University of Tennessee v. Elliott Brief Amicus Curiae
Public Court Documents
October 7, 1985
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Brief Collection, LDF Court Filings. University of Tennessee v. Elliott Brief Amicus Curiae, 1985. 70cbb6df-c59a-ee11-be37-00224827e97b. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/9cc59878-9acf-4a9c-b3d1-47493d768266/university-of-tennessee-v-elliott-brief-amicus-curiae. Accessed November 20, 2025.
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No. 85-588
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
THE UNIVERSITY OF TENNESSEE, et al.
Petit ioners
v .
ROBERT B. ELLIOTT
Respondent
ON WRIT OF CERTIORARI TO THE
UNITED STATES COURT OF APPEALS
FOR THE SIXTH CIRCUIT
AMICUS CURIAE BRIEF FOR THE STATE OF
KANSAS AND OTHER JOINING STATES
ROBERT T. STEPHAN
Attorney General of
Kansas
DAVID D. PLINSKY
Assistant Attorney
General of Kansas
Kansas Judicial Center
second Floor
Topeka, Kansas 66612
At torne ys for Amlicus
Curiae, State of Kansas
CHARLES A. GRADDICK
Attorney General of Alabama
P. 0. Box 948
Montgomery, Alabama 36102
ROBERT K. CORBIN
Attorney General of Arizona
1275 West Washington
Phoenix, Arizona 85007
JOSEPH I. LIEBERMAN
Attorney General of Connecticut
P. O. Box 120
Hartford, Connecticut 06101
JIM SMITH
Attorney General of Florida
State Capitol
Tallahassee, Florida 32301
RICHARD OPPER
Attorney General of Guam
Department of Law
238 O'Hara Street, #701
Agana, Guam 96910
CORRINE WATANABE
Attorney General of Hawaii
State Capitol, Room 405
Honolulu, Hawaii 96813
JAMES T. JONES
Attorney General of Idaho
State Capitol, Room 210
Boise, Idaho 83720
Neil F. Hartigan
Attorney General of Illinois
100 West Randolph Street, 12th
Chicago, Illinois 60601
Floor
LINLEY E. PEARSON
Attorney General of Indiana
219 Statehouse
Indianapolis, Indiana 46204
WILLIAM J. GUSTE, JR.
Attorney General of Louisiana
2-3-4 Loyola Building
New Orleans, Louisiana 70112
JAMES E. TIERNEY
Attorney General of Maine
State House, Station No. 6
Augusta, Maine 04330
STEPHEN H. SACHS
Attorney General of Maryland
7 North Calvert Street
Baltimore, Maryland 21202
FRANCIS X. BELLOTTI
Attorney General of Massachusetts
One Ashburton Place
Boston, Massachusetts 02108
EDWIN L. PITTMAN
Attorney General of Mississippi
P. O. Box 220
Jackson, Mississippi 39205
WILLIAM L. WEBSTER
Attorney General of Missouri
P. O. Box 899
Jefferson City, Missouri 65102
ROBERT M. SPIRE
Attorney General of Nebraska
State Capitol
Lincoln, Nebraska 68509
W. CAREY EDWARDS
Attorney General of New Jersey
Richard J. Hughes Justice Complex, NCI12
Trenton, New Jersey 08625
LACY H. THORNBURG
Attorney General of North Carolina
Department of Justice
P. O. Box 629
Raleigh, North Carolina 27602
MICHAEL TURPEN
Attorney General of Oklahoma
112 State Capitol
Oklahoma City, Oklahoma 73105
LE ROY S. ZIMMERMAN
Attorney General of Pennsylvania
Strawberry Square, 16th Floor
Harrisburg, Pennsylvania 17120
DAVID L. WILKINSON
Attorney General of Utah
236 State Capitol
Salt Lake City, Utah 84114
MICHAEL DUNSTON
Acting Attorney General
of the Virgin Islands
P. O. Box 280
St. Thomas, Virgin Islands 00801
BRONSON C. LAFOLLETTE
Attorney General of Wisconsin
P. O. Box 7857
Madison, Wisconsin 53707
A. G. McCLINTOCK
Attorney General of Wyoming
123 State Capitol
Cheyenne, Wyoming 82002
1
QUESTION PRESENTED
Whether traditional principles of
preclusion apply in an action under
section 1983, Title VII, and other civil
rights statutes, to preclude issues fully
and fairly litigated before a state ad
ministrative agency acting in a judicial
capacity to protect Fourteenth Amendment
liberty and property interests of state
employees.
