Lead Opinion
This сase presents interesting questions concerning the abstention doctrine first outlined by the Supreme Court in Younger v. Harris,
FACTS
The named plaintiffs filed this action on October 28,1977. They sought to represent a class of indigent fathers who were under state court orders to pay alimony and child support. The plaintiffs claimed that the state juvenile court judges in Memphis and Shelby County, Tennessee routinely denied basic due process rights in civil contempt proceedings to indigent fathers who were behind in their support payments.
The plaintiffs sought declaratory and injunctive relief to ensure that the juvеnile court followed basic due process. The plaintiffs also sought a declaration that every father cited for contempt had a right to an appointed attorney if he could not afford one.
I.
Younger v. Harris advanced the proposition that absent extraordinary circumstances, a federal court cannot enjoin a pending criminal trial in a state court.
The Supreme Court has not yet extended Younger to all situations where a civil proceeding is pending in state court. Howеver, the Court has applied Younger in various civil contexts. Thus, in Huffman v. Pursue, Ltd.,
Although factually unique, Huffman did extend Younger restraint principles to civil cases in which important state concerns were present. Thus, in Moore v. Sims,
From these cases, it appears that whether the state is a party to pending or completed civil proceedings is a key factor in determining whethеr to apply Younger’s policy of restraint. However, important state interests may be present even if the state is not a party to the state court proceedings. In Juidice v. Vail,
We followed these principles in Kenner v. Morris,
In this case, the plaintiffs seek relief affecting state civil contempt proceedings in domestic relations support cases. It is true that no underlying criminal proceedings are present. However, the state’s interest in preserving the integrity of its contempt proceedings, Juidice, supra, as well as its domestic relations cases, Kenner, supra, requires us to analyze this case under Younger.
II.
The plaintiffs argue that Younger does not apply because they are not seeking any federal relief which might impinge on a pending state proceeding. In their complaint, the plaintiffs state that they have been subjected to summary incarceration in the past; however, they do not seek to relitigate anything that happened in the past. Rather, they seek prospective relief to insure that they are accorded due process in future contempt proceedings should they be again charged with failure to make court-ordered support payments.
We must agree with the plaintiffs’ contentions, so far as they go. Younger restraint applies when there is a pending
Wooley v. Maynard,
This case is similar to Wooley. As in Wooley, the plaintiffs have been subjected to past state court actions which are fully terminated. As in Wooley, the plaintiffs here do not seek to relitigate what occurred
Unfortunately for the plaintiffs, there is one significant difference between this case and Wooley. Wooley presented a case where the plaintiff alleged that a state statute was unconstitutional as applied to him. The plaintiffs in this case do not challenge any state statute. Rather, they allege a pattern of unconstitutional practices in civil contempt proceedings in the state Juvenile Court in Memphis. The question is whether we should extend Younger and its principles of comity and federalism to bar relief solely because of possible undue interference with the conduct of state proceedings.
III.
There exists much tension between Younger’s endorsement of “longstanding public policy against federal court interference with state court proceedings,” and the notion that federal courts exist to fearlessly protect constitutional rights. In the classic Younger scenario, this tension is resolved by deferring to pending state proceedings. After all, the federal court will probably see the constitutional issue later on in a habeas corpus proceeding, or, as in Wooley, in a prospective declaratory relief action. Thus, for practical purposes, Younger postpones, but does not eliminate, federal review of constitutional questions.
Since there is no pending state proceeding, this case does not present a classic Younger scenario. Instead, this case presents an analogous problem of federal interference with state court practices. In two cases, the Supreme Court has extended Younger principles to bar intrusive federal relief over state procedures. For reasons outlined below, we find these cases controlling here.
A.
