Duncan v. State
Full Opinion (html_with_citations)
At its core, this case involves a claim that the named plaintiffs, along with members of the certified class, i.e., present and future indigent defendants subject to felony prosecutions in the trial courts of Berrien, Genesee, and Muskegon counties, have
In Docket No. 278652, defendants appeal as of right the trial courtâs order denying under MCR 2.116(C)(7) their motion for summary disposition based on governmental immunity. In Docket No. 278858, defendants appeal by leave granted the trial courtâs order denying their motion for summary disposition on numerous theories, including various justiciability doctrines. Finally, in Docket No. 278860, defendants appeal by leave granted the trial courtâs order granting class certification. The appeals were consolidated.
We affirm, holding that defendants are not shielded by governmental immunity, that defendants are proper parties, that the trial court, not the Court of Claims, has jurisdiction, and that the trial court has jurisdiction and
We preface our opinion by observing that the role of the judiciary in our tripartite system of government entails, in part, interpreting constitutional language, applying constitutional requirements to the given facts in a case, safeguarding constitutional rights, and halting unconstitutional conduct. For state and federal constitutional provisions to have any meaning, we may and must engage in this role even where litigation encompasses conduct by the executive and legislative branches. We cannot accept the proposition that the constitutional rights of our citizens, even those accused of crimes and too poor to afford counsel, are not deserving and worthy of any protection by the judiciary in a situation where the executive and legislative branches fail to comply with constitutional mandates and abdicate their constitutional responsibilities, either intentionally or neglectfully. If not by the courts, then by whom? We are not ruling that a constitutional failure has in fact occurred here, but it has been alleged and needs to be judicially addressed. This, however, does not mean that we may set public policy, make political judgments, or demand that more efficient or desirable means be utilized by the political branches in carrying out their constitutional obligations. But if a chosen path taken by the executive and legislative branches in an effort to satisfy their constitutional obligations alleg
I. THE COMPLAINT
In a highly detailed complaint, plaintiffs allege that the indigent defense systems now in place in Berrien,
The complaint proceeds to provide specific instances of alleged deficient and inadequate performances by various court-appointed attorneys with respect to the eight named indigent plaintiffs. As an overview, these alleged instances include: counsel speaking with plaintiffs, for the first time, in holding cells for mere minutes before scheduled preliminary examinations while in full hearing range of other inmates; counsel advising plaintiffs to waive preliminary examinations without meaningful discussions of case-relevant matters; counsel
With respect to all the named plaintiffs, as well as all those persons fitting within the class, the complaint alleges that the inadequacies and ineffectiveness of counsel in handling indigent cases ultimately result from failures by the state and the Governor to adequately provide funding and fiscal and administrative oversight. According to plaintiffs, it is the failures by the state and the Governor that have caused, are causing, and will continue to cause a denial of constitutionally adequate legal representation within the systems employed by the counties. Count I of the complaint, which pertains only to the Governor, alleges a Sixth Amendment violation of the right to effective or adequate representation and seeks declaratory and injunctive relief for the constitutional violation under 42 USC 1983. Count II of the complaint, which also pertains only to the Governor, alleges a Fourteenth Amendment violation of the right to due process and seeks declaratory and injunctive relief for the constitutional
In the prayer for relief, plaintiffs seek a court declaration that defendantsâ conduct, failure to act, and practices are unconstitutional and unlawful, consistent with the four alleged counts, and plaintiffs seek to enjoin defendants from subjecting class members to continuing unconstitutional practices. Plaintiffs also request an order requiring defendants âto provide indigent defense programs and representation consistent with the requirements of the United States and Michigan Constitutions.â
II. CLASS certification and summary disposition
Pursuant to MCR 3.501(B), plaintiffs moved for class certification, contending that the class was sufficiently numerous to the extent that joinder would be impractical, that factual and legal issues raised by the named plaintiffs were common to, and typical of, prospective class members, that the named plaintiffs and prospective class members share or will share similar harms and constitutional deprivations, and that the named plaintiffs would fairly and adequately protect the interests of the class through maintenance of a class action, which would be superior to any other method of adjudication.
Defendants filed a motion for summary disposition pursuant to MCR 2.116(C)(4), (7), and (8). Defendants maintained that plaintiffs lacked standing, the case was
At a hearing in which the trial court addressed plaintiffsâ motion for class certification as well as defendantsâ motion for summary disposition, the court granted class certification and rejected all the grounds raised by defendants in support of the summary disposition motion. We shall discuss the courtâs reasoning when we examine each of the appellate issues raised by defendants.
III. ANALYSIS
A. STANDARDS OF REVIEW
This Court reviews de novo a trial courtâs decision on a motion for summary disposition. Kreiner v Fischer, 471 Mich 109, 129; 683 NW2d 611 (2004). Also reviewed de novo are issues of constitutional law, Wayne Co v Hathcock, 471 Mich 445, 455; 684 NW2d 765 (2004), statutory interpretation, Feyz v Mercy Mem Hosp, 475 Mich 663, 672; 719 NW2d 1 (2006), governmental immunity, Bennett v Detroit Police Chief, 274 Mich App 307, 310-311; 732 NW2d 164 (2007), jurisdiction, Atchison v Atchison, 256 Mich App 531, 534; 664 NW2d 249 (2003), and matters concerning justiciability, Michigan Chiropractic Council v Commâr of the Office of Financial & Ins Services, 475 Mich 363, 369; 716 NW2d 561 (2006).
âA trial courtâs ruling regarding certification of a class is reviewed for clear error, meaning that the ruling
B. UNDERLYING CONSTITUTIONAL PRINCIPLES
1. THE RIGHT TO COUNSEL GENERALLY
âIn all criminal prosecutions, the accused shall enjoy the right to ... have the Assistance of Counsel for his defence.â US Const, Am VI. The right to counsel under the Sixth Amendment is made applicable to the states pursuant to the Due Process Clause of the Fourteenth Amendment. People v Williams, 470 Mich 634, 641; 683 NW2d 597 (2004), citing Gideon v Wainwright, 372 US 335; 83 S Ct 792; 9 L Ed 2d 799 (1963). Under the Michigan Constitution, â[i]n every criminal prosecution, the accused shall have the right to ... have the assistance of counsel for his or her defense[.]â Const 1963, art 1, § 20. Gideon made clear that the indigent are constitutionally entitled to be represented by counsel when prosecuted for a crime by the state, even though they lack the financial means to hire an attorney, and that the state has an obligation to provide them counsel. Gideon, supra at 344. We wholeheartedly agree with the following wise sentiments articulated by the United States Supreme Court in Gideon:
The assistance of counsel is one of the safeguards of the Sixth Amendment deemed necessary to insure fundamental human rights of life and liberty.... The Sixth Amendment stands as a constant admonition that if the constitutional safeguards it provides be lost, justice will not... be done.
2. THE RIGHT TO THE EFFECTIVE ASSISTANCE OF COUNSEL
The constitutional right to counsel encompasses the right to the effective assistance of counsel. Strickland v Washington, 466 US 668, 686; 104 S Ct 2052; 80 L Ed 2d 674 (1984). In United States v Cronic, 466 US 648, 654-656; 104 S Ct 2039; 80 L Ed 2d 657 (1984), the United States Supreme Court explained:
The special value of the right to the assistance of counsel explains why â [i]t has long been recognized that the right to counsel is the right to the effective assistance of counsel.â The text of the Sixth Amendment itself suggests as*263 much. The Amendment requires not merely the provision of counsel to the accused, but âAssistance,â which is to be âfor his defence.â Thus, âthe core purpose of the counsel guarantee was to assure âAssistanceâ at trial, when the accused was confronted with both the intricacies of the law and the advocacy of the public prosecutor.â If no actual âAssistanceâ âforâ the accusedâs âdefenceâ is provided, then the constitutional guarantee has been violated. To hold otherwise âcould convert the appointment of counsel into a sham and nothing more than a formed compliance with the Constitutionâs requirement that an accused be given the assistance of counsel. The Constitutionâs guarantee of assistance of counsel cannot be satisfied by mere formal appointment.â
The substance of the Constitutionâs guarantee of the effective assistance of counsel is illuminated by reference to its underlying purpose. â[T]ruth,â Lord Eldon said, âis best discovered by powerful statements on both sides of the question.â This dictum describes the unique strength of our system of criminal justice. âThe very premise of our adversary system of criminal justice is that partisan advocacy on both sides of a case will best promote the ultimate objective that the guilty be convicted and the innocent go free.â It is that âvery premiseâ that underlies and gives meaning to the Sixth Amendment. It âis meant to assure fairness in the adversary criminal process.â Unless the accused receives the effective assistance of counsel, âa serious risk of injustice infects the trial itself.â [Citations omitted.]
3. THE RIGHT TO COUNSEL AT CRITICAL STAGES OF THE PROCEEDINGS, INCLUDING PRETRIAL STAGES
âThe Sixth Amendment safeguards the right to counsel at all critical stages of the criminal process for an accused who faces incarceration.â Williams, supra at 641. A critical stage of the proceedings is any stage
[T]he Court has... recognized that the assistance of counsel cannot be limited to participation in a trial; to deprive a person of counsel during the period prior to trial may be more damaging than denial of counsel during the trial itself. Recognizing that the right to the assistance of counsel is shaped by the need for the assistance of counsel, we have found that the right attaches at earlier, âcriticalâ stages in the criminal justice process âwhere the results might well settle the accusedâs fate and reduce the trial itself to a mere formality.â And, â[wjhatever else it may mean, the right to counsel granted by the Sixth and Fourteenth Amendments means at least that a person is entitled to the help of a lawyer at or after the time that judicial proceedings have been initiated against him----â This is because, after the initiation of adversary criminal proceedings, â âthe government has committed itself to prosecute, and... the adverse positions of government and defendant have solidified. It is then that a defendant finds himself faced with the prosecutorial forces of organized society, and immersed in the intricacies of substantive and procedural criminal law.â â [Citations omitted; emphasis and initial ellipsis added.]
When read together, the authorities cited above make abundantly clear that representation by counsel, and thus effective representation by counsel, is crucial in
4. INEFFECTIVE ASSISTANCE OF COUNSEL CLAIMS IN CRIMINAL APPELLATE PROCEEDINGS
In the context of criminal cases and appeals, our Supreme Court in People v Carbin, 463 Mich 590, 599-600; 623 NW2d 884 (2001), enunciated the basic and well-established principles involving a claim of ineffective assistance of counsel:
To justify reversal under either the federal or state constitutions, a convicted defendant must satisfy the two-part test articulated by the United States Supreme Court in Strickland v Washington, 466 US 668; 104 S Ct 2052; 80 L Ed 2d 674 (1984). See People v Pickens, 446 Mich 298, 302-303; 521 NW2d 797 (1994). âFirst, the defendant must show that counselâs performance was deficient. This requires showing that counsel made errors so serious that counsel was not performing as the âcounselâ guaranteed by the Sixth Amendment.â Strickland, supra at 687. In so doing, the defendant must overcome a strong presumption that counselâs performance constituted sound trial strategy. Id. at 690. âSecond, the defendant must show that the deficient performance prejudiced the defense.â Id. at 687. To demonstrate prejudice, the defendant must show the existence of a reasonable probability that, but for counselâs error, the result of the proceeding would have been different. Id. at 694. âA reasonable probability is a probability sufficient to undermine confidence in the outcome.â Id. Because the defendant bears the burden of demonstrating both deficient performance and prejudice, the defendant necessarily bears the burden of establishing the factual predicate for his claim. See People v Hoag, 460 Mich 1, 6; 594 NW2d 57 (1999).
Counselâs performance is deemed deficient or ineffective when the ârepresentation [falls] below an objective standard of reasonableness.â Strickland, supra at 688;
C. DISCUSSION
1. GOVERNMENTAL IMMUNITY
Defendants argue that governmental immunity bars plaintiffsâ âtortâ claims against the state because they do not come within an exception to the broad grant of immunity afforded by MCL 691.1407(1). Defendants also contend that absolute immunity bars plaintiffsâ claims against the Governor under MCL 691.1407(5). The trial court ruled that governmental immunity is not available in a state court action alleging constitutional violations.
