Lead Opinion
When a jury in Illinois returns a verdict of not guilty by reason of insanity, the criminal court commits the defendant for a mental examination. 730 ILCS 5/5-2-4(a). If after receiving the results of this examination the judge decides that the person is mentally ill and dangerous, the judge must order the person confined “in a secure setting”. Ibid. “Such defendants placed in a secure setting shall not be permitted outside the facility’s housing unit unless escorted”. Ibid. Notwithstanding this command, a court may permit a confined person to move freely on and off thе facility’s grounds. Every 60 days the director of the mental health facility “shall file a treatment plan with the court.... Such plan may ... include unsupervised on-grounds privileges, off-grounds privileges (with or without escort ...), home visits and participation in work programs”. 730 ILCS 5/5-2-4(b).
Wayne Nelson and Anthony Manos were found not guilty by reason of insanity. Nelson had been charged with murder, Manos with attempted murder. Each was found mentally ill and dangerous, ordered confined “in a secure setting”, and sent to the Elgin Mental Health Center. On the recommendation of a treatment plan, both received passes for on- and off-grounds travel. In December 1988 the criminal court approved a treatment plan that permitted Nelson to move on-grounds from one activity to another, and to leave the grounds on supervised travel twice a month (but not to visit his home). In January 1988 the criminal court approved a treatment plan that gave Manos similar on-grounds privileges, and in September 1989 the court granted Manos’s motion for supervised off-grоunds travel (but he, too, was not to visit his home).
In May 1990 two persons confined at Elgin escaped while traveling on off-grounds passes. William Murphy, then the director at Elgin, concluded that security needed improvement. He canceled all off-grounds passes and curtailed unescorted movement within the grounds while the facility constructed a fence. Treatment plans duly filed with the criminal court described this change. Neither Nelson nor Manos complained to the state court — although other inmates did, and some of them obtained judicial relief. Instead, in December 1990 Nelson and Manos filed suit in federal court under 42 U.S.C. § 1983, contending that the reduction of their privileges violated the due process clause because it was a response to a breach of security rather than an outgrowth of an individual evaluation. See Youngberg v. Romeo,
Plaintiffs believe that the due process clause forbids any decisions applicable across the board to all inmates. They sought in-
“As soon as practicable after the commencement of an action brought as a class action, the court shall determine by order whether it is to be so maintained.” Fed.R.Civ.P. 23(c)(1). This case was active on the district court’s docket for three years and four months, but despite two motions for class certification and full briefing by the parties the court never decided whether it could be maintained аs a class action. The court did not give a reason for this inaction, and we do not perceive one. Prompt decision one way or the other is imperative not only so that the parties know whose interests are at issue but also so that representative plaintiffs with five claims may be substituted. For a properly certified class action survives the mootness of the original representative’s claims, while an individual action must be dismissed in identical circumstances. Compare Sosna v. Iowa,
The district court abstained under the principles of Burford v. Sun Oil Co.,
Plaintiffs see this as proof that Bur-ford cannot apply. No agency, no Burford abstention. This oversimplifies matters. Five years ago the Court recapitulated the Burford doctrine:
Where timely and adequate state-court review is available, a federal court sitting in equity must decline to interfere with the proceedings or orders of state administrative agencies: (1) when there are “difficult questions of state law bearing on policy рroblems of substantial public import whose importance transcends the result in the case then at bar”; or (2) where the*501 “exercise of federal review of the question in a ease and in similar eases would be disruptive of state efforts to establish a coherent policy with respect to a matter of substantial public concern.”
New Orleans Public Service, Inc. v. New Orleans,
Still, it is hard to fit this dispute within Burford. Its outcome does not depend on the answer to some unsettled issue of state law. And far from using a single agency or specialized court to “establish a coherent policy with respect to a matter of substantial public concern”, Illinois has divided respоnsibility among the many criminal courts throughout the state. A decade ago, when a state judge issued an injunction governing the handling of escape risks at mental institutions, the Supreme Court of Illinois reversed on the ground that each judge supervising a person in custody after an insanity acquittal is entitled to consider the subject independently. People v. Roush,
In the district court defendants relied not only on Burford but also on Younger v. Harris,
Illinois requires the criminal court to supervise the confinement of persons found not guilty by reason of insanity. Both Nelson and Manos were active litigants in state court. As we have recounted, Nelson was especially active; he sought and obtained an order releasing him from confinement altogether in 1993. Every 60 days the staff of Elgin filed a new treatment plan with the court for each plaintiff. These plans recounted the limitations on pаsses. Either plaintiff could have opposed the implementation of the new plan on constitutional grounds — or on the ground that the change in the pass policy violated the orders approving earlier treatment plans and thus constituted contempt of court. No one doubts that the state courts had jurisdiction to consider the precise constitutional claims that have been raised in this litigation. The cases pending in the courts of Illinois are continuations of the original criminal prosecutions, and preserving a state’s right to litigate criminal eases in its own courts is the core of the Younger doctrine. Instead of presenting objections to the treatment plans, plaintiffs filed an independent suit in federal court. Their briefs imply that they made this choice because they were dissatisfied with the relief that state courts had afforded to other inmates at Elgin. But the limited relief may reflect not any restrictions on the state tribu
There are exceptions to the Younger principle, but plaintiffs do not contend that any is applicable; they rest with the district court’s conclusion that by not seeking an explicit injunction against the state court’s role they have avoided Younger, and that conclusion is incorrect. Plaintiffs’ litigation strategy creates another potential argument. Bеcause they have been released, plaintiffs are not now litigants in active criminal proceedings; the staff at Elgin does not file new treatment plans, and there is no state forum in which plaintiffs may litigate their defenses to the details of these plans. But the Supreme Court long ago held that parties may not avoid Younger by withholding defenses from the state proceeding and commencing the federal suit as soon as the state case ends. Huffman v. Pursue, Ltd.,
“Federal post-trial intervention, in a fashion designed to annul the result of a state trial, ... deprives the States of a function which quite legitimately is left to them, that of overseeing trial court dispositions of constitutional issues which arise in civil litigation over which they have jurisdiction.” Id. at 609,
Heck v. Humphrey, — U.S. -,
We know from Deakins v. Monahan,
Affirmed.
