J.S., a minor, by and through his parents and natural guardians H.S. and I.S., Appellants, v. BETHLEHEM AREA SCHOOL DISTRICT, Thomas Doluisio and A. Thomas Kartsotis.
Commonwealth Court of Pennsylvania.
Decided Feb. 15, 2002.
Reargument Denied April 11, 2002.
794 A.2d 936
Argued Nov. 5, 2001.
Accordingly, the order of the Bureau‘s fee review hearing officer is affirmed.
ORDER
AND NOW, this 4th day of January, 2002, the order of the Department of Labor and Industry, Bureau of Workers’ Compensation Medical Fee Review Office, dated May 17, 2001, is affirmed.
Ellis H. Katz, New Britain, for appellee.
Before SMITH-RIBNER, Judge, FRIEDMAN, Judge, and JIULIANTE, Senior Judge.
J.S. (Student), a minor, by and through his parents and natural guardians H.S. and I.S. (collectively, Appellants), appeal from the February 25, 2000 order of the Court of Common Pleas of Northampton County (trial court) that granted summary judgment in favor of the Bethlehem Area School District, Thomas Doluisio and A. Thomas Kartsotis (collectively, School District).1 We affirm.
In May of 1998, Student was in the eighth grade at Nitschmann Middle School. Sometime prior to May, Student created a website on his own computer while at home. The website, titled “Teacher Sux,” contained several web pages that made derogatory comments about Student‘s algebra teacher, Mrs. Fulmer, and Mr. Kartsotis.
As a result of the website, the School District began disciplinary proceedings against Student that consisted of two days of hearings held on August 19 and 26, 1998 before the Bethlehem Area School Board (School Board).2 Based upon the evidence presented, the School Board concluded that Student violated the Student Code of Conduct by 1) making threats to a teacher, 2) harassing a teacher and 3), showing disrespect to a teacher. Consequently, the School Board voted to permanently expel Student.
Appellants appealed Student‘s expulsion to the trial court, alleging that the School District violated Student‘s First, Fifth, Sixth and Fourteenth Amendment rights. The trial court affirmed Student‘s expulsion and, on appeal, we affirmed. See J.S. v. Bethlehem Area Sch. Dist., 757 A.2d 412 (Pa.Cmwlth.2000), appeal granted, 565 Pa. 655, 771 A.2d 1290 (2001).
In addition to challenging Student‘s expulsion, Appellants filed a civil rights action against the School District. Appellants alleged that the School District (1) deprived Student of his civil rights under
Res judicata encompasses two related, yet distinct principles: technical res judicata and collateral estoppel. Henion v. Workers’ Compensation Appeal Board (Firpo & Sons, Inc.), 776 A.2d 362 (Pa.Cmwlth.2001). Technical res judicata provides that where a final judgment on the merits exists, a future lawsuit on the same cause of action is precluded. Id. Collateral estoppel acts to foreclose litigation in a subsequent action where issues of law or fact were actually litigated and necessary to a previous final judgment. Id.
Technical res judicata requires the coalescence of four factors: (1) identity of the thing sued upon or for; (2) identity of the causes of action; (3) identity of the persons or parties to the action; and (4) identity of the quality or capacity of the parties suing or being sued. Id. Res judicata applies to claims that were actually litigated as well as those matters that should have been litigated. Id. Generally, causes of action are identical when the subject matter and the ultimate issues are the same in both the old and new proceedings. Id.
Similarly, collateral estoppel bars a subsequent lawsuit where (1) an issue decided in a prior action is identical to one presented in a later action, (2) the prior action resulted in a final judgment on the merits, (3) the party against whom collateral estoppel is asserted was a party to the prior action, or is in privity with a party to the prior action, and (4), the party against whom collateral estoppel is asserted had a full and fair opportunity to litigate the issue in the prior action. Rue v. K-Mart Corp., 552 Pa. 13, 713 A.2d 82 (1998).
