800 N.E.2d 392 | Ohio Ct. App. | 2003
Lead Opinion
[EDITORS' NOTE: THIS PAGE CONTAINS HEADNOTES. HEADNOTES ARE NOT AN OFFICIAL PRODUCT OF THE COURT, THEREFORE THEY ARE NOT DISPLAYED.] *247
The Protest and the Pleas
{¶ 2} The Thorp appellants were students at Earlham College in Richmond, Indiana. On Saturday, November 18, 2000, they traveled to Cincinnati and took *248 part in a protest against the Trans-Atlantic Business Dialogue, a meeting of executives of international corporations that had convened in Cincinnati to discuss international trade. During the protest, they were arrested for disorderly conduct and confined in the Hamilton County Justice Center. On Monday morning, Strigari learned that protesters, some charged with felonies and some with misdemeanors, were detained for arraignment in the lockup on the sixth floor of the county courthouse.
{¶ 3} About an hour before their arraignments, Strigari and two assistant public defenders met with the detainees in the lockup. The Thorp appellants' complaint against Strigari for legal malpractice stated that "* * * Strigari informed [them] that he had worked out a plea agreement with the Judge and that if all of the group pleaded no contest, the sentence would consist of time already served prior to trial * * * [but] * * * it was an `all or nothing deal.'" At the arraignment, Strigari appeared as counsel for the Thorp appellants. Each entered a no-contest plea to the offense of disorderly conduct, a fourth-degree misdemeanor. The municipal court judge found each guilty and imposed a sentence of credit for time served and no fine, and remitted the court costs.
The Post-Trial Motion to Vacate the Pleas
{¶ 4} Almost three months later, the Thorp appellants filed motions to withdraw their no-contest pleas. They alleged that Strigari had given them insufficient information to enter their pleas knowingly and intelligently. They further maintained that Strigari had coerced them into pleading no contest. At the hearing on the motions, the municipal court judge who had convicted them of disorderly conduct, after listening to their statements, determined that their pleas had been knowingly and voluntarily entered and denied the motions to withdraw the pleas. They appealed and this court affirmed the judgments. See State v. Tyson (Oct. 17, 2001), 1st Dist. Nos. C-010224, C-010225, C-010226, and C-010227.
The Thorp Appellants' Legal Malpractice Claims
{¶ 5} On October 11, 2002, the Thorp appellants sued Strigari for unspecified damages caused by his negligent and reckless representation and for other relief "as is just and necessary." They did not sue the Hamilton County Public Defender's Office or the county commissioners. "To state a cause of action for legal malpractice arising from criminal representation, a plaintiff must allege (1) an attorney-client relationship giving rise to a duty, (2) a breach of that duty, and (3) damages proximately caused by the breach." Krahn v. Kinney (1989),
{¶ 6} The Thorp appellants alleged in their complaint that Strigari had breached his duties (1) to inform them of the conflicts and potential conflicts of representing them as a group; (2) to investigate each of their cases; (3) to separately evaluate each case; (4) to advise each Thorp appellant in confidence of the merits, options and possible consequences of her case; and (5) to present them with more than one choice.
{¶ 7} Strigari moved for summary judgment on the Thorp appellants' legal malpractice claims, attaching various materials including his affidavit. Strigari argued that, as an employee of a political subdivision, he was immune from suit pursuant to R.C.
{¶ 8} Yet the transcript of the hearing to vacate the pleas reveals that the municipal court judge found that the Thorp appellants' no-contest pleas had been knowingly and voluntarily entered, which was at odds with a claim for damages caused by legal negligence. The Thorp appellants testified that Strigari "had worked a deal" with the judge. In his affidavit, Strigari denied any sort of negotiated plea. Although the transcript of the Thorpe appellants' plea and sentence was not filed, at the hearing on their motion to vacate their pleas, the municipal court judge made no mention of a negotiated plea. The transcript of the hearing suggests that the municipal court judge chose the sentence because he "felt some compassion" for them. Sara Thorp's own statement to the trial court was antithetical to her contention that Strigari's negligence had caused their claimed injuries. She told the trial court at the hearing on the motion that "all of the women entered a plea of `no contest' as theonly way to protect ill and threatened members of our group, and without having all the information we rightfully deserved." (Emphasis added).
{¶ 9} On February 26, 2003, the trial court granted Strigari's motion for summary judgment on the basis of immunity and entered judgment in his favor against the Thorp appellants. This appeal followed.
