17-2857
IN THE
United States Court of Appeals for the Eighth Circuit
SHONDEL CHURCH, ET AL.,
Plaintiffs-Appellees,
v.
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Will Melehani Gillian Wilcox
Evan Rose ACLU OF MISSOURI
Easha Anand FOUNDATION
ORRICK, HERRINGTON & 406 West 34th Street
SUTCLIFFE LLP Suite 420
The Orrick Building Kansas City, MO 64111
405 Howard Street
San Francisco, CA 94105 Anthony Tartaglio
Annie Prasad
James Maune ORRICK, HERRINGTON &
ORRICK, HERRINGTON & SUTCLIFFE LLP
SUTCLIFFE LLP 1000 Marsh Road
2050 Main Street Menlo Park, CA 94025
Suite 1100
Irvine, CA 92614
Marnee R. Rand*
ORRICK, HERRINGTON &
SUTCLIFFE LLP
1152 15th Street NW
Washington, DC 20005
ii
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TABLE OF CONTENTS
Page(s)
TABLE OF CONTENTS .......................................................................... iii
TABLE OF AUTHORITIES ...................................................................... v
INTRODUCTION ...................................................................................... 1
STATEMENT OF THE ISSUES ............................................................... 4
STATEMENT OF THE CASE .................................................................. 6
Missouri Is Failing Its Constitutional Obligation to Provide
for Indigent Defense ................................................................ 6
Plaintiffs File a Class Action Petition in State Court Seeking
Prospective Equitable Relief................................................... 8
The District Court Correctly Denies the State Defendants’
Motions to Dismiss .................................................................. 9
SUMMARY OF THE ARGUMENT ........................................................ 11
ARGUMENT ............................................................................................ 14
I. Missouri Cannot Use Sovereign Immunity Against
Claims Seeking Prospective Equitable Relief To
Enforce Its Constitutional Obligations. ............................... 14
A. Wyman Holds That Missouri Has No Sovereign
Immunity Where a Plaintiff Seeks Prospective
Equitable Relief to Enforce the State’s
Affirmative “Duty Or Obligation.” .............................. 15
B. Wyman Is Consistent with Missouri Precedent,
with Other States’ Understanding of State
Sovereign Immunity, and with the Common Law. .... 22
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1. Missouri Courts Have Long Entertained
Equitable Claims Against the State Itself. ....... 23
2. The Majority of States Have Similarly Held
There Is No State Sovereign Immunity
Against Claims Seeking Prospective
Enforcement of Constitutional Obligations. ...... 31
3. Even at Common Law, Courts of Equity
Enforced the Crown’s Obligations. .................... 35
C. The Sixth Amendment Imposes an Affirmative
Duty on the States to Provide for Indigent
Defense That Cannot Be Defeated by State
Sovereign Immunity. ................................................... 40
II. Governor Greitens Is A Proper Ex parte Young
Defendant. ............................................................................. 43
III. Governor Greitens Cannot Rely On Legislative
Immunity. .............................................................................. 56
A. Legislative Immunity Is Not Available in an
Official Capacity Suit................................................... 56
B. The Governors’ Unilateral Decisions to Withhold
Money Already Legislatively Allocated to the
MSPD Are Beyond the Boundaries of Legislative
Immunity. ..................................................................... 58
C. Legislative Immunity Is Not Ripe............................... 63
CONCLUSION ........................................................................................ 66
CERTIFICATE OF COMPLIANCE
CERTIFICATE OF SERVICE
iv
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TABLE OF AUTHORITIES
Page(s)
Federal Cases
Alden v. Maine,
527 U.S. 706 (1999) .............................................................................. 42
Bogan v. Scott-Harris,
523 U.S. 44 (1998) ................................................................ 5, 58, 59, 61
Brown v. Plata,
563 U.S. 493 (2011) ........................................................................ 53, 64
Calzone v. Hawley,
866 F.3d 866 (8th Cir. 2017) ................................................................ 49
Cuyler v. Sullivan,
446 U.S. 335 (1980) .............................................................................. 18
Edelman v. Jordan,
415 U.S. 651 (1974) ........................................................................ 22, 54
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Kentucky v. Graham,
473 U.S. 159 (1985) .............................................................................. 57
Kitchen v. Herbert,
755 F.3d 1193, 1202 (10th Cir. 2014) .................................................. 45
Kittle-Aikeley v. Strong,
844 F.3d 727 (8th Cir. 2016) (en banc)................................................ 30
Luckey v. Harris,
860 F.2d 1012 (11th Cir. 1988) ............................................ 5, 44, 45, 48
Maine v. Moulton,
474 U.S. 159 (1985) .............................................................................. 18
Marbury v. Madison,
5 U.S. (1 Cranch) 137 (1803) ............................................................... 36
Okpalobi v. Foster,
244 F.3d 405 (5th Cir. 2001) (en banc)................................................ 50
Papasan v. Allain,
