Lead Opinion
KENNEDY, J., delivered the opinion of the court, in which BROWN, J., joined. BOGGS, J. (pp. 211-19), delivered a separate dissenting opinion.
OPINION
This case involves a facial challenge to the constitutionality of House Bill 135 (“Act”), which was enacted by the Ohio General Assembly on August 16, 1995, and was to have gone into effect on November 14, 1995. The District Court held unconstitutional the three major portions of the Act: (1) the ban on the use of the “dilation and extraction” (D & X) abortion procedure; (2) the ban on the performance of post-viability abortions; and (3) the viability testing requirement. The District Court further held that no other part of the Act was either constitutional or severa-ble. It therefore enjoined enforcement of the entire Act. For the following reasons, we AFFIRM.
I. Facts
A. House Bill 135
The Act creates two separate bans as well as separate requirements with regard to post-viability abortions. First, the Act bans the use of the D & X procedure in all abortions, ie. pre- and post-viability: “No person shall knowingly perform or attempt to perform a dilation and extraction procedure upon a pregnant woman.” Ohio Rev.Code Ann. § 2919.15(B) (Anderson 1996). The D & X procedure is defined as:
[T]he termination of a human pregnancy by purposely inserting a suction device into the skull of a fetus to remove the brain. “Dilation and extraction procedure” does not include either the suction curettage procedure of abortion or the suction aspiration procedure of abortion.
Id. § 2919.15(A). Physicians who are criminally prosecuted or sued civilly for violating this ban may assert, as an affirmative defense, that all other available abortion procedures would have posed a greater risk to the health of the pregnant woman. Id. § 2919.15(C)(1) (governing criminal actions); id. § 2307.51(C) (Anderson Supp.1995) (governing civil actions). In a criminal action, if the physician establishes a prima facie case in support of the affirmative defense, the prosecutor must prove beyond a reasonable doubt that at least one other available abortion procedure would not have posed a greater risk to the health of the pregnant woman than the risk posed by the D & X procedure. Id. § 2919.15(C)(2).
Second, the Act provides that “[n]o person shall purposely perform or induce or attempt to perform or induce an abortion upon a pregnant woman if the unborn human is viable,” except in the following two circumstances:
(1) The abortion is performed or induced or attempted to be performed or induced by a physician, and that physician determines, in good faith and in the exercise of reasonable medical judgment, that the abortion is necessary to prevent the death of the pregnant woman or a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman.
(2) The abortion is performed or induced or attempted to be performed or induced by a physician and that physician determines, in good faith and in the exercise of reasonable medical judgment, after making a determination relative to the viability of the unborn human in conformity with division (A) of section 2919.18 of the Revised Code, that the unborn human is not viable.
Id. § 2919.17(A). For purposes of the post-viability ban, any fetus of at least twenty-four weeks gestational age is rebuttably presumed to be viable. Id. § 2919.17(C).
Section 2919.18(A), the viability testing provision, requires that no abortion shall be performed or attempted to be performed “after the beginning of [a pregnant woman’s]
Finally, any physician intending to perform a post-viability abortion, having determined that an abortion is “necessary”, must meet several requirements: (1) the physician must certify the necessity of the abortion in writing; (2) a second physician must certify the necessity of the abortion in writing, after reviewing the patient’s medical records and tests; (3) the abortion must be performed in a health care facility which has access to neonatal services for premature infants; (4) the physician must choose the abortion method which provides the best opportunity for the fetus to survive, unless it would рose a significantly greater risk of death to the pregnant woman, or a serious risk of substantial and irreversible impairment to a major bodily function; and (5) a second physician must be present at the abortion to care for the unborn human. Id. § 2919.17(B)(1). The physician need not comply with these conditions if the physician determines that a medical emergency exists. Id. § 2919.17(B)(2).
The Act creates civil and criminal liability for violations of the D & X ban and the post-viability ban, and criminal liability for violations of the viability testing requirement. Violation of either the D & X ban or the post-viability ban is a fourth degree felony. Id. §§ 2919.15(D), 2919.17(D). Violation of the viability testing requirement is a fourth degree misdemeanor. Id. § 2919.18(b). A patient upon whom either a D & X or a post-viability abortion is performed or attempted to be performed is not criminally hable. Id. §§ 2919.15(E), 2919.17(E). She may, however, sue within one year of a violation of either the D & X ban or the post-viability ban for compensatory, punitive, and exemplary damages, as well as for costs and attorney’s fees.. Id. §§ 2307.51(B), 2307.52(B). Derivative claims for relief may also be brought. Id. § 2305.11(D)(3) & (7).
B. Procedural History
Plaintiff Women’s Medical Professional Corporation (WMPC) operates clinics and provides abortion services in Montgomery, Hamilton, and Summit Counties, Ohio. Plaintiff Martin Haskell, M.D., is a doctor affiliated with plaintiff WMPC. He formerly performed abortions after the twenty-fourth week of pregnancy, but no longer does so. He uses the D & X procedure for abortions during the twenty-first to twenty-fourth weeks of gestation.
