William Edwards v. Aetna Life Ins. Co., 690 F.2d 595 (6th Cir. 1982). · Go Syfert
William Edwards v. Aetna Life Ins. Co., 690 F.2d 595 (6th Cir. 1982). Cases Citing This Book View Copy Cite
599 citation events (341 in the last 25 years) across 126 distinct courts.
Strongest positive: Mohamad Charafeddine, et al. v. Carson Freight, LLC, et al. (mied, 2026-03-10) · Strongest negative: Muellner v. Mars, Inc. (ilnd, 1989-05-05)
Treatment trajectory · 1982 → 2026 · click a year to view as-of
1982 2004 2026
Top citers, strongest first. 50 distinct citers. How cited ↗
examined Cited "but see" Muellner v. Mars, Inc. (3×) also: Cited as authority (rule), Cited "see"
N.D. Ill. · 1989 · signal: but see · confidence high
But see Edwards, 690 F.2d at 600 .
discussed Cited as authority (verbatim quote) Mohamad Charafeddine, et al. v. Carson Freight, LLC, et al. (2×) also: Cited as authority (rule)
E.D. Mich. · 2026 · quote attribution · 1 verbatim quote · confidence high
if the initial proceeding results in settlement, the position cannot be viewed as having been successfully asserted.
discussed Cited as authority (verbatim quote) Farm Bureau General Ins. Co of Michigan v. Schneider National Carriers, Inc. (2×) also: Cited as authority (rule)
S.D. Ohio · 2023 · quote attribution · 1 verbatim quote · confidence high
the doctrine of judicial estoppel applies to a party who has successfully . . . asserted a position in a prior proceeding.
discussed Cited as authority (verbatim quote) Dennis v. Jackson
D.C. · 2021 · quote attribution · 1 verbatim quote · confidence high
unlike equitable estoppel, judicial estoppel may be applied even if detrimental reliance or privity does not exist.
examined Cited as authority (verbatim quote) Evanston Ins. Co. v. Certified Steel Stud Ass'n
6th Cir. · 2019 · quote attribution · 1 verbatim quote · confidence high
the doctrine of judicial estoppel applies to a party who has successfully and unequivocally asserted a position in a prior proceeding; he is estopped from asserting an inconsistent position in a subsequent proceeding.
discussed Cited as authority (verbatim quote) Long Beach Securities Corp. v. National Credit Union Administration Board
D.D.C. · 2018 · quote attribution · 1 verbatim quote · confidence high
the requirement that the position be successfully asserted means that the party must have been successful in getting the first court to accept the position.
discussed Cited as authority (verbatim quote) Coca-Cola Bottling Co. of Elizabethtown, Inc. v. Coca-Cola Co.
D. Del. · 1991 · signal: see · quote attribution · 1 verbatim quote · confidence high
the doctrine of judicial estoppel applies to a party who has successfully and unequivocally asserted a position in a prior proceeding____
discussed Cited as authority (quoted) Long Beach Sec. Corp. v. Nat'l Credit Union Admin. Bd.
D.C. Cir. · 2018 · quote attribution · 1 verbatim quote · confidence low
the requirement that the position be successfully asserted means that the party must have been successful 136 in getting the first court to accept the position.
examined Cited as authority (quoted) Hagan v. Baird
W.D. Mich. · 2018 · quote attribution · 1 verbatim quote · confidence low
the doctrine of judicial estoppel applies to a party who has successfully and unequivocally asserted a position in a prior proceeding; he is estopped from asserting an inconsistent position in a subsequent proceeding.
discussed Cited as authority (rule) Fischer v. Fischer-Olson
S.D. · 2026 · confidence medium
“The essential function of judicial estoppel is to prevent intentional inconsistency; the object of the rule is to protect the judiciary, as an institution, from the perversion of judicial machinery.” Edwards v. Aetna Life Ins., 690 F.2d 595, 599 (6th Cir. 1982).
discussed Cited as authority (rule) Keathley v. Buddy Ayers Construction, Inc.
SCOTUS · 2026 · confidence medium
Co., 690 F. 2d 595, 598 (CA6 1982), the courts of appeals have not justified it as an exercise of the traditional sanctioning power that courts have been held to have in other contexts, see, e.g., Link v. Wabash R.
