Lead Opinion
ORDER
Wе GRANT Appellee’s Petition for Panel Rehearing for the limited purpose of withdrawing the previous panel opinion and concurring/dissenting opinion and substituting a revised panel opinion and concurring/dissenting opinion. In all other regards, the Petition for Panel Rehearing is DENIED.
A judge of the court called for a vote on the petition for rehearing en banc. A vote was taken, and a majority of the active judges of the court failed to vote for en banc rehearing.
An Oklahoma statute makes abortion providers liable for any subsequent medical costs that may be required because of an abortion performed on a minor without parental consent or knowledge. Sеeking to challenge the constitutionality of that statute, Nova Health Services (“Nova”), an abortion provider, brought this action for injunctive and declaratory relief against various officials who oversee certain public health care facilities in Oklahoma. These public officials have not attempted to recover any medical costs from Nova under the challenged statute, although it is possible that they may seek to do so sometime in the future.
The district court held that there was a justiciable case or controversy between the parties and entered summary judgment against the defendants. The court issued declaratory and injunctive relief against the defendants, declaring that the Oklahoma statute imposed аn unconstitutional burden on a woman’s ability to obtain an abortion and was excessively vague.
Absent a genuine case or controvеrsy between the parties, it is not constitutionally permissible for the federal courts to decide the issues presented. Accordingly, we VACATE the order of the district court against the defendants in this appeal,
BACKGROUND
Prior to June 2001, Nova offered abortions to minors without requiring that they first notify a parent. According to Nova, it “saw approximately one to two minors a month who had not consulted with a parent regarding their abortion.” When a prospective minor patient stated that she had not talked to a parent about the abortion, Nova would encourage her to do so but would ultimately leave that decision to the patient. In “many cases,” the minor eventually would choose to consult with a parent about the abortion.
In June 2001, Oklahoma enacted a law providing that:
Any person whо performs an abortion on a minor without parental consent or knowledge shall be liable for the cost of any subsequent medical treatment such minor might require because of the abortion.
Okla. Stat. tit. 63, § 1-740. Although this law applies only to abortions performed on minors without parental “consent or knowledge,” Nova responded by deciding that, in the future, it would require minors to produce in-person parental consent in order to obtain an abortion there. Since § 1-740 came into effect, Nova alleges that it has “turnfed] away young women who have valid and compelling reasons for not involving their parents in their decision.” More specifically, Nova asserts that between July 2001 and January 2002 at least 31 minors declared that they would not bring a parent to the clinic to give consent.
Less than a week after § 1-740 came into effect, Nova filed the instant lawsuit in federal district court seeking declaratory and injunctive relief. The four defendants in this appeal are Oklahoma public officials whose functions include overseeing certain state medical institutions. Nova alleged in its complaint that each of these institutions provide some form of medical treatment services, but the record does not detail the scope of their activities.
Dean Gandy is the Executive Director of the University Hospitals Authority, which oversees Oklahoma Memorial Hospital and Children’s Hospital of Oklahoma. See Okla. Stat. tit. 63, § 3204. Terry L. Cline is the Commissioner of the Oklahoma Department of Mental Health and Substance Abuse Services, which manages state institutions designed to treat mental illness and drug and alcohol dependency. See
Before the district court, Nova argued that § 1-740 is unconstitutional because it lacks an exception for abortions performed in medical emergencies, lacks a judicial bypass procedure, and is impermissibly vague. The defendants argued, among other things, that Nova failed to demonstrate Article III standing. The district court denied the defendants’ motions to dismiss and motions for summary judgment, and granted Nova’s motion for summary judgment. The defendants listed above appealed. For the reasons discussed below, we VACATE the judgments against these defendants and DISMISS for lack of standing.