After two days of testimony, the District Court granted a ten-day Temporary Restraining Order (TRO) on November 13, 1995. This TRO was extended for an additional ten days and was set to expire on December 13. In the interim, the court conducted four additional days of hearings on the constitutionality of the Act. On December 13, the District Court issued a preliminary injunction, concluding that plaintiffs had demоnstrated a substantial likelihood of success of showing that the entire Act was unconstitutional and that the issuance of a preliminary injunction was otherwise appropriate. See Women’s Med. Prof'l Corp. v. Voinovich,
II. Discussion
A. Standard of Review
This court reviews questions of law de novo. Kellogg v. Shoemaker,
B. Legal Standards
Plaintiffs essentially challenge the constitutionality of the Act on two grounds. First, they assert that the Act’s provisions are unconstitutional under Planned Parenthood of Southeastern Pennsylvania v. Casey,
1. Substantive Law Governing Abortion Regulations
In Roe v. Wade,
Since Casey, a number of state legislatures have enacted laws regulating pre-viability abortions, and federal courts have considered the constitutionality of some of these regulations. See, e.g., Planned Parenthood, Sioux Falls Clinic v. Miller,
2. Standard for Reviewing Facial Challenges to Abortion Law
The first issue disputed on appeal is the proper standard for reviewing challenges to the facial validity of laws regulating abortion. Appellants argue that the test set out in United States v. Salerno,
A court may hold a statute unconstitutional either because it is invalid “on its face” or because it is unconstitutional “as applied” to a particular set of circumstances. Each holding carries an importаnt difference in terms of outcome: If a statute is unconstitutional as applied, the State may continue to enforce the statute in different circumstances where it is not unconstitutional, but if a statute is unconstitutional on its face, the State may not enforce the statute under any circumstances. Traditionally, a plaintiff’s burden in an as-applied challenge is different from that in a facial challenge. In an as-applied challenge, “the plaintiff contends that application of the statute in the particular context in which he has acted, or in which he proposes to act, would be unconstitutional.” Ada v. Guam Soc’y of Obstetricians and Gynecologists,
*194 [a] facial challenge to a legislative Act is, of course, the most difficult challenge to mount successfully, since the challenger must establish that no set of circumstances exists under which the Act would be valid. The fact that [an Act] might operate unconstitutionally under some conceivable set of circumstances is insufficient to render it wholly invalid, since we have not recognized an “overbreadth” doctrine outside the limited context of the First Amendment.
In Casey, however, the Court stated that an abortion law is unconstitutional on its face if “in a large fraction of the cases in which [the law] is relevant, it will operate as a substantial obstacle to a woman’s choice to undergo an abortion.”
Moreover, the Casey Court’s evaluation of the Pennsylvania statute at issue demonstrates the change Casey wrought. For example, rather than rejecting plaintiffs’ facial challenge to Pennsylvania’s spousal notification provision on the ground that they had not established that “no set of circumstances exists under which the Act would be valid,” Salerno,
Although Casey does not expressly purport to overrule Salerno, in effect it does. Indeed, the Chief Justice recognized as much in his dissent. See id. at 972,
The Supreme Court itself appears to be split on this question regarding Salerno’s continued vitality in cases involving abortion regulations. Although the Court has yet to address the issue in a decision, members of the Court have offered their opinions in memoranda denying petitions for certiorari and applications for stays and injunctions pending appeal. Justice O’Connor, joined by Justice Souter, has explained the Casey decision as follows:
In striking down Pennsylvania’s spousal-notice provision, we did not require petitioners to show that the provision would be invalid in all circumstances. Rather, we made clear that a law restricting abortions constitutes an undue burden, and hence is invalid, if, “in a large fraction of the cases in which [the law] is relevant, it will operate as a substantial obstacle to a woman’s choice to undergo an abortion.”
Fargo Women’s Health Org. v. Schafer,
We hold that this circuit should “follow what the Supreme Court actually did' — rather than what it failed to say — and apply the undue-burden test,” Planned Parenthood,
The courts that have considered Salerno’s applicability since Casey have all been faced with what they construed as challenges to pre-viability abortion measures. No court has considered whether Casey displaces Salerno in cases involving facial challenges to post-viability abortion regulations.
The Casey Court expressly reaffirmed Roe’s holding that throughout a woman’s pregnancy a State cannot interfere with a woman’s choice to have an abortion if continuing her pregnancy would constitute a threat to her health. See Casey,
Because even the compelling interest of the State in protecting potential life after fetal viability was held [in Roe ] to be insufficient to outweigh a woman’s decision to protect her life or health, it could be argued that the freedom of a woman to decide whether to terminate her pregnancy for health reasons does in fact lie at the core of the constitutional liberty identified in [Roe].
See Casey,
[B]ecause the Supreme Court signalled in Casey that an unconstitutional infringement of the liberty interests of some, but not all, pregnant women, is sufficient to justify application of a lesser standard where a pre-viability abortion is concerned, there is no reason why the Court would not similarly apply a lesser standard where a law threatens to deprive some, but not all, pregnant women of their greater constitutional interest in their own life and health.
3. Standard for Vagueness Challenges
Plaintiffs challenge the D & X procedure, the medical emergency exception, and the medical necessity provision as unconstitutionally vague. The Supreme Court has stated general standards for evaluating whether a statute is unconstitutionally vague:
It is a basic principle of due process that an enactment is void for vagueness if its prohibitions are not clearly defined. Vague laws offend several important values. First, because we assume that man is free to steer between lawful and unlawful conduct, we insist that laws give the person of ordinary intelligence a reasonable opportunity to know what is prohibited, so that he may act accordingly. Vague laws may trap the innocent by not providing fair warning. Second, if arbitrary and discriminatory enforcement is to be prevented, laws must provide explicit standards for those who apply them.
Grayned, v. City of Rockford,
This court has explained that “[a]t times the Court has suggested that a statute that does not run the risk of chilling constitutional freedoms is void on its face only if it is impermissibly vague in all its applications, but at other times it has suggested that a criminal statute may be facially invalid even if it has some conceivable application.” Springfield Armory, Inc. v. City of Columbus,
C. D & X Ban
1. Introduction
The District Court found the provisions relating to the Act’s ban on the performance or attempted performance of any abortion using the D & X procedure unconstitutional on several bases. First, it found that the Act’s definition of the D & X procedure is unconstitutionally vague, because it could be construed as including within its ambit the more widespread abortion procedure known as dilation and evacuation (D & E) and, therefore, it does not provide physicians fair warning as to what conduct is permitted. See
2. The Definition of the Prohibited Procedure
The Act defines the D & X procedure as “the termination of a human pregnancy by purposely inserting a suction device into the skull of a fetus to remove the brain.” Ohio Rev.Code Ann. § 2919.15(A). The definition further provides that the D & X procedure “does not include either the suction curettage procedure of abortion or the suction aspiration procedure of abortion.” Id. We agree with the District Court that the record shows that the Act’s definition of the banned procedure encompasses the D & E procedure. Although the District Court’s opinion details the evidence submitted with regard to a number of different abortion procedures, we believe it would be useful to summarize how and when the three procedures implicated by the Act are performed, in order to demonstrate the Act’s failure to adequately distinguish between the D & E and D & X procedures.
