Opinion
This appeal is from a judgment of wrongful death in which liability was established by application of the doctrine of collateral estoppel. Relying on findings of liability in an earlier personal injury action against it, the trial court precluded defendant and appellant ExxonMobil Oil Corporation (Mobil) 1 from presenting any defense to respondents’ claims of exposure to asbestos, negligence, causation, and allocation of fault. The case went to the jury solely on the issue of damages.
Appellant claims collateral estoppel was erroneously applied because (1) through no fault of its own, it was unable to present a full defense in the earlier action, and (2) intervening decisions of the California Supreme Court changed the controlling legal standards and the new standards were not considered in the prior proceeding.
FACTS 2 AND PROCEEDINGS BELOW
Respondents’ decedent, George R. Smith, a plumber and pipefitter, was exposed
In preparing for trial, Mobil retained Francis Weir, Ph.D., an industrial hygienist and toxicologist, to provide expert testimony regarding the significance of Smith’s exposure to asbestos. Dr. Weir was prepared to testify that in his opinion Smith’s exposure to asbestos at Mobil’s Torrance refinery was insignificant, and his only significant exposure occurred early in his career during work with asbestos-containing transite pipe, which was different from and more dangerous than any work he engaged in at an oil refinery. Weir was also prepared to state that, based on knowledge available at the time, none of the refinery exposures claimed by Smith would have raised reasonable concerns about health hazards, and Mobil’s conduct was well within what were then considered reasonable industrial hygiene practices.
A few days before he was scheduled to testify, near the close of Mobil’s case, Dr. Weir informed Mobil he was unable to testify because his daughter had been killed in an automobile accident. Because Weir was the only expert it had on the issues just described, Mobil and its attorneys immediately commenced a search for another industrial hygienist or toxicologist to replace Weir; however none of those they were able to contact were able to testify on such short notice. Because the presentation of evidence was by then nearly completed, and Smith was seriously ill and apparently near death, so that trial could not be significantly delayed beyond the few days that had been allowed by the court, Mobil decided it had no alternative but to proceed without the testimony expected of Weir.
By the end of trial all of the defendants except Mobil had either settled or been dismissed, so the case was submitted to the jury only with regard to the Smiths’ claims against Mobil. In a special verdict, the jury attributed 12.5 percent of Smith’s injuries to Mobil’s negligence, awarded George Smith economic damages in the amount of $319,500 and noneconomic damages in the amount of $2.5 million. Hannah Smith was awarded $1.5 million for loss of consortium. The trial court entered judgment accordingly, in the total amount of $819,500 plus costs, subject to settlement credits to be determined by the court. The jury found Mobil liable on the basis of two theories of negligence: (1) Mobil’s failure to warn Smith of a preexisting dangerous condition on the premises, and (2) the failure of Mobil’s employees to exercise ordinary care in the performance
During the pendency of the prior appeal, Smith died. The present wrongful death action against Mobil and others was commenced by respondents (Smith’s widow and six children) on September 9, 2002. Hannah died in late 2003, and George and Hannah’s daughter was substituted as the successor in interest to her deceased father. In June 2005, respondents moved in limine for application of collateral estoppel as to Mobil with respect to four issues: (1) whether Smith’s lung cancer was caused by exposure to asbestos; (2) whether Mobil was negligent by failing to warn Smith of a preexisting dangerous condition on its premises; (3) whether Mobil was negligent because its employees failed to exercise ordinary care in the performance of their work; and (4) whether Mobil was a cause of Smith’s injury. Mobil should be precluded from litigating these issues in the wrongful death action, plaintiffs maintained, because they had all been litigated and adjudicated adversely to Mobil in the personal injury action.
Mobil opposed the motion, arguing, among other things, that it would be unfair to apply collateral estoppel because Dr. Weir’s sudden inability to testify at the personal injury trial, for which Mobil was not responsible, prevented it from mounting a complete defense to the liability claim. Collateral estoppel was also unjustified, Mobil argued, because of changes in
controlling legal principles. After the trial and appeal in the personal injury action, the California Supreme Court issued its opinion in
Viner
v.
Sweet
(2003)
The trial court was not persuaded by Mobil’s arguments. At the hearing on the motion, the court ruled from the bench that “the motion to apply issue preclusion is granted. [1] I think we are in a damages only phase.”
On July 11, 2005, the jury returned a special verdict finding damages for loss of George Smith’s love, companionship, comfort, care, assistance, protection, affection, society, moral support, training and guidance, in the amount of $1,250,000. The judgment on special verdict, filed on August 23, 2005, recites: “It appearing by order of the court dated July 5, 2005 that the judgment in [the earlier personal injury
Mobil filed a timely appeal.
