While litigation concerning the constitutionality of a state statute was pending in state court, four individual plaintiffs filed this federal court challenge to the same statute, alleging similar constitutional defects to those alleged by the state court litigants. The district court dismissed the
This case thus raises questions at the core of the interaction of our dual system of courts, state and federal. Each system is competent to decide federal constitutional issues, and each is entrusted with doing so in appropriate cases. The question whether, in the interests of judicial efficiency and of comity, federal courts should refuse to decide cases within their constitutionally and eongressionally-conferred jurisdiction has been a recurring one. See Quackenbush v. Allstate Ins. Co.,
To separate the tightly circumscribed circumstances in which it is appropriate for a federal court to dismiss a case properly within its jurisdiction from the basic principle that federal court jurisdiction is mandatory and must be exercised, this court has tended to distill the relevant factors into multi-factor tests. See, e.g., Fresh Int’l Corp. v. Agric. Labor Relations Bd.,
. The result of this oversimplification has been a tendency for the district courts, and this court, to lose their way in the maze of various abstention doctrines, with the consequence that litigants who had properly invoked federal court jurisdiction are improperly relegated to an exclusive state court remedy for claimed violations of their federal constitutional rights. This case, we conclude, is such an instance: The district court-understandably, given some mixed signals in our case law-misapplied the abstention doctrine derived from Younger v. Harris to a situation far outside that doctrine’s limited scope as delineated by the Supreme Court. We therefore reverse the decision to abstain under Younger and remand for further proceedings.
In 1997, seventy-two percent of the qualified voters who reside in an area of Pima County, Arizona, known as the Tortolita community petitioned for incorporation. Under Ariz.Rev.Stat. § 9-101.01(A), when more than two-thirds of the qualified electors in an area otherwise eligible for incorporation so petition, the county board of supervisors is required to “declare the community incorporated as a city or town.” The Pima County Board of Supervisors accordingly declared the Town of Tortolita incorporated on September 2, 1997, and appointed an interim town council.
The matter of Tortolita’s incorporation was, however, far from settled by that declaration. Instead, both before and after the official date of incorporation, Torto-lita’s fate was embroiled in a complex series of legislative and judicial decisions.
Arizona law has provided since 1961 that a territory within six miles of an incorporated city or town having a population of five thousand or more cannot be incorporated without the consent of the city or town. The boundaries of the Town of Tortolita are less than six miles from the northern boundary of the City of Tucson. Tucson has not consented to the formation of the Town of Tortolita; indeed, according to the plaintiffs in this case, Tucson has never consented to the incorporation of any neighboring communities.
In its 1997 session, to smooth the incorporation of areas such as Tortolita the Arizona legislature enacted a statute suspending the consent requirement for new incorporations “within six miles of an incorporated city or town having a population of five thousand or more persons ... that is within a county having a population of more than five hundred thousand but less than one million persons.” 1997 Ariz. Sess. Laws ch. 204 § 2. Pima County is the only county in Arizona that meets the statutory criteria. The very day that this enactment became effective, Tucson challenged it in a state court action against the State and Pima County, maintaining that the statute was inconsistent with two Arizona constitutional prohibitions against special laws concerning municipal incorporation. See Ariz. Const, art. 4, part 2, § 19; Ariz. Const, art. 13, § 1.
The Committee to Incorporate the Town of Tortolita (“Tortolita”) thereupon intervened as a defendant in the state court proceedings. Tortolita — as well as Pima County and another intervenor
Just before that, however, on September 23, this action was filed in federal court. The present plaintiffs are all residents of and qualified voters in the area declared incorporated as Tortolita, but none of the individual plaintiffs was., at the time this case was filed, or later became, a party to the state court proceedings.
■ Tucson answered on the merits, but also raised as a defense the contention that the district court should abstain from deciding this case on several grounds, among them the abstention doctrine derived from Younger v. Harris. After the parties filed motions and cross-motions for summary judgment, not raising any abstention issue, the district court directed the parties to address whether or not the court should proceed to decide the summary judgment motions or, instead’, should decline to do so because of the pendency of the state court proceedings concerning different plaintiffs’ similar constitutional claims.
Upon consideration, the district court decided that Younger abstention was appropriate.
Absent “extraordinary circumstances,” Younger abstention is proper when' the following three conditions have been met:
(1) There are ongoing state judicial proceedings;
(2) The proceedings implicate important state interests; and
(3) The state proceedings provide the plaintiff with an adequate opportunity to raise the federal claims.