During the first trimester, the most common method of abortion is the suction curettage, or suction aspiration, procedure.
The most common method of abortion in the second trimester is the D & E procedure. The suction curettage procedure alone is no longer feasible at this point in a woman’s pregnancy, because the fetus is too large to remove by use of suction only. In the D & E procedure, the physician inserts laminaria into the pregnant woman’s cervix in order to dilate the cervix; laminaria takes about one to two days to accomplish dilation. Once the woman’s cervix is dilated, a suction curette of larger diameter than that used in the suction curettage procedure is placed through the cervix and into the uterus. With the suction curette, the physician can remove some or all of the fetal tissue. However, the torso and the head of the fetus often cannot be removed using the suction curette. Therefore, the D & E procedure typically entails dismembering the fetus, beginning with the extremities, by means of suction curettage and forceps. The most difficult part of the D & E procedure is the removal of the fetal head from the woman’s uterus, because it is often too large to fit through the partially dilated cervix. Physicians have developed different methods of removing the head. The evidence shows that some physicians compress the head by using suction to' remove the intracranial contents. See Nov. 13, 1995 Hearing Transcript at 269-70 (testimony of Harlan Giles, M.D.); Joint Appendix at 598 (testimony of Dr. John Doe Number One), 688 (testimony of Dr. George Goler).
A few physicians, including plaintiff Has-kell, employ the D & X procedure, which has also been called the “intact D & E” procedure and the “brain suction” procedure. The D & X procedure is typically used late in the second trimester, between the twentieth and twenty-fourth weeks of pregnancy, inclusive. The D & X procedure takes three days to perform.
As this summary demonstrates, the Act’s definition of the D & X procedure encompasses the D & E procedure, because the D & E procedure can also entail suctioning the skull contents of the fetus. The primary distinction between the two procedures is that the D & E procedure results in a dismembered fetus while the D & X procedure results in a relatively intact fetus. More specifically, the D & E procedure involves dismembering the fetus in útero before compressing the skull by means of suction, while the D & X procedure involves removing intact all but the head of the fetus from the uterus and then compressing the skull by means of suction.
Apparently conceding that the D & E procedure can entail suctioning the fetal skull contents, appellants contend that the D & X definition only applies to procedures where the pregnancy is “terminated by purposeful insertion of the suction device to remove the brain, which does not occur in later second-trimester D & E abortions, where the suction device is applied to the skull (if at all) after the fetus has been substantially dismembered.” Brief of Defendants-Appellants at 32. Although appellants do not make their point explicit, they apparently mean that in a D & E procedure, the pregnancy is terminated by dismemberment, while in a D & X procedure it is terminated by suctioning the intracranial matter. Appellants apparently assume that “termination” refers to the point at which the fetus’ life ends rather than the abortion procedure itself. However, the Act’s definition refers to the “termination of a human pregnancy” not of a fetal life. “Pregnancy” describes the woman’s condition, which we do not believe is terminated until the abortion has been completed. Additionally, appellants stipulated that a fetus may be dead at the beginning of the D & X procedure, so termination of the fetus’ life may not occur when the brain is suctioned. Finally, to the extent appellants are claiming that the D & E and D & X procedures can be distinguished by the point at which suctioning is employed in each procedure, their argument has no merit, because the Act’s definition does not mention dismemberment or at what point in the procedure suctioning is prohibited; rather, the definition only mentions suctioning of the brain.
Appellants also contend that the Act’s definition of the D & X procedure does not
Finally, the Act’s exception for “the suction curettage procedure of abortion and the suction aspiration procedure of abortion” does not include the D & E procedure. The Act does not define either of these procedures. “In the absence of ... a definition, we construe a statutory term in accordance with its ordinary or natural meaning.” FDIC v. Meyer,
We conclude that the Act’s definition of the prohibited abortion method includes both the D & E and D & X procedures. The Act therefore bans the use of both the D & E and D & X procedures. We next consider the implications of such a ban.
3. Undue Burden Analysis
In one pre-Case?/ case, the Supreme Court considered a ban on an abortion procedure. In Planned Parenthood of Central Missouri v. Danforth,
Although Roe’s second trimester standard allowed for fewer constitutional abortion regulations than does Casey’s undue burden standard, it follows that a statute which bans a common abortion procedure would constitute an undue burden. An abortion regulation that inhibits the vast majority of second trimester abortions would clearly have the effect of placing a substantial obstacle in the path of a woman seeking a pre-viability abortion. Therefore, the Court’s analysis in Dan-forth is consistent with Casey’s undue burden standard and thus provides us with some guidance in this matter.
Because the definition of the banned procedure includes the D & E procedure, the most common method of abortion in the second trimester, the Act’s prohibition on the D & X procedure has the effect “of placing a substantial obstacle in the path of a woman seeking an abortion of a nonviable fetus.” Casey,
Appellants argue that the affirmative defense provision eliminates any concern that the ban might restrict a woman’s access to a D & X procedure in circumstances where other procedures are not safe. The Act provides as an affirmative defense that a charged physician may present prima facie evidence that all other abortion procedures would pose a greater risk to the health of the pregnant woman than the risk posed by the D & X procedure. See Ohio Rev.Code ann. § 2919.15(C). This affirmative defense does not affect our analysis, however. The undue burden posed by the Act lies in the fact that the Act bans the most common second trimester procedure. The affirmative defense does not effectively remove that obstacle.
4. Post-Viability Application of the Ban
The undue burden standard applies only to pre-viability abortion regulations. See Casey,
Severability is a matter of state law. Leavitt v. Jane L., — U.S. -, -,
If any provisions of a section of the Revised Code or the application thereof to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of the section or related sections which can be given effect without the invalid provision or application, and to this end the provisions are severable.