DISCUSSION
I.
“Collateral estoppel is one of two aspects of the doctrine of res judicata. In its narrowest form, res judicata ‘ “precludes parties or their privies from relitigating a
cause of action
[finally resolved in a prior
proceeding].” ’ [Citation.] But res judicata also includes a broader principle, commonly termed collateral estoppel, under which an
issue ‘
“necessarily decided in [prior] litigation [may be] conclusively determined
as
[against]
the parties
[thereto]
or their privies
... in a subsequent lawsuit on a
different
cause of action.” ’ [Citation.] [][] Thus, res judicata does not merely bar relitigation of identical claims or causes of action. Instead, in its collateral estoppel aspect, the doctrine may also preclude a party to prior litigation from redisputing
issues
therein decided against him, even when those issues bear on different claims raised in a later case. Moreover, because the estoppel need not be mutual, it is not necessary that the earlier and later proceedings involve the identical parties or their privies. Only the party
against whom
the doctrine is invoked must be bound by the prior proceeding. [Citations.]”
(Vandenberg v. Superior Court
(1999)
“Collateral estoppel applies when (1) the party against whom the plea is raised was a party or was in privity with a party to the prior adjudication, (2) there was a final judgment on the merits in the prior action and (3) the issue necessarily decided in the prior adjudication is identical to the one that is sought to be relitigated.”
(Roos
v.
Red
(2005)
Mobil also stresses that the offensive use of collateral estoppel “is more closely scrutinized than the defensive use of the doctrine.”
(White Motor Corp. v. Teresinski, supra,
Respondents take the position that de novo review is appropriate with respect to the presence of the three elements essential to collateral estoppel (i.e., whether the necessary parties are the same or in privity, there was previously a final judgment on the merits, and the issues are identical) and to whether the prior proceeding was of a type that should be given preclusive effect (see, e.g., Vandenberg v. Superior Court, supra, 21 Cal.4th at pp. 831-834 [private arbitration not given preclusive effect]). They claim de novo review does not, however, apply to a trial court’s determination of the “fairness” of applying collateral estoppel, as to which respondents say the more deferential abuse of discretion standard should apply. Respondents cite no authority for this proposition, and in the circumstances of this case we decline to accept it. While reasonable minds may differ as to the appropriateness of de novo review of a trial court determination of the applicability of an equitable doctrine that is made upon the basis of a factual inquiry and credibility assessment, the facts bearing upon the propriety of applying estoppel in this case, none of which involve questions of credibility, did not arise out of an independent evidentiary inquiry and are entirely uncontested. The trial court had no more information than is now before us and was in no better position than we are to evaluate that information.
As indicated, Mobil contends that application of collateral estoppel in this case is unfair and bad policy, first, because of its inability at the prior adjudication to obtain expert testimony crucial to its defense on the issue of liability and, second, due to intervening changes in controlling law. Our agreement with the first claim renders it unnecessary to address the second. 4
n.
Equitable justice is better than the legal kind, it has been said, because by looking to the circumstances of the matter under adjudication it
can cure the error that may result from the universal application of a legal generality. (Aristotle, Nichomachean Ethics, book V, ch. 4, pp.
No case brought to our attention by the parties or that we can find has addressed the question whether the inability of a defendant at a prior trial to obtain the testimony of an assertedly crucial witness so unfairly denied him a full opportunity to litigate his claim that he should not be collaterally estopped from relitigating the matter.
6
The case law is not, however, altogether unhelpful. The United States Supreme Court discussed the factors that may have prevented a defendant from enjoying a full and fair opportunity to litigate a claim at a prior trial in
Parklane, supra,
The deprivation of crucial evidence or witnesses at the earlier trial is also among the considerations mentioned in the Restatement Second of Judgments as militating against preclusion. Section 29 of the Restatement states the familiar principle that a party is not precluded from relitigating an issue “unless the fact that he lacked foil and fair opportunity to litigate the issue in the first action or other circumstances justify affording him an opportunity to relitigate the issue.” (Rest.2d Judgments (1982) § 29, italics added.) Comment j to section 29 states that “[ijmportant among such other circumstances is the disclosure that the prior determination was plainly wrong or that new evidence has become available that could likely lead to a different result. It is unnecessary that the party seeking to avoid preclusion show, as he must in seeking to set aside a judgment, that the evidence could not have been discovered with due diligence; the question is not whether a prior determination should be set aside but whether it should be treated as conclusive for further purposes.” (Rest.2d Judgments, § 29, com. j, p. 297.) The illustration the Restatement provides of “other circumstances” that justify an opportunity to relitigate an issue is this: “C engages in conduct resulting in damage to the property of A and B that is stored in the same location. In A’s action against C for damages, a key witness for C on the issue of C’s negligence is unavailable. Judgment is for A. In B’s subsequent action for his damage, C may be permitted to relitigate the issue of negligence upon a showing that the witness can be available at trial of the action.” (Rest.2d Judgments, § 29, com. j, illus. 9, p. 298.)
