|
Page 90
449 U.S. 90
101 S.Ct. 411 66 L.Ed.2d 308 Marvin ALLEN et al., Petitioners,
v.
Willie McCURRY.
No. 79-935.
Argued Oct. 8, 1980.
Decided Dec. 9, 1980.
Syllabus
At a hearing before
respondent's criminal trial, a Missouri
court denied, in part, respondent's motion
to suppress, on Fourth and Fourteenth
Amendment grounds, certain evidence that had
been seized by the police. Respondent was
subsequently convicted, and the conviction
was affirmed on appeal. Because he did not
assert that the state courts had denied him
a "full and fair opportunity" to litigate
his search-and-seizure claim, respondent was
barred by
Stone v. Powell, 428 U.S. 465, 96
S.Ct. 3037, 49 L.Ed.2d 1067, from
seeking a writ of habeas corpus in a federal
district court. Nevertheless, he sought
federal-court redress for the alleged
constitutional violation by bringing a suit
for damages under 42 U.S.C. § 1983 against
the officers who had seized the evidence in
question. The Federal District Court granted
summary judgment for the defendants, holding
that collateral estoppel prevented
respondent from relitigating the
search-and-seizure question already decided
against him in the state courts. The Court
of Appeals reversed and remanded, noting
that Stone v. Powell, supra, barred
respondent from federal habeas corpus relief
and that the § 1983 suit was, therefore,
respondent's only route to a federal forum
for his constitutional claim, and directed
the trial court to allow him to proceed to
trial unencumbered by collateral estoppel.
Held: The Court of
Appeals erred in holding that respondent's
inability to obtain federal habeas corpus
relief upon his Fourth Amendment claim
renders the doctrine of collateral estoppel
inapplicable to his § 1983 suit. Nothing in
the language or legislative history of §
1983 discloses any congressional intent to
deny binding effect to a state-court
judgment or decision when the state court,
acting within its proper jurisdiction, has
given the parties a full and fair
opportunity to litigate federal claims, and
thereby has shown itself willing and able to
protect federal rights. Nor does anything in
§ 1983's legislative history reveal any
purpose to afford less deference to
judgments in state criminal proceedings than
to those in state civil proceedings. Pp.
94-105.
8th Cir., 606 F.2d 795,
reversed and remanded.
Page 91
John J. Fitzgibbon, St. Louis,
Mo., for petitioners.
Jeffrey J. Shank, St. Louis,
Mo., for respondent.
Justice STEWART, delivered the
opinion of the Court.
At a hearing before his
criminal trial in a Missouri court, the
respondent, Willie McCurry, invoked the
Fourth and Fourteenth Amendments to suppress
evidence that had been seized by the police.
The trial court denied the suppression
motion in part, and McCurry was subsequently
convicted after a jury trial. The conviction
was later affirmed on appeal.
State v. McCurry, 587 S.W.2d 337
(Mo.App.1979). Because he did not assert
that the state courts had denied him a "full
and fair opportunity" to litigate his search
and seizure claim, McCurry was barred by
this Court's decision
Stone v. Powell, 428 U.S. 465, 96
S.Ct. 3037, 49 L.Ed.2d 1067, from
seeking a writ of habeas corpus in a federal
district court. Nevertheless, he sought
federal-court redress for the alleged
constitutional violation by bringing a
damages suit under 42 U.S.C. § 1983 against
the officers who had entered his home and
seized the evidence in question. We granted
certiorari to consider whether the
unavailability of federal habeas corpus
prevented the police officers from raising
the state courts' partial rejection of
McCurry's constitutional claim as a
collateral estoppel defense to the § 1983
suit against them for damages. 444 U.S.
1070, 100 S.Ct. 1012, 62 L.Ed.2d 751.
Page 92
I
In April 1977, several
undercover police officers, following an
informant's tip that McCurry was dealing in
heroin, went to his house in St. Louis, Mo.,
to attempt a purchase.1 Two
officers, petitioners Allen and Jacobsmeyer,
knocked on the front door, while the other
officers hid nearby. When McCurry opened the
door, the two officers asked to buy some
heroin "caps." McCurry went back into the
house and returned soon thereafter, firing a
pistol at and seriously wounding Allen and
Jacobsmeyer. After a gun battle with the
other officers and their reinforcements,
McCurry retreated into the house; he emerged
again when the police demanded that he
surrender. Several officers then entered the
house without a warrant, purportedly to
search for other persons inside. One of the
officers seized drugs and other contraband
that lay in plain view, as well as
additional contraband he found in dresser
drawers and in auto tires on the porch.
McCurry was charged with
possession of heroin and assault with intent
to kill. At the pretrial suppression
hearing, the trial judge excluded the
evidence seized from the dresser drawers and
tires, but denied suppression of the
evidence found in plain view. McCurry was
convicted of both the heroin and assault
offenses.
McCurry subsequently filed the
present § 1983 action for $1 million in
damages against petitioners Allen and
Jacobsmeyer, other unnamed individual police
officers, and the city of St. Louis and its
police department. The complaint alleged a
conspiracy to violate McCurry's Fourth
Amendment rights, an unconstitutional search
and seizure of his house, and an assault on
him by unknown police officers after he had
been arrested and handcuffed. The
petitioners moved for summary judgment. The
District Court apparently under
Page 93
stood the gist of the complaint to be the
allegedly unconstitutional search and
seizure and granted summary judgment,
holding that collateral estoppel prevented
McCurry from relitigating the
search-and-seizure question already decided
against him in the state courts. 466 F.Supp.
514 (ED Mo.1978).2
The Court of Appeals reversed
the judgment and remanded the case for
trial. 606 F.2d 795 (CA8 1979).3
The appellate court said it was not holding
that collateral estoppel was generally
inapplicable in a § 1983 suit raising issues
determined against the federal plaintiff in
a state criminal trial. Id. at 798.
But noting that Stone v. Powell, supra,
barred McCurry from federal habeas corpus
relief, and invoking "the special role of
the federal courts in protecting civil
rights," 606 F.2d, at 799, the court
concluded that the § 1983 suit was McCurry's
only route to a federal forum for his
Page 94
constitutional claim and directed the
trial court to allow him to proceed to trial
unencumbered by collateral estoppel.4
II
The federal courts have
traditionally adhered to the related
doctrines of res judicata and collateral
estoppel. Under res judicata, a final
judgment on the merits of an action
precludes the parties or their privies from
relitigating issues that were or could have
been raised in that action.
Cromwell v. County of Sac, 94 U.S.
351, 352, 24 L.Ed. 195. Under collateral
estoppel, once a court has decided an issue
of fact or law necessary to its judgment,
that decision may preclude relitigation of
the issue in a suit on a different cause of
action involving a party to the first case.
Montana v. United States, 440 U.S.
147, 153, 99 S.Ct. 970, 973, 59 L.Ed.2d 210.5
As this Court and other courts have often
recognized, res judicata and collateral
estoppel relieve parties of the cost and
vexation of multiple lawsuits, conserve
judicial resources, and, by preventing
inconsistent decisions, encourage reliance
on adjudication. Id., at 153-154, 99
S.Ct., at 973-974.