The first case we examine is Rizzo v. Goode,
The Supreme Court concluded that the district court had gone too far. The Court cited several reasons for this conclusion. First, the named defendants had nothing to do with the actual police misconduct on the street. At best, the city officials who were sued had failed to act when confronted with citizens’ claims of police misconduct. Rizzo, supra, at 371-73,
The Court’s brief discussion of federalism in Rizzo did not suggest that a federal court lacked the authority to order a local police department or similar agency to reform its procedures.
When the state agency in question is a state court, however, the equitable restraint considerations appear to be nearly absolute. At least that is the way we interpret O’Shea v. Littleton,
In O’Shea, a class of plaintiffs sued the local state prosecutors and judges, claiming selective enforcement and administration of the criminal law. Specifically, the plaintiffs alleged that the defendant county magistrate and judge were regularly violating their rights in three respects: 1) setting bond in criminal cases based on an arbitrary schedule without regard to individual fact situations; 2) discriminatorily sentencing them to longer and harsher sentences; 3) unlawfully requiring plaintiffs to pay for jury trials in local criminal proceedings. The plaintiffs claimed that the reasоn for the discriminatory administration of justice was that they were (mostly) black and had been conducting peaceful protest and economic boycott activities in the area.
The Supreme Court found that the complaint failed to state a cause of action. First, the Court did not think that the plaintiffs’ allegations presented a sufficiently concrete dispute and showing of injury to make up an actual case or controversy.
The Court’s rationale for this latter holding was squarely based on Younger federalism principles.
The Court rejected the possibility of such federal relief as “intrusive and unworkable.” QId. The Court noted that a federal order would require ongoing federal supervision of how the state judges acted in numerous criminal cases. There even existed the possibility of contemрt proceedings against the state judges. The Court equated this intrusion with the injunction against pending state proceedings which Younger prohibits. The Court pointed out that other, less intrusive avenues of relief were available: appeal within the state system, federal habeas corpus relief, federal criminal prosecution of state judges.
The Court’s ruling in O’Shea is significant because the Court was dealing with a complaint which had been dismissed under F.R.Civ.Pro. 12(b)(6).
B.
We find O’Shea controlling. The relief which the plaintiffs seek in this case would necessarily require monitoring of the manner in which the state juvenile judges conducted contempt hearings in non-support cases. In O'Shea, the plaintiffs attacked bail and sentencing practices and the practices of requiring state court defendants to pay for jury trials. Here, the plaintiffs attack the state judges’ alleged failure to let defendants conduct a defense or have the assistance of appointed counsel. We see no legal distinction between these claims for purposes of this case. The federal interference with the state proceedings would be as serious here as it was feared to be in O'Shea.
Plaintiffs claim that all they are asking for in this lawsuit is a fair hearing when they are hauled into court on contempt charges for non-support. They anаlogize the relief they seek to that sought in Gerstein v. Pugh,
We do not believe that Gerstein controls here. First, Gerstein dealt with an issue which was collateral to a pending criminal proceeding. Second, the question raised in Gerstein was whether the plaintiffs had a right to have a hearing. The very existence of a hearing right was at issue. Third, the hearing right issue could not be raised in any pending state proceeding.
In this case, the question is not whether the plaintiffs have a right to a hearing in civil contempt cases. No one disputes that they have that right. Rather, the plaintiffs claim that the Juvenile Court judges, in practice, do not accord indigent fathers minimum due process in contempt proceedings. In other words, plaintiffs are objecting to the manner in which the contempt hearings are conductеd. Finally, such claims can clearly be raised in the contempt hearings themselves and dealt with by Tennessee’s appellate courts, if necessary.
We recognize that there are fine distinctions in this area. The critical questions are whether the issue raised is collateral to the principal state proceeding and whether state court relief is available.
However, we cannot regard the contempt proceedings in issue here as collateral to another pending proceeding, as was the case in Gerstein, supra, and Flynt, supra. It is true that contempt proceedings are in a general sense “collateral” to a court’s child support or alimony decree. However, such рroceedings are the state mechanism used to enforce such decrees just as criminal proceedings are the state mechanism used to enforce the criminal law. See Trainor v. Hernandez, supra at 446 n. 9,
Moreover, there is no clear statute or court rule governing civil contempt proceedings in Tennessee.
