University of Tennessee v. Elliott Brief Amicus Curiae
Public Court Documents
October 7, 1985

Cite this item
-
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 May 01, 2025.
Copied!
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