Frieda Aaron v. Maureen O'Connor
Opinion
*1013 A large group of plaintiffs brought medical malpractice claims in Ohio state court against a doctor who operated on them and against several hospitals where he worked. The plaintiffs allege that the judge presiding over their case, Judge Mark R. Schweikert, and Chief Justice Maureen O'Connor of the Ohio Supreme Court were biased against their claims. In accordance with Ohio law, they filed affidavits of disqualification against Judge Schweikert, and requested that Chief Justice O'Connor recuse herself from deciding Judge Schweikert's disqualification. Soon thereafter, they filed the instant suit in the United States District Court for the Southern District of Ohio, asking that the court enjoin Chief Justice O'Connor from ruling on the affidavit of disqualification pertaining to Judge Schweikert and enjoin Judge Schweikert from taking any action in their cases before the affidavit of disqualification was ruled upon. Because the Younger abstention doctrine applies to this situation, we AFFIRM the district court's decision to abstain from hearing the plaintiffs' claims and dismiss the case. However, we REMAND so that the district court can amend its order to dismiss the case without prejudice.
I. BACKGROUND
The plaintiffs, former patients who underwent back surgery with Dr. Abubakar Atiq Durrani, M.D., brought suit in Ohio state courts against Durrani and several hospitals in the Cincinnati area seeking tort damages for medical malpractice. R. 1 (Compl. at 7) (Page ID #7). Numerous cases, involving over 500 plaintiffs, have been litigated for over five years in state courts before several judges. Id . at 1, 7, 20-25 (Page ID #1, 7, 20-25). The plaintiffs allege that Justice Maureen O'Connor, the Chief Justice of the Supreme Court of Ohio, eventually appointed Judge Mark R. Schweikert, a Hamilton County Court of Common Pleas Judge, to oversee the Durrani cases. Appellants Br. at 4; R. 1 (Compl. at 15, 35) (Page ID #15, 35). The plaintiffs' complaint expresses their disagreement with several of Judge Schweikert's decisions regarding the litigation and alleges that Chief Justice O'Connor "has informed and does inform Judge Mark Schweikert how to rule on issues before him and he has followed her orders." Id . at 25 (Page ID #25). Due to their perception that Judge Schweikert and Chief Justice O'Connor were biased against them and that that bias was impacting the litigation, on December 15, 2017, the plaintiffs' counsel filed an "Affidavit of Disqualification of Chief Justice Maureen O'Connor and Judge Mark Schweikert" with the Clerk of the Supreme Court of Ohio. R. 1-1 (Aff. of Disqualification) (Page ID #55). The affidavit alleged that Chief Justice O'Connor and Judge Schweikert have "a bias and a prejudice against Plaintiffs and their claims." Id . (Page ID #56).
Ohio Revised Code § 2701.03 provides for the disqualification of the judge assigned to a state-court case in certain circumstances. "If a judge of the court of common pleas ... allegedly is related to or has a bias or prejudice for or against a party to a proceeding pending before the court ... the party's counsel may file an affidavit of disqualification with the clerk of the supreme court." OHIO REV. CODE § 2701.03(A). The affidavit must include *1014 "specific allegations on which the claim of interest, bias, prejudice, or disqualification is based and the facts to support each of those allegations." OHIO REV. CODE § 2701.03(B)(1). Filing of the affidavit "deprives the judge against whom the affidavit was filed of any authority to preside in the proceeding until the chief justice of the supreme court, or a justice of the supreme court designated by the chief justice, rules on the affidavit." OHIO REV. CODE § 2701.03(D)(1).
The plaintiffs' affidavit of disqualification also argued that Chief Justice O'Connor should not be permitted to decide Judge Schweikert's disqualification because of the plaintiffs' allegation that she herself is biased against them. Ohio Supreme Court Rule of Practice § 4.04 provides for the disqualification and recusal of state supreme court justices in certain circumstances. 1 Section 4.04(B)(1) provides that "[a] party to a case pending before the [Ohio] Supreme Court ... may request the recusal of a justice by filing a request with the Clerk of the [Ohio] Supreme Court." The request must be supported by an affidavit explaining why the recusal is requested and including factual support. Ohio S. Ct. Prac. R. § 4.04(B)(1). Then, "[t]he justice named in the request shall submit a written response to the Clerk indicating whether the justice will recuse from the case." The Clerk shall provide the parties with the response. Ohio S. Ct. Prac. R. § 4.04(C).