Respondents are unimpressed with the foregoing authority. They point out that collateral estoppel was deemed appropriate in
Parklane, Blonder-Tongue
and the other cases Mobil relies upon, and the issue in the other cases was not the inability of the defendant to present crucial evidence or witnesses at the earlier trial, but the fact that the prior proceeding was of a different nature than the subsequent trial.
(Kremer v. Chemical Construction Corp., supra,
The fact that collateral estoppel was found applicable in
Parklane, Blonder-Tongue
and the three other cases just cited is beside the point. Mobil does not rely on those cases for anything more than the language contained in the opinions emphasizing the equitable nature of collateral estoppel, the bar on the offensive use of the doctrine when the defendant did not have a full and fair opportunity to litigate his claim or issue at the earlier proceeding and, in the case of
Parklane
and
Blonder-Tongue,
Respondents assert that the illustration employed in the Restatement Second of Judgments quoted above conflicts with
Evans v. Celotex Corp.
(1987)
Respondents say that “[j]ust as the heirs in
Evans
were collaterally estopped from relitigating the issues even though they had new evidence which would have been
impossible
to obtain in the prior litigation, [Mobil] is collaterally estopped from relitigating the issues even though its previously unavailable expert may now be available.” Respondents mischaracterize
Evans.
Preclusion was equitable in that case because the posttrial biopsy appeared to be merely cumulative. As the appellate court stated, “[pjlaintiffs have not indicated what this biopsy showed and how it differed, if at all, from the evidence adduced at the personal injury trial.”
(Evans, supra,
Respondents acknowledge that neither Mobil nor its counsel were in any way responsible for Dr. Weir’s unavailability (cf.
Continental Can, supra,
DISPOSITION
The judgment is reversed and the matter is remanded to the trial court for further proceedings consistent with this opinion. Appellant shall receive costs on appeal.
Lambden, 1, and Richman, J., concurred.
A petition for a rehearing was denied August 28, 2007.
Notes
Prior to 1999, ExxonMobil Oil Corporation was known as Mobil Oil Corporation. Our use of the name Mobil in this opinion refers to both ExxonMobil Oil Corporation and Mobil Oil Corporation.
The facts we describe are drawn from our prior opinion affirming the judgment in the earlier personal injury action, Smith v. Mobil Oil Corp. (Feb. 21, 2003, A096323) (nonpub. opn.).
Plaintiffs also advanced a theory of negligent hiring of Procon, Smith’s employer, but the jury rejected that theory.
However, we do feel it appropriate to note that
Kinsman
v.
Unocal Corp., supra,
For example, it has been stated that “[i]n the final analysis ... an equitable estoppel rests upon the facts and circumstances of the particular case in which it is urged, considered in the framework of the elements, requisites, and grounds of equitable estoppel, and consequently, any attempted definition usually amounts to no more than a declaration of an estoppel under those facts and circumstances. The cases themselves must be looked to and applied by way of analogy rather than rule.” (28 Am.Jur.2d, Estoppel & Waiver, § 28, pp. 455-456, fns. omitted.)
But see
Continental Can Co. v. Hudson Foam
(1973)
Our analysis assumes
Evans, supra,
One of the reasons the trial court in
Continental Can
refused to apply collateral estoppel was that “due to the alleged unavailability of the only two individuals who could testify for the defense, defendant . . . called no witnesses and the matter went to the jury in that posture.”
(Continental Can, supra,
Agreeing that Hudson, the defendant, did not fully litigate the matter in the prior action due to the trial court’s denial of an adjournment, a circumstance beyond its control, the appellate division determined that one of the two unavailable defense witnesses was unimportant, and that in order to accommodate the alleged medical needs of the other witness the trial court granted 18 adjournments over a period of more than two years and Hudson had failed to document its need for a 19th adjournment. Rejecting the trial court’s analysis, the appellate division specifically found “that rather than Hudson’s being ‘denied’ the opportunity to litigate its negligence, it avoided the opportunity on every occasion it could including the last when the matter was tried. We are completely satisfied it had every fair opportunity to defend.”
(Continental Can Co. v. Hudson Foam Latex Prod., supra,
