Professional Documents
Culture Documents
422 F.3d 873
422 F.3d 873
counsel was not within the range of compe- have rejected the sentencing stipulation
tence demanded of attorneys in criminal and insisted on proceeding with the sen-
cases. Id. at 56, 106 S.Ct. 366 (citing tencing phase of trial. See Hill, 474 U.S.
McMann v. Richardson, 397 U.S. 759, 771, at 60, 106 S.Ct. 366 (rejecting IAC claim
90 S.Ct. 1441, 25 L.Ed.2d 763 (1970), and because petitioner did not allege that, ‘‘had
Tollett v. Henderson, 411 U.S. 258, 267, 93 counsel correctly informed him about his
S.Ct. 1602, 36 L.Ed.2d 235 (1973)). Thus, parole eligibility date, he would have
to prevail, the petitioner must show that pleaded not guilty and insisted on going to
(1) counsel’s representation fell below the trial’’).
range of competence demanded of attor- Finally, Washington points to no evi-
neys in criminal cases, and (2) ‘‘there is a dence demonstrating that his agreement to
reasonable probability that, but for coun- enter into the sentencing stipulation was
sel’s errors, he would not have pleaded not voluntary, knowing, or intelligent.
guilty and would have insisted on going to The transcript of the colloquy shows that
trial.’’ Id. at 58–59, 106 S.Ct. 366. the court meticulously explained the rights
[8] Here, Washington fails to satisfy that Washington was agreeing to waive,
either of the tests set forth in Cuyler and including post-conviction proceedings and
Hill. Washington points to no evidence IAC claims, and that Washington under-
that ‘‘demonstrate[s] that his attorney stood the nature of the waiver. In sum,
made a choice between possible alternative Washington fails to demonstrate that the
courses of action that impermissibly fa- state courts’ rejection of his IAC claim was
vored an interest in competition with those contrary to, or an unreasonable application
of the client.’’ McClure, 323 F.3d at 1248. of, clearly established federal law. See 28
Rather, the evidence shows that Washing- U.S.C. § 2254(d).
ton’s counsel wisely negotiated a bargain The district court’s denial of Washing-
that allowed Washington the lightest possi- ton’s petition for writ of habeas corpus is
ble sentence, thus avoiding imposition of therefore
either the death penalty or life imprison- AFFIRMED.
ment without the possibility of parole—
,
sentences that appeared likely, given the
circumstances of the murder.
Further, even if we consider Oregon Bar
Disciplinary Rule 6–102(A) in determining
whether an actual conflict of interest exist- Deborah WOOD, Plaintiff–Appellant,
ed, it appears that, similar to the petitioner v.
in Williams, all that Washington alleges is
the same theoretical conflict that exists GCC BEND, LLC, an Oregon Limited
between an attorney’s interests and his Liability Corporation, Defendant–
client’s interests in most plea agreement Appellee.
negotiations involving a waiver of the right No. 04–35073.
to appeal. See Williams, 52 F.3d at 1473. United States Court of Appeals,
Washington points to no evidence demon- Ninth Circuit.
strating that any conflict, actual or theo-
retical, adversely affected his attorneys’ Argued and Submitted July 13, 2005.
performance. Further, Washington points Filed Sept. 6, 2005.
to no evidence indicating that, had his Background: Former employee brought
attorneys performed differently, he would action against former employer, alleging
874 422 FEDERAL REPORTER, 3d SERIES
* The Honorable Charles R. Weiner, Senior 1. Both parties consented to proceeding before
United States District Judge for the Eastern a magistrate judge.
District of Pennsylvania, sitting by designa-
tion.
876 422 FEDERAL REPORTER, 3d SERIES
ly, we reverse the certification, dismiss the that she was making more than her per-
appeal, and remand. formance merited, and by having a youn-
ger salesperson, Brian Canady, give a
I presentation that she didn’t know about on
GCC Bend hired Wood on January 24, one of her accounts. In either November
2000, at the age of 48, to be Director of or December 2000, Gross met with Wood,
Sales for the radio stations that it operat- yelled at her, and told her that she had no
ed in Bend, Oregon. GCC Bend was input or decision-making power for hiring
owned by Herb Gross and his two sons, or firing in the sales department.
