Douglas Miller v. County of Santa Cruz

39 F.3d 1030
CourtCourt of Appeals for the Ninth Circuit
DecidedDecember 27, 1994
Docket18-35421
StatusPublished
Cited by178 cases

This text of 39 F.3d 1030 (Douglas Miller v. County of Santa Cruz) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Douglas Miller v. County of Santa Cruz, 39 F.3d 1030 (9th Cir. 1994).

Opinion

BEEZER, Circuit Judge:

Douglas Miller appeals the district court’s grant of summary judgment to the County of Santa Cruz and the individually named defendants. The district court concluded that *1032 the doctrines of res judicata and collateral estoppel barred Miller’s federal suit under 42 U.S.C. § 1983 because he failed to seek review of the adverse decision of the Santa Cruz County Civil Service Commission. 796 F.Supp. 1316. We have jurisdiction pursuant to 28 U.S.C. § 1291, and we affirm.

I

Miller was employed by the Santa Cruz County Sheriffs Department from December 1980 until February 1988. He was terminated after four disciplinary actions, the last of which related to an alleged failure to report an overpayment of wages. Miller contested his dismissal before the Santa Cruz County Civil Service Commission. The Commission held a public evidentiary hearing at which Miller was represented by counsel and was permitted to present oral and documentary evidence and to call witnesses. The Commission sustained his dismissal, issuing written findings and conclusions.

Miller was notified of his right to seek judicial review in the Superior Court of California. CahCode Civ.P. §§ 1094.5 and 1094.6. He elected not to do so. Instead he filed this suit under 42 U.S.C. § 1983 in the United States District Court. Magistrate Judge Infante, sitting by consent of the parties, granted the County’s motion for summary judgment on res judicata and collateral estoppel grounds. 1

II

The question presented is whether unreviewed findings of a state administrative tribunal are entitled to preclusive effect in a subsequent § 1983 action in federal court. We review de novo a grant of summary judgment. Maffei v. Northern Ins. Co., 12 F.3d 892, 895 (9th Cir.1993). We review de novo the district court’s determination that res judicata and collateral estoppel are available. Guild Wineries and Distilleries v. Whitehall Co., 853 F.2d 755, 758 (9th Cir.1988); Plaine v. McCabe, 797 F.2d 713, 718 (9th Cir.1986). If we determine that collateral estoppel is available, we review for abuse of discretion the district court’s decision to accord preclusion to the agency’s decision. Plaine, 797 F.2d at 718.

A

Title 28 U.S.C. § 1738 requires that we give the same preclusive effect to state court judgments as they would be given in the state in which they were rendered. Marrese v. American Academy of Orthopaedic Surgeons, 470 U.S. 373, 380, 105 S.Ct. 1327, 1331-32, 84 L.Ed.2d 274 (1985).

Section 1738 does not govern cases involving unreviewed decisions of a state administrative hearing board or commission. University of Tennessee v. Elliot, 478 U.S. 788, 794, 106 S.Ct. 3220, 3223-24, 92 L.Ed.2d 635 (1986). Nonetheless, as a matter of federal common law, federal courts give preclusive effect to the findings of state administrative tribunals in subsequent actions under § 1983. Id. at 797-99, 106 S.Ct. at 3225-27.

Elliot requires us to give preclusive effect, at a minimum, to the factfinding of state administrative tribunals. We have gone further, however, and held that “the federal common law rules of preclusion described in Elliot extend to state administrative adjudications of legal as well as factual issues, even if unreviewed, so long as the state proceeding satisfies the requirements *1033 of fairness outlined in [United States v. Utah Construction & Mining Co., 384 U.S. 394, 422, 86 S.Ct. 1545, 1560, 16 L.Ed.2d 642 (1966) ].” Guild Wineries, 853 F.2d at 758. The fairness requirements of Utah Construction are: (1) that the administrative agency act in a judicial capacity, (2) that the agency resolve disputed issues of fact properly before it, and (3) that the parties have an adequate opportunity to litigate. 384 U.S. at 422, 86 S.Ct. at 1560.

Our reasons for according preclusive effect to unreviewed agency determinations are outlined in detail in Plaine, 797 F.2d at 718-721. Plaine involved a decision by the California Corporations Commissioner that a merger price was fair. The plaintiff could have, but did not, seek review of the decision in state court. Rather, she brought an action in federal court asserting that defendants violated section 14(e) of the Securities and Exchange Act of 1934. We concluded that the commissioner’s unreviewed fairness determination was entitled to preclusive effect. Id. at 721. We explained that:

The Supreme Court has held that administrative proceedings may be given preclu-sive effect accorded to a court “[w]hen an administrative agency is acting in a judicial capacity and resolves disputed issues of fact properly before it which the parties have had an adequate opportunity to litigate.”

Id. (emphasis in original) (quoting Utah Construction, 384 U.S. at 422, 86 S.Ct. at 1560). We reasoned, therefore, that when an administrative proceeding meets the Utah Construction requirements, “it may rise to the level of a ‘judicial proceeding 1 entitled to preclusive effect by section 1738.” Id. at 719.

The threshold inquiry, we held, is whether a state administrative proceeding was conducted with sufficient safeguards “to be equated with a state court judgment.” Id. This requires careful review of the administrative record “to ensure that, at a minimum, it meets the state’s own criteria necessary to require a court of that state to give preclu-sive effect to the state agency’s decisions.” Id. We also noted that although a federal court should ordinarily give preclusive effect when the state court would do so, “there may be occasions where a state court would give preclusive effect to an administrative decision that failed to meet the minimum criteria set down in Utah Construction.” 2 Id. at 719, n. 13.

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39 F.3d 1030, Counsel Stack Legal Research, https://law.counselstack.com/opinion/douglas-miller-v-county-of-santa-cruz-ca9-1994.