Hirsh [v. Justices of the Supreme Court of the State of California], 67 F.3d [708,] 712 [(9th Cir:1995)]; Martinez [v. Newport Beach City,] 125 F.3d [777,] 781 [(9th Cir.1997)].
See also Fresh International,
After the district court’s dismissal of this case, the Town of Tortolita and four Tortolita residents-but not the plaintiffs in this suit-intervened in the state court proceedings. While this appeal was pending, the state Superior Court upheld the consent statute, Ariz.Rev.Stat. § 9-101.01(B)(1), as constitutional, and the Arizona Court of Appeals, on March 15, 2001, affirmed.
Discussion
I. Standard of Review
This court has applied two different standards of review in Younger abstention cases. One was articulated in Fresh International,
In a few cases, however, we have applied a more deferential standard of review. For example, in Mission Oaks Mobile Home Park v. City of Hollister,
We conclude that, because of the nature of Younger abstention, the Fresh International standard of review, not the Mission Oaks standard, is the appropriate one. The Supreme Court has stressed, on the one hand, that federal courts are obliged to exercise the jurisdiction given to them, Colorado River,
We therefore overrule the cases cited above — and any others that may exist— that apply an abuse of discretion standard in reviewing dismissals or failures to dismiss a case on the basis of Younger abstention and, for the reasons recounted above and in Fresh International, adopt instead a de novo standard of review.
II. The Scope of the Younger Doctrine
The three-part Fresh International test applied by the district court appears, on its face, to apply whenever there is a state court proceeding pending that implicates important state interests and provides the federal court plaintiff with the opportunity to raise federal claims. Read literally, this test could lead one to the conclusion that the plaintiffs in a state court proceeding who raise a federal issue may never file a parallel proceeding in federal court raising the same issue without running afoul of Younger.
A. Younger Prohibits Federal Courts from Granting Relief that Would Interfere With an Ongoing State Judicial Proceeding.
The case that gave its name to the Younger abstention doctrine originated when a criminal defendant sought a federal court injunction under 42 U.S.C. § 1983 against a pending state court prosecution, contending that the statute under which he was being prosecuted violated the First Amendment.
What the concept does represent is a system in which there is sensitivity to the legitimate interests of both State and National Governments, and in which the National Government, anxious though it may be to vindicate and protect federal rights and federal interests, always endeavors to do so in ways that will not unduly interfere with the legitimate activities of the States.
Id. (emphasis added).
Younger itself exemplified the kind of “interference” that was sufficiently grave to require the federal court’s abstention from hearing a case that was, in all other respects, jurisdictionally proper. The state had begun a criminal prosecution in state court, and the plaintiff could have raised his constitutional challenge to the state statute as a defense in his prosecution. By seeking instead to have the federal court prevent the state court from going forward, the plaintiff was asking the federal court to intervene in a state court proceeding instigated by the state to vindicate state interests. Id. at 49,
Similarly, much as a federal injunction against an ongoing state enforcement proceeding effectively stops that proceeding cold, so too may a declaratory judgment. The Supreme Court thus held that Younger barred a suit for declaratory relief against the operation of a state criminal statute under which the plaintiff was being prosecuted in state court because declaratory relief, the Court determined, would “result in precisely the same interference with and disruption of state proceedings that the long-standing policy limiting injunctions was designed to avoid.” Samu-els v. Mackell,
Of the Supreme Court’s Younger cases, Middlesex is particularly significant to our analysis here, because it is the source of the three-factor test that our circuit has adopted for determining when the Younger doctrine should apply. Middlesex,
The plaintiffs in Middlesex, in lieu of filing an answer to state bar disciplinary charges against one of them, filed suit in federal court seeking to enjoin the state bar proceedings, alleging that the disciplinary rules violated their First Amendment rights.
The question in this case is threefold: first, do state bar disciplinary hearings within the constitutionally prescribed jurisdiction of the State Supreme Court constitute an ongoing state judicial proceeding; second, do the proceedings implicate important state interests; and third, is there an adequate opportunity in the state proceedings to raise constitutional challenges.
Id. at 432,
B. A Conflicting Federal Court Decision on a Point of Laiu Does Not “Interfere” With an Ongoing State Proceeding for Younger Purposes.
The Supreme Court has since confirmed that “interference” with ongoing state judicial proceedings is a necessary condition for Younger abstention. In doing so, the Court has clarified what kinds of federal court actions so “interfere” with state proceedings as to justify an exception to the fundamental precept that federal courts must ordinarily exercise the jurisdiction Congress has, consistently with the Constitution, conferred upon them.