On December 18, 2017, three days after filing their affidavit with the Clerk of the Supreme Court of Ohio, the plaintiffs filed suit against Chief Justice O'Connor and Judge Schweikert in federal district court alleging due process violations under
On December 27, 2017, the district court informed the parties that it intended to rule on the preliminary issue of abstention under
Younger v. Harris
,
During the pendency of their federal suit, the plaintiffs filed in state court additional affidavits of disqualification against Judge Schweikert. O'Connor Br. at 5. After the district court's original dismissal of the case, Chief Justice O'Connor denied the plaintiffs' affidavits of disqualification on February 5, 2018. Schweikert Br. at 3. The plaintiffs then filed additional affidavits seeking the disqualification of Judge Schweikert. Schweikert Br. at 3. On February 26, 2018, Chief Justice O'Connor denied those additional affidavits of disqualification. Id .
II. DISCUSSION
A. Standard of Review
We review de novo the district court's judgment abstaining from hearing a case under the
Younger
doctrine.
Doe v. Univ. of Kentucky
,
B. Mootness
Defendant Schweikert argues that the plaintiffs' claims are moot because "[s]ince the filing of their Motion for injunctive relief, Chief Justice O'Connor has ruled upon, and summarily dismissed, seventeen Affidavits of Disqualification filed by Plaintiffs' [sic] against Judge Schweikert and Judge Schweikert is currently presiding over the underlying medical malpractice actions involving the Plaintiffs." Schweikert Br. at 20. We address mootness before we address
Younger
abstention because mootness is a jurisdictional issue.
See
Rettig v. Kent City Sch. Dist.
,
"[A] case is moot when the issues presented are no longer 'live' or the parties lack a legally cognizable interest in the outcome."
Cty. of Los Angeles v. Davis
,
*1016
The plaintiffs have carried their burden and satisfied both prongs. First, the challenged action was completed nearly immediately after the district court entered judgment, and before the case could reach the court of appeals. The district court decided to abstain from hearing the case on January 26, 2018. The plaintiffs filed their motion to alter judgment on February 5, 2018. Chief Justice O'Connor denied the affidavits of disqualification on the same day, ruling on them herself (rather than deferring to another justice) and concluding that Judge Schweikert could continue to preside over the litigation. Therefore, her challenged action (failing to recuse herself from ruling on the affidavits for Judge Schweikert's disqualification) had already been completed before its validity could be fully litigated on appeal in this court.
See
Speer v. City of Oregon,
C. Younger Analysis
We generally "are obliged to decide cases within the scope of federal jurisdiction."
Sprint
,
The prototypical examples of situations falling within this third category are
Juidice v. Vail
,
*1017
We conclude that the ability of the courts of the State of Ohio to determine when recusal of a judge or justice is appropriate and to administer the recusal decision process in accordance with state law operates "uniquely in furtherance of the state courts' ability to perform their judicial functions."
NOPSI
,
The plaintiffs here argue for a narrow construction of the third NOPSI category, positing that because "[h]ere there was no order or judgment of an Ohio court that will be implicated by this Court's exercise of jurisdiction," Younger abstention cannot apply. Appellants Br. at 13, 16. Defendants counter that the plaintiffs propose an overly narrow reading of the third category that cannot be correct due to the Supreme Court's decision in Pennzoil . O'Connor Br.
*1018 at 16. The defendants offer the truer interpretation of Younger precedent.
In
Pennzoil
, Texaco filed its federal suit
before
the Texas court entered judgment for Pennzoil, asking the federal court "to enjoin Pennzoil from taking any action to enforce the judgment" because of the alleged unconstitutionality of Texas's "judgment enforcement procedures."
Sprint
dictates that once we have determined that a case falls into a
NOPSI
category in which
Younger
abstention may be proper, we next analyze the case "using a three-factor test laid out in
Middlesex County Ethics Committee v. Garden State Bar Ass'n
,
Plaintiffs admit that the first two
Middlesex
factors are satisfied in this case. Appellants Br. at 21. However, they argue that the Ohio state proceedings would not give them an adequate opportunity to raise their constitutional arguments. "[T]he burden on this point rests on the federal plaintiff to show 'that the state procedural law barred presentation of its claims.' "
Pennzoil
,
We conclude that the state proceedings provide the plaintiffs an adequate opportunity to raise their constitutional arguments.
2
First, the plaintiffs made the same
*1019
constitutional arguments regarding their due process rights to an unbiased adjudication in their affidavit of disqualification and motion to disqualify the Ohio Chief Justice as they have in this federal case.
Compare
R. 1-1 (Affidavit of Disqualification at 1-25) (Page ID #56-80),
with
R. 1 (Compl. at 5-37) (Page ID #5-37);
Gilbert
,
There are several circumstances under which, although
Younger
abstention would normally be appropriate, the federal court should
not
abstain from hearing a case. The first is where "the state proceeding is motivated by a desire to harass or is conducted in bad faith."
