Opinion of the Court by Justice VENTERS.
Appellant, W.B., an adult citizen residing in Jefferson County, Kentucky, appeals from a decision by the Court of Appeals which affirmed the Jefferson Circuit Court's denial of his Petition for a Declaration of Rights pursuant to KRS 418.040. The petition sought a declaration that the statutory and regulatory provisions associated with the Cabinet for Health and Family Services and its sub-unit the Department of Community Based Services' (DCBS) process for investigating allegations of child abuse are unconstitutional. He challenges also the constitutionality of the process whereby a social worker investigates and "substantiates" such allegations, the process for challenging a "substantiated" allegation, the failure of the process to provide for a jury trial, and the listing of the accused's name in a centralized database pursuant to this process. Appellant's KRS 418.040 petition thus presents a facial constitutional challenge to the Cabinet's administrative process, and the underlying administrative action is being held in abeyance pending the conclusion of the present proceeding. The trial court found the processes challenged by Appellant to be constitutional, and the Court of Appeals agreed.
We do not have before us an actual record of an administrative case contextualizing the operations of the statutory and regulatory process as it functions in day-to-day practice, which is the very nucleus of our review, and the absence of such a record unduly hinders our ability to review the constitutional issues presented. Therefore, based upon cautiously weighed prudential considerations, we conclude that this declaratory action is not ripe for our review at this time. Rather, we must await the conclusion of the administrative proceedings prior to our delving into the constitutional issues presented in this case.
Because we regard the issues presented in this case as not ripe for our review, we vacate the decision of the Court of Appeals and remand the cause to the Jefferson Circuit Court with directions that it hold this KRS 418.040 action in abeyance until the conclusion of the underlying administrative proceedings. The circuit court should then consider the present proceeding in light of the results obtained in the administrative case. We further instruct the Cabinet that, even if Appellant does not prevail in the administrative proceedings, it should not list his name in the centralized child abuse database until the conclusion of the KRS 418.040 proceedings we now abate. By that means, Appellant may fully complete his constitutional challenge to the administrative process before the listing of his name in a child abuse registry renders the review moot.
In August 2008, an unidentified caller to a hotline maintained by the Jefferson County DCBS reported an allegation that
Following the completion of the social worker's investigation, which Appellant alleges he was given no opportunity to participate in, the social worker concluded that the allegation of sexual abuse was "substantiated" (meaning established by a preponderance of the evidence) pursuant to 922 KAR 1:330 § 1(9).
Pursuant to 922 KAR 1:330 § 10(1), Appellant gave notice of his intent to appeal the Cabinet's finding substantiating the allegation. This provision provides for an administrative hearing, culminating in the issuance of a final order by the Commissioner of DCBS. Section 10(3) of the regulation further provides, if necessary, for an additional appeal to the circuit court pursuant to the normal administrative appeals provisions of KRS 13B.140 and KRS 13B.150. The administrative proceedings, however, are now in abeyance pending conclusion of this proceeding.
In coordination with his administrative appeal, and as a second line of attack upon the underlying allegation, Appellant filed a complaint in Jefferson Circuit Court, the present action, which, though not specifically denominated as a declaratory judgment action pursuant to KRS 418.040, has been uniformly treated as such by the parties and courts in the proceedings below, and so we, too, follow this nomenclature.
In his declaratory action, Appellant challenged the constitutionality of the several statutes and regulations providing for how the Cabinet substantiates allegations of child abuse and how an accused may
In its own review of this matter, the Jefferson Circuit Court upheld the constitutionality of the statutes, regulations, and appellate procedures in question, and, in a January 25, 2010 order, the circuit court dismissed Appellant's declaratory judgment petition pursuant to CR 12.02(f) for failure to state a claim upon which relief could be granted.
The Court of Appeals affirmed the circuit court's determinations. We granted discretionary review to further examine to the constitutional issues presented. However, as further discussed below, due to the absence of an administrative record to provide context for our examination of the functioning, of the process under challenge, we will exercise our discretionary authority to decline to review the issues presented at this time based upon prudential ripeness considerations, and will instead await the conclusion of the administrative process before delving into the substantial constitutional issues presented for our review.