ANALYSIS
As an irreducible constitutional minimum, a plaintiff must satisfy three criteria in order for there to be a “case or controversy” that may be resolved by the federal courts. Lujan v. Defenders of Wildlife,
We review questions of standing de novo. Utah v. Babbitt,
Standing is determined as of the time the action is brought. See Smith v. Sperling,
A. Injury In Fact
As noted above, an injury in fact must be actual or imminent, not conjectural or hypothetical. Lujan,
There is evidence in the record that, before § 1-740 came into effect, one or two minors each month would seek abortions at Nova without first consulting with a parent. In light of this past demand for abortions without parental involvement, Nova certainly could have expected to lose some business under its new policy demanding that minors obtain in-person parental consent. Further, there is evidence in the record that Nova actually turned away 31 minors who sought abortions between July 2001 and January 2002, after § 1-740 came into effect, because they, refused to comply with Nova’s new parental consent policy.
This evidence is enough, for summary judgment purposes, to support a conclusion that it wаs imminent at the time Nova brought this action that it would lose some minor patients. See Singleton v. Wulff,
Accordingly, Nova has sufficiently demonstrated at this stage of the litigation that it faced a concrete and imminent injury in fact. More specifically, as of June 2001, Nova faced an imminent likelihood that it would lose some minor patients seeking abortions.
B. Causation
We next turn to whether Nova's injury in fact-the imminent threat that
To invoke federal jurisdiction, a plaintiff must show that his or her injury is “fairly traceable to the challenged action of the defendant, and not the result of the independent action of some third party not before the court.” Lujan,
As explained above, § 1-740 makes abоrtion providers. liable for any subsequent medical costs necessitated by an abortion that was performed without parental consent or knowledge. Okla. Stat. tit. 63, § 1-740. In addition to allowing certain minors the right to recover their post-abortion medical expenses, it appears that the statute also enables suits by medical facilities that incur certain treatment costs that their patients fail to reimburse.
Nova has produced some evidence that the enactment of § 1-740 coerced it into requiring at least some sort of parental involvement prior to performing an abortion on a minor. In turn, there is evidence that Nova’s new policy made it imminent that it would lose some minor patients.
We hold that Nova has failed to show the required causal connection between its injury and these defendants. First, there is no evidence that the defendants have done or have threatened to do anything that presents a substantial likelihood of causing Nova harm. Nova submitted evidence that its refusal to offer abortions absent parental consent was a response to the enactment of § 1-740, not a response to any actions of these particular public officials. Additionally, nothing in the record suggests that the conduct of any of thesе defendants substantially caused Nova to stop offering abortions to minors without parental involvement. Therefore, it is at best merely speculative whether these defendants caused Nova’s decision to require parental consent, with a concomitant prospective loss of patients that flowed from that decision. The plaintiffs burden of demonstrating causation is not satisfied when “[speculative inferences are necessary to connect [its] injury to the challenged actions.” See Simon v. E. Ky. Welfare Rights Org.,
In other words, Nova has “confus[ed] the statute’s immediate coercive effect on the plaintiff! ] with any coercive effect that might be applied by the defendants.” See Okpalobi v. Foster,
It may be true that these defendants potentially have the power to sue Nova under § 1-740, in the event that they happen to (1) incur medical costs (2) not reimbursed by the patient (3) that were required because of an abortion (4) performed by Nova (5) on a minor (6) without parental consent or knowledge. In this respect, § 1-740 is not unlike a multitude of other state tort laws under which these defendants might someday have a cause of action. Yet if these defendants’ latent power to litigate were enough to support standing, anyone who might someday have a claim under § 1-740 could be summoned preemptively before the federal courts to defend the constitutionality of that statute. Article III does not allow a plaintiff who wishes to challenge state legislation to do so simply by naming as a defendant anyone who, under appropriate circumstances,
Furthermore, it makes no difference in this case that each of the defendants are public officials sued in their official capacities. In Wilson v. Stocker, we noted that an official who is chаrged with enforcing a state statute on behalf of the entire state is a proper defendant, so long as the plaintiff shows an appreciable threat of injury flowing directly from the statute.