478 U.S. 265 (1986) .............................................................................. 53
Parrish v. Dayton,
761 F.3d 873 (8th Cir. 2014) .......................................................... 52, 65
vi
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Percefull v. Claybaker,
211 F. App’x 521 (8th Cir. 2006) (per curiam) .................................... 60
Roach v. Stouffer,
560 F.3d 860 (8th Cir. 2009) ............................................................ 5, 57
Smyth v. Ames,
169 U.S. 466 (1898) .............................................................................. 28
TNT Speed & Sport Center, Inc. v. Am. States Ins. Co.,
114 F.3d 731 (8th Cir. 1997) ................................................................ 31
Ex parte Young,
209 U.S. 123 (1908) ........................................................................ 28, 44
vii
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Young v. Mercer Cty. Comm’n,
849 F.3d 728 (8th Cir. 2017) ................................................................ 59
State Cases
Anthony K. v. State,
855 N.W.2d 802 (Neb. 2014) ................................................................ 33
Barrett v. Greitens,
No. WD80837, 2017 WL 6453618 (Mo. Ct. App. Dec. 19,
2017) ..................................................................................................... 63
Benson v. State,
710 N.W.2d 131 (S.D. 2006)................................................................. 34
Brooks v. State,
128 S.W.3d 844 (Mo. banc 2004) ......................................................... 23
Carson v. Sullivan,
223 S.W. 571 (Mo. banc 1920) ....................................................... 27, 28
Chiles v. Children,
589 So. 2d 260 (Fla. 1991) ............................................................. 62, 63
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City of Colo. Springs v. Conners,
993 P.2d 1167 (Colo. 2000) .................................................................. 34
Edwards v. McNeill,
894 S.W.2d 678 (Mo. Ct. App. 1995) ................................................... 43
ix
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Goines v. Mo. Dep’t of Soc. Servs.,
364 S.W.3d 684 (Mo. Ct. App. 2012) ............................................. 27, 30
In re Hinkebein,
No. SC96089 (Mo. banc Sept. 12, 2017) ................................................ 7
IBM v. Evans,
453 S.E.2d 706 (Ga. 1995) ................................................................... 33
Kaho’ohanohano v. State,
162 P.3d 696 (Haw. 2007) .................................................................... 34
Kubley v. Brooks,
141 S.W.3d 21 (Mo. banc 2004) ........................................................... 27
Li v. Feldt,
487 N.W.2d 127 (Mich. 1992) .............................................................. 34
Michael E. v. State,
839 N.W.2d 542 (Neb. 2013) ................................................................ 33
Mitchell v. Steffen,
487 N.W.2d 896 (Minn. Ct. App. 1992) ............................................... 34
Nelson v. State,
195 P.3d 293 (Mont. 2008) ................................................................... 34
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Ohio Hosp. Ass’n v. Ohio Dep’t of Human Servs.,
579 N.E.2d 695 (Ohio 1991) ................................................................. 34
Prager v. State,
20 P.3d 39 (Kan. 2001) ......................................................................... 33
Ryan v. State,
656 P.2d 597 (Ariz. 1982) ..................................................................... 33
xi
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State ex rel. Mo. Pub. Def. Comm’n v. Waters,
370 S.W.3d 592 (Mo. banc 2012) ......................................................... 19
Tucker v. State,
394 P.3d 54 (Idaho 2017) ............................................................... 32, 34
Weinschenk v. State,
203 S.W.3d 201 (Mo. banc 2006) ......................................................... 23
Constitutional Provisions
Statutes
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Mo. Rev. Stat. § 56.060 ............................................................................. 48
Other Authorities
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James E. Pfander, Sovereign Immunity and the Right to
Petition: Toward a First Amendment Right to Pursue
Judicial Claims against the Government, 91 Nw. U. L.
Rev. 899 (1997) ............................................................................... 35, 37
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INTRODUCTION
Missouri and the Governor (the “State Defendants”) claim they are
Defendants”) do not assert immunity, but claim that they have done all
they can with the inadequate resources given to them by the State
Defendants.
are reduced, and therefore they cannot remedy the constitutional crisis
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itself, an obligation for which there is no immunity. The State
The first card the State Defendants turn over is the State’s
immunity when they chose to remove this case to federal court, leaving
own courts. And under Missouri law, the State has no sovereign
derives from the State’s immunity, he, like the State, has no immunity
against Plaintiffs’ claims. And even if the State were immune from
suit, the Governor still would not be. The Governor has the requisite
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withholding of millions of dollars of legislatively allocated funding from
the MSPD.