Under MCR 2.116(C)(7), summary disposition in favor of a defendant is proper when the plaintiffs claim is âbarred because of. . . immunity granted by law . . . .â See Odom v Wayne Co, 482 Mich 459, 466; 760 NW2d 217 (2008). The moving party may submit affidavits, depositions, admissions, or other documentary evidence in support of the motion if substantively admissible. Id. The contents of the complaint must be accepted as true unless contradicted by the documentary evidence. Id.
a. THE STATE
The governmental tort liability act (GTLA), MCL 691.1401 et seq., provides a broad grant of immunity
Here, there can be no reasonable dispute that the state was engaged in a governmental function when it delegated the representation of indigent defendants to the various counties.
Our Supreme Court has âobserved that nontort causes of action are not barred by immunity if a plaintiff successfully pleads and establishes such a cause of action.â Borg-Warner Acceptance Corp v Depât of State, 433 Mich 16, 19; 444 NW2d 786 (1989) (emphasis in original). Further, in Smith v Depât of Pub Health, 428 Mich 540, 544; 410 NW2d 749 (1987), aff'd sub nom Will v Michigan Depât of State Police, 491 US 58 (1989), the Michigan Supreme Court held:
[] Where it is alleged that the state, by virtue of custom or policy, has violated a right conferred by the Michigan Constitution, governmental immunity is not available in a state court action.
[] A claim for damages against the state arising from violation by the state of the Michigan Constitution may be recognized in appropriate cases.
See also Jones v Powell, 462 Mich 329, 336; 612 NW2d 423 (2000).
State policies are at the forefront of this litigation. â âGovernmental immunity is not available in a state
MCL 691.1407; MSA 3.996(107) does not, by its terms, declare immunity for unconstitutional acts by the state. The idea that our Legislature would indirectly seek to âapproveâ acts by the state which violate the state constitution by cloaking such behavior with statutory immunity is too far-fetched to infer from the language of MCL 691.1407; MSA 3.996(107). We would not ascribe such a result to our Legislature.
The Burdette panel reiterated those sentiments from Smith in addressing a due process challenge, further reasoning:
Plaintiffsâ claim alleged that defendant violated plaintiffsâ due process rights under Const 1963, art 1, § 17. Plaintiffs have stated a prima facie claim.... [D]efendant cannot claim immunity where the plaintiff alleges that defendant has violated its own constitution. Constitutional rights serve to restrict government conduct. These rights would never serve this purpose if the state could use governmental immunity to avoid constitutional restrictions. [Burdette, supra at 408-409.]
The instant claims against the state are based solely on alleged violations of the Michigan Constitution and concern custom and policy matters with respect to the representation of indigent defendants. Moreover, plain
We initially note that, as indicated above, â[a] claim for damages against the state arising from violation by the state of the Michigan Constitution may be recognized in appropriate cases.â Smith, supra at 544; see also Powell, supra at 336. Nevertheless, defendants inaccurately characterize plaintiffsâ claims, where the gravamen of the lawsuit concerns the adequacy of representation for indigent defendants and prays for equitable relief; this is not a tort liability action for money damages, nor do plaintiffs request an appropriation of state funds. Plaintiffs seek a court declaration that defendantsâ practices are unconstitutional, seek to enjoin continuing unconstitutional practices, and seek to compel the state and the Governor to provide indigent defendants representation consistent with the state and federal constitutions. Assuming that the state would incur an unfavorable fiscal impact as the ultimate result of the proceedings, it does not magically
b. THE GOVERNOR
With respect to the Governor, MCL 691.1407(5) provides:
A judge, a legislator, and the elective or highest appointive executive official of all levels of government are immune from tort liability for injuries to persons or damages to property if he or she is acting within the scope of his or her judicial, legislative, or executive authority. [Emphasis added.]
âThe executive power is vested in the governor,â Const 1963, art 5, § 1; therefore, there can be no dispute that the Governor is the highest executive official in state government. Additionally, this lawsuit necessarily relates to duties within the scope of the Governorâs executive authority, given that â[t]he governor shall take care that the laws be faithfully executed.â Const 1963, art 5, § 8. Further, in regard to the scope of executive authority, this suit potentially affects issues of state funding, and Const 1963, art 5, § 18, provides that â[t]he governor shall submit to the legislature at a time fixed by law, a budget for the ensuing fiscal period
2. JURISDICTION AND AUTHORITY TO ORDER VARIOUS FORMS OF INJUNCTIVE RELIEF
a. MANDAMUS AND THE GOVERNOR
Defendants argue, in cursory fashion, that the trial court lacks jurisdiction to order injunctive relief with respect to the Governor. On this issue, the trial court ruled that Michigan law cannot immunize the Governor from federal claims under preemption principles and that the Governor is not immune from state law claims because the suit does not entail tort liability. As is evident, the trial court somewhat treaded on governmental immunity principles discussed earlier in this opinion.
In support of their contention that injunctive relief cannot issue against the Governor, defendants cite only Straus v Governor, 459 Mich 526, 532-533; 592 NW2d 53 (1999), in which the Supreme Court, quoting and adopting this Courtâs opinion in the case, stated:
âWe would also note that, because a court at all times is required to question sua sponte its own jurisdiction (whether over a person, the subject matter of an action, or the limits on the relief it may afford), we have some doubt with respect to the propriety of injunctive relief against the Governor. It is clear that separation of powers principles, Const 1963, art 3, § 2, preclude mandatory injunctive relief, mandamus, against the Governor. Whether similar reasoning also puts prohibitory injunctive relief beyond the competence of the judiciary appears to be an open question that need not be resolved in this case. We do note that the Supreme Court has recently recognized that declaratory*273 relief normally will suffice to induce the legislative and executive branches, the principal members of which have taken oaths of fealty to the constitution identical to that taken by the judiciary, Const 1963, art 11, § 1, to conform their actions to constitutional requirements or confine them within constitutional limits. Only when declaratory relief has failed should the courts even begin to consider additional forms of relief in these situations. The need for utmost delicacy on the part of the judiciary, and respect for the unique office of Governor, [has been] recognized [by this Court].â [Citations omitted.]
In part, plaintiffs seek declaratory relief, and the quoted passage from Straus makes clear that the courts have the authority to issue a declaratory judgment against the Governor, which should be the first course of action before even contemplating injunctive relief. Plaintiffs also seek to enjoin continuing unconstitutional practices or, stated otherwise, prohibitory injunctive relief. Such a remedy could potentially entail a cessation of criminal prosecutions against indigent defendants absent constitutional compliance with the right to counsel. Straus indicated that the Court was not resolving the question whether the judiciary is constrained from ordering prohibitory injunctive relief against the Governor and, given that defendants do not present any additional arguments on the issue, we decline to find that the trial court lacks authority or jurisdiction to enjoin the Governor from continuing unconstitutional practices. In regard to the issue of mandatory injunctive relief (mandamus), plaintiffs do seek to compel the Governor to provide indigent defendants with representation that is consistent with the state and federal constitutions. As will be discussed later in this opinion, we believe that there may exist a basis to subject the Governor to a mandamus order under Michigan law in regard to state constitutional violations if this case reflects the existence of impediments to the ability of the judiciary to cany out its duties in compliance with
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress, except that in any action brought against a judicial officer for an act or omission taken in such officerâs judicial capacity, injunctive relief shall not be granted unless a declaratory decree was violated or declaratory relief was unavailable. [Emphasis added.]
Even though a state official is a âpersonâ in the literal sense, âa suit against a state official in his or her official capacity is not a suit against the official but rather is a suit against the officialâs office[, and,] [a]s such, it is no different from a suit against the State itself.â Will v Michigan Depât of State Police, 491 US 58, 71; 109
In Felder v Casey, 487 US 131, 139; 108 S Ct 2302; 101 L Ed 2d 123 (1988), the United States Supreme Court made clear the broad reach of a § 1983 action, stating:
Section 1983 creates a species of liability in favor of persons deprived of their federal civil rights by those wielding*276 state authority. As we have repeatedly emphasized, âthe central objective of the Reconstruction-Era civil rights statutes ... is to ensure that individuals whose federal constitutional or statutory rights are abridged may recover damages or secure injunctive relief.â Thus, § 1983 provides âa uniquely federal remedy against incursions ... upon rights secured by the Constitution and laws of the Nation,â and is to be accorded âa sweep as broad as its language.â
Any assessment of the applicability of a state law to federal civil rights litigation, therefore, must be made in light of the purpose and nature of the federal right. This is so whether the question of state-law applicability arises in § 1983 litigation brought in state courts, which possess concurrent jurisdiction over such actions, or in federal-court litigation, where, because the federal civil rights laws fail to provide certain rules of decision thought essential to the orderly adjudication of rights, courts are occasionally called upon to borrow state law. Accordingly, we have held that a state law that immunizes government conduct otherwise subject to suit under § 1983 is preempted, even where the federal civil rights litigation takes place in state court, because the application of the state immunity law would thwart the congressional remedy, which of course already provides certain immunities for state officials. [Citations omitted; ellipses in original.]
Accordingly, any state law (statutory, constitutional, or common law) that can be read to exclude the Governor from being compelled to act, or otherwise subjected to any type of injunction, is preempted when a suit for equitable relief is brought against the Governor pursuant to 42 USC 1983 for violation of the federal constitution, regardless of the fact that the suit is litigated in a state court.
b. APPROPRIATIONS FROM THE STATE TREASURY
Defendants also argue that only the Legislature, as opposed to the trial court or any court, has the author
Given that the plaintiffs have failed to show that there is a pool of funds available to be transferred to the reserve for health benefits, the requested relief necessarily involves funds from the state treasury. The only defendant with authority to appropriate funds from the treasury is the Legislature. âNo money shall be paid out of the state treasury except in pursuance of appropriations made by law.â Const 1963, art 9, § 17.
In this context, this Court lacks the power to require the Legislature to appropriate funds. This was the understanding of the drafters of art 9, § 24, who likewise did not contemplate that the prefunding requirement could be enforced by a court. They expected that the decision to comply rested ultimately with the Legislature, whom the people would have to trust[.] [Musselman, supra at 522.][4 ]
Here, again, plaintiffs seek a court declaration that defendantsâ practices are unconstitutional, seek to enjoin continuing unconstitutional practices, and seek to compel defendants to provide indigent defendants representation consistent with the state and federal constitutions. In the prayer for relief, plaintiffs are not expressly seeking an appropriation or transfer of state funds, nor expressly demanding the enactment of legislation. We acknowledge that plaintiffs allege that the systemic constitutional deficiencies have been caused by inadequate state funding and the lack of fiscal and
There is no dispute that declaratory relief is an available remedy falling within the trial courtâs jurisdiction and authority. As indicated in Straus, supra at 532, â â[o]nly when declaratory relief has failed should the courts even begin to consider additional forms of relief[.]â â (Citation omitted.) With respect to the state constitutional claims, which are the only claims brought against the state, should plaintiffs prevail, declaratory relief alone needs to be initially contemplated. And if the state takes corrective action without further need for intervention by the trial court, injunctive relief and the authority to issue constitutionally questionable forms of such relief would no longer be at issue. Additionally, while 42 USC 1983 does not place a limit on a court to first attempt resolution through a declaratory judgment alone, it is possible that upon entry of a declaratory judgment, the Governor would take corrective measures to comply with constitutional requirements.
Furthermore, defendants do not argue that the trial court lacks authority or jurisdiction to enjoin them from continuing unconstitutional practices; therefore, there is the potential that constitutional compliance could occur through issuance of prohibitory injunctive relief,
Additionally, other than defendantsâ argument that injunctive relief can never issue against the Governor, which argument we rejected earlier in this opinion, defendants do not contend that the judiciary lacks the authority or jurisdiction to enter an order compelling, in broad and general terms, compliance with constitutional mandates. Defendantsâ argument merely decries court intervention in the appropriation of funds from the state treasury. However, the entry of an order simply compelling the state and the Governor to provide indigent defendants representation consistent with the state and federal constitutions does not necessarily mean that the state is being required by the court to appropriate funds to come into compliance. Theoretically, there may be creative alternatives available to satisfy constitutional mandates concerning the right to counsel.