Ohio Rev.Code Ann. § 1.50 (Anderson 1990). The Supreme Court of Ohio explained recently that “[i]n order to sever a portion of a statute, we must first find that such severance will not fundamentally disrupt the statutory scheme of which the unconstitutional provision is a part.” State ex rel. Maurer v. Sheward,
“(1) Are the constitutional and the unconstitutional parts capable of separation so that each may read and may stand by itself? (2) Is the unconstitutional part so connected with the general scope of the whole as to make it impossible to give effect to the apparent intention of the Legislature if the clause or part is stricken out? (3) Is the insertion of words or terms necessary in order to separate the constitutional part from the unconstitutional part, and to give effect to the former only?”
Id. (quoting Geiger v. Geiger,
We conclude that under Ohio law, the ban on the use of the D & X procedure post-viability cannot be severed from the unconstitutional portion of the' ban. We assume that the Ohio General Assembly would prefer a ban on the use of the D & X procedure post-viability as opposed to no ban at all. See H 135, § 3, 121 Gen. Ass. (Ohio 1995) (declaring the legislature’s intent is to “prevent the unnecessary use of a specific procedure used in performing an abortion”). However, the language of the ban simply makes it not susceptible to severance. Post-viability application of the ban cannot be separated from pre-viability application of the ban so that it may stand alone. There is no clause or word dealing with post-viability application of the ban. We essentially would have to rewrite the Act in order to create a provision which could stand by itself. This we cannot do. Accordingly, the entire ban on the D & X procedure must be struck down.
5. Conclusion
We hold that the Act’s ban on the D & X procedure is unconstitutional because the
D. Post-Viability Ban and Regulations 1. Introduction
The Casey Court “reaffirm[ed] Roe’s holding that ‘subsequent to viability, the State in promoting its interest in the potentiality of human life may, if it chooses, regulate, and even proscribe, abortion except where it is necessary, in appropriate medical judgment, for the preservation of the life or health of the mother.’ ”
With regard to the medical necessity exception to the post-viability abortion ban, the District Court held that the definition of “serious risk of the substantial and irreversible impairment of a major bodily function,” found in both the medical necessity and medical emergency exceptions, was unconstitutional because it limited the performance of post-viability abortions to those situations in which a woman’s physical health was threatened, and thereby impermissibly limited the physician’s discretion to determine what measures were necessary to preserve her health, including mental health. See
We conclude that the medical necessity and medical emergency provisions are unconstitutionally vague, because they lack scien-ter requirements. Because the constitutionality of the post-viability regulations depends upon the constitutionality of these two provisions, all of the post-viability regulations must be struck down.
2. Lack of Scienter Requirement
The term “scienter” means “knowingly” and is used to signify a defendant’s guilty knowledge. Black’s Law Dictionary 1345 (6th ed.1990). It requires that a defendant have some degree of guilty knowledge or culpability in order to be found criminally liable for some conduct. Statutes imposing
The Act’s “medical emergency” definition requires the physician to determine “in good faith and in the exercise of reasonable medical judgment” whether an emergency exists. Ohio Rev.Code Ann. § 2919.16(F). Similarly, the medical necessity exception to the post-viability ban requires that the physician determine “in good faith and in the exercise of reasonable medical judgment” that the abortion is necessary. See id. § 2919.17(A)(1). Thus, both of these provisions contain subjective and objective elements in that a physician must believe that the abortion is necessary and his belief must be objectively reasonable to other physicians. This dual standard as written contains no scienter requirement. Therefore, a physician may act in good faith and yet still be held criminally and civilly liable if, after the fact, other physicians determine that the physician’s medical judgment was not reasonable. In other words, a physician need not act wilfully or recklessly in determining whether a medical emergency or medical necessity exists in order to be held criminally or civilly liable; rather, under the Act, physicians face liability even if they act in good faith according to their own best medical judgment.
In Colautti v. Franklin,
The perils of strict criminal liability are particularly acute here because of the uncertainty of the viability determination itself. As the record in this case indicates, a physician determines whether or not a fetus is viable after considering a number of variables.... Because of the number and the imprecision of these variables, the probability of any particular fetus’ obtaining meaningful life outside the womb can be determined only with difficulty____ In the face of these uncertainties, it is not unlikely that experts will disagree____ The prospect of such disagreement, in conjunction with a statute imposing strict civil and criminal liability for an erroneous determination of viability, could have a profound chilling effect on the willingness of physicians to perform abortions ... in the manner indicated by their best medical judgment.
Id. at 395-96,
Because the Colautti Court found the viability-determination provision void on
Two decisions of the Eighth Circuit support our conclusion in this case. In Fargo Women’s Health Organ, v. Schafer,
Subsequently, in Planned Parenthood, Sioux Falls Clinic v. Miller,
The issues presented in this ease are more closely aligned with those in Colautti and Miller, than those in Schafer. Unlike North Dakota law, Ohio law does not provide for the importаtion of a scienter requirement in
Appellants argue that the Act contains a scienter requirement for the medical necessity exception, because § 2919.17(A) provides that “[n]o person shall purposely perform or induce or attempt to perform or induce an abortion.” Similarly, they argue that the medical emergency exception contains a scienter requirement because § 2919.17(B) provides that “[n]o person shall purposely perform or induce or attempt to perform or induce an abortion.” The scienter requirement in both of these sections, however, goes to the performance of the abortion, not to the determination of medical necessity or medical emergency. In other words, if a physician were performing a non-abortion operative procedure on a woman and accidentally caused the fetus to be aborted, the physician would not violate the Act. The problem here is that the Act does not require scienter in the physician’s determination of medical necessity and medical emergency. Appellants’ argument therefore has no merit.
Thus, we conclude that the medical emergency and medical necessity exceptions are unconstitutional. Accordingly, we hold unconstitutional the Act’s post-viability ban and regulations. While we need not consider the eonstitutionality of the other post-viability abortion regulations, because their validity depends upon the constitutionality of the provisions, we do address the lack of mental health exception for postviability since it was extensively briefed and argued. Further, if the statute is amended to meet the deficiencies fоund here, this issue will still remain.