The final card the State Defendants turn over in place of the
arguments are meritless and, as the District Court correctly held, not
The stakes of this case are far too high to play the State
for trial, or perform the other tasks needed for minimally adequate
than sit in jail for months or years while their attorneys attempt to find
time to defend their cases. And, in the past few months, the indigent-
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State sitting on ever-growing “waitlists” to receive any representation
Missouri Supreme Court, have stated that they cannot shoulder any
clients.
Immunity provides no refuge from that duty. This Court should affirm
State ex rel. Mo. Pub. Def. Comm’n v. Pratte, 298 S.W.3d 870
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First English Evangelical Lutheran Church of Glendale v.
281 Care Comm. v. Arneson, 638 F.3d 621 (8th Cir. 2011)
L.A. Cty. Bar Ass’n v. Eu, 979 F.2d 697 (9th Cir. 1992)
official-capacity suit.
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STATEMENT OF THE CASE
seq. But the State’s provision of resources and funds to the MSPD is
funding. JA18-19.
1This brief uses “JA” to refer to the Joint Appendix, “Add” to refer to
the State Defendants’ Addendum, and “OB” to refer to the State
Defendants’ Opening Brief.
6
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cases and to devote far too few hours to each case. Public defenders in
Missouri average just 8.7 hours in preparing the most serious non-
Overall, they are forced to devote fewer than the minimum hours
JA10, 23.
Since this lawsuit was filed in March 2017, the problem has gotten
public defender for violating his ethical obligations to his clients in part
25th Judicial Circuit has gone so far as to suggest that public defenders
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should work harder because “the law is a jealous mistress”; he has also
op. at 3-4 (Mo. Cir. Ct. Phelps Cty. Jan. 11, 2018).
Viola Bowman, and Brian Richman were all charged with crimes in
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Greitens; MSPD Director Michael Barrett; and MSPD Commissioners
and the putative class members’ right to counsel under the United
violated and an order enjoining the ongoing violation of their rights and
question jurisdiction. JA1. Once before the District Court, the MSPD
they have done all they can to meet their obligations and cannot remedy
arguing that the District Court should dismiss for lack of jurisdiction;
the other for failure to state a claim. JA685-727. As relevant here, the
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State Defendants argued that: (1) the State of Missouri has sovereign
case where, like here, the plaintiffs sought only prospective equitable
asked only for general equitable relief and because Governor Greitens’
funds, the District Court held that the claims against Governor
10
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The State Defendants appealed the District Court’s order to this
Court.2
address this issue, squarely held that the State cannot invoke sovereign
affirmative duty that falls directly on the State itself. Under the
2Plaintiffs also moved in June 2017 for class certification. Dkt. No. 52.
That submitted motion remains pending.
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against Plaintiffs’ prospective equitable claims to enforce its obligation
This Court should follow that decision as the best evidence of state
injunctive relief against the State, with the majority of other states
Crown.
his official immunity from the State, likewise lacks immunity. This
Court therefore need not reach the question of whether the Ex parte
12
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Young exception to sovereign immunity applies here. In the event the
Court does reach that issue, however, the District Court correctly held
13
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the MSPD is not a formally legislative act that is integral to the
because it is unclear whether any final order in this case will require
the Governor to abstain from withholding MSPD funds, this issue is not
ARGUMENT
16, 23-24 (Mo. Ct. App. 2012), Missouri has no sovereign immunity
under state law for claims that seek prospective equitable relief to
similar precedent from other states, and with the common law
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immunity to avoid obligations that the United States Constitution
535 U.S. 613, 624 (2002). Accordingly, the issue here is whether, under
Missouri law, sovereign immunity bars a claim against the State that
OB12. “When a state’s highest court has not decided an issue, it is the
task of this court to predict how the state supreme court would resolve
the issue.” United Fire & Cas. Ins. Co. v. Garvey, 328 F.3d 411, 413
(8th Cir. 2003). In making that prediction, decisions from the Missouri
15
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data that the highest state court would decide the issue otherwise.” Id.
Mental Health, the Missouri Court of Appeals held that the State
at 24. Because Wyman is the “best evidence of what state law is,” this
state agency. Wyman, 376 S.W.3d at 18. They sued the agency for
The plaintiffs sought a broad array of remedies against the agency for
16
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did not bar their claims for equitable relief. With respect to damages,
the court explained that although the Missouri Supreme Court had
557 S.W.2d 225, 230 (Mo. banc 1977), the Missouri General Assembly
But the court held precisely the opposite for the plaintiffs’ claims
does not necessarily bar a claim for injunctive relief which seeks to
that the State violated a statutory duty not to discriminate against its
employees for exercising their rights. Id. at 24. The court held that this
reason why sovereign immunity would prevent the State from being
17
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and obligation,’ even though the State may not be subject to the ‘civil
sovereign immunity. Id. The court of appeals vacated the trial court’s
itself. See Maine v. Moulton, 474 U.S. 159, 170-71 (1985) (the Sixth
v. Nat’l Ass’n of Radiation Survivors, 473 U.S. 305, 332 (1985) (the
him legal representation for his defense”); Cuyler v. Sullivan, 446 U.S.