We can only speculate at this time regarding the measures ultimately needed to be taken in order to come into compliance with the state and federal constitutions, assuming plaintiffs establish their case.
As in most areas of the law, the difference between the type of relief barred by the Eleventh Amendment and that permitted under Ex parte Young will not in many instances be that between day and night. The injunction issued in Ex parte Young was not totally without effect on the Stateâs revenues, since the state law which the Attorney General was enjoined from enforcing provided substantial monetary penalties against railroads which did not conform to its provisions. Later cases from this Court have authorized equitable relief which has probably had greater impact on state treasuries than did that awarded in Ex parte Young. In Graham v. Richardson, 403 U.S. 365 [91 S Ct 1848; 29 L Ed 2d 534] (1971), Arizona and Pennsylvania welfare officials were prohibited from denying welfare benefits to otherwise qualified recipients who were aliens. In Goldberg v. Kelly, 397 U.S. 254 [90 S Ct 1011; 25 L Ed 2d 287] (1970), New York City welfare officials were enjoined from following New York State procedures which authorized the termination of benefits paid to welfare recipients without prior hearing. But the fiscal consequences to state treasuries in these cases were the necessary result of compliance with*282 decrees which by their terms were prospective in nature. State officials, in order to shape their official conduct to the mandate of the Courtâs decrees, would more likely have to spend money from the state treasury than if they had been left free to pursue their previous course of conduct. Such an ancillary effect on the state treasury is a permissible and often an inevitable consequence of the principle announced in Ex parte Young, supra. [Emphasis added.]
Our second reason for not accepting outright defendantsâ arguments is the Michigan Supreme Courtâs decision in 46th Circuit Trial Court v Crawford Co, 476 Mich 131; 719 NW2d 553 (2006). The case involved âa conflict between the legislative branchâs exercise of the âlegislative powerâ to appropriate and to tax, and the judicial branchâs inherent power to compel sufficient appropriations to allow the judiciary to carry out its essential judicial functions.â Id. at 134. The plaintiff trial court sought to compel âcounties to appropriate funding for the enhanced pension and retiree health care plans it deem[ed] necessary to recruit and retain adequate staff to allow it to carry out its essential judicial functions.â Id.
The Supreme Court indicated that the judiciary has the extraordinary and inherent power to compel funding, which power is derived from the separation of powers set forth in articles 4 through 6 and article 3, § 2, of the 1963 Michigan Constitution. 46th Circuit Trial Court, supra at 140-141. The Court explained:
[J]ust as it is implicit in the separation of powers that each branch of government is empowered to carry out the entirety of its constitutional powers, and only these powers, it is also implicit that each branch must be allowed adequate resources to carry out its powers. Although the allocation of resources through the appropriations and taxing authorities lies at the heart of the legislative power, and thus belongs to the legislative branch, in those rare instances in which the legislatureâs allocation of resources*283 impacts the ability of the judicial branch to carry out its constitutional responsibilities, what is otherwise exclusively a part of the legislative power becomes, to that extent, a part of the judicial power....
In order for the judicial branch to carry out its constitutional responsibilities as envisioned by Const 1963, art 3, § 2, the judiciary cannot be totally beholden to legislative determinations regarding its budgets. While the people of this state have the right to appropriations and taxing decisions being made by their elected representatives in the legislative branch, they also have the right to a judiciary that is funded sufficiently to carry out its constitutional responsibilities.
Thus, the judiciaryâs âinherent powerâ to compel appropriations sufficient to enable it to carry out its constitutional responsibilities is a function of the separation of powers provided for in the Michigan Constitution. The âinherent powerâ does not constitute an exception to the separation of powers; rather, it is integral to the separation of powers itself. What is exceptional about the judiciaryâs âinherent powerâ is its distinctiveness from more traditional exercises of the judicial power, involving as it does determinations that directly implicate the appropriations power.
However, in order to accommodate this distinctive, and extraordinary, judicial power with the normal primacy of the legislative branch in determining levels of appropriations, the âinherent powerâ has always been sharply circumscribed. The âinherent powerâ contemplates only the power, when an impasse has arisen between the legislative and judicial branches, to determine levels of appropriation that are âreasonable and necessaryâ to enable the judiciary to carry out its constitutional responsibilities. However, levels of appropriation that are optimally required for the judiciary remain always determinations within the legislative power. [46th Circuit Trial Court, supra at 142-144 (emphasis added and in original).]
If indeed there exist systemic constitutional deficiencies in regard to the right to counsel and the right to the effective assistance of counsel, it is certainly arguable
In sum, we reiterate that we decline at this time to define the full extent of the trial courtâs equitable authority and jurisdiction beyond that recognized and accepted earlier in this opinion.
3. JURISDICTION: COURT OF CLAIMS VERSUS THE CIRCUIT COURT
Defendants contend that the Court of Claims has exclusive jurisdiction over this case. The trial court determined that defendants had relied on cases involving tort claims for money damages in making this jurisdictional argument and, because plaintiffs are
MCL 600.6419 provides in pertinent part:
(1) Except as provided in [MCL 600.6419a] and [MCL 600.6440], the jurisdiction of the court of claims, as conferred upon it by this chapter, shall be exclusive.... The court has power and jurisdiction:
(a) To hear and determine all claims and demands, liquidated and unliquidated, ex contractu and ex delicto, against the state and any of its departments, commissions, hoards, institutions, arms, or agencies.
(4) This chapter shall not deprive the circuit court of this state of jurisdiction over... proceedings for declaratory or equitable relief, or any other actions against state agencies based upon the statutes of this state in such case made and provided, which expressly confer jurisdiction thereof upon the circuit court....
To interpret MCL 600.6419 correctly, it must be read in conjunction with MCL 600.6419a, which provides, in full:
In addition to the powers and jurisdiction conferred upon the court of claims by section 6419, the court of claims has concurrent jurisdiction of any demand for equitable relief and any demand for a declaratory judgment when ancillary to a claim filed pursuant to section 6419. The jurisdiction conferred by this section is not intended to he exclusive of the jurisdiction of the circuit court over demands for declaratory and equitable relief conferred by [MCL 600.605],
In Parkwood Ltd Dividend Housing Assân v State Housing Dev Auth, 468 Mich 763, 775; 664 NW2d 185 (2003), our Supreme Court construed these provisions and held:
*286 Today we hold that pursuant to the plain language of § 6419(l)(a), the Court of Claims has exclusive jurisdiction over complaints based on contract or tort that seek solely declaratory relief against the state or any state agency. We disavow any contrary statements found in our prior case law that have seemingly interpreted § 6419(l)(a) as granting the Court of Claims jurisdiction over claims for money damages only.
As we observed earlier in this opinion, plaintiffsâ complaint is not based on tort, and it is indisputable that it is not based on contract. The Parkwood Court interpreted MCL 600.6419(4) âas maintaining the jurisdiction of the circuit court over those declaratory claims against the state that do not involve contract or tort.â Parkwood, supra at 774 (emphasis added). The Court further stated:
This jurisdiction of the circuit court is concurrent with the jurisdiction of the Court of Claims over such claims in the circumstances set out in § 6419a, see n 7. That is, when such a declaratory action is ancillary to another claim within the Court of Claims exclusive jurisdiction under § 6419, the circuit court and the Court of Claims have concurrent jurisdiction over the declaratory action. [Parkwood, supra at 774 n 10.]
Footnote 7 in Parkwood, supra at 772, referenced in the preceding quotation, provides:
We construe the enactment of § 6419a as having added to this jurisdiction by clarifying that the Court of Claims also has jurisdiction over other declaratory and equitable claims, specifically, those that relate neither to contract nor tort â over which the circuit court would otherwise have exclusive jurisdiction â when those claims are ancillary to a claim within the courtâs exclusive jurisdiction under § 6419. [Emphasis in original.]
Thus, the Court of Claims, while having exclusive jurisdiction over complaints based on contract or tort
4. PROPER PARTIES TO THE LITIGATION
Defendants argue that the action should have been filed against the judiciary and the counties that administer the indigent criminal defense systems. The trial court found that even though defendants have essentially delegated their constitutional duties to the counties, it does not ultimately relieve defendants of their constitutional responsibilities.
Under MCL 775.16, a circuit courtâs chief judge is responsible for procuring representation for indigent defendants and county treasurers are obligated to pay reasonable compensation to appointed attorneys. In re Recorderâs Court Bar Assân v Wayne Circuit Court, 443 Mich 110, 122; 503 NW2d 885 (1993). However, it would be erroneous to assume âthat the statutory purpose underlying assigned counselsâ right to reasonable compensation was to assure that indigent criminal defendants received effective assistance of counsel.â Id. at 123. âAppointed counsel had a statutory right to reasonable compensation for services provided to criminal indigent defendants long before indigent criminal defendants had a right, statutory or otherwise, to appointed counsel.â Id. at 123-124.
In Frederick v Presque Isle Co Circuit Judge, 439 Mich 1, 15; 476 NW2d 142 (1991), our Supreme Court stated that all courts are part of Michiganâs one court of
With respect to the judiciary, a circuit courtâs chief judge plays the main role in obtaining legal services for indigent defendants, as reflected in MCL 775.16. Additionally, MCR 8.123(B), which applies to all trial courts,
5. JUSTICIABILITY AND STATEMENT OF A CLAIM FOR DECLARATORY AND INJUNCTIVE RELIEF
Defendants argue that plaintiffs lack standing and that their claims are not ripe for adjudication because the preconviction ineffectiveness claims are too remote, speculative, and abstract to warrant the issuance of declaratory and injunctive relief. Defendants also contend that plaintiffs failed to state a claim on which relief may be granted, considering that they have an adequate remedy at law in the form of individual criminal appeals. Defendants rely chiefly on Strickland and its two-part test relative to claims of ineffective assistance of counsel. Defendants posit that the need to show injury or harm, relative to justiciability, necessarily equates to establishing deficient performance of counsel and satisfying the prejudice prong of an ineffective assistance claim typically applicable in criminal ap
The trial court found that plaintiffs had standing and that their claims were ripe for adjudication, rejecting the argument that convictions or the complete denial of counsel were necessary to litigate the case. With respect to Strickland, the court indicated that it was unsure whether Strickland had any application to plaintiffsâ pretrial claims of inadequate representation; however, the court was of the opinion that it would not have to delve into the circumstances of each particular criminal case. Thus, the trial court concluded that plaintiffs had stated a claim on which relief could be granted.
a. JUSTICIABILITY GENERALLY
Both the state and federal constitutions confer only âjudicial powerâ on the courts, US Const, art III, § 1, and Const 1963, art 3, § 2, and the United States Constitution expressly provides that judicial power is limited to cases and controversies, US Const, art III, § 2. Michigan Chiropractic, supra at 369. In order to prevent the judiciary from usurping the power of coordinate branches of government, our Supreme Court and the federal courts have developed justiciability doctrines to ensure that lawsuits filed in the courts are
In Natâl Wildlife Federation v Cleveland Cliffs Iron Co, 471 Mich 608, 614-615; 684 NW2d 800 (2004), our Supreme Court explained the concept of âjudicial power,â stating:
The âjudicial powerâ has traditionally been defined by a combination of considerations: the existence of a real dispute, or case or controversy; the avoidance of deciding hypothetical questions; the plaintiff who has suffered real harm; the existence of genuinely adverse parties; the sufficient ripeness or maturity of a case; the eschewing of cases that are moot at any stage of their litigation; the ability to issue proper forms of effective relief to a party; the avoidance of political questions or other non-justiciable controversies; the avoidance of unnecessary constitutional issues; and the emphasis upon proscriptive as opposed to prescriptive decision making.
With respect to the proper exercise of the âjudicial power,â the most critical element is the mandate that there exist a genuine case or controversy between the parties, meaning that the dispute between the parties is real, not hypothetical. Michigan Citizens for Water Conservation v NestlĂŠ Waters North America Inc, 479 Mich 280, 293; 737 NW2d 447 (2007).
