Lead Opinion
Opinion by Judge BOOCHEVER; Dissent by Judge TASHIMA
ORDER
The opinion in the above-entitled case, filed August 29, 2001, and published at
We are aware that California allows federal courts to certify questions of state law to the California Supreme Court. See Cal. R. Ct. 29.5. Mindful of the Supreme Court’s admonition in Arizonans for Official English v. Arizona,520 U.S. 43 , 75-78 [117 S.Ct. 1055 ,137 L.Ed.2d 170 ] (1997), we issued an order in advance of oral argument asking the parties to be prepared to address the following questions: “(1) whether any potentially determinative issue in this case should be certified to the California Supreme Court ...; and (2) if so, the precise formulation of said question(s).” At argument, all parties, including the California Attorney General representing the State Board of Education, agreed that this case presented no questions of state law that should be certified, and, in fact, urged this panel to decide the case without certifying any questions of law to the California Supreme Court.
The numbers of all subsequent footnotes are changed accordingly.
OPINION
Proposition 227, a California ballot initiative entitled “English Language in Public Schools,” codified at California Education Code §§ 300-340, restricts the use
BACKGROUND
On June 2, 1998, California voters approved Proposition 227. The initiative mandates that “all children in California public schools shall be taught English by being taught in English.” Cal. Educ.Code § 305. Unless a parent seeks a waiver pursuant to sections 310 and 311, Proposition 227 requires that “all children be placed in English language classrooms.” Id. § 305. “English language classrooms” are classrooms “in which the language of instruction used by the teaching personnel is overwhelmingly the English language[.]” Id. § 306(b). Students who are “English learners shall be educated through sheltered English immersion during a temporary transition period[.]” Id. § 305. “Sheltered English immersion” is defined as “an English language acquisition process for young children in which nearly all classroom instruction is in English but with the curriculum and presentation designed for children who are learning the language.” Id. § 306(d).
Section 320 is the parental enforcement provision. It states that “all California school children have the right to be provided with an English language public education.” Id. § 320. If a student is denied “the option of an English language instructional curriculum in public school,” the child’s parent or legal guardian has legal standing to sue for enforcement of the statute’s provisions as well as attorneys’ fees and actual damages. Id. Any educator (i.e., school board member, elected official, teacher, or administrator) “who willfully and repeatedly refuses to implement the terms of this statute by providing such an English language educational option” may be held personally hable. Id.
Plaintiffs brought suit under 42 U.S.C. § 1983 against the State Board of Education, et al. (“Defendants”) asserting that the parental enforcement provision of Proposition 227 is unconstitutionally vague
ANALYSIS
1. Vagueness Challenge
Plaintiffs contend that Proposition 227 is unconstitutionally vague in two principal respects.
Second, Plaintiffs argue that Proposition 227 fails to define clearly how much non-English will subject them to personal liability under section 320. For public school students in general, Proposition 227 requires that the language of instruction be “overwhelmingly” the English language. Id. § 306(b). For English learners, Proposition 227 requires that “nearly all” classroom instruction be in English. Id. § 306(d). Plaintiffs argue that the terms “nearly all” and “overwhelmingly” are inherently imprecise words, failing to provide adequate notice of what amount of non-English is permitted under the statute.
A. Scope of Proposition 227
As an initial matter, we must address the scope of Proposition 227, that is, the circumstances under which the language restrictions apply. This determination affects our consideration of whether the initiative implicates First Amendment interests, whether Plaintiffs may challenge the initiative on its face, and which level of vagueness scrutiny guides the analysis. These issues are discussed in subsequent sections.
Plaintiffs argue that Proposition 227 is potentially boundless because it imposes liability based on an educator’s failure to provide an “English language educational option.” Plaintiffs contend that this phrase is so incomprehensible that they can only guess when they must speak in English. Defendants respond that Proposition 227 applies only on the language of “instruction,” i.e., the language teachers use to present the “curriculum” to students in California public schools. We agree.
We recognize that it is solely within the province of the state courts to authoritatively construe state legislation.