i
TABLE OF CONTENTS
Page
11
QUESTION PRESENTED ............... i
TABLE OF CONTENTS ................. ii
TABLE OF AUTHORITIES .............. iv
INTEREST OF AMICUS CURIAE STATES .. 1
ARGUMENT ........................... 3
Full Faith and Credit Applies
Without Exception In Section 1983
And Title VII Cases To The Issues
Fully and Fairly Litigated By-
State Agency Adjudications
Established Under The 14th
Amendment ........................ 3
A. Denial of Full Faith and
Credit Will Seriously
Threaten State Administra
tive Functions ........... 3
B. This Court Has Recognized
No Exception In Subseguent
Section 1983 Or Title VII
Actions For Applying 28
U.S.C. § 1738 To Issues De
cided In These Agency
Decisions 5
Ill
C. Issue Preclusion In This
Case Will Resolve A Dilemma
Faced By The States ..... 11
D. CONCLUSION ............... 16
IV
TABLE OF AUTHORITIES
CASES
Allen v. McCurry, 449 U.S. 90
(1980) ........................
Board of Regents v. Roth, 408 U.S.
564 (1972) ...................
Buckhalter v. Pepsi-Cola General
Bottlers, Inc., 768 F.2d 842
(7th Cir. 1985) ..............
Carpenter v. Reed ex rel.
Department of Public Safety,
757 F .2d 218 (10th Cir. 1985) .
Chicago R.I. & P.Ry. v. Schendel,
270 U.S. 611 (1926) ..........
Elliott v. University of Tennessee,
766 F.2d 982 (6th Cir. 1985) .
Gawith v. Gage's Plumbing & Heating
Co., Inc., 206 Kan. 169, 476
P .2d 966 (1970) ..............
Hutchinson National Bank & Trust Co.
v. English, 209 Kan. 127, 495
P • 2d 1011 (1972) .............
Kremer v. Chemical Construction
Corp., 456 U.S. 461 ( 1982) . . .
Loudermill v. Cleveland Bd. of Educ.
U.S . 105 S . Ct. 1487
(1985) ........................
PAGE
V
Magnolia Petroleum Co. v. Hunt,
320 U.S. 430 (1943) .......
Marrese v. American Academy of
Orthopaedic Surgeons,
U.S. ____, 105 S. Ct. 1327
(1985) .....................
Migra v, Warren City School
District, 465 U.S. 75
(1984) .....................
Rawlings v. United States, 686
F.2d 903 (10th Cir.1982) ...
Riley v. New York Transit Co.,
315 U.S. 343 (1942) .......
State ex rel. Sanborn v. Unified
School District 259, 218
Kan. 47, 542 P.2d 664 (1975)
Thomas v. Washington Gas Light Co.
448 U.S. 201 (1980) .........
Thompson v. Amis, 208 Kan. 658,
493 P .2d 1259 (1972) .......
Tidewater Oil Co. v. Jackson, 320
F.2d 157 (10th Cir. 1962) ,
cert, denied, 375 U.S. 942
(1963) ......................
United States v. Utah Construction
& Mining Co., 384 U.S. 394
(1966) ......................
CONSTITUTION PROVISIONS
U.S. Const, art. IV, § 1 ........
VI
FEDERAL STATUTE
28 U.S.C. § 1738 (1982) .......
STATE STATUTES
K.S.A. 60-2101(d) ..............
K.S.A. 75-2929(a ) ..............
K.S.A. 75-2929(d ) ..............
K.S.A. 7 5-2929e(c ) .............
STATE ADMINISTRATIVE REGULATIONS
Kan. Admin. Regs. 1-9-18(c ),(d )
MISCELLANEOUS
1 K. Davis, Administrative Law
Treatise (1983) ..........
Restatement (Second) of Judgments
(1982) .....................
No. 85-588
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
THE UNIVERSITY OF TENNESSEE, ET AL.,
v.