On the doctrine of standing, the Supreme Court in Michigan Citizens, supra at 294-295, quoting Natâl Wildlife, supra at 628-629, quoting Lee v Macomb Co Bd of Commârs, 464 Mich 726, 739; 629 NW2d 900 (2001), quoting Lujan v Defenders of Wildlife, 504 US 555, 560-561; 112 S Ct 2130; 119 L Ed 2d 351 (1992), stated that the following three elements must be proven:
First, the plaintiff must have suffered an injury in fact â an invasion of a legally protected interest which is (a) concrete and particularized, and (b) actual or imminent, not conjectural or hypothetical. Second, there must he a causal connection between the injury and the conduct complained of â the injury has to be fairly traceable to the challenged action of the defendant, and not the result [of] the independent action of some third party not before the court. Third, it must be likely, as opposed to merely speculative, that the injury will be redressed by a favorable decision. [Quotation marks and ellipses omitted.]
c. RIPENESS PRINCIPLES
With regard to the doctrine of ripeness, it precludes the adjudication of hypothetical or contingent claims before an actual injury has been sustained, and an action is not ripe if it rests on contingent future events that may not occur as anticipated or may not occur at all. Michigan Chiropractic, supra at 371 n 14. Although standing and ripeness are both justiciability doctrines that assess pending claims to discern whether an actual or imminent injury in fact is present, they address different underlying concerns. Id. at 378-379. The standing doctrine âis designed to determine whether a particular party may properly litigate the asserted claim for relief.â Id. at 379. On the other hand, the ripeness doctrine âdoes not focus on the suitability of
d. DECLARATORY RELIEF
With respect to declaratory judgment actions, MCR 2.605(A)(1), (C), and (F) respectively provide as follows:
In a case of actual controversy within its jurisdiction, a Michigan court of record may declare the rights and other legal relations of an interested party seeking a declaratory judgment, whether or not other relief is or could be sought or granted.
The existence of another adequate remedy does not preclude a judgment for declaratory relief in an appropriate case.
Further necessary or proper relief based on a declaratory judgment maybe granted, after reasonable notice and hearing, against a party whose rights have been determined by the declaratory judgment.
The âactual controversyâ requirement found in MCR 2.605(A)(1) has been described as â âa summary of justiciability as the necessary condition for judicial relief.â â Associated Builders & Contractors v Depât of Consumer & Industry Services Director, 472 Mich 117, 125; 693 NW2d 374 (2005), quoting Allstate Ins Co v Hayes, 442 Mich 56, 66; 499 NW2d 743 (1993). A court cannot declare the obligations and rights of parties regarding an issue if the issue is not justiciable, meaning that it does not entail a genuine, Uve controversy between interested persons who are asserting adverse claims, which, if decided, can
e. INJUNCTIVE RELIEF
Finally, in regard to injunctive relief, an injunction constitutes an extraordinary remedy that may be issued only when justice requires it, there is an absence of an adequate remedy at law, and there exists the danger of irreparable injury that is real and imminent. Pontiac Fire Fighters Union Local 376 v City of Pontiac, 482 Mich 1, 8; 753 NW2d 595 (2008).
f. JUSTICIABILITY FRAMEWORK
In constructing the broad analytical framework for addressing the justiciability issues in connection with the particular allegations made by plaintiffs, we find guidance in Lewis v Casey, 518 US 343; 116 S Ct 2174; 135 L Ed 2d 606 (1996). In Lewis, the respondents were 22 inmates imprisoned in various facilities operated by the Arizona Department of Corrections (ADOC), and they filed a class action on behalf of all adult prisoners who were currently or will be incarcerated by the ADOC, alleging deprivations of their fundamental constitutional right of access to the courts. Id. at 346. The action was brought in reliance on Bounds v Smith, 430 US 817, 828; 97 S Ct 1491; 52 L Ed 2d 72 (1977), in which it was held that âthe fundamental constitutional right of access to the courts requires prison authorities to assist inmates in the preparation and filing of meaningful legal papers by providing prisoners with adequate law libraries or adequate assistance from persons trained in the law.â See Lewis, supra at 346. Following a three-month bench trial in Lewis, the federal district court ruled in favor of the respondents, concluding that the respondents had a constitutional
On certiorari granted, the petitioners argued that, in order to establish a Bounds violation, an inmate needed to show that any alleged inadequacy of a prisonâs law library facilities or legal assistance programs caused an actual injury, or in other words, â âactual prejudice with respect to contemplated or existing litigation, such as the inability to meet a filing deadline or to present a claim.â â Id. at 348. The petitioners further argued that the district court failed to find sufficient instances of actual injury that would warrant systemwide relief. Id. The Supreme Court held:
We agree that the success of respondentsâ systemic challenge was dependent on their ability to show widespread actual injury, and that the courtâs failure to identify anything more than isolated instances of actual injury renders its finding of a systemic Bounds violation invalid. [Id. at 349.]
The United States Supreme Court then proceeded to provide the underlying rationale and reasoning for its holding:
The requirement that an inmate alleging a violation of Bounds must show actual injury derives ultimately from the doctrine of standing, a constitutional principle that prevents courts of law from undertaking tasks assigned to the political branches. It is the role of courts to provide relief to claimants, in individual or class actions, who have*296 suffered, or will imminently suffer, actual harm; it is not the role of courts, but that of the political branches, to shape the institutions of government in such fashion as to comply with the laws and the Constitution. In the context of the present case: It is for the courts to remedy past or imminent official interference with individual inmatesâ presentation of claims to the courts; it is for the political branches of the State and Federal Governments to manage prisons in such fashion that official interference with the presentation of claims will not occur. Of course, the two roles briefly and partially coincide when a court, in granting relief against actual harm that has been suffered, or that will imminently be suffered, by a particular individual or class of individuals, orders the alteration of an institutional organization or procedure that causes the harm. But the distinction between the two roles would be obliterated if, to invoke intervention of the courts, no actual or imminent harm were needed, but merely the status of being subject to a governmental institution that was not organized or managed properly. If â to take another example from prison life â a healthy inmate who had suffered no deprivation of needed medical treatment were able to claim violation of his constitutional right to medical care simply on the ground that the prison medical facilities were inadequate, the essential distinction between judge and executive would have disappeared: it would have become the function of the courts to assure adequate medical care in prisons. [Id. at 349-350 (citations omitted).]
We derive much from this passage. It indicates that inmates do not sustain harm, for purposes of justiciability analysis and the constitutional right of access to the courts, simply because of their status as inmates in the prison system and their exposure to the possibility of being denied meaningful court access because of the institutionâs lack of proper management and organization. There needs to be interference with the presentation of a claim to the court, just as inmates must first be ill and in need of prison medical treatment before being able to claim deprivation of a constitutional right to
Because Bounds did not create an abstract, freestanding right to a law library or legal assistance, an inmate cannot establish relevant actual injury simply by establishing that his prisonâs law library or legal assistance program is subpar in some theoretical sense. That would be the precise analog of the healthy inmate claiming constitutional violation because of the inadequacy of the prison infirmary. Insofar as the right vindicated by Bounds is concerned, âmeaningful access to the courts is the touchstone,â and the inmate therefore must go one step further and demonstrate that the alleged shortcomings in the library or legal assistance program hindered his efforts to pursue a legal claim. He might show, for example, that a complaint he prepared was dismissed for failure to satisfy some technical requirement which, because of deficiencies in the prisonâs legal assistance facilities, he could not have known. Or that he had suffered arguably actionable harm that he wished to bring before the courts, but was so stymied by inadequacies of the law library that he was unable even to file a complaint. [Lewis, supra at 351 (citation omitted).]
The Lewis Court went on to find that the district court had identified only two instances of actual injury, and the Court then turned to the issue whether those two injuries justified the remedy ordered by the district court. Id. at 357. The Court noted that the remedy has to be âlimited to the inadequacy that produced the injury in fact that the plaintiff has established.â Id. The Court further explained that this principle is just as applicable with respect to class actions. Id. According to Lewis, standing is necessary in class actions and named plaintiffs representing the class must allege and show personal injury. Id. The Lewis Court concluded that there was a failure to show that the constitutional violations were systemwide; therefore, granting a remedy beyond what was necessary to provide relief to the two injured inmates was improper. Id. at 360. Nevertheless, the message that flows from Lewis is that in cases where systemwide constitutional violations are proven, prospective equitable relief to prevent further violations is a proper remedy.
The absence of widespread and systemic harm in Lewis was the downfall of the case presented by the inmate respondents. Here, if plaintiffs are to succeed,
The general allegations of the complaint in the present case may well have sufficed to claim injury by named plaintiffs, and hence standing to demand remediation, with respect to various alleged inadequacies in the prison system, including failure to provide adequate legal assistance to non-English-speaking inmates and lockdown prisoners. That point is irrelevant now, however, for we are beyond the pleading stage.
âSince they are not mere pleading requirements, but rather an indispensable part of the plaintiffs case, each element [of standing] must be supported in the same way as any other matter on which the plaintiff bears the burden of proof, i.e., with the manner and degree of evidence required at the successive stages of the litigation. At the pleading stage, general factual allegations of injury resulting from the defendantâs conduct may suffice, for on a motion to dismiss we presume that general allegations embrace those specific facts that are necessary to support the claim. In response to a summary judgment motion, however, the plaintiff can no longer rest on such mere allegations, but must set forth by affidavit or other evidence specific facts, which for purposes of the summary judgment motion will be taken to be true. And at the final stage, those facts (if controverted) must be supported adequately by the evidence adduced at trial.â [Alteration in original; citation and internal quotation marks omitted.]
Here, the justiciability and Strickland issues were raised under both MCR 2.116(C)(4) (summary disposition for lack of subject-matter jurisdiction) and MCR
As opposed to the circumstances in Lewis, we are addressing matters of justiciability at a very early stage in the proceedings and not in the context of completed trial proceedings or a summary disposition motion involving the submission of documentary evidence. The lower court record reveals that defendantsâ justiciability-related arguments were set forth without reliance on documentary evidence. And the argument that plaintiffs failed to state a claim for declaratory and injunctive relief, which only implicated MCR 2.116(C)(8), couched defendantsâ entire Strickland analysis. Defendants did not engage in an effort to show an absence of a genuine factual dispute with respect to
g. DEFINING JUSTICIABLE HAEM FOR PURPOSES OF THIS SUIT
Plaintiffs seek a declaratory judgment and prohibitory and mandatory injunctions, which remedies are prospective in nature, in an effort to stop alleged ongoing constitutional violations and to prevent future violations. As we view it, plaintiffs would be entitled to declaratory relief, in the context of this case and assuming establishment of causation, if they can show widespread and systemic instances of actual harm. The right to any prospective injunctive relief tends to concern the question whether the harm sought to he avoided in the future is imminent, and we conclude that harm is
We hold that, in the context of this class action civil suit seeking prospective relief for alleged widespread constitutional violations, injury or harm is shown when court-appointed counselâs representation falls below an objective standard of reasonableness (deficient performance) and results in an unreliable verdict or unfair trial, when a criminal defendant is actually or constructively denied the assistance of counsel altogether at a critical stage in the proceedings, or when counselâs performance is deficient under circumstances in which prejudice would be presumed in a typical criminal case. We further hold that injury or harm is shown when court-appointed counselâs performance or representation is deficient relative to a critical stage in the proceedings and, absent a showing that it affected the reliability of a verdict, the deficient performance results in a detriment to a criminal defendant that is relevant and meaningful in some fashion, e.g., unwarranted pretrial detention. Finally, we hold that, when it is shown that court-appointed counselâs representation falls below an objective standard of reasonableness with respect to a critical stage in the proceedings, there has been an invasion of a legally protected interest and
Plaintiffs will no doubt have a heavy burden to prove and establish their case, but for now we are only concerned with whether plaintiffs have sufficiently alleged supportive facts. While we leave it to the trial court to determine the parameters of what constitutes
To summarize the approach to be taken on remand, plaintiffs must show the existence of widespread and systemic instances of actual or constructive denial of counsel and instances of deficient performance by counsel, which instances may have varied and relevant levels of egregiousness, all causally connected to defendantsâ conduct. Furthermore, because the proofs could be so wide ranging, it would reflect poor judgment on our part to set a numerical threshold with respect to the courtâs determination of whether the instances of harm, if shown, are sufficiently âwidespread and systemicâ to justify relief. The trial court is in a better position to first address this issue, subject of course to appellate review.