The District Court also held the statute unconstitutional in that it made no provision for post-viability abortions where there was serious risk of the substantial and irreversible impairment of the pregnant woman’s mental health.
The medical necessity exception to the post-viability abortion ban provides that an abortion may be performed in order to avert the death of the pregnant woman, or to avoid a “serious risk of the substantial and irreversible impairment of a major bodily function.” See Ohio Rev.Code Ann. §§ 2919.16(F), 2919.17(A)(1). The statute defines a “serious risk of the substantial and irreversible impairment of a major bodily function” as follows:
[A]ny medically diagnosed condition that so complicates the pregnancy of the woman as to directly or indirectly cause the substantial and irreversible impairment of a major bodily function, including, but not limited to, the following conditions:
(1) Pre-eclampsia;
(2) Inevitable abortion;
(3) Prematurely ruptured membrane;
(4) Diabetes;
(5) Multiple sclerosis.
Id. § 2919.16(J). On its face, this definition appears to be limited to physical health risks, as opposed to mental health risks. Indeed, defendants asserted at oral argument that
In the Act, the General Assembly declared that, in using the phrase “serious risk of the substantial and irreversible impairment of a major bodily function” in §§ 2919.16 and 2919.17, “it is the intent of the General Assembly that the phrase be construed according to the interpretation given to that phrase in Planned Parenthood v. Casey,
Casey does suggest that the Act’s definition of “serious risk of the substantial and irreversible impairment of a major bodily function” should be interpreted as limited to physical health conditions and, moreover, is constitutional. The dispute in Casey was whether the phrase “serious risk” included pre-eelampsia, inevitable abortion, and premature ruptured membrane.
The Supreme Court in Casey deferred to the appellate court’s construction of the medical emergency provision, quoting the following statement from that court’s decision: “[W]e read the medical emergency exception as intended by the Pennsylvania legislature to assure that compliance with its abortion regulations would not in any way pose a significant threat to the life or health of the mother.” 505 U.S at 880,
Nevertheless, this case is distinguishable from Casey. Here, we are faced with a regulation that bans post-viability abortions, while in Casey the Court was faced with a regulation that only delayed abortions. In upholding the medical emergency exception, the Casey Court was saying that in the pre-viability context, the medical emergency exception did not place a substantial obstacle in the path of a woman seeking an abortion. See
Determining whether a maternal health exception is constitutional when it is limited to physical health problems depends upon what the Supreme Court means by “necessary, in appropriate medical judgment, for the preservation of the life or health of the mother.” At least two Supreme Court cases address some of the words in this phrase. The main case, and the one upon which the District Court relied, is Doe v. Bolton,
[MJedical judgment may be exercised in the light of all factors — physical, emotional, psychological, familial, and the woman’s age- — -relevant to the well-being of the patient. All these factors may relate to health. This allows the attending physician the room he needs to make his best medical judgment.
Id. (emphasis added).
The Court also has emphasized the importance of giving the physician discretion to decide whether an abortion is necessary. In Colautti v. Franklin,
The contested provisions in [Doe and Vuitch ] had been interpreted to allow the physician to make his determination in the light of all attendant circumstances — psychological and emotional as well as physical — that might be relevant to the well-being of the patient. The present statute does not afford broad discretion to the physician.
Id. at 394,
The issue whether a State may ban post-viability abortions except where necessary to preserve the woman’s physical health, even if carrying the fetus to term would cause the woman to suffer severe mental or emotional harm, is a question of first impression for this Circuit.
Defendants argue that a broad maternal health exception will render meaningless the State’s compelling interest in protecting fetal life and its right to actually proscribe postviability abortions. We recognize the problems associated with a mental health exception. However, we emphasize that we are holding that a maternal health exception must encompass severe irreversible risks of mental and emotional harm. The
E. Prosecutor’s Appeal
The Montgomery County Prosecutor seeks dismissal, arguing that he is a nominal party, because his presence in the lawsuit was neither crucial to establish venue nor necessary to adjudicate the constitutionality of the Act. In thе alternative, he asserts that the District Court erred in failing to join as necessary parties either the other prosecutors for counties in which plaintiff Haskell performs abortions or the remaining eighty-seven Ohio County Prosecutors. Finally, the prosecutor maintains that the District Court lacked jurisdiction by failing to join as necessary parties the other Ohio prosecutors.
The prosecutor sought dismissal during a chambers conference on November 6, 1995:
Ms. Cohen: It seems to me that we’re really not necessary to this lawsuit, and I am wondering if A1 would like to voluntarily dismiss us.
The Court: I don’t think. I think A1 indicated at the beginning that you were joined only because you’re the entity that would be filing the criminal charges.
Perhaps A1 would be willing to voluntarily dismiss you ... if you would agree to be bound by any order of the Court, interlocutory and final, without being named as a party defendant.
First of all, would you agree to that, before I’ll ask A1 if that’s satisfactory? Ms. Cohen: We would not agree to that, Judge.
The Court: You’re named, in effect, as a nominal party because of the plaintiffs request that I find the statute unconstitutional and enjoin its enforcement. And, by having you as a party to the lawsuit and a party to the injunction, if I hold the statute unconstitutional, you cannot begin a prosecution.
Joint Appendix at 883-86.
The prosecutor relies on Children’s Healthcare is a Legal Duty, Inc. v. Deters,
In the appeal of Children’s Healthcare, this Court held that the Eleventh Amendment barred the action against the Attorney Generаl, because Ex Parte Young,
The prosecutor argues that he is unnecessary for the court to make a determination as to the Act’s constitutionality. But as the District Court held, the prosecutor is necessary in terms of injunctive relief. If the District Court found the Act unconstitutional, as it did, the prosecutor would not have been bound by the injunction if he were not a party. Therefore, the District Court did not err in declining to dismiss the prosecutor.