In NOPSI, a case in all relevant respects identical to this one, the Supreme Court considered whether the district court properly abstained under Younger when the plaintiff brought a § 1983 action for declaratory and injunctive relief against the operation of a City Council utility rate order. NOPSI, the New Orleans electric utility, filed both a petition for review in Louisiana state court of the City Council’s decision and, in federal court, a § 1983 action challenging the rate-making as preempted by federal law.
Considering whether Younger abstention could apply to the case, the Supreme Court concluded that it could not. The state court petition for review proceeding did implicate a substantial, legitimate state interest in regulating utility rates, the Court held, id. at 365,
Analyzing the Council’s ratemaking proceedings and the subsequent state court challenges to it, the Court concluded that the ratemaking decision itself was a corn-
The Court went on to clarify further the meaning of “interference” with ongoing judicial proceedings for Younger purposes:
It is true, of course, that the federal court’s disposition of such a case may well affect, or for practical purposes preempt, a future-or, as in the present circumstances, even a pending-state court action. But there is no doctrine that the availability or even the pen-dency of state judicial proceedings excludes the federal courts.
Id. at 373,
In short, as the Court has often repeated, the “mere potential for conflict in the results of adjudications,” Colorado River,
NOPSI, then, clarifies that the three-part test we derived from Middlesex is a suitable guide for analysis only when the threshold condition for Younger abstention is present-that is, when the relief sought in federal court would in some manner directly “interfere” with ongoing state judicial proceedings-and that further, such interference is not present merely because a plaintiff chooses to instigate parallel affirmative litigation in both state and federal court. Any other view, as NOPSI emphasizes, would amount to the “doctrine that the availability or even the pendency of state judicial proceedings excludes the federal courts,” id. at 373,
It is true, of course, that allowing parallel federal and state court litigation will not always promote judicial efficiency and could lead to conflicting results. But “the interest of avoiding conflicting outcomes in
C. The Federal Case Brought Here Does Not Interfere With the State Litigation.
We have concluded that the three-prong Fresh International test, standing alone, fails to account for the principle that underlies Younger, Middlesex, and all the Supreme Court’s Younger case law, and that Younger applies only when the relief the plaintiff seeks in federal court would “interfere” with the ongoing state judicial proceeding. Here, the federal court action did not seek to enjoin, declare invalid, or otherwise involve the federal courts in terminating or truncating the state court proceedings.
Further, the difficult question in NOPSI, whether the underlying rate making action challenged by the plaintiffs was legislative or judicial in nature, is simply not present in this case. Here, the federal court plaintiffs are doing nothing more than challenging the constitutionality of a state statute, that is, “challeng[ing] completed legislative action.” NOPSI,
This conclusion is consistent with much of our Younger abstention ease law, but not all of it. In large part, our case law has recognized that such parallel state and federal affirmative lawsuits challenging state action as those at issue in NOPSI and here do not implicate the Younger doctrine. In Fresh International, for example, we explained that “Younger abstention ordinarily would not apply when a federal plaintiff also is the plaintiff in state court.”
III. Younger’s Application to Non-Parties
There is a second reason why the district court’s decision in this case cannot stand. Relying on Delta Dental, the district court decided that the state court litigation provided the plaintiffs with an adequate opportunity to raise their federal constitutional challenges because they were similarly situated to the state court plaintiffs and could have intervened in the state court case. The district court therefore abstained from deciding the case that the plaintiffs brought to federal court. We conclude that, because the plaintiffs in this case were not involved in the state litigation, it was error to have applied Younger abstention in this case even if the doctrine were otherwise properly applicable.
A. The Younger Doctrine Does Not Apply to Non-Parties to the State Court Litigation Simply Because the Non-Parties Could Have Intervened in the State Court Litigation.
As our discussion to this point makes clear, Younger abstention is a circumscribed exception to mandatory federal jurisdiction; it is not intended to cut a broad swath through the fabric of federal jurisdiction, relegating parties to state court whenever state court litigation could resolve a federal question. Consistent with the limited role of Younger abstention, the Supreme Court has indicated that, usually, federal plaintiffs who are not also parties to pending litigation in state court may proceed with their federal litigation. While the Court has also recognized that there are narrow circumstances in which the connection between the plaintiffs in federal court and parties to the litigation in state court is so close that Younger may apply to non-parties, those circumstances are not present here.