cited Cited as authority (rule) Mayen v. Countrywide Home Loans, Inc.
9th Cir. · 2026 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Samuel Stamping Technologies, LLC v. Therma-Tru Corp.
N.D. Ohio · 2026 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982).
cited Cited as authority (rule) Wells Fargo Clearing Services, LLC v. Satter
S.D. Ohio · 2025 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982); Cent.
cited Cited as authority (rule) Consumer Financial Protection Bureau v. Cashcall, Inc.
9th Cir. · 2025 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Beaver v. Macomb County
E.D. Mich. · 2025 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)); see also PowerAgent Inc. v. Electronic Data Sys.
cited Cited as authority (rule) Consumer Financial Protection Bureau v. Cashcall, Inc.
9th Cir. · 2025 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
discussed Cited as authority (rule) UnderCover, Inc. v. Rough Country, LLC (2×) also: Cited "see"
W.D. Tenn. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982).
cited Cited as authority (rule) Daniel Chung v. County of Santa Clara
9th Cir. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Logan Coal & Timber Corporation v. Kinzer Business Realty, Ltd.
S.D.W. Va · 2024 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982))).
cited Cited as authority (rule) Sherwin-Williams Company v. Ppg Industries, Inc.
Fed. Cir. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Sherwin-Williams Company v. Ppg Industries, Inc.
Fed. Cir. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) George Fleming and Fleming & Associates, L.L.P. v. Rebecca Wilson
Tex. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Adasa Inc. v. Avery Dennison Corporation
D. Or. · 2024 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Day v. GEICO Casualty Company
N.D. Cal. · 2024 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 9 1982); then quoting United States v. McCaskey, 9 F.3d 368, 378 (5th Cir. 1993)).
cited Cited as authority (rule) Mendoza v. Hyundai Motor Company, LTD
N.D. Cal. · 2024 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 26 1982); then quoting United States v. McCaskey, 9 F.3d 368, 378 (5th Cir. 1993)).
cited Cited as authority (rule) Rebecca Clarke v. Wisconsin Elections Commission
Wis. · 2023 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Rebecca Clarke v. Wisconsin Elections Commission
Wis. · 2023 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) Wa State Nurses Assoc, Resps V. Multicare Health System, App
Wash. Ct. App. · 2023 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
cited Cited as authority (rule) James Phillips v. Gerardo Jaime
Ky. Ct. App. · 2023 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982); United States v. McCaskey, 9 F.3d 368, 378 (5th Cir. 1993)).
cited Cited as authority (rule) Crumley v. State Farm Mutual Automobile Insurance Company
D.N.M. · 2023 · confidence medium
Co., 690 F.2d 595, 598 (C.A.6 1982), and United States v. McCaskey, 9 F.3d 368, 378 (C.A.5 1993)).
cited Cited as authority (rule) Botelho v. Buscone
1st Cir. · 2023 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982); then quoting United States v. McCaskey, 9 F.3d 368, 378 (5th Cir. 1993)).
discussed Cited as authority (rule) In re: Julie Marie Wood
6th Cir. BAP · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982) (citing City of Kingsport, Tenn. v. Steel & Roof Structure, Inc., 500 F.2d 617 , 620 (6th Cir. 1974) (judicial estoppel applied only “where the party was successful in its initial reliance and tried to change positions in subsequent litigation”)).
cited Cited as authority (rule) Symetra Life Ins. Co. v. Admin Sys. Research Co.
6th Cir. · 2022 · confidence medium
Co., 690 F.2d 595, 598-99 (6th Cir. 1982).
cited Cited as authority (rule) Hughes v. Duncan
M.D. Tenn. · 2022 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982).
cited Cited as authority (rule) Jensen, Madison Jody the Estate of v. Duchesne County
