Lead Opinion
This ease raises two issues concerning the severance of unconstitutional portions of a parental consent abortion statute. The plaintiffs, doctors and others, appeal the ruling of the District Court in their challenge to Kentucky’s statute requiring physicians to obtain the consent of both parents of a minor prior to performing an abortion on the minor. The District Court found significant portions of the statute unconstitutional but preserved the statute in part by modifying one provision and severing others. The defendants, State officials, have not appealed the District Court’s finding of unconstitutionality, and the District Court’s ruling in this respect is the law of the case which we must accept.
We follow the general rule that a federal court may not supply new limiting language for a state statute to create constitutionality. Thus the District Court erred in drafting a new limiting condition rather than severing the provision found unconstitutional. In light of our holding that the provision found unconstitutional must be severed and not redrafted, we remand to the District Court for a hearing on the issue whether the statute should be declared invalid in its entirety since such substantive parts of it have been stricken. Therefore, for the reasons set forth below, we affirm the District Court’s opinion in part, reverse in part, and remand.
I.
In the District Court, the plaintiffs challenged Kentucky’s statute requiring physicians who perform abortions for minors to secure the signed and notarized informed written consent of the minor and both parents if available, and setting forth criminal and civil penalties not excluding exemplary damages against persons who fail to secure the prescribed consent. The statute provides for a judicial bypass as an alternative for the minor who wishes to seek an abortion without the consent of her parents. Ky.Rev.Stat.Ann. §§ 311.732, 311.733, and 311.990(12) (Baldwin 1986).
The relevant part of Kentucky’s statute requiring parental consent for minors who seek abortions reads as follows:
(2) No person shall perform an abortion upon a minor unless:
(a) The attending physician or his agent secured the informed written consent signed and notarized of the minor and both parents, if available, or legal guardian;
(b) If both parents are not available, the attending physician or his agent has secured such written consent from the minor and the available parent or guardian;....
(3) Every minor shall have the right to petition any circuit or district court of the Commonwealth for an order granting the right to self-consent to an abortion pursuant to the following procedures: [procedures set forth]
Ky.Rev.Stat.Ann. § 311.732(2)(a), (b) & (3) (emphasis added).
The statute includes a specific severability provision which authorizes the severance of any “provisions, words, phrases, clauses, or application of KRS 311.732” which may be held invalid, thus allowing the remaining portions of the statute to be given effect. See Ky.Rev.Stat.Ann. § 311.733. Finally, the statute provides the following penalty:
(12) Any person who intentionally performs an abortion with knowledge that, or with reckless disregard as to whether the person upon whom the abortion is to be performed is an unemancipated minor, and who intentionally or knowingly, fails to conform to any requirement of KRS 311.732 is guilty of a Class A misdemean- or.
Ky.Rev.Stat.Ann. § 311.990(12).
The District Court found that the words “both parents if available” were unconstitutionally vague, holding that the words could not be rendered constitutional through interpretation. It further declared the requirement for two-parent consent an unconstitutional burden on the minor woman’s right to privacy.
The State did not appeal, but rather the plaintiffs appealed the District Court’s remedial actions, claiming that the Court should have struck the entire statute on finding significant portions unconstitutional rather than modifying and saving a key provision by supplying new limiting language.
Taking into account the District Court’s ruling on the substantive question of constitutionality which was not appealed and is now final, the question before this Court is whether the District Court erred in substituting new language, and then enjoining operation of the provision except as its modification would allow, and in severing other provisions in order to preserve the operation of the statute. For the reasons set forth below we reverse the District Court’s addition of new limiting language to the state statute in order to preserve it from the prior declaration of unconstitutionality but affirm the District Court’s severance of the notarization requirement. Accepting as we must the District Court’s ruling that a requirement for two-parent consent creates an unconstitutional burden on the minor’s right to privacy, we sever the parental consent portion of the statute. We remand for a hearing on the issue whether the provision requiring the written informed consent of the minor should be left intact or whether the entire statute should be declared invalid. This remedy leaves the Kentucky legislature free to write its own limitations for a parental consent statute within the constraints of the minor’s constitutional right of privacy. Our severance of the two-parent consent requirement makes it unnecessary to reach the question of severing the criminal penalties for physicians or other objections to the statute raised by the plaintiffs. We remand for the issuance of an injunction, consistent with this opinion, concerning the two-parent consent provision and for a hearing and decision on the severance issue left undecided by this opinion.
