Appellants, unemployed California residents previously employed as farmworkers or in other low wage or minimum wage jobs, experienced significant delays in receiving benefits due them under the California unemployment compensation program (Unemp. Ins. Code, § 100 et seq.), suffering significant hardships as a result. In 2008, they sought a writ of mandate from the San Francisco Superior Court directing the Governor
The California unemployment insurance program is part of a national program established under the Social Security Act (42 U.S.C. § 501 et seq.), the Federal Unemployment Tax Act (26 U.S.C. § 3301 et seq.) (FUTA), and the Unemployment Insurance Code (Unemp. Ins. Code, §§ 100-101). FUTA imposes a federal tax on employers based on the total wages paid employees. (26 U.S.C. § 3301; 42 U.S.C. §§ 1101, 1104.) Employers receive a credit against that federal tax for payments made to a federally approved state unemployment insurance fund which finances the actual cost of benefits provided unemployed persons. (26 U.S.C. § 3302.) Administrative costs incurred by the state are paid for by the federal government if the state complies with certain federally mandated requirements. (42 U.S.C. §§ 502, 503, 1101.) One of these requirements is the adoption of administrative measures "reasonably calculated to insure full payment of unemployment compensation when due." (42 U.S.C. § 503(a)(1).) Additionally, appeals from the denial of unemployment benefits must be heard and decided by a designated state agency with the "greatest promptness that is administratively feasible." (20 C.F.R. §§ 650.1, 650.3(a) (2012).)
In California, the unemployment insurance (UI) program consists of three phases: (1) UI claims are submitted to and initially processed by the Employment Development Department (EDD) (Unemp. Ins. Code, § 1326 et seq.); (2) any appeal from EDD's benefit determination is heard by an administrative law judge (ALJ) employed and assigned by the California Unemployment Insurance Appeals Board (CUIAB) (referred to as the "first-level appeal"); and (3) any appeal of the ALJ's determination is submitted to and decided by the appellate division of the CUIAB based upon the record, including the transcript of the hearing before the ALJ (referred to as the "second-level appeal"). (Unemp. Ins. Code, §§ 401, 404, 409.)
Under DOL regulations prescribing the timely processing of UI claims, a state is in substantial compliance with the federal timeliness requirements if at least 87 percent of benefit payments are made within 14 days following the end of the first compensable week after filing (20 C.F.R. § 640.5 (2012)),
The trial court received abundant undisputed evidence California has been unable to meet federal timeliness standards for processing UI claims and appeals for more than a decade.
The third amended petition alleges, and respondents acknowledge, that in none of the 13 months between March 31, 2008, and March 31, 2009, did EDD process 87 percent of benefit payments within 14 days following the end of the first compensable week, as required by the regulatory definition of "substantial compliance" with the federal timeliness requirements. In March 2008, it processed only 66.9 percent of such claims and in March 2009 the percentage was 70.4 percent. EDD's performance thereafter continued to be deficient. In a letter dated April 26, 2010, Jane Oates, Assistant DOL Secretary for Employment and Training, informed the Secretary of California's Labor and Workforce Development Agency (a cabinet-level agency
Judging from their pleadings below and the briefs they have filed here, it appears that appellants' major concern is not EDD's delay in processing benefit payments to eligible claimants, who file no CUIAB appeal, but CUIAB's much greater delay in processing first- and second-level appeals from adverse EDD determinations. As indicated, CUIAB is required by federal regulations to resolve "at least 60 percent of all first level benefit appeal decisions within 30 days of the date of appeal, and at least 80 percent of all first level benefit appeal decisions within 45 days." (20 C.F.R. § 650.4(b) (2012)). The CUIAB's failure to meet these timelines is egregious.
As long ago as 2001, when the problem arose, the CUIAB was able to resolve only about 59.3 percent of first-level appeals within 30 days, and only 77.3 percent of first-level appeals within 45 days. The situation has since become much worse. In a declaration, Alberto Roldan, then chief ALJ and Acting Director of the CUIAB, described and explained the growing backlog of unresolved UI claims and the remedial actions jointly taken by CUIAB and DOL. Beginning in 2007, Roldan stated, high unemployment rates dramatically increased CUIAB's workload and diminished its ability to meet DOL's timeliness requirements. As the economy worsened and thousands of newly unemployed persons became eligible for UI benefits, federal authorities approved four extensions of the time within which the benefits must be provided. The number of appeals thereupon increased significantly. In 2007, 256,817 new appeals were filed. By 2009, the annual increase had grown to 389,194, and during the first six months of 2010, 225,621 new appeals had been filed.