D. Utah · 2022 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)). 128 Id. at 751. 129 Id. at 755. 130 Johnson v. Lindon City Corp., 405 F.3d 1065, 1070 (10th Cir. 2005). 131 Ordonez v. Canyons Sch.
cited Cited as authority (rule) Taylor v. Bristol-Myers Squibb Company, Inc.
E.D. Ky. · 2022 · confidence medium
Co., 690 F.2d 595, 600 (6th Cir. 1982).
discussed Cited as authority (rule) Gillispie v. Miami Township (2×)
S.D. Ohio · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982).
cited Cited as authority (rule) Israel v. Advance Auto Parts, Inc.
M.D. Fla. · 2022 · confidence medium
Co., 690 F.2d 595, 599 (6th Cir. 1982)).
discussed Cited as authority (rule) McClurg v. Dallas Jones Enterprises Inc (2×)
W.D. Ky. · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)).
cited Cited as authority (rule) AMERICAN SOUTHERN HOMES HOLDINGS LLC v. ERICKSON
M.D. Ga. · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)).
cited Cited as authority (rule) Donald Middlebrooks v. Tony Parker
6th Cir. · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982).
cited Cited as authority (rule) Pipes v. United States
Fed. Cl. · 2022 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982))).
discussed Cited as authority (rule) Kimmel's Coal and Packaging, Inc.
Bankr. M.D. Penn. · 2021 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982) and United States v. Mccaskey, 9 F.3d 368, 378 (5th Cir. 1993)). response to the Motion to Compel affirming that it "will provide replacement collateral for such portion of the mining permits transferred to Rausch Creek under the [APA] and Sale Order and the replacement collateral requested by the PA DEP." Rausch Creek Answer at 2, ECF No. 381 (e mphasis added).
cited Cited as authority (rule) Coleman v. Morris-Shea Bridge Company Inc
N.D. Ala. · 2021 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)).
discussed Cited as authority (rule) Antonio Terrell and Angel Marie Terrell
Bankr. E.D. Wis. · 2021 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982); United States v. McCaskey, 9 F. 3d 368, 378 (5th Cir. 1993)). [T]hree factors typically inform a court as to whether to apply the doctrine: (1) “a party’s later position must be clearly inconsistent with its earlier position”; (2) “the party has succeeded in persuading a court to accept that party’s earlier position, so that judicial acceptance of an inconsistent opposition in a later proceeding would create the perception that either the first or second court was misled”; and (3) “the party seeking to assert an inconsistent position would …
examined Cited as authority (rule) Johns v. CR Bard (3×) also: Cited "see, e.g."
S.D. Ohio · 2021 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982).
cited Cited as authority (rule) Cook v. United Parcel Service, Inc.
W.D.N.C. · 2021 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)).
discussed Cited as authority (rule) BIRR v. HAMPTON (2×)
Okla. Civ. App. · 2021 · confidence medium
Co. , 690 F.2d 595, 598 (6th Cir. 1982); U.S. v. McCaskey , 9 F.3d 368, 378 (5th Cir. 1993)). ¶10 The Court of Civil Appeals considered a factually similar case in Something More, LLC v. Weatherford News , 2013 OK CIV APP 85, 310 P.3d 1106.
cited Cited as authority (rule) Watermark Senior Living Retimrement Communities, Inc. v. Morrison Management Specialists, Inc.
E.D. Mich. · 2020 · confidence medium
Co., 690 F.2d 595, 598 (6th Cir. 1982)) (internal quotation marks omitted).
Retrieving the full opinion text from the archive…
William EDWARDS, Plaintiff-Appellant,
v.
AETNA LIFE INSURANCE COMPANY, Defendant-Appellee
80-1665.
Court of Appeals for the Sixth Circuit.
Oct 18, 1982.
690 F.2d 595
Gary Krochmal, Southfield, Mich., for plaintiff-appellant., John Stevens, Dickinson, Wright, McKean, Cudlip & Moon, Kathleen Lewis, Detroit, Mich., for defendant-appellee.
Edwards, Kennedy, Cele-Brezze.
Cited by 405 opinions  |  Published
2 passages pin-cited by 2 cases
Pinpoint authority: bottom 88%
Citer courts: D.C. Circuit (1) · W.D. Michigan (1)
Reporter's Syllabus — editorial summary, not part of the Court's opinion