335, 343-44 (1980); State ex rel. Mo. Pub. Def. Comm’n v. Pratte, 298
S.W.3d 870, 874-75 & n.4 (Mo. banc 2009) (indigent defendants’ right to
18
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Plaintiffs seek only prospective equitable relief on behalf of the
itself from Plaintiffs’ claims for prospective equitable relief. See also
State ex rel. Mo. Pub. Def. Comm’n v. Waters, 370 S.W.3d 592, 607 (Mo.
19
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But, as the District Court correctly recognized, the State’s
Wyman itself. Add26. The court in Wyman stated that it was rejecting
argued, like here, that the plaintiffs’ claims for injunctive relief were
barred because the State had not consented to suit, without citing
§ 537.600. JA804-05.
immunity, and not just tort immunity under § 537.600, barred equitable
relief. OB15 & n.3. The State Defendants’ effort to confuse the scope of
20
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the opinion in Wyman is belied by the full context of the paragraph in
the broader theory of injunctive immunity that the State pressed in its
appellate briefing to the Wyman court, to the District Court here, and
immunity,” Wyman, 376 S.W.3d at 24, the court was alluding to the
21
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impermissibility of using “equitable” remedies like restitution to obtain
666-68 (1974) (holding Ex parte Young does not allow suits seeking
immunity does not apply. The Sixth Amendment and the Missouri
Persuasive data here only confirms that the Missouri Supreme Court
22
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State. § I.B.1. It is consistent with precedent from a legion of other
One reason why Wyman stands as the only reported Missouri case
claims. Indeed, in at least five cases dating back more than half a
State, 203 S.W.3d 201, 205 (Mo. banc 2006); Brooks v. State, 128 S.W.3d
844, 847 (Mo. banc 2004); Rolla 31 Sch. Dist. v. State, 837 S.W.2d 1, 7
(Mo. banc 1992); Pohl v. State Highway Comm’n, 431 S.W.2d 99, 107
(Mo. banc 1968); Koplar v. State Tax Comm’n, 321 S.W.2d 686, 697 (Mo.
1959).
immunity was not raised in these cases, they are not binding on this
23
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Court (OB16 n.4). But the State Defendants ignore the lesson of these
injunction against the State itself that forces the State to comply with
537-38 (1986) (“Suits for declaratory or injunctive relief are not barred
Supreme Court has never denied an equitable claim against the State
correctly decided.
waiver, it may rely on sovereign immunity in all cases. The State offers
Wyman court did not point to any statute waiving common law
24
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But the key premise of this syllogism—that Missouri state
376 S.W.3d at 23. At the time Jones was decided, no Missouri statute
mandate”).
by statute, see Mo. Rev. Stat. § 1.010, does not freeze the common law
body of decisional law for the courts to apply; it does not create
25
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S.W.2d 403, 410-22 (Mo. banc 1975) (Finch, J., dissenting)). Because it
establishes only a body of decisional law, Section 1.010 does not require
263 S.W.3d 603, 609 & n.5 (Mo. banc 2008). But it is only in the limited
context of construing this statutory immunity that courts have held that
any further waiver of that immunity by the State has to come from the
legislature itself. See, e.g., State ex rel. Regional Justice Info. Serv.
State Defendants cite for the general proposition that the State cannot
26
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McHenry, 687 S.W.2d 178, 182 (Mo. banc 1985). These cases do not
relief only. See Wyman, 376 S.W.3d at 23 & n.8; Kubley v. Brooks, 141
S.W.3d 21, 29 (Mo. banc 2004) (“Section 537.600 deals solely with the
Recognizing that the bulk of the cases they cite do not even
Sullivan, 223 S.W. 571 (Mo. banc 1920); State ex rel. Kansas City
Symphony v. State, 311 S.W.3d 272 (Mo. Ct. App. 2010); and Goines v.
Missouri Department of Social Services, 364 S.W.3d 684 (Mo. Ct. App.
was not a party to the lawsuit. 223 S.W. at 571. The Missouri Supreme
27
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Court upheld the availability of an injunction against the state officials.