In recent years, this Court has
reaffirmed the benefits of collateral
estoppel in particular, finding the policies
underlying it to apply in contexts not
formerly recognized at common law. Thus, the
Court has eliminated the requirement of
mutuality in applying collateral estoppel to
bar relitiga-
Page 95
tion of issues decided earlier in
federal-court suits,
Blonder-Tongue Laboratories, Inc. v.
University of Illinois Foundation, 402
U.S. 313, 91 S.Ct. 1434, 28 L.Ed.2d 788,
and has allowed a litigant who was not a
party to a federal case to use collateral
estoppel "offensively" in a new federal suit
against the party who lost on the decided
issue in the first case,
Parklane Hosiery Co. v. Shore, 439
U.S. 322, 99 S.Ct. 645, 58 L.Ed.2d 552.6
But one general limitation the Court has
repeatedly recognized is that the concept of
collateral estoppel cannot apply when the
party against whom the earlier decision is
asserted did not have a "full and fair
opportunity" to litigate that issue in the
earlier case. Montana v. United States,
supra, at 153, 99 S.Ct., at 973;
Blonder-Tongue Laboratories, Inc. v.
University of Illinois Foundation, supra,
402 U.S., at 328-329, 91 S.Ct., at 1443.7
The federal courts generally
have also consistently accorded preclusive
effect to issues decided by state courts.
E. g., Montana v. United States, supra;
Angel v. Bullington,
330 U.S. 183, 67 S.Ct. 657, 91 L.Ed. 832.
Thus, res judicata and collateral estoppel
not only reduce unnecessary litigation and
foster reliance on ad-
Page 96
judication, but also promote the comity
between state and federal courts that has
been recognized as a bulwark of the federal
system.
Younger v. Harris, 401 U.S. 37,
43-45, 91 S.Ct. 746, 750-51, 27 L.Ed.2d 669.
Indeed, though the federal
courts may look to the common law or to the
policies supporting res judicata and
collateral estoppel in assessing the
preclusive effect of decisions of other
federal courts, Congress has specifically
required all federal courts to give
preclusive effect to state-court judgments
whenever the courts of the State from which
the judgments emerged would do so:
"[J]udicial proceedings [of any
court of any State] shall have the same full
faith and credit in every court within the
United States and its Territories and
Possessions as they have by law or usage in
the courts of such State. . . ." 28 U.S.C. §
1738 (1976).8
Huron
Holding Corp. v. Lincoln Mine Operating Co.,
312 U.S. 183, 193, 61 S.Ct. 513, 517, 85
L.Ed. 725;
Davis v. Davis, 305 U.S. 32, 40, 59
S.Ct. 3, 6, 85 L.Ed. 26. It is against
this background that we examine the
relationship of § 1983 and collateral
estoppel, and the decision of the Court of
Appeals in this case.
III
This Court has never directly
decided whether the rules of res judicata
and collateral estoppel are generally
applicable to § 1983 actions. But
Preiser v. Rodriguez, 411 U.S. 475,
497, 93 S.Ct. 1827, 1840, 36 L.Ed.2d 439,
the Court noted with implicit approval the
view of other federal courts that res
judicata principles fully apply to civil
rights suits brought under that statute.
Huffman v. Pursue, Ltd., 420 U.S.
592, 606, n. 18, 95 S.Ct. 1200, 1209, n.
18, 43 L.Ed.2d 482; Wolff v.
Page 97
McDonnell, 418 U.S. 539, 554, n. 12, 94
S.Ct. 2963, 2974, n. 12, 41 L.Ed.2d 935.9
And the virtually unanimous view of the
Courts of Appeals since Preiser has
been that § 1983 presents no categorical bar
to the application of res judicata and
collateral estoppel concepts.10
These federal appellate court decisions have
spoken with little explanation or citation
in assuming the compatibility of § 1983 and
rules of preclusion, but the statute and its
legislative history clearly support the
courts' decisions.
Because the requirement of
mutuality of estoppel was still alive in the
federal courts until well into this century,
see Blonder-Tongue Laboratories, Inc. v.
University of Illinois Foundation, supra,
at 322-323, 91 S.Ct., at 1439-1440, the
drafters of the 1871 Civil Rights Act, of
which § 1983 is a part, may have had less
reason to concern themselves with rules of
preclusion than a modern Congress would.
Nevertheless, in 1871 res judicata and
collateral estoppel could certainly have
applied in federal suits following
state-court litigation between the same
parties or their privies, and nothing in the
language of § 1983 remotely expresses any
congressional intent to contravene the
common-law rules of preclusion or to repeal
the express stat-
Page 98
utory requirements of the predecessor of
28 U.S.C. § 1738, see n. 8, supra.
Section 1983 creates a new federal cause of
action.11 It says nothing about
the preclusive effect of state-court
judgments.12
Moreover, the legislative
history of § 1983 does not in any clear way
suggest that Congress intended to repeal or
restrict the traditional doctrines of
preclusion. The main goal of the Act was to
override the corrupting influence of the Ku
Klux Klan and its sympathizers on the
governments and law enforcement agencies of
the Southern States,
Monroe v. Pape, 365 U.S. 167, 174, 81
S.Ct. 473, 477, 5 L.Ed.2d 492, and of
course the debates show that one strong
motive behind its enactment was grave
congressional concern that the state courts
had been deficient in
Page 99
protecting federal rights,
Mitchum v. Foster, 407 U.S. 225,
241-242, 92 S.Ct. 2151, 2161-2162, 32
L.Ed.2d 705; Monroe v. Pape, supra,
at 180, 81 S.Ct., at 480.13 But
in the context of the legislative history as
a whole, this congressional concern lends
only the most equivocal support to any
argument that, in cases where the state
courts have recognized the constitutional
claims asserted and provided fair procedures
for determining them, Congress intended to
override § 1738 or the common-law rules of
collateral estoppel and res judicata. Since
repeals by implication are disfavored,
Radzanower v. Touche Ross & Co., 426
U.S. 148, 154, 96 S.Ct. 1989, 1993, 48
L.Ed.2d 540, much clearer support than
this would be required to hold that § 1738
and the traditional rules of preclusion are
not applicable to § 1983 suits.