The prosecutor did not raise his other two arguments relating to nonjoinder before the District Court. Therefore, before dismissing for failure to join indispensable parties, we should consider whether denying dismissal will have serious prejudicial effects on the non-joined parties. 7 Charles A. Wright et al., Federal Practice and Procedure, § 1609, at 140 n.27 (2d ed.1986). The prosecutor first argues that the other county prosecutors are necessary parties because without them plaintiffs’ relief is inadequate in that other prosecutors in counties where plaintiff performs abortions are not bound by the injunction. This is plaintiffs’ problem, however, and does not affect any of the Montgomery County Prosecutor’s interests. Second, the prosecutor argues that joinder is necessary because the other prosecutors have a legally protected interest in the subject of the action, i.e., the constitutionality of the Act. We find that the Attorney General has vigorously defended the constitutionality of the Act. Apart from the issue of attorney’s fees, we cannot see how the interests of the other county prosecutors can be considered different from those of the State at this point in the Act’s history. We therefore conclude that dismissal for nonjoinder would be inappropriate and the District Court did not err in not joining the other prosecutors.
III. Conclusion
For the foregoing reasons, we AFFIRM.
Notes
. Gestational age is calculated from the first day of the last menstrual period of the pregnant woman. Ohio Rev.Code Ann § 2919.16(B).
. The Act defines "medical emergency” as follows:
[A] condition that a pregnant woman's physician determines, in good faith and in the exercise of reasonable medical judgment, so complicates the woman’s pregnancy as to necessitate the immediate performance or inducement of an abortion in order to prevent the death of the pregnant woman or to avoid a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman that delay in the performance or inducement of the abortion would create.
Id. § 2919.16(F). "Serious risk of the substantial and irreversible impairment of a major bodily function” means
any medically diagnosed condition that so complicates the pregnancy of the woman as to directly or indirectly cause the substantial and irreversible impairment of a major bodily function, including, bul not limited to, the following conditions:
(1) Pre-eclampsia;
(2) Inevitable abortion;
(3) Prematurely ruptured membrane;
(4) Diabetes;
(5) Multiple sclerosis.
Id. § 2919.16(J).
. Appellants argued below that plaintiff Haskell lacks standing to challenge the post-viability provisions, because he only performs the D & X procedure up through the twenty-fourth week of pregnancy. The District Court held that plaintiff Haskell does havе standing. See Women's Med. Profl Corp. v. Voinovich,
. While only three justices joined in the portion of the opinion in which this language is quoted, the separate opinions of two additional justices reaffirmed Roe.
. As mentioned earlier, the one court since Casey that considered a facial challenge to a state law regulating post-viability abortions construed that law as a pre-viability measure and consequently applied Casey's undue burden standard. See Jane L. v. Bangerter,
. The General Assembly declared that its interest in enacting the D & X ban is to "prevent!] unnecessary cruelty to the human fetus.” H. 135, § 3, 121st Gen. Ass. (Ohio 1995).
. Although the Act suggests that these are different methods of abortion, the terms are actually used interchangeably to describe the same procedure. See Joint Appendix at 607 (testimony of Dr. John Doe Number One), 689 (testimony of George Goler, M.D.); see also Brief of Amici Curiae American College of Obstetricians and Gynecologists, National Abortion Federation, American Civil Liberties Union, and American Civil Liberties Union of Ohio Foundation, Inc., In Support of Plaintiffs-Appellees at 6, 18 n. 11.
.We draw our understanding of the D & X procedure from a paper presented by plaintiff Haskell at the National Abortion Federation Risk
. We note that the proposed federal legislation prohibiting the performance of "partial-birth” abortions appears to come closer to describing the D & X procedure by defining a "partial-birth” abortion as "an abortion in which the person performing the abortion partially vaginally delivers a living fetus before killing the fetus and completing the delivery.” Partial-Birth Abortion Ban Act of 1997, H.R. 1122, 105th Cong., 1st Sess. (1997). We express no opinion on the constitutionality of this definition or the federal legislation.
. In fact, since the Act bans "attempts" to perform the D & X procedure, i.e. attempts to terminate a pregnancy by purposely inserting a suction device into the skull of a fetus to remove the brain, the Act further implicates the D & E procedure, since the record shows that in performing a D & E procedure, many physicians try to insert- a suction device into the skull in order to rеmove its contents and achieve compression, but they are not always successful.
. As we have already indicated, suction curettage and suction aspiration are used interchangeably to describe the same procedure. See supra note 7.
. The D & E procedure is difficult to perform at twenty weeks and beyond because the toughness of the fetal tissue makes dismemberment difficult. See Joint Appendix at 222. Therefore, physicians typically use the induction method to perform a later second trimester abortion. Essentially, an induction method of abortion entails inducing labor, resulting in the eventual expulsion of the fetus from the woman's uterus.
. The abortion statute in Simopoulos v. Virginia,
. We note that striking down the entire D & X ban on the ground that it poses an undue burden would be consistent with Casey, in which the plurality analyzed provisions with application before viability under the undue burden standard even though those provisions were not specifically limited to pre-viabilily abortions while two additional justices would apply a broader standard. See Casey,
. See footnote 4.
. Appellants argue that reasonableness is an adequate standard, quoting the following from Ragen,
. The District Court concluded that Ohio courts would not import a scienter requirement into the Act. See
. Appellants argue that a chill analysis in the post-viability context is inappropriate. We disagree. As we have already suggested, see supra part II.B.2, a chill effect in the post-viability context has significant constitutional implications because of a woman’s predominant right to protect her life and health. Additionally, general standards governing vagueness challenges suggest that a statute with vagueness problems that could chill constitutional freedoms should be held unconstitutionally vague. See Colautti,
. The Pennsylvania statute defined "medical emergency” as:
That condition which, on the basis of the physician’s good faith clinical judgment, so complicates the medical condition of a pregnant woman as to necessitate the immediate termination of her pregnancy to avert her death or for which a delay will create serious risk of substantial and irreversible impairment of a major bodily function.
Casey,
. In A Woman's Choice-East Side Women’s Clinic v. Newman,
Dissenting Opinion
DISSENT
dissenting.