De Novo Review Under Civ.R. 56
{¶ 10} We review the granting of summary judgment de novo. See Doev. Shaffer,
{¶ 11} When, as here, the party moving for summary judgment discharges its initial burden of identifying the absence of a genuine issue of material fact on the essential elements of the nonmoving party's claims and demonstrates that it is otherwise entitled to judgment as a matter of law, the nonmoving party has the reciprocal burden of producing evidence on the issues for which it bears the burden of production at trial. See Civ.R. 56(C); Dresher v. Burt,
{¶ 12} We note that the Thorp appellants did not seek declaratory relief in the trial court pursuant to R.C. Chapter 2721. Instead, they first raised the equal-protection issue in one paragraph of their complaint in anticipation of Strigari's motion for summary judgment, and then fully argued the matter in their memorandum in opposition to Strigari's motion. We have recently held that "there is no rule of general applicability requiring a party to serve the Attorney General with notice in order to vest the trial court * * * with jurisdiction to declare a statute unconstitutional." In re Cameron,
What Level of Scrutiny Applies to the Thorp Appellants' Claims?
{¶ 13} In the resolution of a motion for summary judgment, the substantive law governing the claims or defenses at issue identifies which factual disputes are material and whether the moving party is entitled to judgment as a matter of law. See Gross v. Western-SouthernLife Ins. Co. (1993),
{¶ 14} They assert that R.C. Chapter 2744 deprives them of the equal protection of the law guaranteed by Section
{¶ 15} In determining whether a legislative enactment violates the Equal Protection Clauses of the federal and Ohio constitutions, this court applies different levels of scrutiny to different types of restrictions. See Andreyko v. Cincinnati at ¶ 13; see, also, Statev. Williams,
{¶ 16} Thus the Thorp appellants urge this court to recognize that the immunity statute "impinges upon the fundamental rights * * * to effective representation" in a criminal case. Appellants' Brief at 7. Without citation to any authority, they maintain that they cannot protect their constitutional right to the effective assistance of counsel without the ability to sue their counsel for malpractice. The right to sue is necessary, they claim, as "the only means" that defendants have to maintain standards of professional competency among employee attorneys and to provide redress for defendants injured by their counsel's *252 negligence. Id at 8. They also note that persons deprived of other constitutionally protected rights have "a corollary right of enforcement by means of a civil action" pursuant to Section 1983, Title 42, U.S. Code. Id. But the Thorp appellants have confused the fundamental right to counsel with one of the several means available to enforce that right.
{¶ 17} Their right to the effective assistance of counsel supplied to them at no cost is undisputed. See Gideon v. Wainwright (1962),
{¶ 18} There is a presumption that the right to appointed counsel "exist[s] only where the litigant may lose his physical liberty if he loses the litigation." Lassiter v. Dept. of Social Services (1981),
{¶ 19} Neither is a malpractice lawsuit the only means to vindicate the right to effective representation by counsel. Deviations from the professional standards by attorney employees may be remedied, as for any other officer of the court, by a disciplinary action brought pursuant to Gov.Bar R. V. The specter of disciplinary proceedings, like the threat of monetary loss, is a considerable incentive for counsel to provide adequate representation.
{¶ 20} As the Thorp appellants note, a wrongful conviction caused by the ineffective assistance of counsel is the greatest harm to befall a criminal defendant. A negligence lawsuit is not, however, the only remedy for this harm. It *253
may be addressed and a wrongful conviction overturned by post-trial motion, on direct appeal, or in a collateral attack on the conviction brought in a petition for postconviction relief or in a state or federal habeas corpus action. See R.C.
{¶ 21} A criminal accused may seek monetary damages for deprivations of other fundamental or enumerated constitutional rights, particularly those secured by the
{¶ 22} The Thorp appellants' second constitutional argument is more easily resolved. Section
{¶ 23} The Ohio Supreme Court has held that R.C.
{¶ 24} Therefore, the state is free to place reasonable regulation on the right to bring a legal negligence suit against attorney employees of the Public Defender's Office. As there is no fundamental right to sue for legal malpractice, we apply the less stringent rational-relation test to the Thorp appellants' claims.
The Rational-Relation Test
{¶ 25} In Andreyko v. Cincinnati at ¶ 13, we said that "[w]here neither a fundamental constitutional right nor a suspect classification is at issue, a legislative distinction between two groups need only be created in such a manner as to bear a rational relationship to a legitimate governmental interest. * * * A legislative decision to treat two groups differently is constitutionally infirm only where it is `based solely on reasons totally unrelated to the pursuit of the State's goals and only if no grounds can be conceived to justify them.' * * * In making this determination, a reviewing court must grant substantial deference to the economic judgment of the legislative entity." (Citations omitted.)
