Ex Parte Beck
Ex Parte Beck
Opinion of the Court
Gary Lee Beck filed a complaint for a declaratory judgment in the Montgomery Circuit Court against Attorney General Troy King; Michael H. Feehan, a calhoun County parole officer; Martha C. White, a hearing officer with the Alabama Board of Pardons and Paroles; Dewitt Ashley, an investigator with the calhoun County Sheriffs Department; and Frederick Moore, the police chief of Ohatchee. The trial court entered a judgment dismissing Beck's complaint based on the doctrines of res judicata and collateral estoppel. Beck appealed the trial court's dismissal to the Court of Criminal Appeals. that court transferred the appeal to this Court; we transferred the appeal to the Court of Civil Appeals pursuant to §
Beck petitioned the Montgomery Circuit Court for certiorari review of his parole revocation (case no. CV-01-2605). The circuit court upheld the revocation, and the Court of Criminal Appeals affirmed that judgment, without an opinion. Beck v.Alabama Bd. of Pardons Paroles (No. CR-04-1432, February 24, 2006),
Beck also filed an action pursuant to
Beck filed the complaint in this case on May 5, 2005, in the Montgomery Circuit Court, seeking a judgment declaring that his arrest in 2000 was invalid because Feehan did not comply with §
Although not named by Beck as a defendant in the action, the Board of Pardons and Paroles moved to dismiss Beck's complaint. Thereafter, all five of the named defendants filed motions to dismiss. Attorney General King, Feehan, and White each raised the affirmative defenses of res judicata and collateral estoppel in their motions based on the federal court actions *Page 953 and the prior Montgomery Circuit Court action; Ashley, the investigator with the calhoun County Sheriff's Office, and Moore, the chief of police of Ohatchee, did not raise those affirmative defenses. Despite the fact that Ashley and Moore did not assert the doctrine of res judicata or collateral estoppel as an affirmative defense, the trial court dismissed Beck's complaint as to all the defendants on the basis that the complaint was barred by the doctrines of res judicata and collateral estoppel.
After the Court of Civil Appeals affirmed the trial court's judgment, Beck petitioned this Court for a writ of certiorari. Beck relied upon the ground found in Rule 39(a)(1)(D), Ala. R.App. P., i.e., that the decision of the Court of Civil Appeals was in conflict with prior decisions of this Court, the Supreme Court of the United States, the Court of Civil Appeals, or the Court of Criminal Appeals. He contends that because the issue of the legislature's intent in enacting §
"Little v. Pizza Wagon, Inc.,"Res judicata and collateral estoppel are two closely related, judicially created doctrines that preclude the relitigation of matters that have been previously *Page 954 adjudicated or, in the case of res judicata, that could have been adjudicated in a prior action.
"`The doctrine of res judicata, while actually embodying two basic concepts, usually refers to what commentators label "claim preclusion," while collateral estoppel . . . refers to "issue preclusion," which is a subset of the broader res judicata doctrine.'
"`Res judicata is a broad, judicially developed doctrine, which rests upon the ground that public policy, and the interest of the litigants alike, mandate that there be an end to litigation; that those who have contested an issue shall be bound by the ruling of the court; and that issues once tried shall be considered forever settled between those same parties and their privies.'
"533 So.2d AT 190. The elements of res judicata are
"Equity Res. Mgmt., Inc. v. Vinson,"`(1) a prior judgment on the merits, (2) rendered by a court of competent jurisdiction, (3) with substantial identity of the parties, and (4) with the same cause of action presented in both actions.'
Clearly, the four elements necessary to establish res judicata are present in this case. (1) There is not only one judgment, but several prior judgments, on the merits of Beck's claim that his parole was impermissibly revoked. (2) All of those prior judgments were rendered by courts of competent jurisdiction. (3) There is substantial identity of the parties named as defendants by Beck in the various actions. (4) The same cause of action, namely, a challenge to Beck's parole revocation, was presented in this and the previously filed actions. Beck's claim that Alabama's statute regarding arrests for parole violations, §
"Section 1367(a) authorizes a court to hear supplemental claims to the full extent allowed by the `case or controversy' standard of Article III of the Constitution. Palmer [v. Hospital Authority of Randolph County,
22 F.3d 1559 ,] 1566 [(11th Cir. 1994)]. The constitutional `case or controversy' standard confers supplemental jurisdiction over all state *Page 955 claims which arise out of a common nucleus of operative fact with a substantial federal claim. United Mine Workers of America v. Gibbs,383 U.S. 715 ,725 ,86 S.Ct. 1130 ,1138 ,16 L.Ed.2d 218 (1966); Palmer, 22 F.3d AT 1563-64 (a federal court has the power under section 1367(a) to exercise pendent jurisdiction over state claims which arise from the same occurrence and involve the same or similar evidence); L.A. Draper and Son v. Wheelabrator-Frye, Inc.,735 F.2d 414 ,427 (11th Cir. 1984) (a federal court may exercise pendent jurisdiction over state law claims deriving from a common nucleus of operative fact with a substantial federal claim)."