With these principles in mind, we turn to the language of the initiative. Section 320 allows aggrieved parents to sue an educator “who willfully and repeatedly refuses to implement the terms of this statute by providing such an English language educational option at an available public school to a California school ehild[.]” An “English language educational option” refers to “the option of an English language instructional curriculum in public school,” a phrase contained in the immediately preceding sentence. The phrase “English language instructional curriculum” is not specifically defined in section 320 or elsewhere in the initiative. However, section 320 indicates that the requirements of an “English language instructional curriculum” are “detailed in Article 2 (commencing with Section 305) and Article 3 (commencing with Section 310).”
Both terms, “instruction” and “curriculum,” are used in Article 2. For example, section 305 requires the placement of English learners in “sheltered English immersion” which is defined as “an English language acquisition process for young children in which nearly all classroom instruction is in English but with the curriculum and presentation designed for children who are learning the language.” Id. § 306(d) (emphasis added). Similarly, section 305 requires the placement of all students in “English language classrooms” which is defined as classrooms where “the language of instruction used by the teaching personnel is overwhelmingly the English language!.]” Id. § 306(b) (emphasis added). It seems plain that section 320’s requirement that educators provide an “English language instructional curriculum” is simply a shorthand reference to the core requirements of Proposition 227 embodied in sections 305 and 306, namely, that educators must use English as the language of “instruction.”
This conclusion is confirmed by the initiative’s overarching mandate which declares that “all children in California public schools shall be taught English by being taught in English.” Id. § 305 (emphasis added). It is also supported by McLaughlin v. State Bd. of Educ.,
We conclude that the plain meaning of Proposition 227 was to guarantee that LEP [limited English proficient] students would receive educational instruction in the English language, and that English immersion programs would be provided to facilitate their transition into English-only classes. Proposition 227 also vests parents of LEP students with the sole right to seek a waiver from the Chapter’s provision requiring English-only instruction for their own children. The Chapter’s language permits no other means by which the program requirements may be waived, and in fact, allows for civil action against school districts, educators, and administrators who fail or refuse to provide English-only instruction (§ 320).
Id. at 298 (emphasis added). The court also summarized section 320 as affording “parents a right to sue if their child or children are not provided English-only instruction.” Id. at 301 (emphasis added).
In light of the plain language and purpose of Proposition 227, and the California Court of Appeal’s reading of the same, we must reject Plaintiffs’ contention that the scope of the initiative is potentially limitless. We conclude that, under the traditional tools of statutory construction, the language restrictions of Proposition 227 apply only to the language of instruction, ie., the language teachers use to present the curriculum to students in California public schools. At the very least, the initiative is “readily susceptible” to this construction. See American Booksellers,
B. First Amendment Protection
Defendants argue that the speech by which teachers present the curriculum to students (hereinafter referred to as “instructional speech”) is excluded from the protection of the First Amendment.
