Porn v. National Grange Mutual Insurance

U.S. Court of Appeals8/23/1996
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                United States Court of Appeals
                            United States Court of Appeals
                    For the First Circuit
                                For the First Circuit
                                         

No. 95-2197

                        DARYL E. PORN,

                    Plaintiff, Appellant,

                              v.

          NATIONAL GRANGE MUTUAL INSURANCE COMPANY,

                     Defendant, Appellee.

                                         

         APPEAL FROM THE UNITED STATES DISTRICT COURT

                  FOR THE DISTRICT OF MAINE

         [Hon. D. Brock Hornby, U.S. District Judge]
                                                               

                                         

                            Before

                   Selya, Stahl, and Lynch,
                       Circuit Judges.
                                                 

                                         

Catherine  R.  Connors,  with whom  Scott  T.  Maker  and  Pierce,
                                                                              
Atwood,  Scribner,  Allen,  Smith  &  Lancaster,  were  on  brief  for
                                                       
appellant.
Constance L. Epstein,  with whom  John R.  FitzGerald, Matthew  D.
                                                                              
Gilmond,  Howard,  Kohn,  Sprague &  Fitzgerald,  Harold  J. Friedman,
                                                                             
Elizabeth A. Germani, Jonathan M. Dunitz, and Friedman & Babcock, were
                                                                        
on brief for appellee.

                                         

                       August 23, 1996
                                         


          STAHL, Circuit Judge.  Having successfully sued his
                      STAHL, Circuit Judge.
                                          

insurer, National Grange Mutual Insurance Company  ("National

Grange"),  six months  earlier  for  breach  of  contract  in

refusing  to pay his claim for underinsured motorist benefits

incurred during a July 1990 car accident, plaintiff-appellant

Daryl  E. Porn  brought  this  diversity  action  in  Maine's

federal  district  court   against  National  Grange  seeking

additional  damages  for  its   alleged  mishandling  of  his

underinsured  motorist  claim.   The  district  court granted

summary judgment  in favor  of National Grange  based on  the

doctrines of  collateral estoppel (issue  preclusion) and res

judicata  (claim  preclusion),   concluding  that  an   issue

underlying  one of  Porn's  claims had  been  decided in  the

earlier  proceeding and that all of  Porn's claims could have

been  raised  therein.   Porn  appeals  the  district court's

summary judgment order.  Finding no error, we affirm.

                              I.
                                          I.
                                            

                Background & Prior Proceedings
                            Background & Prior Proceedings
                                                          

          On July 17, 1990, Porn, a Connecticut resident, was

involved in an  automobile accident in Portland,  Maine, when

motorist  Lori  Willoughby  sped  through  a  stop  sign  and

broadsided  his  vehicle.     Because  his  damages  exceeded

Willoughby's  $20,000  policy  limit, Porn  made  a  claim to

National Grange under his automobile policy  seeking recovery

from  the underinsured  motorist  indorsement to  the policy.

                             -2-
                                          2


For  reasons  not  apparent in  the  record,  National Grange

refused to pay the claim.  

          Disgruntled by this refusal, Porn wrote to National

Grange accusing  it of  bad faith in  handling his  claim and

threatening legal action.  Porn  sent copies of his letter to

the insurance commissioners of Connecticut and Massachusetts.

National  Grange,  unimpressed,  remained  steadfast  in  its

refusal to pay, and in November 1993, Porn filed suit against

National  Grange in Maine's federal district court for breach

of the insurance contract ("first action").

          Because Porn's policy with National Grange required

a finding of legal liability  on the part of the underinsured

motorist as a condition precedent to the payment of benefits,

the two-day trial before the magistrate judge1 focused on the

question of Willoughby's  negligence and Porn's  contributory

negligence.   Following the  completion of the  evidence, the

magistrate judge entered judgment as a matter of law for Porn

on  the  issue  of  contributory  negligence,  and  the  jury

returned  a  verdict  for  Porn,  finding  that  Willoughby's

negligence had caused  him $400,000 worth of  damages.  After

reducing  the   jury's  award  to  reflect   Porn's  $300,000

underinsured motorist policy  limit and appropriate set-offs,

the magistrate judge entered judgment for Porn in  the amount

                    
                                

1.  Under Fed.  R. Civ. P.  73, the parties consented  to the
magistrate judge, rather than the district  judge, conducting
the jury trial.