Petitioners,
ROBERT B. ELLIOTT,
Respondent.
ON WRIT OF CERTIORARI TO THE UNITED
STATES COURT OF APPEALS FOR THE SIXTH
CIRCUIT
AMICUS CURIAE BRIEF FOR THE STATE OF
KANSAS AND OTHER JOINING STATES
INTEREST OF AMICUS CURIAE STATES
This case focuses on the preclusive
effect, in a subsequent section 1983 or
Title VII civil rights action, of a prior
state administrative adjudication con
ducted to protect Fourteenth Amendment
liberty and property interests of ag
grieved state employees whose interests
2
are threatened by state agency action.
The State of Kansas and the other states,
joining as amici curiae, maintain admin
istrative forums which, acting in a judi
cial capacity, provide a full and fair
trial-type hearing in which to contest
disciplinary action proposed or taken
against state employees. Pursuant to
state law, these administrative judgments
are entitled to preclusive effect in the
courts of the amici curiae states and
should be entitled to full faith and
credit in federal courts pursuant to the
requirements of Art. IV § 1 of the
Constitution and 28 U.S.C. § 1738.
On behalf of the various state agen
cies, whose defense in these administra
tive decisions must be borne by the
Attorneys General of the amici curiae
states, the State of Kansas and the join
ing states assert their vitally important
interests as amici curiae in the question
presented in this case that full faith
and credit be applied to the trial-type
administrative tribunals of these states
established to conduct their required
duty under the Fourteenth Amendment to
3
resolve disputes between state agencies
and their employees involving constitu
tionally protected interests.
ARGUMENT
FULL FAITH AND CREDIT APPLIES WITH-
OUT EXCEPTION IN SECTION 1983 AND TITLEVII CASES TO THE ISSUES FULLY AND FAIRLY
LITIGATED BY STATE AGENCY ADJUDICATIONSESTABLISHED UNDER THE 14th AMENDMENT.
A. Denial of Full Faith and Credit
Will Seriously Threaten State
Administrative Functions.
In Board of Regents v. Roth, 408
U.S. 564, 569-570 (1972), this Court man
dated that "[w]hen protected [Fourteenth
Amendment] ... interests are implicated,"
by state agency action, "the right to
some kind of prior hearing is paramount."
This mandate was extended in Loudermill
v. Cleveland Bd. of Educ. , ___ U.S. ___,
105 S.Ct. 1487 (1985) to require a hear
ing prior to state agency action which
threatens constitutionally protected
rights.
The legislatures of the amici curiae
states have established various statutory
4
administrative forums in which the state
employee, or state prisoner, is entitled
to a full formal, trial—like, evidentiary
due process hearing. These administra
tive trials established for purposes of
protecting Fourteenth Amendment inter
ests— and not as Title VII, section
706(c) deferral agencies under the EEOC/
deferral agency investigatory scheme—
should be entitled to preclusive effect
in subseguent section 1983 and Title VII
federal civil rights actions to the same
extent as they are entitled to preclusion
in the courts of the amici curiae
states. Denial of full faith and credit
not only will undermine the repose and
finality of these administrative judg
ments but will also erode the ability of
states to administer themselves with con
fidence. Such a denial will also call
into serious question the efficacy and
viability of modern state administrative
agencies to implement legislative and
executive duties and goals delegated to
these agencies, absent which state gov
ernments, in this complex technological
information era of conflicting and
5
interconnected interests, cannot ade
quately function. The ability to reliti
gate the same issues de novo in federal
court effuses the initial administrative
adjudicatory process with futility.
Virtually all such administrative judg
ments are potentially reviewable either
under section 1983 or Title VII; there
fore, a denial of preclusion to issues
tried by state agencies poses a serious
threat to the administrative functions of
state government.
B. This Court Has Recognized No
Exception In Subsequent Section
1983 Or Title VII Actions For
Applying 28 U.S.C. § 1738 To
Issues Decided In These Agency
Decisions.