This case presents a situation where a defendant in an administrative action has interrupted the administrative process by way of a declaratory judgment action and diverted the main proceedings into the judicial system so as to challenge the very functioning and legality of the administrative proceedings already underway. KRS 418.040 provides as follows:
KRS 418.065 (emphasis added); see also KRS 418.045 (providing a non-exhaustive list of the types of claims for which declaratory relief is available); and Mammoth Medical, Inc. v. Bunnell, 265 S.W.3d 205, 210 (Ky.2008) ("the Court may refuse to exercise the power to declare rights, duties or other legal relations in any case where a decision under it would not terminate the uncertainty or controversy which gave rise to the action, or in any case where the declaration or construction is not necessary or proper at the time under all the circumstances.").
Here, there is clearly an actual, justiciable controversy suited to the declaratory judgment process. The parties are embroiled in an administrative process which may lead to Appellant's listing on a child-abuser registry, and they further disagree upon whether the statutory and regulatory provisions guiding the administrative proceedings are constitutional. Further, absent success in this declaratory judgment action, Appellant will have to endure the administrative proceedings before he would be able to raise the constitutional issues that are his primary concern.
It bears emphasis that Appellant's declaration of rights action is not explicitly barred by the exhaustion of remedies doctrine. A well-settled principle of administrative law is that a party must exhaust his administrative remedies before seeking relief within the judicial process. KRS 13B.140(2) ("A party may file a petition for judicial review only after the party has exhausted all administrative remedies available within the agency whose action is being challenged, and within any other agency authorized to exercise administrative review."); Popplewell's Alligator Dock No. 1, Inc. v. Revenue Cabinet, 133 S.W.3d 456, 471 (Ky.2004); Goodwin v. City of Louisville, 309 Ky. 11, 215 S.W.2d 557, 559 (1948) ("where an administrative remedy is provided by the statute, relief must be sought from the administrative body and this remedy exhausted before the courts will take hold. The procedure usually is quite simple. Ordinarily the exhaustion of that remedy is a jurisdictional prerequisite to resort to the courts."). However, an exception to the exhaustion doctrine exists:
Commonwealth v. DLX, Inc., 42 S.W.3d 624, 626 (Ky.2001) (internal citations omitted); Goodwin, 215 S.W.2d at 559 ("direct judicial relief is held available without exhaustion of administrative remedies where the statute is charged to be void on its face, or where the complaint raises an issue of jurisdiction as a mere legal question, not dependent upon disputed facts, so that an administrative denial of the relief sought would be clearly arbitrary."). Accordingly, here, the exhaustion of remedies doctrine does not bar Appellant's declaration of rights petition because he is seeking to challenge the statutes and regulations underpinning the underlying administrative process. St. Luke Hospitals, Inc. v. Com., Cabinet for Health and Family Services, 254 S.W.3d 830 (Ky.App. 2008) ("[A] hospital was not required to exhaust all administrative remedies before the Cabinet for Health and Family Services, before challenging [by way of a declaratory judgment action] the constitutionality of a regulation that precluded its eligibility to participate in an angioplasty project.")
Nevertheless, "there are situations where, even though an allegedly injurious event is certain to occur, the Court may delay resolution of constitutional questions until a time closer to the actual occurrence of the disputed event, when a better factual record might be available." Blanchette v. Connecticut General Ins. Corporations, 419 U.S. 102, 143-44, 95 S.Ct. 335, 42 L.Ed.2d 320 (1974). "Further, to the extent that questions of ripeness involve the exercise of judicial restraint from unnecessary decision of constitutional issues, the Court must determine whether to exercise that restraint and cannot be bound by the wishes of the parties." Id. at 138, 95 S.Ct. 335 (footnote omitted). Here, the administrative process is indeed "certain" to occur in the absence of success by Appellant in the declaratory judgment proceedings, nevertheless, this is clearly one of those occasions when a better factual record would be indispensible to our resolution of the constitutional issues before us. For example, without an actual administrative proceeding to review, it would be sheer speculation to suppose that Appellant is correct that his defense will be hindered by his alleged inability to access the videotaped interviews associated with the investigation.