Id. In support of its holding, the court cited the decision in Ex parte
Young, which held that the Eleventh Amendment does not bar suits
sentence: “It is not to be understood from these [state officer] cases that
the State itself can be enjoined; but, when its officers act in an
for the State, and they may be enjoined.” Id. (citing Ex parte Young,
209 U.S. 123 (1908); Smyth v. Ames, 169 U.S. 466 (1898)).
support its holding, the Carson court did not purport to hold that
Missouri could never be sued for injunctive relief. After all, the State
was not a party to the case and the injunction was upheld. The District
nearly 100 years ago does not resolve the question presented here and
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federal doctrine governing when state officers can be sued in federal
provides the basis for the immunity of the State itself, even on claims
for injunctive relief, in federal court. See Duit Constr. Co. v. Bennett,
796 F.3d 938, 940 (8th Cir. 2015). The State Defendants waived the
seeking prospective equitable relief against the State are not barred by
from the State and an order “requiring the State to pay the delinquent
29
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amount.” 311 S.W.3d at 275 (emphasis added). Despite seeking
Fla. Dep’t of Rev., 750 F.3d 1238, 1244-45 (11th Cir. 2014); accord
Kittle-Aikeley v. Strong, 844 F.3d 727, 742 (8th Cir. 2016) (en banc),
cert. denied, 137 S. Ct. 2216 (2017). That is precisely the kind of claim
of its holding that the State lacks sovereign immunity against claims
one disputed that the state agency could be held liable for declaratory
and injunctive relief. Goines, 364 S.W.3d at 685. Attorneys’ fees are an
issue that has long presented a “special problem” for the sovereign
30
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Procedure § 3524.3 & n.66 (3d ed.). But that issue is inapposite to the
does not bar a plaintiff from seeking equitable relief against the state
the Missouri Supreme Court would agree with Wyman. See TNT Speed
& Sport Center, Inc. v. Am. States Ins. Co., 114 F.3d 731, 733-34 (8th
Cir. 1997) (in predicting “what the Missouri Supreme Court would
31
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755, 762 (Mo. banc 2012) (citing precedent from other jurisdictions to
in a case very much like this one: Tucker v. State, 394 P.3d 54 (Idaho
2017). There, like here, indigent defendants sued for equitable relief to
The Idaho Supreme Court noted that “many other jurisdictions hold
that sovereign immunity did not bar the plaintiffs’ claims for equitable
against the State. See Ga. Dep’t of Natural Res. v. Ctr. for a
Sustainable Coast, Inc., 755 S.E.2d 184, 188 (Ga. 2014). That case,
32
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statutory law, not constitutional rights, id. at 185-86; see also infra
§ I.C. And that case overruled prior Georgia precedent on the ground
law that could not be modified by the courts, 755 S.E.2d at 188-91
(overruling IBM v. Evans, 453 S.E.2d 706 (Ga. 1995)), which is not the
case in Missouri, see Jones, 557 S.W.2d at 230. Georgia is one of only a
handful of states to have held that the state is immune from equitable
implicated.3
state sovereign immunity at the very least does not bar an action
against the state that seeks prospective equitable relief to enforce the
3See Ex parte Ala. Dep’t of Human Res., 999 So.2d 891, 895 (Ala. 2008);
Prager v. State, 20 P.3d 39, 57 (Kan. 2001); Anthony K. v. State, 855
N.W.2d 802, 813 (Neb. 2014) (overruling Michael E. v. State, 839
N.W.2d 542, 551 (Neb. 2013)); City of Kenosha v. State, 151 N.W.2d 36,
38-39 (Wis. 1967).
4See Kanuk ex rel. Kanuk v. State, Dep’t of Nat. Res., 335 P.3d 1088,
1095-96 (Alaska 2014); Ryan v. State, 656 P.2d 597, 598-600 (Ariz.
33
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Missouri in Wyman and Idaho in Tucker, expressly recognize that a
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affirmative obligations by invoking sovereign immunity. E.g., Dep’t of
Rev. v. Kuhnlein, 646 So.2d 717, 721 (Fla. 1994) (“Sovereign immunity
does not exempt the State from a challenge based on violation of the
would make constitutional law subservient to the State’s will.”); see also
supra n.4.
affirming equitable relief against the State, and despite the practice of
the majority of states, the Missouri Supreme Court would simply apply
the State Defendants still would not prevail. The common law has long
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Sovereign Immunity and the Right to Petition: Toward a First
English expression ‘the king can do no wrong’ was that the king would
do no wrong, for if he did, the petition of right would set wrongs right.”
petition, and he never fails to comply with the judgment of his court.”).5
5 While a petition of right had to be endorsed “soit droit fait,” i.e., let
right be done, by the Crown for Chancery to exercise jurisdiction, that
technical endorsement was given as a matter of law. See United States
v. O’Keefe, 78 U.S. (11 Wall.) 178, 183-84 (1870) (“It is of no consequence
that, theoretically speaking, the permission of the Crown is necessary to
the filing of the petition [of right], because it is the duty of the King to
grant it, and the right of the subject to demand it.”); accord Gibbons,
supra, at 1896; Louis L. Jaffe, Suits Against Governments and Officers:
Sovereign Immunity, 77 Harv. L. Rev. 1, 5 (1963).