Interesting, Appellants contend only that they were denied an opportunity to fully and fairly litigate the issues before the School Board in that there was no discovery in the expulsion proceedings, the School Board was not an independent fact finder, Student was unable to testify on his own behalf and the School Board was not a court of competent jurisdiction.7 They do
Pursuant to Section 1318 of the
Student was represented by counsel during the hearings, which took place on August 19 and 26, 1998. Both Mr. Kartsotis and Mrs. Fulmer testified at the hearings and Appellants were given an opportunity to cross-examine them. Thus, Student was afforded the discovery due to him under the Code‘s regulations.
Furthermore, Student was available at the first hearing on August 19th to testify on his own behalf. When it became evident that the hearing would not conclude that evening, the School Board set the second hearing for August 26th to accommodate Student‘s father‘s schedule.10 As the trial court stated in its order affirming Student‘s expulsion, Student‘s parents and his counsel attended the second hearing, counsel cross-examined all witnesses and had the opportunity to call witnesses on Student‘s behalf. Despite the importance of the proceedings, Student was unable to attend the second hearing because his parents had enrolled him in an out-of-state school; the School District did not prevent Student from attending the hearing or testifying on his own behalf.
Appellants further complain that the School Board was not a court of competent jurisdiction and that it was not an independent fact finder. The law, however, provides that where an agency is acting in a judicial capacity and resolves disputed issues of fact that the parties had an opportunity to fully litigate, the courts will not hesitate to apply preclusion principles. Grant v. GAF Corp., 415 Pa.Super. 137, 608 A.2d 1047 (1992), aff‘d sub nom., Gasperin v. GAF Corp., 536 Pa. 429, 639 A.2d 1170 (1994).
The School Board notified Student of the charges against him, afforded him the opportunity to defend himself, followed the mandates of the Code‘s regulations for expulsion and issued findings of facts supporting its decision to expel Student. Thus, the School Board was acting in a quasi-judicial capacity when it undertook expulsion proceedings against Student. See generally Appeal of Emmanuel Baptist Church, 26 Pa.Cmwlth. 427, 364 A.2d 536 (1976) (citing with approval Canney v. Bd. of Pub. Instruction of Alachua County, 278 So.2d 260 (Fla.1973) where the Florida Supreme Court stated that the term “quasi-judicial” means only that a school board is acting under certain constitutional strictures that have been enforced upon all administrative boards). We therefore agree that Appellants were granted a full and fair opportunity to litigate the alleged violations of Student‘s constitutional rights in the prior proceeding.
In Christopher, the plaintiff, a police officer, suffered a concussion while subduing a psychiatric patient. He returned to work for six days, but continued to experience blurred vision. Christopher began receiving workers’ compensation benefits. Medical personnel advised him to sleep in a sitting position and to avoid head trauma and stressful situations. No other restrictions were placed on him.
Thereafter, Christopher was requested to return to work as a desk sergeant with no loss of pay. He refused to report to work, and the employer filed a petition to terminate benefits. Within a month of the employer‘s offer, Christopher opened his own restaurant.
A year later, Christopher was ordered to return to work as a desk sergeant but once again refused. He was thereafter discharged. Christopher filed a timely answer to the dismissal. The employer‘s personnel review board (review board) sustained Christopher‘s dismissal, concluding that he was medically and physically capable of performing the work duties assigned to him. Christopher appealed to the court of common pleas, which affirmed the review board. No appeal was taken from that order.
In 1987, the workers’ compensation judge (WCJ) terminated Christopher‘s benefits. The WCJ found the employer‘s medical witness to be credible where he testified that Christopher had fully recovered from his work injury.
Prior to the review board decision, Christopher commenced an action in the court of common pleas pursuant to a collective bargaining agreement (CBA), alleging that as a result of his work injury he became permanently disabled from performing his duties as a police officer. The employer filed for summary judgment, which was granted by the court of common pleas.
