Crosby-Garbotz v. Hon. fell/state
Crosby-Garbotz v. Hon. fell/state
Opinion
¶1 Issue preclusion, also known as collateral estoppel, precludes relitigating an issue of fact in a later case when, in a previous case, the same issue was "actually litigated, a final judgment was entered, and the party against whom the doctrine is to be invoked had a full and fair opportunity to litigate."
Chaney Bldg. Co. v. City of Tucson
,
I.
¶2 On July 5, 2016, Nikolas Crosby-Garbotz ("Crosby") stayed home with his five-month-old baby (here referred to as "C.C.") while Lacy Crosby ("Mother") went to work. C.C. became fussy and later had a seizure and appeared dazed and went limp. Crosby called 911. C.C. was taken to the hospital, where she was diagnosed with subdural hematoma, bilateral retinal hemorrhaging, and retinoschisis. She did not have a skull fracture or trauma to her neck or upper body.
¶3 Days later, the State, through the Department of Child Safety ("DCS"), took temporary custody of C.C., and on July 13, 2016, DCS filed a dependency petition alleging that C.C. was dependent as to Crosby because he abusively shook her to the point of causing bleeding in her brain and eyes. DCS also alleged C.C. was dependent as to Mother because she was unable to protect C.C. from Crosby.
¶4 On November 10, 2016, the dependency trial began and lasted for eleven nonconsecutive days, with the juvenile court taking the matter under advisement on February 16, 2017. While the dependency hearing was ongoing, a grand jury on December 15, 2016, returned an indictment against Crosby alleging child abuse under A.R.S. §§ 13-3623(A) and 13-3601. Specifically, the State charged Crosby with one count of child abuse alleging that:
on or about the 5th day of July, 2016, NIKOLAS CROSBY-GARBOTZ committed child abuse by intentionally or knowingly causing physical injury to C.C., a child less than fifteen years of age, under circumstances likely to produce death or serious physical injury, to wit: BY CAUSING BRAIN DAMAGE AND RETINAL BLEEDING AND RETINOSCHISIS, in violation of A.R.S. § 13-3623(A)(1), 13-3601.
¶5 From July 2016 through March 2017, C.C. was not in Crosby's or Mother's care due to the pending dependency petition. On March 8, 2017, the juvenile court issued its ruling, dismissed the dependency petition as to both parents, and returned C.C. to Mother and Crosby's care. The judge ruled that DCS had not met its burden of proof in establishing a dependency, expressly finding that "the Department has not met its burden of proving by a preponderance of the evidence that Mr. Crosby inflicted physical injury, impairment of bodily function, or disfigurement to [C.C.]" and "the Court has found that it is more likely than not that [Crosby] did not injure [C.C.]." The State did not appeal the dependency judgment.
¶6 In May 2017, Crosby moved to remand for a redetermination of probable cause in the criminal proceeding, which the trial court denied. Crosby then moved to dismiss, arguing that issue preclusion prevented the State from relitigating whether he had abused C.C. on July 5, 2016. After an evidentiary hearing, the trial judge denied the motion. Crosby sought special action relief from the court of appeals, which accepted jurisdiction but denied relief.
Crosby-Garbotz v. Fell
,
¶7 Although the court of appeals noted that most elements of issue preclusion appeared to have been met,
¶8 We granted review because this case presents recurring issues of statewide importance. We have jurisdiction under article 6, section 5(3) of the Arizona Constitution.
II.
¶9 "Application of issue preclusion is an issue of law, which we review de novo."
Picaso v. Tucson Unified Sch. Dist.
,
¶10 Issue preclusion serves to "protect[ ] litigants from the burden of relitigating an identical issue" and to "promot[e] judicial economy by preventing needless litigation."
Parklane Hosiery Co. v. Shore
,
¶11 Arizona has long recognized that "when the second case is upon a different cause of action, the prior judgment or decree operates as an estoppel only as to matters actually in issue, or points controverted, upon the determination of which the judgment or decree was rendered."
MacRae v. Betts
,
¶12 No previous decision by this Court, however, has considered whether a finding in a dependency adjudication may have preclusive effect in a criminal prosecution. On this issue, the State and Crosby disagree on the application of two issue preclusion cases. In
Ferris v. Hawkins
, the court of appeals declined to apply issue preclusion from one administrative proceeding to a later, different administrative proceeding, finding the two proceedings involved distinct legal rights and remedies.
¶13 Neither case is dispositive here.
Fitzgerald
involved a "quasi-criminal" forfeiture proceeding and a later criminal proceeding.
¶14 In contrast to
Fitzgerald
and
Ferris
, here the court of appeals relied on public policy to adopt a categorical rule barring issue preclusion. The court recognized that the California Court of Appeals reached a different conclusion in
Lockwood v. Superior Court
,
¶15 As the court of appeals observed,
Lockwood
"is not meaningfully distinguishable
from the case before us."
