Abstention doctrine
Encyclopedia
An abstention doctrine is any of several doctrines that a court of law in the United States of America might (or in some cases must) apply to refuse to hear a case, when hearing the case would potentially intrude upon the powers of another court. Such doctrines are usually invoked where lawsuit
s involving the same issues are brought in two different courts at the same time, particularly two different court system (e.g., federal and state courts within a federal system).
The United States has a federal court system with limitations on the cases that federal courts can hear, while each state has its own individual court system. In some instances, the jurisdiction of these courts overlaps, so a lawsuit between two parties may be brought in either or both courts. The latter circumstance can lead to confusion, waste of resources, and the appearance that one court is disrespecting the other. Both federal and state courts have developed rules determining when one court will defer to another's jurisdiction over a particular case.
, 312 U.S. 496 (1941). Concisely, the doctrine holds that "the federal courts should not adjudicate the constitutionality of state enactments fairly open to interpretation until the state courts have been afforded a reasonable opportunity to pass on them."http://www.oyez.org/cases/1980-1989/1986/1986_85_1513/argument/ This doctrine permits a federal court to stay a plaintiff's claim that a state law violates the Constitution
until the state's judiciary has had an opportunity to apply the law to the plaintiff's particular case. The hope is to avoid a federal constitutional ruling by allowing the state courts either to construct the law in a way that eliminates the constitutional problem or to rule it void under the state's own constitution.
For Pullman abstention to be invoked, three conditions must be apparent:
Under Pullman abstention, the federal court retains jurisdiction
to hear the constitutional issues in the case if the state court's resolution is still constitutionally suspect. In Government and Civil Employees Organizing Committee, CIO v. Windsor, 353 U.S. 364 (1957) the Supreme Court held that litigants must inform the state court that they are contending that the state law violates a federal constitutional provision, so that the state court may take that into consideration when interpreting the state statute. However, in England v. Louisiana State Board of Medical Examiners
, 375 U.S. 411 (1964), the Supreme Court noted that the litigants must not ask the state court to resolve the constitutional issue itself, or the federal court would be bound by res judicata
to follow the decision of the state court. In such a case, the litigant seeking a judgment that the law is unconstitutional must usually appeal to the higher courts of the state, rather than seeking review in a federal court.
, 401 U.S. 37 (1971), is less permissive to the federal courts, barring them from hearing civil rights
tort
claims brought by a person who is currently being prosecuted for a matter arising from that claim in state court. For example, if an individual who was charged with drug possession under a state law believes that the search was illegal, and in violation of their Fourth Amendment
rights, that person may have a cause of action
to sue the state for illegally searching him. However, a federal court will not hear the case until the person is convicted of the crime. The doctrine has been extended to state civil proceedings in aid of and closely related to state criminal statutes, administrative proceedings initiated by a State agency, or situations where the State has jailed a person for contempt of court
. The doctrine applies even where the state does not bring an action until after the person has filed a lawsuit in federal court, provided that the federal court has not yet undergone proceedings of substance on the merits of the federal suit.
There are three exceptions to Younger abstention:
, 319 U.S. 315 (1943), allows a federal court sitting in diversity jurisdiction
to abstain where the state courts likely have greater expertise in a particularly complex area of state law (the case itself dealt with the regulation of oil drilling operations in Texas). This is closely related to Thibodaux abstention, derived from Louisiana Power & Light Co. v. City of Thibodaux, 360 U.S. 25 (1959), which occurs when a federal court sitting in diversity jurisdiction chooses to allow a state to decide issues of state law that are of great public importance to that state, to the extent that a federal determination would infringe on state sovereignty.
Unlike the abstention doctrines raised in federal question cases, there is a strong presumption that federal courts should not apply Burford or Thibodaux Abstention.
, 424 U.S. 800 (1976) comes into play where parallel litigation
is being carried out, particularly where federal and state court proceedings are simultaneously being carried out to determine the rights of parties with respect to the same questions of law. Under such circumstances, it makes little sense for two courts to expend the time and effort to achieve a resolution of the question.