As the Court has understood the
history of the legislation, Congress
realized that in enacting § 1983 it was
altering the balance of judicial power
between the state and federal courts. See
Mitchum v. Foster, supra, at 241, 92
S.Ct., at 2161. But in doing so, Congress
was adding to the jurisdiction of the
federal courts, not subtracting from that of
the state courts. See Monroe v. Pape,
supra, at 183, 81 S.Ct., at 481 ("The
federal remedy is supplementary to the state
remedy . . .").14 The debates
contain several references to the concurrent
jurisdiction of the state courts over
federal questions,15 and numerous
sugges-
Page 100
tions that the state courts would retain
their established jurisdiction so that they
could, when the then current political
passions abated, demonstrate a new
sensitivity to federal rights.16
To the extent that it did
intend to change the balance of power over
federal questions between the state and
federal courts, the 42d Congress was acting
in a way thoroughly consistent with the
doctrines of preclusion. In reviewing the
legislative history of § 1983 in Monroe
v. Pape, supra, the Court inferred that
Congress had intended a federal remedy in
three circumstances: where state substantive
law was facially unconstitutional, where
state procedural law was
Page 101
inadequate to allow full litigation of a
constitutional claim, and where state
procedural law, though adequate in theory,
was inadequate in practice. 365 U.S., at
173-174, 81 S.Ct., at 476-477. In short, the
federal courts could step in where the state
courts were unable or unwilling to protect
federal rights. Id., at 176, 81
S.Ct., at 478. This understanding of § 1983
might well support an exception to res
judicata and collateral estoppel where state
law did not provide fair procedures for the
litigation of constitutional claims, or
where a state court failed to even
acknowledge the existence of the
constitutional principle on which a litigant
based his claim. Such an exception, however,
would be essentially the same as the
important general limit on rules of
preclusion that already exists: Collateral
estoppel does not apply where the party
against whom an earlier court decision is
asserted did not have a full and fair
opportunity to litigate the claim or issue
decided by the first court. See supra,
at 95. But the Court's view of § 1983 in
Monroe lends no strength to any argument
that Congress intended to allow relitigation
of federal issues decided after a full and
fair hearing in a state court simply because
the state court's decision may have been
erroneous.17
Page 102
The Court of Appeals in this
case acknowledged that every Court of
Appeals that has squarely decided the
question has held that collateral estoppel
applies when § 1983 plaintiffs attempt to
relitigate in federal court issues decided
against them in state criminal proceedings.18
But the court noted that the only two
federal appellate decisions invoking
collateral estoppel to bar relitigation of
Fourth Amendment claims decided adversely to
the § 1983 plaintiffs in state courts came
before this Court's decision inStone
v. Powell, 428 U.S. 465, 96 S.Ct. 3037,
49 L.Ed.2d 1067.19 It also
noted that some of the decisions hold-
Page 103
ing collateral estoppel applicable to §
1983 actions were based at least in part on
the estopped party's access to another
federal forum through habeas corpus.20
The Court of Appeals thus concluded that
since Stone v. Powell had removed
McCurry's right to a hearing of his Fourth
Amendment claim in federal habeas corpus,
collateral estoppel should not deprive him
of a federal judicial hearing of that claim
in a § 1983 suit.
Stone v. Powell does not
provide a logical doctrinal source for the
court's ruling. This Court in Stone
assessed the costs and benefits of the
judge-made exclusionary rule within the
boundaries of the federal courts' statutory
power to issue writs of habeas corpus, and
decided that the incremental deterrent
effect that the issuance of the writ in
Fourth Amendment cases might have on police
conduct did not justify the cost the writ
imposed upon the fair administration of
criminal justice. 428 U.S., at 489-496, 96
S.Ct., at 3050-3053. The Stone
decision concerns only the prudent exercise
of federal-court jurisdiction under 28
U.S.C. § 2254. It has no bearing on § 1983
suits or on the question of the preclusive
effect of state-court judgments.
The actual basis of the Court
of Appeals' holding appears to be a
generally framed principle that every person
asserting a federal right is entitled to one
unencumbered opportunity to litigate that
right in a federal district court,
regardless of the legal posture in which the
federal claim arises. But the authority for
this principle is difficult to discern. It
cannot lie in the Constitution, which makes
no such guarantee, but leaves the scope of
the jurisdiction of the federal district
courts to the wisdom of Congress.21
And no such authority is to be found in §
1983 itself. For reasons already discussed
at length, nothing in the language or
legislative history of
Page 104
§ 1983 proves any congressional intent to
deny binding effect to a state-court
judgment or decision when the state court,
acting within its proper jurisdiction, has
given the parties a full and fair
opportunity to litigate federal claims, and
thereby has shown itself willing and able to
protect federal rights. And nothing in the
legislative history of § 1983 reveals any
purpose to afford less deference to
judgments in state criminal proceedings than
to those in state civil proceedings.22
There is, in short, no reason to believe
that Congress intended to provide a person
claiming a federal right an unrestricted
opportunity to relitigate an issue already
decided in state court simply because the
issue arose in a state proceeding in which
he would rather not have been engaged at
all.23
Through § 1983, the 42d
Congress intended to afford an opportunity
for legal and equitable relief in a federal
court for certain types of injuries. It is
difficult to believe that the drafters of
that Act considered it a substitute for a
federal writ of habeas corpus, the purpose
of which is not to redress civil injury, but
to release the applicant from unlawful
physical confinement, Preiser v.
Rodriguez, 411 U.S., at 484, 93 S.Ct.,
at 1833;
Fay v. Noia, 372 U.S. 391, 399,
n. 5, 83 S.Ct. 822, 827, n. 5, 9 L.Ed.2d
837,24 particularly in light of
the
Page 105
extremely narrow scope of federal habeas
relief for state prisoners in 1871.
The only other conceivable
basis for finding a universal right to
litigate a federal claim in a federal
district court is hardly a legal basis at
all, but rather a general distrust of the
capacity of the state courts to render
correct decisions on constitutional issues.
It is ironic that Stone v. Powell
provided the occasion for the expression of
such an attitude in the present litigation,
in view of this Court's emphatic
reaffirmation in that case of the
constitutional obligation of the state
courts to uphold federal law, and its
expression of confidence in their ability to
do so. 428 U.S., at 493-494, n. 35, 96
S.Ct., at 3051-52, n. 35;
Robb v. Connolly, 111 U.S. 624, 637,
4 S.Ct. 544, 551, 28 L.Ed. 542 (Harlan,
J.).
The Court of Appeals erred in
holding that McCurry's inability to obtain
federal habeas corpus relief upon his Fourth
Amendment claim renders the doctrine of
collateral estoppel inapplicable to his §
1983 suit.25 Accordingly, the
judgment is reversed, and the case is
remanded to the Court of Appeals for
proceedings consistent with this opinion.
It is so ordered.
Justice BLACKMUN, with whom
Justice BRENNAN and Justice MARSHALL join,
dissenting.
The legal principles with which
the Court is concerned in this civil case
obviously far transcend the ugly facts of
respondent's criminal convictions in the
courts of Missouri for heroin possession and
assault.
The Court today holds that
notions of collateral estoppel apply with
full force to this suit brought under 42
U.S.C. § 1983. In my view, the Court, in so
ruling, ignores the clear import of the
legislative history of that statute and
disregards the important federal policies
that underlie its
Page 106
enforcement. It also shows itself
insensitive both to the significant
differences between the § 1983 remedy and
the exclusionary rule, and to the pressures
upon a criminal defendant that make a free
choice of forum illusory. I do not doubt
that principles of preclusion are to be
given such effect as is appropriate in a §
1983 action. In many cases, the denial of
res judicata or collateral estoppel effect
would serve no purpose and would harm
relations between federal and state
tribunals. Nonetheless, the Court's analysis
in this particular case is unacceptable to
me. It works injustice on this § 1983
plaintiff, and it makes more difficult the
consistent protection of constitutional
rights, a consideration that was at the core
of the enacters' intent. Accordingly, I
dissent.
