Board of Regents of Univ. of State of NY v. Tomanio
Opinion of the Court
delivered the opinion of the Court.
We granted certiorari in this case, 444 U. S. 939, to review a judgment of the Court of Appeals for the Second Circuit
I
Respondent has practiced chiropractic medicine in the State of New York since 1958. Prior to 1963, the State did not require chiropractic practitioners to be licensed. But in that year the State enacted a statute which required state licensing, and established three separate methods by which applicants could obtain a license to practice chiropractic in the State of New York. 1963 N. Y. Laws, ch. 780, codified as amended, N. Y. Educ. Law §§ 6506 (5), 6554, 6556 (McKinney 1972 and Supp. 1979-1980). First, the statute established education and examination requirements for applicants who had not previously engaged in chiropractic practice. An alternative qualifying examination was made available to individuals already engaged in practice in New York on the date that the licensing statute became effective. Finally, the Act established a third means for current practitioners to qualify without taking any state-administered examination. Under § 6506 (5), they could obtain a waiver of “education, experience and examination requirements for a professional license . . . provided the board of regents shall be satisfied
Respondent has been unsuccessful in her efforts to obtain a license to practice in New York. On seven separate occasions between 1964 and 1971, she attempted to qualify by taking the special examinations designed for current practitioners. Respondent failed, by a narrow margin, to ever receive a passing score on the examinations.
In January 1972, respondent commenced a proceeding in the New York state courts attacking the decision of the Board of Regents not to grant a waiver as arbitrary and capricious, and seeking an order directing the Board to license her. She did not raise any constitutional challenge to the Board’s decision in this judicial proceeding. The trial court granted the requested relief, but its order was reversed by the Appellate Division. In November 1975, the New York State Court of Appeals affirmed the order of the Appellate Division holding that the Board of Regents had not abused their discretion in denying respondent’s application for a waiver. Tomanio v. Board of Regents, 38 N. Y. 2d 724, 343 N. E. 2d 755 (1975),
Seven months later, on June 25, 1976, respondent instituted this action in Federal District Court under 42 U, S. C. § 1983. Respondent alleged that the refusal of petitioners to grant her a license to practice violated due process as guaranteed by the Fourteenth Amendment. Petitioners invoked res judicata and the statute of limitations as affirmative defenses to respondent’s action.
The District Court rejected these defenses. First, the court found that res judicata would not bar consideration of a § 1983 claim in federal court if the constitutional claim was not actually litigated and determined in the prior state-court proceeding. Since respondent had not raised any constitutional challenge to the Board’s action in state court, the trial court ruled that res judicata did not preclude the federal action.
The District Court also found that the § 1983 action was not barred by the statute of limitations. Respondent’s claim arose in November 1971 when her application for waiver was denied, more than three years prior to the date on which the suit in federal court was commenced. Although the District Court found that a 3-year New York statute of limitations was applicable to respondent’s action, the court held that it was appropriate to toll the running of that statute during the pendency of her state-court litigation. Relying on Mizell v. North Broward Hospital District, 427 F. 2d 468 (CA5 1970), the judge concluded that a federal tolling rule was appropriate, reasoning that
“[i]n my judgment, the present overburdening of the federal courts and the increased filings of civil rights complaints are factors that mitigate in favor of encouraging the utilization of effective and feasible administrative and judicial remedies, which exist under state law, in certain situations.”
Since respondent had diligently pursued her state-court
In unraveling this tangle of federal and state claims, and federal- and state-court judgments, we have decided that the case is best disposed of by resolving the statute of limitations question, which we believe has been all but expressly resolved against the respondent by our decisions in Robertson v. Wegmann, 436 U. S. 584 (1978); Johnson v. Railway Express Agency, Inc., 421 U. S. 454 (1975); and Monroe v. Pape, 365 U. S. 167 (1961). Under the reasoning of these decisions, the federal courts were obligated not only to apply the analogous New York statute of limitations to respondent’s federal constitutional claims, but also to apply the New York rule for tolling that statute of limitations.