We glean from the dissenting opinion that our colleague is of the position that the only avenue, judiciary-wise, to address problems in the indigent defense systems employed by the three counties is through a standard criminal appeal as reflected in Strickland. The dissent also contends that a claim of ineffective assistance of counsel requires a conviction and deprival of a fair trial as reflected in an unreliable verdict, even in this civil class action suit, given the holding in Strickland. Because of the dissentâs position, it is concluding
It is our view that Strickland and its many progeny, which demand deficient performance by counsel and, generally speaking, prejudice in order to entitle a criminal defendant to relief under the Sixth Amendment, have to be understood and viewed in context. The fundamental flaw in defendantsâ and the dissentâs position on the justiciability issues is that the argument is grounded on principles intended to be applied in the context of postconviction criminal appeals that are not workable or appropriate to apply when addressing standing, ripeness, and related justiciability principles in this type of civil rights lawsuit. We cannot properly foist the framework of the criminal appellate process upon the justiciability analysis that governs this civil case simply because state and federal constitutional rights related to the right to counsel are implicated. We reject the argument that the need to show that this case is justiciable necessarily and solely equates to showing widespread instances of deficient performance accompanied by resulting prejudice in the form of an unreliable verdict that compromises the right to a fair trial.
This case requires us to consider the proper standards for judging a criminal defendantâs contention that the Constitution requires a conviction or death sentence to be set aside because counselâs assistance at the trial or sentencing was ineffective. [Strickland, supra at 671.]
In the case sub judice seeking prospective relief to prevent future harm, we are not judging whether a conviction or sentence should be set aside because of the ineffective assistance of counsel. Applying the two-part test from Strickland here as an absolute requirement defies logic, where the allegations concern widespread, systemic instances of constitutionally inadequate representation and where the requested remedy in the form of prospective relief seeks to curb and halt continuing acts of deficient performance. What is essentially harmless-error analysis
A simple hypothetical illustrates the inappropriateness of applying, solely, the two-part Strickland test and in taking a position that the only avenue of relief is a criminal appeal. Imagine that, in 100 percent of indi
Contrary to the dissentâs contention, we are not engaging in any findings of prejudice, standing, or
We additionally find that defendantsâ and the dissentâs position ignores the reality that harm can take many shapes and forms. Consistently with the concept of prejudice as employed in criminal appeals, we would agree that justiciable injury or harm is certainly indicated by a showing that there existed a reasonable probability that, but for an error by counsel, the result of a criminal proceeding would have been different. See Carbin, supra at 599-600. But injury or harm also occurs when there are instances of deficient performance by counsel at critical stages in the criminal proceedings that are detrimental to an indigent defendant in some relevant and meaningful fashion, even without neatly wrapping the justiciable harm around a verdict and trial. Such harm arises, for example, when there is an unnecessarily prolonged pretrial detention, a failure to file a dispositive motion, entry of a factually unwarranted guilty plea, or a legally unacceptable pre
Further, even in criminal appeals there are situations in which the prejudice prong need not be satisfied. In Strickland, supra at 692, the United States Supreme Court stated that â[a]ctual or constructive denial of the assistance of counsel altogether is legally presumed to
Our conclusion that the two-part test in Strickland should not control this litigation is generally consistent with caselaw from other jurisdictions addressing comparable suits.
[The Strickland] standard is inappropriate for a civil suit seeking prospective relief. The [S]ixth [A]mendment protects rights that do not affect the outcome of a trial. Thus, deficiencies that do not meet the âineffectivenessâ standard may nonetheless violate a defendantâs rights under the [S]ixth [A]mendment. In the post-trial context, such errors may be deemed harmless because they did not affect the outcome of the trial. Whether an accused has*312 been prejudiced by the denial of a right is an issue that relates to relief â whether the defendant is entitled to have his or her conviction overturned â rather than to the question of whether such a right exists and can be protected prospectively....
Where a party seeks to overturn his or her conviction, powerful considerations warrant granting this relief only where that defendant has been prejudiced. The Strickland [Cjourt noted the following factors in favor of deferential scrutiny of a counselâs performance in the post-trial context: concerns for finality, concern that extensive post-trial burdens would discourage counsel from accepting cases, and concern for the independence of counsel. These considerations do not apply when only prospective relief is sought.
Prospective relief is designed to avoid future harm. Therefore, it can protect constitutional rights, even if the violation of these rights would not affect the outcome of a trial. [Id. at 1017 (citations omitted).]
We fully agree with the statements and observations made in this passage, and they mirror our thoughts voiced earlier in this opinion. Petitions for rehearing and suggestions of rehearing en banc were denied. Luckey v Harris, 896 F2d 479 (CA 11, 1989), cert den 495 US 957 (1990). Eventually, the plaintiffsâ case was dismissed on unrelated abstention grounds. Luckey v Miller, 976 F2d 673 (CA 11, 1992).
In Platt v State, 664 NE2d 357, 362 (Ind App, 1996), a civil suit was brought seeking injunctive relief premised on the contention âthat the system for providing legal counsel for indigents in Marion County lacks sufficient funds for pretrial investigation and preparation which inherently causes ineffective assistance of counsel at trial.â The plaintiffs alleged that the public defender system violated the fundamental right to effective pretrial assistance of counsel under the Sixth Amendment. Id. The appellate court first cited principles from Strickland and Cronic and then ruled:
Here, Platt seeks to enjoin the Marion County public defender system because it effectively denies indigents the effective assistance of counsel. However, a violation of a Sixth Amendment right will arise only after a defendant has shown he was prejudiced by an unfair trial. This prejudice is essential to a viable Sixth Amendment claim and will exhibit itself only upon a showing that the outcome of the proceeding was unreliable. Accordingly, the claims presented here are not reviewable under the Sixth Amendment as we have no proceeding and outcome from which to base our analysis. [Id. at 363 (citation omitted).]
This cursory analysis is flawed for all the reasons that we expressed earlier in this opinion. Moreover, the opinion is essentially silent with respect to any particular allegations of deficient performance and harm, and it indicates that the court was not presented with any criminal proceedings and outcomes. In the instant case,
There is also the case of Kennedy v Carlson, 544 NW2d 1 (Minn, 1996), in which a chief public defender brought suit. The Minnesota Supreme Court noted that the public defender claimed âthat his clients have been exposed to the possibility of substandard legal representation^]â Id. at 6 (emphasis added). The court, without any reference whatsoever to Strickland and its two-part test, stated:
We note that appellants cite a number of decisions by other courts addressing the issue of public defense funding. In those cases where courts have found a constitutional violation due to systemic underfunding, the plaintiffs showed substantial evidence of serious problems throughout the indigent defense system. By comparison, Kennedy has shown no evidence that his clients actually have been prejudiced due to ineffective assistance of counsel. To the contrary, the evidence establishes that Kennedyâs office is well-respected by trial judges, it is well-funded when compared to other public defender offices, and its attorneys have faced no claims of professional misconduct or malpractice. [Id. at 6-7.]
The Minnesota court then proceeded to cite several cases in which courts from other jurisdictions have adjudicated matters related to systemic constitutional deficiencies arising out of the right to effective counsel. Id. at 7-8. The court then ruled:
The majority of the cases discussed above cite evidence of substandard representation by court appointed defense counsel, generally supplied by a particular defendant, as contributing to the courtâs decision to intervene. Kennedy, however, has not shown that his attorneys provide substandard assistance of counsel to their clients... .
*315 In short, Kennedyâs claims of constitutional violations are too speculative and hypothetical to support jurisdiction in this court. The district court did not find that Kennedyâs staff had provided ineffective assistance to any particular client, nor did it find that Kennedy faced professional liability as a result of his officeâs substandard services. Nor do any of Kennedyâs clients join him in attacking the statutory funding scheme at issue here by presenting evidence of inadequate assistance in particular cases. In light of Kennedyâs failure to provide more substantial evidence of an âinjury in factâ to himself or his clients, we hold that the district court erred in granting Kennedyâs summary judgment motion. [Id. at 8.]
Here, we have a class of plaintiffs who have been, are being, or will be subjected to the court-appointed, indigent defense systems employed in Berrien, Muskegon, and Genesee counties. Further, we have extensive allegations of substandard representation and ineffective assistance of counsel. Thus, given the distinctions between Kennedy and the instant action, the ultimate holding in Kennedy is simply inapposite and its underlying discussion tends to support our ruling.
In New York Co Lawyersâ Assân v State, 192 Misc 2d 424, 430-431; 745 NYS2d 376 (2002), the New York court rejected a Strickland approach, reasoning:
Prejudice, as an aspect of the Strickland test, is examined more generally under the State Constitution in the context of whether defendant received meaningful representation. (See, People v. Hobot, 84 N.Y.2d 1021, 1022, 646 N.E.2d 1102, 1103, 622 N.Y.S.2d 675, 676 (1995) (the test is whether counselâs errors seriously compromise a defendantâs right to a fair trial).... The purpose is to ensure that a defendant has the assistance necessary to justify societyâs reliance on the outcome of the proceedings. Notably, New York is concerned as much with the integrity of the judicial process as with the issue of guilt or innocence,*316 and therefore this court finds the more taxing two-prong Strickland standard used to vacate criminal convictions inappropriate in a civil action that seeks prospective relief premised on evidence that the statutory monetary cap provisions and compensation rates currently subject children and indigent adults to a severe and unacceptable risk of ineffective assistance of counsel. This court further finds Stricklandâs reliance on post-conviction review provides no guarantee that the indigent will receive adequate assistance of counsel under the New York Constitution in the context of this action. Accordingly, because the right to effective assistance of counsel in New York is much more than just the right to an outcome, threatened injury is enough to satisfy the prejudice element and obtain prospective injunctive relief to prevent further harm. [Citation omitted.]
In Quitman Co v State, 910 So 2d 1032 (Miss, 2005), the county itself commenced a civil action for declaratory and injunctive relief, alleging that by imposing an obligation on the county to fund the representation of indigent defendants, the state of Mississippi breached its constitutional duties to provide adequate representation for indigent criminal defendants. Consistent with our opinion, the Mississippi Supreme Court stated:
In [the first appeal], this Court held that the County would be entitled to the prospective statewide relief it seeks if it established the cost of an effective system of indigent criminal defense, the countyâs inability to fund such a system, and the failure of the existing system to provide indigent defendants in Quitman County with the tools of an adequate defense. The circuit judge ruled that the County failed to establish these facts.... The County asserts that â[t]he evidence at trial established each of these elements.â
The State correctly points out that â[c]ommon sense suggests that if Quitman County claims there is widespread and pervasive ineffectiveness, the most probative evidence to support that claim would be testimony about*317 specific instances when the public defendersâ performance fell below âan objective standard of reasonablenessâ as measured by the professional norms.â [Citing Strickland!.] The State also asserts that the circuit judge expected to hear such testimony at trial since the County alleged in its complaint that requiring each county to pay for its own public defenders did not satisfy the constitutional requirements for effective assistance of counsel. The record reflects that no such evidence was presented at trial.....
The County did not present any evidence on any one of the central factual allegations in its complaint, and the County did not try to show specific examples of when the public defendersâ legal representation fell below the objective standard of professional reasonableness. [Id. at 1037 (emphasis in original).]
The Mississippi Supreme Court had allowed the case to go forward on the basis of the allegations in the complaint, State v Quitman Co, 807 So 2d 401 (Miss, 2001), which is all that we are doing, and our plaintiffs must ultimately prove their case to obtain relief, which the county in Quitman failed to accomplish.