In deciding whether a
common-law doctrine is to apply to § 1983
when the statute itself is silent, prior
cases uniformly have accorded the intent of
the legislators great weight.1a
For example, in reference to the judicially
created immunity doctrine, the Court has
observed that when the "immunity claimed . .
. was well established at common law at the
time § 1983 was enacted, and where its
rationale was compatible with the purposes
of the Civil Rights Act, we have construed
the statute to incorporate that immunity."
Owen v. City of Independence, 445
U.S. 622, 638, 100 S.Ct. 1398, 1409, 63
L.Ed.2d 673 (1980).2a This
very proper inquiry must be made in order to
ensure that § 1983 will continue to serve
the important goals intended for it by the
42d Congress. In the present case, however,
the Court minimizes the significance of the
legislative history and discounts its own
prior explicit interpretations of the
statute. Its discussion is limited to
articulating what it terms the single
fundamental principle of res judicata and
collateral estoppel.
Page 107
Respondent's position merits
a quite different analysis. Although the
legislators of the 42d Congress did not
expressly state whether the then existing
common-law doctrine of preclusion would
survive enactment of § 1983, they plainly
anticipated more than the creation of a
federal statutory remedy to be administered
indifferently by either a state or a federal
court.3a The legislative intent,
as expressed by supporters
4a and
understood by opponents,5a was to
restructure relations
Page 108
between the state and federal courts.6a
Congress deliberately opened the federal
courts to individual citizens in response to
the States' failure to provide justice in
their own courts. Contrary to the view
presently expressed by the Court, the 42d
Congress was not concerned solely with
procedural regularity. Even where there was
procedural regularity, which the Court today
so stresses, Congress believed that
substantive justice was unobtainable.7a
The availability of the federal
Page 109
forum was not meant to turn on whether,
in an individual case, the state procedures
were adequate. Assessing the state of
affairs as a whole, Congress specifically
made a determination that federal oversight
of constitutional determinations through the
federal courts was necessary to ensure the
effective enforcement of constitutional
rights.
That the new federal
jurisdiction was conceived of as concurrent
with state jurisdiction does not alter the
significance of Congress' opening the
federal courts to these claims. Congress
consciously acted in the broadest possible
manner.8a The legislators
perceived that justice was not being done in
Page 110
the States then dominated by the Klan,
and it seems senseless to suppose that they
would have intended the federal courts to
give full preclusive effect to prior state
adjudications. That supposition would
contradict their obvious aim to right the
wrongs perpetuated in those same courts.
I appreciate that the
legislative history is capable of
alternative interpretations. See the Court's
opinion, ante, at 98-101. I would
have thought, however, that our prior
decisions made very clear which reading is
required. The Court repeatedly has
recognized that § 1983 embodies a strong
congressional policy in favor of federal
courts' acting as the primary and final
arbiters of constitutional rights.9a
Monroe v. Pape, 365 U.S. 167, 81
S.Ct. 473, 51 L.Ed.2d 492 (1961), the
Court held that Congress passed the
legislation in order to substitute a federal
forum for the ineffective, although plainly
available, state remedies:
"It is abundantly clear that
one reason the legislation was passed was to
afford a federal right in federal courts
because, by reason of prejudice, passion,
neglect, intolerance or otherwise, state
laws might not be enforced and the claims of
citizens to the enjoyment of rights,
privileges, and immunities guaranteed by the
Fourteenth Amendment might be denied by the
state agencies." Id., at 180, 81
S.Ct., at 480.10a
The Court appears to me to
misconstrue the plain meaning of Monroe.
It states that in that case, "the Court
inferred that Congress had intended a
federal remedy in three circumstances: where
state substantive law was facially
unconstitutional, where state procedural law
was inadequate to allow
Page 111
full litigation of a constitutional
claim, and where state procedural law,
though adequate in theory, was inadequate in
practice." Ante, at 100-101. It is
true that the Court in Monroe
described those three circumstances as the
"three main aims" of the legislation. 365
U.S., at 173, 81 S.Ct., at 476. Yet in that
case, the Court's recounting of the
legislative history and its articulation of
these three purposes were intended only as
illustrative of why the 42d Congress
chose to establish a federal remedy in
federal court, not as a delineation of
when the remedy would be available. The
Court's conclusion was that this remedy was
to be available no matter what the
circumstances of state law:
"It is no answer that the State
has a law which if enforced would give
relief. The federal remedy is supplementary
to the state remedy, and the latter need not
be first sought and refused before the
federal one is invoked. Hence the fact that
Illinois by its constitution and laws
outlaws unreasonable searches and seizures
is no barrier to the present suit in the
federal court." Id., at 183, 81
S.Ct., at 481.
Mitchum
v. Foster, 407 U.S. 225, 92 S.Ct. 2151,
32 L.Ed.2d 705 (1972), the Court
reiterated its understanding of the effect
of § 1983 upon state and federal relations:
"Section 1983 was
thus a product of a vast transformation from
the concepts of federalism that had
prevailed in the late 18th century. . . .
The very purpose of § 1983 was to interpose
the federal courts between the States and
the people, as guardians of the people's
federal rights-to protect the people from
unconstitutional action under color of state
law, 'whether that action be executive,
legislative, or judicial.' Ex parte
Virginia, 100 U.S. [339], at 346 [25
L.Ed. 676]." Id., at 242, 92 S.Ct.,
at 2162.11a
Page 112
At the very least, it is
inconsistent now to narrow, if not
repudiate, the meaning of Monroe and
Mitchum and to alter our prior
understanding of the distribution of power
between the state and federal courts.
One should note also that
England v. Medical Examiners, 375
U.S. 411, 84 S.Ct. 461, 11 L.Ed.2d 440
(1964), the Court had affirmed the
federal courts' special role in protecting
constitutional rights under § 1983. In that
case it held that a plaintiff required by
the abstention doctrine to submit his
constitutional claim first to a state court
could not be precluded entirely from having
the federal court, in which he initially had
sought relief, pass on his constitutional
claim. The Court relied on "the unqualified
terms in which Congress, pursuant to
constitutional authorization, has conferred
specific categories of jurisdiction upon the
federal courts," and on its "fundamental
objections to any conclusion that a litigant
who has properly invoked the jurisdiction of
a Federal District Court to consider federal
constitutional claims can be compelled,
without his consent and through no fault of
his own, to accept instead a state court's
determination of those claims." Id.,
at 415, 84 S.Ct., at 464. The Court set out
its understanding as to when a litigant in a
§ 1983 case might be precluded by prior
litigation, holding that "if a party freely
and without reservation submits his federal
claims for decision by the state courts,
litigates them there, and has them decided
there, then-whether or not he seeks direct
review of the state decision in this
Court-he has elected to forgo his right to
return to the District Court." Id.,
at 419, 84 S.Ct., at 466. I do not
understand why the Court today should
abandon this approach.
The Court now fashions a new
doctrine of preclusion, applicable only to
actions brought under § 1983, that is more
Page 113
strict and more confining than the
federal rules of preclusion applied in other
cases.
Montana v. United States, 440 U.S.