Unlike other abstention doctrines, application of the Colorado River doctrine is prudential and discretionary, and is based less on comity or respect between different court systems than on the desire to avoid wasteful duplication of litigation. The classification of the doctrine as a form of abstention has been disputed, with some courts simply calling it a "doctrine of exceptional circumstances". Each of the various federal circuits has come up with their own list of factors to weigh in determining whether a federal court should abstain from hearing a case under this doctrine. Typically, such factors include:
has some characteristics of an abstention doctrine, because it prohibits federal court review of state court actions. However, it does not require federal courts to abstain from hearing cases pending action in the state court, but instead deems that federal courts lack jurisdiction
to hear cases already fully decided in state courts.
In some states, doctrines exist which permit state courts to abstain from hearing cases already before other kinds of tribunals. For example, in the case of Gavle v. Little Six, Inc., 555 N.W.2d 284 (Minn. 1996), the Minnesota Supreme Court
upheld abstention by a state court where the state court might "undermine the authority of the tribal courts over Reservation affairs" or "infringe on the right of Indians to govern themselves".
Lawsuit
A lawsuit or "suit in law" is a civil action brought in a court of law in which a plaintiff, a party who claims to have incurred loss as a result of a defendant's actions, demands a legal or equitable remedy. The defendant is required to respond to the plaintiff's complaint...
s involving the same issues are brought in two different courts at the same time, particularly two different court system (e.g., federal and state courts within a federal system).
The United States has a federal court system with limitations on the cases that federal courts can hear, while each state has its own individual court system. In some instances, the jurisdiction of these courts overlaps, so a lawsuit between two parties may be brought in either or both courts. The latter circumstance can lead to confusion, waste of resources, and the appearance that one court is disrespecting the other. Both federal and state courts have developed rules determining when one court will defer to another's jurisdiction over a particular case.
Federal abstention doctrines
The various abstention doctrines applied by federal courts are named for the Supreme Court cases in which they were enunciated.Pullman Abstention
Pullman abstention was the first "doctrine of abstention" to be announced by the Court, and is named for Railroad Commission v. Pullman Co.Railroad Commission v. Pullman Co.
Railroad Commission v. Pullman Co., 312 U.S. 496 , was a case in which the United States Supreme Court determined that it was appropriate for United States federal courts to abstain from hearing a case in order to allow state courts to decide substantial Constitutional issues that touch upon...
, 312 U.S. 496 (1941). Concisely, the doctrine holds that "the federal courts should not adjudicate the constitutionality of state enactments fairly open to interpretation until the state courts have been afforded a reasonable opportunity to pass on them."http://www.oyez.org/cases/1980-1989/1986/1986_85_1513/argument/ This doctrine permits a federal court to stay a plaintiff's claim that a state law violates the Constitution
United States Constitution
The Constitution of the United States is the supreme law of the United States of America. It is the framework for the organization of the United States government and for the relationship of the federal government with the states, citizens, and all people within the United States.The first three...
until the state's judiciary has had an opportunity to apply the law to the plaintiff's particular case. The hope is to avoid a federal constitutional ruling by allowing the state courts either to construct the law in a way that eliminates the constitutional problem or to rule it void under the state's own constitution.
For Pullman abstention to be invoked, three conditions must be apparent:
- There must be a state law issue that is potentially dispositive;
- That state law must be unclear; and
- That disposing of state law will avoid constitutional questions.
Under Pullman abstention, the federal court retains jurisdiction
Jurisdiction
Jurisdiction is the practical authority granted to a formally constituted legal body or to a political leader to deal with and make pronouncements on legal matters and, by implication, to administer justice within a defined area of responsibility...
to hear the constitutional issues in the case if the state court's resolution is still constitutionally suspect. In Government and Civil Employees Organizing Committee, CIO v. Windsor, 353 U.S. 364 (1957) the Supreme Court held that litigants must inform the state court that they are contending that the state law violates a federal constitutional provision, so that the state court may take that into consideration when interpreting the state statute. However, in England v. Louisiana State Board of Medical Examiners
England v. Louisiana State Board of Medical Examiners
England v. Louisiana State Board of Medical Examiners, 375 U.S. 411 , was a United States Supreme Court decision that refined the procedures for U.S. federal courts to abstain from deciding issues of state law, pursuant to the doctrine set forth in Railroad Commission v. Pullman Co., 312 U.S. 496...