On appeal, we concluded that the court of common pleas did not err in applying collateral estoppel principles. In the workers’ compensation matter, the ultimate issue was whether Christopher was fully recovered from his work injuries. That was the exact issue to be addressed by the court of common pleas in the action brought under the CBA. We further noted that the review board‘s decision similarly precluded Christopher from recovering in an action under the CBA because it had
Christopher serves to illustrate that the courts have applied res judicata and collateral estoppel principles to cases where the administrative agency was acting in a judicial capacity and a subsequent action was commenced in a court of law.11 See also Frederick. Because Appellants’ underlying causes of action are precluded, their
Accordingly, we affirm.
ORDER
AND NOW, this 15th day of February, 2002, it is hereby ordered that the February 25, 2000 order of the Court of Common Pleas of Northampton County is AFFIRMED.
FRIEDMAN, Judge, dissenting.
I respectfully dissent. The majority holds that a court of record must give preclusive effect to the ultimate resolution of issues arising from a formal expulsion hearing before a local school board. The question appears to be a matter of first impression in Pennsylvania. The majority cites no decision, and I have found none, where a court has applied the principles of res judicata or collateral estoppel to a local school board expulsion proceeding. For the reasons that follow, I would not establish such a precedent.
As a preliminary matter, it is necessary to address whether this court should even consider the res judicata and collateral estoppel issues. The Court of Common Pleas of Northampton County (trial court) held that the civil rights claims of J.S. (Student) against the Bethlehem Area School District, Thomas Doluisio and A. Thomas Kartsotis (collectively, School District) are barred by technical res judicata. In so holding, the trial court specifically stated that it would not consider the School District‘s alternative argument that Student‘s civil rights claims are barred by collateral estoppel. (Trial court op. at 18.)
The majority asserts that, in his brief, Student does not challenge the trial court‘s conclusion that Student‘s claims are barred by res judicata;1 according to the majority, Student argues only that collateral estoppel does not apply. (Majority op. at 939-940.) I respectfully submit that, if Student did not challenge the trial court‘s holding, then (1) Student has waived any challenge to the trial court‘s holding, (2)
However, I do not agree that Student failed to challenge the trial court‘s res judicata holding in his brief. In his Statement of the Questions Involved, Student specifically asks whether the trial court erred in granting summary judgment both “on the grounds of res judicata and collateral estoppel.” (Student‘s brief at 7.) In the Argument portion of his brief, Student presents the rule of law governing both res judicata and collateral estoppel. (Student‘s brief at 12-13.) Student also properly cites authority indicating that, under both res judicta and collateral estoppel, the party against whom the doctrine is asserted must have had a full and fair opportunity to litigate the claim.3 (Student‘s brief at 13.) Student then specifically argues that he did not have a full and fair opportunity to litigate his claims before the local school board. (Student‘s brief at 13-14.) Thus, Student presented a challenge to the trial court‘s res judicata holding. Unlike the majority, then, I believe it is quite appropriate to address whether the trial court erred in granting summary judgment based solely on res judicata.4
I. Res Judicata
Res judicata, or claim preclusion, is a doctrine by which a former adjudication bars a later action on all or part of the claim that was the subject of the first action. Balent v. City of Wilkes-Barre, 542 Pa. 555, 669 A.2d 309 (1995). In order to prevail based on res judicata, there must be a concurrence of four conditions: (1) an identity of the thing sued for;5 (2) an identity of causes of action; (3) an identity of persons and parties to the action; and (4) an identity of the quality or capacity of the parties suing or being sued. Gow v. Department of Education, 763 A.2d 528 (Pa.Cmwlth.2000), appeal denied, 566 Pa. 651, 781 A.2d 149 (2001).
If all four conditions have not been met, the inquiry ends.6 However, even when all four conditions are met in a case, it is still necessary to address whether the party
(2) An adjudicative determination by an administrative tribunal is conclusive under the rules of res judicata only insofar as the proceeding resulting in the determination entailed the essential elements of adjudication, including:
...
(b) The right on behalf of a party to ... [a] fair opportunity to rebut evidence and argument by opposing parties....
