Alexander v. Pathfinder, Inc.

906 F. Supp. 502, 1995 U.S. Dist. LEXIS 16199, 1995 WL 642994
CourtDistrict Court, E.D. Arkansas
DecidedOctober 27, 1995
DocketLR-C-95-616
StatusPublished
Cited by5 cases

This text of 906 F. Supp. 502 (Alexander v. Pathfinder, Inc.) is published on Counsel Stack Legal Research, covering District Court, E.D. Arkansas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Alexander v. Pathfinder, Inc., 906 F. Supp. 502, 1995 U.S. Dist. LEXIS 16199, 1995 WL 642994 (E.D. Ark. 1995).

Opinion

ORDER

HENRY WOODS, District Judge.

This case involves the discharge of a 32-year old man, Mr. Larry Alexander, from Pathfinder, Inc., an Intermediate Care Facility for the Mentally Retarded (“ICF/MR”). Pathfinder is duly licensed by the Arkansas Department of Human Services, Office of Long-Term Care, and receives Medicaid funds. Pathfinder decided to discharge Mr. Aexander in April, 1995. Mrs. Elsie Aexan-der, mother and legal guardian of Mr. Aex-ander, opposes the discharge. The decision to discharge Mr. Aexander was the subject of a hearing before the Department of Human Services. After a six-day hearing, at which both parties were represented by counsel, the hearing officer concluded that Pathfinder was not equipped to deal with Mr. Aexander’s physical conditions and that the discharge had been made for good cause and not in retaliation for Mrs. Aexander’s complaints about Mr. Aexander’s treatment at Pathfinder. The Findings and Conclusions of the hearing officer are attached hereto as Exhibit A.

Mrs. Aexander did not exercise her right to appeal that decision to the Circuit Court of Pulaski County, Akansas. Subsequently, Mrs. Aexander filed the instant suit seeking relief from this Court.

Mr. Aexander became a resident of Pathfinder in May, 1993; previously he lived at the Aexander Human Development Center *505 in a “total care” unit. Mr. Alexander suffers from an array of physical problems in addition to being severely mentally retarded as a result of Down’s syndrome. He has sleep apnea, chronic esophagitis, chronic gastritis/reflux, asthma, and environmental allergies. His condition is worsened by his morbid obesity, which is a result of Pickwickian syndrome. 1

The hearing officer found that Pathfinder “reluctantly” admitted Mr. Alexander and that he was admitted “with the understanding that if [Pathfinder’s] services proved insufficient to meet [Mr. Alexander’s] needs [Pathfinder] would recommend a more appropriate placement.” (Findings and Conclusions of Hearing Officer, p. 3.) The hearing officer found that the frequency of Mr. Alexander’s illnesses and the need for medical intervention had increased sharply from the time he was first admitted to Pathfinder to the present.

The question before the Court is whether the plaintiff can relitigate the issues which were adjudicated, or could have been adjudicated, in the administrative hearing on Mr. Alexander’s discharge from Pathfinder. Stated another way, can Mrs. Alexander avoid the limited review of the determination made in the administrative hearing and opt instead for a trial de novo in federal court?

In University of Tennessee v. Elliott, 478 U.S. 788, 106 S.Ct. 8220, 92 L.Ed.2d 635 (1986), the Supreme Court of the United States addressed the question of the preclusive effect of state administrative adjudications. The Court held that, as a general rule, federal courts must give an agency’s factfinding the same preclusive effect to which it would be entitled in the state’s courts, except for specific types of eases, discussed infra. Before giving such preclusive effect, a federal court must determine that: (1) the administrative agency was acting in a judicial capacity; (2) the issues litigated were properly before agency adjudicator; and (3) the parties before the administrative adjudicator were afforded a full and fair opportunity to litigate the issues. Id. at 797-98, 106 S.Ct. at 3225-26. These requirements are, of course, in addition to the settled requirements for application of the doctrine of res judicata, or issue preclusion:

Res judicata bars relitigation of a claim if: (1) the prior judgment was rendered by a court of competent jurisdiction; (2) the prior judgment was a final judgment on the merits; and (3) the same cause of action and the same parties or their privies were involved in both cases.

Lunde v. Helms, 29 F.3d 367 (8th Cir.1994), quoting Lane v. Peterson, 899 F.2d 737, 742 (8th Cir.), cert. denied, 498 U.S. 823, 111 S.Ct. 74, 112 L.Ed.2d 48 (1990).

The Elliott Court cited important policy reasons for applying common law preclusion to administrative determinations:

The law of res judicata, much more than most other segments of law, has rhyme, reason, and rhythm — something in common with good poetry. Its inner logic is rather satisfying. It consists entirely of an elaboration of the obvious principle that a controversy should be resolved once, not more than once. The principle is as much needed for administrative decisions as for judicial decisions. To the extent that administrative adjudications resemble courts’ decisions — a very great extent — the law worked out for the court does and should apply to agencies.

Id. at 798 n. 6, 106 S.Ct. at 3226 n. 6, quoting 4 K. Davis, Administrative Law Treatise § 21.9, p. 78 (2d ed. 1983). The Court also quoted from the Restatement (Second) of Judgments, noting its similar conclusion:

Where an administrative forum has the essential procedural characteristics of a court, ... its determinations should be accorded the same finality that is accorded the judgment of a court. The importance of bringing a legal controversy to conclusion is generally no less when the tribunal is an administrative tribunal than when it is a court.

Id. at 798 n. 6, 106 S.Ct. at 3226 n. 6, quoting § 83, p. 269, Restatement (Second) of Judgments (1982).

There are two notable limits or exceptions to the application of common law *506 principles of res judicata to agency decisions. First, Congress may decide that “other values outweigh the policy of according finality to state administrative factfinding.” Elliott, at 799, n. 7, 106 S.Ct. at 3226, n. 7. This is the case with claims brought under Title VII 2 and the Age Discrimination in Employment Act (ADEA). 3 There is no preclusive effect given to agency findings in suits brought under Title VII and the ADEA.

Although administrative estoppel is favored as matter of general policy, its suitability may vary according to the specific context of the rights at stake, the power of the agency, and the relative adequacy of agency procedures. [Citations omitted] The presumption here is thus properly accorded sway only upon legislative default, applying where Congress has failed expressly or impliedly to evince any intention on the issue.

Astoria Federal Savings & Loan Association v. Solimino, 501 U.S. 104, 109-10, 111 S.Ct. 2166, 2170, 115 L.Ed.2d 96 (1991). The Astoria

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906 F. Supp. 502, 1995 U.S. Dist. LEXIS 16199, 1995 WL 642994, Counsel Stack Legal Research, https://law.counselstack.com/opinion/alexander-v-pathfinder-inc-ared-1995.