These numbers, Roldan stated, "overwhelmed California's UI program." For example, he said, first-level appeal statistics dropped from about 31.1 percent of appeals disposed of within 45 days in 2007, to approximately 5.6 percent in December 2009. The average case age for first-level appeals went from 25 days in June 2005 to 57 days in August 2009. At the end of June 2010, it had improved to 46 days.
In response to the worsening situation DOL, CUIAB and EDD intensified their collaborative corrective efforts. On February 5, 2010, after reviewing these efforts, DOL issued a10-page study entitled "California Unemployment Insurance Appellate Board Review Report," a copy of which was received in evidence by the trial court. The report identified DOL's "concerns" and made responsive recommendations.
Several of these concerns sufficiently illustrate the nature and consequences of the many problems DOL perceived. A major DOL concern was that ALJ reversals of the denial of benefits, or determinations of the amount of overpayment where denials were upheld, were not communicated, or "transferred," by a CUIAB "appeals office" to an "adjudication center," on average, for 18 days, which is much longer than the five days most states take to act on such administrative decisions. The DOL recommended rectification of the problem by electronically transferring ALJ decisions to the adjudication centers. Another DOL concern was that although hearings are conducted entirely by telephone in many states, including large ones like Texas and Florida, and the practice has been upheld by the courts and shown to save significant amounts of time and money, in California only 10 percent of hearings are conducted by telephone. DOL recommended that "CUIAB should conduct a higher percentage of hearings by telephone." DOL was also concerned that "decision processing from dictation to the typing pool and
When Assistant DOL Secretary Oates informed California it had been placed "At Risk," nearly three months after DOL issued its report, she noted that the percentage of appeals decided within 30 days was 2.5 percent, far below the 60 percent federal standard, ranking California last among the 50 states. She also observed that California had failed to meet the federal promptness standard since 2002, demonstrating that the State's performance "has continued to be consistently and significantly below acceptable performance standards ...."
Hilda Solis, Secretary of the DOL, has declined to pursue federal defunding of nonconforming state UI programs — the only sanction available to the federal government to insure compliance with its timeliness regulations (42 U.S.C. § 503(b)) — because she feels it would be inimical to the interests of the beneficiaries of such programs, and DOL is instead "`working to avoid such action and to obtain states' compliance with our policies.'"
Emphasizing the desperate straits in which they and many thousands of other struggling laid-off workers have been placed by the long delays in the processing of UI benefit claims, and the ineffectuality of DOL's prolonged effort to induce and enable CUIAB to come into compliance with federal timeliness requirements, appellants contend that the only meaningful way compliance can be achieved is a judicial mandate compelling compliance. They sought a writ directing the CUIAB "to develop a plan and take all steps necessary to come into compliance with the federal requirement that it insure full payment of unemployment compensation when due and to comply with the federal timeliness standards with respect to first level appeals of denials
This remedy is appropriate, they say, because the CUIAB has a clear and present ministerial duty to insure full payment of unemployment compensation when due, its performance of that duty indisputably falls far below the regulatory definition of "substantial compliance," and monitoring CUIAB's performance for six months would neither usurp DOL's regulatory authority nor engage the court in complex economic policymaking or interfere in any other matters best left to an administrative agency or a legislative body.
Relying on Alvarado v. Selma Convalescent Hospital (2007) 153 Cal.App.4th 1292 [64 Cal.Rptr.3d 250] (Alvarado), and the case law it relied upon, respondents contend that the trial court properly abstained from adjudicating appellants' claim because granting the relief sought and monitoring and enforcing compliance by a judicial order would be unnecessarily burdensome given the availability of more effective means of administrative redress and usurp or interfere with the functions of DOL with respect to matters involving complex economic and other policy issues unsuitable for judicial determination.