                             -3-
                                          3


of  $255,314.40.  The  magistrate judge denied  Porn's motion

for prejudgment interest, finding that while Maine law allows

prejudgment interest in excess of the policy limit where  the

insurer  acted  in  bad faith  and  needlessly  prolonged the

litigation,  Porn  had presented  no  evidence that  National

Grange exhibited such behavior.

          Six  months  later,   Porn  commenced  this  action

against  National Grange  in Maine's  federal district  court

("second  action").   This time  Porn  alleged that  National

Grange's conduct in handling his underinsured  motorist claim

constituted breach of the covenant of good faith, intentional

infliction  of  emotional distress,  negligent  infliction of

emotional distress,  and violations of the Connecticut Unfair

Insurance  Practices Act  and  the  Connecticut Unfair  Trade

Practices Act.   National Grange moved for  summary judgment,

arguing that the judgment in the first  action precluded Porn

from bringing the second action.  The district court accepted

that  argument and  granted  summary  judgment  in  favor  of

National Grange on the grounds  that (1) one aspect of Porn's

bad-faith claim was barred by issue preclusion and (2) all of

Porn's claims were barred by claim preclusion.  

          In reaching  its first holding, the  district court

explained that the  magistrate judge's decision not  to award

Porn prejudgment interest  was based in  part on his  finding

that Porn had presented no evidence to  suggest that National

                             -4-
                                          4


Grange  acted in  bad  faith  and  needlessly  prolonged  the

litigation.    Accordingly,  the  court  concluded  that  the

question  of National Grange's  alleged bad-faith  conduct in

litigating the  first action  was raised  and decided  in the

first  action, and, therefore, to the extent Porn's bad-faith

claim  involved National  Grange's conduct  during  the first

action, it was barred by issue preclusion.

          In  reaching its broader  holding that all  five of

Porn's claims were  barred by claim preclusion,  the district

court reasoned that once Porn chose to bring the first action

against  National Grange  for  breach  of  contract,  he  was

required to raise  all his claims arising from  the breach or

else  forfeit the  right to  do so.   Because  it  found that

Porn's  five  tort  and statutory  claims,  like  the earlier

breach  of   contract  claim,   involved  National   Grange's

obligations arising under the insurance  policy, the district

court  concluded that  they should  have been brought  in the

first  action and therefore  were barred by  claim preclusion

from being raised in the second action.

                             II.
                                         II.
                                            

                           Analysis
                                       Analysis
                                               

          Porn appeals the district  court's grant of summary

judgment  in favor  of  National  Grange,  arguing  that  the

judgment in the first action  for breach of contract does not

preclude  his bad-faith,  emotional  distress, and  statutory

                             -5-
                                          5


unfair  practices  claims  (collectively  "bad-faith  claim")

against National Grange  in this action.   Specifically, Porn

argues that (1) the facts relevant to his bad-faith claim are

separate from those  relevant to his contract  claim, (2) the

bad-faith facts do not form  a convenient trial unit with the

contract facts, (3) treatment of both sets of facts as a unit

does not conform to the parties' expectations, and (4) it was

inequitable to apply the res judicata bar where, as here, the

insurer's  conduct in the  contract litigation forms  part of

the bad-faith action.2  After reciting the standard of review

and setting forth the governing res judicata law, we consider

each argument in turn.    