because Beck has had numerous opportunities to litigate his claim, this action is properly barred by the doctrine of res judicata, and it is past time to end this litigation. Therefore, the Court of Civil Appeals properly affirmed that portion of the trial court's order dismissing Beck's complaint as to Attorney General King, Feehan, and White, who asserted in the trial court the affirmative defense of res judicata in their motions to dismiss.
We cannot apply the same reasoning to Ashley and Moore, however, neither of whom asserted in the trial court res judicata as an affirmative defense in his motion to dismiss. InWaite v. Waite,
"`The doctrines of res judicata and collateral estoppel are affirmative defenses, Rule 8(c), Ala. R. Civ. P.; Lee L. Saad Constr. Co. v. DPF Architects, P.C.,
851 So.2d 507 ,516 (Ala. 2002), and do not affect a court's jurisdiction to consider an action. Affirmative defenses may be waived if they are not pleaded by a party against whom a claim is asserted. Rule 8(c), Ala. R. Civ. P.; Bechtel v. Crown Cent. Petroleum Corp.,451 So.2d 793 (Ala. 1984) (citing 2A J. Moore, Federal Practice § 8.27[3] AT 8-251 (2d ed. 1948)). By its actions in the present case, the trial court, in essence, asserted the affirmative defenses of the doctrines of res judicata and collateral estoppel on behalf of the defendants and dismissed the matter based on those affirmative defenses."`After careful consideration, we find most persuasive the reasoning of the courts that have held that, although a trial court may dismiss an action on its own motion on a jurisdictional basis, affirmative defenses such as the statute of limitations or the doctrine of res judicata are not jurisdictional bases upon which a court may base a sua sponte dismissal. See Lease Partners Corp. v. R J Pharmacies, Inc., [
329 Ill.App.3d 69 ,768 N.E.2d 54 ,263 Ill.Dec. 294 (2002)]; Adams v. Inman, [892 S.W.2d 651 (Mo.Ct.App. 1994)]. Therefore, we must conclude that the trial court erred in dismissing the action, on its own motion, based upon affirmative defenses not asserted by the defendants.'"
We adopt the Court of Civil Appeals' reasoning inWaite, and we hold that a trial court errs when it dismisses a case on the basis of an affirmative defense not asserted by the defendant. Therefore, we must reverse that portion of the Court of Civil Appeals' judgment affirming the trial court's order dismissing Beck's complaint as to Ashley and Moore, who failed to assert the affirmative defense of res judicata in their motions to dismiss.
AFFIRMED IN PART; REVERSED IN PART; AND REMANDED.
SEE, WOODALL, SMITH, BOLIN, and PARKER, JJ., concur.
STUART, J., concurs specially.
COBB, C.J., and MURDOCK, J., recuse themselves.
Concurring Opinion
The circuit judge to whom this case was originally assigned recognized that
"Gary Beck is unrestrained in his zeal for litigation, which involves the same issues over and over, as this complaint does, on issues that have been settled through judicial rulings and opinions. To continue with his unbridled litigious lust would be a gross abuse of the judicial system."
I agree; it is time to put an end to this litigation. However, I cannot ignore the Alabama Rules of Civil Procedure and caselaw.
Ryals v. Walden,"`[R]es judicata is an affirmative defense that must be especially pleaded in writing under [Ala. R. Civ. P.], Rule 8(c).' Wilger v. State Dep't of Pensions Security,
390 So.2d 656 ,657 (Ala.Civ.App. 1980). `In some instances, res judicata may be properly raised by means of a motion to dismiss or, more commonly, through a motion for a summary judgment.' Wilger, 390 So.2d AT 657."
Reference
- Full Case Name
- Ex Parte Gary Lee Beck. (In Re Gary Lee Beck v. Attorney General Troy King).
- Cited By
- 5 cases
- Status
- Published