FREE SPEECH COALITION, INC.; D.S. DAWSON; JOHN DOE; DEEP CONNECTION TECHNOLOGIES, INC.; CHARYN PFEUFFER; JFF PUBLICATIONS, LLC, Plaintiffs - Appellants, v. JESS L. ANDERSON, in his official capacity as the Commissioner of the Utah Department of Public Safety; SEAN D. REYES, in his official capacity as the Attorney General of the State of Utah, Defendants - Appellees.
No. 23-4104
UNITED STATES COURT OF APPEALS FOR THE TENTH CIRCUIT
October 1, 2024
PUBLISH
Appeal from the United States District Court for the District of Utah (D.C. No. 2:23-CV-00287-TS)
Jeffrey Keith Sandman of Webb Daniel Friedlander LLP, New Orleans, Louisiana (D. Gill Sperlein of Law Offices of D. Gill Sperlein, San Francisco, California, and Jerome Mooney of Weston, Garrou & Mooney, Salt Lake City, Utah, with him on the briefs), for Plaintiffs-Appellants.
Sarah Goldberg, Assistant Solicitor General (David N. Wolf and Lance Sorenson, Assistant Attorneys General, with her on the brief), Salt Lake City, Utah, for Defendants-Appellees.
Before PHILLIPS, MORITZ, and EID, Circuit Judges.
In this action, plaintiffs Free Speech Coalition, Inc., D.S. Dawson, John Doe, Deep Connection Technologies, Inc., Charyn Pfeuffer, and JFF Publications, LLC seek to prevent defendants—the Attorney General of Utah and the Commissioner of the Utah Department of Public Safety—from enforcing Utah‘s recently enacted Online Pornography Viewing Age Requirements (the Act), 2023 Utah Laws Ch. 262 (codified at
Background
The Act requires certain commercial entities to verify the age of users seeking to access “material harmful to minors” online.1 See
According to plaintiffs’ complaint,3 the Act violates their First Amendment free-speech rights by imposing a content-based restriction on protected speech that fails strict scrutiny. Plaintiffs additionally claim, among other things, that the Act
They also seek preliminary and permanent injunctive relief preventing the Commissioner and the Attorney General from enforcing the Act. As to the Commissioner, plaintiffs allege that he enforces the Act through his oversight of a department that manages Utah‘s Mobile Driver‘s License program (mDL program), which provides an official copy of an individual‘s driver‘s license or identification card to their mobile device. See
Defendants moved to dismiss, arguing that they are protected by Eleventh Amendment immunity and that the Ex parte Young exception to that immunity does not apply because they do not enforce the Act. The district court agreed with
Analysis
We review a district court‘s Eleventh Amendment analysis de novo. See Hennessey v. Univ. of Kan. Hosp. Auth., 53 F.4th 516, 527 (10th Cir. 2022). “The Eleventh Amendment constitutionalizes the doctrine of state sovereign immunity.” Hendrickson v. AFSCME Council 18, 992 F.3d 950, 965 (10th Cir. 2021). It states that “[t]he [j]udicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by [c]itizens of another [s]tate, or by [c]itizens or [s]ubjects of any [f]oreign [s]tate.”
But Ex parte Young created an exception under which individuals can sue state officers in their official capacities if the lawsuit seeks prospective relief for an ongoing violation of federal law. 209 U.S. at 159-60; see also Hendrickson, 992 F.3d at 965. To come within this exception, the “state official ‘must have some connection with the enforcement’ of the challenged statute.” Hendrickson, 992 F.3d at 965 (quoting Ex parte Young, 209 U.S. at 157). Though the official need not “have a ‘special connection’ to the unconstitutional act or conduct,” they must “have a particular duty to ‘enforce’ the statute in question and a demonstrated willingness to exercise that duty.” Prairie Band Potawatomi Nation v. Wagnon, 476 F.3d 818, 828 (10th Cir. 2007) (quoting Ex parte Young, 209 U.S. at 157). An official enforces a law when they “clearly . . . assisted or currently assist in giving effect to the [contested] law.” Id. (footnote omitted); see also id. at 828 n.15 (noting that “‘[t]o give effect’ is the definition of ‘enforce‘” (quoting Webster‘s Third New International Dictionary 751 (1986))).
Here, the district court concluded that even though plaintiffs seek prospective relief for an alleged ongoing violation of federal law, neither defendant enforced or gave effect to the allegedly unconstitutional Act for purposes of the Ex parte Young exception. Plaintiffs dispute this ruling, and we consider application of the exception to each defendant in turn.