II
Congress did not establish a statute of limitations or a body of tolling rules applicable to actions brought in federal court under § 1983 — a void which is commonplace in federal statutory law. When such a void occurs, this Court has repeatedly “borrowed” the state law of limitations governing an analo
In § 1983 actions, however, a state statute of limitations and the coordinate tolling rules are more than a technical obstacle to be circumvented if possible. In most cases, they are binding rules of law. In 42 U. S. C. § 1988, Congress “quite clearly instructs [federal courts] to refer to state statutes” when federal law provides no rule of decision for actions brought under § 1983.
In another action subject to § 1988, we held that the state statute of limitations and the state tolling rules governed federal actions brought under 42 U. S. C. § 1981 except when “inconsistent with the federal policy underlying the cause of action under consideration.” Johnson v. Railway Express Agency, Inc., supra, at 465. We there restated the general principle that since there was no specifically stated or otherwise relevant federal statute of limitations for the federal substantive claim created by Congress in that case, “the controlling period would ordinarily be the most appropriate one provided by state law.” 421 U. S., at 462, and eases cited therein. We went on to observe that this “borrowing” logically included rules of tolling:
“Any period of limitation ... is understood fully only in the context of the various circumstances that suspend it from running against a particular cause of action. Although any statute of limitations is necessarily arbitrary, the length of the period allowed for instituting suit inevitably reflects a value judgment concerning the point at which the interests in favor of protecting valid claims are outweighed by the interests in prohibiting the prosecution of stale ones. In virtually all statutes of limitations the chronological length of the limitation period is interrelated with provisions regarding tolling,*486 revival, and questions of application. In borrowing a state period of limitation for application to a federal cause of action, a federal court is relying on the State’s wisdom in setting a limit, and exceptions thereto, on the prosecution of a closely analogous claim.” Id., at 463-464.
As Robertson and Johnson make clear, therefore, resolution of this case requires us to identify the New York rule of tolling and determine whether that rule is “inconsistent” with federal law.
Ill
New York has codified the limitations of actions and the circumstances under which those limitations can be tolled together. N. Y. Civ. Prac. Law §§ 201-218 (McKinney 1972 and Supp. 1979-1980). The general rule is set forth unambiguously in § 201 (McKinney 1972): “An action . . . must be commenced within the time specified in this article. . . . No court shall extend the time limited by law for the commencement of an action.” The statute codifies a number of the tolling rules developed at common law.
Respondent's failure to comply with the New York statute of limitations, therefore, precluded maintenance of this action unless New York’s tolling rule is “inconsistent” with the policies underlying § 1983.
The importance of policies of repose in the federal, as well as in the state, system is attested to by the fact that when Congress has provided no statute' of limitations for a substantive claim which is created, this Court has nonetheless “borrowed” what it considered to be the most analogous state statute of limitations to bar tardily commenced proceedings. Supra, at 483-484. This is obviously a judicial recognition of the fact that Congress, unless it has spoken to the contrary, did not intend by the mere creation of a “cause of action” or “claim for relief” that any plaintiff filing a complaint would automatically prevail if only the necessary elements of the federal substantive claim for relief could be established. Thus, in general, state policies of repose cannot be said to be disfavored in federal law. Nonetheless, it is appropriate to determine whether Congress has departed from the general rule in § 1983.
In Robertson v. Wegmann, 436 U. S. 584 (1978), the Court first emphasized that “a state statute cannot be considered 'inconsistent’ with federal law merely because the statute causes the plaintiff to lose the litigation. If success of the § 1983 action were the only benchmark, there would be no reason at all to look to state law, for the appropriate rule would then always be the one favoring the plaintiff, and its source would be essentially irrelevant.” Id., at 593. The Court went on to identify two of the principal policies embodied in § 1983 as deterrence and compensation. Neither of these policies is significantly affected by this rule of limitations since plaintiffs can still readily enforce their claims, thereby recovering compensation and fostering deterrence, simply by commencing their actions within three years.