II.
Because the Commonwealth of Kentucky did not appeal the District Court’s opinion, the question of the statute’s constitutionality is not before us. See Moore v. Fowinkle,
The Kentucky Supreme Court in Musselman v. Commonwealth,
The problem is that the limiting language utilized to avoid unconstitutionality is supplied by the Court of Appeals and not by the statute. The statute itself ... does not state in so many words, or in any words, that it is restricted to “fighting words” or words “which have a direct tendency to cause acts of violence by the person to whom ... addressed.”
The Court noted that the source of the limiting language was a prior United States Supreme Court case, not anything derived from the statute. The restrictive language employed by the Court of Appeals was taken from Gooding v. Wilson,
The Kentucky Court distinguished between the task of construing ambiguity and that of adding words to restrict otherwise broad language:
While we agree that if the words of a statute are ambiguous the court can and should so construe it as to render it constitutional, clearly the judiciary lacks power to add new phrases to a statute to provide a new meaning necessary to render the statute constitutional. The statute as written punishes coarse or abusive language, per se. We cannot add to it a phrase restricting it to language likely to cause violence. As stated in Hatchett v. City of Glasgow, Ky.,340 S.W.2d 248 , 251 (1960): “[Wjhere a statute on its face is intelligible, the courts are not at liberty to supply words or insert something or make additions which amount, as sometimes stated, to providing for a ca-sus omissus, or cure an omission, however just or desirable it might be to supply an omitted provision.”
Id. (Emphasis in original).
The Court therefore simply held the statute invalid and declined to revise its language.
Federal courts generally have set out similar guidelines. Courts construe statutes to avoid constitutional difficulty when “fairly possible.” Crowell v. Benson,
Nevertheless, the general federal rule is that courts do not rewrite statutes to create constitutionality. See American Booksellers Assn.,
A narrow exception to the rule that a court will not redraft a statute to create constitutionality seems to have been developed in cases involving underinclusive benefits statutes which are challenged on equal protection grounds. The Court in Califano v. Westcott,
“When a statute is defective because of underinclusion, ... there exist two remedial alternatives: a court may either declare [the statute] a nullity and order its benefits not extend to the class that the legislature intended to benefit, or it may extend the coverage of the statute to include those who are aggrieved by the exclusion.”
Westcott,
The Westcott Court decided that it appropriately could remedy this underinclusive federal law, which granted benefits to children of unemployed men but not to children of unemployed women, by extending benefits to children of unemployed women as well. The Secretary asked the Court to limit the expansion of the class by creating a new category of beneficiaries, thus introducing a new term: “ ‘principle wage earner.’ ” Id.
The Westcott Court dealt with a federal statute. The Supreme Court has also expanded the class to be covered by some state statutes by eliminating unconstitutional conditions or limitations on coverage. See Memorial Hospital v. Maricopa County,
Eliminating unconstitutional conditions is not the same as adding new language, and the Court has sounded a note of caution even about eliminating unconstitutional conditions when a federal court reviews statei statutes. See, e.g., Welsh v. United States,
In another context, in what seems a very narrow exception to the general rule, the Supreme Court supplied time limits within which a forfeiture proceeding must be instituted for material seized pursuant to a federal statute allowing customs officials to seize obscene materials. United States v. Thirty-Seven Photographs,
Even in cases in which the Supreme Court has seemed to act legislatively, it has done so in narrowly circumscribed ways and has maintained its general reluctance for federal courts to make policy decisions in relation to state statutes. Thus, the rule that courts are not to redraft statutes to preserve constitutionality remains generally applicable.
The Supreme Court stated this general rule for federal courts dealing with federal statutes more than one hundred years ago in United States v. Reese,
The Court reiterated this view in Hill v. Wallace,
Courts generally do not add words of limitation to statutes because they are aware of the dangers of intruding on the legislative function. The Reese Court noted that if courts were left the task of limiting general statutes to make them constitutional, “[t]his would, to some extent, substitute the judicial for the legislative department of the government.”