We finally note Benjamin v Fraser, 264 F3d 175 (CA 2, 2001), which was a suit that involved the question whether pretrial detainees had demonstrated the existence of current and ongoing constitutional violations and the need for the continuation of prospective relief with respect to impediments to attorney-client jail visitations. The United States Court of Appeals for the Second Circuit stated that â[i]n considering burdens on the Sixth Amendment right to counsel, we have not previously required that an incarcerated plaintiff demonstrate âactual injuryâ in order to have standing.â Id. at 186. The court further asserted that â[i]t is not clear to us what âactual injuryâ would even mean as applied to a pretrial detaineeâs right to counsel.â Id. Read in context, the Benjamin court was simply indicating, consistently with our position, that a Strickland-like
Having set the analytical framework, including the appropriate standard for justiciable harm, we now move on to applying the allegations in plaintiffsâ complaint to the framework.
h. APPLICATION OF COMPLAINT ALLEGATIONS TO JUSTICIABILTY PRINCIPLES
(i) HARM AND THE NAMED PLAINTIFFS
Plaintiff Christopher L. Duncan alleges that he pleaded guilty of an overcharged crime that was factually unwarranted because of his attorneyâs inadequate representation. Plaintiff Billy Joe Burr, Jr., alleges that he had to endure a delay before an acceptable misdemeanor plea was offered to him, which only occurred after counsel advised him to plead guilty of the charged felony and after Burr demanded that counsel speak further to the prosecutor. Plaintiff Steven Connor alleges that there was a basis to suppress a search without a warrant that was ignored by counsel. Plaintiff Antonio Taylor alleges that there existed a valid defense predicated on forensic evidence and witness accounts had counsel bothered conducting an investigation and inquiry. Plaintiff Jose Davila alleges that counsel failed to discuss the charges with Davila, lied to the court about it, and failed to challenge a revision of the charges. Plaintiffs Jennifer OâSullivan, Christopher Manies, and Brian Secrest allege that counsel had effectively gone missing in action, despite the fact that they faced serious charges and that hearings and trials were pending. A common thread that runs through all the allegations concerning the named
Plaintiffs devote an entire section of the complaint to allegations of harm suffered by class members. Plaintiffs allege that class members âare detained unnecessarily or for prolonged periods of time before trial.â As examples, they refer to contract defenders and counsel for indigents who rarely seek bail reductions, despite circumstances calling for reductions, and who fail to appear at court proceedings, resulting in frequent postponements and rescheduling. Plaintiffs refer to one class member who âwas forced to sit in the county jail for months because an attorney he never met missed several consecutive court dates, including three scheduled circuit court hearings.â These allegations include instances of deficient performance, which also resulted in the harm of unwarranted, unnecessary, and prolonged delays and detentions.
Plaintiffs next allege that class members are compelled into taking inappropriate pleas, often to the highest charged crimes, even âwhen they have meritorious defenses.â Plaintiffs assert that counsel routinely encourage guilty pleas âwithout a proper factual basis for guiltâ and absent âeven a cursory investigation into potentially meritorious defenses.â They further complain of counsel pressuring class members to take âopen pleas,â which promise no particular sentence and which âoften result in punishment that is disproportionate to the facts of the case.â Plaintiffs refer to one case in which counsel permitted a client to plead guilty of failure to pay restitution even though he had already paid restitution. Plaintiffs indicate that class members are so fearful that counsel will not adequately prepare
Plaintiffs allege that indigent defendants who insist on going to trial are subjected to punitive charges or lengthy pretrial delays. As an example, plaintiffs refer to an indigent defendant who sat in the Muskegon County jail for 10 months before he finally pleaded guilty of various charges. Plaintiffs allege that the indigent defendantâs court-appointed counsel ârefused to enforce his right to a speedy trial and instead told the client that if he did not plead, the prosecutor would drop the charges against him before the speedy trial period ran and re-arraign him on the same charges.â Plaintiffs contend that there had been no evidence connecting the defendant to the crime and that the defendant âhad three alibi witnesses who would have testified that he was nowhere near the crime scene.â Justiciable harm could be found from these allegations.
Plaintiffs additionally allege that class members face harsher sentences than warranted by the facts. They refer to a case in which a criminal defendant received a sentence of 12 to 24 monthsâ imprisonment despite the fact that the plea agreement recommended no incarceration. Plaintiffs note that â[w]hen the sentence was imposed, [the defendantâs] attorney said nothing. Instead, it was the prosecutor who reminded the court of its obligation to allow the client to withdraw her plea if the court did not intend to follow the plea agreement.â Plaintiffs allege that â[a]n attorney in Genesee County told a client trying to decide whether to plead guilty to tampering with a parking meter that if he were convicted at trial, he would face a sentence of 15 years.
Plaintiffs next maintain that â[cjounsel are unable to file necessary motions for pre-trial suppression, discovery, [and] speedy trial, motions to quash circuit court bind-over, or motions in liminef, and] [t]hey often fail to challenge illegal identifications, illegal searches and seizures, or illegally obtained confessions.â Plaintiffs complain that âsome attorneys refuse to provide their clients with copies of court files and police records.â These allegations include instances of deficient performance detrimental to indigent defendants.
With respect to trials, plaintiffs allege:
Counsel cannot prepare adequately for court hearings and trial. Many do not call witnesses to testify on their*323 clientsâ behalf, do not call experts to challenge the prosecution, and do not perform meaningful cross-examinations. Others do not make opening or closing statements at trial. In fact, many do not put on any meaningful defense case at all.
Plaintiffs do allege that wrongful convictions have occurred, which suggests satisfaction of the Strickland prejudice requirement typically applicable in criminal appeals.
(iii) PRESUMED PREJUDICE AND HARM
Plaintiffs allege that the three challenged court-appointed, indigent defense systems âfail[] to provide counsel to all eligible indigent defendants.â Plaintiffs claim that â[s]ome members ... must represent themselves because they are wrongfully denied defender services.â In that same vein, plaintiffs allege that âindigent defendants who are constitutionally eligible for state-appointed counsel are denied counsel.â As an example, plaintiffs contend that â[o]ne Berrien County judge . . . routinely refuses to appoint counsel to defendants who have made bail[.]â On this same topic, plaintiffs maintain that â[t]he Muskegon law firm holding the indigent defense contract advises its lawyers to move to be discharged from representing clients who have full-time jobs, regardless of how little those jobs pay.â And â[o]ne attorney in Genesee County refuses to represent indigent defendants assigned to him if he considers them to be financially ineligible. Instead, he offers to represent them as a private attorney, at a discount from his normal rate.â Plaintiffs further contend that, as a result of a failure to abide by national performance standards, class members are âconstructively denied, or threatened with the constructive denial of counsel.â These allegations concern the actual or
Plaintiffs also allege that âattorneys routinely represent clients in situations in which conflicts of interest exist.â According to plaintiffs, â[m]any indigent defense counsel also serve as prosecutors, often in the same courtrooms before the same judges. Some are assigned to defend individuals they previously prosecuted.â As an example, plaintiffs allege that âa Berrien County attorney does both felony defense work and abuse and neglect work. He has no system for screening conflicts despite the possibility of defending a parent under the felony contract who is also the subject of an abuse and neglect proceeding under the other contract.â Prejudice is presumed when an attorney is burdened by an actual conflict of interest. Strickland, supra at 692.
(iv) WIDESPREAD HARM, CAUSATION, AND REDRESS OF INJURY
We first find that the allegations discussed in the preceding sections reflect widespread and systemic instances of violations of the constitutional right to counsel and the effective assistance of counsel.
Plaintiffs allege that an absence of standards, training,
As a result of the[] systemic deficiencies, indigent defense counsel do not meet with clients prior to critical stages in their criminal proceedings;[23 ] investigate adequately the charges against their clients or hire investigators who can assist with case preparation and testify at trial; file necessary pre-trial motions; prepare properly for court appearances; provide meaningful representation at sentencings; or employ and consult with experts when necessary. In addition, the systemic deficiencies provide no method for ensuring that attorneys are representing clients free from conflicts of interest.
As a direct result of Defendantsâ failure to ensure that indigent defense providers have the tools necessary to provide constitutionally adequate indigent defense in the three Counties, indigent defense services in the Counties, and elsewhere in the State, are operated at the lowest cost possible and without regard to the constitutional adequacy of the services provided. The result is that the indigent defense provided in each of the three Counties does not meet â and does not attempt to meet â the [American Bar Associationâs] Ten Principles, Michiganâs Eleven Principles, or commensurate safeguards; and does not meet or even attempt to meet the constitutional mĂnimums required by the United States and Michigan Constitutions.[24 ]
6. CLASS CERTIFICATION
Defendants maintain that the trial court erred in granting plaintiffsâ motion to certify the class. Defendants contend that plaintiffs failed to show that a class action is the superior way to litigate the claims. In support of the superiority argument, defendants assert that a âclass action serves no useful purpose because the requested relief may be obtained from an individual action and would automatically accrue to the benefit of
In Neal v James, 252 Mich App 12, 15-16; 651 NW2d 181 (2002), this Court articulated some general principles applicable in determining whether a class should be certified:
Because there is limited case law in Michigan addressing class certifications, this Court may refer to federal cases construing the federal rules on class certification. When evaluating a motion for class certification, the trial court is required to accept the allegations made in support of the request for certification as true. The merits of the case are not examined. The burden is on the plaintiff to show that the requirements for class certification exist. [Citations omitted.]
âThe five factors a court must consider when deciding whether to certify a class are found in MCR 3.501(A)(1), and a plaintiff seeking to certify a class must show that all five enumerated requirements are
One or more members of a class may sue or be sued as representative parties on behalf of all members in a class action only if:
(a) the class is so numerous that joinder of all members is impracticable;
(b) there are questions of law or fact common to the members of the class that predominate over questions affecting only individual members;
(c) the claims or defenses of the representative parties are typical of the claims or defenses of the class;
(d) the representative parties will fairly and adequately assert and protect the interests of the class; and
(e) the maintenance of the action as a class action will be superior to other available methods of adjudication in promoting the convenient administration of justice.
a. NUMBER OF CLASS MEMBERS AND PRACTICALITY OF JOINDER
The first requirement for class certification is that the class must be âso numerous that joinder of all members is impracticable[.]â MCR 3.501(A)(1)(a). In the complaint, plaintiffs indicate:
The Class is defined as all indigent adult persons who have been charged with or will be charged with felonies in the District and Circuit Courts of Berrien, Genesee, and Muskegon Counties and who rely or will rely on the Counties to provide them with defense services. The Class includes all indigent adults against whom felony criminal charges will be brought in Berrien, Genesee, and Muskegon Counties during the pendency of this action.
We agree with plaintiffs that the class, as defined in the complaint, is sufficiently numerous to make joinder
b. commonality of legal and factual questions
The second requirement for class certification is that there must be âquestions of law or fact common to the members of the class that predominate over questions affecting only individual members[.]â MCR. 3.501(A)(1)(b). While this action will require contemplation of specific instances of deficient performance and instances of the actual or constructive denial of counsel, the ultimate broad factual questions common to all members in the class, given the type of relief sought, are whether there have been widespread and systemic constitutional violations, whether the violations were and are being caused by deficiencies in the county indigent defense systems, and whether the systemic deficiencies were and are attributable to or resulted from the action or inaction of defendants. Any evidence concerning individual prosecutions has no bearing on those particular criminal cases and the available appellate remedies, except to the extent of any effect on a pending case caused by a systemwide remedy resulting from an order or judgment rendered in this action. The evi
The dissentâs reliance on Neal is equally misplaced. That case involved claims of racial discrimination brought by a class of African-Americans who held or had sought employment with the city of Detroitâs law department. The trial court certified the class, and this Court reversed for failure to satisfy the commonality requirement. The Neal panel reached its holding because âindividual factual circumstances pertinent to each plaintiff will need to be reviewed, and individual, fact-specific inquiries will need to be made in evaluating why certain individuals were not hired or promoted, or why other individuals were discharged or not retained.â Neal, supra at 20. Importantly, the Court thereafter stated that the plaintiffs had âsimply not shown that there was any specific policy or practice followed by defendants to satisfy the âcommonalityâ requirement[.]â Id. Here, plaintiffsâ case is built on defendantsâ and the countiesâ policies and practices, it requires proof of widespread and systemic constitutional violations before any relief is available, and it focuses on systemwide, prospective relief. Neal is simply inapposite.