“[W]hatever the value of nationwide uniformity in areas of civil rights enforcement where Congress has not spoken, in the areas to which § 1988 is applicable Congress has provided direction, indicating that state law will often provide the content - of the federal remedial rule. This statutory reliance on state law obviously means that there will not be nationwide uniformity on these issues.” 436 U. S., at 594, n. 11.
The Court of Appeals and the District Court in this case apparently believed that policies of federalism would be undermined by the adoption of the New York tolling rule since litigants would not be encouraged to resort to state remedies prior to the maintenance of a federal civil rights action under § 1983. The conclusion of the lower courts that this result would be “inconsistent” with federal law is at odds with the reasoning in our prior opinions in this field as well as at odds with federalism itself.
On several prior occasions, we have reasoned that when Congress intended to establish a remedy separate and independent from other remedies that might also be available, a state rule which does not allow a plaintiff to litigate such alternative claims in succession, without risk of a time bar, is not “inconsistent.” In Johnson v. Railway Express, supra, the Court found that a state rule which did not toll the statute of limitations applicable to a claim under 42 U. S. C. § 1981 during the pendency of a charge under Title VII of the Civil
The District Court’s conclusion that state remedies should be utilized before resort to the federal courts may be an entirely sound and sensible observation, but in our opinion it does not square with what must be presumed to be congressional intent in creating an independent federal remedy. Unless that remedy is structured to require previous resort to state proceedings, so that the claim may not even be maintained in federal court unless such resort be had, see Love v. Pullman Co., 404 U. S. 522 (1972), it cannot be assumed that Congress wishes to hold open the independent federal remedy
As in those cases, there is no question that respondent’s i 1983 action was “separate and independent” from the state judicial remedy pursued in state court.
Finally, we do not believe that this construction of congressional intent is overridden, as the Court of Appeals found, “in the interests of advancing the goals of federalism.” We believe that the application of the New York law of tolling is in fact more consistent with the policies of “federalism” invoked by the Court of Appeals than a rule which displaces
Since we therefore hold that respondent’s action was barred by the New York statute of limitations, we find it unnecessary to reach petitioners’ other contentions. The judgment of the Court of Appeals is accordingly Reversed
This waiver section is available to all applicants for professional licenses and not just those seeking admission to the practice of chiropractic.
In 1972, respondent also took, and failed, the examinations administered to applicants without prior experience in practice.
See, e. g., the authorities cited in Johnson v. Railway Express Agency, Inc., 421 U. S. 454, 462 (1975).
The Court of Appeals for the Second Circuit established a number of years ago that New York’s 3-year time limitation for actions “to recover upon a liability, penalty or forfeiture created or imposed by statute,” N. Y. Civ. Prac. Law §214(2) (McKinney Supp. 1979-1980), governs §1983 actions brought in Federal District Court in New York. Romer v. Leary, 425 F. 2d 186 (1970); Meyer v. Frank, 550 F. 2d 726, cert. denied, 434 U. S. 830 (1977). While petitioners suggest that §217 (McKinney 1972) of the New York statutes of limitations, requiring the commencement of proceedings to review administrative action within four months, more appropriately governs this action, we need only hold that the Court of Appeals erred by tolling the 3-year limitation. The respondent does not maintain that a limitation period longer than three years governs this action. Thus we may assume for the purposes of this opinion that the 3-year period was applicable since respondent is in any event barred.
Section 1988 provides:
“The jurisdiction in civil and criminal matters conferred on the district courts by the provisions of this [Chapter and Title 18], for the protection of all persons in the United States in their civil rights, and for their vindication, shall be exercised and enforced in conformity with the laws of the United States, so far as such laws are suitable to carry the same into effect; but in all cases where they are not adapted to the object, or are deficient in the provisions necessary to furnish suitable remedies and punish offenses
See, e. g., § 207 (McKinney 1972) (tolling during defendant’s absence fr.om State or residence under false name); § 208 (McKinney Supp. 1979— 1980) (tolling during period in which plaintiff is under a disability such as infancy, insanity, or imprisonment).
