Source: http://openjurist.org/592/f2d/681
Timestamp: 2017-06-25 09:05:39
Document Index: 57130092

Matched Legal Cases: ['§ 1983', '§ 1983', '§ 1983', '§ 1983', '§ 1983', '§ 1291', '§ 1292', '§ 1983', '§ 1983', '§ 1983', '§ 1983', '§ 1983', '§ 1983', 'art, 477']

592 F2d 681 D'Iorio v. County of Delaware C a 78-1517 T 78-1516 | OpenJurist
592 F. 2d 681 - D'Iorio v. County of Delaware C a 78-1517 T 78-1516 HomeFederal Reporter, Second Series 592 F.2d.
592 F2d 681 D'Iorio v. County of Delaware C a 78-1517 T 78-1516 592 F.2d 681
Lou J. D'IORIO, Appellee,v.COUNTY OF DELAWARE and Faith Ryan Whittlesey, Charles C.Keeler and William A. Spingler, Members of theCounty Council of the County ofDelaware, Appellants in 78-1517andFrank T. Hazel, District Attorney for the County ofDelaware, Appellant in 78-1516.
Nos. 78-1516, 78-1517.
Argued Oct. 19, 1978.Decided Dec. 20, 1978.
In this civil rights action brought under 42 U.S.C. § 1983, the District Attorney and the members of the County Council of the County of Delaware, Pennsylvania appeal from a decision of the district court which ordered that Lou J. D'Iorio, a former County Detective, be reinstated with back pay. On appeal, their primary contention is that the district court should have abstained, under the doctrine of Railroad Commission of Texas v. Pullman Co., 312 U.S. 496, 61 S.Ct. 643, 85 L.Ed. 971 (1941), from deciding the constitutional claims raised by D'Iorio. Because we have determined that the state law underlying these constitutional issues is uncertain, and that this law is amenable to a construction by the Pennsylvania courts that would obviate the need for a constitutional adjudication, we conclude that the district court should have abstained in this case and should not have addressed the merits of any constitutional issues. Accordingly, we reverse.
In Railroad Commission of Texas v. Pullman Co., 312 U.S. 496, 61 S.Ct. 643, 85 L.Ed. 971 (1941), the Supreme Court fashioned the abstention doctrine which involves a discretionary exercise of a court's equity powers in declining to adjudicate claims within the scope of its statutory jurisdiction in order to avoid " 'needless friction' between federal pronouncements and state policies." Reetz v. Bozanich, 397 U.S. 82, 87, 90 S.Ct. 788, 790, 25 L.Ed.2d 68, 72 (1970). At its core, this doctrine requires a federal court to refrain from deciding federal constitutional issues until related state law issues have first been adjudicated in state court.5 The special circumstances generally prerequisite to the application of this doctrine are threefold. First, there must be uncertain issues of state law underlying the federal constitutional claims brought in the federal court. Second, these state law issues must be amenable to an interpretation by the state courts that would obviate the need for or substantially narrow the scope of the adjudication of the constitutional claims. And third, it must appear that an erroneous decision of state law by the federal court would be disruptive of important state policies. In addressing an abstention claim, a district court must first consider whether the particular case falls within the ambit of Pullman as defined by these criteria, and must then make a discretionary determination, based on the weight of these criteria and other relevant factors, as to whether abstention is in fact appropriate.
Agreeing with D'Iorio's argument, the district court determined that abstention was not appropriate since "there is no Unclear question of state law involved because the requirement that there must be Council action in order to discharge plaintiff is clear on the face of the Charter." D'Iorio v. County of Delaware, 447 F.Supp. 229 (E.D.Pa.1978).8
In addition to avoiding these constitutional issues, abstention in this case may render unnecessary difficult issues of statutory interpretation concerning (1) the scope of § 1983 immunities,14 (2) the type of official conduct necessary to give rise to § 1983 liability,15 and (3) the type of injury which must be proved to recover damages under § 1983.16C. The Effect of an Erroneous Federal Court Decision Concerning State Law.
