Alice SAMMON; Michael and Stefania Santomenna; Tracy Leal and Tom Quinn, Tony and Vicki Diioia and Landie Simone, Appellants, v. NEW JERSEY BOARD OF MEDICAL EXAMINERS; State of New Jersey, Christine Todd Whitman, Governor, State of New Jersey.
No. 94-5495
United States Court of Appeals, Third Circuit
Argued Feb. 17, 1995. Decided Sept. 15, 1995.
66 F.3d 639
VI.
For the reasons expressed, we will reverse the judgment of the district court.
(Caption amended per the Clerk‘s 9/26/94 order).
Deborah T. Poritz, Attorney General of New Jersey, Andrea M. Silkowitz, Assistant Attorney General, Sandra Y. Dick (Argued), Senior Deputy Attorney General, Office of Attorney General of New Jersey, Newark, NJ, for appellees.
Before: STAPLETON and COWEN, Circuit Judges, and HUYETT, District Judge.*
OPINION OF THE COURT
STAPLETON, Circuit Judge:
This case presents a substantive due process challenge to several provisions of a New Jersey licensing statute regulating the practice of midwifery. The plaintiffs/appellants are several aspiring midwives, a midwife not presently licensed by the State of New Jersey, and several couples who wish to employ
I.
A person is “regarded as practicing midwifery” under New Jersey‘s statute if he or she “attends a woman in childbirth as a midwife, or advertises as such.”1
Appellant Alice Sammon, though not licensed in New Jersey, has a nursing degree from a certified nursing school and substantial apprenticeship training as a midwife. She has assisted in several hundred births and is registered as a midwife with the North American Registry of Midwives. Appellants Michael and Stefania Santomenna, Tracy Leal and Tom Quinn, and Tony and Vicki Diioia (the “parents“) are couples who plan to expand their families and desire to employ midwives to assist them with home births. Appellants Vicki Diioia, Leal, and Landi Simone (the “aspiring midwives“) intend, if permitted, to pursue careers as midwives in New Jersey.
Appellants filed suit under
II.
A.
The district court ruled that the aspiring midwives lacked standing to challenge the New Jersey statutory scheme because they had “made only wholly conclusory allegations that they aspire to become midwives,” and had not alleged that they had “approached physicians and been denied sponsorship, or attempted to enroll in any one of thirty out of state mid-wife schools, or applied for a license to be a midwife, or sought out a registered maternity hospital.” (Dist.Ct.Op. at 6.)
To establish standing, the aspiring midwives must meet the following requirements:
First, [they] must have suffered “an injury in fact“—an invasion of a legally protected interest which is (a) concrete and particularized, and (b) “actual or imminent, not ‘conjectural’ or ‘hypothetical.’ ”
Second, there must be a causal connection between the injury and the conduct complained of—the injury has to be “fairly ... trace[able] to the challenged action of the defendant, and not ... th[e] result [of] the independent action of some third party not before the court.”
Third, it must be “likely,” as opposed to merely “speculative,” that the injury will be “redressed by a favorable decision.”
Lujan, 504 U.S. at 560-61, 112 S.Ct. at 2136 (citations omitted); see also Erwin Chemerinsky, Federal Jurisdiction § 2.3, at 51 (1989).
The second and third Lujan factors are clearly present here. As noted, the aspiring midwives allege that but for the 1800-hour study and the physician-indorsement requirements, they would become licensed midwives. Thus, the alleged injury—not being able to practice their chosen profession—is both fairly traceable to New Jersey‘s statutory scheme and likely to be redressed by a favorable decision ruling that scheme unconstitutional.
The allegations also suffice to establish an “injury in fact.” First, the aspiring midwives’ assertion of a right to practice their chosen profession is a legally cognizable one. See Hampton v. Mow Sun Wong, 426 U.S. 88, 102 n. 23, 96 S.Ct. 1895, 1905 n. 23, 48 L.Ed.2d 495 (1976). Second, their injuries are “concrete and particularized” because the statutory requirements, by making it more difficult for the aspiring midwives to practice their chosen profession, affect each aspiring midwife in a “personal and individual way.” Lujan, 504 U.S. at 560 n. 1, 112 S.Ct. at 2136 n. 1. Finally, the injuries are “actual or imminent” and not “conjectural” or “hypothetical” because the aspiring midwives allege present sincere desires to work as midwives and claim that the New Jersey statutory scheme has deterred them from taking any steps towards reaching their goals.