We need not resolve this controversy, however, to decide the merits of this appeal. Instead, we may assume arguendo that the instructional speech covered by Proposition 227 receives some First Amendment protection. Specifically, we will assume that regulations of such speech are subject to the test articulated in Hazel
Two conclusions flow from our assumption that instructional speech receives First Amendment protection under the Hazehvood standard.' First, Plaintiffs may properly challenge section 320 of Proposition 227 on its face, as opposed to simply as applied. In the First Amendment context, facial vagueness challenges are appropriate if the statute clearly implicates free speech rights. Foti v. City of Menlo Park,
Defendants argue that, even if the Hazelwood test applies, Proposition 227 is not subject to heightened vagueness scrutiny because the instructional speech it regulates and chills is not “protected” by the First Amendment. Such speech is not “protected,” according to Defendants, because it could be banned completely under a broader, more precise law without violating the First Amendment’s Hazelwood test. We disagree. Whether Defendants’ hypothetical, complete ban would pass the Hazelwood test does not determine whether Proposition 227 is subject to heightened vagueness scrutiny. It is determinative that the initiative must answer to the Hazelwood test in the first place. To trigger heightened vagueness scrutiny, it is sufficient that the challenged statute regulates and potentially chills speech which, in the absence of any regulation, receives some First Amendment protection. See Cohen,
C. Application of Vagueness Doctrine
Vague statutes are objectionable for three primary reasons. First, they trap the innocent by not providing fair warning. Second, they impermissibly delegate basic policy matters to lower level officials for resolution on an ad hoc and subjective basis, with the attendant dangers of arbitrary and discriminatory application. Third, when vague statutes involve sensitive areas of First Amendment freedoms, they operate to inhibit the exercise of those freedoms. Gmyned,
Nevertheless, perfect clarity is not required even when a law regulates protected speech. Ward v. Rock Against Racism,
A statute’s vagueness exceeds constitutional limits if its “deterrent effect on legitimate expression is ... both real and substantial, and if the statute is [not] readily subject to a narrowing construction by the state courts[.]” Young v. American Mini Theatres, Inc.,
Plaintiffs argue that they are uncertain when they are required to speak in English because Proposition 227 uses varied, undefined, and conflicting terms to delineate its scope. As indicated above, we have concluded that the restrictions of Proposition 227 apply to the language of instruction, i.e., the language teachers use to present the curriculum to students in California public schools. Nevertheless, Plaintiffs contend that this construction still fails to give Plaintiffs sufficient notice of when the language restrictions apply. Specifically, they argue that it is unclear whether teachers must speak English when disciplining students, supervising students on the playground, informing students about safety concerns, taking students on field trips, tutoring students individually, discussing informal matters with students in class, or discussing informal matters with students outside of class. One plaintiff teacher also expressed confusion whether Proposition 227 precluded her from recommending that parents exercise their option under the initiative to place their children in bilingual classes.
In the context of this facial challenge, we decline to identify all the specific instances in which a teacher may or may not be providing “instruction” or presenting the “curriculum.” It is sufficient to note that “instruction” and “curriculum” are words of common understanding, see Grayned,
Undoubtedly, there will be situations at the margins where it is not clear whether a teacher is providing instruction and presenting the curriculum. In these situations, where legitimate uncertainty exists, teachers may feel compelled to speak in English and may forgo some amount of legitimate, non-English speech. The touchstone of a facial vagueness challenge in the First Amendment context, however, is not whether some amount of legitimate speech will be chilled; it is whether a substantial amount of legitimate speech will be chilled. See Young,
Plaintiffs contend that the uncertainty about which activities are covered by Proposition 227 is compounded by the uncertainty about how much non-English is permitted during these activities. The initiative requires that teachers present the curriculum “overwhelmingly” in English or “nearly all” in English. Cal. Educ.Code § 306(b) and (d). Plaintiffs argue that these terms are too vague to give them sufficient notice of how much English they must speak to avoid liability.
The terms “overwhelmingly” and “nearly all,” like “curriculum” and “instruction,” are terms of common understanding. Although they are not readily translated into a mathematical percentage, the First Amendment does not require them to be. See Grayned,
Here, it is unlikely that the ambiguity in the terms “overwhelmingly” and “nearly all” will chill any more than a negligible amount of non-English speech. Plaintiffs admit that, “Realistically, educators do not have the option to speak to students exclusively in English” because they have an affirmative obligation to effectively impart knowledge to students and because some school districts require educators to use some non-English. This means that, despite any vagueness inherent in the terms “overwhelmingly” and “nearly all,” it is highly unlikely that educators will restrict themselves to speaking English only. Instead, by Plaintiffs’ own account, educators will continue to use some amount of non-English. In light of these circumstances, we have no reason to believe that any chilling effect caused by the above terms will be more than negligible. Cf. Bates v. State Bar of Arizona,
Moreover, even if some teachers, out of fear of liability, would limit their instructional speech to English only, it is unlikely
In addition, these terms seem no more vague than other statutory terms which have survived facial vagueness challenges under the First Amendment. For example, in Young, the plaintiffs challenged a zoning ordinance restricting the location of adult theaters. By its terms, the ordinance only applied to theaters presenting material “characterized by an emphasis” on specified sexual activities.