I. The Commissioner of the Utah Department of Public Safety
Although plaintiffs alleged and argued that the Commissioner enforced the Act
On appeal, plaintiffs reassert their position that the Commissioner is sufficiently connected to the Act because he oversees the mDL program, which plaintiffs describe as the “only [s]tate-assured ‘reasonable age[-]verification method’ compliant with the Act.” Aplt. Br. 13 (quoting
Resisting this conclusion, plaintiffs argue that our decision in Prairie Band, 476 F.3d 818, supports their position that the Commissioner‘s oversight of the mDL program gives effect to the Act. There, an Indian tribe in Kansas sued the state‘s Director of Vehicles and Superintendent of the Highway Patrol to prevent the
Plaintiffs maintain that, just as the director and superintendent gave effect to the Kansas registration statute in Prairie Band, “the Commissioner ‘give[s] effect’ to the . . . Act by . . . providing a critical channel for constitutionally[] [p]rotected speech.” Aplt. Br. 15. We disagree. Like the district court reasoned, the Commissioner‘s authority over the mDL program is far more attenuated than the enforcement connections in Prairie Band. There, the director managed registrations and had express authority to deny the validity of tribal vehicle registrations for purposes of reciprocity; and the superintendent enforced violations of the registration law by issuing tickets. See Prairie Band, 476 F.3d at 828. But here, the Commissioner‘s authority over the mDL program does not give similar effect to the Act. To begin with, the mDL program is not required to and does not currently
But we do find analogous facts and persuasive authority in Peterson, 707 F.3d 1197. There, a plaintiff sued the Director of Colorado Public Safety to challenge a statute that limited concealed handgun licenses to Colorado state residents and residents of states with established reciprocity. Id. at 1202. Because the statute expressly delegated enforcement responsibility to sheriffs, we held that Ex parte Young did not exempt the director from Eleventh Amendment immunity. Id. at 1206-07. In so doing, we rejected the plaintiff‘s argument that the director‘s maintenance of a database of the states with reciprocity provided the requisite connection. Id. at 1206. In particular, we explained that “maintenance of a database may provide a
II. The Attorney General
Plaintiffs invoke the Attorney General‘s blanket authority over state law as the requisite connection to the Act. The district court disagreed, concluding that the Attorney General lacked the requisite connection because the Act expressly places enforcement authority in the hands of private citizens: “[a] commercial entity that is found to have violated this section shall be liable to an individual for damages.”
On appeal, plaintiffs maintain that even though the Act includes only a private right of action, the Attorney General is nevertheless excepted from immunity based on his general legal authority in the state of Utah. Yet the Supreme Court identified
Consistent with this guidance, we have explicitly held that Ex parte Young requires something “more than a mere general duty to enforce the law.” Hendrickson, 992 F.3d at 965 (quoting 13 Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 3524.3 (3d ed. Oct. 2020 update)). In Hendrickson, the plaintiff worked for the state and sought a declaration that a New Mexico statute authorizing a public-sector union to serve as his exclusive bargaining representative violated his First Amendment rights. Id. at 956. Among other defendants, the plaintiff sued New Mexico‘s governor and attorney general, arguing that both officials enforced the relevant statute. Id. Relying on Chamber of Commerce of the United States v. Edmondson, 594 F.3d 742 (10th Cir. 2010), we concluded that the governor and attorney general did not fall within the Ex parte Young exception because their only connection to the challenged statute—which placed enforcement authority in an
Just as the statute in Hendrickson vested enforcement authority in an independent board, the statute here places enforcement authority with private individuals. See Hendrickson, 992 F.3d at 960; cf. Edmondson, 594 F.3d at 754.9 Additionally, just as the governor in Hendrickson lacked the authority to remove members of that independent board at will, the Attorney General here lacks any power to direct the actions of private actors or prevent them from seeking enforcement of the Act. See Hendrickson, 992 F.3d at 966.