After a hearing on November 16, 2010, the court granted respondents' motion for judgment on the writ (Code Civ. Proc., § 1094) and ordered appellants' competing motion for entry of writ of mandate as to respondent CUIAB (Code Civ. Proc., § 1085) off calendar as moot. The parties agreed that because the ruling was based on a purely legal determination — application of the principle of judicial abstention — a statement of decision was not required. The court did not explain its ruling, but the parties infer, as do we, that it found the abstention analysis set forth in Alvarado, supra, 153 Cal.App.4th 1292, persuasive and applicable to this case.
A trial court decision to abstain is reviewed for abuse of discretion. As stated in Blue Cross of California, Inc. v. Superior Court (2009) 180 Cal.App.4th 1237 [102 Cal.Rptr.3d 615] (Blue Cross), in which the defendant sought judicial abstention by means of a petition for writ of mandate, "`[a] reviewing court should not disturb the exercise of a trial court's discretion unless it appears that there has been a miscarriage of justice.... "It is fairly deducible from the cases that one of the essential attributes of abuse of discretion is that it must clearly appear to effect injustice. [Citations.] Discretion is abused whenever, in its exercise, the court exceeds the bounds of reason, all of the circumstances before it being considered. The burden is on the party complaining to establish an abuse of discretion, and unless a clear case of abuse is shown and unless there has been a miscarriage of justice a reviewing court will not substitute its opinion and thereby divest the trial court of its discretionary power."' [Citation.]" (Id. at p. 1258, quoting Denham v. Superior Court (1970) 2 Cal.3d 557, 566 [86 Cal.Rptr. 65, 468 P.2d 193], citation omitted, quoting Loomis v. Loomis (1960) 181 Cal.App.2d 345, 348-349 [5 Cal.Rptr. 550].)
As appellants emphasize, and the United States Supreme Court made clear in California Human Resources Dept. v. Java (1971) 402 U.S. 121 [28 L.Ed.2d 666, 91 S.Ct. 1347] (Java), the statutory requirement that benefits be paid "when due" (42 U.S.C. § 503(a)(1)) is the fundamental underpinning of the UI program.
The appellees in Java challenged on statutory and constitutional grounds a California statute suspending payment of UI benefit payments upon an employer's appeal, after an initial determination of eligibility for benefits, pending de novo consideration by an appeals board referee. At that time, the processing of such an appeal in this state, from the date of filing to the date of mailing the decision or dismissal, took between six and seven weeks. (Java, supra, 402 U.S. at p. 128.) A three-judge court concluded that the delay was defective on both statutory and constitutional grounds, and granted appellees' motion for a preliminary injunction, ordering the State of California not to suspend UI benefits because an eligibility determination has been appealed. In an opinion by Chief Justice Burger, the Supreme Court affirmed the judgment of the district court on the ground that the California statute was
Respondents acknowledge both the importance of the federal timeliness requirements and California's noncompliance. By way of explanation, they point out that the state's UI program, by far the largest in the nation, is difficult to administer in the best of circumstances. The program is governed by an intricate mosaic of complex state and federal statutes and regulations, administered by multiple state agencies employing more than 10,000 employees, and serves a huge and diverse workforce, including numerous seasonally employed workers who submit frequent claims. The problems that historically hindered the prompt payment of benefits and expeditious appeals from the denial thereof were profoundly exacerbated by the national economic recession that began in 2008, which led to "skyrocketing" UI claims that quickly overwhelmed the program. In 2007, California's unemployment rate was approximately 5.3 percent. By 2008, the annualized unemployment rate rose to about 7.3 percent, a 38 percent increase over the previous year. By 2009, the annualized rate rose to approximately 11.4 percent, a 56 percent increase over the previous year and a 115 percent increase over the unemployment rate in 2007. In August 2010, shortly before the present petition was filed, the state unemployment rate rose to 12.4 percent. Rising unemployment increased the workloads of the EDD and CUIAB so dramatically that DOL's timeline targets quickly became unattainable. For example, during a two-year period between 2007 and 2009, initial claims for benefits more than doubled, from approximately 2,476,682 to approximately 6,472,824.