Similarly, in Gmyned, the Supreme Court rejected a facial vagueness challenge to a city ordinance prohibiting any “diversion which disturbs or tends to disturb the peace or good order of such school session or class.”
Numerous other statutes have withstood facial vagueness challenges even though they contained language arguably more ambiguous than that contained in Proposition 227. See, e.g., Hill,
Furthermore, in analyzing whether a statute’s vagueness impermissibly chills First Amendment expression, it is necessary to consider the context in which the statute operates. See Hoffman Estates,
Here, in the context of curriculum presentation, it is the state’s pedagogical interests that take clear precedence over the teachers’ First Amendment interests. This is true, even given our assumption that teachers’ instructional speech receives First Amendment protection under the Hazelwood standard. To pass constitutional scrutiny under Hazelwood, a restriction on a teacher’s instructional speech need only be “reasonably related to legitimate pedagogical concerns.”
Finally, any vagueness regarding Proposition 227 is mitigated by the section 320’s scienter requirement. “[T]he Court has recognized that a scienter requirement may mitigate a law’s vagueness, especially with respect to the adequacy of notice to the complainant that his conduct is proscribed.” Hoffman Estates,
We take heed of the Supreme Court’s admonition: “Facial invalidation is, manifestly, strong medicine that has been employed by the Court sparingly and only as a last resort.” National Endowment for the Arts v. Finley,
The judgment of the district court is AFFIRMED.
Notes
. The full text of section 320, entitled "Legal Standing and Parental Enforcement,” reads as follows:
As detailed in Article 2 (commencing with Section 305) and Article 3 (commencing with Section 310), all California school children have the right to be provided with an English language public education. If a California school child has been denied the option of an English language instructional curriculum in public school, the child's parent or legal guardian shall have legal standing to sue for enforcement of the provisions of this statute, and if successful shall be awarded normal and customary attorney’s fees and actual damages, but not punitive or consequential damages. Any school board member or other elected official or public school teacher or administrator who willfully and repeatedly refuses to implement the terms of this statute by providing such an English language educational option at an available public school to a California school child may be held personally liable for fees and actual damages by the child’s parents or legal guardian.
. The First Amendment prohibits Congress from making any law “abridging the freedom of speech.” The Fourteenth Amendment prohibits any state from depriving "any person of life, liberty, or property, without due process of law.”
. Although Plaintiffs seek to invalidate section 320 only, some of the statutory terms targeted in their vagueness challenge are not used in section 320, but instead appear elsewhere in the statute. For this reason, we discuss Plaintiffs' arguments with reference to Proposition 227 in general, while keeping in mind that Plaintiffs do not seek invalidation of the entire statute.
.We are aware that California allows federal courts to certify questions of state law to the California Supreme Court. See Cal. R. Ct. 29.5. Mindful of the Supreme Court's admonition in Arizonans for Official English v. Arizona,
. We note that Defendants make no First Amendment argument based on the fact that Proposition 227 restricts a teacher’s choice of language. That is, Defendants essentially concede that Proposition 227's restrictions on the use of non-English are restrictions on speech alone, not expressive conduct. Cf. Yniguez v. Arizonans for Official English,
. The circuit courts essentially have employed three different tests to analyze the free speech rights of teachers. The first is the Hazelwood test discussed above, which was developed in the context of a student's speech. Several cases have applied this test to a teacher's instructional speech. See, e.g., Vanderhurst v. Colorado Mountain Coll. Dist.,
The second test developed from Pickering v. Bd. of Educ.,
The third test developed from Rust v. Sullivan,
. For the same reason, Plaintiffs need not demonstrate that Proposition 227 is imper-missibly vague in all of its applications to succeed on their challenge. "In a facial vagueness challenge, the ordinance need not be vague in all applications if it reaches a substantial amount of constitutionally protected conduct.” Nunez,
. Plaintiffs do not suggest that foreign language classes {i.e., classes designed to teach students how to speak languages other than English) are subject to Proposition 227. They apparently assume, as do we, that the purpose of the statute, as well as common sense, dictate that such classes need not be taught in English.
