The plaintiff, Donald Lusk, is a resident of the Architectural and Historic District (the “Historic District”) of the Village of Cold Spring, New York (the “Village”). In 2004, he posted various signs on his residential property protesting a real estate development on Cold Spring’s Hudson River waterfront. The Village served Lusk with a “Violation Notice” charging him with six counts of violating various provisions of the Cold Spring Village Code (the “Code”). Lusk then filed a complaint in the United States District Court for the Southern District of New York under 42 U.S.C. § 1983 in which he alleged that the Code provisions violated the First Amendment to the United States Constitution made applicable to the Village through the Fourteenth Amendment. He sought declaratory and injunctive relief, nominal damages, and attorney’s fees.
The district court (Colleen McMahon,
Judge),
in a thoughtful and thorough opinion, granted Lusk’s motion to enjoin the Village from enforcing some of the Code’s challenged provisions, concluding that they were unconstitutional.
See Lusk v. Vill. of Cold Spring,
The Village does not cross-appeal to contest the district court’s judgment insofar as it struck down as unconstitutional several portions of the Code. The sole issue before us, therefore, is whether the district court erred in concluding that Chapter 64 was constitutional. We conclude that although the standards employed by Chapter 64 are constitutionally permissible, the procedures it employs to effect them are not.
BACKGROUND
Lusk’s Violations of the Code
Lusk resides on Main Street in the Historic District. His house is flush against the front sidewalk. There is therefore no front lawn or other space between the house and the sidewalk.
In June 2004, Lusk began placing signs, which appear from pictures of them includ
(1) Two counts of violating Code § 64-5(A), which provides that “[i]t shall be unlawful for any owner or person occupying property located within the [Historic] District to [m]ake, permit or maintain any alteration to any improvement located within the District unless the Historic District Review Board has previously issued a Certificate of Economic Hardship or a Certificate of Appropriateness.”
(2) Two counts of violating Code § 134-9(B), which prohibits the posting of signs without a site-plan review by the Village Planning Board.
(3) Two counts of violating Code § 134-9(G)(1), which provides that “signs are a permitted accessory to an establishment on the same lot.” The Notice alleged that Lusk was in violation of section 134-9(G)(1)(b) because the signs did not qualify as an “accessory” and because the aggregate size of his signs exceeded thirty-two square feet.
On August 2, 2004, the Building Inspector issued a ticket to Lusk requiring him to appear at the Village of Cold Spring Justice Court on August 9, 2004, in order to respond to the alleged violations of the Code. 2 On November 1, 2004, prior to a disposition in the criminal proceedings against him, Lusk filed a complaint in the United States District Court for the Southern District of New York pursuant to 42 U.S.C. §§ 1983 and 1988, in which he sought various forms of declaratory and injunctive relief, nominal damages and attorney’s fees. He alleged that the provisions of the Code he was charged with violating infringed his rights under the First Amendment to the United States Constitution, which are applicable to the Village through the Fourteenth Amendment. He also asserted that Chapter 104 of the Code, which regulates the posting of signs in such public places as utility poles, public streets, and public sidewalks, as applied to his signs, violated the First Amendment. 3
The district court, abstaining from interference with Lusk’s ongoing criminal proceedings,
see Lusk,
The district court first consolidated Lusk’s request for a preliminary injunction with his request for a permanent injunction.
Lusk,
The court also granted Lusk’s motion to enjoin the enforcement of Chapter 134. Id. at 321-24. That provision defines “sign” as “[a]ny device for visual communication that is used for the purpose of bringing the subject thereof to the attention of the public, but not including any flag, badge or insignia of any governmental agency or any civic, charitable, religious, patriotic, fraternal or similar organization.” Id. at 321. Because this definition of “sign” explicitly excludes from its scope some communications based on their content, and because all of Chapter 134’s regulations of signs incorporated that definition, the court concluded that the ordinance was “not content neutral, and for that very reason cannot possibly [have been] the narrowest means to effect [the] compelling governmental interest” in “promoting aesthetics and traffic safety.” Id. at 324, 323. Employing a strict scrutiny analysis, the court held the entire chapter to be unconstitutional. Id. at 324.