Jim and John. John Gross was President In March 2001, Wood was reassigned by
and oversaw all company operations. Ac- the new general manager, Steve Stephen-
cording to Wood’s evidence, she had a son, from Director of Sales to ‘‘National
base salary of $65,000 with the possibility Sales Manager.’’ Her new position re-
of a quarterly bonus if the sales depart- quired less management and more sales.
ment met budgeting goals. John Gross Wood signed a modified employment
tended to hire younger employees than agreement providing that she would re-
those hired by Wood and the general ceive the same salary as before, $65,000,
manager, Dan Volz, and he often replaced plus quarterly bonuses based on her own
departing employees with younger em- sales, and that she would receive sever-
ployees. Both John and Jim Gross made ance pay if she were terminated without
comments about wanting a younger sales cause. In the first quarter she earned a
force, and criticized older employees as bonus of $3,500—her first bonus at the
‘‘out of touch.’’ John Gross also socialized company.
with younger employees outside the office, Stephenson resigned March 30 but, ac-
was critical of older employees but hands- cording to Wood, told her before he re-
off with younger employees, gave older signed that Gross made the decision to
salespeople more challenging budget goals ‘‘demote’’ her because of ‘‘weaknesses’’ and
while transferring accounts to younger that Gross planned eventually to promote
salespeople, and afforded training oppor- Canady to replace her. In late June 2001,
tunities to younger sales staff instead of John Gross asked Wood to meet with him
older staff, contrary to Wood’s recommen- and Laurie Reyes, the business manager.
dation. Gross talked about the fact that Wood’s
Wood told Gross that the budget goals apparent unhappiness was demoralizing
for the older sales-people were unattaina- the sales department, and that a number
ble; she differed with his decisions to of people had told him that Wood wanted
transfer accounts from three older work- to leave the company. Gross suggested
ers; she defended the older salespeople’s that perhaps she and the company were no
ability to sell for radio stations with youn- longer a good match. He explained that
ger demographics; and she hired older they could part as friends and work some-
applicants for sales positions contrary to thing out financially. Wood told Gross,
Gross’s wishes. After this, Gross’s ‘‘micro- falsely, that she was happy. When Wood
management’’ of Wood increased, and he asked Gross if he was firing her, he looked
embarrassed Wood in front of her co- surprised and said no, but that if she were
workers by cutting her off mid-sentence unhappy it wasn’t healthy for her or the
and ignoring her, by stating in their pres- company and perhaps she should rethink
ence that he would not give her a raise and her position.
WOOD v. GCC BEND, LLC 877
Cite as 422 F.3d 873 (9th Cir. 2005)
Soon after the meeting, Gross called not, as a matter of law, support her claims
Wood at home when she was out sick to let for age discrimination and retaliation.
her know that he had hired a new Director Wood moved for certification of the
of Sales. He described the new director judgment on her constructive discharge
as ‘‘young, energetic, a runner and highly claims under the ADEA and Oregon statu-
qualified.’’ Wood believed that the compa- tory and common law, and to stay the
ny could not afford to keep her, the new remaining proceedings. The district court
Director of Sales, and Canady on the pay- granted the motion, reasoning that Wood’s
roll and that Gross was intent on forcing claim for wrongful constructive discharge
her to resign. Wood resigned on July 13, is a distinct claim; that her claims for
2001, the day she received her bonus and discrimination and retaliation under the
approximately three weeks after the meet- ADEA and its Oregon counterpart, to the
ing with Gross and Reyes. extent they are based on a theory of con-
Wood then brought suit alleging claims structive discharge, are closely related,
for (1) age discrimination, and retaliation factually and legally, to the common law
for opposition to age discrimination, in vio- claim; and that the ‘‘pragmatic approach’’
lation of the ADEA; (2) age discrimina- is to grant certification of judgment on her
tion, and retaliation for opposition to age statutory claims as well as on her common
discrimination, in violation of Or.Rev.Stat. law claim.