Having determined that the "special circumstances" prerequisite to application of the abstention doctrine are present in this case, we must next determine whether abstention is appropriate. We are guided at this juncture by Supreme Court decisions which indicate that, absent significant reasons to the contrary,18 abstention is generally proper once it ascertained that the threshold "special circumstances" have been fulfilled. See Bellotti v. Baird, 428 U.S. 132, 96 S.Ct. 2857, 49 L.Ed.2d 844 (1976); Harris County Commissioners Court v. Moore, 420 U.S. 77, 95 S.Ct. 870, 43 L.Ed.2d 32 (1975); Lake Carriers' Association v. MacMullan, 406 U.S. 498, 92 S.Ct. 1749, 32 L.Ed.2d 257 (1972).19
Most relevant to the present case is the Supreme Court's decision in Boehning v. Indiana State Employees Association, 423 U.S. 6, 96 S.Ct. 168, 46 L.Ed.2d 148 (1975) (per curiam). There, a dismissed state employee brought a § 1983 action alleging that her due process right to a pre-termination hearing had been violated. The Supreme Court ruled that the district court, whose decision had been reversed by the court of appeals, had properly abstained from ruling on the due process claim because state law was amenable to two constructions, one that required a pre-termination hearing and one that did not. As a result, the state courts would be able to interpret state law so as to avoid any constitutional issue. However, any federal court interpretation of state law in that circumstance, the Supreme Court noted, would be only a "forecast." Similarly, in the instant case Pennsylvania law is amenable to a construction that would sharply limit the scope of the constitutional issues presented. Here, as in Boehning, any federal court interpretation of state law would be no more than a "forecast."
Again, in Harris County Commissioners Court v. Moore, 420 U.S. 77, 84, 95 S.Ct. 870, 876, 43 L.Ed.2d 32 n.8 (1975), the Supreme Court stated that "where the challenged statute is part of an integrated scheme of related constitutional provisions, statutes, and regulations, and where the scheme as a whole calls for clarifying interpretation by the state courts, we have regularly required the district courts to abstain." As in Harris, so too here, the relevant provisions of state law must be read in the context of the Delaware County Home Rule Charter and the state statutes governing counties and county officials. This integrated and complex scheme of state and local law requires clarifying interpretation by the state courts.
For all of these reasons, we will remand with directions that the district court's order of February 23, 1978 be vacated, and that the district court retain jurisdiction and stay further proceedings pending a determination of proceedings in the appropriate state courts. See Zwickler v. Koota, 389 U.S. 241, 244, 88 S.Ct. 391, 19 L.Ed.2d 444 n.4 (1967). Cf. Harris County Commissioners Court v. Moore, 420 U.S. 77, 88, 95 S.Ct. 870, 43 L.Ed.2d 32 n.14 (1975). The parties are each to bear their respective costs.
The district court relied on a well established line of cases which hold that an administrative agency's failure to comply with its own prescribed procedures may make its action so arbitrary as to amount to a due process violation, at least when those procedures are designed for the protection of the individual whose interests are being affected. See Vitarelli v. Seaton, 359 U.S. 535, 79 S.Ct. 968, 3 L.Ed.2d 1012 (1959); Service v. Dulles, 354 U.S. 363, 77 S.Ct. 1152, 1 L.Ed.2d 1403 (1957); United States v. Leahey, 434 F.2d 7 (1st Cir. 1970); United States v. Heffner, 420 F.2d 809 (4th Cir. 1969)
Because the district court's decision was handed down prior to the Supreme Court's decision in Department of Social Services v. Monell, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), the County was dismissed as a party on the authority of Monroe v. Pape, 365 U.S. 167, 81 S.Ct. 473, 5 L.Ed.2d 492 (1961). D'Iorio did not cross-appeal from dismissal of the County as a party. In the event, however, that at some future time the district court confronts this issue, effect should be given to the Supreme Court's Monell decision. McKnight v. SEPTA, 583 F.2d 1229, No. 77-2563 (3d Cir. filed September 29, 1978).