Huffman
,
In their opening brief, the plaintiffs do not expressly argue that their case falls under one of these three exceptions to
Younger
abstention. However, the defendants construe the plaintiffs' allegations that Chief Justice O'Connor and Judge Schweikert were biased as an implicit contention that the third exception applies. O'Connor Br. at 20; Schweikert Br. at 16. The plaintiffs explicitly adopt this argument in their reply brief. Reply Br. at 6. However, we find this tactic insufficient given that the plaintiffs never argued in
*1020
the district court that their case fell within the third
Younger
exception.
4
Instead, the plaintiffs cast their arguments that Judge Schweikert and Chief Justice O'Connor were biased as supporting the conclusion that the third
Middlesex
factor was not met,
not
that the third exception to
Younger
applied.
5
See, e.g.,
R. 19 (Pl. Mem. Addressing the Non-Applicability of the
Younger
Abstention Doctrine at 5) (Page ID #1427); R. 36-1 (Pl. Mem. in Supp. of Pl. Mot. to Alter or Amend at 3) (Page ID #1775). Given the lack of argument regarding the third exception to
Younger
abstention, the district court did not address its applicability in its opinion.
See
R. 34 (Op. and Order) (Page ID #1755). "It is well-settled that issues not presented to the district court but raised for the first time on appeal are not properly before this Court."
Kusens v. Pascal Co.,
The plaintiffs argue that the Supreme Court's 2013 decision in
Sprint
"reduced the scope of the
Younger
abstention doctrine in federal courts" and therefore that this case does not fall within its newly narrowed reach. Appellants Br. at 8. Although we agree that
Sprint
firmly delineates and limits the types of cases that may qualify for
Younger
abstention, we disagree that the present case falls outside the boundary
Sprint
set.
Sprint
synthesizes the
Younger
doctrine and highlights the interaction between the
NOPSI
categories and the
Middlesex
factors.
Sprint
,
Finally, the plaintiffs argue that even if
Younger
abstention applies, the district court erred by dismissing their claim with prejudice. Appellants Br. at 34. Here, the plaintiffs are correct. "A dismissal
*1021
based on
Younger
is without prejudice."
Chalupowski
,
III. CONCLUSION
For the reasons discussed above, we conclude that the district court correctly determined that the Younger abstention doctrine permitted its abstention from entertaining the plaintiffs' claims. We therefore AFFIRM . However, we REMAND so that the district court can amend its order to a dismissal without prejudice.
The district court noted that it was "not convinced Plaintiffs have properly sought the recusal of Chief Justice O'Connor" because the plaintiffs had "filed a combined Affidavit of Disqualification, seeking to disqualify Judge Schweikert and asking a justice other than Chief Justice O'Connor to rule on it. In support, Plaintiffs cite S. Ct. Prac. R. 14.6. There is, however, no Rule 14.6." R. 34 (Op. and Order at 10 n.6) (Page ID #1764). On appeal, the plaintiffs have cited the relevant provision of the Ohio Supreme Court Rules of Practice.
The plaintiffs discuss
Yohn v. Love
,
The plaintiffs implicitly acknowledge the availability of the state appellate system to challenge any determinations that they allege to be biased. R. 1 (Compl. at 20) (Page ID #20) ("Appealing biased and clearly wrong rulings is not a fair remedy to Plaintiffs."). They thus apparently challenge the fairness of the remedy.
The only references to the Younger abstention exceptions in the court below were made by Chief Justice O'Connor, who, in the same way as she did in the appellate briefing, defended against an argument about the third exception that was not actually present in the plaintiffs' earlier briefing. See R. 12 (O'Connor Mem. in Opp. to Pl. Am. Mot. for TRO at 8) (Page ID #722); R. 27 (O'Connor Suppl. Br. on Younger Abstention at 7) (Page ID #1534) ("Plaintiffs seem to argue that the third exception to Younger applies here based on alleged bias.").
In their Reply Memorandum concerning Younger abstention, the plaintiffs quote the "flagrant unconstitutionality" language of the second Younger exception but offer no analysis to support a claim that their case falls under it. R. 28 (Pl. Reply Mem. Further Addressing the Non-Applicability of the Younger Abstention Doctrine at 6) (Page ID #1549) (discussing "The Third Middlesex Factor And Flagrant Unconstitutionality").
Reference
- Full Case Name
- Frieda AARON, Et Al., Plaintiffs-Appellants, v. Maureen O'CONNOR and Mark R. Schweikert, in Their Official Capacities, Defendants-Appellees.
- Cited By
- 64 cases
- Status
- Published