In my view, Ohio’s ban on the D & X procedure is constitutional. Therefore, I must dissent from the court’s holding to the contrary. Likewise, I dissent from the majority’s holding that the “medical necessity” and “medical emergency” provisions are unconstitutional because of their lack of a scien-ter requirement. Further, I believe that, to the extent that Casey requires a mental-health component to the required medical emergency exemption, the language in Casey incorporated by the Ohio legislature is sufficiently broad to encompass such a requirement. Because I believe the substance of Ohio’s partial-birth abortion statute passes constitutional muster, I would not address the question whether the Sixth Circuit should now discount, in all abortion cases, the test for facial constitutional challenges stated by the Supreme Court in United States v. Salerno,
I
The regulation of abortions is one of the most controversial issues of our time. Normally, such controversial issues are left to the political arena, with each side fighting to win the electorate over to its view. The
The abortion area, of course, has been largely constitutionalized, as the Supreme Court has made clear in a line of decisions starting with Roe v. Wade,
As I read the Supreme Court decisions, two principles relevant to today’s case have been authoritatively decided: (1) a particular method of abortion can be banned, if such a ban does not create an “undue burden” on a woman’s right to choose an abortion, see Casey,
At oral argument, counsel for the abortionists asserted, with commendable candor, their position that these principles, properly interpreted, pose no barrier to any woman seeking an abortion at any time for any purpose. Their logic is based on the continuing use of language such as “consultation with her doctor” and “appropriate medical judgment.” In their view, the use of this language necessarily implies that any abortion that the mother will request or the doctor will perform must remain available, despite the two principles above. With regard to the first principle, the reasoning is that any statute prohibiting a mother from obtaining her preferred abortion procedure ipso facto places an “undue burden” on her right to choose an abortion.. With regard to principle two, counsel’s logic is that any statute restricting a doctor’s choice of abortion procedure automatically violates Casey’s “appropriate medical judgment” caveat.
But surely this proves too much. If this logic were correct — and it was certainly pressed on the Court at the time of the Casey and Danforth decisions — surely the Court would have said so, rather than setting up a maze that legislatures can in fact never successfully negotiate (despite the Court’s apparent invitation to them to try). To adopt the plaintiffs’ position would be to assume that the Supreme Court is deeply dishonest rather than simply deeply divided. I choose not to believe that, and thus believe that the Court meant what it said in permitting state abortion regulations in certain contexts. We therefore must take it as a given
The specific question we must address today thus is not whether Ohio can regulate abortion — clearly it can — but whether Ohio “got it right” in its effort constitutionally to regulate one particularly offensive abortion procedure. To put it differently, did Ohio, in its zeal to implement the political will of its citizens, sweep too broadly in regulating certain categories of abortion procedures, or are the plaintiffs here simply attempting, by a variety of artful stratagems, to prevent the Ohio legislature from exercising any powers over abortion? With respect to the Ohio legislature’s attempt to ban the D & X procedure, I believe that Ohio got it right.
First, while the evidence presented to the district court supports its finding that the D & X procedure may pose less risk to some women in some eases than thе available alternative procedures, see Women’s Med. Prof. Corp. v. Voinovich,
Second, Danforth must be read in light of the later Casey decision. The Danforth Court relied on Roe’s formalistic trimester framework, under which Missouri’s ban on saline abortions in the second trimester could be upheld only if based on the health interests of the mother. As the majority acknowledges, see supra at 192, Casey did away with the trimester framework, focusing instead on whether the regulation posed an “undue burden” on the woman’s right to choose an abortion. See Casey,
If there is any doubt as to the constitutionality of Ohio’s D & X ban standing by itself, it is resolved by the fact that the Ohio statute provides for an affirmative defense to liability for situations in which all other available abortion procedures pose a greater danger to the mother’s health. It thus eliminates any concern that the law might restrict a woman’s access to the D & X procedure in those actual circumstances where other procedures are not as safe. The fact that this exception is an affirmative defense does not undermine its constitutionality. See Simopoulos v. Virginia,
I believe that the majority, in dismissing the importance of the affirmative defense provision in the statute, has erroneously focused on an extreme case, accepting plaintiffs’ argument that women would be required to bear an increased medical risk because the fear of prosecution will spur physicians to use alternative procedures even when the D & X procedure is the safest method. Such an extreme example, however, obscures the reality that all criminal laws chill conduct that is at the margins of legality. In any event, it is inappropriate for the majority to rely on such an extreme hypothetical case since the evidence shows that the D & X procedure is never medically indicated. The strongest finding the district court could make was that late in the second trimester of pregnancy the D & X procedure “does appear to have the potential of being safer than all other available abortion procedures.”
One doctor testified that the D & X procedure is “essentially identical” to a procedure used and abandoned by the medical profession because it posed safety risks to the mother, including perforation of the uterus, injury to the cervix and/or vagina, and infеction. Although the district court discounted this testimony because of advances in medicine (e.g., ultrasound), the safety of the D & X procedure nonetheless remains untested and undocumented. The only evidence suggesting that the D & X procedure is safe is an anecdotal report of a single surgeon, which has not been substantiated by other investigators nor even submitted to a peer-reviewed publication. In fact, the American Medical Association has taken a public stand against the procedure, supporting a federal ban on partial-birth abortions. On May 19, the AMA Board of Trustees issued a statement supporting then-pending federal legislation to outlaw the D & X procedure, stating that it “is a procedure which is never the only appropriate procedure and has no history in peer reviewed medical literature or in accepted medical practice development.” This position later received the endorsement of the entire AMA House of Delegates. See 40 American Medical News, No. 25 (July 7, 1997).
The majority concludes in the alternative that the statute is unconstitutionally vague in that it would also effectively ban the more commonly used dilation and evacuation (“D & E”) procedure. I do not believe this is so. Rather, I believe that the plaintiffs are attempting to create ambiguity where there is none. Such is the genius of a vagueness challenge because, in the extreme, words can always be said to be ambiguous. See, e.g., Frederick Schauer, Easy Cases, 58 S. Cal. L.Rev. 399, 420 (1985) (“Ever since Macbeth mistakenly relied on the linguistic precision of the witches’ prophesy, people have been able to construct weird and fanciful instances in which even the clearest language breaks down.”).