          We  review a  grant of  summary  judgment de  novo,
                                                                        

under  the same standards that govern  the district court, to

determine  whether  "the pleadings,  depositions,  answers to

                    
                                

2.  All  of these arguments attack the district court's claim
preclusion holding.   Porn  also makes arguments  challenging
the district court's conclusion that  the portion of his bad-
faith  claim relating  to National  Grange's  conduct in  the
first  action was barred by issue  preclusion.  However, when
Porn commenced the first action, he knew that National Grange
had neither settled  his benefits claim  despite overwhelming
evidence  that  Willoughby  alone  caused  the  accident  nor
conducted  an independent investigation into the cause of the
accident  in  an   attempt  to  offset  Porn's   evidence  of
Willoughby's wrongdoing.   Thus, we conclude that  Porn could
have  raised a  bad-faith  claim based  on  this evidence  of
National  Grange's litigation conduct in the first action and
could also  have used  National  Grange's ensuing  litigation
conduct as further evidence of that claim in the same action.
The claim therefore is barred by the doctrine of res judicata
(claim  preclusion), see  infra.    Accordingly,  we  do  not
                                           
consider Porn's arguments regarding issue preclusion.

                             -6-
                                          6


interrogatories, and  admissions on  file, together  with the

affidavits, if any, show that there is no genuine issue as to

any material  fact and that  the moving party is  entitled to

judgment  as a matter  of law."   Fed. R. Civ.  P. 56(c); see
                                                                         

also Celotex Corp. v. Catrett, 477 U.S. 317, 322 (1986).  The
                                         

applicability  of the doctrine of  res judicata is a question

of law subject to plenary review.  Wolf v. Gruntal &  Co., 45
                                                                     

F.3d 524, 527 (1st Cir. 1995).  

          Because  the  judgment  in  the  first  action  was

rendered  by a federal  court, the preclusive  effect of that

judgment  in  the  instant diversity  action  is  governed by

federal res judicata principles.  See Johnson v. SCA Disposal
                                                                         

Servs., Inc.,  931 F.2d 970,  974 (1st Cir. 1991)  (noting in
                        

addition  that  the  application   of  federal  res  judicata

principles  allows federal  courts to  define  the effect  of

their  own judgments); see  also Apparel  Art Int'l,  Inc. v.
                                                                      

Amertex Enters. Ltd., 48 F.3d  576, 582-83, 583 n.7 (1st Cir.
                                

1995).   Under  the  federal  law of  res  judicata, a  final

judgment on  the merits  of an action  precludes the  parties

from relitigating claims that were  raised or could have been

raised in  that action.   Allen v.  McCurry, 449 U.S.  90, 94
                                                       

(1980).  For a claim  to be precluded, the following elements

must be established:   (1) a final judgment  on the merits in

an earlier action, (2) sufficient identity between the causes

of action  asserted in the  earlier and later suits,  and (3)

                             -7-
                                          7


sufficient identity  between the  parties in  the two  suits.

See  Apparel Art,  48 F.3d  at 583;  Gonzalez v.  Banco Cent.
                                                                         

Corp., 27 F.3d 751, 755 (1st Cir. 1994).  Because there is no
                 

dispute that  the first  and third elements  of the  test are

established, we  focus on the  second element:   whether  the

causes of  action  in  the two  lawsuits  are  sufficiently  

identical.  

          In  defining the cause  of action for  res judicata

purposes,  this  circuit  has   adopted  the  "transactional"

approach of the Restatement (Second) of Judgments.  Manego v.
                                                                      

Orleans Bd. of  Trade, 773 F.2d 1,  5 (1st Cir. 1985),  cert.
                                                                         

denied, 475 U.S.  1084 (1986).  Under this  approach, a valid
                  

and  final judgment  in  the  first  action  will  extinguish

subsequent claims  "'with respect to  all or any part  of the

transaction,  or series  of  connected  transactions, out  of

which  the action arose.'"  Id. (quoting Restatement (Second)
                                           

of  Judgments    24  (1982)).    We  determine  what  factual

grouping  constitutes a  "transaction" pragmatically,  giving

weight to such  factors as "whether the facts  are related in

time,  space,  origin,  or motivation,  whether  they  form a

convenient trial unit, and whether their treatment as a  unit

conforms  to the parties'  expectations."  Restatement    24;