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145 Eng. Rep. 550, 552 (Ex. 1667) (because “the King is the fountain
any royal consent, in its decision to grant injunctive relief in favor of the
Rev. 1, 6-7 (1963) (“[T]he King was required to do equity ….”); W.S.
L.Q. Rev. 280, 280 (1922) (Pawlett “clearly recognized that the subject
brought against the king, even in civil matters,” OB9, which Blackstone
906-07 & n.26. Blackstone even presaged and rejected the State’s
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misuse of this discussion: “Are then, it may be asked, the subjects of
we may answer, that the law has provided a remedy in both cases.” 1
equitable relief.” OB9. The State Defendants cite nothing from the
historical English common law showing that subjects could not obtain
relief in the courts of equity for the violation of their rights by the
Crown, Part I, 38 L.Q. Rev. 141, 142 (1922) (“It was recognised in Henry
III’s reign that … the King, as the fountain of justice and equity, could
and, like foreign immunity, is a matter of federal statutory law that can
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be waived only by Congress. See 436 U.S. 49, 56-57 (1978); Kiowa Tribe
of Okla. v. Mfg. Techs., Inc., 523 U.S. 751, 759 (1998). Federal tribal
“foreign” sovereign of the federal courts. See The Federalist No. 81, at
548-49 (Alexander Hamilton) (Jacob Ernest Cooke ed., 1961); see also
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hardly presents this Court with “persuasive data” that the Missouri
Supreme Court in 2018 would hold that Wyman was wrongly decided.
Although the District Court correctly held that Missouri could not
matter of Missouri law, Plaintiffs also argued in the alternative that the
State Defendants can be sued directly for equitable relief for failing to
Amendment. JA739 n.3. And although this Court should affirm on the
reach this issue, this Court can affirm on the basis of any ground
appearing in the record below. Because the Supreme Court has already
Lutheran Church of Glendale v. Cty. of L.A., 482 U.S. 304, 316 & n.9
(1987), this Court should likewise hold that state sovereign immunity—
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case—cannot be used to dodge the Sixth Amendment’s affirmative
adopted by the County of Los Angeles. Id. at 307. The California courts
held that the landowner was not entitled to damages for a “temporary”
that because the “duty to pay [just compensation was] imposed by the
[Fifth] Amendment,” suits like the landowner’s were “founded upon the
states. Id. at 315-16. And in reaching this holding, the Supreme Court
immunity against damages claims. See id. at 315. But the more
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general rule from First English is clear from its rejection of sovereign
the State itself, the State cannot rely on state sovereign immunity to
defeat a suit that aims to force it to comply with that obligation. See
also Alden v. Maine, 527 U.S. 706, 754-55 (1999) (holding that states
521 U.S. 261, 271 (1997) (opinion of Kennedy, J.) (upholding immunity
Plaintiffs allege that the State Defendants are violating the Sixth
which there is an implied right of action for equitable relief. See Free
Enterprise Fund v. Pub. Co. Accounting Oversight Bd., 561 U.S. 477,
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claims] as a general matter, without regard to the particular
against individual state officers and not the State itself is wrong. The
State Defendants would turn the constitutional pact into nothing more
McNeill, 894 S.W.2d 678, 682 (Mo. Ct. App. 1995)—similarly has no
and this Court need not address the State Defendants’ appeal of this
point.
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But if this Court were to hold that sovereign immunity applies to
Plaintiffs’ claims against the State and reaches this question, the
Young, 209 U.S. at 157; accord 281 Care Comm. v. Arneson, 638 F.3d
and he need not “have the full power to redress a plaintiff’s injury.” 281
Care Comm., 638 F.3d at 632-33. Where, as here, a plaintiff claims that
that duty. L.A. Cty. Bar Ass’n v. Eu, 979 F.2d 697, 704 (9th Cir. 1992).
860 F.2d 1012, 1016 (11th Cir. 1988). The court held that the governor
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was a proper defendant there because he was constitutionally
criminal prosecutions, and had the final authority to direct the Attorney
marriage ban. 755 F.3d 1193, 1202 (10th Cir. 2014). Although only
county clerks had the power to issue marriage licenses, the governor
executive and ministerial officers and seeing that all official duties were
performed. Id.