We note, however, that federal relief is not foreclosed forever. Should the Tennessee appellate courts be unable or unwilling to correct continuing unconstitutional conduct by the Juvenile Court judges, plaintiffs would then be in a position of showing “exceptional circumstances” which would warrant federal injunctive relief.
A federal court can enjoin unconstitutional behavior by a state administrative official or law enforcement officer. Even in the absence of a pending state proceeding, however, a federal court cannot grant relief regarding unconstitutional practices which occur at a state trial. The proper remedy is appeal and/or habeas corpus in individual cases. For better or for worse, the Supreme Court has decreed that constitutional violations in state trial settings must be first handled within the state system. That is the effective command of O'Shea and we must follow it.
Judge Bailey Brown was correct in dismissing the complaint.
Affirmed.
Notes
. Although non-support is a misdemeanor in Tennessee, T.C.A. §§ 39-202-06, this case concerns civil contempt proceedings used to enforce child support and alimony orders.
. The right to appointed counsel in civil contempt proceedings is unsettled. Courts have uniformly recognized the right to appointed counsel in situations where a person faces imprisonment for refusing to testify before a grand jury or refusing to comply with an Internal Revenue summons. United States v. Anderson,
However, сourts are divided on the issue of whether an indigent spouse has a right to appointed counsel in civil contempt proceedings for failure to pay child support or alimony. Henkel v. Bradshaw,
. Examples of “extraordinary circumstances” are bad faith and harassing prosecutions. Younger v. Harris,
. See Judge Merritt’s excellent discussion of Younger in Flynt v. Leis,
. This was what happened in Younger and its companion cases, Samuels v. Mackell,
. In Trainor, the state claimed that a man and wife had fraudulently collected public assistance. Instead of filing criminal charges, however, the state filed a civil suit to recoup the allegedly wrongfully obtained benefits. Although the state was proceeding civilly, like any other party, the Court thought that the underlying cause of action was of significant interest to it.
. Other cases have applied Younger principles when dealing with domestic relations matters. Williams v. Williams,
. Future contempt proceedings are likely, plaintiffs say, because they are indigent and cannot afford to make any support payments.
. At least this was true as of the date of oral argument.
. As indicated in n. 5, supra, in Samuels v. Mackell, the Court barred federal declaratory relief where there was a pending state criminal proceeding. Although declaratory relief is less intrusive than an injunction, the Court thought that a federal declaratory judgment would interfere greatly with the pending state proceeding. Thus, under Younger and Samuels, a federal court may not issue either a declaratory judgment or an injunction where there are pending state court proceedings.
. A significant problem is presented by the requirement that there be an actual case or controversy for the federal court to consider. Ordinarily, if criminal prosecution is threatened there exists the requisite controversy, e. g., Doran v. Salem Inn, Inc.,
In O’Shea v. Littleton, supra at 493-99,
Although the issue is not raised on appeal, the existence of an actual case or controversy in this case is open to question. Unlike O’Shea, the complaint in this case does allege numerous instances of wrongful conduct by the Memphis Juvenile Court Judges. Like O’Shea, however, the complaint assumes that the plaintiffs will be charged and hauled into court in the future where they will be subject to the allegedly unconstitutional practices charged.
In O’Shea, the plaintiffs claimed that they were likely to be prosecuted because they were engaged in a controversial protest and boycott movement. The Supreme Court said that this was not enough since it presupposed that the plaintiffs would violate the law. In this case, however, the plaintiffs claim that they cannot afford to make support payments and thus are likely to face future contempt proceedings. We agree that the plaintiffs’ specific allegations of poverty and past jailing for non-support are sufficient to create an actual case or controversy.