147, 99 S.Ct. 970, 59 L.Ed.2d 210 (1979),
the Court pronounced three major factors to
be considered in determining whether
collateral estoppel serves as a barrier in
the federal court:
"[W]hether the issues presented
. . . are in substance the same . . .;
whether controlling facts or legal
principles have changed significantly since
the state-court judgment; and finally,
whether other special circumstances warrant
an exception to the normal rules of
preclusion." Id., at 155, 99 S.Ct.,
at 975.
But now the Court states that
the collateral-estoppel effect of prior
state adjudication should turn on only one
factor, namely, what it considers the "one
general limitation" inherent in the doctrine
of preclusion: "that the concept of
collateral estoppel cannot apply when the
party against whom the earlier decision is
asserted did not have a 'full and fair
opportunity' to litigate that issue in the
earlier case." Ante, at 95, 101. If
that one factor is present, the Court
asserts, the litigant properly should be
barred from relitigating the issue in
federal court.12a One cannot deny
that this factor is an important one. I do
not believe, however, that the doctrine of
preclusion requires the inquiry to be so
narrow,13a and my understanding of
the policies underlying § 1983 would lead me
to consider all relevant factors in each
case before concluding that preclusion was
warranted.
In this case, the police
officers seek to prevent a criminal
defendant from relitigating the
constitutionality of their conduct in
searching his house, after the state trial
court had
Page 114
found that conduct in part violative of
the defendant's Fourth Amendment rights and
in part justified by the circumstances. I
doubt that the police officers, now
defendants in this § 1983 action, can be
considered to have been in privity with the
State in its role as prosecutor. Therefore,
only "issue preclusion"
14a is at
stake.
The following factors persuade
me to conclude that this respondent should
not be precluded from asserting his claim in
federal court. First, at the time § 1983 was
passed, a nonparty's ability, as a practical
matter, to invoke collateral estoppel was
nonexistent. One could not preclude an
opponent from relitigating an issue in a new
cause of action, though that issue had been
determined conclusively in a prior
proceeding, unless there was "mutuality."
15a Additionally, the definitions
of "cause of action" and "issue" were
narrow.16a As a result, and
obviously, no preclusive effect could arise
out of a criminal proceeding that would
affect subsequent civil litigation.
Thus, the 42d Congress could not have
anticipated or approved that a criminal
defendant, tried and con-
Page 115
victed in state court, would be precluded
from raising against police officers a
constitutional claim arising out of his
arrest.
Also, the process of deciding
in a state criminal trial whether to exclude
or admit evidence is not at all the
equivalent of a § 1983 proceeding. The
remedy sought in the latter is utterly
different. In bringing the civil suit the
criminal defendant does not seek to
challenge his conviction collaterally. At
most, he wins damages. In contrast, the
exclusion of evidence may prevent a criminal
conviction. A trial court, faced with the
decision whether to exclude relevant
evidence, confronts institutional pressures
that may cause it to give a different shape
to the Fourth Amendment right from what
would result in civil litigation of a
damages claim. Also, the issue whether to
exclude evidence is subsidiary to the
purpose of a criminal trial, which is to
determine the guilt or innocence of the
defendant, and a trial court, at least
subconsciously, must weigh the potential
damage to the truth-seeking process caused
by excluding relevant evidence.
Stone v. Powell, 428 U.S. 465,
489-495, 96 S.Ct. 3037, 3050-3052, 49
L.Ed.2d 1067 (1976).
Bivens v. Six Unknown Federal Narcotics
Agents, 403 U.S. 388, 411-424, 91 S.Ct.
1999, 2012-2018, 29 L.Ed.2d 619 (1971)
(dissenting opinion).
A state criminal defendant
cannot be held to have chosen "voluntarily"
to litigate his Fourth Amendment claim in
the state court. The risk of conviction puts
pressure upon him to raise all possible
defenses.17a He also faces
uncertainty about the wisdom of forgoing
litigation on any issue, for there is
the possibility that he will be held to have
waived his right to appeal on that issue.
The "deliberate bypass" of state procedures,
which the imposition of collateral estoppel
under these circumstances encourages, surely
is not a preferred goal. To hold that a
criminal defendant who raises a Fourth
Amendment claim at his criminal trial
"freely and without reservation submits his
federal claims for decision by the state
Page 116
courts," see England v. Medical
Examiners, 375 U.S., at 419, 84 S.Ct.,
at 466, is to deny reality. The criminal
defendant is an involuntary litigant in the
state tribunal, and against him all the
forces of the State are arrayed. To force
him to a choice between forgoing either a
potential defense or a federal forum for
hearing his constitutional civil claim is
fundamentally unfair.
I would affirm the judgment of
the Court of Appeals.
1 The facts are drawn from
the Court of Appeals' opinion. 606 F.2d 795
(CA8 1979).
2 The merits of the Fourth
Amendment claim are discussed in the opinion
of the Missouri Court of Appeals.
State v. McCurry, 587 S.W.2d 337
(1979). The state courts upheld the
entry of the house as a reasonable response
to emergency circumstances, but held illegal
the seizure of any evidence discovered as a
result of that entry except what was in
plain view. Id., at 340. McCurry
therefore argues here that even if the
doctrine of collateral estoppel generally
applies to this case, he should be able to
proceed to trial to obtain damages for the
part of the seizure declared illegal by the
state courts. The petitioners contend, on
the other hand, that the complaint alleged
essentially an illegal entry, adding that
only the entry could possibly justify the $1
million prayer. Since the state courts
upheld the entry, the petitioners argue that
if collateral estoppel applies here at all,
it removes from trial all issues except the
alleged assault. The United States Court of
Appeals, however, addressed only the broad
question of the applicability of collateral
estoppel to § 1983 suits brought by
plaintiffs in McCurry's circumstances, and
questions as to the scope of collateral
estoppel with respect to the particular
issues in this case are not now before us.
3 Beyond holding that
collateral estoppel does not apply in this
case, the Court of Appeals noted that the
District Court had overlooked the conspiracy
and assault charges. 606 F.2d, at 797, and
n. 1.
4 Nevertheless, relying on
the doctrine of
Younger v. Harris, 401 U.S. 37, 91
S.Ct. 746, 27 L.Ed.2d 669, the Court of
Appeals directed the District Court to
abstain from conducting the trial until
McCurry had exhausted his opportunities for
review of his claim in the state appellate
courts. 606 F.2d, at 799.
5 The Restatement of
Judgments now speaks of res judicata as
"claim preclusion" and collateral estoppel
as "issue preclusion." Restatement (Second)
of Judgments § 74 (Tent. Draft No. 3, Apr.
15, 1976). Some courts and commentators use
"res judicata" as generally meaning both
forms of preclusion.
Contrary to a suggestion in the
dissenting opinion, post, at 113, n.
12, this case does not involve the question
whether a § 1983 claimant can litigate in
federal court an issue he might have raised
but did not raise in previous litigation.
6 In Blonder-Tongue
the Court noted other trends in the state
and federal courts expanding the preclusive
effects of judgments, such as the broadened
definition of "claim" in the context of res
judicata and the greater preclusive effect
given criminal judgments in subsequent civil
cases. 402 U.S., at 326, 91 S.Ct., at 1441.
7 Other factors, of course,
may require an exception to the normal rules
of collateral estoppel in particular cases.
