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Billy Floyd (Pete) BRAZZELL, Plaintiff-Appellant, v. Bobby ADAMS, etc., et al., Defendants-Appellees

United States Court of Appeals for the Fifth Circuit1974-05-02No. No. 73-3279
493 F.2d 489

Summary

Holding. The court affirmed the district court's dismissal, holding that collateral estoppel bars a civil damages claim based on police conduct alleged to constitute entrapment when the plaintiff has pleaded guilty to the underlying criminal charge, because the guilty plea necessarily admitted the factual elements contested in the civil suit.

A Texas state prisoner filed a civil rights damages suit under 42 U.S.C.A. § 1983 against a district attorney and state agents, claiming they engaged in conduct amounting to entrapment when he sold heroin. The plaintiff had previously pleaded guilty to the heroin sale charge. On appeal, the plaintiff sought to revive only the damages claim based on the alleged police misconduct, arguing that his guilty plea should not bar this civil claim because he believed he was assisting state agents in an investigation.

The court applied the doctrine of collateral estoppel to bar the plaintiff's damages claim. By pleading guilty to the sale charge, the plaintiff necessarily admitted all elements of the crime, including that he made a sale. The court determined that collateral estoppel applies with equal force whether a prior criminal conviction rests on a guilty plea or a jury verdict. Since the defendant state agents were the same parties involved in the criminal prosecution, the factual determination underlying the guilty plea—that a sale occurred—conclusively established that fact in the subsequent civil suit. The court also noted that the district attorney claim must be dismissed on an alternative ground of prosecutorial immunity, as the complaint contained no allegations of actions outside the scope of his official duties.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether collateral estoppel applies in a civil rights suit when the plaintiff pleaded guilty in the prior criminal case
  • Whether a guilty plea operates as a conclusive admission of facts for purposes of collateral estoppel in subsequent civil proceedings
  • Whether prosecutorial immunity bars the damages claim against the district attorney

Procedural posture

A Texas state prisoner appealed the district court's dismissal of his civil rights damages complaint arising from his guilty plea to a heroin sale charge.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

majority opinion

BELL, Circuit Judge:

The complaint in this matter, brought by a Texas state prisoner, was filed pro se. It consists of an extended listing of alleged constitutional deprivations resulting in appellant’s present incarceration upon a plea of guilty to selling heroin. However, the relief sought was not release from confinement, but rather damages under the Civil Rights Act, 42 U.S.C.A. § 1983, against a district attorney and state agents participating in the arrest. The district court dismissed the complaint.

On appeal reversal is sought only as to the claim for damages based on allegations of police conduct akin to entrapment. We hold that this claim cannot be a basis for damages in the face of a plea of guilty and the doctrine of collateral estoppel.

Appellant’s position is that he engaged in the heroin transaction in the belief he was assisting state agents in their investigation of a supplier. Essentially this is a claim that by virtue of both his intent and his relationship to the state agents, he did not “sell” heroin within the contemplation of the statute and indictment. See Durham v. State, 1955, 162 Tex.Cr.R. 25, 280 S.W.2d 737, which states that, “If an accused is in no way interested in behalf of the seller but acts only as agent of the prosecutor he is not guilty of making a sale.” 280 S. W.2d at 739. However, by his guilty plea appellant admitted the elements of the charged crime, including that of making a “sale”. See Busby v. Holman, 5 Cir., 1966, 356 F.2d 75, 77. We thus are faced with the question whether collateral estoppel applies in a subsequent civil suit against state agents as to facts necessarily admitted by a plea of guilty in a state prosecution.

The general principle of collateral es-toppel is that “a fact decided in an earlier suit is conclusively established between . . . [the] parties and their privies, provided it was necessary to the result in the first suit.” Tomlinson v. Lefkowitz, 5 Cir., 1964, 334 F.2d 262, 264; Hyman v. Regenstein, 5 Cir., 1958, 258 F.2d 502, 510. Here, a determination of the fact in issue, to wit, whether appellant made a sale, was necessary to the earlier conviction. Further the parties meet the identity requirement, inasmuch as state agents involved in the criminal prosecution are the defendants herein. See Willard v. United States, 5 Cir., 1970, 422 F.2d 810, 811-812.

Finally, the general rule is that collateral estoppel applies equally whether the prior criminal adjudication was based on a jury verdict or a guilty plea. See Metros v. United States District Court, 10 Cir., 1970, 441 F.2d 313, 317, 319; Hyslop v. United States, 8 Cir., 1958, 261 F.2d 786, 790; United States v. Accardo, D.N.J., 1953, 113 F.Supp. 783, 786, aff’d, 3 Cir., 208 F.2d 632; 1B Moore, Federal Practice (1974) § 0.418, p. 2706. For arguments contra, see State Farm Mutual Auto. Ins. Co. v. Worthington, 8 Cir., 1968, 405 F.2d 683, 686-687, and 1B Moore, Federal Practice (1974) § 0.418, pp. 2707-08.

We are satisfied that the general rule should be followed, especially where, as here, the party barred by collateral estoppel has the option of challenging the earlier adjudication through a habeas corpus petition. If such a petition were successful, it would ordinarily remove the bar imposed by the guilty plea. See Shank v. Spruill, 5 Cir., 1969, 406 F.2d 756, 757; Moran v. Mitchell, D.Va., 1973, 354 F.Supp. 86, 90.

We also note that as to the defendant district attorney the complaint is due to be dismissed for a second reason, that of immunity — -there are no allegations of actions clearly outside the scope of his jurisdiction. See Madison v. Gerstein, 5 Cir., 1971, 440 F.2d 338, 340-341; Kauffman v. Moss, 3 Cir., 1970, 420 F.2d 1270, 1272-1273.

The judgment of the district court is

Affirmed.

. The district court dismissed on the ground that appellant’s remedy was by way of ha-beas corpus. Cf. Alexander v. Emerson, 5 Cir., 1973, 489 F.2d 285. But see Preiser v. Rodriguez, 1973, 411 U.S. 475, 494, 93 S.Ct. 1827, 1838, 36 L.Ed.2d 439, 453, with respect to prisoner actions for damages only.