The District Court correctly held that Governor Greitens, like the
carry out the State’s obligations and is charged with “tak[ing] care that
the laws are distributed and faithfully executed.” Mo. Const. art. IV,
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his assistants [to] aid any prosecuting or circuit attorney in the
discharge of their respective duties in the trial courts.” Mo. Rev. Stat. §
Mo. Rev. Stat. § 600.015(1); Eu, 979 F.2d at 704 (holding California
the authority to remove those officials, see Mo. Const. art. IV, § 17; Mo.
than in Luckey.
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The State Defendants’ arguments to the contrary miss the mark.
They argue that because Missouri statutory law gives the MSPD
because he does not “exercise control over the Public Defender System.”
OB18-19.
But the Ex parte Young test does not require courts to determine
whether the official “exercises control” over the carrying out of the
challenged action. Rather, the test is whether the defendant has “some
relief. 281 Care Comm., 638 F.3d at 632-33. The Governor’s connection
along with the other Defendants, has failed to “give effect” to the State’s
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The State and the Governor cannot delegate a constitutional
when that agency is hamstrung from executing that duty. See, e.g.,
Stanley v. Darlington Cty. Sch. Dist., 84 F.3d 707, 713 (4th Cir. 1996)
“does not absolve the state of its responsibility to ensure that the
1447 (9th Cir. 1984). Because the Governor has “some connection” to
not; only the Attorney General and local prosecuting attorneys do.
OB23 (citing Mo. Rev. Stat. §§ 56.010, 56.060). But these alleged
“has the final authority to direct the Attorney General to ‘institute and
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here, Missouri law retains a residual role for the Governor in criminal
their respective duties in the trial courts.” Mo. Rev. Stat. § 27.030.
Calzone v. Hawley, 866 F.3d 866, 870 (8th Cir. 2017)). Not so. In
superintendent of the highway patrol, this Court held that only the
defendant under Ex parte Young. Id. at 870. The Governor was not a
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so—cannot be delegated exclusively to the MSPD. The State
is similarly inapposite. See, e.g., Okpalobi v. Foster, 244 F.3d 405, 421
(5th Cir. 2001) (en banc) (holding governor had no connection to statute
legislature’s limit on the number of judges for Los Angeles County. 979
F.2d at 700. The defendant governor and secretary of state, like the
that the governor’s power to appoint judges and the secretary of state’s
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duty to certify judicial elections was a sufficient connection to the
the Governor alone cannot solve the indigent defense crisis in this state,
Plaintiffs are not suing Governor Greitens merely as a surrogate for the
Governor does not bring him within the scope of the Ex parte Young
doctrine. But the State Defendants cite no case to support the notion
of Ex parte Young.
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The State Defendants argue that an injunction prohibiting the
because the District Court has not yet issued an injunction in this case
restraining the Governor, this argument is not ripe for review. See
Parrish v. Dayton, 761 F.3d 873, 875-76 (8th Cir. 2014); see also infra
immunity).
Moreover, even if the Court were to address the issue now, the
Defendants to pay them or the class any money. They are asking for
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Either way, where the State or its officers are violating
that will coerce the State into complying with its constitutional duties.
See Liddell v. Bd. of Educ. of City of St. Louis, 867 F.2d 1153, 1155 (8th
Cir. 1989) (“This court has repeatedly held, however, that imposition of
Plata, 563 U.S. 493, 538, 545 (2011) (upholding injunction to build more
California’s prison system); Papasan v. Allain, 478 U.S. 265, 278, 282
Amendment).
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counsel. Accordingly, any future order requiring the Governor to
use “equitable” relief to force the State to pay him money directly. In
Council 31, the plaintiff union sought an injunction that would require
AFSCME v. Quinn, 680 F.3d 875, 878 (7th Cir. 2012). In Edelman, the
benefits they argued were wrongly withheld. 415 U.S. at 656. Plaintiffs
are not asking for any money that would go to them—any funding
required here would be for the purpose of enabling the State to provide
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to provide indigent defendants with adequate counsel to the MSPD, he
actions of the State and the Governor have tied their hands—they are
Plaintiffs’ brief was due to this Court and nearly a year after Plaintiffs
not only that they are they immune from suit; in their view there is no
immunity here.
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III. Governor Greitens Cannot Rely On Legislative Immunity.
might interfere with his ability to withhold funds that the legislature
this argument is not ripe for this Court’s interlocutory review. § III.C.
personal defense that is available only when officials are sued in their
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official capacities.” Roach v. Stouffer, 560 F.3d 860, 870 (8th Cir. 2009)
U.S. 159, 167 (1985). In Roach, this Court held that Missouri
legislators sued in their official capacities could not claim the defense of
legislative immunity.