§ 659A.030; and (3) wrongful constructive Wood timely appealed. GCC Bend con-
discharge. GCC Bend moved for sum- tested certification in the district court, but
mary judgment, which the district court let it go on appeal. Perhaps GCC Bend
granted in part (on Wood’s theory of con- decided that it would just as soon have an
structive discharge) and denied in part (on appellate resolution on the merits of the
her theory of demotion). It concluded that constructive discharge issues, but jurisdic-
while her change in job title could reason- tion cannot turn on consent or a change of
ably be considered a demotion, not every heart. Therefore, we asked the parties to
demotion is a constructive discharge; that discuss at oral argument whether the judg-
she did not resign as a result of it; and ment was properly certified under Rule
that Wood’s other evidence does not show 54(b). They did, and we now explain why
a change in the conditions of her employ- we disagree with the district court’s deter-
ment sufficient to support a claim of con- mination to certify.
structive discharge under federal or state
law. However, the court found that Wood II
did raise a triable issue that she was de- Rule 54(b) provides that ‘‘[w]hen more
moted, which would be an adverse employ- than one claim for relief is presented in an
ment action, and that there was enough action, TTT the court may direct entry of
evidence to show that it was on account of final judgment as to one or more but fewer
unlawful discrimination. Thus, it conclud- than all of the claims TTT only upon an
ed, Wood’s claims for age discrimination express determination that there is no just
and retaliation survive summary judgment reason for delay and upon an express di-
but only to the extent they are premised rection for the entry of judgment.’’ The
on the adverse employment action of her Supreme Court set out a framework for
reassignment, and that because there is no applying this rule in Sears, Roebuck & Co.
issue of material fact that she was not v. Mackey, 351 U.S. 427, 76 S.Ct. 895, 100
constructively discharged, that theory can- L.Ed. 1297 (1956), which it repeated more
878 422 FEDERAL REPORTER, 3d SERIES
2. The Court has eschewed setting narrow pendent of any other claims; whether review
guidelines for district courts to follow. Id. at of the adjudicated claims would be mooted by
10–11, 100 S.Ct. 1460. However, Curtiss– any future developments in the case; whether
Wright sheds light on the factors that may an appellate court would have to decide the
inform a judge’s decision. same issues more than once even if there
were subsequent appeals; and whether delay
Curtiss–Wright and General Electric had
in payment of the judgment (which in that
entered into a series of contracts; Curtiss– case could be years because of the complexity
Wright sued and among other things, sought of the remaining claims) would inflict severe
$19 million from General Electric on the bal- financial harm.
ance due on the contracts already performed. The Supreme Court indicated that it was
The only issue on that claim involved applica- proper for the district judge to consider such
tion of a release clause in each of the agree- factors as whether the adjudicated claims
ments, and on that issue the district court were separable from the others and whether
granted summary judgment in favor of Cur- the nature of the claim was such that no
tiss–Wright and ruled that it was entitled to appellate court would have to decide the
prejudgment interest at the New York statuto- same issues more than once. It suggested
ry rate. Those orders were certified as final that while the absence of any of these factors
judgments under Rule 54(b). In doing so the would not necessarily mean that certification
district court acknowledged that Rule 54(b) was improper, it would require the district
certification should be reserved for ‘‘the infre- court ‘‘to find a sufficiently important reason
quent harsh case because of the overload in for nonetheless granting certification.’’ Id. at
appellate courts which would otherwise result 8 & n. 2, 100 S.Ct. 1460. The Court illustrated
from appeals of an interlocutory nature,’’ but the point by observing that if the district court
determined that the interests of sound judicial concluded that an appellate court might have
administration and justice to the litigants to face the same issues on a later appeal, this
weighed in favor of certification. Id. at 5–6, downside might be offset by the upside of
100 S.Ct. 1460. The court considered wheth- finding that appellate resolution of the certi-
er certification would result in unnecessary fied claims might facilitate settlement of the
appellate review; whether the claims finally remaining claims. Id. at 8 n. 2, 100 S.Ct.
adjudicated were separate, distinct, and inde- 1460.