Gary Krochmal, Southfield, Mich., for plaintiff-appellant.

John Stevens, Dickinson, Wright, McKean, Cudlip & Moon, Kathleen Lewis, Detroit, Mich., for defendant-appellee.

Before EDWARDS, Chief Circuit Judge, KENNEDY, Circuit Judge, and CELEBREZZE, Senior Circuit Judge.

CELEBREZZE, Senior Circuit Judge.

Lead Opinion

[*597] CELEBREZZE, Senior Circuit Judge.

William Edwards appeals from the district court’s order granting Aetna Life Insurance Company’s motion for summary judgment. The district court held that the doctrine of judicial estoppel precludes Edwards from proving that he is entitled to receive disability benefits from Aetna. We reverse because we believe that Edwards should be permitted to prove his right to benefits.

The facts are not disputed. Edwards began working for the Chrysler Corporation in 1964. From June, 1965 until May, 1967, he served with the armed forces, spending part of that time in Vietnam. Upon his discharge, Edwards returned to Chrysler and worked until 1970 when he was no longer able to work because of an illness that was diagnosed as tuberculosis. Edwards returned to Chrysler in 1972 and worked there until November, 1973, when he apparently became too ill to continue working.

In April, 1970, Edwards applied for disability benefits from the Veterans Administration pursuant to 38 U.S.C. Sec. 310, which allows compensation to be paid to those veterans who suffer a “disability resulting from personal injury suffered or disease contracted in [the] line of duty.” Although Edwards could not establish that his illness was contracted in the line of duty, he was able to obtain disability benefits from the Veterans’ Administration by relying upon a rebuttable presumption that “active tuberculosis disease developing ... within three years from the date of separation from such service” was contracted while the applicant was a member of the armed forces. 38 U.S.C. Sec. 312. Thus, Edwards was able to obtain benefits by proving that he contracted tuberculosis within three years of leaving the service.[1] The Veterans’ Administration concluded that Edwards was entitled to benefits under 38 U.S.C. Sec. 310 and awarded him disability benefits. Apparently, Edwards never made an unequivocal assertion that he contracted tuberculosis as a result of his service in the armed forces.[2]

In February, 1971, Edwards applied to Aetna for extended disability benefits and submitted to Aetna a notice of claim. He asserted that Aetna was required to pay him disability benefits pursuant to Aetna’s group insurance policy issued as part of Chrysler’s benefit package. In his application for benefits, Edwards indicated that he was receiving disability benefits pursuant to 38 U.S.C. Sec. 310. Aetna concluded that Edwards was not entitled to benefits, relying on the exclusion clause contained in the group policy:

“Section 2. Extended Disability Benefit
C. Exclusions, Limitations and Other Provisions Relating to The Benefits Provided by This Section
No insurance is afforded under this section:
as to extended disability which is caused or contributed to by, or is a consequence of, pregnancy or resulting childbirth, miscarriage, or abortion; or
as to an extended disability which is the result of service in the military (land, water or air) forces or any national or subdivision thereof; provided, however, that the terms of this item (b) shall not apply to any period of extended disability which begins after the Employee has been in the employ of a Participant Employer for at least ten years following his separation from service in such military forces or unless the Employee is at work on or after October 1, 1975.”

[*598] Consequently, Edwards filed a complaint against Aetna in the district court, seeking to obtain disability benefits under the policy. Both parties stipulated the facts necessary for decision and filed cross-motions for summary judgment. The district court granted Aetna’s motion for summary judgment and later denied Edwards’ motion for rehearing.