E. g., Montana v. United States, 440
U.S., at 162, 99 S.Ct., at 978 (unmixed
questions of law in successive actions
between the same parties on unrelated
claims).
Contrary to the suggestion of the
dissent, post, at 112-113, our
decision today does not "fashion" any new
more stringent doctrine of collateral
estoppel, nor does it hold that the
collateral-estoppel effect of a state-court
decision turns on the single factor of
whether the State gave the federal claimant
a full and fair opportunity to litigate a
federal question. Our decision does not
"fashion" any doctrine of collateral
estoppel at all. Rather, it construes § 1983
to determine whether the conventional
doctrine of collateral estoppel applies to
the case at hand. It must be emphasized that
the question whether any exceptions or
qualifications within the bounds of that
doctrine might ultimately defeat a
collateral-estoppel defense in this case is
not before us. See n. 2, supra.
8 This statute has existed in
essentially unchanged form since its
enactment just after the ratification of the
Constitution, Act of May 26, 1790, ch. 11, 1
Stat. 122, and its re-enactment soon
thereafter, Act of Mar. 27, 1804, ch. 56, 2
Stat. 298-299. Congress has also provided
means for authenticating the records of the
state proceedings to which the federal
courts are to give full faith and credit. 28
U.S.C. § 1738.
9 The cases noted in
Preiser applied res judicata to issues
decided both in state civil proceedings,
e. g.,
Coogan v. Cincinnati Bar Assn.,
431 F.2d 1209, 1211 (CA6 1970), and
state criminal proceedings, e. g.,
Goss v. Illinois,
312 F.2d 257, 259 (CA7 1963).
10 E. g.,
Robbins v. District Court,
592 F.2d 1015 (CA8 1979);
Jennings v. Caddo Parish School Bd.,
531 F.2d 1331 (CA5 1976);
Lovely v. Laliberte, 498 F.2d 1261
(CA1 1974);
Brown v. Georgia Power Co., 491 F.2d
117 (CA5 1974);
Tang v. Appellate Division, 487 F.2d
138 (CA2 1973).
A very few courts have suggested that the
normal rules of claim preclusion should not
apply in § 1983 suits in one peculiar
circumstance: Where a § 1983 plaintiff seeks
to litigate in federal court a federal issue
which he could have raised but did not raise
in an earlier state-court suit against the
same adverse party.
Graves v. Olgiati, 550 F.2d 1327 (CA2
1977);
Lombard v. Board of Ed. of New York City,
502 F.2d 631 (CA2 1974);
Mack v. Florida Bd. of Dentistry, 430
F.2d 862 (CA5 1970). These cases present
a narrow question not now before us, and we
intimate no view as to whether they were
correctly decided.
11 "Every person who, under
color of any statute, ordinance, regulation,
custom, or usage, of any State or Territory,
subjects, or causes to be subjected, any
citizen of the United States or other person
within the jurisdiction thereof to the
deprivation of any rights, privileges, or
immunities secured by the Constitution and
laws, shall be liable to the party injured
in an action at law, suit in equity, or
other proper proceeding for redress." 42
U.S.C. § 1983.
It has been argued that, since there
remains little federal common law after
Erie R. Co. v. Tompkins, 304 U.S. 64,
58 S.Ct. 817, 82 L.Ed. 1188, to hold
that the creation of a federal cause of
action by itself does away with the rules of
preclusion would take away almost all
meaning from § 1738. Currie, Res Judicata:
The Neglected Defense, 45 U.Chi.L.Rev. 317,
328 (1978).
12 By contrast, the roughly
contemporaneous statute extending the
federal writ of habeas corpus to state
prisoners expressly rendered "null and void"
any state-court proceeding inconsistent with
the decision of a federal habeas court, Act
of Feb. 5, 1867, ch. 28, § 1, 14 Stat. 385,
386 (current version at 28 U.S.C. § 2254),
and the modern habeas statute also expressly
adverts to the effect of state-court
criminal judgments by requiring the
applicant for the writ to exhaust his
state-court remedies, 28 U.S.C. § 2254(b),
and by presuming a state-court resolution of
a factual issue to be correct except in
eight specific circumstances, § 2254(d). In
any event, the traditional exception to res
judicata for habeas corpus review,
Preiser v. Rodriguez, 411 U.S. 475,
497, 93 S.Ct. 1827, 1840, 36 L.Ed.2d 439,
provides no analogy to § 1983 cases, since
that exception finds its source in the
unique purpose of habeas corpus-to release
the applicant for the writ from unlawful
confinement.
Sanders v. United States, 373 U.S. 1,
8, 83 S.Ct. 1068, 1073, 10 L.Ed.2d 148.
13 See, e. g., Cong.
Globe, 42d Cong., 1st Sess., 374-376 (1871)
(Rep. Lowe); id., at 394 (Rep.
Rainey); id., at 653 (Sen. Osborn).
14 To the extent that
Congress in the post-Civil War period did
intend to deny full faith and credit to
state-court decisions on constitutional
issues, it expressly chose the very
different means of postjudgment removal for
state court defendants whose civil rights
were threatened by biased state courts and
who therefore "are denied or cannot enforce
[their civil rights] in the courts or
judicial tribunals of the State." Act of
Apr. 9, 1866, ch. 31, § 3, 14 Stat. 27.
15 E. g., Cong. Globe,
42d Cong., 1st Sess., 514 (1871) (Rep.
Poland); id., at 695 (Sen. Edmunds);
Martinez v. California, 444 U.S. 277,
283-284, n.7, 100 S.Ct. 553, 558, n.7,
62 L.Ed.2d 481 (noting that the state courts
may entertain § 1983 claims, while reserving
the question whether the state courts must
do so).
16 Senator Edmunds, the floor
manager of the bill in the Senate, observed
at the end of the debates:
"The bill, like all bills of this
character, in its first and second sections,
is a declaration of rights and a provision
for the punishment of conspiracies against
constitutional rights, and a redress for
wrongs. It does not undertake to overthrow
any court. . . . It does not undertake to
interpose itself out of the regular order of
the administration of law. It does not
attempt to deprive any State of the honor
which is due the punishment of crime. It is
a law acting upon the citizen like every
other law, and it is a law to be enforced by
the courts through the regular and ordinary
processes of judicial administration, and in
no other way, until forcible resistance
shall be offered to the quiet and ordinary
course of justice." Cong. Globe, 42d Cong.,
1st Sess., 697-698 (1871).
Representative Coburn expressed his
belief that after passage of the Act "the
tumbling and tottering States will spring up
and resume the long-neglected administration
of law in their own courts, giving, as they
ought, themselves, equal protection to all."
Id., at 460. Representative Sheldon
noted:
"Convenience and courtesy to the States
suggest a sparing use [of national
authority] and never so far as to supplant
the State authority except in cases of
extreme necessity, and when the State
governments criminally refuse or neglect
those duties which are imposed on them. . .
. It seems to me to be sufficient, and at
the same time to be proper, to make a
permanent law affording to every citizen a
remedy in the United States courts for
injuries to him in those rights declared and
guaranteed by the Constitution. . . ."
Id., at 368.