WOOD v. GCC BEND, LLC 879
Cite as 422 F.3d 873 (9th Cir. 2005)
from Wood’s other claims. The district Goodyear Tire & Rubber Co., 819 F.2d
court found that the wrongful constructive 1519, 1525 (9th Cir.1987) (upholding certifi-
discharge claim is ‘‘closely related, factual- cation of partial summary judgments
ly and legally’’ to Wood’s remaining claims based on an exculpatory clause given the
for discrimination and retaliation under size and complexity of the case and the
the ADEA and its state counterpart to the fact that the matters disposed of were
extent they are based on a theory of con- sufficiently severable factually and legally
structive discharge. While the court made from the remaining matters, and complete-
no finding with respect to the remaining ly extinguished the liability of certain par-
claims to the extent they are not based on ties on one claim).
a theory of constructive discharge, it is We abjure the task of discerning how
evident from the record that the facts upon Wood’s claims or theories should be char-
which Wood would prove discrimination acterized because regardless of whether
based on demotion are largely the same as she has simply articulated alternative theo-
those upon which she relies to show ries of recovery, or could separately have
wrongful constructive discharge. stated claims for both adverse employment
We have no district court finding to actions about which she complains, the
defer to about the interrelationship of the practical effect of certifying the construc-
claims or issues, and the effect of the tive discharge issues in this case is to
relationship on the likelihood of piecemeal deconstruct her age discrimination action
appeals. The court did conclude that cer- so as to allow piecemeal appeals with re-
tifying all constructive discharge issues spect to the same set of facts. On one
was the pragmatic thing to do. We under- theory the facts might show that GCC
stand the difficulty of deciding whether a Bend constructively discharged Wood be-
pleading is a unitary claim or multiple cause of her age and opposition to the
claims, and even more mystically, whether company’s age discrimination; on another
issues in related claims stand alone, or theory, they might show that she was de-
apart from their claims, for purposes of moted for the same reasons. Either way,
Rule 54(b) finality. The difficulty is com- her legal right to relief stems largely from
pounded where, as here, theories articulat- the same set of facts and would give rise to
ed in different claims are piggy-backed successive appeals that would turn largely
onto a finally adjudicated claim.3 Because on identical, and interrelated, facts. This
of this, our court has previously embraced impacts the sound administration of jus-
‘‘a more pragmatic approach focusing on tice.4
severability and efficient judicial adminis- Another way of looking at the same
tration.’’ Continental Airlines, Inc. v. thing is that certification in this case effec-
3. Simply because issues raised in claims that claim action. The partial adjudication of a
have not themselves been finally adjudicated single claim is not appealable despite a rule
are ‘‘closely related, factually and legally,’’ to 54(b) certification.’’ Arizona State Carpenters
the issue resolved in the distinct claim that is Pension Trust Fund v. Miller, 938 F.2d 1038,
final does not mean that all claims are final, 1039–40 (9th Cir.1991) (internal quotation
or that the interests of judicial administration marks and citations omitted).
are well served by treating them as if they
were. As we have explained, ‘‘Rule 54(b) 4. To posit an extreme possibility, suppose a
does not relax the finality required of each plaintiff avers that she was not promoted, that
decision, as an individual claim, to render it she was demoted, that she was transferred,
appealable. It simply allows a judgment to that she was excluded from the loop, and that
be entered if it has the requisite degree of she was constructively discharged on account
finality as to an individual claim in a multi- of her age in the course of the same factual
WOOD v. GCC BEND, LLC 881
Cite as 422 F.3d 873 (9th Cir. 2005)
tively severs trial on different theories of being separate for purposes of Rule 54(b).