That the aspiring midwives may not presently have the training necessary to work as midwives does not defeat their standing to challenge the New Jersey scheme. We recognize that the existence of factual contingencies which stand between a litigant and her goal may at times defeat her standing to challenge a particular statutory barrier to reaching that same goal. See, e.g., Roe v. Wade, 410 U.S. 113, 127-28, 93 S.Ct. 705, 713-14, 35 L.Ed.2d 147 (1973) (“married couple” plaintiffs did not have standing to challenge Texas’ abortion statute because the married woman was not pregnant and her “alleged injury” rested “on possible future contraceptive failure” that she intended to do her best to avoid); see also Warth v. Seldin, 422 U.S. 490, 502-08, 95 S.Ct. 2197, 2206-08, 45 L.Ed.2d 343 (1975) (low-income plaintiffs had no standing to challenge a zoning ordinance because their ability to move into the zoned area “depended on the efforts and willingness of third parties to build low- and moderate-cost housing“). The aspiring midwives’ claims are not based upon uncertain events, however. While they do not presently have the training to function as midwives,
Nor is our analysis changed by the facts that the aspiring midwives have never applied for midwife licenses or asked physicians for indorsements. We recognize that a litigant‘s failure to apply for a license may at times render her challenge to a licensing scheme unripe for judicial review. See, e.д., Pacific Gas & Elec. Co. v. State Energy Resources Conservation & Dev. Comm‘n, 461 U.S. 190, 200-03, 103 S.Ct. 1713, 1720-22, 75 L.Ed.2d 752 (1983). In many cases, requiring litigants to actually apply for a license before challenging a licensing scheme ” ‘prevent[s] courts, through avoidance of premature adjudication, from entangling themselves in abstract disagreements over administrative policies, and also ... protect[s] the agencies from judicial interference until an administrative decision has been formalized and its effects felt in a concrete way by the challenging parties.’ ” Id. at 200, 103 S.Ct. at 1720 (quoting Abbott Lab. v. Gardner, 387 U.S. 136, 148-49, 87 S.Ct. 1507, 1515, 18 L.Ed.2d 681 (1967)). In the case at bar, however, there is no indication that the aspiring midwives possibly could obtain a license or a physician‘s indorsement without first going through the 1800 hours of instruction. Requiring these women to apply for a license or to approach physicians asking for indorsements before going through the required training—as the district court appears to suggest—accordingly would serve no purpose. Litigants are not required to make such futile gestures to establish ripeness. Hailes v. United Air Lines, 464 F.2d 1006, 1008 (5th Cir.1972); Image Carrier Corp. v. Beame, 567 F.2d 1197, 1201-02 (2d Cir.1977), cert. denied, 440 U.S. 979, 99 S.Ct. 1785, 60 L.Ed.2d 239 (1979); see also International Bhd. of Teamsters v. United States, 431 U.S. 324, 365, 97 S.Ct. 1843, 1869, 52 L.Ed.2d 396 (1977) (“If an employer should announce his policy of discrimination by a sign reading ‘Whites Only’ on the hiring-office door, his victims would not be limited to the few who ignored the sign and subjected themselves to personal rebuffs.“); compare Newark Branch, NAACP v. Harrison, 907 F.2d 1408, 1415 (3d Cir.1990) (plaintiff organization‘s members have no standing to challenge discriminatory employment practice because there was no indication that any of the members was deterred by the practice from applying for a job).4
B.
The parents also have standing to assert their claims. While none of the women are presently pregnant, they all have borne children in the past, intend to have additional children, and are determined to employ midwives to assist them with birthing those additional children at home. In the past, the parents all either have travelled out of state to obtain the services of a midwife or have used the services of an unlicensed midwife.