In contrast, the defendants in this case are not charged with enforcing § 1-740 on Oklahoma’s behalf. Rather, they are simply able to bring a civil suit under that statute (along with any other potentially relevant state law) in their proprietary capacities as directors of certain public medical institutions. Wilson deals only with suits against “state enforcement officers” to challenge the laws they execute as a representative of the state. See Wilson,
In sum, although Nova has shown that it suffered an injury in fact, it has failed to demonstrate that its injury was caused by “the challenged action of the defendants], and not the result of the independent action of some third party not before the court.” Cf. Lujan,
C. Redressability
Article III further requires that the plaintiff demonstrate a substantial likelihood that the relief requested will redress its injury in fact. Ash Creek Mining Co. v. Lujan,
We hold that Nova has failed to show that a judgment against the defendants in this action would likely redress its lost patients injury. As noted above, the record contains evidence that the enactment of § 1-740 created the imminent possibility that Nova would be reasonably coerced into turning away prospective minor patients who would not obtain parental consent. Yet the record cannot support a conclusion that a judgment enjoining only these defendants from filing suit to recover
In this case, like many, “redressability and traceability overlap as two sides of a causation coin.” See Cache Valley Elec. Co. v. Utah Dep’t of Transp.,
Consequently, nothing in the record suggests that a judgment against these defendants would materially reduce the coercive effect of § 1-740 that Nova claims prevented it from offering abortions to minors without parental consent. In turn, such a judgment would likely do nothing to prevent Nova from losing minor patients in the future, and thus would not be substantially likely to redress Nova’s injury in fact. See Essence,
Finally, we reject Nova’s argument that a favorable declaratory judgment against these defendants would redress its injury by deterring other potential litigants from relying on § 1-740, even in state court. As an initial matter, Nova’s argument is entirely speculative. More fundamentally, it overlooks the principle thаt it must be the effect of the court’s judgment on the defendant that redresses the plaintiffs injury, whether directly or indirectly. See Ash Creek Mining Co.,
CONCLUSION
Article Ill’s standing requirements guarantee that both plaintiffs and defendants have “such a personal stake in the outcome of the controversy as to assure that concrete adverseness which sharpens the presentation of issues upon which the court so largely depends for illumination of difficult constitutional questions.” See Duke Power Co.,
Our decision that Nova's injury is not fairly traceable to the defendants in this action and not likely redressable by a judgment against these defendants reflects this fundamental policy. The incentives of these defendants-hosрital directors and university administrators-to defend a politically divisive abortion statute is not particularly strong, at least at the present time when these defendants have no actual or imminent claims against Nova under the statute. Articte III sensibly requires the federal courts to refrain from determining the validity of that legislation until the issue reaches us as part of a genuine case or controversy between adverse parties-i.e., in a case presenting a claim of concrete and actual or imminent injury traceable to the named defendants which is redressable by the authority of a judgment against those defendants. No such case or controversy is presented in this litigation.
We VACATE the judgment of the district court against the defendants in this apрeal, and DISMISS for lack of standing.
Notes
. Those voting in favor of en banc reconsideration were Judges Seymour, Briscoe, Murphy and Lucero. Judge Henry recused himself from this case and did not vote on the suggestion for en banc rehearing.
. Our opinion does not disturb the judgment against Mike Forgarty, a defendant below who did not appeal the judgment against him.
. Nova admits that it is unclear how many, if any, of these women ultimately returned and obtained an abortion at Nova with parental consent.
. Mike Fogarty, the CEO and Administrator of the Oklahoma Health Care Authority, was also a defendant in the proceedings before the district court. As noted in footnote 1, Fogarty has not appealed the judgment against him, and we therefore do not disturb that judgment.
. In Powder River Basin Res. Council v. Babbitt, we stated that a plaintiff had "lost standing” in the middle of a lawsuit.