As a result of the order requiring supplemental briefing, this appeal is not from a final order of the district court whereby this court would have appellate jurisdiction under 28 U.S.C. § 1291. Nonetheless, because the district court granted D'Iorio's requested injunctive relief and ordered his reinstatement as a county detective, this appeal is properly before us under 28 U.S.C. § 1292(a)(1) (authorizing appeals from injunctive orders). When appellate jurisdiction is established on this basis, the entire order, and not simply the propriety of the injunctive relief, is before the court for review. Kohn v. American Metal Climax, Inc., 458 F.2d 255 (3d Cir. 1972), Cert. denied, 409 U.S. 874, 93 S.Ct. 120, 34 L.Ed.2d 126 (1972); McNally v. Pulitzer Pub. Co., 532 F.2d 69 (8th Cir.), Cert. denied, 429 U.S. 855, 97 S.Ct. 150, 50 L.Ed.2d 131 (1978)
This statement describes the paradigmatic case in which abstention is justified, for this type of abstention enables the state courts to function as the ultimate arbiters of state law and the federal courts to adjudicate issues of federal law. See Field, Abstention in Constitutional Cases: The Scope of the Pullman Abstention Doctrine, 122 U.Pa.L.Rev. 1071, 1080-90 (1974). Although the state courts are competent to adjudicate federal claims, and must in fact be presented with a party's federal claims if those claims may influence the construction of state law, Government Employees v. Windsor, 353 U.S. 364, 77 S.Ct. 838, 1 L.Ed.2d 894 (1957), there are two methods by which the federal courts will retain the final word on issues of federal law in cases in which they have initially abstained. First, the parties remitted to state court under the abstention doctrine may reserve the right to have their federal claims adjudicated in federal court following the state court adjudication of state law issues. England v. Louisiana State Board of Medical Examiners, 375 U.S. 411, 84 S.Ct. 461, 11 L.Ed.2d 440 (1964). Second, even if the reservation provided for by England is not asserted, there remains the possibility of Supreme Court review of the federal issues finally decided by the state courts
The Supreme Court has also held abstention to be appropriate in certain diversity actions in which no federal issues are raised, Louisiana Power & Light Co. v. City of Thibodaux, 360 U.S. 25, 79 S.Ct. 1070, 3 L.Ed.2d 1058 (1959); Kaiser Steel Corp. v. W. S. Ranch Co., 391 U.S. 593, 88 S.Ct. 1753, 20 L.Ed.2d 835 (1968); and in cases in which the state and federal issues were so intertwined that the effect of abstention was to remit completely the federal issues to the state court. See Burford v. Sun Oil Co., 319 U.S. 315, 63 S.Ct. 1098, 87 L.Ed. 1424 (1943); Alabama Pub. Serv. Comm'n v. Southern Ry., 341 U.S. 341, 71 S.Ct. 762, 95 L.Ed. 1002 (1951). Because the present case is not of this sort, we need not consider the propriety of abstention in such circumstances. See Baltimore Bank for Cooperatives v. Farmers Cheese Cooperative, 583 F.2d 104 (3d Cir. filed August 25, 1978). See generally, P. Bator, P. Mishkin, D. Shapiro & H. Wechsler, Hart & Wechsler's The Federal Courts and the Federal System 988-1009 (2d ed. 1973).
Id. at 836. See Harman v. Forssenius, 380 U.S. 528, 85 S.Ct. 1177, 14 L.Ed.2d 50 (1965) (abstention not proper where state statute clear and unambiguous); Wisconsin v. Constantineau, 400 U.S. 433, 91 S.Ct. 507, 27 L.Ed.2d 515 (1971) (affirming refusal to abstain when state law unambiguous).