Early in the development of the Younger doctrine, the Court in two paradigmatic cases addressed the question whether individuals who were not parties to the state litigation could proceed with a constitutional challenge to the statute involved in the state litigation in federal court. Hicks v. Miranda,
Shortly thereafter, the Court clarified that when the federal plaintiff is not a party to the state court action, a mere commonality of interest with a party to the state litigation is not sufficient to justify abstention. In Doran, three bar owners sought an injunction in federal court against the operation of a local ordinance prohibiting topless entertainment in bars. Two had complied with the ordinance, but the third owner had not and was prosecuted in state court.
We do not agree ... that all three plaintiffs should automatically be thrown into the same hopper for Younger purposes!.] • • • We cannot accept that view, any more than we can accept petitioner’s equally Procrustean view that because [the plaintiff subject to prosecution] would have been barred from in-junctive relief had it been the sole plaintiff, [the other two plaintiffs] should likewise be barred not only from injunc-tive relief but from declaratory relief as well. While there plainly may be some circumstances in which legally distinct parties are so closely related that they should all be subject to the Younger considerations which govern any one of them, this is not such a ease;-while respondents are represented by common counsel, and have similar business activities and problems, they are apparently unrelated in terms of oimership, control, and management. We thus think that each of the respondents should be placed in the position required by our cases as if that respondent stood alone.
Id. at 928-29,
Together, then, Hicks and Doran circumscribe the quite limited circumstances under which Younger may oust a district court of jurisdiction over a case where the plaintiff is not a party to an ongoing state proceeding: Congruence of interests is not enough, nor is identity of counsel, but a party whose interest is so intertwined with those of the state court party that direct interference with the state court proceeding is inevitable may, under Younger, not proceed.
B. Plaintiffs Are, As a Rule, Entitled to Their Own Day in Court.
The Supreme Court has since reaffirmed, in a related but separate context, the principle that, absent extraordinary circumstances, each plaintiff is entitled to his own day in court, and that therefore the mere existence of litigation brought by other parties with similar interests does not bar a plaintiff from pursuing his own litigation. In Richards v. Jefferson County,
Following Richards, the Supreme Court has since held that earlier litigation brought by parties with similar interests could not preclude subsequent plaintiffs from bringing their own lawsuit even though they were aware of the prior litigation and shared a lawyer with the earlier plaintiffs. South Cent. Bell Tel. Co. v. Alabama,
Richards and its progeny thus reject the notion that the mere fact that a litigant in another case represented “essentially identical” interests to those of the plaintiff can pose a bar to a separate plaintiff pursuing his own cause of action. Richards,
The notion that a federal court plaintiff automatically loses his right to proceed in federal court if there is any state court case pending in which he could intervene to adjudicate his federal law issue cannot be squared with Richards. The consequence of such a required-intervention principle would be that entirely independent individuals could be bound by the forum choice of strangers, and could also be required to survey all litigation pending in the state to determine whether there is any case, however far from home, in which the same federal issue is being litigated. To put this concern in concrete terms, the viability of the constitutional challenges to the consent statute raised in this case by residents of Pima County could then turn on whether a party wishing to incorporate a community outside Phoenix has raised a similar constitutional challenge to the statute in state court in Maricopa County. Yet, under Richards, the potential Pima County plaintiff in such a suit cannot be
C. As a Rule, Plaintiffs Are Not Obligated to Exhaust State Remedies Before Suing in Federal Court.
There is yet another reason why the district court’s Younger intervention rule cannot stand: Requiring a plaintiff to intervene in state litigation brought by parties to which he is a stranger would contravene the principle that plaintiffs have no duty to exhaust their state administrative or judicial remedies before pursuing a § 1983 action in federal court. See Patsy v. Bd. of Regents,
The principle that § 1983 plaintiffs need not exhaust available state judicial or administrative remedies necessarily means, as the Third Circuit has aptly stated, that the mere availability of a state judicial proceeding that allows the opportunity to vindicate federal rights is insufficient to justify abstention under Younger: “[I]n the absence of a showing of some potential for interference with an ongoing state proceeding, Younger principles do not bar a Civil Rights Act plaintiff from going forward in a federal forum simply because there are unexhausted possibilities for state litigation over the same subject matter.” Marks,
D. Younger Cannot Oust the Federal Court of Jurisdiction Over This Case Because the Plaintiffs Were Not Parties to the Litigation in State Court.