. Any past injury would not be redressable by the prospective relief Nova has sought in this case. See San Diego County Gun Rights Comm. v. Reno,
Additionally, Nova’s mere possible future exposure to civil liability under § 1-740 is too remote to constitute an actual or imminent injury in fact. Nova could only be subject to liability under § 1-740 if it performs an abortion on a minor without parental consent or knowledge, if that minor requires subsequent medical treatment because of that abortion, and if the minor does in fact obtain such treatment. Although such a chain оf events would indeed be possible, any threat of this kind of injury is far from immediate.
. Absent any narrowing construction that the Oklahoma courts may ultimately provide, we follow the most literal reading of § 1-740 and assume that this statute provides a cause of action to post-abortion health providers as well as to the woman herself for all post-abortion medical expenses incurred as a result of the abortion.
. We note that, to a significant extent, Nova's injury was self-inflicted. Although § 1-740 applies only to abortions performed on minors without “parental consent or knowledge,” Nova responded by requiring all minors to obtain in-person parental consent. Under the plain language of § 1-740, a parental knowledge requirement would have avoided prospective civil liability under the statute just as well. It would have also likely reduced Nova's threat of lost patients, at least to some degree. See Ohio v. Akron Ctr. for Reproductive Health,
"At some point, standing may be denied because the injury seems solely&emdash;or almost ■ solely&emdash;attributable the plaintiff.... Stand- ing is defeated only if it is concluded that the injury is so completely due to the plaintiff's own fault as to break the causal chain.” 13 Fed. Prac. & Proc-. Juris.2d § 3531.5, Causation (2004); see also Pennsylvania v. New Jersey,
For other reasons, as explained below, Nova failed to demonstrаte the required causal connection between its injury and the defendants in this action. Therefore, it is not necessary for us to address here whether Nova's overreaction to § 1-740 would have broken a properly established causal chain.
. The Supreme Court’s decisions in Franklin v. Massachusetts,
. The dissent, in Footnote 3, suggests that we failed to address third-party standing. However, third-party standing is a prudential doctrine that is addressed only after the ''irreducible minimum" of Constitutional standing is satisfied. See Singleton v. Wulff,
Concurrence Opinion
concurring & dissenting:
I concur in the majority’s conclusion that Nova has failed to demonstrate Article III standing for its claim seeking in-junctive relief. I respectfully dissent, however, from the majority’s conclusion that Nova lacks standing to pursue its claim for declaratory relief. In my view, Nova has shown that the conduct of these defendants is causally connected to Nova’s injury and, further, that our declaring § 1-740 unconstitutional would redress its injuries.
The majority correctly states that, to prove causation, a plaintiff must show his or her injury is “fairly traceable to the challenged action of the defendant, and not the result of the independent action of some third party not before the court.” Lujan,
I find no support for the majority’s conclusion that Nova must show a “substantial likelihood” that defendants’ conduct caused Nova’s injuries in this case. The reason this conclusion lacks support is apparent. In a case such as this where the plaintiff seeks pre-enforcement review of a statute’s constitutionality, it is often the case that the defendant has not enforced (or even threatened to enforce) the statute. As this court explained in Wilson v. Stocker,
[T]he Supreme Court has often found a case or controversy between a plaintiff challenging the constitutionality of a statute and an enforcement official who has made nо attempt to prosecute the plaintiff under the law at issue. In Doe v. Bolton,410 U.S. 179 ,93 S.Ct. 739 ,35 L.Ed.2d 201 (1973), the Court found a justiciable controversy between doctors subject to prosecution under criminal abortion statutes and the state attorney general, “despite the fact that the record does not disclose that any one of [the doctors] has been prosecuted, or threatened with prosecution.” ... [I]n Diamond v. Charles,476 U.S. 54 ,106 S.Ct. 1697 ,90 L.Ed.2d 48 (1986), the Court stated that “the conflict between state officials empowered to enforce a law and private parties subject to prosecution under that law is a classic ‘case’ or ‘controversy’ within the meaning of Art. III.” Id.