adverse treatment arising out of the same Certainly they are not. Both the Supreme
factual relationship. There is little doubt Court and our court have upheld certifica-
that severance in a straightforward case tion on one or more claims despite the
such as this would never occur as it would presence of facts that overlap remaining
strain, rather than serve, the interests of claims when, for example, counterclaims
sound judicial administration. This is yet are involved that arise out of the same
another indicator that the issues and transaction or occurrence as the certified
claims at stake are not truly separable, claim, or the case is complex and there is
and should not be separated artificially, for an important or controlling legal issue that
purposes of Rule 54(b). cuts across (and cuts out or at least cur-
tails) a number of claims.5 However, the
We do not mean to suggest that claims circumstances in this case are not similar
with overlapping facts are foreclosed from to those in which certification has been
relationship with her employer and co-em- 1525 (approving in a complex case certifica-
ployees. Each of these theories could be tion of partial summary judgments that nar-
challenged and adjudicated at different pre- rowed the issues, shortened any subsequent
trial stages. Suppose, for instance, the defen- trial by months, and efficiently separated the
dant made for, and was granted in part, a legal from the factual questions where the
motion for judgment on the pleadings, a mo- matters disposed of were sufficiently severa-
tion to dismiss, a motion for summary judg- ble factually and legally from remaining mat-
ment, and that the court eliminated or simpli- ters and completely extinguished the liability
fied issues at the pretrial conference. In of one class of defendant); Sheehan v. Atlanta
these circumstances it is easy to see why Int’l Ins. Co., 812 F.2d 465, 468 (9th Cir.
certification, and piecemeal appellate juris- 1987) (upholding certification of judgment on
diction to review each of these hypothetical all claims but counterclaim, indicating that
rulings seriatim, would be administratively the Rule 54(b) claims do not have to be sepa-
burdensome and indeed, would make no rate from and independent of the remaining
sense at all. Of course, Wood’s case presents claims), with Miller, 938 F.2d at 1040 (hold-
a much simpler and less absurd situation. ing that punitive damage count and compen-
But the point is no less well taken, that satory damage counts are ‘‘inextricably inter-
‘‘sound judicial administration does not re- twined’’ as the basic theories of recovery and
quire that Rule 54(b) requests be granted rou- the core set of operative facts on both would
tinely.’’ Curtiss–Wright, 446 U.S. at 10, 100 be the same); Gregorian, 871 F.2d at 1520
S.Ct. 1460. (upholding certification because the district
5. Compare, e.g., Cold Metal Process Co. v. court could properly conclude that the factual
United Eng’g & Foundry Co., 351 U.S. 445, and legal issues involved in a claim for inten-
451–52, 76 S.Ct. 904, 100 L.Ed. 1311 (1956) tional infliction of emotional distress were
(holding that Rule 54(b) allows entry of final substantially different from those raised in a
judgment even if an uncertified counterclaim libel claim); McIntyre, 789 F.2d at 1410 (up-
arises out of the same transaction or occur- holding certification where uncertified coun-
rence); Curtiss–Wright, 446 U.S. at 9, 100 terclaim ‘‘would require proof of different
S.Ct. 1460 (reiterating that counterclaims facts’’); Morrison–Knudsen, 655 F.2d at 965
present no problem for a Rule 54(b) certifica- (holding that it was not proper to direct entry
tion); Texaco, Inc. v. Ponsoldt, 939 F.2d 794, of judgment when counterclaim reserved for
798 (1991) (calling Morrison–Knudsen Co. v. trial and counterclaims upon which summary
Archer, 655 F.2d 962 (9th Cir.1981), ‘‘outdat- judgment was granted were logically related
ed and overly restrictive’’ and upholding cer- from a factual and legal standpoint); Has-
tification even though the certified claims and brouck v. Sheet Metal Workers Local 232, 586
remaining counterclaims required proof of F.2d 691, 694 (1978) (noting that state law
the same facts where the district court’s rul- claims, to the extent they rely on the same set
ings separated the legal from the factual ques- of facts common to a federal claim, do not
tions and certain theories of recovery were constitute a separate ‘‘claim’’ for purposes of
eliminated); Continental Airlines, 819 F.2d at Rule 54(b)).