. Ordinarily, a court would enter declaratory relief. The Court concluded, however, that in light of past prosecutions, formal injunctive relief wаs appropriate Wooley v. Maynard,
. In Allee v. Medrano,
. See n. 11, supra.
. In their brief, plaintiffs refer to this part of the Court’s opinion in O’Shea as dicta. They are incorrect. The Court’s determination that no equitable relief could issue was an alternative holding. True, Mr. Justice Blackmun thought that the Court was issuing an unnecessary advisory opinion on this issue.
. The Court pointed out that although immune from civil suit, state judges can be criminally prosecuted under 18 U.S.C. § 242 for willfully depriving a citizen of his constitutional rights. O’Shea, supra,
. It is, of course, hornbook law that a complaint cannot be dismissed under this provision unless a plaintiff could advance no set of facts which would entitle him to relief. Conley v. Gibson,
. It is true that unlike O’Shea, the state proceedings in question here arе civil and not criminal. For reasons outlined in part I, supra, we do not find this distinction to be significant.
. Determining whether this criteria is met is not easy. In State of N.J. v. Chesimard,
. In Flynt, there was no provision under Ohio law for a hearing or any formal adjudication when a state trial judge denied pro hac vice admission to out-of-state lawyers. Out-of-state attorneys who were denied pro hac vice privileges brought a federal suit, but only after they had unsuccessfully sought relief in state court. This court affirmed an injunction halting a pending state criminal trial until the two lawyers were told why they had been denied pro hac vice admission. This court thought that the attorneys had enough of a property interest in being employed to warrant immediate relief. The Supreme Court disagreed and reversed, concluding that the attorneys’ employment interests did not deserve constitutional protection. We note that this court and the Supreme Court reservеd the issue of whether failure to allow pro hac vice admission without any type of a hearing might violate the client’s Sixth Amendment Right to Counsel. Consideration of that issue was barred by Younger v. Harris since it could be raised in the pending criminal prosecution.
. T.C.A. § 37-257 gives Tennessee’s Juvenile Courts the same power to imprison for contempt which is possessed by other Tennessee Courts. In addition, T.C.A. § 36-231 specifically allows imprisonment for contempt in bastardy or paternity cases; see also T.C.A. §§ 23-901-905. However, we have not been cited to any statute or court rule which outlines the procedure to be followed in civil contempt cases. See generally Ellis, The Contempt Powers of Tennessee Courts, 37 Tenn.L.Rev. 538 (1970).
. Our conclusion that federal relief cannot be granted at this time is in accord with other courts which have considered similar questions. See Henkel v. Bradshaw,
. Tennessee has long held judgments imposing a fine or sentence for contempt to be appealable, at least so long as the contempt was not committed in the court’s presence: Robinson v. Air Draulics,
In addition to a right of direct appeal, Tennessee offers a litigant relief via what it terms a writ of certiorari. The writ is available whenever an inferior tribunal is “acting illegally” or exceeding its jurisdiction. T.C.A. § 27-801. See also, T.C.A. § 27-802. This writ appears to be analogous to the writ of mandamus used in the federal system.
. See Cleaver v. Wilcox,
. Ordinarily, the doctrine of exhaustion of administrative or state remedies applies when federal habeas corpus relief is sought. 28 U.S.C. § 2254(d); Preiser v. Rodriguez,
. We commend appellants’ attorneys for their very good brief and oral argument.
Concurrence Opinion
concurring.
I agree with the result reached by the Court and with the conclusion that the abstention doctrine of Younger v. Harris is applicable. I disagree, however, that the doctrine of Younger v. Harris should be applied where the plaintiff does not seek to enjoin a pending state case. The existence of a pending state case is a crucial part of the Younger abstention doctrine. Here it seems to me that the relief sought would affect pending state cases. It would affect all those cases now pending before the defendant judges involving contempt proceedings against fathers who have allegedly failed to pay required alimony or child support.