The district court concluded, however, that Chapter 64, which purports to regulate the appearance of residential and commercial properties within the Historic District, is constitutional. The court first asked whether Chapter 64 is content neutral, noting that its stated purpose is the “enhancement, perpetuation, preservation and use of improvements of historic, aesthetic, and architectural value” in order to foster “the health, prosperity, safety and welfare of the people of the Village of Cold Spring.” Id. To this end, the Code requires residents seeking to make or maintain an “alteration to any improvement” in the Historic District first to apply for a “Certificate of Economic Hardship” or a “Certificate of Appropriateness” (“COA”) from the Review Board. Code § 64-5(A). The Review Board is required to act on applications within forty-five days of the first formal review by the Review Board. The district court decided that this requirement “applies to all types of alterations and improvements — and hence, to all types of signs.” Id. at 326. The court thus concluded that the regulation was content neutral, triggering only an “intermediate” level of scrutiny. Id.
Under “intermediate scrutiny,” a regulation must be “narrowly tailored to serve a significant government interest, and leave open ample alternative channels of communication.”
Perry Educ. Ass’n v. Perry Local Educators’ Ass’n,
Finally, the court concluded that the regulation leaves open ample alternative
The district court also addressed Lusk’s argument that Chapter 64 gives the Review Board excessive discretion in determining which applications to approve. Chapter 64-7 provides:
Alteration of designated property shall be compatible with its historic character, and with exterior features of neighboring properties. In applying the principle of compatibility, the Review Board shall consider the following factors:
(a) The general design, character and appropriateness to the property of the proposed alteration or new construction;
(b) The scale of proposed alteration or new construction in relation to the property itself, surrounding properties, and the neighborhood;
(c) Texture and materials, and their relation to similar features of the properties in the neighborhood;
(d) Visual compatibility with surrounding properties, including proportion of the property’s front facade, proportion and arrangement of windows and other openings within the facade and roof shape; and
(e) The importance of architectural or other features to the historic significance of the property.
Code § 64-7(A)(2). Chapter 64-7 also provides that the Review Board will be “guided by the [United States] Secretary of the Interior’s Standards for Rehabilitation and Guidelines for Rehabilitating Historic Properties.” Code § 64-7(C).
While acknowledging that the required evaluation is “an inherently subjective enterprise,” the district court nevertheless concluded,
These codified constraints on Board conduct require the Board to make and justify its decisions in conformity with a variety of factors, none of which touches on the content of any message to be imparted by the alteration or improvement. Since consideration of content would be constitutionally impermissible, the fact that the ordinance does not contain a specific prohibition against content consideration does not militate against a finding of constitutionality. I conclude that Chapter 64 does not confer unfettered discretion on the Review Board — far from it — and that plaintiffs challenge to the Chapter on this ground fails as well.
Lusk,
On appeal, Lusk challenges the district court’s ruling with respect to the constitutionality of Chapter 64. As noted, the Village does not appeal the district court’s conclusion that Chapters 104 or 134 of the Code are unconstitutional.
DISCUSSION
I. Standard of Review
Lusk sought both a preliminary and a permanent injunction. We review the grant or denial of a preliminary injunction by a district court for abuse of discretion.
MONY Group, Inc. v. Highfields Capital Mgmt., L.P.,
To obtain a preliminary injunction a party must demonstrate: (1) that [he or she] will be irreparably harmed if an injunction is not granted, and (2) either (a) a likelihood of success on the merits or (b) sufficiently serious questions going to the merits to make them a fair ground for litigation, and a balance of the hardships tipping decidedly in its favor.
Bronx Household of Faith v. Bd. of Educ.,
II. Application of the First Amendment
The First Amendment provides: “Congress shall make no law ... abridging the freedom of speech.... ” U.S. Const. amend. I. Although the language' speaks in terms of what is forbidden to “Congress,” it has, of course, long been established that “the conception of liberty under the due process clause of the Fourteenth Amendment embraces the right of free speech,”
Stromberg v. California,
III. Chapter 64 as a Prior Restraint
Lusk begins his argument on appeal by contending that Chapter 64 constitutes a “prior restraint” on his expression. Appellant’s Br. at 5. The Supreme Court has referred to “[p]rior restraints on speech and publication [as] the most serious and the least tolerable infringement on First Amendment rights.”
Neb. Press Ass’n v. Stuart,
A law requiring prior administrative approval of speech falls within the prior restraint rubric.
5
In
Freedman v. Maryland,
This aversion to what is in effect the licensing of expression has an ancient pedigree. “[M]uch of the special hostility to traditional prior restraints has concerned the context in which they historically operated: one was prohibited from publishing without the approval of a professional censor who usually operated in secret and with great discretion.” Marc A. Franklin
et al., Cases and Materials on Mass Media Law
95 (7th ed. 2005) (“Franklin
et al.”).