.Plaintiffs argue that the vagueness of Proposition 227 works a particular hardship on them because they do not have the luxury of speaking only English to ensure they avoid liability under section 320. Plaintiffs contend that, because educators must effectively impart knowledge to English learners and some school districts specifically require the use of a certain amount of non-English, educators have no safe harbor for protection against the vague reach of the initiative. Although we sympathize with Plaintiffs' concern, we do not believe it is sufficient to justify the facial invalidation of a statute which otherwise threatens to chill only a small amount of minimally-protected speech and whose potential vagueness is mitigated by a high scienter requirement.
. In view of our decision, we decline to address Defendants’ alternative grounds for affirming the district court’s decision.
. Nothing, of course, in this decision precludes an educator from bringing a vagueness challenge to section 320 in particular, or to Proposition 227 in general, on an as-applied basis.
Dissenting Opinion
dissenting:
The parental enforcement provision of Proposition 227 allows parents to sue California’s public school teachers for money damages for their use of non-English
“First Amendment rights, applied in light of the special characteristics of the school environment, are available to teachers and students. It can hardly be argued that either students or teachers shed their constitutional rights to freedom of speech or expression at the schoolhouse gate.” Tinker v. Des Moines Indep. Sch. Dist.,
As an initial matter, the majority construes the scope of Proposition 227’s language restrictions, and hence the basis for the potential liability of educators, as limited “to the language of instruction, i.e., the language teachers use to present the curriculum to students in California public schools.” Maj. op. at 1151. Assuming that it is sufficient simply to note that “instruction” and “curriculum” are “words of common understanding,” the majority then asserts that such an interpretation would include the teaching of academic lessons, but not other forms of interaction between teachers and their students. Maj. op. at 1151-52. Yet these terms have been recognized as having a far broader meaning than the majority is willing to recognize by none other than the United States Supreme Court itself:
The question whether the First Amendment requires a school to tolerate particular student speech — the question we addressed in Tinker — is different from the question whether the First Amendment requires a school affirmatively to promote particular student speech. The former question addresses educators’ ability to silence a student’s personal expression that happens to occur on the school premises. The latter question concerns educators’ authority over school-sponsored publications, theatrical productions, and other expressive activities that students, parents, and members of the public might reasonably perceive to bear the imprimatur of the school. These activities may fairly be characterized as pari of the school curriculum, whether or not they occur in a traditional classroom setting, so long as they are supervised by faculty members and designed to impart particular knowledge or skills to student participants and audiences.
Hazelwood,
Thus, while the term “curriculum” has been construed broadly for purposes of defining the authority of the state to regulate school-sponsored expression that could reasonably bear the imprimatur of the school, when it comes to saving this ambiguously worded restriction on the use of non-English by teachers the majority asserts that the provision is readily susceptible to a narrowing construction that is contrary to the Supreme Court’s own understanding. Nor, as the majority concedes, can this court authoritatively construe the enforcement provision and give it a narrowing construction, which is a mat
Even assuming that the scope of Proposition 227 is readily susceptible to some narrowing construction that would make it sufficiently clear to survive strict vagueness scrutiny as to when the use of non-English is restricted, I cannot agree that terms such as “overwhelmingly” and “nearly all” provide teachers with ample certainty as to how much non-English could expose them to personal liability. The majority states that although terms such as these “are not readily translated into a mathematical percentage, the First Amendment does not require them to be.” Maj. op. at 1152. I agree. We should not ignore, however, as the majority does, the fact that individual school districts have interpreted these terms as requiring anywhere between 60 and 90 percent English.