In sum, we conclude that each of the plaintiffs has standing to challenge the constitutionality of the New Jersey statutory scheme regulating the practice of midwifery and that those claims are ripe for adjudication. Accordingly, we proceed to the merits of the appellants’ substantive due process challenge.
III.
The first step in any substantive due process case is to determine the standard of
Turning first to the statute, it is important to focus on what it does and does not do. The statute regulates who may engage in practicing midwifery in New Jersey. It does not prohibit midwifery. Nor does it regulate where or in what manner birthing may take place. It thus does not foreclose the parents from engaging the services of a midwife or from electing birth at home, natural childbirth, or any particular procedure in the course of delivery.5
It is similarly important to focus on what the complaint does and does not allege. The complaint alleges that the statute “unconstitutionally deprives plaintiff Sammon of her ability to earn a living at her chosen profession,” and the aspiring midwives of “their ability to practice in their respective field of interest.” (App. at 25.) With respect to the parents, the complaint alleges that the statute “unduly restricts the right of the consumer plaintiffs to choose a birthing style and a qualified attendant of their choice.” (App. at 26.)
The complaint does not allege that there are no licensed midwives or a dearth of licensed midwives in New Jersey.6 It does
Our independent research indicates that “direct entry midwifery” does not have a universally understood meaning.8 Moreover, our research disclosed no source that used direct entry midwifery to describe a particular manner of practicing midwifery. If plaintiffs’ use of the phrase is intended to refer to a manner of practicing, however, New Jersey‘s statute does not foreclose anyone from obtaining a license to practice, or from practicing, direct entry midwifery so long as that individual meets the qualification specified in the statute.
Based upon the complaint and the statute, it is thus clear that the interests at stake here are the interest of Sammon and the aspiring midwives in practicing midwifery
Where rational basis review is appropriate, a statute withstands a substantive due process challenge if the state identifies a legitimate state interest that the legislature
The test for determining whether a law comports with substantive due process is whether the law is rationally related to a legitimate state interest. “[T]he law need not be in every respect consistent with its aims to be constitutional. It is enough that there is an evil at hand for correction, and that it might be thought that the particular legislative measure was a rational way to correct it.”
Id. at 689 (quoting Williamson v. Lee Optical of Oklahoma, Inc., 348 U.S. 483, 487-88, 75 S.Ct. 461, 464, 99 L.Ed. 563 (1955)); see also Midnight Sessions, Ltd. v. City of Philadelphia, 945 F.2d 667, 682 (3d Cir. 1991), cert. denied, 503 U.S. 984, 112 S.Ct. 1668, 118 L.Ed.2d 389 (1992). Determining whether a particular legislative scheme is rationally related to a legitimate governmental interest is a question of law. Id.
We stress that a court engaging in rational basis review is not entitled to second guess the legislature on the factual assumptions or policy considerations underlying the statute. If the legislature has assumed that people will react to the statute in a given way or that it will serve the desired goal, the court is not authorized to determine whether people have reacted in the way predicted or whether the desired goal has been served. The sole permitted inquiry is whether the legislature rationally might have believed the predicted reaction would occur or that the desired end would be served. When legislation is being tested under rational basis review, “those challenging the legislative judg-
IV.
Appellees offer two state interests to justify the New Jersey regulatory scheme: the interest in protecting the health and welfare of the mother and the interest in protecting the health and welfare of the child. These are legitimate state interests. See, e.g., Roe v. Wade, 410 U.S. 113, 163-64, 93 S.Ct. 705, 732, 35 L.Ed.2d 147 (1973) (recognizing the state‘s interest in both the health of the mother and the viable fetus).