17 The dissent suggests,
post, at 112, that the Court's decision
England v. Medical Examiners, 375
U.S. 411, 84 S.Ct. 461, 11 L.Ed.2d 440,
demonstrates the impropriety of affording
preclusive effect to the state-court
decision in this case. The England
decision is inapposite to the question
before us. In the England case, a
party first submitted to a federal court his
claim that a state statute violated his
constitutional rights. The federal court
abstained and remitted the plaintiff to the
state courts, holding that a state-court
decision that the statute did not apply to
the plaintiff would moot the federal
question. Id., at 413, 84 S.Ct., at
463. The plaintiff submitted both the state-
and federal-law questions to the state
courts, which decided both questions
adversely to him. Id., at 414, 84
S.Ct., at 464. This Court held that in such
a circumstance, a plaintiff who properly
reserved the federal issue by informing the
state courts of his intention to return to
federal court, if necessary, was not
precluded from litigating the federal
question in federal court. The holding in
England depended entirely on this
Court's view of the purpose of abstention in
such a case: Where a plaintiff properly
invokes federal-court jurisdiction in the
first instance on a federal claim, the
federal court has a duty to accept that
jurisdiction. Id., at 415, 84 S.Ct.,
at 464. Abstention may serve only to
postpone rather than to abdicate,
jurisdiction, since its purpose is to
determine whether resolution of the federal
question is even necessary, or to obviate
the risk of a federal court's erroneous
construction of state law. Id., at
416, and n. 7, 84 S.Ct., at 465, and n. 7.
These concerns have no bearing whatsoever on
the present case.
18 E. g.,
Fernandez v. Trias Monge,
586 F.2d 848, 854 (CA1 1978);
Wiggins v. Murphy, 576 F.2d 572, 573
(CA4 1978);
Martin v. Delcambre, 578 F.2d 1164,
1165 (CA5 1978);
Winters v. Lavine, 574 F.2d 46, 58
(CA2 1978);
Metros v. United States District Court,
441 F.2d 313 (CA10 1971);
Kauffman v. Moss, 420 F.2d 1270, 1274
(CA3 1970);
Mulligan v. Schlachter, 389 F.2d 231,
233 (CA6 1968).
Dictum
Ney v. California, 439 F.2d 1285,
1288 (CA9 1971), suggested that applying
collateral estoppel in § 1983 actions might
make the Civil Rights Act "a dead letter,"
but in that case, because the state
prosecutor had agreed to withdraw the
evidence allegedly seized in violation of
the Fourth Amendment, the state court had
never decided the constitutional claim.
Brubaker v. King, 505 F.2d 534,
537-538 (1974), the Court of Appeals for
the Seventh Circuit held that since the
issues in the state and federal cases were
different-the legality of police conduct in
the former and the good faith of the police
in the latter-the state-decision could not
have preclusive effect in the federal court.
This solution, however, fails to recognize
that a state court decision that the police
acted legally cannot but foreclose a claim
that they acted in bad faith. At least one
Federal District Court has relied on the
Brubaker case.
Clark v. Lutcher, 436 F.Supp. 1266
(MD Pa.1977).
19 Metros v. United States
District Court, supra; Mulligan v.
Schlachter, supra.
20 E. g.,
Rimmer v. Fayetteville Police Department,
567 F.2d 273, 276 (CA4 1977);
Thistlewaite v. City of New York, 497
F.2d 339, 343 (CA2 1973);
Alexander v. Emerson, 489 F.2d 285,
286 (CA5 1973).
21 U.S.Const., Art. III.
22 The remarks of the
proponents of § 1983 quoted in n. 16,
supra, suggest the contrary. The Court
of Appeals did not in any degree rest its
holding on disagreement with the common view
that judgments in criminal proceedings as
well as in civil proceedings are entitled to
preclusive effect. See, e. g.,
Emich Motors Corp. v. General Motors Corp.,
340 U.S. 558, 71 S.Ct. 408, 95 L.Ed. 534.
23 The Court of Appeals did
not suggest that the prospect of collateral
estoppel in a § 1983 suit would deter a
defendant in a state criminal case from
raising Fourth Amendment claims, and it is
difficult to imagine a defendant risking
conviction and imprisonment because he hoped
to win a later civil judgment based upon an
allegedly illegal search and seizure.
24 Under the modern statute,
federal habeas corpus is bounded by a
requirement of exhaustion of state remedies
and by special procedural rules, 28 U.S.C. §
2254, which have no counterparts in § 1983,
and which therefore demonstrate the
continuing illogic of treating federal
habeas and § 1983 suits as fungible remedies
for constitutional violations.
25 We do not decide how
the body of collateral estoppel-doctrine or
28 U.S.C. § 1738 should apply in this case.
See n. 2, supra.
1a See, e. g.,
Maine v. Thiboutot,
448 U.S. 1, 100 S.Ct. 2502, 65 L.Ed.2d 555
(1980);
Monell v. New York City Dept. of Social
Services, 436 U.S. 658, 98 S.Ct. 2018,
56 L.Ed.2d 611 (1978);
Imbler v. Pachtman, 424 U.S. 409, 96
S.Ct. 984, 47 L.Ed.2d 128 (1976).
2a
Robertson v. Wegmann, 436 U.S. 584,
98 S.Ct. 1991, 56 L.Ed.2d 554 (1978)
(survival of action);
Carey v. Piphus, 435 U.S. 247, 97
S.Ct. 1642, 55 L.Ed.2d 252 (1978)
(nature of damages award).
3a Senator Osborn's remarks of
April 13, 1871, illustrate the contemporary
understanding:
"That the State courts in the several
States have been unable to enforce the
criminal laws of their respective States or
to suppress the disorders existing, and in
fact that the preservation of life and
property in many sections of the country is
beyond the power of the State government, is
a sufficient reason why Congress should
[enact protective legislation]. . . .
"The question now is, what and where is
the remedy? I believe the true remedy lies
chiefly in the United States district and
circuit courts. If the State courts had
proven themselves competent to suppress the
local disorders, or to maintain law and
order, we should not have been called upon
to legislate upon this subject at all. But
they have not done so. We are driven by
existing facts to provide for the several
States in the South what they have been
unable fully to provide for themselves;
i. e., the full and complete
administration of justice in the courts. And
the courts with reference to which we
legislate must be the United States courts."
Cong. Globe, 42d Cong., 1st Sess., 653.
4a See, e. g., id., at
460 (remarks of Rep. Coburn, whom the Court
by its reference to the Congressman's
"spring up and resume" observation, ante,
at 100. n. 16, would interpret the other
way) ("The United States courts are further
above mere local influence than the county
courts; their judges can act with more
independence, cannot be put under terror, as
local judges can; their sympathies are not
so nearly identified with those of the
vicinage; the jurors are taken from the
State, and not the neighborhood; they will
be able to rise above prejudices or bad
passions or terror more easily. . . . We
believe that we can trust our United States
courts, and we propose to do so");
Cong.Globe, 42d Cong., 1st Sess., App., at
79 (comments of Rep. Perry) ("The first
section provides redress by civil action
in the Federal courts for a deprivation
of any rights, privileges, and immunities
secured by the Constitution . . .")
(emphasis added).