, 375 U.S. 411 (1964), the Supreme Court noted that the litigants must not ask the state court to resolve the constitutional issue itself, or the federal court would be bound by res judicata
Res judicata
Res judicata or res iudicata , also known as claim preclusion, is the Latin term for "a matter [already] judged", and may refer to two concepts: in both civil law and common law legal systems, a case in which there has been a final judgment and is no longer subject to appeal; and the legal doctrine...
to follow the decision of the state court. In such a case, the litigant seeking a judgment that the law is unconstitutional must usually appeal to the higher courts of the state, rather than seeking review in a federal court.
Younger Abstention
Younger abstention, named for Younger v. HarrisYounger v. Harris
Younger v. Harris, 401 U.S. 37 , was a case in which the United States Supreme Court held that United States federal courts were required to abstain from hearing any civil rights tort claims brought by a person who is currently being prosecuted for a matter arising from that claim.-Facts:A...
, 401 U.S. 37 (1971), is less permissive to the federal courts, barring them from hearing civil rights
Civil rights
Civil and political rights are a class of rights that protect individuals' freedom from unwarranted infringement by governments and private organizations, and ensure one's ability to participate in the civil and political life of the state without discrimination or repression.Civil rights include...
tort
Tort
A tort, in common law jurisdictions, is a wrong that involves a breach of a civil duty owed to someone else. It is differentiated from a crime, which involves a breach of a duty owed to society in general...
claims brought by a person who is currently being prosecuted for a matter arising from that claim in state court. For example, if an individual who was charged with drug possession under a state law believes that the search was illegal, and in violation of their Fourth Amendment
Fourth Amendment to the United States Constitution
The Fourth Amendment to the United States Constitution is the part of the Bill of Rights which guards against unreasonable searches and seizures, along with requiring any warrant to be judicially sanctioned and supported by probable cause...
rights, that person may have a cause of action
Cause of action
In the law, a cause of action is a set of facts sufficient to justify a right to sue to obtain money, property, or the enforcement of a right against another party. The term also refers to the legal theory upon which a plaintiff brings suit...
to sue the state for illegally searching him. However, a federal court will not hear the case until the person is convicted of the crime. The doctrine has been extended to state civil proceedings in aid of and closely related to state criminal statutes, administrative proceedings initiated by a State agency, or situations where the State has jailed a person for contempt of court
Contempt of court
Contempt of court is a court order which, in the context of a court trial or hearing, declares a person or organization to have disobeyed or been disrespectful of the court's authority...
. The doctrine applies even where the state does not bring an action until after the person has filed a lawsuit in federal court, provided that the federal court has not yet undergone proceedings of substance on the merits of the federal suit.
There are three exceptions to Younger abstention:
- 1. Where the prosecution is in bad faith (i.e. the state knows the person to be innocent); or
- 2. Where the prosecution is part of some pattern of harassment against an individual; or
- 3. Where the law being enforced is utterly and irredeemably unconstitutional (e.g., if the state were to pass a law making it a crime to say anything negative about its governor under any circumstances).
Burford Abstention and Thibodaux Abstention
Burford abstention, derived from Burford v. Sun Oil Co.Burford v. Sun Oil Co.
Burford v. Sun Oil Co., 319 U.S. 315 was a United States Supreme Court case in which the Court created a new doctrine of abstention.-Facts:...
, 319 U.S. 315 (1943), allows a federal court sitting in diversity jurisdiction
Diversity jurisdiction
In the law of the United States, diversity jurisdiction is a form of subject-matter jurisdiction in civil procedure in which a United States district court has the power to hear a civil case where the persons that are parties are "diverse" in citizenship, which generally indicates that they are...
to abstain where the state courts likely have greater expertise in a particularly complex area of state law (the case itself dealt with the regulation of oil drilling operations in Texas). This is closely related to Thibodaux abstention, derived from Louisiana Power & Light Co. v. City of Thibodaux, 360 U.S. 25 (1959), which occurs when a federal court sitting in diversity jurisdiction chooses to allow a state to decide issues of state law that are of great public importance to that state, to the extent that a federal determination would infringe on state sovereignty.