see  also Aunyx Corp.  v. Canon U.S.A.,  Inc., 978 F.2d  3, 7
                                                         

(1st Cir.  1992), cert. denied,  507 U.S. 973 (1993).   These
                                          

factors,  however,  are  merely  suggestive;  they  are   not

                             -8-
                                          8


intended   to  be   exhaustive,  nor   is   any  one   factor

determinative.   See Restatement    24  cmt. b;  Gonzalez, 27
                                                                     

F.3d at 756.   Finally, in making this  determination, we are

mindful  that  a  single  transaction  may  give  rise  to  a

multiplicity  of  claims,  Gonzalez,  27  F.3d  at  755,  and
                                               

recognize that "the  mere fact that different  legal theories

are  presented in  each  case  does not  mean  that the  same

transaction is not behind each," Manego, 773 F.2d at 6.
                                                   

A.  Consideration of the Restatement Factors
                                                        

          With that background, we inquire whether the causes

of  action  asserted  in  the  first  and  second  suits  are

sufficiently  identical,  focusing on  the  three Restatement

factors. 

          1.  Relation of the Facts in Time, Space, Origin,
                                                                       
or        Motivation
                                

          The first Restatement factor asks whether the facts

underlying  the breach of  contract and bad-faith  claims are

related  in time, space, origin, or motivation, i.e., whether
                                                                

they  arise out  of  the same  transaction, seek  redress for

essentially the same basic wrong,  and rest on the same or  a

substantially  similar factual basis.   See Kale  v. Combined
                                                                         

Ins.  Co. of  Am.,  924  F.2d 1161,  1166  (1st Cir.),  cert.
                                                                         

denied, 502  U.S. 816 (1991).   In this case,  our answers to
                  

these questions lead us to conclude that the facts underlying

the two claims are closely related.

                             -9-
                                          9


          First,  we find that  both the bad-faith  claim and

the contract claim derive from the same occurrence:  National

Grange's refusal to pay Porn the proceeds of his underinsured

motorist policy  for the  July 17,  1990, accident.   Second,

although the two claims present different legal theories, one

sounding in  contract and the  other in tort, they  both seek

redress for essentially the same basic wrong.   For instance,

Porn's contract  action sought redress for  National Grange's

refusal  to  pay  the policy  proceeds,  while  his bad-faith

action sought redress for its unreasonable refusal to pay the

proceeds, see Buckman v. People  Express, Inc., 530 A.2d 596,
                                                          

599 (Conn. 1987).  Third,  a comparison of the two complaints

illustrates that  the two  claims rest  on a  similar factual

basis.    Both  complaints,  in  their  factual  allegations,

outline the circumstances of the accident, the particulars of

the  insurance  policy,  and  National  Grange's  conduct  in

refusing to pay.  In sum, the facts underlying the two claims

are closely related in time, space, origin, and motivation.3

                    
                                

3.  A  majority of  the  courts  that  have  considered  this
question,  i.e., whether  the facts  underlying  a breach  of
                           
insurance   contract   claim  and   a  bad-faith   claim  are
sufficiently  related for purposes of res judicata, also have
concluded that both claims arise out of the insurer's refusal
to pay  the insured the proceeds  of the policy.   See, e.g.,
                                                                        
McCarty v. First  of Ga.  Ins. Co., 713  F.2d 609, 612  (10th
                                              
Cir. 1983) (applying  Oklahoma res judicata law);  Duhaime v.
                                                                      
American  Reserve Life  Ins.  Co., 511  A.2d 333,  334 (Conn.
                                             
1986);  Chandler v. Commercial Union Ins. Co., 467 So.2d 244,
                                                         
250 (Ala.  1985); Hubbell v.  Trans World Life Ins.  Co., 408
                                                                    
N.E.2d 918,  919 (N.Y.  1980); Stone  v. Beneficial  Standard
                                                                         
Life Ins.  Co., 542 P.2d 892, 894 (Or.  1975).  Of the courts
                          

                             -10-
                                          10


          Porn expends considerable effort characterizing the

instant action as arising out  of a transaction separate from

that giving  rise to the  first action.  In  particular, Porn

maintains  that  the  bad-faith  action  stems  from National

Grange's conduct in handling his insurance claim, whereas the

contract action  stems from the circumstances surrounding the

car accident.  Porn's definition of the  two transactions out

of which the  claims arise, however, is  artificially narrow.