State,” whereas here the Governor may be enjoined from exercising his
suits, they can still be used in as-applied official capacity suits. See
Printz v. United States, 521 U.S. 898, 930-31 (1997) (“a directive to an
official in his or her official capacity” is “no different from a suit against
the State itself”). Accordingly, if this Court reaches this unripe issue,
see infra III.C, it should hew to Roach and hold that legislative
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immunity is unavailable to the Governor here as he is sued in his
legislative process.” Id. at 55. In Bogan itself, the relevant act was
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acts were “integral” to the legislative process because, without them,
vetoing a pending bill. Bogan, 523 U.S. at 55; accord Young v. Mercer
Second, Bogan also suggested, but did not decide, that to qualify
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process. Governor Nixon directed his executive branch’s Office of
passed and the Governor signed the appropriations bill allocating these
funds to the MSPD in the first place. JA816-17, 824, 833. Nothing
about the Governor’s decision to reduce state expenditures after the fact
funds. See Percefull v. Claybaker, 211 F. App’x 521, 523 (8th Cir. 2006)
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(per curiam) (“Legislative immunity … has no application where an
523 U.S. at 55-56, it was “integral” to the legislative process. But that
ignores the Supreme Court’s actual analysis, which held first that by
signing the ordinance, thereby duly enacting it, the Mayor’s act was
Id. at 55. The Court did not decide whether that formal character was
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must be formally legislative in character. Here, the Governor’s act is
not.
the Governor to sign or veto that bill, and that the Governor’s decision
duly enacted into law, that would have been a legislative act.
enacted, the legislative function is complete. See Mo. Const. art. IV, §
27.1 (“The governor … may reduce the expenditures of the state or any
6The State Defendants cite Chiles v. Children, 589 So.2d 260, 265 (Fla.
1991), to argue that the power to reduce appropriations is “legislative.”
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Moreover, when the MSPD sued Governor Nixon in 2016 for
the Governor contended that both the MSPD’s function and his
2017 WL 6453618, at *5-6 (Mo. Ct. App. Dec. 19, 2017). Judicial
to this Court. See New Hampshire v. Maine, 532 U.S. 742, 749-51
(2001).
requested injunction does not necessarily require the court to enjoin the
OB33. But in Chiles, the Florida Supreme Court merely held that the
Florida legislature had violated its separation-of-powers doctrine by
delegating its exclusive legislative power to reduce appropriations to the
governor. 589 So.2d at 265-66. It is not an immunity case and is
irrelevant to interpreting the Missouri Governor’s constitutionally
exclusive executive power to withhold duly-appropriated funds from
agencies.
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whether that act is protected by legislative immunity is not yet ripe.
immunity. OB36. Not so. Plaintiffs asked the District Court to:
counsel; and
JA59.
explain how it will meet its constitutional duty, rather than forcing the
U.S. 1, 15 (1971).
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Whether this case will restrain the Governor in a way that
875-76.
this lawsuit is the contention that the State has not adequately funded
the public-defender system,” and because the “only role” the Governor
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adequate counsel. This failure is caused by excessive caseloads, which
CONCLUSION
This Court should affirm the District Court’s order denying the
Respectfully submitted,
/s/Anthony Rothert
Jason D. Williamson Anthony Rothert
ACLU FOUNDATION Jessie Steffan
125 Broad Street ACLU OF MISSOURI
18th Floor FOUNDATION
New York, NY 10004 906 Olive Street
Suite 1130
Robert Sills St. Louis, MO 63101
Aaron Scherzer (314) 652-3114
Matthew R. Shahabian
Camille J. Rosca Amy Breihan
ORRICK, HERRINGTON & MACARTHUR JUSTICE CENTER
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SUTCLIFFE LLP AT ST. LOUIS
51 West 52nd Street 3115 South Grand Boulevard Suite
New York, NY 10019 300
St. Louis, MO 63118
Will Melehani
Evan Rose Gillian Wilcox
Easha Anand ACLU OF MISSOURI
ORRICK, HERRINGTON & FOUNDATION
SUTCLIFFE LLP 406 West 34th Street
The Orrick Building Suite 420
405 Howard Street Kansas City, MO 64111
San Francisco, CA 94105
Anthony Tartaglio
James Maune Annie Prasad
ORRICK, HERRINGTON & ORRICK, HERRINGTON &
SUTCLIFFE LLP SUTCLIFFE LLP
2050 Main Street 1000 Marsh Road
Suite 1100 Menlo Park, CA 94025
Irvine, CA 92614
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ORRICK, HERRINGTON &
SUTCLIFFE LLP
1152 15th Street NW
Washington, DC 20005
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CERTIFICATE OF COMPLIANCE
This brief has been scanned for viruses pursuant to Eighth Circuit
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CERTIFICATE OF SERVICE
Clerk of the Court for the United States Court of Appeals for the Eighth
system.
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