The legal principle underlying these decisions is the familiar doctrine that “[a] suit against a state officer in his official capacity is, of course, a suit against the State.” Thus a controversy exists not because the state official is himself a source of injury, but because the official represents the state whose*1162 statute is being challenged as the source of injury.
Wilson,
I alsо disagree with the majority’s conclusion that these defendants are somehow improper defendants because they are not directly charged with enforcement of the statute. Nova seeks declaratory relief. As the majority correctly notes, “a plaintiff challenging the constitutionality of a state statute has a sufficiently adverse legal interest to a state enforcement officer sued in his representative capacity to create a substantial controversy when ... the plaintiff shows an appreciable threat of injury flowing directly from the statute." Id. at 947 (emphasis added); see also Planned Parenthood v. Wasden,
Section 1-740 provides: “Any person who performs an abortion on a minor without parental consent or knowledge shall be liable for the cost of any subsequent medical treatment such minor might require because of the abortion.” Okla. Stat. Ann. tit. 63, § 1-740. On its face, the statute creates liability for an abortion provider who performs an abortion on a minor without parental consent for any subsequent medical treatment the minor may require because of the abortion, but it places no limitations on the class of potential plaintiffs that may sue abortion providers to recover those medical expenses. Thus, unlike the statutes at issue in Hope Clinic v. Ryan,
Here, Nova seeks declaratory relief against four state officials sued in their official capacities, each of whom is authorized by § 1-740 to sue Nova for costs the State of Oklahoma incurs on behalf of minors who obtain abortions from'Nova without parental consent. Nova decided to stop providing abortions to minors who did not have parent consent based on its fear that Oklahoma state officials, acting in their official capacities, would attempt to recover under § 1-740.
To establish redressability, a plaintiff must show it is likely that a favorable court decision will redress the injury to the plaintiff. See Lujan,
A plaintiff seeking declaratory relief establishes redressability if the practical consequence of a declaration “would amount to a significant increase in the likelihood that the plaintiff would obtain relief that directly rеdresses the injury suffered.” Utah v. Evans,
Nova has been injured by the fact that, as a rеsult of enactment of § 1-740, it has faced an imminent likelihood that it would lose some patients who are minors seeking abortions. The relief Nova requests is a declaration that § 1-740 is unconstitutional because it is so vague that it violates due process. If we declare § 1-740 unconstitutional, there is a substantial likelihood that the precedential value of our opinion will prevent future parties from attempting to recover under § 1-740. Nova will be able to offer abortions to minors without the fear that parties will use § 1-740 to sue Nova. Thus, the declaration Nova requests sufficiently redresses Nova’s injury by granting it a substantial basis for confidence in the legality of its conduct. See Roe,
Because Nova has demonstrated an injury-in-fact, causation, and redressability, I conсlude Nova has standing in its individual capacity to sue defendants Gandy, Cline, Halligan, and Boren.
. The present case and Okpalobi differ in two very important respects: the state officials sued here have the power and authority to assert claims under the challenged statute, and the Fifth Circuit in Okpalobi was addressing injunctive relief only, not declaratory relief. See
. To state that Nova's response to § 1-740 was to a significant extent "self-inflicted” and an "overreaction,” Maj. Op. at 1156 - 1157, n. 7, is disingenuous. When faced with potential civil liability for post-abortion medical expenses necessitated by an abortion performed without parental consent or knowledge, Nova logically responded by requiring in-person parental consent so it could prove parental consent or knowledge when sued.
. Because I conclude Nova has standing to sue defendants in its individual capacity, I do not reach the issue of' whether Nova has third-party standing to sue on behalf of its patients. The majority's dismissal of Nova’s claims for lack of standing fails to address this asserted ground for standing.
. I share the majority's concern that some of the defendants might be improper insofar as they are not likely to enforce § 1-740. However, given the statute's unusually broad language, it is not our task to determine as part of the standing analysis whether the defendant state officials actually would enforce the act. To the extent the defendants here are unlikely to enforce § 1-740, I would address that issue as part of the Eleventh Amendment analysis.