Resisting this authority, plaintiffs rely on Petrella v. Brownback, 697 F.3d 1285 (10th Cir. 2012). There, the plaintiffs challenged a Kansas law restricting the allocation of local property taxes to local school districts and named Kansas‘s attorney general as a defendant. Id. at 1291. We noted that “the proper vehicle for challenging the constitutionality of a state statute, where only prospective,
Plaintiffs maintain that the Attorney General in this case similarly falls within the Ex parte Young exception based on his general responsibility for enforcing Utah state laws. But crucially, the statute at issue in Petrella did not include any particular enforcement provisions, meaning that the ability to enforce it was necessarily encompassed by the attorney general‘s overall enforcement authority. Id. (citing
The Supreme Court‘s recent ruling in Whole Woman‘s Health, 595 U.S. 30, only fortifies our precedent. There, in relevant part, the Court held that a state attorney general could not be sued in a pre-enforcement challenge to an abortion regulation that placed enforcement authority in the hands of private parties. The Court emphasized that in such context, the attorney general possessed no “enforcement authority . . . that a federal court might enjoin him from exercising.” Id. at 43. Plaintiffs unsuccessfully seek to distinguish Whole Woman‘s Health by
Finally, plaintiffs argue that even if the Attorney General is not bound to enforce the Act by his general legal duties, he is nevertheless a proper defendant under Ex parte Young because
In sum, the Attorney General does not enforce or give effect to the Act and thus cannot be named as a defendant in this case under the Ex parte Young exception to Eleventh Amendment immunity. And because both defendants are immune from suit, we affirm the district court‘s dismissal order without reaching the issues of ripeness and constitutional standing.
Conclusion
The state sovereign immunity enshrined in the Eleventh Amendment confers immunity on the Attorney General and the Commissioner in their official capacities, and because neither official enforces or gives effect to the Act, the Ex parte Young exception to that immunity does not apply. We therefore affirm the district court‘s order dismissing plaintiffs’ complaint.
PHILLIPS, J., dissenting in part.
I agree with the majority that the Utah Attorney General lacks a sufficient connection to the enforcement of
I. The Commissioner may be sued under Ex parte Young.
As I see it, the Commissioner has a sufficient connection with SB 287‘s enforcement to be sued under Ex parte Young‘s exception to sovereign immunity. In Ex parte Young, the Court clarified that a state “officer must have some connection with the enforcement of the [challenged] act” to be exempt from sovereign immunity. 209 U.S. 123, 157 (1908). In this circuit, to “enforce” a law means “[t]o give effect” to it, so though a state actor may “not [be] specifically empowered to ensure compliance with the statute at issue,” that state actor is a proper defendant if he or she “assist[s] . . . in giving effect to the law.” Prairie Band Potawatomi Nation v. Wagnon, 476 F.3d 818, 828 & n.15 (10th Cir. 2007). So under Prairie Band, “giving effect to” a statute does
Here, the Commissioner gives effect to SB 287 through his oversight of the mDL program, which, pursuant to Utah‘s Driver Licensing Act, directs the Driver License Division to “establish a process and system for an individual to obtain an electronic license certificate or identification card.”
Though
a data file available on any mobile device which has connectivity to the Internet through a state-approved application that allows the mobile device to download the data file from a state agency or an authorized agent of a state agency that contains all of the data elements visible on the face and back of a license or identification card and displays the current status of the license or identification card.
The Defendants assert that the Plaintiffs have two other methods by which to comply with SB 287. But the Plaintiffs respond that the other two methods are impossible or pose unacceptable risks of noncompliance.1 The
In their complaint, the Plaintiffs allege that the third option under subsection (c) is too vague to implement: “The statutory catch-all permitting ‘any commercially reasonable method that relies on public or private
- use of a digitized information card as defined in this section;
- verification through an independent, third-party age verification service that compares the personal information entered by the individual who is seeking access to the material that is available from a commercially available database, or aggregate of databases, that is regularly used by government agencies and businesses for the purpose of age and identity verification; or
- any commercially reasonable method that relies on public or private transactional data to verify the age of the person attempting to access the material.
The Plaintiffs further allege that some websites have shut down service in Utah because of SB 287, and that other sites are inaccessible because there is no viable age-verification method available to allow viewers to access those sites. See, e.g., id. at 15 ¶ 13 (“PornHub has shut down access to Utahns, [and so] Dawson has been unable to access his own account . . . .“); id. at 16 ¶ 14 (“[B]ecause Utah‘s only digital identification card does not offer online verification capabilities,” Plaintiff John Doe, an attorney, “has no way to access [his client‘s] sites at all.“). If the other two methods were workable, the operators of websites like Pornhub would likely have found a way to comply with SB 287.
What‘s more, other evidence in the record supports the complaint‘s allegations about the lack of workability of subsections (b) and (c): Addressing
Given the vagueness of and technical difficulties with subsections (b) and (c), the Commissioner‘s connection to SB 287‘s enforcement through the mDL program referenced in subsection (a) becomes more obvious. As I see it, because the Commissioner oversees the mDL program—the only state-approved compliance mechanism available to the Plaintiffs—he has a sufficient nexus with SB 287‘s enforcement to be a proper defendant under Ex parte Young.