Section 204 (b) does provide that if a plaintiff attempts to submit a claim for arbitration, but it is ultimately held that there is no obligation to arbitrate, the limitations period will not run during the time between the date of demand and the date of the judgment providing that arbitration is unavailable. This section does not provide for general tolling during arbitration, but only in situations where the plaintiff is unable to obtain an adjudication on the merits because the remedy is legally unavailable.
We note that respondent does not maintain that any provision of New York law operated to toll the statute of limitations.
The remedy pursued by plaintiff in state court was a state judicial remedy authorizing actions against administrative bodies to review “whether a determination was made in violation of lawful procedure, was affected by an error of law or was arbitrary and capricious or an abuse of discretion. . . N. Y. Civ. Prac. Law §7803 (McKinney 1963). While the parties and the courts below were in agreement that a constitutional challenge to the agency action could have been brought under Art. 78, only the state-law claims were pursued by respondent in that proceeding.
Concurring Opinion
concurring in the result.
The federal claim asserted by respondent was that New York had deprived her of the right to practice her profession without the due process of law required by the Fourteenth Amendment to the United States Constitution.
On the merits, however, I am not persuaded that New York’s licensing procedure is unfair. Examinations are a permissible method of determining qualifications, and lines must be drawn somewhere. The fact that respondent was just short of the passing mark does not raise any federal question. Indeed, respondent does not claim that the examination itself denied her due process. And I agree with Judge Lumbard, who dissented in the Court of Appeals, that the fact that
In short, I find no merit in respondent’s constitutional challenge and would reverse for that reason.
“[N]or shall any State deprive any person of life, liberty, or property, without due process of law. . . .” U. S. Const., Amdt. 14, § 1.
Petitioners rely on the papers in the New York action as having provided respondent with an adequate statement of the reasons for the denial of a waiver. See Brief for Petitioners 4.
Even if I agreed with the view that the federal claim was complete in November 1971 when respondent’s application for a waiver was denied, I would remand to the Court of Appeals to determine the state-law tolling issue rather than have this Court decide that state-law question in the first instance.
Dissenting Opinion
dissenting.
I cannot agree with the Court that respondent’s federal action is time-barred. In my view, when applied to these facts the New York statute of limitations and tolling rules are “inconsistent with the Constitution and laws of the United States,” and thus should not be “extended to . . . govern” respondent’s suit. 42 U. S. C. § 1988.
While the precise content of New York’s statute of limitations and tolling rules is not crucial to my analysis, I think it appropriate to note that the Court’s conclusion that respondent’s action would be time-barred under state law is far from persuasive. The Court relies heavily upon the absence of any provision that expressly tolls the statute of limitations “during the period in which a litigant pursues a related, but independent cause of action,” ante, at 486.
More broadly, I would not find respondent’s § 1983 action time-barred even were I confident that application of the New York rules would produce that result. Monroe v. Pape, 365 U. S. 167, 183 (1961), settled that the plaintiff in a § 1983 case need not resort to state judicial remedies prior to filing a federal suit. There are, however, circumstances in
While I believe the foregoing benefits may be substantial, I think it vital to ensure that they are not obtained at the expense of the plaintiff's right ultimately to try his federal claims in a federal forum. Thus, while I recognize that a plaintiff may be bound by a deliberate choice to present both state and federal claims to the state court, I would not be too quick to find that such a choice has been made. In the present case, there is no indication that respondent had any intention of relinquishing her right to a federal forum, and I would eschew any course that in effect forces her to do so.