The Full Faith and Credit Clause of
Art. IV, 5 1 of the Constitution is ap
plicable to the federal courts by 28
U.S.C. § 1738 which requires that "[t]he
... judicial proceedings of any such
State ... shall have the same full faith
and credit in every court within the
United States ... as they have by law or
usage in the courts of any such State
... from which they are taken." This
6
Court has ruled previously that section
1983 and Title VII federal civil rights
actions are not categorically exempt from
application of section 1738. See Allen
v. McCurry, 449 U.S. 90 (1980); Migra v.
Warren City School District, 465 U.S. 75
(1984); Kremer v. Chemical Construction
Co•, 456 U.S. 461 (1982). This Court has
also ruled that there is no express re
peal of section 1738's application in
either section 1983 or Title VII; nor has
this court found any implied repeal or
exception to section 1738 unless footnote
7 of Kremer can possibly be read to be an
exception as to section 706 deferral
agencies under the Title VII administra
tive investigation and enforcement
scheme. See 456 U.S. at 470 n.7.
But the state agencies whose adjudi
cations are in question here are not the
section 706 deferral agencies of these
amici curiae states but rather those
agencies outside the Title VII enforce
ment scheme, and established instead to
protect Fourteenth Amendment interests,
before which state employees may raise
discrimination issues, not discrimination
7
claims, as a defense to the disciplinary
charges against the employee. When a
state employee chooses to invoke the
trial-like agency adjudications, which
the state is burdened with providing,
then the issues decided by the state
agency should be entitled to issue pre
clusion under Art. IV § 1 and 28 U.S.C. §
1738 even though the agency is not estab
lished to try and resolve section 1983
and Title VII claims.
The Sixth Circuit's refusal to grant
issue preclusion is not only inconsistent
with that Circuit's prior decision in
Loudermi11 v. Cleveland Bd. of Educ., 721
F.2d 550, 559 n. 12, (6th Cir. 1983 ),
aff 'd, _____ U.S. _____ , 105 S.Ct. 1487
(1985) but also inconsistent with this
Court's recent interpretation of Kremer
in Marrese v. American Academy of Ortho
paedic Surgeons, ______ U.S. , 105
S. Ct. 1327, 1332 (1985) that "absent an
exception to § 1738, state law determines
at least the issue preclusion effect of a
prior state judgment in a subseguent ac
tion involving a claim within the exclus
ive jurisdiction of the federal courts."
8
Moreover, the Sixth Circuit's con
clusion "that state determination of is
sues relevant to constitutional adjudica
tion is not an adequate substitute for
full access to federal court" is incon
sistent with this Court's decisions which
require that state agencies give due
process hearings in the first place in
order to protect Fourteenth Amendment
interests. Elliott v. University of
Tennessee, 766 F.2d 982, 992 (6th Cir.
1985). This lack of trust also conflicts
with Allen and Miqra in which this Court
clearly indicated its confidence in the
ability of state judicial proceedings to
protect constitutional rights.
The Sixth Circuit's decision indi
cates a basic distrust of the state ad
ministrative adjudicatory process.
However, no longer is it questioned that
"when an agency conducts a trial type
hearing, makes findings, and applies the
law, the reasons for treating its deci
sion as res judicata are the same as the
reasons for applying res judicata to a
decision of a court that used the same
procedure." K. Davis, Administrative Law
9
Treatise, § 21:2 (1983); see genera 1ly
Restatement of Judgments (Second) § 83
(1982). Indeed, this Court's decision in
United States v. Utah Construction a
Mining Co., 384 U.S. 394 ( 1966), that
trial-like agency adjudication is en
titled to preclusive effect, has been
applied in hundreds of state court deci
sions and in all of the courts of appeal.
Moreover, this Court has never had
any trouble in applying full faith and
credit to state administrative adjudica
tions. See Thomas v. Washington Gas
L ight Co. , 448 U.S. 201 (1980 ); Magnolia
Petroleum Co. v. Hunt, 320 U.S. 430
(1943); Chicago R.I.& P.Ry. v. Schendel,
270 U.S. 611 (1926). Clearly, what com
prises a state "judicial proceeding"
within the meaning of Art. IV, § 1 and 28
U.S.C. § 1738 is not self-defining but is
dependent upon state law. In Riley v.