Further, many of these questions are prematurely raised in this litigation because of the rather complex inter-workings of the various provisions under challenge. "Even where some of the provisions of a comprehensive legislative enactment are ripe for adjudication, portions of the enactment not immediately involved are not thereby thrown open for a judicial determination of constitutionality. `Passing upon the possible significance of the manifold provisions of a broad statute in advance of efforts to apply the separate provisions is analogous to rendering an advisory opinion upon a statute or a declaratory judgment upon a hypothetical case.'" Communist Party of United States v. Subversive Activities Control Bd., 367 U.S. 1, 71, 81 S.Ct. 1357, 6 L.Ed.2d 625 (1961) (quoting Watson v. Buck, 313 U.S. 387, 402, 61 S.Ct. 962, 85 L.Ed. 1416 (1941)). Contrary to this principle, Appellant's declaration of rights action would compel us to prematurely evaluate the Cabinet's complicated administrative process without the benefit of an actual case illustrating the Cabinet's interpretation and implementation of the regulatory scheme.
Additionally, two of the most fundamental rules applied by the courts when considering constitutional challenges are
Moreover, being at this juncture deprived of an actual administrative proceeding to review, were we to consider this case now, we would in large part be confined to engaging in an academic and abstract view of the Cabinet's regulatory scheme. The basic rationale of the ripeness requirement is "to prevent the courts, through the avoidance of premature adjudication, from entangling themselves in abstract disagreements[.]" Abbott Labs. v. Gardner, 387 U.S. 136, 148, 87 S.Ct. 1507, 18 L.Ed.2d 681 (1967), abrogated on other grounds by Califano v. Sanders, 430 U.S. 99, 97 S.Ct. 980, 51 L.Ed.2d 192 (1977). Ripeness accordingly prevents courts from interfering with legislative enactments until it is necessary to do so, and thus enhances the quality of judicial decision-making by ensuring that cases present courts an adequate record to permit effective review and decision-making. Id. In this vein, ripeness involves weighing two factors: (1) the hardship to the parties of withholding court consideration; and (2) the fitness of the issues for judicial review. See Abbott Labs, 387 U.S. at 149, 87 S.Ct. 1507; Artway v. Attorney General of New Jersey, 81 F.3d 1235, 1246-47 (3d Cir. 1996). Here, without a specific and developed factual record, we are presented with little more than an abstract disagreement, and, moreover, deferment will result in little hardship to the parties beyond those involved in any other case where the issues are not ripe for decision. Buckley v. Wilson, 177 S.W.3d 778, 781 (Ky.2005) (holding, in context of a writ action, that the delays inherent in every lawsuit and appeal do not constitute an inadequate remedy by appeal).
In Matherne v. Gray Ins. Co., the Supreme Court of Louisiana succinctly described the principle upon which we now rely:
661 So.2d 432, 435-36 (La.1995) (citations omitted).
Simply put, there is no compelling reason for us to address the constitutional issues presented in this case in the absence of a well-developed administrative record by which we may understand the actual, as opposed to the hypothetical and abstract, application of the process under review. Further, while neither the parties nor the lower courts have raised the issue of ripeness, "[i]t is clear that ripeness may be raised by a court on its own motion, whether the question turns on theories attributed to the constitution or on prudential theories, and whether or not the parties all wish decision on the merits. So long as the court is persuaded that it is unwise to decide, it should not feel compelled to expand [its authorized] domain of ripeness simply to avoid decision; prudence alone can overcome the parties' wishes. But refusal to be controlled by the parties' wishes should be tempered by considering their wishes to the extent of determining the immediacy of the need for decision and the weight of the reasons for deferring decision." Charles Alan Wright, Arthur R. Miller & Edward H. Cooper, 13B Fed. Prac. & Proc. Juris. § 3532.7 (3d ed.2012) (footnotes omitted); see also Reichert v. State ex rel. McCulloch, 365 Mont. 92, 278 P.3d 455, 471-72 (2012). In other words, "we may raise the issue of ripeness sua sponte even though neither party has discussed it in its briefs." Local 36 Intern. Ass'n of Firefighters v. Rubin, 999 A.2d 891, 896 (D.C.2010); see Wright, Miller & Cooper, supra, § 3532.7. Here, as noted, though not raised by the parties, prudential considerations weigh heavily in favor of our abstaining from deciding the constitutional issues until the completion of the underlying administrative proceedings.
The principle of prudential ripeness is a well-settled legal doctrine which holds that a court of last resort may decline to exercise its jurisdiction and, upon purely prudential grounds, regard an otherwise justiciable controversy as unripe for immediate judicial review. As noted by the United States Supreme Court in National Park Hospitality Ass'n v. Dep't of Interior.