Next, there is also commonality with respect to the legal questions, which all concern state and federal constitutional rights to due process and to counsel. We conclude that the allegations in the complaint satisfy the commonality requirement in regard to both the factual and legal questions presented.
The third requirement for class certification is that there must be âclaims ... of the representative parties [that] are typical of the claims ... of the class[.]â MCR 3.501(A)(1)(c). As reflected in our earlier review of the allegations in the complaint, the claims of the named plaintiffs, which pertained mostly to deficient performance of counsel at critical pretrial stages of the criminal proceedings, are typical of the allegations of the class members. We conclude that the allegations in the complaint satisfy the typicality requirement.
d. PROTECTION OF INTERESTS BY REPRESENTATIVE PARTIES
The fourth requirement for class certification is that âthe representative parties [must] fairly and adequately assert and protect the interests of the class[.]â MCR 3.501(A)(1)(d). Plaintiffs allege:
[The] Class representatives will fairly and adequately protect the interests of the Plaintiffs. Plaintiffsâ counsel know of no conflicts of interest between the class representatives and absent class members with respect to the matters at issue in this litigation; the class representatives will vigorously prosecute the suit on behalf of the Class; and the class representatives are represented by experienced counsel.
Given that âthe trial court is required to accept the allegations made in support of the request for certification as trueâ when evaluating a class certification motion, Neal, supra at 15, and considering the quoted allegations, we conclude that MCR 3.501(A)(1)(d) has been satisfied.
e. SUPERIORITY
With respect to the fifth factor, whether âthe maintenance of the action as a class action will be superior to
In determining whether the maintenance of the action as a class action will be superior to other available methods of adjudication in promoting the convenient administration of justice, the court shall consider among other matters the following factors:
(a) whether the prosecution of separate actions by or against individual members of the class would create a risk of
(i) inconsistent or varying adjudications with respect to individual members of the class that would confront the party opposing the class with incompatible standards of conduct; or
(ii) adjudications with respect to individual members of the class that would as a practical matter be dispositive of the interests of other members not parties to the adjudications or substantially impair or impede their ability to protect their interests;
(b) whether final equitable or declaratory relief might be appropriate with respect to the class;
(c) whether the action will be manageable as a class action;
(d) whether in view of the complexity of the issues or the expense of litigation the separate claims of individual class members are insufficient in amount to support separate actions;
(e) whether it is probable that the amount which may be recovered by individual class members will be large enough in relation to the expense and effort of administering the action to justify a class action; and
(f) whether members of the class have a significant interest in controlling the prosecution or defense of separate actions.
In Edgcumbe v Cessna Aircraft Co, 171 Mich App 573, 575; 430 NW2d 788 (1988), this Court explained
On examination and consideration of the enumerated factors relative to superiority, MCR 3.501(A)(2), we conclude that they weigh in favor of certification of the class. It is vital to keep in mind the nature of plaintiffsâ complaint in analyzing the class certification issue. Plaintiffs will need to establish widespread instances of ineffective assistance of counsel and denial of counsel. Because criminal prosecutions in the three counties are not being stayed during the pendency of this litigation, class members constitute a fluid class and the attendant criminal proceedings will continually be in flux. Indeed, the prosecutions of the named plaintiffs, to our knowledge, have been mostly resolved. Promoting the convenient administration of justice necessarily demands that this case proceed as a class action. In Reynolds v Giuliani, 118 F Supp 2d 352, 391-392 (SD NY, 2000), the federal district court commented:
[C]lass certification is not a mere formality because it will insure against the danger of this action becoming*336 moot. This case involves a fluid class where the claims of the named plaintiffs may become moot prior to completion of this litigation. The danger of mootness is magnified by the fact that defendants have the ability to moot the claims of the named plaintiffs, thereby evading judicial review of their conduct. Thus, this Court, like other courts under these circumstances, believes that class certification is necessary. See Greklek v. Toia, 565 F.2d 1259, 1261 (2d Cir. 1977) (affirming district courtâs grant of class certification in action requesting declaratory and injunctive relief âsince only class certification could avert the substantial possibility of the litigation becoming moot prior to the decisionâ); Alston v. Coughlin, 109 F.R.D. 609, 612 (S.D. N.Y. 1986) (â[t]he plaintiffs interest in averting the possibility of the action becoming moot, with the concomitant interest in judicial economy, makes class certification in this case more than an empty formalityâ); Jane B. [v New York City Depât of Social Services] 117 F.R.D. [64, 72 (SD NY, 1987)] (â[a]n additional reason for granting the motion for certification lies in avoiding problems of mootnessâ); Ashe [v Bd of Elections] 124 F.R.D. [45, 51 (ED NY, 1989)] (â[a] further ground for finding class certification to be more than a âformalityâ here is to avoid the danger of the individual plaintiffsâ claims becoming moot before a final adjudicationâ); Koster v. Perales, 108 F.R.D. 46, 54 (E.D. N.Y. 1985) (class certification is necessary when âabsent certification, there is a substantial danger of mootnessâ). Accordingly, plaintiffsâ motion for class certification is granted.
We have the same mootness dangers if this case is not pursued through the vehicle of a class action lawsuit. This fact alone defeats most of defendantsâ arguments on the issue of class certification, e.g., the argument that a class action serves no useful purpose. Absent class certification, and even assuming that no mootness issue exists, the prosecution of separate actions would create a risk of inconsistent or varying adjudications. MCR 3.501(A)(2)(a). Furthermore, equitable and declaratory relief would not only be appropriate for the class on establishing its case, it is the only relief being
IV SUMMARY
We respectfully disagree with our dissenting colleagueâs criticisms of this opinion and, to the extent not already addressed above, feel compelled to respond. This case certainly presents difficult issues, requiring us, in part, to tread in unchartered legal waters. There are, however, some fundamental principles at play here.
It is well accepted that part of the judiciaryâs role and function in our tripartite system of government is to interpret constitutional provisions, apply constitutional requirements to the facts at hand, and safeguard and protect constitutional rights, all through entry of orders and judgments as guided by stare decisis. That the judiciary can declare executive and legislative conduct unconstitutional, can prohibit continuing unconstitutional conduct by the two other branches of government, and can demand constitutional compliance, hardly seem to be foreign principles in the jurisprudence of this state and the country. For support, we need not look any further than the historic landmark case of Marbury, supra at 177-180, in which Chief Justice John Marshall so eloquently stated:
*338 The constitution is either a superior paramount law, unchangeable by ordinary means, or it is on a level with ordinary legislative acts, and, like other acts, is alterable when the legislature shall please to alter it. If the former part of the alternative be true, then a legislative act, contrary to the constitution, is not law: if the latter part be true, then written constitutions are absurd attempts, on the part of the people, to limit a power, in its own nature illimitable. Certainly all those who have framed written constitutions contemplate them as forming the fundamental and paramount law of the nation, and consequently the theory of every such government must be, that an act of the legislature, repugnant to the constitution, is void. This theory is essentially attached to a written constitution, and is, consequently, to be considered, by this court, as one of the fundamental principles of our society. It is not, therefore, to be lost sight of, in the further consideration of this subject.
If an act of the legislature, repugnant to the constitution, is void, does it, notwithstanding its invalidity, bind the courts, and oblige them to give it effect? Or, in other words, though it be not law, does it constitute a rule as operative as if it was a law? This would be to overthrow, in fact, what was established in theory; and would seem, at first view, an absurdity too gross to be insisted on. It shall, however, receive a more attentive consideration. It is, emphatically, the province and duty of the judicial department, to say what the law is. Those who apply the rule to particular cases, must of necessity expound and interpret that rule. If two laws conflict with each other, the courts must decide on the operation of each.
So, if a law be in opposition to the constitution; if both the law and the constitution apply to a particular case, so that the court must either decide that case, conformable to the law, disregarding the constitution; or conformable to the constitution, disregarding the law; the court must determine which of these conflicting rules governs the case: this is of the very essence of judicial duty. If then, the courts are to regard the constitution, and the constitution is superior to any ordinary act of the legislature, the*339 constitution, and not such ordinary act, must govern the case to which they both apply. Those, then, who controvert the principle, that the constitution is to be considered, in court, as a paramount law, are reduced to the necessity of maintaining that courts must close their eyes on the constitution, and see only the law. This doctrine would subvert the very foundation of all written constitutions. It would declare that an act which, according to the principles and theory of our government, is entirely void, is yet, in practice, completely obligatory. It would declare, that if the legislature shall do what is expressly forbidden, such act, notwithstanding the express prohibition, is in reality effectual. It would be giving to the legislature a practical and real omnipotence, with the same breath which professes to restrict their powers within narrow limits. It is prescribing limits, and declaring that those limits may be passed as pleasure.
That it thus reduces to nothing, what we have deemed the greatest improvement on political institutions, a written constitution, would, of itself, be sufficient, in America, where written constitutions have been viewed with so much reverence, for rejecting the construction. But the peculiar expressions of the constitution of the United States furnish additional arguments in favour of its rejection. The judicial power of the United States is extended to all cases arising under the constitution. Could it be the intention of those who gave this power, to say, that in using it, the constitution should not be looked into? That a case arising under the constitution should be decided, without examining the instrument under which it arises? This is too extravagant to be maintained. In some cases, then, the constitution must be looked into by the judges. And if they can open it at all, what part of it are they forbidden to read, or to obey? There are many other parts of the constitution which serve to illustrate this subject.
[I]t is apparent, that the framers of the constitution contemplated that instrument as a rule for the government*340 of courts, as well as of the legislature. Why otherwise does it direct the judges to take an oath to support it? This oath certainly applies in an especial manner, to their conduct in their official character. How immoral to impose it on them, if they were to be used as the instruments, and the knowing instruments, for violating what they swear to support! The oath of office, too, imposed by the legislature, is completely demonstrative of the legislative opinion on this subject. It is in these words: âI do solemnly swear, that I will administer justice, without respect to persons, and do equal right to the poor and to the rich; and that I will faithfully and impartially discharge all the duties incumbent on me as _, according to the best of my abilities and understanding, agreeably to the constitution, and laws of the United States.â Why does a judge swear to discharge his duties agreeably to the constitution of the United States, if that constitution forms no rule for his government? [I]f it is closed upon him, and cannot be inspected by him? If such be the real state of things, this is worse than solemn mockery. To prescribe, or to take this oath, becomes equally a crime. [Paragraphs reconfigured; emphasis added.]
Moving forward more than 200 years, the United States Supreme Court in Boumediene, supra, reiterated the principles from Marbury. The Court stated that abstaining from questions requiring political judgments reflects recognition that such matters are best left to the political branches and not the judiciary. Boumediene, 553 US at_; 128 S Ct at 2259; 171 L Ed 2d at 77. However, â[t]o hold [that] the political branches have the power to switch the Constitution on or off at will is quite another [matter].â Id. This would unacceptably âpermit a striking anomaly in our tripartite system of government, leading to a regime in which Congress and the President, not this Court, say âwhat the law is.â â Id., quoting Marbury, supra at 177.
Political judgments are involved in determining the manner and method by which a state proceeds in
We are not setting public policy. Rather, we are simply indicating that the judiciary can evaluate the constitutional compliance of policies implemented by the two political branches of government. We are not suggesting that the judiciary can dictate to the other branches of government the type of system to employ in providing representation for indigent defendants. The judiciary, however, can and must have a say with respect to whether a chosen system is constitutionally sound. The judiciary clearly cannot require the political branches to use a âbetterâ system than a system currently in place, where the existing system sufficiently safeguards constitutional rights. See Grand Traverse Co, supra at 472 (it is for the Legislature to decide whether to implement a more desirable system).
Concerns have been expressed about expenses that may be incurred by state taxpayers and the state to
No one can doubt that Congress and the President are confronted with fiscal and economic problems of unprecedented magnitude, but âthe fact that a given law or procedure is efficient, convenient, and useful in facilitating functions of government, standing alone, will not save it if it is contrary to the Constitution. Convenience and efficiency are not the primary objectives â or the hallmarks â of democratic government....â [Citation omitted.]