New York Transit Co. , 315 U.S. 343, 349
(1942), this Court noted that Art. IV, §
1 makes each state's preclusion rules "a
part of national jurisprudence," requir
ing courts to look to the law of the
originating state to determine if the
10
decision under review is entitled to pre
clusion.
The legislatures of each state have
power to provide when their administra
tive agencies will act in a judicial ca
pacity. This point is well illustrated
in Buckhalter v. Pepsi-Cola General
Bottlers, Inc. , 768 F.2d 842 (7th Cir.
1985) in which the Seventh Circuit dis
tinguished the full trial-like hearing
provided by the State of Illinois with
the much less formal agency hearing in
Kremer. The thrust of Buckhalter is that
the judicial capacity of the state agency
under the Illinois statute, unlike the
Kremer hearing, was so formal and trial
like that common law preclusion was ap
plicable, under the administrative res
judicata doctrine of Utah Construction.
When Buckhalter1s common law preclusion
analysis is applied to agencies outside
of Title VII, i.e., non-deferral agen
cies, it becomes readily apparent there
is no reason to apply only common law
preclusion but that 28 U.S.C. § 1738
statutory full faith and credit preclu
sion also applies. After all, since the
11
underlying purpose of the Full Faith and
Credit Clause was to constitutionalize as
national policy the applicability of a
state's traditional common law preclusion
principles of res judicata and collateral
estoppel, then it is clear that the com
mon law preclusion rules applied by Buck
halter are the same rules to be applied
under section 1738 in order to determine
the preclusive effect of a prior state
decision.
The reasons that this Court cited in
Allen v. McCurry for applying section
1738— promoting the comity between state
and federal courts, avoiding the cost and
vexation of multiple lawsuits, conserva
tion of judicial resources, prevention of
inconsistent decisions, and the repose
achieved from reliance on adjudication--
are fully applicable to trial type state
agency adjudications and should be ap
plied to prevent litigation of issues
already decided between the parties.
C. Issue Preclusion In This Case
Will Resolve A Dilemma Faced By
The States.
The amici curiae states face the di
lemma of wasting the time, effort, and
12
resources in providing trial-like agency
due process hearings to protect Fourteen
th Amendment interests and then have
federal district courts wipe out the pre
vious hearing by de novo review on the
same issues in subsequent section 1983
and Title VII actions. Many states pro
vide full trial-like hearings under the
state administrative procedure act, mod
eled after the Uniform Law Commissioners'
Model Administrative Procedures Act.
Other states like Kansas have a civil
service statute which includes due pro
cess hearing provisions.
Under the Kansas Civil Service Act,
state employees are provided with the
full range of due process protections:
notice, right to be heard, to be repre
sented by counsel, to present evidence,
to compel attendance of witnesses, and to
cross-examine opposing witnesses K.S.A.
75-2929(d ). The employee may defend
against the disciplinary action on the
issue that the reasons are "political,
religious, racial," K.S.A. 75-2949(a),
"national origin, ancestry ... age, sex
or physical disability." K.A.R. 1-19-
13
18(c), (d). The employee has the right
to apply for an administrative rehearing
K.S.A. 75-2929e(c), and the right to ap
peal an adverse decision to Kansas dis
trict courts K.S.A. 60-2101(d ); Thompson
v. Amis, 208 Kan. 658, 493 P.2d 1259
(1972), the Kansas Court of Appeals, and
the Kansas Supreme Court.
Kansas law says the Kansas Civil
Service Board acts in a judicial capacity
in its decisions. Gawith v. Gage's
Plumbing & Heating Co., Inc., 206 Kan.
169, 476 P.2d 966 (1970). A decision by
the Commission becomes a final judgment
upon the running of the appeal period.
State ex rel. Sanborn v. Unified School
District, 218 Kan. 47, 542 P.2d 664
(1975). The relief ordered by such final
order would be enforceable in Kansas
courts, the issues decided could not be
collaterally attacked, and Kansas courts
would embrace the final administrative
decision, after time for appeal expires,
as a full-fledged court judgment. The
Tenth Circuit, applying Kansas law,
recognizes this. Rawlings v. United
States, 686 F.2d 903 ( 10th Cir. 1982);
14
Tidewater Oil Co. v. Jackson, 320 F.2d
157 (10th Cir. 1972), cert, denied, 375
U.S. 942 (1963).