The regulatory scheme is also rationally related to these state interests. Each of the complained of requirements—(1) that applicants have at least 1800 hours of instruction, (2) that this instruction comes from a school of midwifery or a maternity hospital rather than an apprenticeship,
The appellants maintain that the 1800 hours of instruction requirement is not “rationally-related” to New Jersey‘s legitimate goal of assuring that midwives are qualified to perform their jobs. While we do not question plaintiffs’ sincerity when they voice this opinion, it is sufficient to conclude that this is a matter about which reasonable minds can differ. As the district court noted “1800 hours, or forty-five weeks of full time training, is not an irrational length of time, considering the serious nature of the work performed by midwives.” (Dist.Ct.Op. at 13.) The mere fact that some students might perform as competent midwives without going through the full 1800 hours of training does not make the requirement “irrational.” The New Jersey legislature may well have decided that the 1800-hour training requirement will assure that midwives who go through 1800 hours’ instruction are competent often enough to justify the burden to students who are competent at some point before 1800 hours of study. We cannot say that the requirement is irrational given New Jersey‘s interests in both the technical competence of the entire population of midwives and the health of the entire population of midwife consumers. While different training requirements might also further New Jersey‘s valid goals, “it is for the legislature, not the courts, to balance the advantages and disadvantages of the ... requirement.” Williamson, 348 U.S. at 487, 75 S.Ct. at 464.
A similar analysis reveals the rationality of the other statutory requirements. The requirement that would-be midwives receive their training through instruction at schools of midwifery or maternity hospitals rather than through the apprenticeship training also reflects a legislative judgment about which reasonable minds can differ. We simply cannot say it is irrational to believe that midwives trained in schools of midwifery or at maternity hospitals on the whole are better able to protect the health of New Jersey mothers and children.
Plaintiffs profess concern about the physician indorsement requirement because it “imposes a significant barrier to entry upon persons seeking to practice midwifery.” This is true, they allege, “since direct entry midwives are broadly perceived ... as potentially competing with obstetricians” and physicians have a conflict of interest when asked
It is, of course, rational to believe that an obstetrician asked to indorse the qualifications of a midwife candidate will not be a wholly objective evaluator of a candidate‘s qualifications. One can also make a substantial policy argument that the benefit to be derived from a physician indorsement requirement is outweighed by the burden it places on candidates. It is not irrational, however, (1) to find value in soliciting the views of a medically trained individual who has had some personal contact with the candidate and has checked into his or her credentials, or (2) to conclude that there are sufficient members of the medical profession willing to perform this public service in good faith to make such a requirement workable.11
V.
The root of this controversy is that plaintiffs believe apprenticeship training is as valuable as more formal training and that an examination could be devised that would assure adequate quality control. They may be right. However, the elected representatives of the people of New Jersey who voted for the statute took a contrary view. While there are disputes of legislative fact involved in this disagreement, those disputes are not legally relevant under substantive due process jurisprudence.
The concern of the parents is that the statute makes it “practically impossible ... to attain the substantial benefits—in terms of access, cost and safety—which can be made available through the use of direct entry midwives” and that as a result their “significant efforts” to identify direct entry mid-
VI.
This controversy is one this court is not authorized to resolve and the plaintiffs must take their evidence and advocacy to the halls of the New Jersey‘s legislature. The judgment of the district court will be affirmed.
No. 94-5371.
United States Court of Appeals, Third Circuit.
Argued Feb. 14, 1995.
Decided Sept. 21, 1995.
Notes
The examination may be oral or written, or both, and shall be in the English language and shall be held on the following subjects:
a. Anatomy of the pelvis and female generative organs.
b. Physiology of menstruation.
c. Diagnosis and management of pregnancy.
d. Diagnosis of foetal presentation and position.
e. Mechanism and management of normal labor.
f. Management of the puerperium.
g. Injuries to the genital organs following labor.
h. Sepsis and antisepsis in relation to labor.
i. Special care of the bed and lying-room.
j. Hygiene of the mother and infant.
k. Asphyxiation, convulsions, malformation and infectious diseases of the newborn.
l. Cause and effects of ophthalmia neonatorum.
m. Abnormal condition requiring attendance of a physician.
The examination shall be sufficient to test the scientific and practical fitness of candidates to practice midwifery, and the board may require examination on other subjects relating to midwifery from time to time.