The Supreme Court’s seminal decision giving rise to the presumptive invalidity of prior restraints,
Near v. Min. ex. rel. Olson,
Insofar as Chapter 64 is a “system of prior restraints,” then, it may be said to be “presumptively” unconstitutional. But, even so, the question remains whether the ordinance is “an
invalid
prior restraint.”
Thomas,
We conclude, however, contrary to the ruling of the district court, that Chapter 64 is constitutionally invalid. It is one of the typical attributes of prior restraints — that Chapter 64 acts to “freeze” the speech of the plaintiff and others like him who reside in the Historic District and who wish to use signs to convey message, “at least for the time” it takes them to obtain a COA,
see Neb. Press Ass’n,
IV. The Necessity for a License
A City of Ladue and Watchtower Bible
In
City of Ladue v. Gilleo,
The Eighth Circuit struck down the ordinance on First Amendment grounds, concluding that its listed exceptions rendered it a content-based regulation of speech that could not pass muster under “strict scrutiny.”
Gilleo v. City of Ladue,
A unanimous Supreme Court affirmed, but using a different approach. It began by differentiating between “two analytically distinct grounds” for challenging ordinances regulating signs.
7
City of Ladue,
But the
City of Ladue
Court declined to base its decision on underinclusiveness. It explained that if it were to do so, as the Eighth Circuit had, “the City might theoretically remove the defects in its ordinance by simply repealing all of the exemptions.”
City of Ladue,
The Court examined instead whether the regulation prohibits “too much speech.”
City of Ladue,
The purported public purpose of the
City of Ladue
ordinance was the “City’s interest in minimizing the visual clutter associated with signs.”
Id.
at 54,
The Court concluded that the valid purpose of the city’s ordinance did not justify its “almost complete[] foreelos[ure of] a venerable means of communication that is both unique and important.”
Id.
“Residential signs,” the Court explained, “are an unusually cheap and convenient form of communication. Especially for persons of modest means or limited mobility, a yard or window sign may have no practical substitute.”
Id.
at 57,
The
City of Ladue
approach was echoed in
Watchtower Bible & Tract Soc’y of N.Y., Inc. v. Vill. of Stratton,
The Court surveyed the long history of Jehovah’s Witnesses’ challenges to speech regulations, noting that such cases “provide both a historical and analytical backdrop.” Wat
chtower Bible,
While recognizing- the Village of Stratton’s legitimate concern about the prevention of fraud and crime and its legitimate desire to protect its residents’ privacy, the Court concluded that those interests did not justify the regulation, which appeared to apply even to “residents casually soliciting the votes of neighbors, or ringing doorbells to enlist support for employing a more efficient garbage collector.”
Id.
at 165,
Although the Village of Stratton had argued that the registration requirement was purely ministerial and that a request for a permit had never been denied, the Court concluded that “a law requiring a permit to engage in such speech constitutes a dramatic departure from our national heritage and constitutional tradition.”
Id.
at 166,
Thus, under these relatively recent decisions, because of the “particular concern with laws that foreclose an entire medium of expression,”
City of Ladue,
B. Analysis of Chapter 64-7 under City of Ladue
Among the stated purposes of Chapter 64 is to “[s]afeguard the Village of Cold Spring’s historic[,] aesthetic, architectural and cultural heritage.” Code § 64-1(B)(2). The Village asserts that the Supreme Court considers preservation of aesthetic values to be a legitimate government interest.
See Members of the City Council v. Taxpayers for Vincent,
The district court found that the “plaintiff and other residents of the Historic District may ... be free to post signs on their property (as long as they did not ‘affix’ the signs to their ‘improvements’).”
Lusk,
The Village’s aesthetic interests, then, do not justify the scope of the regulations because they “almost completely fore-closet ] a venerable means of communication that is both unique and important,”
City of Ladue,
V. The Standards Established by Chapter 64
We thus conclude that the method by which Chapter 64 standards are to be applied is constitutionally infirm. But the plaintiff would have us go further and hold that the standards themselves, when used as a basis for judging the permissibility of signage, violate the First Amendment on their face. 15 Lusk asks us to declare that the regulation of signs by reference to their “compatib[ility] with [the Historic District’s] historic character, and with exterior features of neighboring properties,” Code § 64(A)(2), is impermissible under the First Amendment. We decline to do so.
