Facts
- Donald G. McLain was injured on August 5, 2022, in a workplace incident that ultimately led to his death on September 27, 2022, due to complications from his injuries. [lines="90-111"]
- Following McLain's death, his son, Lucas McLain, filed applications for death benefits and accrued compensation with the Bureau of Workers’ Compensation (BWC) but initially did not list any dependents. [lines="115-118"]
- The BWC granted funeral expenses but subsequently denied the motion for loss-of-use compensation, stating that the estate could not receive benefits not awarded during McLain's lifetime. [lines="124-125"], [lines="220-222"]
- A claim for loss-of-use benefits was then filed on behalf of McLain’s estate, which was also denied due to a lack of dependents at the time of his death. [lines="218-229"]
- McLain’s mandamus complaint was filed on September 1, 2023, using his name despite his death and without any motion for substitution of parties. [lines="263-264】
Issues
- Whether Donald McLain had standing to bring a mandamus action regarding loss-of-use compensation after his death, given that he was no longer living when the action was initiated. [lines="36-38"]
- Whether the application of R.C. 4123.60 allows for a deceased individual themselves to initiate a claim for benefits related to their injuries and death. [lines="42-44"]
Holdings
- The court held that McLain lacked standing to maintain the mandamus action because he was deceased at the time of the suit, which rendered him unable to be directly benefited or injured by the litigation. [lines="50-51"]
- The court clarified that R.C. 4123.60 does not provide a deceased individual the right to initiate a claim for such awards, reinforcing the dismissal of the action. [lines="48-49"]
OPINION
TATI ABU KING; TONI HEATH JOHNSON v. GLENN YOUNGKIN, in his official capacity as Governor of the Commonwealth of Virginia; KELLY GEE, in her official capacity as Secretary of the Commonwealth of Virginia; JOHN O‘BANNON, in his official capacity as Chairman of the State Board of Elections for the Commonwealth of Virginia; ROSALYN R. DANCE, in her official capacity as Vice Chair of the State Board of Elections for the Commonwealth of Virginia; GEORGIA ALVIS-LONG, in her official capacity as Secretary of the State Board of Elections for the Commonwealth of Virginia; DONALD W. MERRICKS, in his official capacity as a member of the State Board of Elections for the Commonwealth of Virginia; MATTHEW WEINSTEIN, in his official capacity as a member of the State Board of Elections for the Commonwealth of Virginia; SUSAN BEALS, in her official capacity as Commissioner of the Department of Elections for the Commonwealth of Virginia; ERIC SPICER, in his official capacity as the General Registrar of Fairfax County, Virginia; and SHANNON WILLIAMS, in her official capacity as the General Registrar of Smyth County, Virginia
No. 24-1265
United States Court of Appeals for the Fourth Circuit
December 5, 2024
PUBLISHED
Decided: December 5, 2024
Before NIEMEYER, GREGORY, and HEYTENS, Circuit Judges.
Affirmed in part and reversed in part by published opinion. Judge Heytens wrote the opinion, which Judge Niemeyer and Judge Gregory joined.
ARGUED: Kevin Michael Gallagher, OFFICE OF THE ATTORNEY GENERAL OF VIRGINIA, Richmond, Virginia, for Appellants. Brittany Blueitt Amadi, WILMER CUTLER PICKERING HALE AND DORR LLP, Washington, D.C., for Appellees. ON BRIEF: Jason S. Miyares, Attorney General, Erika L. Maley, Solicitor General, OFFICE OF THE ATTORNEY GENERAL OF VIRGINIA, Richmond, Virginia; Charles J. Cooper, Haley N. Proctor, John D. Ramer, COOPER & KIRK, PLLC, Washington, D.C., for Appellants. Vishal Agraharkar, Eden Heilman, ACLU FOUNDATION OF VIRGINIA, Richmond, Virginia; Jared Fletcher Davidson, New Orleans, Louisiana, Benjamin L. Berwick, PROTECT DEMOCRACY PROJECT, Watertown, Massachusetts; L. Alyssa Chen, Washington, D.C., Robert Kingsley Smith, Jason H. Liss, Robert Donoghue, Boston, Massachusetts, Nicholas Werle, Matthew Wollin, WILMER CUTLER PICKERING HALE AND DORR LLP, New York, New York, for Appellees.