Taken together, then, the principles stated in Hicks, Doran, Richards, and Patsy make clear that, absent a relationship with a party to a state proceeding that implicates the exceptions delimited in Hicks and Doran, a federal plaintiff has no
The district court relied on Delta Dental,
Applying the Hicks /Doran analysis, we conclude that the district court erred in abstaining under Younger on the ground that the plaintiffs could have intervened in the state court litigation. Four residents of Tortolita are parties to the state court case; the plaintiffs here are also Tortolita residents. That these individuals share an interest in Tortolita’s incorporation-even if their interests are “essentially identical,” Richards,
In short, the plaintiffs’ interests are not intertwined with those of the Tortolita parties to the state litigation in such a way as to come within the Younger exception to the general rule that non-parties to a state court action are entitled to litigate their own claims in federal as in state court.
Conclusion
Younger abstention, as the Supreme Court has so often repeated, is a circumscribed exception to the overarching rule that the federal courts must exercise the jurisdiction granted to them by Congress under the Constitution. Our decision today restores our circuit’s Younger jurisprudence to the careful boundaries delineated by the Supreme Court.
REVERSED AND REMANDED for further proceedings consistent with this opinion.
Notes
. Another Pima County community, Casa Adobes, was also in the midst of incorporation proceedings and therefore concerned with the question whether Tucson's consent to incorporation was necessary. Individuals and entities concerned with the Casa Adobes incorporation were involved in the state court proceedings summarized in the text and in a parallel federal court proceeding consolidated by the district court with this one. The current appeal concerns only the Tortolita incorporation. To simplify matters, we leave the Casa Adobes dispute out of this account.
. The Guaranty Clause provides, in pertinent part: "The United States shall guarantee to every State in the Union a Republican Form of Government.”
.The Town of Tortolita was added as a plaintiff in the First Amended Complaint, but later moved for voluntary dismissal from the federal litigation after Tucson challenged its standing to maintain suit.
. The parties also briefed whether abstention under Pullman or Colorado River was proper.
. We will call this standard the Fresh International standard, but it traces back to Middle-sex County Ethics Committee v. Garden State
. See San Remo Hotel v. City & County of San Francisco,
. The district court also dismissed plaintiffs’ claim for monetary damages under 42 U.S.C. § 1983. We do not reach the question whether that conclusion would be correct in a case as to which dismissal of the claims for declaratory and injunctive relief was proper under Younger, because we conclude that Younger abstention was not appropriate in this case at all. Cf. Adam v. Hawaii,
.Two of the Casa Adobes plaintiffs filed a petition for review in the Arizona Supreme Court, which was denied. Pima County filed a petition for review on May 18, 2001, upon which the Arizona Supreme Court has not yet taken action.
. Other circuits are split on whether to apply a de novo standard of review or an abuse of discretion standard to Younger abstention cases. See, e.g., Brooks v. New Hampshire Supreme Court,
. We have no occasion in this case to consider the standard of review applicable when abstention doctrines not based on Younger are at stake. See Fresh Int’l,
. Younger recognized that, under "extraordinary circumstances,” federal intervention in a slate prosecution could be appropriate, such as when a statute "might be flagrantly and patently violative of express constitutional prohibitions in every clause, sentence and paragraph, and in whatever manner and against whomever an effort might be made to apply it.”
. Although the Supreme Court’s opinion does not explicitly state that the plaintiffs sought injunctive relief, the lower court’s opinion makes this clear. See Garden State Bar Ass'n v. Middlesex County Ethics Comm.,
. Although the state court action originally did not raise the federal preemption question, il was later amended to do so.
. Colorado River Water Conservation District v. United States,
. Other circuits have also so recognized. See Rogers v. Desiderio,
. There is no tension between the non-exhaustion rule and Younger abstention as properly applied because, as the Supreme Court has explained, the non-exhaustion rule is inapplicable to state administrative proceedings that are coercive rather than remedial in nature. See Dayton Christian Schs.,
. We do not read the First Circuit’s decision in Casa Marie v. Superior Court,
Similarly, while rejecting the premise that Younger abstention could bar the suit of plaintiffs who were not parties to a state court action, the Seventh Circuit held in Hoover that abstention was nonetheless justified for reasons of comity because the plaintiffs sought an injunction against a state judge and the Milwaukee police chief limiting enforcement of the state court’s injunction constraining the activities of anti-abortion proteslers-relief that was "at once an insult to the judicial and law enforcement officials ..., an interference with an ongoing state court proceeding, and an empty and mischievous command to these officials to avoid committing any errors in the enforcement of the injunction. ..."
. To the extent, however, that the observation at the end of the Delia Dental opinion regarding the availability of intervention, id. al 1297, suggests that the result in any way turned on that comment, we disapprove the suggestion.