The chief issue in this case is not whether respondents' administration of the UI program complies with the timeliness requirements specified by the Social Security Act and implementing regulations, as it clearly does not,
In Alvarado, the governing statute, Health and Safety Code section 1276.5 (section 1276.5), directed DHCS to "`adopt regulations setting forth the minimum number of equivalent nursing hours per patient required in skilled nursing and intermediate care facilities, subject to the specific requirements of Section 14110.7 of the Welfare and Institutions Code'"; provided, however, that notwithstanding the latter statute or any other provision of law, "`the minimum number of actual nursing hours per patient required in a skilled nursing facility shall be 3.2 hours, except as provided in [Health & Safety Code] Section 1276.9.'" (Alvarado, supra, 153 Cal.App.4th at p. 1303, italics omitted.) Section 1276.5, subdivision (b)(1), also included a complicated definition of "nursing hours" — i.e., "the number of hours of work performed per patient day" — that differed according to the type of provider (registered nurses, licensed vocational nurses, licensed psychiatric technicians, aides, nursing assistants, orderlies) and type of facility in which care was provided. The court concluded that calculating nursing hours per patient would require the trial court to undertake regulatory powers better performed by the DHCS.
Noting that section 1276.5 was a regulatory statute that the Legislature intended DHCS to enforce, the court felt that "[a]djudicating this class action controversy would require the trial court to assume general regulatory powers
Appellants maintain that the circumstances warranting abstention in Alvarado are not present here, as ruling on the merits would not require individualized determinations or calculations with respect to specific unemployment claimants nor usurp the regulatory functions of DOL. As appellants put it, "[t]he trial court was merely asked to find that California is out of compliance with clear and unambiguous standards for processing first level
Like section 1276.5, the statute involved in Alvarado, supra, 153 Cal.App.4th 1292, the federal laws we are concerned with are also "regulatory statutes." As earlier noted, the pertinent provisions of the Social Security Act require that state law must provide "[s]uch methods of administration ... as are found by the Secretary of Labor to be reasonably calculated to insure full payment of unemployment compensation when due" (42 U.S.C. § 503(a)(1)), and that "[w]henever the Secretary of Labor ... finds that there is a failure to comply substantially with [that requirement] [he or she] shall notify [the responsible State agency] that further payments will not be made to the State until [s]he is satisfied that there is no longer any such failure" (42 U.S.C. § 503(d)(3)). As we have said, the regulations specify that a state
For first-level appeals performance, the regulations specify that "[n]o later than December 15 of each year, each State shall submit an appeals performance plan showing how it will operate during the following calendar year so as to achieve or maintain the issuance of at least 60 percent of all first level benefit appeals decisions within 30 days of the date of appeal, and 80 percent within 45 days." (20 C.F.R. § 650.5 (2012).)
After the foregoing remedial steps have been exhausted, if a State fails to take appropriate action, or otherwise fails to meet the timeliness standard specified in Code of Federal Regulations part 640.4, and, after notice and a hearing, the Secretary of Labor finds that the State agency's administration of the State UI program is not "reasonably calculated to insure full payment of unemployment compensation when due" (42 U.S.C. § 503(a)(1)), "the Secretary of Labor shall notify such State agency that further payments will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such ... failure to comply" (42 U.S.C. § 503(b)(2); 20 C.F.R. § 640.2 (2012)).
As we have said, appellants seek judicial relief because they believe the remedial steps and enforcement actions DOL has taken pursuant to the foregoing regulations have had no effect. Appellants' complaint that DOL's enforcement of the federal timeliness requirements is ineffectual, and judicial enforcement is therefore essential, appears to be based solely on Secretary of Labor Hilda Solis's reported statement (in a letter to a member of Congress from Cal.) that the only sanction available to the federal government "is to withhold money from the unemployment compensation program" (see 42 U.S.C. § 503(b)) and she believes "this action could be detrimental to both state workers and those who rely on the services they provide." Secretary Solis is instead "working to avoid such action and to obtain states' compliance with our policies."
Appellants are not merely asking the court to compel CUIAB to comply with the mandate of the Social Security Act to pay UI compensation "when due." In reality they are asking the trial court to replicate administrative responsibilities imposed by law on the DOL. The proposed order directing issuance of a writ of mandate appellants submitted to the trial court commanded the CUIAB to, among other things, "[d]evelop a plan and take all
In support of their contention that abstention is inappropriate in this case, appellants rely on state and federal cases in which trial courts issued orders assertedly comparable to the order they proposed here, directing state agencies to comply with federal requirements. (Blue Cross, supra, 180 Cal.App.4th 1237; Arce v. Kaiser Foundation Health Plan, Inc. (2010) 181 Cal.App.4th 471 [104 Cal.Rptr.3d 545]) (Arce); Shuts, supra, 208 Cal.App.4th 609; Robertson v. Jackson (E.D.Va. 1991) 766 F.Supp. 470 (Robertson); Dunn v. New York State Dept. of Labor (S.D.N.Y. 1979) 474 F.Supp. 269 (Dunn).) None persuades us abstention in this case was an abuse of discretion.