Under Ex parte Young, 209 U.S. 123 (1908), suits that would otherwise be barred by a State‘s sovereign immunity may proceed when a plaintiff seeks forward-looking relief to halt an ongoing violation of federal law. The plaintiffs here claim the felon disenfranchisement provision in Virgina‘s constitution conflicts with federal law, and they seek an injunction preventing various state officials from enforcing that provision against them. We hold that the portion of the plaintiffs’ complaint that is before us meets the requirements of the Ex parte Young doctrine and that the district court correctly declined to dismiss it based on sovereign immunity. But we also conclude that two of the 10 defendants—the Governor of Virginia and the Secretary of the Commonwealth—must be dismissed because they lack enforcement responsibility for the challenged state action. We thus affirm the district court‘s order in part and reverse it in part.
I.
Plaintiffs Tati Abu King and Toni Heath Johnson cannot register to vote in Virginia because the state constitution forbids them from doing so. In 2018, King was convicted of felony drug possession. In 2021, Johnson was convicted of several felonies, including drug possession, drug distribution, and child endangerment. These convictions triggered a provision of Virginia‘s constitution that says “[n]o person who has been convicted of a felony shall be qualified to vote unless his civil rights have been restored by the Governor or other appropriate authority.”
King and Johnson claim their inability to register to vote violates the Virginia Readmission Act, an 1870 federal statute that allowed the Commonwealth to regain its
[T]he Constitution of Virginia shall never be so amended or changed as to deprive any citizen or class of citizens of the United States of the right to vote who are entitled to vote by the Constitution herein recognized, except as a punishment for such crimes as are now felonies at common law, whereof they shall have been duly convicted under laws equally applicable to all the inhabitants of said State.
In 2023, King, Johnson, and two other plaintiffs who are not before us sued eight election officials, the Governor of Virginia, and the Secretary of the Commonwealth (collectively, defendants) in federal district court. Among other relief, the complaint seeks an injunction barring the defendants “from enforcing” the Commonwealth‘s felony disenfranchisement rule against people “convicted of crimes that were not felonies at common law when the Virginia Readmission Act was enacted.” JA 64-65.
The defendants moved to dismiss the complaint, asserting—as relevant here—that sovereign immunity bars this suit. The district court dismissed three of the complaint‘s four counts for failure to state a claim on which relief can be granted. But the court rejected the defendants’ sovereign immunity argument, permitting one count based on the Virginia Readmission Act to go forward.
II.
The Eleventh Amendment and the broader principles of federalism it reflects generally prevent private parties from suing a State without its consent. See, e.g., Hans v. Louisiana, 134 U.S. 1, 10 (1890). In addition, “suits against state officials in their official capacity” are “treated as suits against the State” and are barred by sovereign immunity to the extent they seek monetary relief. Hafer v. Melo, 502 U.S. 21, 25 (1991). “But there is also a well-settled corollary—associated with Ex parte Young—that allows suits for declaratory or injunctive relief against state officers in their official capacities.” Gibbons v. Gibbs, 99 F.4th 211, 214 (4th Cir. 2024) (quotation marks removed). This appeal turns on whether King‘s and Johnson‘s claim based on the Virginia Readmission Act falls within the Ex parte Young doctrine.
On first view, the answer appears easy. The Supreme Court has said: “In determining whether the doctrine of Ex parte Young avoids an Eleventh Amendment bar to suit, a court need only conduct a straightforward inquiry into whether the complaint alleges an ongoing violation of federal law and seeks relief properly characterized as prospective.” Verizon Md., Inc. v. Public Serv. Comm‘n of Md., 535 U.S. 635, 645 (2002) (alterations and quotation marks removed). The relevant count alleges that the defendants are violating
The defendants insist matters are not so simple, offering three reasons why they are all immune from suit. Like the district court, we are unpersuaded.
A.
The defendants’ lead argument is that the Ex parte Young doctrine is inapplicable because King and Johnson have not brought a type of suit to which that doctrine applies. The defendants maintain that an Ex parte Young action is permitted in two and only two circumstances: those where plaintiffs seek either (1) “to enjoin state officials from violating their individual federal rights” or (2) “an anti-suit injunction to prevent the state officials from bringing an action to enforce a preempted state law against them.” Appellants’ Br. 17. The defendants argue this case falls within neither bucket because “the Virginia Readmission Act does not create any individual federal rights” and “the State is not threatening to sue anyone.”
We disagree. As the defendants conceded at oral argument, neither the Supreme Court nor this one has ever held that the Ex parte Young doctrine is so limited. See Oral Arg. 2:13-:49; see also Antrican v. Odom, 290 F.3d 178, 185-86, 190-91 (4th Cir. 2002) (permitting an action seeking to require defendants to comply with a provision of the Medicaid Act to proceed under Ex parte Young without asking whether the defendants were violating any of the plaintiffs’ individual rights).