Plaintiffs seemed to concede at oral argument that had a different set of words been used in defining the D & X procedure the provision would have had identical effect, but been more difficult to challenge. Counsel, however, could not be pinned down as to any set of words that would, in his view, acceptably define the procedure. I believe this is because any set of words chosen by the Ohio legislature would have been challenged on vagueness grounds. But this type of argument (especially where, as here, the words chosen clearly define a procedure understood by doctors and laymen alike) proves too much.
Although the legislature might have been wise to choose language more closely resembling the federal legislation, which is discussed by the majority at footnote 8 of its opinion,
I am, however, in agreement with the majority’s conclusion that the post-viability ban on the D & X procedure causes no constitutional violation. I find the severability issue moot, since, unlike the majority, I believe that the pre-viability ban on the D & X procedure causes no constitutional problem.
II
I also part company with the majority’s holding that the “medical necessity” and “medical emergency” provisions are unconstitutional for their lack of a scienter requirement. I believe that the language the Ohio legislature used “provides an adequate warning as to what conduct falls under its ban, and marks boundaries sufficiently distinct for judges and juries fairly to administer the law in accordance with the will [of the legislature], That there may be marginal eases in which it is difficult to determine the side of the line on which a particular fact situation falls is no sufficient reason to hold the language too ambiguous to define a criminal offense.” United States v. Petrillo,
Moreover, I believe that the majority’s reliance on Colautti v. Franklin,
Even the three-justice plurality in Casey recognized that the “life or health of the mother” exception may be invoked only when necessary “in appropriate medical judgment.” See
Moreover, I am not persuaded by the majority’s language that the lack of scienter is particularly troublesome in the abortion context because of the emotionally charged nature of the subject. See supra at 208-09. Such an argument fails to recognize what the law itself does recognize: that a jury will have to find beyond a reasonable doubt that the doctor failed to act “in good faith [or] in the exercise of reasonable medical judgment” when determining whether a medical emergency existed or whether there was a medical necessity for the abortion. Unlike the majority, I have faith that the jury system will not run amok. “If the jury system is to remain a part of our system of jurisprudence, the courts and litigants must have faith in the inherent honesty of our citizens in performing their duty as jurors....” State v. Sheppard,
Moreover, even were I to accept the majority’s view that the jury system may fail in the abortion context, I do not believe that simply changing the standard by which the physician is to be judged will cure the problem. If a jury and judge are bent on convicting a physician who performs late-term abortions because of distaste for the act, they will do so, no matter what standard is set out for them to follow. Determining whether a jury’s verdict is supported by the evidence is our task as appellate judges — and, I should think, a task preferable to taking the question out of the hands of juries before they have had a chance to serve their constitutional function.
Ill
Finally, I believe that to the extent Casey requires a medical necessity exemption that includes a mental-health component, see
IV
My colleagues begin their opinion by holding that the rule stated in United States v. Salerno,
Because I believe that a proper construction of the Ohio statute at issue compels the conclusion that the statute is constitutional as a substantive matter, I see no reason for our circuit to wade into these cross-currents. Nonetheless, I note briefly a number of potential problems with my colleagues’ resolution of the Salerno issue. First, the Salerno Court rested its holding on the long-recognized proposition that, except in the First Amendment context, facial challenges to statutes are disfavored. See Salerno,
Second, to the extent that Casey announced a rule to replace Salerno’s requirement of a showing that no possible application of a statute could be constitutional, the rule is that a plaintiff may possibly succeed on a facial challenge by showing that a “large fraction of the cases in which” the challenged statute is relevant are likely to involve statutory applications creating an undue burden on the right to choose abortion. That manifestly cannot be shown here. The district court found that 95 percent of abortions in the United States are performed in the first 15 weeks of pregnancy, a period in which the D & X procedure is not used. See Voino-vich,
V
The deficiencies that the majority finds in the Ohio statute, and the changes that would apparently be necessary to remedy them in the majority’s view, are matters of nuance, not of basic principle. If the views expressed by Judge Kennedy were accepted law, it seems to me that Ohio could change its language to meet this ruling and still accomplish, in my view, 99 (if not 100) percent of what it reasonably thought it was accomplishing with the words that it did use.
However, clear guidance to state legislatures as to where they permissibly can impose abortion regulations appears not to be the real motivation of plaintiffs nor the likely result of cases such as ours. The post-Case?/ history of abortion litigation in the lower courts is reminiscent of the classic recurring football drama of Charlie Brown and Lucy in the Peanuts comic strip. Lucy repeatedly assures Charlie Brown that he can kick the football, if only this time he gets it just right. Charlie Brown keeps trying, but Lucy never fails to pull the ball away at the last moment. Here, our court’s judgment is that Ohio’s
VI
For the reasons discussed above, I would reverse the district court’s order as it applies to the D & X provision, as well as to the medical necessity and medical emergency provisions.
. I do not take issue with the conclusions expressed in Part II.E of the majority opinion.
. Allowing such an argument to succeed would, if taken to the extreme, result in all laws being vague. Many perfectly valid criminal laws are less than perfectly specific — hence the rule of lenity, which states that ambiguities in criminal statutes are to be construed in favor of the accused. United States v. R.L.C.,
. As explained above, I am confident that any language in this area, no matter how clear, will be challenged on vagueness grounds inasmuch as all language is potentially ambiguous. Plaintiffs in a challenge to Michigan legislation banning partial-birth abortions argued that the language in that statute, which mirrors the federal legislation language, is unconstitutionally vague because the statutory language does not provide physicians with adequate clear notice of the specific procedure or procedures proscribed by the law. A federal district court recently found that language unconstitutionally vague, noting that the term “partially vaginally delivers a living fetus” covers “the partial removal of a fetus while its heart is still beating, whether in whole or in part, [and thus] could outlaw conventional dilation and evacuation procedures in which the fetus is evacuated part by part, as well as intact D & E procedures.” Evans v. Kelley,
. I say "to the extent" because the part of Casey in which the vitality of Roe and Doe (the cases