(e) Such ... procedural elements as may be necessary to constitute the proceeding a sufficient means of conclusively determining the matter in question, having regard for [1] the magnitude and complexity of the matter in question, [2] the urgency with which the matter must be resolved, and [3] the opportunity of the parties to obtain evidence and formulate legal contentions.
First, as to the magnitude and complexity of the matter in question here, this is a case of the highest magnitude involving Student‘s First Amendment right to free speech. Moreover, it is a complex matter because the case involves the effect on an entire school community of an alleged threat made against one teacher on a student‘s web site.7 Second, with respect to urgency, the regulation governing a local school board‘s formal expulsion proceeding specifically states that the “proceeding
must be held with all reasonable speed.”
II. Collateral Estoppel
Although res judicata does not apply here, both proceedings did involve the question of Student‘s First Amendment rights. Therefore, it is appropriate for us to consider whether the doctrine of collateral estoppel, or issue preclusion, bars Student‘s claims in this case.
The doctrine of collateral estoppel applies where the following four prongs are met: (1) an issue decided in a prior action is identical to one presented in a later action; (2) the prior action resulted in a final judgment on the merits; (3) the party against whom collateral estoppel is asserted was a party to the prior action, or is in privity with a party to the prior action; and (4) the party against whom collateral estoppel is asserted had a full and fair opportunity to litigate the issue in the prior action.8 Rue v. K-Mart Corp.,
In Rue, our supreme court held that the determination of an issue in an unemployment compensation proceeding should not be accorded preclusive effect. The court reasoned that, although proceedings before unemployment compensation referees satisfy the minimum requirements of due process,9 the proceedings do not allow the parties to litigate the issues in the manner available in a court of record. Id. The court found especially significant the fact that unemployment compensation proceedings (1) are designed to adjudicate matters quickly, (2) do not allow for pre-hearing discovery and (3) do not follow the rules of evidence. Id.
The same can be said of a local school board‘s formal expulsion proceeding. Such proceedings must be held with all reasonable speed, do not allow for a period for pre-hearing discovery and do not follow the technical rules of evidence. See section 554 of the
In this particular case, Student certainly did not have a full and fair opportunity to litigate his claims. By letter dated August 5, 1998, the School Board gave Student notice of the three charges against him and informed him that the School Board had scheduled a hearing for August 19,
tensiveness of the procedures followed in the two [proceedings] ... or ... (5) [The] party sought to be precluded ... did not have an adequate opportunity or incentive to obtain a full and fair adjudication in the initial action.
Before the trial court, the parties conducted extensive discovery prior to the grant of summary judgment. (See O.R., Item Nos. 53, 57, 59, 61, 63.) During the discovery period, Student attempted to obtain a copy of the investigation file of the Federal Bureau of Investigation (FBI), which had declined to prosecute Student for any crime. (O.R., Item No. 53.) The FBI indicated to Student that it would not release the file without a court order from a court of record. (O.R., Item No. 59.) Thus, Student could not have acquired the FBI file for the proceeding before the School Board. Student also attempted to obtain the investigation file of the local authorities, which likewise had declined to prosecute Student for any crime. However, Student learned that the authorities would not release the file without a court order because Student was a juvenile. (O.R., Item No. 61.) Thus, Student could not have acquired the police investigation file for the proceeding before the School Board. Because Student needed court orders to obtain discovery materials, Student did not have a full and fair opportunity to litigate his claims before the School Board.11
Accordingly, I conclude that neither res judicata nor collateral estoppel applies here, and, therefore, I would reverse and remand.
SHELBOURNE SQUARE ASSOCIATES, L.P., Appellant, v. BOARD OF SUPERVISORS OF TOWNSHIP OF EXETER, BERKS COUNTY, Pennsylvania.
Commonwealth Court of Pennsylvania.
Submitted on Briefs March 2, 2001.
Decided Feb. 20, 2002.
Reargument Denied April 25, 2002.
