ABSTENTION Generally
Abstention doctrines are supplemental to the Anti-Injunction Act, a Congressionally created federal restriction to a federal court’s ability to hear a case. Since abstention is prudential, it is waivable (if you forget to assert, then waived). Abstention can be broken into two categories:
ABSTENTION
Three Overarching Principles
PULLMAN Abstention: Avoiding Unnecessary Constitutional Issues
GENERALLY
Pullman abstention is based on the rationale that there must be scrupulous regard for the rightful independence of state governments and a smooth working federal judiciary. Thus, when there is a federal constitutional claim that is premised on an unsettled issue of state law, federal courts should abstain in order to provide state courts an opportunity to settle underlying state law questions and subsequently, avoid the possibility of unnecessarily deciding federal constitutional questions. Pullman abstention is predominantly based on comity and federalism.
Prerequisites for Pullman Abstention:
Procedure for Pullman Abstention:
When is Pullman Abstention NOT Justified?
BURFORD ABSTENTION: AVOIDING INTRUSION ON COMPLEX STATE REGULATORY PROCESSES
Generally
Burford abstention stands for the principle that federal courts should abstain in deference to COMPLEX STATE REGULATORY PROCESSES. In order for Burford abstention to apply, the case needs to INVOLVE STATE LAW (like Pullman) and STATE COURTS (like Younger). In Burford, there were unique facts regarding Texas oil field operations, and each adjudication affected every operator in the field, which increased the need for coordination and coherence in the judicial decision making process. Burford abstention is predominantly based on equity, and equitable relief is always discretionary. It is distinguished from Pullman abstention because Pullman is contained to the case at issue’s specific set of facts and Burford has SPILLOVER EFFECTS that require UNIFORM CONTROL.
Burford Abstention Factors:
YOUNGER ABSTENTION: AVOIDING INTERFERENCE WITH ONGOING STATE PROCEEDINGS
Generally
Younger abstention does not rely on the Anti-Injunction Act (must still make sure the claim also fits into AIA exception in addition to Younger exception for court to not abstain), despite the fact that Harris asked for injunctive relief: it relies on principles of equity and federalism. Harris’ case was equitable because he had an adequate remedy at law in his state criminal proceeding (could raise his constitutional objections defending his position in the case). Even stronger rationale in the Younger opinion, was the federalism argument that the “National Government will fare best if the States and their institutions are left free to perform their separate functions in their separate ways.” Younger abstention stands for the principle that FEDERAL COURTS CANNOT ENJOIN ONGOING STATE CRIMINAL PROCEEDINGS IN THE ABSENCE OF BAD FAITH, HARASSMENT, OR OTHER EXTRAORDINARY CIRCUMSTANCES.
Very General Rules for Younger Abstention:
Development of Younger Abstention:
Younger Abstention Today:
In Sprint Communications v. Jacobs, RBG relying on NOPSI, declared that Younger abstention applies when…
Exceptions to Younger Abstention:
Procedure for Younger Abstention:
COLORADO RIVER ABSTENTION: AVOIDING PIECEMEAL LITIGATION
Generally
In Colorado River, the United States filed a federal court suit against more than one thousand defendants, seeking a declaration of water rights on federal lands. One defendant then moved to join the United States as a party in a previously filed state proceeding concerning the same water rights. A litigant may generally not sue the United States in state courts without its consent, but Congress provided consent in such water actions.
Colorado River abstention stands for the principle that in PARALLEL STATE AND FEDERAL COURT PROCEEDINGS, neither the state court nor the federal court is required to stay its hand in favor of the other; but in EXCEPTIONAL CIRCUMSTANCES, WISE JUDICIAL ADMINISTRATION may REQUIRE DISMISSAL or STAY in favor of parallel state proceedings to AVOID LITIGATING THE SAME ISSUES TWICE.
Prerequisites (Exceptional Circumstances) for Colorado River Abstention:
*Note: Wilton v. Seven Falls Co. (declaratory judgments are exempt from rigorous requirements of Colorado River abstention because Congress granted federal courts considerable discretion over whether to issue declaratory judgments).
Procedure for Colorado River Abstention:
ROOKER-FELDMAN: NO LOWER FEDERAL COURT REVIEW OF STATE COURT DECISIONS
Rooker-Feldman applies when a STATE COURT LOSER seeks REVIEW of STATE COURT DECISION in FEDERAL COURT. It is important to note that:
Rooker v. Fidelity Trust Co.
District Court of Columbia Court of Appeals v. Feldman
Exxon Mobil Test:
FRAMEWORK OF ANALYSIS: ABSTENTION
Abstention is a judicially created doctrine that federal courts have developed in order to constrain their own power over Congressionally granted jurisdiction. It requires us to think about when federal courts should not hear a case despite having jurisdiction to do so.
PULLMAN: Unsettled state law would decide the case
BURFORD: Complex state regulatory process
YOUNGER: PP. crim.; civ. enforce.; civ “unique”
COLORADO RIVER: Wise judicial admin. (5 nondisp. factors)
FRAMEWORK OF ANALYSIS: ABSTENTION
STEP 1
FRAMEWORK OF ANALYSIS: ABSTENTION
STEP 2 (Check judicially created abstention doctrines)