Here we depart from the City of Ladue analysis. We are not faced with the validity of the statute’s effective proscription of the “entire medium” of residential signage for an extended period of time. What is now at issue is a challenge to the substantive criteria used by the statute to determine whether an outdoor sign should be permitted on residential property in the Historic District. There is no indication that the requirement of architectural and design compatibility, like the licensing scheme the Village employs to enforce it, necessarily implies the existence of a broad limitation on a unique and important medium of expression. But Lusk argues that, the City of Ladue test aside, the particular standards that the Village ordinance employs, when analyzed as quotidian “time, place and manner” restrictions under intermediate scrutiny, are nonetheless constitutionally impermissible.
Generally, “time, place, and manner restrictions are permitted so long as they [survive intermediate scrutiny, i.e., they] are ‘content neutral,’ ‘narrowly tailored to serve a significant governmental interest, ... leave open ample alternatives for communication,’ and [also if they] do ‘not delegate overly broad licensing discretion’ to government officials.”
Beal,
A government regulation that allows arbitrary application is inherently inconsistent with a valid time, place, and manner regulation because such discretion has the potential for becoming a means of suppressing a particular point of view. To curtail that risk, a law subjecting the exercise of First Amendment freedoms to the prior restraint of a license must contain narrow, objective, and definite standards to guide the licensing authority. The reasoning is simple: If the permit scheme involves appraisal of facts, the exercise of judgment, and the formation of an opinion by the licensing authority, the danger of censorship and of abridgment of our precious First Amendment freedoms is too great to be permitted.
Forsyth County,
Lusk asserts that Chapter 64 fails to meet these criteria.. He argues, in effect, that Chapter 64 is invalid because it does not “set objective standards governing the grant or denial of license applications, [which are necessary] to ensure that [Village] officials [do] not have the ‘power to discriminate based on the content or viewpoint of speech by suppressing disfavored speech or disliked speakers.’ ”
Charette v. Town of Oyster Bay,
As noted, Chapter 64 provides:
Alteration of designated property shall be compatible with its historic character, and with exterior features of neighboring properties. In applying the principle of compatibility, the Review Board shall consider the following factors:
(a) The general design, character and appropriateness to the property of the proposed alteration or new construction;
(b) The scale of proposed alteration or new construction in relation to the property itself, surrounding properties, and the neighborhood;
(c) Texture and materials, and their relation to similar features of the properties in the neighborhood;
(d) Visual compatibility with surrounding properties, including proportion of the property’s front facade, proportion and arrangement of windows and other openings within the facade and roof shape; and
(e)The importance of architectural or other features to the historic significance of the property.
Code § 64-7(A)(2).
While “[i]t is common ground that governments may regulate the physical characteristics of signs,”
City of Ladue,
We think that if Chapter 64 authorizes the review of architecture and design of signage divorced from the signs’ intended content, then Chapter 64-7(A)(2)’s “articulated standards” are both content neutral and sufficiently “narrow” and “definite.”
On the other hand, if under Chapter 64 the Review Board is permitted to decide whether a sign
including its message
meets the chapter’s criteria, we think the ordinance is, as Lusk argues, flawed. A standard requiring or allowing the Board to decide whether the
content of
signs such as Lusk’s is “historically appropriate” is too imprecise to be a meaningful restraint on the exercise of the judgment of the Board’s members. The Code’s yardstick, if employed in this manner, would not act as an effective limitation on the ability of Village officials to base their decision-making, improperly, on the content of the speech they are regulating.
See City of Lakewood,
Happily, we need go no further in our analysis. Principles of statutory construction teach that “where an otherwise acceptable construction of a statute would raise serious constitutional problems, we may construe the statute to avoid such problems unless such construction is plainly contrary to the intent of [the Legislature].”
Field Day, LLC v. County of Suffolk,
To be sure, Chapter 64 may be subject to abuse. One day, someone may complain that a particular exercise of the Review Board’s discretionary authority constitutes an assault upon or threat to his or her First Amendment right to free expression.
Cf. Spence v. Washington,
CONCLUSION
For the foregoing reasons, we reverse the judgment of the district court insofar as it was appealed to us and remand the matter to the court with instructions for it to fashion such relief consistent with this opinion as it deems appropriate.
Notes
.While it is not within this Court's competence to offer either architectural or artistic criticism,
see Tunick v. Safir,
. It is not clear from the record whether any such hearing occurred and, if so, whether Lusk appeared at it.
. Although Lusk was not charged with violating this provision, he asserted that he intended to post signs in support of his future candidacy for mayor and therefore had standing to challenge it.
. The district court’s consolidation of Lusk's request for a preliminary injunction with his request for a permanent injunction,
see Lusk,
. The district court referred to Chapter 64 as a prior restraint.