In the abstention context, England v. Louisiana State Board of Medical Examiners, 375 U. S. 411 (1964), sets forth a procedure for preserving a plaintiff’s right to a federal forum for his federal claims while giving effect to the concerns and policies underlying Railroad Comm’n v. Pullman Co., supra. Under that procedure, a plaintiff remitted to state court may file a formal reservation in that court preserving his federal claims. If he does so, he can litigate those claims on his return to federal court. If he fails to do so, he risks being held to have submitted all his claims to the state court. It seems to me that the present case is in many respects simply a variation of the basic England situation. Accordingly, I believe that a similar reservation procedure would be appropriate here. Permitting a plaintiff to reserve his federal claims would make the choice to litigate state claims in state court a palatable one; and where that choice is exercised the parties and system alike may benefit. Further, requiring that plaintiffs who want to make such a reservation do so expressly would supply a relatively simple means of preventing the relitigation of claims submitted to and decided by state courts.
The Court also makes reference to- respondent’s failure to “maintain that any provision of New York law operated to toll the statute of limitations.” Ante, at 487, n. 8.
Cf. Powell, The Still Small Voice of the Commerce Clause, in 3 Selected Essays on Constitutional Law 931, 932 (1938).
See Winters v. Lavine, 574 F. 2d 46, 56 (CA2 1978) (citing New York cases).
If the Court is persuaded that state law should govern, I agree with Mr. Justice SteveNS that it would be appropriate to seek the advice of the Court of Appeals as to the precise content of the state rule as applied to facts such as these. Ante, at 493, n. 3.
In this regard, too, I am in agreement with my Brother SteveNS. See ante, at 493.
Curiously, the Court’s decision regarding the New York statute of limitations could have a broadly parallel effect. As I understand it, the Court would simply require plaintiffs either to lodge a federal complaint in federal court before the limitations period expires or to obtain an order from the state court tolling the running of that period. Either step would put the State on notice that a federal constitutional challenge loomed, cf. Government Employees v. Windsor, 353 U. S. 364 (1957), and, assuming that the Court would not give effect to the state res judicata rules, either would ultimately permit plaintiffs in future cases to raise their federal claims in federal forums. Thus, while I am not persuaded by the Court’s reasoning, and while I think the result in this particular ease anomalous, the overall effect of the Court’s rule may be satisfactory.
In 1970 the Court of Appeals for the Fifth Circuit concluded that a state statute of limitations would be tolled in such a situation. Mizell v. North Broward Hospital District, 427 F. 2d 468, 473-474. The Court of Appeals for the Second Circuit apparently had not ruled on this precise issue at the time of respondent’s suit, although it had held that New York’s res judicata and collateral estoppel rules would not bar a federal civil rights suit dealing with issues not actually litigated in a prior state-court suit, Ornstein v. Regan, 574 F. 2d 115 (1978); Lombard v. Board of Education, 502 F. 2d 631, 635-637 (1974).
Even were the England requirement fully applicable, respondent’s failure to make an express reservation might not be dispositive on these facts. Normally the reservation rule will serve two functions — it will force the plaintiff to declare his intentions, and thus keep him from getting two chances to litigate a single claim, and it will put the parties and the state court on notice that there lurks a constitutional issue. Here the first purpose is not implicated because respondent’s federal claims were not litigated in state court. And while it may be appropriate to hold that a plaintiff who fails to reserve federal claims will be bound by a state court’s actual determination of those claims, the proper result where a failure to reserve has led only to silence on the federal issue is less obvious. Government Employees v. Windsor, supra, for example, merely concluded that a state-law determination made without warning or discussion of related constitutional claims was inadequate and ordered a remand to give the state courts an opportunity to construe their statute in a different manner. 353 U. S., at 366. Neither party has requested such a disposition here, and I am not convinced that one would be appropriate. But it does seem that the consequence of failure to reserve in the present
In the wake of Bishop v. Wood, 426 U. S. 341, 347 (1976), it is clear that such second-guessing will rarely if ever be appropriate.
Cf. Home Telephone & Telegraph Co. v. Los Angeles, 227 U. S. 278 (1913).
Reference
- Full Case Name
- BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF NEW YORK Et Al. v. TOMANIO
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- Published