When a federal court deals not with a federal statute but with a state statute, its task is further complicated. A federal court must always be aware of the federalism concerns that arise whenever it deals with state statutes. “The principles of federalism forbid a federal appellate court to arrogate the power to rewrite a municipal ordinance.” Hill v. City of Houston,
The Court has said further that in the absence of a state-court interpretation, a federal court, may “predicate[ ]” its “constitutional determination ... on a reading of the statute that is not binding on state courts and may be discredited at any time—thus essentially rendering the federal-court decision advisory and the litigátion underlying it meaningless.” Moore v. Sims,
This Circuit has adhered to the principle that a federal court “has very limited powers in construing state statutes or municipal ordinances.” Record Revolution No. 6, Inc. v. City of Parma,
Other circuits have ruled similarly. The Third Circuit ruled that canons of interpretation guiding courts to preserve the constitutionality of a statute when reasonable to do so did not “give a court license to rewrite a statutory scheme.” Consumer Party v. Davis,
III.
The Commonwealth of Kentucky argues that the District Court simply construed “if available” to mean “where the young woman ... lives at home with both parents.” Such an argument seems mistaken in light of the District Court’s own refusal to construe “if available” in that manner in the vagueness portion of its opinion. Rather than construing anything in the statute or its legislative history, the District Court appears to have chosen language used by the United States Supreme Court. The Court used similar phrasing in Bellotti v. Baird,
The District Court, in choosing the limiting condition in order to save that provision of the statute, made the same mistake as the Kentucky Court of Appeals made in the decision under review in Musselman v. Commonwealth,
Whatever the reasoning of the Kentucky legislature, a federal court, on reviewing a state statute, does not assume the task of making such choices for the state legislature. This is particularly true where, as here, a court can protect the interests of both parties by severing the unconstitutional provision rather than re-framing it. The State may pursue its own policy choices in fashioning new legislation, and the minor remains free of undue burden while the legislature redesigns its statute.
A further complicating factor in this case is that United States Supreme Court abortion doctrine is unsettled respecting statutes authorizing parental involvement. In Hodgson v. Minnesota, — U.S.-,
This view that federal courts should be wary in adding new language to a statute in exercising its severance power in a discrete case or controversy between litigants is reinforced by the traditional view of the legal consequences of the judicial “invalidation” of a statute. Strictly speaking, a federal court disposes of questions of constitutionality in litigation by a judgment which binds only the parties in a case. A ruling that a statute is unconstitutional and therefore unenforceable is made applicable to others in the future by force of the doctrine of precedent. The court therefore says “what the law is,” Marbury v. Madison,
We conclude that while a federal court may enjoin the operation of some provisions of a state statute and leave oth
IV.
The last question requiring decision in this case is whether, having severed the provision requiring two-parent consent, a court should leave intact the provision requiring written informed consent of the minor. The plaintiffs argued that the District Court should have invalidated the entire statute after its finding of unconstitutionality. Neither party, however, focused on the question whether the requirement for the minor’s consent should fall if the parental consent provision was severed.
It is well-settled that requiring the minor’s consent is not only constitutionally permissible but constitutionally necessary. See Roe v. Wade,
The test for whether a court should sever one portion, leaving the balance of the statute has been stated variously. Generally a court may sever an invalid provision of a statute, leaving the rest to operate, if the “invalid portion can be shown not to have been the inducement for the passage of the act,” and if there is no evidence that “the valid and invalid parts of the act” were “conditions, considerations, or compensations for each other.” 2 N. Singer, Sutherland Statutory Construction § 44.06 (4th ed. 1986). Further, if the “[pjurpose of the statute is defeated by the invalidity of part of the act, the entire act is void,” id. § 44.07, at 503, but if a statute “attempts to accomplish two or more objects and is void as to one, it may still be valid as to others.” Id. at 504.
The United States Supreme Court has set out the following guidelines for a federal court considering severance of a statute. Generally, a court should “ ‘maintain [an] act in so far as it is valid.’ ” Alaska Airlines, Inc. v. Brock,
The parties did not address and the District Court did not consider whether the requirement for the minor’s consent should be left intact if the parental consent provision was to be severed. Certainly the statute will not operate in the manner in which it was intended to operate as a whole, once the parental consent requirement is severed. On the other hand, the requirement for the minor’s own consent can be seen as quite independent of any of the severed portions and fully operative as law. The record does not address the question whether the Kentucky legislature would have enacted this consent provision, specific to minors, whether or not it enacted the provision requiring two-parent consent. We therefore remand to the District Court for a hearing to determine whether the provision requiring the minor’s consent should be left intact or whether the entire statute should be declared invalid since the portions of the statute which appear to carry out the statute’s dominant purpose have been stricken.