See Lusk,
. "The common law’s hostility to prior restraints [based on the English licensing practices] did not necessarily extend to injunctions .... Only later, with the expansion of equity jurisdiction and the emergence of injunctive relief as a common remedy, was the concept of prior restraint applied to judicial prohibitions against publication.” Franklin
et al., supra,
at 90. For at least the past half-century, however, the term "prior restraint” has often been associated with court-imposed injunctions on expression, as opposed to legislative licensing schemes such as the one before us here.
See, e.g., Neb. Press Ass’n,
Unlike licensing statutes, an injunction against speech is nearly always unconstitutional.
See, e.g., Pentagon Papers Case,
. Presumably, the Court did not have in mind ordinances for which vagueness was a problem.
. In her concurrence, Justice O'Connor criticized the Court for ignoring the traditional inquiry. "I would have preferred to apply our normal analytical structure in this case, which may well have required us to examine this law with the scrutiny appropriate to content-based regulations.”
City of Ladue,
. This doctrinal shift has been noted by commentators. Professor Post, for example, identified City of Ladue. as a "classic illustration” of an Ordinance "with a neutral and appropriate justification that completely prohibits an important and distinct medium of expression.” Robert Post, Recuperating First Amendment Doctrine, 47 Stan. L.Rev. 1249, 1264 (1995) (internal quotation marks omitted). Because such a regulation would have easily passed intermediate scrutiny, Professor Post maintained, the Court was forced to "twist and evade its own recent doctrinal pronouncements” to reach a result consistent with the purposes of the First Amendment. Id.; see also Wilson R. Huhn, Assessing the Constitutionality of Laws That Are Both Content-Based and Content-Neutral: The Emerging Constitutional Calculus, 79 Ind. L.J. 801, 854 (2004) (surveying several recent Supreme Court First Amendment cases, including Watchtower Bible, and concluding that "whether a law is content-based or content-neutral is increasingly beside the point. Most laws affecting freedom of expression have both content-based and content-neutral elements, and as a result the Supreme Court has begun to replace the categorical approach in freedom of expression cases with a balancing approach.”).
.Chapter 64-5 makes it unlawful for a homeowner to "permit or maintain any alteration to any improvement” in the historic district without the prior approval of the Review Board. The Code defines "alteration” as any “change, construction, reconstruction, repair, covering over or demolition of exterior architectural features of any existing improvement” or the “[c]onstruction or placement of any new improvement on the property. ” Code § 64-2(A) (emphasis added). The Code then defines "improvement” to include "[a]ny building or fixture ... including but not limited to houses, stores, warehouses, churches, schools, barns, fences, outhouses, pumps, gravestones, light fixtures, outdoor signs and other outdoor advertising fixtures.” Code § 64-2(B) (emphasis added). Fences, pumps, and gravestones are rarely "affixed” to a building and yet are explicitly defined as an "improvement” by the ordinance. Thus, it would appear that under these provisions, the "construction” of an "outdoor sign,” whether or not attached to another structure, is indeed an “alteration to any improvement” requiring prior approval by the Review Board.
. The Village stated at oral argument that in its view Chapter 64 would require a resident to secure a COA even before displaying a standard presidential campaign sign inside his or her house window. Tr. of Oral Arg. 21.
. The Village asserts that other means of communication are available because residents may hand out handbills or place advertisements in newspapers. Tr. of Oral Arg. 25. Yet in
City of Ladue,
the Court held that handbills and newspaper advertisements are not adequate substitutes for residential signs.
City of Ladue,
. The Board is required to "act on the application within forty-five (45) days of the first formal review by the Review Board,” Code § 64-7, but the Review Board is only required to hold a regular meeting once a month, Code § 64-4, and nothing in the Code indicates that the Review Board convenes special meetings to act more quickly on COA applications.
. The Village cites
Thomas v. Chicago Park Dist.,
. "[A] facial challenge lies whenever a licensing law gives government official or agency substantial power to discriminate based on the content or viewpoint of speech by suppressing disfavored speech or disliked speakers.”
City of Lakewood,
. Content-neutral criteria for political and other signage that are sufficiently objective and precise, and that permit residents to engage in some form of spontaneous speech, have been held to be constitutionally permissible.
See, e.g., La Tour v. City of Fayetteville,
. In other words, assuming a constitutional system for review, Mr. Lusk could be required to present the form of his signs, but not their content, to the Review Board for its assessment.