For instance, the contract claim  arises out of more than the

car  accident  alone.   It  arises  out  of the  accident  in

conjunction with National  Grange's refusal to pay  under the

policy.   Indeed, without  the  refusal to  pay, no  contract

breach could exist.   Similarly, the factual  basis of Porn's

bad-faith  claim  cannot  be  limited  to  National  Grange's

conduct in handling  Porn's insurance claim.   In this  case,

the facts of the car  accident are also probative of National

Grange's reasonableness in refusing to pay Porn's claim.  For

instance, if, as  Porn suggests,  the facts  of the  accident

                    
                                

holding  otherwise,  i.e.,  that  the  facts  underlying  the
                                     
contract and  bad-faith claims  are  unrelated, most  applied
state-law theories of res judicata  that differ significantly
from the  federal res  judicata principles  that govern  this
case.   See,  e.g., Schmueser v.  Burkburnett Bank,  937 F.2d
                                                              
1025, 1031 (5th Cir. 1991) (applying Texas res judicata law);
Robinson v. MFA Mut. Ins. Co., 629 F.2d 497, 501-02 (8th Cir.
                                         
1980)  (applying Arkansas's  "primary rights"  theory of  res
judicata); Corral v. State Farm Mut. Auto. Ins. Co., 155 Cal.
                                                               
Rptr.  342, 345  (Cal.  Ct.  App.  1979)  (applying  "primary
rights" theory); but see Rios  v. Allstate Ins. Co., 137 Cal.
                                                               
Rptr. 441,  445-46 (Cal.  Ct. App.  1977) (reaching  contrary
conclusion under "primary rights" theory).     

                             -11-
                                          11


present a clear  picture that Willoughby was the  legal cause

of  the accident and  Porn was not  contributorily negligent,

National  Grange would  have had less  reason to  contest the

claim andtherefore its refusalto pay appearsless reasonable.4

          Admittedly, each  legal theory relies  more heavily

on some  of the underlying  facts than others.   The accident

facts,  for example,  will likely  receive  more emphasis  in

proving  the  contract  claim,   while  the  facts  regarding

National Grange's conduct in handling  Porn's insurance claim

will be more focal in  proving the bad-faith claim.  However,

the  Restatement makes clear  that merely because  two claims

depend  on different  shadings  of  the  facts  or  emphasize

different  elements of  the facts,  we should  not color  our

perception  of  the  transaction  underlying  them,  creating

multiple  transactions  where  only  one transaction  exists.

Restatement    24  cmt. c.   By  focusing exclusively  on the

facts most critical to each claim, Porn has ignored the other

                    
                                

4.  Porn's argument  that the facts  underlying the bad-faith
and  contract claims  are not  related  in time  is similarly
unpersuasive.  Porn argues that the facts underlying the bad-
faith action  go to National  Grange's handling of  the claim
after  the car  accident,  while  the  facts  underlying  the
                 
contract action  go to the  accident itself.  However,  as we
explained above,  the factual basis of the contract action is
formed  by more  than  just the  accident;  it also  includes
National Grange's refusal  to pay, and that  refusal occurred
after  the accident.   Therefore,  the  facts underlying  the
contract  action cannot be limited to the accident itself but
extend to the time period after the accident as well, thereby
minimizing any time differential between the facts underlying
the two claims. 

                             -12-
                                          12


facts underlying each  claim.  Accordingly, we  reject Porn's

grouping of the facts underlying the two claims into separate

transactions. 

          2.  Trial Convenience
                                           

          The  second   Restatement  factor  directs   us  to

determine  whether the facts underlying the contract and bad-

faith claims  form  a convenient  trial unit.   This  factor,

aimed at  conserving judicial resources, provides  that where

the witnesses or  proof needed in  the second action  overlap

substantially with those used in the first action, the second

action should ordinarily be precluded.  Restatement   24 cmt.

b.  We conclude that Porn's bad-faith claim would use much of

the same evidence produced in  the first action for breach of

the  insurance contract,  and therefore  it  would have  been

convenient and efficient for the district court to have heard

the two claims in the same action.