In addition, having declared the notarization provision invalid, a ruling not appealed, the District Court properly severed the statute’s requirement for notarized signatures for the informed consent. Notarization is not the primary feature of the statute nor is that requirement so intertwined with the statute’s other provisions as to be inseparable from the statute as a whole.
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Accordingly, the judgment of the District Court is affirmed in part and reversed in part; the case is remanded for the issuance of an injunction consistent with our holding that the two-parent consent requirement must be severed and not redrafted; further, the case is remanded for a hearing on the issue whether the provision requiring the consent of the minor should be left intact or whether the entire statute should be declared invalid.
Notes
. The District Court rejected several limiting constructions of the phrase "if available,” including a suggestion from the Kentucky Attorney General that it might mean " 'if both parents are living with their daughter.’ ” Jt.App. at 18. The District Court said:
We express no opinion as to whether any of the proposed tests of "availability” could pass*1121 constitutional muster if incorporated in the statute. It is sufficient that no such test appears in the legislation. We realize that the conduct of the physician must be "knowing" but that provision does not save the statute from unconstitutionality because of vagueness, particularly where the minor’s constitutional right will be affected.
Id.
The District Court appeared to blend its concern for vagueness as unfair to physicians with a concern about the vagueness in its effect on the minor’s constitutional right.
In declaring that the two-parent consent requirement created an unconstitutional burden on the minor woman’s right to privacy, the District Court balanced the interests of the State and the interests of the minor. According to the District Court, a one-parent consent requirement served the state’s interest in involving parents in the decision of the minor and protecting minors “from their own vulnerability and immaturity.” Jt.App. at 15. Because two-parent consent would add to the minor’s burden without better serving the state's interest in protecting the minor, the District Court viewed the two-parent consent as furthering other interests such as protection of "some sort of parental right." Id. The District Court seemed to view protection of this parental right as similar to the parental veto declared invalid in Planned Parenthood of Missouri v. Danforth,
. The dissent states that we have "effectively announced that consent statutes will not survive constitutional analysis," thus negating Kentucky’s dominant purpose with respect to the statute at issue. This analysis is not a correct one. We have recognized the Kentucky statutory severability scheme set out in § 311.733. We have held that such a provision cannot justify a District Court in adding a new limiting condition to a state statute. We have not, however, ruled that Kentucky, or any other state, may not constitutionally enact a statute providing for parental consent in the case of an un-emancipated minor's desire to obtain an abortion. Indeed, even if we had intended to end incorrectly attributed, this would have exceeded our prerogative and function in this case: to review the remedy designed by the District Court, following its declaration that portions of the statute were unconstitutional. Kentucky did not challenge the District Court’s declarations as to unconstitutionality of the statute.
We have held, in summary, only that the District Court may not add new limiting language to the question dealing with two-parent consent "to preserve it from the [District Court's prior] declaration of unconstitutionality.’’ The question of the statute’s constitutionality is not before us, a difficult question not yet settled in the Supreme Court.
Dissenting Opinion
Dissenting:
The majority has severed the parental consent provision in Kentucky’s statute concerning abortions performed upon un-emancipated pregnant minors. In the process, the court has effectively announced that consent statutes will not survive constitutional analysis thereby eliminating the dominant purpose of Kentucky’s consent statute.
In an order dated November 11, 1984, the district court declared Kentucky’s Abortion Statute, H.B. 339, unconstitutional. In 1986, the parental consent provisions of the statute were amended in H.B. 589, as codified at KRS 311.732 and 311.990. The amended parental consent provision now provides, in relevant part, that an abortion shall not be performed upon a minor unless:
(1) The attending physician obtains the notarized informed written consent of the minor and both parents, if available; or
(2) if both parents are not available, the physician has the notarized written consent from the minor and the available parent or guardian; or....