Blue Cross, supra, 180 Cal.App.4th 1237, was a suit against a health insurer and a managed health care provider alleging claims under the UCL and the false advertising law (FAL), concerning coverage rescission practices. The Court of Appeal upheld the trial court's decision not to abstain for several reasons. First, the city attorney was not asking the court to assume or interfere with the functions of an administrative agency, but simply to grant relief for business practices made unlawful by the UCL and the FAL, and granting that relief would not interfere in any way with the functions of the two relevant state regulatory agencies. (Blue Cross, at pp. 1258-1259.) Second, the suit did not call upon the court to determine complex economic policy, only to enforce policy decisions already made by the Legislature. Third, the city attorney was not seeking injunctive relief that would be unnecessarily burdensome for the court to monitor or enforce. Additionally, the complaint sought not just injunctive relief but also restitution and civil penalties.
None of the reasons justifying rejection of abstention in Blue Cross apply to the present case. First of all, as we have explained, appellants are asking the court to interfere with and assume the responsibilities of the DOL, and they have not shown that any remedy the court could provide would be more effective than those available to the DOL. Secondly, calling upon the court to carry out the type of regulatory functions DOL is charged with performing requires considerably more than was asked of the Blue Cross court, which simply had to determine whether the defendant violated the UCL and, if so, to grant statutorily prescribed relief. Thirdly, appellants are asking the court
Arce, supra, 181 Cal.App.4th 471, is also inapposite. In that case, an autistic child proposed a class action suit under the UCL against his health care service plan, alleging it breached its contract and violated the California Mental Health Parity Act (Health & Saf. Code, § 1374.72), in that it categorically denied coverage to children with autism spectrum disorders for "applied behavior analysis therapy" and "speech therapy" (Arce, at p. 499). The trial court sustained the plan's demurrer to the UCL claim without leave to amend based on the doctrine of judicial abstention (and also on the lack of commonality among class members), primarily because it believed that the requested relief would require it to individually determine what treatments were "`"medically necessary"'" for a large group of persons. (Arce, at p. 499.)
Reversing, the Court of Appeal held that the trial court was not called upon to make individualized judicial determinations of medical necessity, but rather to perform the judicial function of contract and statutory interpretation, interpreting relevant terms of the health plan contract to determine whether
Shuts, supra, 208 Cal.App.4th 609, like Alvarado, supra, 153 Cal.App.4th 1292, was a suit alleging inadequacy of the staffing levels at a skilled nursing facility in violation of Health and Safety Code section 1276.5. Unlike Alvarado, the Shuts court found abstention inappropriate because the determination whether a skilled nursing facility satisfies its obligation under section 1276.5 "`[did] not appear to implicate technical or policy determinations usually reserved to an administrative agency'" and the plaintiffs' claims posed no unusual issues suggesting a need for the expertise of CDPH (State Department of Public Health). (Shuts, at p. 621, quoting Wehlage v. EmpResHealthcare, Inc. (N.D.Cal. 2011) 791 F.Supp.2d 774, 787.) The Shuts court noted that since Alvarado was decided, CDPH had provided administrative guidance on the standard at issue and how it should be calculated. (Shuts, at p. 622.) Further, the plaintiffs in Shuts relied upon a statute, Health and Safety Code section 1430, subdivision (b), not relied upon in Alvarado, establishing a private right of action, making it clear that the Legislature intended courts to resolve such actions. (Shuts, at p. 624.) Finally, Shuts noted that even if abstention might otherwise be appropriate, the complaint set forth nonequitable claims for relief, including damages, that were not presented in Alvarado and not subject to dismissal under the doctrine of equitable abstention. (Id. at pp. 624-625.) Here, appellants rely purely on a regulatory statute, their writ petition seeks only injunctive relief, equitable principles are at play, and granting the relief sought would unquestionably require "`technical or policy determinations usually reserved to an administrative agency.'" (Id. at p. 621.)