538 U.S. 803, 807-08, 123 S.Ct. 2026, 155 L.Ed.2d 1017 (2003) (emphasis added) (citations omitted).
Although initially a doctrine originating in the federal court system, the concept of prudential ripeness has been widely adopted and applied in many of our sister
For the foregoing reasons, we vacate the decision of the Court of Appeals and remand to the circuit court for additional proceedings consistent with this opinion. We further direct that the Cabinet should refrain from listing Appellant on the 922 KAR 1:470 registry until the resolution of the constitutional issues he presents herein.
MINTON, C.J., ABRAMSON, CUNNINGHAM, NOBLE and SCOTT, JJ., concur. SCHRODER, J., not sitting.
IOWA — Berent v. City of Iowa City, 738 N.W.2d 193, 204 (Iowa 2007) ("The question of whether state courts should entertain facial challenges to ballot measures prior to an election generally raises an issue of judicial propriety, not jurisdiction. It is a question of prudence, not power.");
LOUISIANA — Matherne v. Gray Ins. Co., 661 So.2d 432, 435-36 (La.1995)("Generally, the ripeness doctrine is viewed as being both constitutionally required and judicially prudent.... There is no doubt that this Court has the power and authority to tackle the constitutional issue presented by the district court's ruling. This, however, does not mean that we are required to do so. We are only obligated to rule if the procedural posture of the case and the relief sought by the appellant demands that we do so.");
MONTANA — Reichert v. State ex rel. McCulloch, 365 Mont. 92, 278 P.3d 455, 471-72 (2012) (This limitation on judicial power derives primarily from the Montana Constitution, which limits the courts to deciding only cases and controversies, but also from the courts themselves, which have adopted discretionary limitations on the exercise of judicial power for prudential reasons.)(emphasis added.);
NEBRASKA — See City of Omaha v. City of Elkhorn, 276 Neb. 70, 752 N.W.2d 137, 145 (2008) ("[W]hen making a ripeness determination, a court must consider, as a jurisdictional matter, whether it can act at a certain time and also, as a prudential matter, whether it should act at that time.");
NEW MEXICO — Sanchez v. City of Santa Fe, 82 N.M. 322, 481 P.2d 401, 403 (1971) (One of the "prerequisites of `actual controversy' warranting consideration in a declaratory judgment action [is that] ... the issue involved must be ripe for judicial determination.");
MICHIGAN — Michigan Dept. of Social Services v. Emmanuel Baptist Preschool, 434 Mich. 380, 455 N.W.2d 1, 14 (1990)("The ripeness issue we have addressed is not based upon Article III considerations, but is prudential in nature.");
PENNSYLVANIA — Treski v. Kemper Nat'l Ins. Companies, 449 Pa.Super. 620, 674 A.2d 1106, 1113 (1996) ("The rationale for the ripeness doctrine is to prevent premature adjudications." In deciding whether the doctrine of ripeness bars our consideration of a declaratory judgment action, "[t]he court must consider whether the issues are adequately developed for judicial review and what hardship the parties will suffer if review is delayed.");
RHODE ISLAND — State v. Lead Indus. Ass'n, Inc., 898 A.2d 1234, 1238 (R.I.2006) (citing 1 Laurence H. Tribe, American Constitutional Law, § 3-7, at 313 (3d ed. 2000)) ("Even when a dispute is adequately mature in a constitutional sense, however, subsequent events may sharpen the controversy or remove the need for decision of at least some aspects of the matter. Thus, ripeness doctrine also furthers the prudential policy of judicial restraint from unnecessary decision of constitutional issues' by allowing a determination that a resolution of the dispute should come at a later date,");
TEXAS — Perry v. Del Rio, 66 S.W.3d 239, 249-50 (Tex.2001) ("Ripeness concerns not only whether a court can act — whether it has jurisdiction — but prudentially, whether it should.");
US VIRGIN ISLANDS — Turnbull v. Twenty-Sixth Legislature of the Virgin Islands, 2006 WL 4158729, at 8 (V.I.Super.2006); Virgin Islands Gov't Hosp. and Health Facilities Corp. v. Virgin Islands, 2008 WL 4560751, at 2 (V.I.2008) (The ripeness doctrine, which stems "both from Article III limitations on judicial power and from prudential reasons for refusing to exercise jurisdiction," Reno v. Catholic Social Servs., Inc., 509 U.S. 43, 57, n. 18, 113 S.Ct. 2485, 125 L.Ed.2d 38 (1993), has been recognized and applied by Virgin Islands courts.").