On August 23, 1988, the district court held certain provisions of Kentucky’s amended statute unconstitutional and severed other provisions. The court held unconstitutional the notarization provision because it created an unnecessary burden on
When a statute contains unconstitutional provisions, the invalid provisions may be severed unless the invalid provisions are essential and so interwoven with other provisions it must be presumed that the legislature did not intend severance. Brown v. Alexander,
If any provision, word, phrase or clause of KRS 311.732 or the application thereof to any person or circumstance shall be held invalid, such invalidity shall not affect the provisions, words, phrases, clauses, or application of KRS 311.732 which can be given effect without the invalid provision, word, phrase, clause or application and to this end, the provisions, words, phrases, and clauses of KRS 311.732 are declared to be severable (emphasis added).
“It is the duty of the courts to give effect to a severability clause and to make an elision, so as not to invalidate an entire act.” Brown v. Alexander,
The district court properly held that the application of the two-parent consent provision was unconstitutional as it applied to the circumstance of a minor living with only one parent or legal guardian. Efforts to locate the noncustodial parent are overly burdensome. The statute itself provides that if both parents are not available, the physician need only have consent of the “available” parent or the minor’s guardian. Hence, it was the Kentucky Legislature that supplied “a limiting condition” to the language “if available” not the district judge. Kentucky is aware that the consent of the custodial parent will suffice to provide consultation for a minor making an abortion decision. Hence, Kentucky approves of one-parent consent in the appropriate circumstances. But Kentucky chose to require consent of both parents when available. Kentucky may well believe that if the minor lives with both parents in a unified family home, it should not condone or require the minor to choose between them. That policy decision, agree with it or not, is surely for the State of Kentucky, not this court.
The majority is persuaded that the United States Supreme Court’s approval of a two-parent consent statute is so tenuous, it would be more prudent to require Kentucky to re-write this statute and, I suppose, to omit parental consent. But, the majority’s view omits any consideration of Kentucky’s by-pass procedure. Kentucky has established rules that permit a pregnant minor to avoid parental involvement by following an uncomplicated by-pass procedure. The Supreme Court has approved statutes governing a minor’s right to an abortion so long as a judicial by-pass procedure is included. In Hodgson v. Minnesota, the judicial by-pass procedure made it possible for a Minnesota statute requiring two-parent notification to withstand constitutional attack. The Supreme Court acknowledged that in drafting its two-parent notification requirement, the Minnesota Legislature followed guidelines set forth by the Court:
In providing for the by-pass, Minnesota has done nothing other than to attempt to fit its legislation into the framework that we have supplied in our previous cases. The simple fact is that our decision in Bellotti II stands for the proposition that a two-parent consent law is constitutional if it provides for a sufficient judicial by-pass alternative, and it requires us to sustain the statute before us here.
Hodgson,
The Kentucky Legislature has provided a comparable judicial by-pass procedure. Kentucky not only provides for a guardian ad litem to assist the pregnant minor, but will appoint a lawyer as well. The by-pass rules require that minors’ petitions to the court be kept confidential and may not be released to the public. The rule provides that confidentiality be enforced in the same manner as adoption records. There is no precedent that I am aware of that even gives hint that parental consent statutes with a comprehensive by-pass procedure will not pass constitutional muster. In fact, Hodgson v. Minnesota authorizes a state to impose regulations on a minor’s access to an abortion, provided a judicial by-pass procedure is included. In Hodg-son, the Court noted that the Minnesota statute is “the most intrusive in the nation” Id. at n. 5. Yet, the by-pass procedure saved the statute from constitutional attack.
Accordingly, I would find that the district court did not err in severing three unconstitutional provisions of Kentucky’s Parental Consent Statute: the notarization
. There are a number of other states that require parental consent. For example, the State of Michigan has recently adopted such a provision. The State of Delaware requires the consent of parents residing in the same household. See Hodgson v. Minnesota, — U.S. -,
. The court's judgment makes no mention of the "if available” language. The judgment reads in pertinent part:
... [Enforcement of 1986 H.B. 589 is permanently enjoined as it requires informed written consent other than as follows:
(1) In all cases, the informed written consent of the minor seeking abortion.
(2) In the case of a minor living with both parents, the informed written consent of both parents.
(3) In the case of a minor living with only one parent or legal guardian, the informed written consent of that parent or legal guardian.
. The appellants rely upon Akron v. Akron Center for Productive Health,