Robertson, supra, 766 F.Supp. 470, was a suit challenging Virginia's administration of the federal food stamp program which, among other things, requires that the designated state agency ensure that an applicant household's eligibility for food stamp benefits is determined, and eligible households are provided benefits, within 30 days of the date of application. The evidence showed widespread and serious violations of the 30-day processing standard applicable to regular applications, and even more "shameful" and "shocking" deficiencies in the processing of those applications entitled to expedited processing. Delays were due to both a steady and dramatic increase in the number of applications and the fact that the responsible state agency's authorization of and funding for staff positions had not kept pace with its increasing caseload. (Id. at p. 475.) The court concluded that the state agency violated plaintiffs' rights to compliance with the federal timeliness requirement, and enjoined the Commissioner of the state agency "from failing to bring the Virginia Food Stamp program forthwith into compliance with the [Federal] Food Stamp Act [citations.]" (Id. at p. 476.) The Robertson court declared that "[l]ack of resources and lack of bad faith on the part of the agency officials is no excuse for failing to provide the plaintiffs their statutory entitlements," that "[l]ack of staff or funds is not legally excusable," and that the law "requires full compliance absent what is hoped will be minimum human error." (Robertson, supra, 766 F.Supp. at p. 476.) Accordingly, the court issued an extraordinarily lengthy order detailing the steps the agency was required to take on matters including providing benefits, tracking compliance with timeline provisions, and monitoring local agencies.
Dunn, supra, 474 F.Supp. 269, the most factually apposite of the cases appellants rely upon, was an action for injunctive and declaratory relief claiming the New York Department of Labor's failure to comply with the timeliness requirements of the Social Security Act applicable to first-level appeals from the denial of UI benefits (the same requirements at issue in the instant case) violated the plaintiffs' rights under the due process and equal protection clauses of the United States Constitution, the Social Security Act, and the federal regulations prescribing timeliness standards for first-level appeals. The state agency conceded its performance had dropped below the applicable federal standard (20 C.F.R. § 650.4(b) (2012)), but claimed the plaintiffs' motion for summary judgment should be denied for reasons including that the state provided initial determinations of eligibility for unemployment benefits in a timely manner and it should therefore be deemed to "have fully complied with [its] constitutional and statutory obligations." The state also contended state officials had substantially complied with the timeliness standard relating to first-level appeals "since they have achieved
Although Dunn is factually closer to our case than Robertson in all other respects, it is easier to distinguish in one important way. Because the defendants in Dunn had recently complied with the applicable federal timeliness standard and indicated to the court that they intended to do so in the future, the court inferred that "[t]heir failure to do so presently indicates they are thwarting the purpose of the Social Security Act." (Dunn, supra, 474 F.Supp. at pp. 275-276, italics added.) There is no such evidence in the present case. Appellants do not claim respondents have the ability to comply with the applicable timeliness standard now or sooner than in six months (the period the proposed order allows for respondents to come into compliance), nor have they made any showing respondents have ignored this responsibility. Respondents' noncompliance appears to have resulted from inadequate funding and staffing, and the periodic furlough of EDD and CUIAB employees mandated by the Governor in the past, which had consequences that are still being felt.
Thus, even if, as is not the case, the facts of Dunn and Robertson were identical to those here, and the courts in those cases had been asked to abstain and refused to do so, the reasonableness of the adjudications in those cases would not compel us to find unreasonable the decision in this case to abstain; the realm of reason is capacious enough to embrace all of them. Crucially, the grounds upon which the court abstained are fully consistent with the applicable legal principles specified in Alvarado.