Concurrence Opinion
concurring in part and dissenting in part.
This is in some respects a puzzling case, but I believe we must start with first principles. It is a grave matter to shut the federal courthouse doors in the face of litigants who present claims over which there is federal jurisdiction. Abstention is “an extraordinary and narrow exception” permissible only in “rare” cases and then only on grounds clearly recognized as adequate by the Supreme Court. Allegheny County v. Mashuda,
In the matter before us I think that the district court made bad law out of what may be a hard case. The majority, in an effort to devise a pоlicy for what is at least an unusual case, makes equally bad law. It would require a stretch far beyond any recognized principles to see this as a case for Burford abstention and the majority correctly addresses this issue. But, in so doing, it provides an expansive interpretation of Younger which would authorize closing the courthouse doors almost at will.
There are several reasons why Younger has no application here. First, this is not a case of a federal court attempting to enjoin a state proceeding. See Trust & Investment Advisors, Inc.,
Second, there are no ongoing or pending state proceedings to be interfered with here. Under Illinois law, the Department of Mental Health (Department) is required to file a treatment plan for each NGRI inmate with the state court every 60 days. That рlan, if the Department so chooses, can recommend that an inmate be given on- or off-grounds passes. If the court approves the treatment plan, then the Department may allow the inmates to use their passes. Both plaintiffs in this case had passes originally, but after
The majority implies that the plaintiffs have litigated this issue and others relating to their confinement in state court, with plaintiff Manos being so active that he eventually obtained his release. But the Magistrate Judge’s findings of fact say that it was the Department which submitted a plan that “restored” the new passes to the plaintiffs and which suggested the release of plaintiff Manos. In other words, the plaintiffs were not actively litigating this issue; rather the status quo of the Department’s suggesting treatment plans and the court’s approving them simply continued. The Department decided what to suggest as treatment, and it was the Department which decided to remove passes without individual review, the Department which decided that when it reintroduced passes they would be much more restrictive and the Department which decided not to suggest any more less-restrictive passes. The plаintiffs are challenging the Department’s decision to do away with their court-approved (and less-restrictive) passes, not a decision by the state courts. Their reason for going to federal court may simply reflect a concern that the state courts may too routinely approve the recommendations of Department employees.
It is true that the state courts retain jurisdiction of the inmates at Elgin and must reapprove treatment plans every 60 days. The Department retains some discretion in implementing the plans. It is also true that the Department may not be able to exercise its discretion should the court order it to provide all the privileges approved in the plan. But the fact that there may be a state remedy in existence but not invoked is certainly not grounds for Younger or any other species of abstention. Not infrequently, federal and state courts may have jurisdiction to address similar problems but, unless federal measures disrupt on-going state proceedings, there are generally no grounds for abstention.
Abstention is for the rare case, and this case surely fits into the federal § 1983 jurisprudence. We have also decided - similar eases brought by Elgin inmates in this court in the past, and saw no reason to abstain then. For example, in Johnson v. Brelje,
I do not therefore agree that Younger abstention applies, and I respectfully dissent.
Before CUDAHY, ESCHBACH, and EASTERBROOK, Circuit Judges.
Lead Opinion
ON PETITION FOR REHEARING
One of the arguments in the petition for rehearing leads us to elaborate on our initial
The petition for rehearing asserts that “damage claims against the State of Illinois аnd its employees can only be maintained in the Illinois Court of Claims.” The assertion is wrong. That court possesses exclusive jurisdiction of all claims against the state itself, 705 ILCS 505/8, but not of claims against state employees. Illinois deems some suits against employees to be suits against the state, and therefore to come within the Court of Claims’ exclusive jurisdiction, but the Supreme Court of Illinois makes the same distinction as the Supreme Court of the United States did in Ex parte Young,
The petition for rehearing is denied. No judge in active service has called for a vote on the suggestion of rehearing en bаnc, which is rejected.
Dissenting Opinion
dissenting.
I dissented in the main case, Nelson v. Murphy,