¶16 Other jurisdictions, however, have refused to apply issue preclusion in the dependency-to-criminal context. In so holding, courts have noted various policy reasons, including a concern that the state, in dependency proceedings, does not perform the "extensive preparation typically required for felony trials,"
State v. Cleveland
,
¶17 We are not persuaded that these policy concerns justify an absolute bar on applying issue preclusion. Although criminal charges put at stake an accused's liberty, dependency proceedings affect liberty interests as well-the fundamental right of parents regarding their children's upbringing,
see
A.R.S. § 1-601(A) ;
Kent K. v. Bobby M.
,
¶18 Finally, the State argues that public policy counsels against applying issue preclusion because "[t]he public has a strong interest in the enforcement of our criminal laws." But the public also has a strong interest in the enforcement of the laws regarding the protection of dependent children. So too do parents have a strong interest in the care and upbringing of their children, and defendants have a strong interest in fundamental fairness.
¶19 The purposes of dependency and criminal proceedings are admittedly different. But issue preclusion and claim preclusion
are also different, and sometimes mistakenly conflated.
See
Circle K Corp.
,
¶20 Applying preclusion from dependency to criminal proceedings is consistent with preclusion principles.
See
Allan D. Vestal,
Issue Preclusion and Criminal Prosecutions
,
¶21 The elements of issue preclusion serve to alleviate many of the concerns raised by the court of appeals and the State. If the State did not have a full and fair opportunity to litigate an issue, then preclusion will not apply.
See
Chaney Bldg. Co.
,
¶22 The dissent's observation that dependency and criminal proceedings are distinct and serve different purposes, ¶¶ 28, 34, does not support a blanket rejection of issue preclusion (though, as noted above, ¶ 19, it is relevant to claim preclusion). Moreover, the Restatement illustration cited by the dissent, ¶ 31, is inapposite, as it reflects the rule that one court's determination of an issue will not bar relitigation before another court having "special competency" to decide the issue. See Restatement § 28, cmt. d. The juvenile and criminal divisions of the superior court are each competent to determine if a child was abused. Applying preclusion also does not contradict the legislature's intent; indeed the dissent does not identify any statement of legislative intent but instead imputes intent based on its belief that preclusion should not apply. Nor do we obstruct the executive's authority to initiate prosecutions. Our opinion does not prevent the state from pursuing parallel or successive proceedings; it only prevents the state from relitigating a factual issue that it had a full and fair opportunity to litigate, which it could not prove by a preponderance of evidence, and where the related judgment has become final, i.e. any appeals have been exhausted. This no more infringes on executive prerogatives than does a judge dismissing a criminal case when the prosecution fails to present sufficient evidence on an element of a crime. See Ariz. R. Crim. P. 20.
III.
¶23 Having determined that issue preclusion may apply from dependency to subsequent criminal proceedings, we turn to its application here. At oral argument, the State conceded that there was a full and fair opportunity to litigate the issue at hand before the juvenile court, the issue was essential to that court's judgment, the issue was actually litigated, and the judgment was final and valid. These concessions are supported by the record.
¶24 The State argues that because DCS and the County Attorney are not the same party, there is no mutuality of parties, and issue preclusion cannot apply. The court of appeals did not address this argument.
See
Crosby-Garbotz
, 244 Ariz. at 345 ¶ 18,
¶25 The State also argues that the issues are not the same because the two proceedings "are governed by different substantive law and different procedures." This argument misses the mark. The precise issue here is whether Crosby abused C.C. on July 5, 2016, by shaking her, causing bleeding in C.C.'s brain and eyes. This factual issue was adjudicated in the dependency proceeding against the State. The same factual issue is the basis for the criminal charge. The State has not pointed to any additional evidence it was foreclosed from presenting in the dependency proceeding that would apply in the criminal case, nor has it indicated any changed circumstances that would make relitigation appropriate.
¶26 Crosby is using issue preclusion defensively as a shield, not as a sword. This is not an instance of a defendant attempting to use an accomplice's favorable factual determination against the government as offensive issue preclusion-a situation that would present different considerations.
See
State v. Jimenez
,
IV.
¶27 We vacate the court of appeals' opinion and remand this case to the superior court to dismiss the criminal charge.
TIMMER, J., joined by GOULD, J. and LOPEZ, J., dissenting.
¶28 Arizona law empowers the state to address alleged parental child abuse in concurrent ways. The Department of Child Services ("DCS") may initiate dependency or termination-of-parental-rights proceedings in juvenile court, see A.R.S. §§ 8-533 and 8-841 to 8-847, and a prosecutorial agency may criminally prosecute the parent in superior court, see A.R.S. 13-3623. The proceedings serve different interests, and the legislature intended they proceed separately. Applying issue preclusion in the pending criminal case against Crosby for the common factual issue adjudicated in the dependency proceeding concerning C.C. interferes with this legislative structure and the executive's authority to simultaneously protect children through dependency proceedings and vindicate society's insistence that everyone obey our laws. The application also undermines the public's interest and role in criminal justice. I respectfully dissent.
¶29 The doctrine of issue preclusion has several exceptions. See Restatement (Second) of Judgments § 28 (Am. Law Inst. 1982). Two exceptions apply here:
A new determination of the issue is warranted by differences in the quality or extensiveness of the procedures followed in the two courts or by factors relating to the allocation of jurisdiction between them....
....