Even if the defendants were right about the limits of Ex parte Young, King and Johnson also seek protection from a threatened enforcement action. The complaint alleges they wish to vote and would register and vote in future elections if permitted to do so. But
The defendants respond that any threatened enforcement of state law against King or Johnson is insufficiently “imminent” to support an Ex parte Young action. Appellants’ Br. 13; see Oral Arg. 4:46-6:10. That argument sounds more in justiciability (whether ripeness or standing) than sovereign immunity. See generally City of Los Angeles v. Lyons, 461 U.S. 95 (1983); Poe v. Ullman, 367 U.S. 497 (1961). What is more, this Court has repeatedly rejected the claim that the Ex parte Young doctrine contains its own imminency requirement. Rather, “[t]he requirement that the violation of federal law be ongoing is satisfied when a state officer‘s enforcement of an allegedly unconstitutional state law is threatened, even if the threat is not yet imminent.” McBurney v. Cuccinelli, 616 F.3d 393, 399 (4th Cir. 2010) (quotation marks removed; emphasis added). Where, as here, “an individual claims federal law immunizes him from state regulation, the court may issue an injunction upon finding the state regulatory actions preempted.” Armstrong v. Exceptional Child Ctr., 575 U.S. 320, 326 (2015). No more is required.
B.
The defendants also argue they are protected by sovereign immunity because King and Johnson seek to enforce Virginia‘s 1869 constitution rather than federal law. Once again, we disagree.
The defendants are right that Ex parte Young is “inapplicable in a suit against state officials on the basis of state law.” Pennhurst State Sch. & Hosp. v. Halderman, 465 U.S. 89, 106 (1984). The Ex parte Young doctrine springs from the need “to permit federal courts to vindicate federal rights and hold state officials responsible to the supreme authority of the United States.” Id. at 105 (quotation marks removed). For that reason, “the entire basis for” allowing suit “disappears” when a plaintiff seeks to have a federal court “instruct[] state officials on how to conform their conduct to state law” rather than federal law. Id. at 106.
But we conclude King and Johnson are seeking to enforce federal law, not state law. The legal rule they ask the district court to vindicate is that the defendants may not bar them from registering to vote based on convictions for “crimes that were not felonies at common law when the Virginia Readmission Act was enacted.” JA 59. If that rule exists, it comes from federal law—not state law.
The defendants assert that Virginia‘s 1869 constitution already “disenfranchised all felons,” and thus insist King and Johnson fall outside the “class of citizens of the United States ... who [were] entitled to vote” under that constitution within the meaning of the Virginia Readmission Act. Appellants’ Br. 9. But that is an argument about the merits of King‘s and Johnson‘s claim, not sovereign immunity. And just as it is important not to
The possibility that the district court may (or may not) need to resolve certain questions about the history of Virginia state law to resolve King‘s and Johnson‘s claim does not change matters. Many sources of federal law—including the Due Process Clause, the Takings Clause, and
We also could not accept the defendants’ Pennhurst argument without creating a circuit split. In Williams v. Reeves, the Fifth Circuit confronted a similar challenge to a state
C.
The defendants’ last argument for why they are all immune from suit is that Congress has foreclosed equitable enforcement of the Virginia Readmission Act and thus relief under the Ex parte Young doctrine. As defendants correctly point out, “[t]he power of federal courts of equity to enjoin unlawful executive action is subject to express and implied statutory limitations.” Armstrong, 575 U.S. at 328. We conclude, however, that the Virginia Readmission Act creates no such limitations.2
The defendants rely almost exclusively on the Supreme Court‘s decision in Armstrong v. Exceptional Child Center, Inc., 575 U.S. 320 (2015). In that case, the Court held private plaintiffs could not use Ex parte Young to seek an injunction requiring Idaho
The Armstrong Court gave two reasons for its conclusion. First, Section 30(A) contained its own “remedy ... for a State‘s failure to comply with” the relevant requirements—specifically, “withholding of Medicaid funds by the Secretary of Health and Human Services.” Armstrong, 575 U.S. at 328. As the Court explained, the “express provision of one method of enforcing” Section 30(A) “suggest[ed] that Congress intended to preclude others.” Id. (quotation marks removed).
Second, even though “[t]he provision for the Secretary‘s enforcement by withholding funds might not, by itself” have “preclude[d] the availability of equitable relief,” the Court concluded it did so “when combined with the judicially unadministrable nature of § 30(A)‘s text.” Armstrong, 575 U.S. at 328. The Court found it “difficult to imagine a requirement broader and less specific than § 30(A)‘s mandate that state plans provide for payments” that are “consistent with efficiency, economy, and quality of care,” while “safeguarding against unnecessary utilization of care and services.” Id. (alterations and quotation marks removed). In the Court‘s view, “[e]xplicitly conferring enforcement of th[at] judgment-laden standard upon the Secretary alone” showed “Congress wanted to make the agency remedy that it provided exclusive.” Id. (quotation marks removed).