{¶ 26} R.C. Chapter 2744 was enacted to preserve the fiscal resources and the financial integrity of political subdivisions. SeeWilson v. Stark Cty. Dept. of Human Servs. (1994),
{¶ 27} In Dziubak v. Mott (Minn. 1993),
{¶ 28} Those courts that have rejected immunity for public defenders have done so on the broad principle that regardless of whether the government compensates the public defender, his duty to the client as an advocate does not differ from that of privately retained counsel. See, e.g., Spring v. Constantino (1975),
{¶ 29} Here, however, the Thorp appellants have a heavy burden of demonstrating that the legislative immunity granted to public defenders is irrational. See Andreyko v. Cincinnati at ¶ 14. They must negate every conceivable basis for immunity, including the economic justifications, to sustain their equal-protection challenge. See id. They did not provide the trial court with any statistical, financial, or historical evidence questioning the fiscal-integrity basis for public defender immunity. The Thorp appellants have failed to sustain their burden of establishing that the immunity granted to public defenders by R.C. Chapter 2744 is not rationally related to the legitimate government interest in fiscal resources and the political subdivision's ability to deliver legal representation to indigent persons charged with state criminal offenses in compliance with Gideon. Therefore, Strigari was entitled to raise the statutory-immunity defenses of R.C. Chapter 2744.
Application of the Sovereign-Immunity Test of R.C. Chapter 2744
{¶ 30} We must next determine if Strigari was entitled to immunity from the claims of the Thorp appellants. The Thorp appellants did not sue the Hamilton County Public Defender's Office or the county commissioners. They did not sue Strigari in his role as a policymaker for the Public Defender's Office, but rather in his capacity as an attorney representing them in a criminal prosecution — an attorney employee of the office. Therefore, the three-tiered analysis we employed inEngleman v. Cincinnati Bd. of Edn. (June 22, 2001), 1st Dist. No. C-000597, to determine the liability or immunity of a political subdivision does not apply to this case. See Fabrey v. McDonald Police *256 Dept.,
{¶ 31} When a plaintiff sues an individual employee of a political subdivision, the analysis begins with R.C.
{¶ 32} Strigari is an employee of a political subdivision and thus is immune from suit for acts within his official duties unless one of the enumerated exceptions applies. See Cook v. Cincinnati (1995),
{¶ 33} Here, construing the facts most strongly in the Thorp appellants' favor, we hold that there is no evidence that Strigari acted manifestly outside the scope of his employment. The Thorpe appellants also alleged in their complaint that Strigari's conduct was "reckless" as well as negligent. Even under the notice pleading requirements of Civ.R. 8(A), a negligence claim is not converted to one of reckless conduct on a mere allegation in the complaint without evidence of a substantially greater risk than negligence. "[M]ere negligence is not converted into wanton misconduct unless the evidence establishes a disposition to perversity on the part of the tortfeasor." Fabrey v. McDonald PoliceDept.,
{¶ 34} Here, the evidence reflects only that Strigari, along with several other public defenders, visited the Thorp appellants in the lockup before their arraignment, interviewed the group of defendants present, gave them legal advice based *257 upon his twenty-five years of experience, and accompanied them to the municipal court to act as counsel if requested. The record fails to demonstrate any evidence that Strigari acted with the requisite ill will or disregard necessary to sustain a recklessness claim. Other than the use of the word "reckless" in their complaint, nothing in the record suggests that the Thorp appellants' allegations were anything more than a negligence claim. Where the record does not contain evidence that the employee acted with malicious purpose, in bad faith, or in a wanton or reckless manner, the trial court correctly granted summary judgment.
Conclusion
{¶ 35} Because R.C.
Judgment affirmed.
Doan, P.J., concurs Painter, J., concurs separately.
Concurrence Opinion
{¶ 36} I concur in Judge Gorman's well-reasoned opinion. The conclusions are required by the state of the law as handed down to us by the legislature and the Ohio Supreme Court.
{¶ 37} But I continue to believe that governmental immunity in the United States is simply one big legal mistake — based on the English model of "the king can do no wrong."3 We have no king. And we should not make the government king, and thus not liable for its transgressions against individual rights.
{¶ 38} As to this case, we do not know if there was any malpractice the case never got that far because of the immunity. But it is odd that a person with money, who can hire an attorney, has a remedy if the attorney errs, but a poor person has none. Alas, the way of the world; but in this case mandated by the legislature.