          Testimony and  exhibits about the  circumstances of

the accident are relevant to both  the contract and bad-faith

claims.    To  establish that  National  Grange  breached the

insurance policy in  not paying his claim, Porn  had to prove

that  Willoughby's negligence caused the accident and that he

was  not contributorily negligent.  Accordingly, in the first

action, Porn  presented evidence detailing  the circumstances

of the  accident.    This evidence  would  likely  have  been

repeated in a second action for bad faith, as Porn would have

                             -13-
                                          13


sought   to  portray  the   accident  facts  as   so  plainly

establishing Willoughby's negligence that National Grange had

no credible reason for refusing to pay his claim.    

          The  evidence in the contract action and the second

action  would  also  overlap  as  to  the  terms   of  Porn's

underinsured motorist policy and National Grange's refusal to

pay his  claim.   To prove  breach of contract,  Porn had  to

establish that National Grange refused to pay his claim where

the  terms  of  the  policy  so   required.    Likewise,  the

reasonableness of  National  Grange's refusal  to pay,  i.e.,
                                                                        

whether it  acted in  bad faith, depends  on what  the policy

required.  

          Rather  than  addressing  the degree  to  which the

evidence supporting each claim  overlaps, Porn challenges the

convenience  of bringing  the claims  together  on two  other

grounds.   First, Porn  argues that evidence  relevant to the

bad-faith  claim,  specifically  evidence  of  the amount  of

insurance available  and the  fact of  settlement offers  and

negotiations,  would prejudice  the insurer's defense  of the

contract claim,  and therefore the  two claims do not  form a

convenient trial  unit.  However, we agree  with the district

court  that  any  potential prejudice  could  be  resolved by

bifurcating the trial.  With bifurcation, the evidence common

to  both  claims,  which was  considerable,  could  have been

presented at once and not "in separate  lawsuits commenced at

                             -14-
                                          14


a distance of months or years."  Porn v. National Grange Mut.
                                                                         

Ins. Co., No. 95-140-P-H, 1995 WL 626374, at *3 (D. Me. Sept.
                    

27, 1995).

          Second,  Porn argues  that  he  had  to  procure  a

judgment that National Grange breached the insurance contract

before the  cause of  action for bad  faith could  accrue and

therefore  the bad-faith  and contract  claims  could not  be

joined in the same action.   Porn bases this contention on an

assumption  that, although  a Connecticut  court  has yet  to

decide this issue, it would follow jurisdictions like Florida

and  require a  judgment of  contract breach  as a  condition

precedent to  the pursuit of  a bad-faith claim.   See, e.g.,
                                                                        

Blanchard v. State Farm Mut.  Auto. Ins. Co., 575 So.2d 1289,
                                                        

1290 (Fla.  1991)  ("[A]n  insured's  underlying  first-party

action for insurance benefits against the insurer necessarily

must be resolved favorably to the insured before the cause of

action   for  bad  faith   in  settlement   negotiations  can

accrue.").5  The district court correctly observed,  however,

that the Connecticut  Supreme Court rejected  this contention

in Duhaime v.  American Reserve Life Ins. Co.,  511 A.2d 333,
                                                         

                    
                                

5.  Porn's reliance  on McAllaster  v. Bruton,  655 F.  Supp.
                                                         
1371,  1374 (D.  Me. 1987),  as additional  support for  this
proposition is  sorely misplaced.   McAllaster  held that  an
                                                          
insurer  could  not  be required  to  pay  uninsured motorist
benefits without a prior judgment that the uninsured motorist
was liable.   Id.  at 1374-75.   McAllaster does  not address
                                                       
whether a judgment finding breach  of the insurance policy is
a condition precedent to pursuit of a bad-faith claim.     