Unlike the abstention doctrines raised in federal question cases, there is a strong presumption that federal courts should not apply Burford or Thibodaux Abstention.
Colorado River Abstention
Finally, Colorado River abstention, from Colorado River Water Conservation District v. United StatesColorado River Water Conservation District v. United States
Colorado River Water Conservation District v. United States, 424 U.S. 800 , was a case in which the Supreme Court of the United States created a new doctrine of abstention, to prevent duplicative litigation between state and federal courts....
, 424 U.S. 800 (1976) comes into play where parallel litigation
Parallel litigation
Parallel litigation is a scenario in which different courts are hearing the same claim. The general rule is that parallel litigation is a necessary and acceptable consequence of our system of dual sovereignty, in which both state and federal courts have personal jurisdiction over the parties...
is being carried out, particularly where federal and state court proceedings are simultaneously being carried out to determine the rights of parties with respect to the same questions of law. Under such circumstances, it makes little sense for two courts to expend the time and effort to achieve a resolution of the question.
Unlike other abstention doctrines, application of the Colorado River doctrine is prudential and discretionary, and is based less on comity or respect between different court systems than on the desire to avoid wasteful duplication of litigation. The classification of the doctrine as a form of abstention has been disputed, with some courts simply calling it a "doctrine of exceptional circumstances". Each of the various federal circuits has come up with their own list of factors to weigh in determining whether a federal court should abstain from hearing a case under this doctrine. Typically, such factors include:
- the order in which the courts assumed jurisdiction over property
- the order in which the courts assumed jurisdiction over the parties
- the relative inconvenience of the fora
- the relative progress of the two actions (added by Moses H. Cone Memorial Hospital v. Mercury Constr. Corp.Moses H. Cone Memorial Hospital v. Mercury Constr. Corp.Moses H. Cone Memorial Hospital v. Mercury Construction Corp. , commonly cited as Moses Cone or Cone Hospital, is a United States Supreme Court decision concerning civil procedure, specifically the abstention doctrine, as it applies to enforcing an arbitration clause in a diversity case...
in 1983) - the desire to avoid piecemeal litigation
- whether federal law provides the rule of decision
- whether the state court will adequately protect the rights of all parties
- whether the federal filing was vexatious (intended to harass the other party) or reactive (in response to adverse rulings in the state court).
Note on the Rooker-Feldman Doctrine
The Rooker-Feldman doctrineRooker-Feldman doctrine
The Rooker-Feldman doctrine is a rule of civil procedure enunciated by the United States Supreme Court in two cases, Rooker v. Fidelity Trust Co., 263 U.S. 413 and District of Columbia Court of Appeals v. Feldman, 460 U.S. 462...
has some characteristics of an abstention doctrine, because it prohibits federal court review of state court actions. However, it does not require federal courts to abstain from hearing cases pending action in the state court, but instead deems that federal courts lack jurisdiction
Jurisdiction
Jurisdiction is the practical authority granted to a formally constituted legal body or to a political leader to deal with and make pronouncements on legal matters and, by implication, to administer justice within a defined area of responsibility...
to hear cases already fully decided in state courts.
State court abstention doctrines
No overarching national rule exists to require state courts to abstain from hearing cases brought in federal courts, or in the courts of other states. However, every state has developed, either through its courts or by legislation, some doctrine under which its courts may stay their actions in order to avoid the duplication of efforts with another court hearing the same cause of action.In some states, doctrines exist which permit state courts to abstain from hearing cases already before other kinds of tribunals. For example, in the case of Gavle v. Little Six, Inc., 555 N.W.2d 284 (Minn. 1996), the Minnesota Supreme Court
Minnesota Supreme Court
The Minnesota Supreme Court is the highest court in the U.S. state of Minnesota and consists of seven members. The court was first assembled as a three-judge panel in 1849 when Minnesota was still a territory. The first members were lawyers from outside of the region who were appointed by...
upheld abstention by a state court where the state court might "undermine the authority of the tribal courts over Reservation affairs" or "infringe on the right of Indians to govern themselves".