This situation differs in every material respect. For one thing, the Virginia Readmission Act has no clear enforcement mechanism—much less a “sole” or “express” one. Armstrong, 575 U.S. at 328 (quotation marks removed). The defendants insist the Act implicitly provides for enforcement by expulsion of Virginia‘s delegation from Congress because it conditioned Virginia‘s readmission to Congress on compliance with the Act‘s
We also see no basis for concluding the Virginia Readmission Act lacks judicially manageable standards. The Act forbids the Commonwealth from amending its state constitution “to deprive any citizen or class of citizens of the United States of the right to vote who are entitled to vote by the Constitution herein recognized, except as a punishment for such crimes as are now felonies at common law.”
The defendants protest that “[n]o court could resolve [King‘s and Johnson‘s] claims without expressing a lack of respect due to Congress‘s eligibility judgment.” Appellants’ Reply Br. 20. But that argument is simply a bootstrap because it rests on the assumption that the defendants are right that Congress has reserved for itself the primary (or even sole) power to monitor the Commonwealth‘s ongoing compliance with the Virginia Readmission Act. And “it goes without saying that interpreting congressional legislation is a recurring and accepted task for the federal courts.” Japan Whaling Ass‘n v. American Cetacean Soc‘y, 478 U.S. 221, 230 (1986). We thus conclude the district court did not err in declining to dismiss the complaint‘s remaining count as barred by sovereign immunity.
III.
We reach a different conclusion, however, about two defendants—the Governor of Virginia and the Secretary of the Commonwealth. As explained above, the point of the Ex parte Young doctrine is to permit federal courts to vindicate the supremacy of federal law by ordering state officials to stop participating in ongoing violations of that law. The ongoing violation King and Johnson allege is the refusal to permit them to register to vote. But under Virginia law, the governor and the secretary do not administer the rules restricting voter eligibility—the other defendants do. See
For a state officer to be sued under the Ex parte Young doctrine, “[g]eneral authority to enforce the laws of the state is not sufficient.” Waste Mgmt. Holdings, Inc. v. Gilmore, 252 F.3d 316, 331 (4th Cir. 2001) (quotation marks removed). Instead, a court “must find a special relation between the officer being sued and the challenged” government action. McBurney v. Cucinelli, 616 F.3d 393, 399 (4th Cir. 2010) (quotation marks removed). A “special relation” requires both “proximity to and responsibility for the challenged state action.” Id. “Without this enforcement duty, the officer is merely a representative of the State who cannot be sued because allowing such a suit would essentially make the State a party.” Doyle v. Hogan, 1 F.4th 249, 254 (4th Cir. 2021) (quotation marks removed).
True, the governor and the secretary have significant responsibility in deciding whether people who have lost the right to vote because of a felony conviction should have that right restored. See
King and Johnson nonetheless contend the governor has a special relationship with their disenfranchisement because his restoration power is mentioned in the same section of the current constitution that renders them ineligible to vote. But this Court has never recognized a “special relationship” via textual proximity or a related powers theory of Ex parte Young, and we decline to do so today. The constitutional provision that King and Johnson cite makes clear that neither the governor nor the secretary has any role in deciding who to disenfranchise or in executing that disenfranchisement. Instead, the process is categorical: Every person “who has been convicted of a felony” is automatically rendered ineligible to vote without any action from the governor or the secretary.
Finally, King and Johnson assert that keeping the governor and secretary as parties may be necessary to afford them full relief if they prevail. But King and Johnson never explain why this is so. Indeed, they admitted at oral argument that their alleged injuries would be addressed if the other officials sued here ceased their current process of removing those with felony convictions from the voter rolls and permitted them to register and vote.
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We express no opinion about which side has the better argument about the meaning of the Virginia Readmission Act or whether King and Johnson will ultimately be able to prove their case. We also express no view about any aspects of the district court‘s opinion that are not properly before us as part of this interlocutory appeal. We hold only that the district court: (1) correctly refused to dismiss the one remaining count of King‘s and Johnson‘s complaint based on sovereign immunity; but (2) should have dismissed the Governor of Virginia and the Secretary of the Commonwealth. The district court‘s order is thus affirmed in part and reversed in part.
SO ORDERED
AUTHENTICATED U.S. GOVERNMENT INFORMATION GPO