Appellants' final argument, which is ill defined, appears to be that mandamus actions are or should be exempt from the abstention doctrine. Pointing out that the judicial power to issue writs of mandamus is expressly granted by the state Constitution (Cal. Const., art. VI, § 10), and California courts have issued writs of mandate to compel state compliance with federal requirements imposed as a result of participation in a federal-state program, such as the UI program,
The first is that, as earlier noted, though mandate is ordinarily classed as a legal remedy it is "largely controlled by equitable principles" (Wallace v. Board of Education, supra, 63 Cal.App.2d 611, 617), and appellants concede that our review of the denial of mandate is abuse of discretion,
The second problem is that appellants advance no authority for the proposition that the doctrine of abstention is inapplicable to mandamus actions. Their contention that abstention is incompatible with and undermines the separation of power was an early concern of some federal judges. Chief Justice John Marshall declared, for example, that "[w]e have no more right to decline the exercise of jurisdiction which is given, than to usurp that which is not given." (Cohens v. Virginia (1821) 19 U.S. 264, 404 [5 L.Ed. 257].) The concern of contemporary abstention critics, and the view we understand appellants to be advancing, is that judicial abstention usurps legislative authority by deciding, selectively, whether to enforce a legislative directive. As one commentator explains, "[t]he essential element of any democratic society is at least some level of majoritarian self-determination. In our form of constitutional democracy, we have chosen to vest in a largely unrepresentative judiciary the power to invalidate laws adopted by a majoritarian legislature when those laws are deemed to violate constitutional protections. It has never been suggested, however, that the judiciary may openly ignore a
Though the arguments against abstention are most frequently aimed at federal judicial abstention, they could be applied as well to the state judicial abstention authorized by Diaz, Alvarado, and other California cases. One of the important legislative objectives of the California UI program was "providing prompt administrative adjudication of claims for unemployment benefits" (Gibson v. Unemployment Ins. Appeals Bd. (1973) 9 Cal.3d 494, 496 [108 Cal.Rptr. 1, 509 P.2d 945], citing Unemp. Ins. Code, § 1328), and the Constitution and Legislature vest state courts with jurisdiction and other means to enforce the right to such "prompt" administrative adjudication. By refusing to enforce the right, appellants seem to be saying, the trial court not only abdicated a responsibility conferred on it by the Legislature, but concomitantly assumed an authority (to refrain from enforcing the law) not conferred by any constitutional provision or statute.
Unfortunately for appellants, this criticism — which now comes almost exclusively from the legal academy
The seminal California case, because it was the first to address the propriety of abstention directly and in depth, is Diaz, supra, 9 Cal.App.3d 588, the reasoning of which was relied upon not just in Alvarado, supra, 153 Cal.App.4th 1292, but by our Supreme Court in Naegele, supra, 38 Cal.3d at page 523. In sum, whether it be for the better or the worse, judicial abstention now seems as lodged in the jurisprudence of this state as it is in federal jurisprudence. Appellants offer no persuasive reason for us to refuse to apply an otherwise applicable doctrine simply because it arises in a mandamus action.
As was the case in Diaz, appellants "seek the aid of equity because the national government has breached the commitment implied by national ... policy." (Diaz, supra, 9 Cal.App.3d at p. 599.) Like the Diaz court, we
Haerle, J., and Lambden, J., concurred.
Part 640.7 (b) (2012) states that "[a] periodic benefit payment performance plan shall be submitted by a State agency when directed by the Department of Labor. A periodic plan may be in addition to, or a modification of an annual plan and may be required even though an annual plan covering the same period is not required. A periodic plan shall be subject to continuing appraisal during the period it is in effect, and shall be subject to modification from time to time as may be directed by the Department of Labor."
Part 640.7(c) (2012) declares that "[a]n annual plan or periodic plan shall set forth such corrective actions, performance and evaluation plans, and other matters as the Department of Labor directs, after consultation with the State agency."
20 Code of Federal Regulations part 650.5 (2012) provides: "No later than December 15 of each year, each State shall submit an appeals performance plan showing how it will operate during the following calendar year so as to achieve or maintain the issuance of at least 60 percent of all first level benefit appeals decisions within 30 days of the date of appeal, and 80 percent within 45 days."
One of the few criticisms of abstention coming from the Supreme Court after the seminal opinion in Railroad Comm'n v. Pullman Co. (1941) 312 U.S. 496 [85 L.Ed. 971, 61 S.Ct. 643], was the lament of Justice Douglas, speaking also for Chief Justice Warren and Justice Brennan, that the delays and expense caused by abstention procedures "dilutes the stature of the Federal District Courts, making them secondary tribunals in the administration of justice under the Federal Constitution." (Harrison v. N. A. A. C. P. (1959) 360 U.S. 167, 180 [3 L.Ed.2d 1152, 79 S.Ct. 1025] (dis. opn. of Douglas, J.).)