                             -15-
                                          15


334-35  (Conn. 1986).  Invoking the doctrine of res judicata,

the  Connecticut  Supreme Court  held that  Duhaime's earlier

action for breach of the insurance policy barred a subsequent

action  for  bad  faith.   Id.    In  so holding,  the  court
                                          

implicitly  acknowledged that  a bad-faith action  can accrue

without a  separate judgment  of contract  breach.   Although

Duhaime involved  disability insurance  and the  instant case
                   

involves underinsured  motorist  insurance,  we  see  nothing

unique  about  underinsured  motorist  insurance  that  would

preclude Duhaime's holding from governing here.6
                            

          3.  Parties' Expectations
                                               

          The final  Restatement factor  is whether  treating

the underlying facts as a trial unit conforms to the parties'

expectations.  For the following reasons, we conclude that it

does.  

          When he brought his contract suit in November 1993,

Porn knew the facts necessary for bringing a bad-faith claim.

He knew  that National Grange had refused to pay; he knew its

alleged reasons  for so refusing;  and he knew the  extent of

the delay in payment attributable to the refusal.  Therefore,

                    
                                

6.  In all events, in a bifurcated trial such as the district
court envisioned, see supra, the jury would first be asked to
                                       
determine the breach of contract  claim.  Only if the insured
prevailed on that claim would the second (bad-faith) phase of
the trial transpire.  Thus,  the insured would have to secure
a finding that  the insurer breached  the contract before  he
could recover on his bad-faith claim.   We do not think  that
the Connecticut Supreme Court would require more.  

                             -16-
                                          16


because the two claims  arose in the  same time frame out  of

similar facts, one would reasonably expect them to be brought

together.   See  18 Charles  A.  Wright &  Arthur R.  Miller,
                           

Federal  Practice  and   Procedure     4407,  at   56  (1981)
                                              

("Defendants  may reasonably  demand that disposition  of the

first  suit establish repose as  to all matters that ordinary

people  would  intuitively  count  part  of  a  single  basic

dispute.").   Indeed, in  February 1993,  nine months  before

filing  the  first action,  Porn wrote  a letter  to National

Grange in which  he made a demand for his policy proceeds and

concomitantly threatened to  sue for bad faith.   In light of

this letter, it would not have been unreasonable for National

Grange  to expect  that  any  subsequent  lawsuit  that  Porn

initiated  would include claims  for both breach  of contract

and bad faith.   Finally, bringing related claims together is

arguably more conducive to settlement and therefore, at least

in this case, may have had some pragmatic appeal.         

          In  sum, applying  the Restatement's  transactional

test to this case, we conclude that the two lawsuits involved

sufficiently identical causes  of action.  Because  the cause

of  action  should not  have  been split  into  two lawsuits,

Porn's bad-faith claim is barred by claim preclusion.  

B.  Equitable Exception
                                   

          As his final  argument, Porn contends that  even if

we  find  that  res  judicata  applies,  equity  demands  its

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                                          17


suspension  in this  case.   Specifically,  Porn argues  that

because  National Grange's decision to proceed to judgment in

the contract  action with no evidence to  support its defense

("litigation  conduct") is probative  of bad faith,  the full

nature of National  Grange's bad-faith tort was  not revealed

until   judgment  was   entered  in   the   contract  action.

Therefore, Porn argues, it would  be premature and unfair  to

require him  to bring his  bad-faith claim together  with his

contract claim.  

          The  Supreme Court has  counselled us to  adhere to

traditional principles  of res judicata  and not to  make any

"ad hoc determination of the equities in a particular  case."

Federated Dep't  Stores, Inc.  v. Moitie,  452 U.S.  394, 401
                                                    

(1981) (refusing to condone an exception to an application of

res judicata  that would  bar relitigation  of an  unappealed

adverse judgment where  other plaintiffs  in similar  actions

against common defendants successfully appealed the judgments

against  them).   In a  post-Moitie  decision, however,  this
                                               

court  has suggested that an "'occasional exception' to claim

preclusion"  may   still  exist  in  instances  of  "'unusual

hardship.'"  Kale,  924 F.2d at 1168 (quoting Rose v. Town of
                                                                         

Harwich, 778 F.2d  77, 82 (1st Cir. 1985),  cert. denied, 476
                                                                    

U.S. 1159  (1986)); but see  Johnson v. SCA  Disposal Servs.,
                                                                         

Inc., 931  F.2d 970, 977  (1st Cir. 1991) (citing  Moitie for
                                                                     

the proposition that "we cannot relax the principles of claim

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                                          18