The issue before us is whether the doctrine of judicial estoppel should be applied in a subsequent proceeding when a party has previously asserted an inconsistent position in an uncontested, non-judicial, administrative proceeding.[3] Aetna asserts that Edwards, by applying for and receiving benefits pursuant to Sec. 310, has effectively asserted that his disability is service connected. Consequently, Aetna argues that Edwards should be estopped from assuming the position in this litigation that his disability did not result from his service in the armed forces. We reject Aetna’s argument because we believe that the policies upon which the rule is based and the precedent in this circuit do not permit the application of judicial estoppel in the context presented here.[4]

The policies supporting judicial estoppel are different from those that support the more common doctrines of issue preclusion, equitable and collateral estoppel. Courts apply equitable estoppel to prevent a party from contradicting a position taken in a prior judicial proceeding. See, e.g., Davis v. Wakelee, 156 U.S. 680, 689, 15 S.Ct. 555, 558, 39 L.Ed. 578 (1895). Equitable estoppel enables a party to avoid litigating, in the second proceeding, claims which are plainly inconsistent with those litigated in the first proceeding. Because the doctrine is intended to ensure fair dealing between the parties, the courts will apply the doctrine only if the party asserting the estoppel was a party in the prior proceeding and if that party has detrimentally relied upon his opponent’s prior position. See Id. at 689-90, 15 S.Ct. at 558. Collateral estoppel prevents relitigation of factual matters that were fully considered and decided in a prior proceeding. Thus, collateral estoppel operates to prevent repetitive litigation. Tipler v. E. I. du Pont de Nemours and Co., 443 F.2d 125, 128 (6th Cir. 1971).

The doctrine of judicial estoppel applies to a party who has successfully and unequivocally asserted a position in a prior proceeding; he is estopped from asserting an inconsistent position in a subsequent proceeding. Smith v. Montgomery Ward & Co., 388 F.2d 291, 292 (6th Cir. 1968). See City of Kingsport v. Steel & Roof Structure, Inc., 500 F.2d 617, 620 (6th Cir. 1974) (success in prior proceeding necessary). Unlike equitable estoppel, judicial estoppel may be applied even if detrimental reliance or privity does not exist. See Konstantinidis v. Chen, 200 D.C.App. 69, 626 F.2d 933, 937 (1980). This distinction reflects the difference in the policies served by the two rules. Equitable estoppel protects litigants from less than scrupulous opponents. Judicial estoppel, however, is intended to protect the integrity of the judicial process. Allen v. Zurich Ins. Co., 667 F.2d 1162, 1166 (4th Cir. 1982); Konstantinidis v. Chen, 626 F.2d at 937; Scarano v. Central R. Co., 203 F.2d 510, 512-13 (3rd Cir. 1953) (“such use' of inconsistent positions would most fla[*599] grantly exemplify that playing ‘fast and loose with the courts’ which has been emphasized as an evil the court should not tolerate.”) The essential function of judicial estoppel is to prevent intentional inconsistency; the object of the rule is to protect the judiciary, as an institution, from the perversion of judicial machinery. See Allen v. Zurich Ins. Co., 667 F.2d at 1167; Konstantinidis v. Chen, 626 F.2d at 939. Collateral estoppel is essentially a finality rule, which serves to conserve judicial resources by precluding the litigation of issues previously decided. Judicial estoppel addresses the incongruity of allowing a party to assert a position in one tribunal and the opposite in another tribunal. If the second tribunal adopted the party’s inconsistent position, then at least one court has probably been misled. See Konstantinidis v. Chen, 626 F.2d at 938.

In light of the policies underpinning judicial estoppel, the rule can not be applied in a subsequent proceeding unless a party has successfully asserted an inconsistent position in a prior proceeding. City of Kingsport v. Steel & Roof Structures, Inc., 500 F.2d at 620 (judicial estoppel applied only “where the party was successful in its initial reliance and tried to change positions in subsequent litigation”); Konstantinidis v. Chen, 626 F.2d at 939. See also Wright, Miller & Cooper, 18 Fed.Practice and Proc. Sec. 4477, p. 779. If the initial proceeding results in settlement, the position cannot be viewed as having been successfully asserted. City of Kingsport, 500 F.2d at 620; Konstantinidis, 626 F.2d at 939 (“a settlement neither requires nor implies any judicial endorsement of either parties claims or theories, and thus, a settlement does not provide the prior success necessary for judicial estoppel”). The requirement that the position be successfully asserted means that the party must have been successful in getting the first court to accept the position.[5] Absent judicial acceptance of the inconsistent position, application of the rule is unwarranted because no risk of inconsistent results exists. Thus, the integrity of the judicial process is unaffected; the perception that either the first or the second court was misled is not present. Kingsport, 500 F.2d at 620; Konstantinidis v. Chen, 626 F.2d at 939.

