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Phyllis Lynch et al., Appellees, v. Frank W. Snepp et al., Appellants
United States Court of Appeals, Fourth Circuit. - 472 F.2d 769
Argued Dec. 5, 1972.Decided Jan. 26, 1973
Charles A. Lloyd, Asst. Atty. Gen. of North Carolina (Robert Morgan, Atty. Gen. of North Carolina, on brief), for appellants Snepp and Moore.
George S. Daly, Jr., Charlotte, N. C., for appellees.
Before WINTER, CRAVEN and FIELD, Circuit Judges.
CRAVEN, Circuit Judge.
This is an appeal by judicial and executive officers of the State of North Carolina from the granting of a preliminary injunction against them by the United States District Judge, 350 F.Supp. 1134. The federal preliminary injunction has the effect of restraining in part the enforcement of a state injunction that undertook to control access to the public schools of Mecklenburg County by the public. We are thus confronted with an unfortunate juxtaposition of federal and state judicial power. The state's interest in the matter and the jurisdiction of its courts is predicated upon state police power and the maintenance of peace and the preventing of disruption in the operation of the public schools. The interest of the federal court, equally legitimate, is the vindication and protection of the right of freedom of speech and assembly pursuant to the first amendment. Both coordinate courts undoubtedly have subject matter jurisdiction.
The federal court issued its preliminary injunction under the authority of 42 U.S.C. Sec. 1983, which has now been held, Mitchum v. Foster, 407 U.S. 225, 92 S.Ct. 2151, 32 L.Ed.2d 705 (1972), to be an express exception by the Congress to the bar of the anti-injunction statute, 28 U.S.C. Sec. 2283.1
That the federal court had jurisdiction under 42 U.S.C. Sec. 1983 and was not prevented from exercising it by 28 U.S.C. Sec. 2283 does not end the matter. In Mitchum, supra, the Supreme Court, after holding that the anti-injunction statute was not a bar to the maintenance of a Sec. 1983 case, then noted that "we do not question or qualify in any way the principles of equity, comity, and federalism that must restrain a federal court when asked to enjoin a state court proceeding." 407 U.S. at 243, 92 S.Ct. at 2162. Mitchum referred to Younger v. Harris for an exposition and statement of these principles. Younger and its companion cases2 were decided in the context of enjoining state criminal proceedings. In a concurring opinion in Mitchum the Chief Justice noted that the Court has "not yet reached or decided exactly how great a restraint is imposed by these principles on a federal court asked to enjoin state civil proceedings." 407 U.S. at 244, 92 S.Ct. at 2162.
It is that question we must decide here, i. e., to what extent the general notions of comity, equity and federalism, as exposited in Younger and its companion cases, apply in this civil context. The application of these principles must always be considered by federal judges in the course of determining whether or not to exercise jurisdiction to restrain state courts in a suit brought under Sec. 1983. But to say that such principles are germane and applicable does not dictate the result in a given case. For reasons later exposited we think the application of such notions to the facts of this case indicate that the only appropriate course for the district court was to refrain from exercising its equitable jurisdiction. Therefore, we reverse the grant of preliminary injunction.
The federal plaintiffs filed this suit against the superior court judge, the solicitor, and the sheriff of Mecklenburg County, North Carolina, challenging, under 42 U.S.C. Sec. 1983, the constitutionality of two orders issued by the North Carolina Superior Court.
On October 27, 1972, the solicitor had presented a sworn petition to the superior court stating that a state of emergency was imminent within the Charlotte-Mecklenburg school system as a result of certain episodes of violence and disruption. In response, the court issued a temporary restraining order, restraining all but students, employees, those with permission from school authorities, law enforcement officials, and parents transporting children to or from school from entering school property. The order gave notice that those wishing to contest the continuance of the injunction could do so by appearing at a show cause hearing to be held three days later.
At least three of the four federal plaintiffs appeared at the show cause hearing and were found to be within the class designated defendants. On October 31, 1972, the superior court issued a preliminary injunction3 which substantially continued the visitation prohibitions of the restraining order.
It should be noted that the state court injunction did not purport to interfere with the jurisdiction of the federal court in implementing a unitary school system in Charlotte and Mecklenburg County, see Swann v. Charlotte-Mecklenburg Bd. of Educ., 402 U.S. 1, 91 S.Ct. 1267, 28 L.Ed.2d 554 (1971). Thus the district court had no occasion to act, as it surely could, in aid of its jurisdiction, which is another exception contained in the anti-injunction statute
The preliminary injunction of October 31, 1972 provided in relevant part:
IT IS THEREFORE, ORDERED, ADJUDGED and DECREED that the persons who have become parties hereto and all persons acting in concert with them, and all persons to whom knowledge of this order may come, are hereby restrained and enjoined as follows:
"The decisions there were premised on considerations of equity practice and comity in our federal system that have little force in the absence of a pending state proceeding." Lake Carriers' Assoc. v. MacMullan, 406 U.S. 498, 92 S.Ct. 1749, 32 L.Ed.2d 257, 268 (1972)
The requirement that there be irreparable injury which is both great and immediate was stated in a criminal context. Younger, at 46 of 401 U.S., 91 S.Ct. 746. It has been suggested that perhaps the test may be less stringent in a civil case. See Cousins v. Wigoda, 409 U.S. 1201, 92 S.Ct. 2610, 34 L.Ed.2d 15, 20 (1972) (Rhenquist, Circuit Justice). While the offense to a state interest may be less in a civil proceeding than in a criminal proceeding, Younger, at 55 n. 2 of 401 U.S., 91 S.Ct. 746 (Stewart, J., concurring), also the burden on the individual if left to his state court remedies is less severe in the civil context. In requiring a federal plaintiff to defend a state civil action there is no exposure to criminal penalties which could cumulate during the pendency of the action. Cf. Wulp v. Corcoran, 454 F.2d 826, 831 (1st Cir. 1972). Moreover, when coordinate courts are on collision course the disruptive effect on federalism is not likely to be dissipated by assurance that only civil jurisdiction is involved
Byrne v. Karalexis, 401 U.S. 216, 220, 91 S.Ct. 777, 27 L.Ed.2d 792 (1971)
Requiring a plaintiff to pursue his remedies in a pending proceeding is based solely on principles of equity. There is no requirement that a federal plaintiff exhaust state remedies before proceeding under 42 U.S.C. Sec. 1983. Monroe v. Pape, 365 U.S. 167, 183, 81 S.Ct. 473, 5 L.Ed.2d 492 (1961).
See Younger, at 49-51; 91 S.Ct. 764; Cameron v. Johnson, 390 U.S. 611, 88 S.Ct. 1335, 20 L.Ed.2d 182 (1968)