court entered the eviction order against her. Absent the eviction order, Long would not have suffered the injuries for which she now seeks to be compensated. And, to prevail on her claims, she would inevitably be forced to challenge the validity of this order. As we explained in Ritter, a litigant may not attempt to circumvent the effect of Rooker-Feldman and seek a reversal of a state court judgment simply by casting the complaint in the form of a civil rights action. See Ritter [v. Ross], 992 F.2d [750,] 754 [ (7th Cir.1993) ].
Long,
In Long, however, the court also concluded that, unless the state court proceedings provide a “reasonable opportunity” to raise a civil rights claim, the Rooker-Feld-man doctrine would not require dismissal of a federal action to enjoin state court eviction proceedings on the basis of alleged civil rights violations, because in such circumstances, the civil rights claim was not “inextricably intertwined” with the state court judgment. See id. at 557-58. Here, there is as yet no showing that Newell has been deprived of a “reasonable opportunity” to raise her race discrimination claims as a defense to eviction, so that it now appears that her discrimination claims are inextricably intertwined with the eviction issue. However, as with application of the Younger abstention doctrine, it appears that any Rooker-Feldman bar on jurisdiction would evaporate if Newell is in fact barred from asserting her race discrimination defense in the eviction proceedings.
III. CONCLUSION
The court finds that the
Younger
abstention doctrine is applicable to the plaintiffs motion for a temporary restraining order or preliminary injunction. However, it is possible that, in the course of the state court eviction proceedings, she will be barred from asserting race discrimination as a defense, thus making the
Younger
doctrine inapplicable. Moreover, Newell
Therefore, the plaintiffs motion for a temporary restraining order or preliminary injunction is denied without prejudice and this action is stayed pursuant to the Younger abstention doctrine.
IT IS SO ORDERED.
Notes
. In her brief in support of her motion for a temporary restraining order or preliminary injunction, Newell explained that she is herself biracial, but that she considers her ethnicity to be white, while she perceives the ethnicity of her biracial daughter to be African-American.
. The handwritten date originally indicated in this stamp appears to be 3-2-01, but the 2 has been written over with what appears to be a 1 .Id.
.
See Rooker v. Fidelity Trust Co.,
. These orders were immediately sent to plaintiff's counsel by facsimile transmission and included directions to plaintiff's counsel to serve copies of the orders on defendants’ counsel or, if the identity of defendants' counsel was not known to the plaintiff, on defendants prior to the hearing.
.
See Younger v. Harris,
. In
Rokusek,
the Iowa Supreme Court also concluded that the tenant “need not have waited to assert her available defenses [in the forcible entry and detainer action] but could have moved proactively” by seeking to “establish her rights under the parties' agreement pursuant to an action for declaratory judgment.”
Rokusek,