We believe that Edwards did not successfully assert an inconsistent position in the previous proceeding before the Veterans’ Administration. Aetna asserts that Edwards’ application amounted to an assertion that his disability was service connected and, thus, that he should be barred from asserting the contrary in this litigation. Although the proceeding before the Veterans’ Administration was an adversary proceeding and Edwards did obtain the relief he sought from that agency, we believe that the relief was the result of the settlement of a contested claim.

An application for benefits must be filed with the administrator of the Veterans Administration. 38 U.S.C. Sec. 3001. The administrator, in order to ascertain the validity of a particular claim, may investigate the validity of the claim. 38 U.S.C. Sec. 3311; 38 C.F.R. Sec. 3.103(c). If the administrator determines that the claimant is not entitled to benefits, the claimant may seek administrative review of this decision by the board of veterans’ appeals, a quasi-judicial body within the Veterans’ Administration. See 38 U.S.C. Sec. 4004; 38 CFR Sec. 19.3. Review on appeal is de novo; witnesses are heard, 38 C.F.R. Sec. 19.135, and evidence may be submitted, 38 C.F.R. Sec. 19.141.

These proceedings, both before the administrator and before the board of veterans’ appeals, are adversary in nature. If the claimant is not entitled to benefits, then the administrator must deny the application in order to conserve the agency’s resources. Cf. 38 C.F.R. Sec. 1.451 and Secs. 1.900 et seq. Because the relationship between Edwards arid the Veterans’ Administration is essentially adversary, we view the administrator’s decision to pay Edwards’ claim, without resorting to a full adversary proceeding before the Board of Veterans’ Ap[*600] peals, as a decision to settle Edwards’ claim. The administrator has chosen to pay Edwards his claim because pursuing the claim through the administrative process was not warranted. Such a settlement makes application of judicial estoppel inappropriate. Kingsport, 500 F.2d at 620; Konstantinidis, 626 F.2d at 939.

Accordingly, we believe that Edwards should not be prevented from going forward in this action. Edwards was not successful in having a judicial body adopt .his initial position. Whatever factual or legal dispute existed between Edwards and the Veteran’s Administration was settled without resort to litigation. The law of this circuit and the policies underlying judicial estoppel lead us to conclude that such an administrative settlement does not amount to a judicial or quasi-judicial endorsement of Edwards’ initial position that his disability was service connected. Absent such an endorsement, judicial estoppel cannot be applied because the requisite success in the initial assertion of the inconsistent position is not present.[6] Kingsport, 500 F.2d at 620.

The order granting Aetna summary judgment is reversed, and the case is remanded for proceedings not inconsistent with this opinion.

1

The presumption created by Sec. 312 is of great advantage to a claimant such as Edwards. For example, a person may prove that his disease is service connected by submitting an x-ray negative, taken within three years of discharge from the service, which contains evidence of active pulmonary tuberculosis. 38 C.F.R. Sec. 3.371(a)(1) (1981).

2

Edwards has argued that he made no assertions before the Veterans Administration which are inconsistent with his position in this litigation and, thus, that he should not be estopped from proceeding against Aetna. See generally note 1, supra. We do not reach this issue because we have concluded that judicial estoppel is not applicable in this context.

3

We note that the question presented is not whether judicial estoppel is applicable when the initial assertion is made in an administrative proceeding. In Smith v. Montgomery Ward & Co., 388 F.2d 291, 292 (6th Cir. 1968), this court held that the assertion of a position in a contested, workmen’s compensation proceeding estopped that party from assuming an inconsistent position in a subsequent personal injury action.