5a Id., at 396
(comments of Rep. Rice) ("[The bill] is but
a bold and dangerous assertion of both the
power and the duty of the Federal Government
to intervene in the internal affairs and
police regulations of the States and to
suspend the exercise of their rightful
authority. . . . It is at war with the
spirit of a republican Government"); id.,
at 416 (comments of Rep. Biggs) ("[If this
bill should pass] we have by law done what
has never before been done in our history,
whatever the provocation, namely: authorized
the punishment of crimes and offenses of a
personal character among us under the
Federal tribunals, which shall be of equal
authority in criminal cases with our own
State courts, and in many cases shall be of
superior authority, and of an altogether
extraordinary character[.] First, for the
violation of the rights, privileges, and
immunities of the citizen a civil remedy is
to be had by proceedings in the Federal
courts, State authorization in the premises
to the contrary notwithstanding"); id.,
App., at 86 (comments of Rep. Storm) ("Now
these questions could all be tried, I take
it, in the State courts, and by a writ of
error, as provided by the twenty-fifth
section of the act of 1789, could be brought
before the Supreme Court for review. . . .
But the first section of this bill does not
allow that right. It takes the whole
question away at once and forever; and I say
that on the ground of delay it is
objectionable"). See also id., at
686-687 (comments of Sen. Schurz); id.,
App., at 216 (comments of Sen. Thurman).
6a See id., App., at
149 (comments of Rep. Garfield) (stating
that Congress, in considering this
legislation, must seek equipoise between
opposing poles of government, on the one
hand, "that despotism which shallows and
absorbs all power in a single-central,
government," and, on the other, the "extreme
doctrine of local sovereignty which makes
nationality impossible").
7a See id., App., at 78
(comments of Rep. Perry) ("Sheriffs, having
eyes to see, see not; judges, having ears to
hear, hear not; witnesses conceal the truth
or falsify it; grand and petit juries act as
if they might be accomplices. In the
presence of these gangs all the apparatus
and machinery of civil government, all the
processes of justice, skulk away as if
government and justice were crimes and
feared detection. Among the most dangerous
things an injured party can do is to appeal
to justice. Of the uncounted scores and
hundreds of atrocious mutilations and
murders it is credibly stated that not one
has been punished"); id., at 653
(comments of Sen. Osborn) ("The State
courts, mainly under the influence of this
[Klan] oath, are utterly powerless"); id.,
at 394 (remarks of Rep. Rainey) ("The
question is sometimes asked, Why do not the
courts of law afford redress? Why the
necessity of appealing to Congress? We
answer that the courts are in many instances
under the control of those who are wholly
inimical to the impartial administration of
law and equity. What benefit would result
from appeal to tribunals whose officers are
secretly in sympathy with the very evil
against which we are striving?"); id.,
App., at 153 (comments of Rep. Garfield)
("But the chief complaint is not that the
laws of the State are unequal, but that even
where the laws are just and equal on their
face, yet, by a systematic maladministration
of them, or a neglect or refusal to enforce
their provisions, a portion of the people
are denied equal protection under them");
id., App., at 166-167 (comments of Rep.
Williams regarding Klan methods of securing
perjured testimony).
8a Representative
Shellabarger, the bill's sponsor, stated:
"This act is remedial, and in aid of the
preservation of human liberty and human
rights. All statutes and constitutional
provisions authorizing such statutes are
liberally and beneficently construed. It
would be most strange and, in civilized law,
monstrous were this not the rule of
interpretation. As has been again and again
decided by your own Supreme Court of the
United States, and everywhere else where
there is wise judicial interpretation, the
largest latitude consistent with the words
employed is uniformly given in construing
such statutes and constitutional provisions
as are meant to protect and defend and give
remedies for their wrongs to all the
people." Id., App., at 68.
9a E. g.,
Monroe v. Pape,
365 U.S. 167, 81 S.Ct. 473, 51 L.Ed.2d 492
(1961);
McNeese v. Board of Education, 373
U.S. 668, 83 S.Ct. 1433, 10 L.Ed.2d 622
(1963);
Zwickler v. Koota, 389 U.S. 241, 88
S.Ct. 391, 19 L.Ed.2d 444 (1967).
10a To the extent that
Monroe v. Pape held that a municipality
was not a "person" within the meaning of §
1983, it was overruled by the Court in
Monell v. New York City Dept. of Social
Services, 436 U.S., at 664-689, 98 S.Ct.,
at 2022-2035. That ruling, of course, does
not affect Monroe's authoritative
pronouncement of the legislative purposes of
§ 1983.
11a The Court also stated:
"This legislative history makes evident
that Congress clearly conceived that it was
altering the relationship between the States
and the Nation with respect to the
protection of federally created rights; it
was concerned that state instrumentalities
could not protect those rights; it realized
that state officers might, in fact, be
antipathetic to the vindication of those
rights; and it believed that these failings
extended to the state courts." 407 U.S., at
242, 92 S.Ct., at 2162.
12a This articulation of the
preclusion doctrine of course would bar a §
1983 litigant from relitigating any issue he
might have raised, as well as any
issue he actually litigated in his criminal
trial.
13a See Restatement (Second)
of Judgments § 68.1 (Tent. Draft No. 4, Apr.
15, 1977); F. James & G. Hazard, Civil
Procedure §§ 11.16-11.22 (2d ed. 1977).
14a
Cromwell v. County of Sac, 94 U.S.
351, 24 L.Ed. 195 (1877); F. James & G.
Hazard, Civil Procedure §§ 11.3, 11.16 (2d
ed. 1977).
15a
Triplett v. Lowell, 297 U.S. 638, 56
S.Ct. 645, 80 L.Ed. 949 (1936),
overruled by the Court
Blonder-Tongue Laboratories, Inc. v.
University of Illinois Foundation, 402
U.S. 313, 91 S.Ct. 1434, 28 L.Ed.2d 788
(1971);
Bigelow v. Old Dominion Copper Mining &
Smelting Co., 225 U.S. 111, 32 S.Ct.
641, 56 L.Ed. 1009 (1912); F. James & G.
Hazard, Civil Procedure § 11.2 (2d ed.
1977); Restatement of Judgments § 93 (1942);
1B J. Moore, Federal Practice &Par;
0.412[1], 0.441[3] (2d ed. 1974).
16a Compare McCaskill, Actions
and Causes of Action, 34 Yale L.J. 614, 638
(1925) (defining "cause of action" as "that
group of operative facts which, standing
alone, would show a single right in the
plaintiff and a single delict to that right
giving cause for the state, through its
courts, to afford relief to the party or
parties whose right was invaded"), with C.
Clark, Handbook on the Law of Code Pleading
84 (1928) (adopting "modern" rule expanding
"cause of action" to include more than one
"right"). See also 1 H. Herman, Law of
Estoppel and Res Judicata §§ 92, 96 ("cause
of action"), 98, 103, 111 ("issue") (1886);
Developments in the Law-Res Judicata, 65
Harv.L.Rev. 818, 826, 841-843 (1952).
17a
Moran v. Mitchell, 354 F.Supp. 86,
88-89 (ED Va.1973) (noting the
defendant's dilemma). |