There is a clear and convincing need for a new determination of the issue ... because of the potential adverse impact of the determination on the public interest or the interests of persons not themselves parties in the initial action....
Restatement § 28(3),(5);
see
Hullett v. Cousin
,
¶30 First, a statutory limitation on the juvenile court's authority in dependency proceedings compels a conclusion that issue preclusion does not apply here. See Restatement § 28(3). Although the juvenile court has exclusive original jurisdiction over dependency proceedings, see A.R.S. 8-202(B), it has no authority to adjudicate pending criminal charges concerning events underlying the dependency allegations, see § 8-202(C)(1) ("[T]he juvenile court shall not consolidate ... [a] criminal proceeding that is filed in another division of superior court and that involves a child who is subject to the jurisdiction of the juvenile court."). Only the superior court adjudicating the criminal charges has that authority. Thus, the juvenile court here had no authority to adjudicate Crosby's criminal liability, and its determination that DCS failed to prove Crosby abused C.C. should not serve to effectively adjudicate the pending criminal charge. See Restatement § 28 cmt. d (stating a compelling reason not to apply issue preclusion exists if "the legislative allocation of jurisdiction among the courts of the state may have been designed to insure that when an action is brought to determine a particular issue directly, it may only be maintained in a court having special competence to deal with it" and thus "after a court has incidently [sic] determined an issue that it lacks jurisdiction to determine directly, the determination should not be binding when a second action is brought in a court having such jurisdiction").
¶31 Issue preclusion should not apply here even though the juvenile court's determination was necessary to the dependency adjudication. An illustration in Restatement § 28 supports this conclusion:
H brings an action for forcible entry and detainer against W before a justice of the peace. W defends on the ground that the parties are legally married and that under the law of the State such an action cannot be maintained between spouses. The justice of the peace rejects the defense, ruling that the parties are not legally married. A subsequent action for divorce is brought between W and H in the domestic relations court, which has exclusive jurisdiction over divorce actions. The determination in the prior action that the parties are not legally married is not conclusive.
Restatement § 28, cmt. d, illus. 9. Like the child abuse issue here, whether H and W were legally married was properly decided by both courts. And just as the domestic relations court had exclusive authority over divorce actions and thus could not be bound by the justice court's determination of a common issue, the superior court here has exclusive jurisdiction in the pending criminal proceedings and cannot be bound by the juvenile court's determination that DCS failed to prove that Crosby abused C.C. Although the juvenile court is part of the superior court and not a different court, as in the illustration, the illustration is apt. The majority disagrees, asserting "[t]he juvenile and criminal divisions of the superior court are each competent to determine if a child was abused." See supra ¶ 22. I do not quibble the point, but the legislature has decreed otherwise. By precluding the juvenile court from adjudicating a related, pending criminal case, the superior court is required to resolve the charges against Crosby through the criminal trial process. See Restatement § 28, cmt. d.
¶32 Second, a clear and convincing need exists to permit a new determination in the pending criminal proceedings because otherwise the public interest would be adversely affected.
See
Restatement § 28(5). Section 8-202(C)(1) reflects a public policy that the superior court is the exclusive forum to adjudicate criminal charges when the state concurrently files a related dependency action.
Cf.
Quiroz v. ALCOA Inc.
,
¶33 Apart from the legislative declaration of public policy reflected in § 8-202(C)(1), the public has a significant interest and role in the criminal proceedings that is nullified by the application of issue preclusion here. A grand jury indicted Crosby under § 13-3623(A)(1) while the dependency proceedings were pending. The State, representing the public's interest, has a right for a jury selected from the public to determine whether Crosby committed child abuse.
See
A.R.S. § 13-3983 (requiring both parties' consent to waive a jury trial);
Phx. City Prosecutor's Office v. Ybarra
,
¶34 The public's interests in criminal proceedings cannot be vindicated in a dependency proceeding. Likely for this reason, issue preclusion is rarely applied in a criminal case for a factual issue adjudicated in a civil proceeding.
Cf.
State v. Edwards
,
¶35 This is not a case in which the State pursued criminal charges to get a "second bite at the apple" after failing to prove its case in dependency proceedings-a scenario that may result in the "rare circumstance" when issue preclusion should apply.
See
Lucido v. Super. Ct.,
¶36 To be clear, although issue preclusion rarely applies in the civil-to-criminal context, I do not advocate a "blanket rule" precluding application of issue preclusion in all criminal cases or even in those sharing issues in common with dependency proceedings, as the majority suggests. See supra ¶ 22. But to accommodate public policy, and particularly policies underlying § 8-202(C)(1), the court in a criminal case should always refuse to apply issue preclusion to factual disputes resolved in concurrently pursued dependency proceedings. I would permit the criminal case against Crosby to continue. I therefore respectfully dissent.
Reference
- Full Case Name
- Nikolas CROSBY-GARBOTZ, Petitioner, v. Hon. Howard P. FELL, Judge Pro Tempore of the Superior Court of the State of Arizona IN AND FOR the COUNTY OF PIMA, Respondent Judge, State of Arizona, Real Party in Interest.
- Cited By
- 30 cases
- Status
- Published