However, in two unreported deci
sions, one by each of the federal
district judges in the District of
Kansas, different results have occurred
in subsequent civil rights actions. In
one, the court granted preclusive effect
to the Kansas Civil Service Commission
decision. In the second case, the Court
granted no full faith and credit to the
commission's decision.
Collateral attack of these issues is
not allowed in Kansas court. Hutchinson
National Rank & Trust Co. v. English, 209
Kan. 127, 130 (1972). The collateral
attack invited in federal district court
under section 1983 and Title VII is
inconsistent with this Court's caution in
Marrese that district courts may not,
consistent with section 1738, elect to
grant either more or less preclusive
effect than would the state courts. 105
S. Ct. at 1332-1335. The district
court's role, absent an exception to
1738, is to determine what the state
15
court's would do when confronted with an
identical situation, then do that.
See Carpenter v. Reed, ex rel. Dept, of
Public Safety, 757 F.2d 218, 219 (10th
Cir. 1985).
The dilemma faced by the State of
Kansas as to the final effect of adjudi
cations by its Civil Service Commission
is being faced, in differing scenarios
but the same plot, by the other amici
curiae states. The granting of issue
preclusion to such agency decisions will
resolve the dilemma and continue to leave
the federal district courts as final en
forcers of civil rights claims. Collat
eral estoppel precludes the relitigating
of issues properly before and actually
tried by the agency. Therefore, applying
issue preclusion has the following posi
tive results: If the employee raises the
issue of discrimination as a defense and
prevails before the agency, the state is
bound by those issues decided, and the
employee can proceed to federal court to
obtain supplemental relief under section
1983 or Title VII. If the employee
raises the issue of discrimination as a
16
defense but fails, he is precluded from
relitigating that issue.
Application of issue preclusion
in these instances will provide repose to
final state administrative adjudications
and will restore confidence to state
agencies that issues already decided by
their adjudications will not be over
turned in the future by an inconsistent
federal court factfinding on the identi
cal issues. The civil rights litigant
will still have access to the federal
courts on his section 1983 or Title VII
claims. The federal district courts,
however, will be relieved of the burden
of retrying issues already fully litigat
ed. Conservation of judicial resource
will result as well as fulfillment of the
national policies of comity and federal
ism which are the foundation of full
faith and credit.
Conclusion
For the reasons stated, this Court
should reverse the Court of Appeal's
decision and should apply full faith and
credit to the issues fully and fairly
litigated in the agency decision in this
case.
Respectfully submitted,
ROBERT T. STEPHAN
Attorney General
DAVID D. PLINSKY
Assistant Attorney General
Kansas Judicial Center
Second Floor
Topeka, KS 66612
Attorneys for Amicus
Curiae State of Kansas
PROOF OF SERVICE
The undersigned, ROBERT T. STEPHAN,
a member of the Bar of this Court and one
of counsel of record for Amicus Curiae
State of Kansas, hereby certifies that on
the J2- 3 day of January, 1986, he caused
to be served the foregoing Amicus Curiae
Brief by placing in first class mail
three copies each to counsel for the
petitioners and respondent as follows:
Julius Levonne
Chambers
Ronald L. Ellis
Judith Reed
99 Hudson Street
16th Floor
New York, New
York 10013
Beauchamp E. Brogan
Alan M. Parker
Catherine S. Mizell
The University of
Tennessee
810 Andy Holt Tower
Knoxville, Tennessee
37996-0184
Avon N.
Jr.
Richard
Russell
Williams &
203 Second
North
Nashville,
37201
1iams,
Dinkins
Perkins
Dinkins
Avenue,
Tennessee
Wil
H.
T.
G. Ray Bratton
1620 First Tennessee
Bank Building
165 Madison Avenue
Memphis, Tennessee
38103
N. Richard Glassman
John Barry Burgess
26 N. Second Street
Memphis, Tennessee
38103
Tommy Coley
532 Smith Lane
Jackson, Tennessee
38301
./
■--------------- ------ , - -■ ^Robert T. Stepha^i
Attorney General
State of Kansas
Attorney for Amicus
Curiae State of Kansas