preclusion even if  we find that the equities  cry out for us

to do so").  Assuming  arguendo that Moitie did not foreclose
                                                       

the possibility  of an equitable exception, we  find that, in

the context of this case, requiring the bad-faith claim to be

brought  in the first action creates  no unusual hardship for

Porn and therefore the exception does not apply.  

          First,   we   challenge  Porn's   assumption   that

requiring  the  two  claims  to  be  brought  together  would

necessarily preclude as  support for the bad-faith  claim any

evidence  about  National  Grange's  decision  to proceed  to

judgment in the  contract action with no  evidence to support

its defense.   Had  the  contract and  bad-faith claims  been

brought  together,  the  district  court  would  likely  have

bifurcated  the trial into  two phases.   By the  time of the

bad-faith  phase of  the  trial,  the  contract  phase  would

already have  been  completed and  Porn would  know both  the

quality of evidence  National Grange presented to  defend the

contract  claim and  that the  magistrate  judge had  granted

judgment  as  a matter  of  law  for  Porn  on the  issue  of

contributory negligence.   Accordingly,  we see nothing  that

would  have prevented Porn  from presenting this  evidence in

the bad-faith phase of the trial and arguing to the jury that

National  Grange's  refusal  to  settle the  contract  action

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                                          19


despite insufficient  evidence of  a meritorious  defense was

more evidence of its bad faith.7

          Moreover, assuming arguendo  that Porn's assumption
                                                 

was  correct and  that at  the time  he brought  the contract

action he  was unaware of  the litigation conduct  that would

occur therein, we nonetheless conclude that Porn was aware of

other conduct by National Grange sufficient to support a bad-

faith   claim.    Indeed,  of  the  ten  factual  allegations

supporting  Porn's  bad-faith complaint,  nine were  known to

Porn  at  the time  he  instituted  the  first action.    For

instance, the  second complaint alleged  that National Grange

failed to act on the claim for nine months; failed to make an

offer on the  claim for sixteen months; failed  to allow Porn

to  settle  with  Willoughby's   carrier  for  the  available

liability proceeds for  two years; justified delays  with the

possibility of other insurance coverage when it  knew no such

insurance  existed; made Porn  investigate the possibility of

other coverage;  failed to investigate  the claim; repeatedly

lied to  Porn about  the policy's terms;  and instructed  its

claims personnel  to withhold  helpful information about  the

                    
                                

7.  Even if  the trial had  not been bifurcated and  Porn did
not yet know  that the magistrate judge  would grant judgment
as a matter  of law on the issue  of contributory negligence,
Porn still  could have pointed  to National Grange's  lack of
evidence of contributory negligence and  argued that National
Grange's  refusal to  settle the  contract case  with  such a
meager defense was more evidence of its bad faith.  See supra
                                                                         
note 2. 

                             -20-
                                          20


policy  from Porn.    Because  the  events  underlying  these

allegations had occurred  by the time Porn  brought his first

action, we  find that Porn had ample  opportunity to litigate

the bad-faith  claim therein,  see Gonzalez,  27 F.3d  at 758
                                                       

(holding that for claim preclusion to apply, a litigant first

must have  had a  full and fair  opportunity to  litigate her

claim), and  his asserted  inability to  present evidence  of

National Grange's  litigation conduct  as additional  support

for his bad-faith claim does not present an

unusual hardship.

                             III.
                                         III.
                                             

                          Conclusion
                                      Conclusion
                                                

          For  the   reasons  stated  above,  we  affirm  the
                                                                    

district  court's grant  of  summary  judgment  in  favor  of

National Grange.

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                                          21

Additional Information

Porn v. National Grange Mutual Insurance | Law Study Group