With respect to the expressed concerns about the possible prospect that the state will have to operate an indigent defense system at the trial level, we care not whether it is the state, administrative agencies, counties, municipalities, courts, or any other bodies, alone or in combination, that operate a system providing representation for indigent criminal defendants. Our only concern is that whatever system is adopted, regardless of what entity operates the system, it must safeguard the constitutional rights to counsel and the effective assistance of counsel. Plaintiffs have filed a complaint containing sufficient allegations that those constitutional rights are not currently being protected in the
v CONCLUSION
We hold that defendants are not shielded by governmental immunity, that defendants are proper parties, that the trial court, not the Court of Claims, has jurisdiction, and that the trial court has jurisdiction and authority to order declaratory relief, prohibitory injunctive relief, and some level of mandatory injunctive relief, the full extent of which we need not presently define. We further hold that, on the basis of the pleadings and at this juncture in the lawsuit, plaintiffs have sufficiently alleged facts that, if true, establish standing, establish that the case is ripe for adjudication, and state claims upon which declaratory and injunctive relief can be awarded. Finally, we hold that the trial court properly granted the motion for class certification.
Affirmed.
The statutory exceptions to governmental immunity consist of the highway exception, MCL 691.1402, the proprietary-function exception, MCL 691.1413, the governmental-hospital exception, MCL 691.1407(4), the motor-vehicle exception, MCL 691.1405, the public-building exception, MCL 691.1406, and the sewage-disposal-system-event exception, MCL 691.1417(2). Odom, supra at 478 n 62.
MCL 775.16 provides:
When a person charged with having committed a felony appears before a magistrate without counsel, and who has not waived*268 examination on the charge upon which the person appears, the person shall be advised of his or her right to have counsel appointed for the examination. If the person states that he or she is unable to procure counsel, the magistrate shall notify the chief judge of the circuit court in the judicial district in which the offense is alleged to have occurred, or the chief judge of the recorderâs court of the city of Detroit if the offense is alleged to have occurred in the city of Detroit. Upon proper showing, the chief judge shall appoint or direct the magistrate to appoint an attorney to conduct the accusedâs examination and to conduct the accusedâs defense. The attorney appointed by the court shall he entitled to receive from the county treasurer, on the certificate of the chief judge that the services have been rendered, the amount which the chief judge considers to be reasonable compensation for the services performed.
â[T]he Michigan Constitution does not afford greater protection than federal precedent with regard to a defendantâs right to counsel when it involves a claim of ineffective assistance of counsel.â Pickens, supra at 302. Plaintiffsâ request for mandamus-type relief encompasses, without distinction, both the alleged state and the alleged federal constitutional deprivations; therefore, considering that the federal constitutional rights parallel those under the Michigan Constitution, if there is a state violation, there would he a federal violation, implicating relief under 42 USC 1983.
The Supreme Court subsequently granted rehearing and issued Musselman v Governor (On Rehearing), 450 Mich 574, 576-577; 545 NW2d 346 (1996), wherein the former majority of four in the case lost
âWhile strong arguments can be made that state funding would be a more desirable system of court financing, it is for the Legislature to determine whether to adopt such a system.â Grand Traverse Co v Michigan, 450 Mich 457, 472; 538 NW2d 1 (1995).
The trial court would necessarily enter a declaratory judgment before, or contemporaneously with, the entry of an order granting injunctive relief.
The dissent indicates that this litigation will inevitably superimpose a statewide and state-funded system for the representation of indigent criminal defendants. There is, however, no certainty that this will occur, even if it may be a goal of plaintiffs. The dissent jumps ahead to an envisioned remedy, where plaintiffs have not proven, nor even tried their case yet, where legislative or congressional action on the issue, which has received much attention as of late, could conceivably occur before and regardless of this litigation, and where other avenues of constitutional compliance have not been explored, given the stage of the proceedings. Ultimately, and again assuming plaintiffs are successful, constitutional compliance could come in any variety or combination of forms. Our overriding concern is constitutionality, not the chosen path by which constitutional compliance is achieved.
We have ruled that declaratory relief is available, and we have ruled that prohibitory injunctive relief is available, assuming establishment of plaintiffsâ case, both remedies being requested by plaintiffs. It is true that we have not set boundaries with respect to mandatory injunctive relief; however, as already indicated, Straus dictates that restraint be exercised if and until declaratory relief fails to accomplish constitutional compliance. Moreover, our decision not to set the parameters relative to mandatory injunctive relief cannot serve as a basis to dismiss the action, given that other relief is available.
MCR 8.123(A).
While we examine Lewis to provide a general framework, we are examining a different constitutional right and one that is expressly-provided for in the state and federal constitutions. Our harm analysis later in this opinion is additionally shaped by caselaw directly addressing the same constitutional right at stake here.
In Natâl Wildlife, supra at 631, our Supreme Court stated:
[A] plaintiff must include in the pleadings âgeneral factual allegationsâ that injury will result from the defendantâs conduct. If the defendant brings a motion for summary disposition, the plaintiff must further support the allegations of injury with documentation, just as he has to support the other allegations that make up his claim. Finally, when the matter comes to trial, the plaintiff must sufficiently support his claim, including allegations of injury, to meet his burden of proof.
While here there was a motion for summary disposition, it was confined by the parties to the pleadings and the allegations, and it was entertained by the trial court shortly after the filing of the complaint. The case was truly at a pleading-assessment level.
Of course, plaintiffs are not precluded from introducing other evidence that has a tendency to show that future harm is imminent.
In its discussion of class action certification, the dissent states, âUnlike the majority, I am unwilling to presume that eveiy alleged deficiency in every indigent criminal defendantâs case is the result of the alleged deficiencies in the county indigent defense systems.â Post at 394. We agree with the dissent that no presumption should exist, but are at a loss in regard to why the dissent concludes that we are making such a presumption. Throughout this opinion, we indicate that plaintiffs will have to establish a causal connection between the deficient performance and the indigent defense systems being employed. There will likely be occasions in which counsel for an indigent defendant acted below an objective standard of reasonableness, yet the deficient performance cannot be attributed to problems in an indigent defense system; some attorneys may be lacking in skills, and no amount of money, time, and resources will make a difference. Again, proving their case will be a monumental undertaking for plaintiffs.
Harmless-error analysis mirrors the analysis governing review of the prejudice prong of an ineffective assistance claim and also implicates a new trial remedy. See MCL 769.26; People v Lukity, 460 Mich 484, 495; 596 NW2d 607 (1999).
We are assuming, for purposes of this issue and in contemplation of the elements necessary to merit injunctive relief, that a criminal appeal constitutes a âlegal remedy.â Generally, â[a]ctual damages is a legal, rather than an equitable, remedy!.]â Anzaldua v Band, 457 Mich 530, 541; 578 NW2d 306 (1998).
It is not difficult to conceive of scenarios in which a criminal defendant suffers a detriment or âharmâ as a result of an attorneyâs deficient performance, absent consideration of any trial. Effective assistance of counsel at a preliminary examination potentially can result in a dismissal of the prosecutorâs case, as opposed to the caseâs being bound over to the circuit court if counselâs performance was instead deficient. Effective assistance of counsel at a pretrial hearing potentially can result in the exclusion of a confession or an identification, leading to a nolle prosequi or dismissal, whereas a deficient performance by counsel, including a failure to even file a motion challenging the confession or identification, could leave the prosecutionâs case intact and strong. Effective assistance of counsel in plea negotiations potentially can produce a guiliy plea on a warranted charge much less serious than the one initially brought by the prosecution that was factually unwarranted, but an ineffective attorney in comparable circumstances might have his or her client plead guilty of the more serious and overcharged offense. Effective assistance of counsel at a bail hearing might result in a defendantâs being able to be released on bond before trial, whereas ineffective assistance at the same hearing could leave the defendant sitting in a jail cell pending trial. An effective attorney may win a dismissal of a prosecutorâs case for failure by the state to provide a speedy trial to a defendant, as opposed to a situation involving ineffective representation, where the lawyer fails to recognize a speedy trial issue. These are but a few examples in which the effective assistance of counsel would either end the case before trial and conviction or otherwise benefit a defendant in some favorable fashion; deficient performance, on the other hand, results in a detriment to the defendant. Under a scenario in which an unfiled pretrial motion would have precluded a trial from taking place, a criminal defendant still suffers some level of harm or injury by having his or her life unnecessarily put on hold by the trial process even in a situation where the defendant proceeds to trial and is acquitted. Plaintiffsâ complaint encompasses performance deficiencies during the pretrial stages mentioned in this footnote.
In summarizing our position regarding the applicability and relevance of Strickland, we note the following points. We reject the
The court, citing Younger v Harris, 401 US 37; 91 S Ct 746; 27 L Ed 2d 669 (1971), stated that âabstention from interference in state criminal proceedings served the vital consideration of comity between the state and national governments.â Luckey, 976 F2d at 676. âComityâ is defined as â[c]ourtesy among political entities (as nations, states, or courts of different jurisdictions), involving esp. mutual recognition of legislative, executive, and judicial acts.â Blackâs Law Dictionary (7th ed). The Luckey Court invoked abstention because of concerns regarding the possibility that, if relief were granted to the plaintiffs, the federal court would have to force the state to promulgate uniform standards related to prosecutions and that the federal court would have to review and interrupt
We recognize that much has transpired in the criminal prosecutions related to the named plaintiffs since the filing of the instant complaint. In class actions, while there must be a case or controversy with respect to a named plaintiff at the time the complaint was filed in a case, the controversy may continue to exist âbetween a named defendant and a member of the class represented by the named plaintiff, even though the claim of the named plaintiff has become moot.â Sosna v Iowa, 419 US 393, 402; 95 S Ct 553; 42 L Ed 2d 532 (1975). The overall case, however, must still present a case or controversy at the time of court review. Id. In
According to plaintiffs, âmany indigent defense counsel are unable adequately to advise their clients because they are unaware of key aspects of criminal law and procedure, such as the notice requirement for the use of an alibi defense or appropriate objections.â
Plaintiffs claim:
*325 [I]n Berrien County, 6 of the 12 contract holders in 2004 received a collective total of 4,479 felony and misdemeanor cases, for an average of over 746 cases per attorney. One attorney doing contract work regularly had a caseload of 1,000 cases a year (700 misdemeanors and 300 felonies) in addition to 200 private cases. One attorney in Muskegon County handled 700 felony cases per year; another routinely handled 15 felonies per week.
Plaintiffs allege that â[ilndigent defense counsel are unable adequately to investigate the charges against their clients or to hire investigators who can assist with case preparation and testify at trial.â They note that â[i]n 2004, the trial court administrator in Berrien County did not receive a single request for an expert or an investigator.â (Emphasis added.)
Plaintiffs allege:
Most indigent defense counsel do not speak with their clients before they arrive at the courthouse for the probable cause hearing. Attorneys in the Counties routinely enter into plea negotiations without clientsâ permission and before initial client interviews. One Genesee County attorney has stated that he only meets with incarcerated clients prior to a preliminary examination if they are charged with felonies punishable by more than five to ten years of imprisonment.
We note that the complaint contains numerous additional paragraphs alleging the necessary causal connection. The dissent, citing Ashcroft v Iqbal, 556 US _; 129 S Ct 1937; 173 L Ed 2d 868 (2009), argues that the causation allegations in plaintiffsâ complaint fail because they constitute mere legal conclusions and because the allegations implausibly assert causation and are incapable of being proven or disproven. The dissent contends that it is impossible for plaintiffs to prove that the alleged inaction and failures by defendants caused the asserted constitutional violations. To the extent that Ashcroft, a case interpreting the Federal Rules of Civil Procedure and cases construing those rules, even has application to the case at bar, which is controlled by the Michigan Court Rules, it does not support summary dismissal of plaintiffsâ complaint. With respect to the argument that the allegations of causation are legal conclusions, we first note that any allegation of causation, whatever the context, carries with it some tinge of a legal conclusion. Additionally, the extensive complaint sets forth numerous factual allegations that bear on the issue of causation, including those cited by us in this opinion. We initially reiterate the principle so long ago announced in Gideon that it is the state that ultimately has the affirmative constitutional obligation to implement a system that safeguards the right to counsel for indigent defendants, which right, under Strickland and Cronic, includes the right to the effective assistance of