D'Iorio, in attempting to establish a property interest in his employment, asserts that he had a mutual understanding with his employer that after a three month probationary period he would be a "permanent" employee of the County. See Perry v. Sinderman, 408 U.S. 593, 92 S.Ct. 2694, 33 L.Ed.2d 570 (1972). This issue was not ruled upon by the district court. Whether or not this mutual understanding rose to the level of a property interest is a matter of state law, Bishop v. Wood, 426 U.S. 341, 344-45, 96 S.Ct. 2074, 48 L.Ed.2d 684 (1976), and may be considered by a state court in proceedings pursuant to a federal court abstention decision
D'Iorio contends that abstention is not appropriate because his due process "liberty interest" claim does not involve questions of state law. However, abstention is appropriate not only when state court proceedings may obviate entirely the need for a constitutional decision, but also when they "might avoid in whole or In part the necessity for federal constitutional adjudication." Bellotti v. Baird, 428 U.S. 132, 147, 96 S.Ct. 2857, 2866, 49 L.Ed.2d 844 (1976) Quoting Harrison v. NAACP, 360 U.S. 167, 177, 79 S.Ct. 1025, 3 L.Ed.2d 1152 (1959) (emphasis added). The district court in this case did not pass on D'Iorio's liberty interest claim, and it would be inappropriate for us to do so at this time. In the event further federal proceedings ensue D'Iorio may then renew his liberty interest claim. See generally McKnight v. SEPTA, 583 F.2d 1229, No. 77-2563 (3d Cir. filed September 29, 1978)
In most cases raising abstention issues, challenge is made to the constitutionality of a state statute or to the constitutionality of official action arguably beyond the scope of state statutory authority. See Developments in the Law Section 1983 and Federalism, 90 Harv.L.Rev. 1133, 1255 (1977). A decision to abstain will enable a state court to provide a narrowing construction for the challenged statute or to hold that the challenged official action is not authorized by statute, thereby avoiding a constitutional decision in either instance. In this case, D'Iorio's challenge is directed in the first instance at the authority of the County District Attorney to terminate his employment. Sustaining the District Attorney's authority to discharge D'Iorio will not necessarily raise issues of a constitutional dimension. These issues will be raised only if it is then determined that D'Iorio had a property interest or liberty interest infringed by his summary discharge. Because adjudication of these constitutional issues may be avoided we think that abstention is singularly appropriate in this case
Since the district court's back pay award was imposed against the District Attorney and members of the County Council in their official capacities, the immunities from individual § 1983 damage liability are not relevant in this case. See Tenney v. Brandhove, 341 U.S. 367, 71 S.Ct. 783, 95 L.Ed. 1019 (1951); Pierson v. Ray, 386 U.S. 547, 87 S.Ct. 1213, 18 L.Ed.2d 288 (1967); Imbler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128 (1976); Scheuer v. Rhodes, 416 U.S. 232, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974); Wood v. Strickland, 420 U.S. 308, 95 S.Ct. 992, 43 L.Ed.2d 214 (1975)
Prior to the Supreme Court's decision in Monell, some courts had held that local government officials enjoy an immunity from damage liability in their official capacities when the effect of imposition of liability would be to circumvent the holding of Monroe v. Pape, 365 U.S. 167, 81 S.Ct. 473, 5 L.Ed.2d 492 (1961). See, e. g., Monell v. Department of Social Services, 532 F.2d 259 (2d Cir. 1976), Reversed, 46 U.S.L.W. 4569 (U.S. June 6, 1978). This logic had also been extended by some courts to bar actions seeking equitable monetary relief, at least when the payments were retroactive in nature. See, e. g., Monell v. Department of Social Services, 532 F.2d 259 (2d Cir. 1976), Reversed, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978); Muzguiz v. City of San Antonio, 528 F.2d 499 (5th Cir. 1976) (en banc). Other courts, however, distinguished equitable monetary relief from money damages, and held that the former relief was available against government officials in their official capacities despite Monroe v. Pape, supra. See, e. g., Burt v. Bd. of Trustees of Edgefield City School Bd., 521 F.2d 1201 (4th Cir. 1975); Thomas v. Ward, 529 F.2d 916 (4th Cir. 1975); Incarcerated Men of Allen County Jail v. Fair, 507 F.2d 281 (6th Cir. 1974) (equitable award of attorneys fees); Harkless v. Sweeny Ind. School Dist., 427 F.2d 319 (5th Cir. 1970), Cert. denied, 400 U.S. 991, 91 S.Ct. 451, 27 L.Ed.2d 439 (1971).