The majority then contends that because teachers have an affirmative obligation to impart knowledge to their students and because they may even be required to use non-English in certain situations by their employing school districts, “it is highly unlikely that educators will restrict themselves to speaking English only.” Maj. op. at 1152. The majority is apparently oblivious to the dilemma in which this places teachers of either fulfilling their legal and professional duties and exposing themselves to liability, or ignoring their teaching obligations in order to steer clear of a vague restriction on the amount of non-English that is permitted. Cf. Baggett v. Bullitt,
Moreover, contrary to the assertion of the majority, the amount of non-English foregone by teachers fearing liability is not negligible. Assuming the terms “nearly all” and “overwhelmingly” could be interpreted, as the facts show they have been, to require anywhere between 60 and 90 percent English, then the amount of chilled non-English could very well represent between 10 and 40 percent of expression by teachers. Surely, by any measure, this amount of deterred expression constitutes a sufficiently real and substantial chilling effect of a substantial amount of legitimate speech for the purpose of strict vagueness scrutiny.
The majority suggests that any vagueness is ameliorated by the inclusion of a scienter requirement. However, “[a] scienter requirement cannot eliminate vagueness ... if it is satisfied by an ‘intent’ to do something that is in itself ambiguous.” Nova Records, Inc. v. Sendak,
Despite the majority’s hyperbole, plaintiff teachers need not establish that the terms of Proposition 227 are “unfathomable,” “boundless,” or “incomprehensible.” Notably, not even appellees have argued that the terms “nearly all” and “overwhelmingly” would survive the strict vagueness scrutiny that the First Amendment commands.
. I use the term "non-English” as a shorthand expression to mean any and all languages, e.g., Spanish and Vietnamese, other than the English language.
. The majority contends that its construction is supported by an intermediate state appellate court decision, McLaughlin v. State Bd. of Educ.,
. The broad scope of circumstances under which a teacher might be sued for using non-English is further underscored by the vague and encompassing variety of alternative phrases employed within the text of the enforcement provision itself: "English language public education,” "English language instructional curriculum,” and "English language educational option.” See Cal. Educ.Code § 320. Even if, as the majority asserts, the use of these terms "is simply a shorthand to the core requirements of Proposition 227 embodied in sections 305 and 306,” majority op. at 1147, those sections do not lend themselves to the construction adopted by the majority. Section 306(d), for example, in defining "sheltered English immersion,” specifically distinguishes between "classroom instruction” and "curriculum and presentation.” Moreover, despite the majority's effort to cabin the potential scope of teacher liability under § 320, it is interesting to note that appellees themselves disagreed below as to the scope of the provision's requirements. Defendant State Board of Education and its members insisted that the language restriction applied to "only classroom communication, and more specifically classroom instruction,” whereas Interve-nor Ron Unz, the sponsor of Proposition 227, contended that "[t]here is no reason (as the SBE suggests) to limit the applicability of Section 320 to the classroom.” Confusion of this sort is a further indication that teachers will continue to remain uncertain of when such language restrictions apply.
.See Louis Sahagun, Responses to Prop. 227 All Over the Map, Los Angeles Times, September 2, 1998, at B2, available at
. These concerns are not hypothetical. For example, the declarations of the plaintiff
. The State Board of Education has the authority to promulgate regulations clarifying when and how much non-English is permissible for the benefit of all concerned-parents, as well as school officials and teachers. Under state law, it has the authority to "adopt rules and regulations not inconsistent with the laws of this state ... for the government of ... elementary schools ... and ... secondary schools ... of the state.” Cal. Educ.Code § 33031. In fact, the State Board of Education has promulgated regulations clarifying other aspects of Proposition 227, such as the terms "a good working knowledge of English” and "reasonable fluency in English” from §§ 305 and 306. See Cal.Code Regs. tit. 5, §11301. It has not seen fit, however, to provide a uniform standard establishing when and how much English is required under Proposition 227 to avoid personal liability.
. In fact, appellees readily concede that “[r]esolution of this issue will turn largely on the Court's choice of the proper standard of vagueness scrutiny to be applied to the statute.” Appellees contend that ordinary due process scrutiny is all that is required because no protected First Amendment interests are at stake. The majority rejects that analytical premise, but nonetheless upholds the provision.