882 422 FEDERAL REPORTER, 3d SERIES
approved even though the remaining is a single plaintiff, single defendant case
claims entail proof of the same facts in- involving a discrete employment relation-
volved in the claims that are dismissed. ship that played out in a relatively short
This is neither a complex case nor one time among relatively few actors.6
where the only remaining claim is a coun- Further, absent certification, we may
terclaim; the factual issues overlap entire- never have to decide whether Wood was
ly—not just substantially; and the only constructively discharged as a matter of
legal right asserted is the right not to be law. The district court could change its
discriminated against on account of age. mind if this case were to go to trial; dis-
In these circumstances, the guiding princi- trict judges may always revisit their prior
ple is that ‘‘[a] similarity of legal or factual rulings, and here the evidence on both
issues will weigh heavily against entry of theories is the same. Even though it ap-
judgment under [Rule 54(b) ]TTTT’’ Morri- peared on summary judgment that no tri-
son–Knudsen, 655 F.2d at 965. able issue exists on constructive discharge,
The greater the overlap the greater the the court could reconsider in light of the
chance that this court will have to revisit evidence adduced at trial if that evidence
the same facts—spun only slightly differ- turned out to raise an unexpected infer-
ently—in a successive appeal. The case- ence of intolerable working conditions. Or
load of this court is already huge. More the issue could be mooted. Or the case
than fifteen thousand appeals were filed in might settle.
the last year. We cannot afford the luxury Finally, the district court found that
of reviewing the same set of facts in a there was no reason for delay but did not
routine case more than once without a explicitly take judicial administrative inter-
seriously important reason. ests into account.7 It made no findings
No such reason appears in the record of (and did not conclude) that the interests of
this case. Unlike the plaintiff in Curtiss– sound judicial administration are served by
Wright, for example, Wood does not stand interlocutory appeal in this particular case.
to gain or lose a significant amount of Duplication of proceedings and overall
money unless the appeal is heard now delay in final disposition of the action im-
rather than at the end of trial. Trial plicate sound judicial administration. The
would be neither lengthy nor complex; it first of the Federal Rules of Civil Proce-
6. According to the district court, Wood assert- the contrary, it appears that the parties sim-
ed that constructive discharge, rather than ply have quite different takes on the value of
demotion, was the ‘‘primary focus’’ of each of Wood’s case.
her claims and that appellate resolution of the
constructive discharge issue could facilitate 7. The court concluded that there was no just
settlement because of the disparate damages reason to delay an appeal to resolve the con-
available for the resolved versus the unre- structive discharge issue, but did not base its
solved claims. Although settlement prospects
determination on the specific equities of
that turn on immediate appeal would be a
Wood’s case. Cf., e.g., Curtiss–Wright, 446
finding to which we would defer, the district
U.S. at 8, 10, 100 S.Ct. 1460 (recognizing the
court did not actually say so in this case, and
winning party’s financial stake in an early
the parties do not seem to think so. As the
Supreme Court suggested in Curtiss–Wright, outcome as one of the equities that a district
in a proper case settlement prospects might court may factor into its decision whether to
outweigh piecemeal appeal concerns; howev- certify a judgment that is otherwise certifi-
er, in this case, the record does not indicate able). Nor has Wood identified any. Accord-
that there is any serious possibility of settle- ingly, we assume that there are none.
ment that turns on which theory survives. To
U.S. v. HOVSEPIAN 883
Cite as 422 F.3d 883 (9th Cir. 2005)
,
Court for the Central District of Califor-
nia, Mariana R. Pfaelzer, J., entered or-
ders granting relief as requested, and fed-
eral government appealed. The United
States Court of Appeals for the Ninth
* Alberto R. Gonzales is substituted for his pre- of the United States, pursuant to Fed. R.App.
decessor, John Ashcroft, as Attorney General P. 43(c)(2).