Under the Supreme Court's decisions in Rizzo v. Goode, 423 U.S. 362, 96 S.Ct. 598, 46 L.Ed.2d 561 (1976), and Department of Social Services v. Monell, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), the "mere right to control without any control or direction having been exercised and without any failure to supervise is not enough to support § 1983 liability." Dep't of Social Services v. Monell, 436 U.S. at 694, 98 S.Ct. at 2037 n.58. See Estelle v. Gamble, 429 U.S. 97, 97 S.Ct. 285, 50 L.Ed.2d 251 (1976). There is a serious question as to whether the conduct of the County Council in this case is sufficient to give rise to § 1983 liability
Recently, in Carey v. Piphus, 435 U.S. 247, 98 S.Ct. 1042, 55 L.Ed.2d 252 (1978), a case involving the suspension of students in violation of their due process rights, the Supreme Court explained that § 1983 was intended to provide compensation for provable damages. Absent proof of actual injury, the denial of due process would be actionable only for nominal damages. In considering what might constitute actual injury, the court held that if the school officials could prove on remand that the students would have been suspended had a proper hearing been held, they would not be entitled to recover damages designed to compensate them for the injuries caused by suspension. 435 U.S. at 260, 98 S.Ct. 1042. The court in a footnote disapproved certain Court of Appeals cases which allowed the award of back pay to employees discharged in violation of their due process rights even though no reinstatement was ordered because additional proceedings would simply have resulted in their discharge. Id. at 260, 98 S.Ct. 1042 n.15. Thus, even if it were determined in this case that only the County Council was authorized to discharge D'Iorio, D'Iorio's claim to back pay would appear to be undermined seriously by proof that the County Council would have discharged him using proper procedures
The significant disruption of important state policies that might result from an erroneous decision of state law in part distinguishes this case from this court's recent decision in McKnight v. SEPTA, 583 F.2d 1229 No. 77-2563 (3d Cir. filed September 29, 1978). The plaintiff in McKnight commenced a § 1983 action alleging that his discharge without a hearing from his position as a special investigator in SEPTA's security force deprived him of liberty and property without due process. The district court, on the authority of Monroe v. Pape, 365 U.S. 167, 81 S.Ct. 473, 5 L.Ed.2d 492 (1961), dismissed the § 1983 damage action against SEPTA. It then held that the complaint failed to state a claim of infringement of a liberty interest directly under the fourteenth amendment, and that state law underlying the property interest claim was sufficiently uncertain that abstention was appropriate. This court vacated and remanded for consideration of the Supreme Court's intervening decision in Monell v. Department of Social Services, 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), and reversed that part of the district court's decision holding that the plaintiff had failed to state a claim as to deprivation of a liberty interest. Although this court refused to hold that the district court's abstention decision on the property interest claim constituted an abuse of discretion, it suggested that this decision be reconsidered on remand, and strongly hinted that abstention was not appropriate. This court concluded that an erroneous decision of state law would not disrupt important state policies, and that it would be efficient to adjudicate the property interest claim along with the liberty interest claim
The principal reasons militating against abstention are the long delays that necessarily ensue in staying the adjudication of federal claims pending state court proceedings, See Harman v. Forssenius, 380 U.S. 528, 85 S.Ct. 1177, 14 L.Ed.2d 50 (1965); Frederick L. v. Thomas, 578 F.2d 513, 518 (3d Cir. 1978) (Gibbons, J., dissenting), the substitution of a state for a federal factfinder, See Conover v. Montemuro, 477 F.2d 1073 (3d Cir. 1973), Affirmed in part and vacated in part, 477 F.2d 1093 (3d Cir. 1973) (en banc), and the prognosis that the adjudication of state law issues will have little effect on the federal claims, Harris County Commissioners Court v. Moore, 420 U.S. 77, 95 S.Ct. 870, 43 L.Ed.2d 32 (1975). Although an abstention order may necessarily delay the adjudication of D'Iorio's federal claims and substitute a state for a federal factfinder on certain issues, that consideration may be outweighed when balanced against the important public policies implicit in the Pullman -type abstention doctrine
Of the cases in which the Supreme Court has held abstention to be improper, many involved first amendment challenges to state statutes alleged to be vague or overbroad on their face. See, e. g., Procunier v. Martinez, 416 U.S. 396, 94 S.Ct. 1800, 40 L.Ed.2d 224 (1974); Zwickler v. Koota, 389 U.S. 241, 88 S.Ct. 391, 19 L.Ed.2d 444 (1967); Baggett v. Bullitt, 377 U.S. 360, 84 S.Ct. 1316, 12 L.Ed.2d 377 (1964). In such circumstances, little would be gained by abstention because the state statutes would often not be amenable to a construction which would avoid or narrow constitutional issues