4

Although this is a diversity case, we believe that federal, rather than state, principles provide the rule of decision in this case. Allen v. Zurich Ins. Co., 667 F.2d 1162, 1167 n.4 (4th Cir. 1982). Judicial estoppel is a rule designed to protect the integrity of judicial institutions. The question primarily concerns federal interests, and, consequently, federal courts must be free to develop principles that most adequately serve their institutional interests. Allen v. Zurich Ins. Co., 667 F.2d at 1167 n.4 See Byrd v. Blue Ridge Rural Electric Co-op., 356 U.S. 525, 535-39, 78 S.Ct. 893, 899-901, 2 L.Ed.2d 953 (1958). See also 18 Wright, Miller & Cooper, Fed.Practice and Procedure, Sec. 4477, p. 787.

5

A party need not finally prevail on the merits in the first proceeding. Rather, judicial acceptance means only that the first court has adopted the position urged by the party, either as a preliminary matter or as part of a final disposition.

6

Edwards also asserts that this court should enter summary judgment in his favor, arguing that no issue of material fact remains because Aetna has failed to introduce any medical evidence that indicates that Edwards is not disabled or that his condition is the result of his service in the armed forces. We believe, however, that the record before us indicates that several issues of material fact remain, and thus we may not enter summary judgment on behalf of Edwards. Fed.R.Civ.P. 56(c).

Concurrence in Part

CORNELIA G. KENNEDY, Circuit Judge,

concurring in part and dissenting in part.

I concur in all of the majority’s opinion except that portion which holds that the proceeding before the administrator which resulted in the award of benefits was a settlement of Edwards’ claim. The majority states that “[t]he administrator has chosen to pay Edwards his claim because pursuing the claim through the administrative process was not warranted.” At 599-600. I see the payment of Edwards’ claim as a considered decision that he was entitled to the benefits claimed. I would extend the doctrine of judicial estoppel to formal claim adjudications by governmental agencies of the type involved here whether they acted after a hearing or without a hearing because one was not found to be necessary.

The statute requires that those seeking disability benefits file a claim in the form prescribed by the administrator of the Veterans Administration. The regulations provide that:

(a) Authority is delegated to the Chief Benefits Director and to supervisory or adjudicative personnel within the jurisdiction of the Department of Veterans Benefits designated by him to make findings and decisions under the applicable laws, regulations, precedents, and instructions, as to entitlement of claimants to benefits under all laws administered by the Veterans Administration governing the payment of monetary benefits to veterans and their dependents, within the jurisdiction of Compensation and Pension Service.

38 C.F.R. § 3.100. The decision to award or deny benefits must be based on evidence submitted in accordance with the regulations (38 C.F.R. § 3.103) which require that evidence be under oath. 38 C.F.R. § 3.200. There are time limits on the submission of evidence. 38 C.F.R. § 3.109. The regulations provide for hearings at the request of a claimant. 38 C.F.R. § 3.103(c). The award when made is final unless it is amended in accordance with the regulations, or is appealed to the Board of Veteran Appeals in accordance with the regulations. 38 C.F.R. § 19.153. Further, although additional evidence may be offered on appeal, the appeal is decided on the entire record including the evidence submitted to the administrator. 38 C.F.R. § 19.142. The procedures are as elaborate as those of many courts. Although the person awarding benefits is not titled an administrative law judge but an adjudication officer, the functions performed are not dissimilar. The claims award procedure[*601] is sufficiently analogous to quasi-judicial administrative proceedings that it should be accorded the deference of judicial estoppel.

Had the same award been made by the appellate body, the majority would apply judicial estoppel. However, it was not necessary for the appellate body of the Veterans Administration to pass on Edwards’ claim because Edwards was successful in having his position adopted at the lower administrative level. In the case of courts no distinction is made between a final unappealed determination of a trial court and that of an appellate court. Had a hearing been held at the request of the claimant even at this administrative level the majority would presumably find that judicial estoppel was appropriate. I see no reason for applying different standards to the initial administrative decision depending upon whether or not a hearing is held where the decision is surrounded by the extensive regulation and formality accorded here. In either event an official body passed on the merits of Edwards’ claim, resolving it in Edwards’ favor on a basis inconsistent with that urged by Edwards in this Court.

Accordingly, I would affirm the judgment of the District Court.