The majority puts much weight on the independence of the mDL program from SB 287. But contrary to what the majority suggests, it does not matter that “the Act and the mDL program exist in parallel,” that “neither depends on the
More recently, in Whole Woman‘s Health v. Jackson, the Court concluded that several medical licensing-board officials had a sufficient connection with a state law providing for an exclusively private right of action against abortion providers (SB 8), even though those officials were appointed under a different, independent, and pre-existing part of Texas‘s code than SB 8. 595 U.S. 30, 35, 45–46 (2021). Those licensing-board defendants certainly did not depend on a newly added section of the Health and Safety Code (SB 8) for their longstanding disciplinary role under the Occupations Code, nor did SB 8‘s private civil enforcement mechanism depend on the licensing-board defendants. See id. Yet the Court found that they met Ex parte Young‘s exception because “[e]ach of these individuals is an executive licensing official who may or must take enforcement actions against the petitioners if they violate the terms of Texas‘s Health and Safety Code, including S. B. 8.” Id. (emphasis added). In the Court‘s view, then, at least some of the licensing officials’ duties to enforce SB 8 were discretionary, yet the Court still found a sufficient connection for them to be proper defendants under Ex parte Young.
Another sticking point for the majority (and the district court) is the mDL program‘s current lack of online functionality, which it finds contraindicative of a connection between the Commissioner and SB 287‘s enforcement: “[C]ritically, the mDL program does not currently provide for online age verification and thus could not possibly give effect to the Act in its current state, regardless of its potential relevance.” Maj. Op. at 7; Free Speech Coal. v. Anderson, 685 F. Supp. 3d 1299, 1305 (D. Utah 2023) (“Further, as noted, the mDL program‘s online verification is not currently operative. Its functionality is currently limited to an in-person scan. As such, it can hardly be said that Commissioner Anderson clearly has assisted or currently assists in giving S.B. 287 effect.“).
I don‘t think that is the law. To me, if a state-run program that functions as intended “gives effect” to another law by providing the only state-approved mechanism by which to comply with that other law, then by virtue of its existence and its scope it “gives effect” to that law, regardless of whether it currently functions as intended.
So I respectfully disagree with the majority and would hold that by overseeing the only state-approved compliance mechanism in the statute, the Commissioner has a sufficient connection to SB 287‘s enforcement to be sued under Ex parte Young‘s exception to sovereign immunity.
II. The Plaintiffs have Article III standing.
The majority does not reach the Defendants’ standing and ripeness arguments because it resolves the case on sovereign-immunity grounds. Because I would reverse, I briefly address standing and ripeness.
To establish Article III standing, “a plaintiff must demonstrate (i) that she has suffered or likely will suffer an injury in fact, (ii) that the injury likely was caused or will be caused by the defendant, and (iii) that the injury likely would be redressed by the requested judicial relief.” Food & Drug Admin. v. All. for Hippocratic Med., 602 U.S. 367, 380 (2024). Related to those standing elements, we also review “whether a claim is ripe for review.” United States v. Vaquera-Juanes, 638 F.3d 734, 736 (10th Cir. 2011) (quoting New Mexicans for Bill Richardson v. Gonzales, 64 F.3d 1495, 1498–99 (10th Cir. 1995)).
A. Injury
On appeal, the Defendants do not challenge that the Plaintiffs have suffered injury, nor did the district court hold otherwise, and so I focus on the causation and redressability aspects of standing. But the causation and redressability prongs of the standing inquiry require us to parse the connection between the Commissioner and the Plaintiffs’ injuries; so we first need to understand the injuries the Plaintiffs have suffered (and will suffer) so we can assess what caused them and how they may be redressed.
The Plaintiffs comprise FSC and several different individuals and entities. FSC “sues on its own behalf and on behalf of its members,” who are
Another plaintiff, John Doe, is a Utah-based attorney who “represents various adult bookstores and sexual device manufacturers, which requires that he occasionally visit websites that contain a substantial portion of material that may be deemed ‘harmful to minors’ under the Act.” Id. at 16 ¶ 14. “[B]ecause Utah‘s only digital identification card does not offer online verification capabilities, he currently has no way to access those sites at all.” Id.
Another plaintiff provides “a judgment-free online educational platform focused on sexual wellness” for clients around the world, including the United States, and reaches 39,000 people in Utah alone. Id. ¶ 15. That plaintiff fears that its online school “contains a ‘substantial portion’ of content that meets the statutory definition of ‘material harmful to minors‘” and that Utah teenagers will be unable to access this educational content under SB 287. Id. at 17 ¶ 15.
And another plaintiff operates an online platform that allows “independent producers/performers of erotic audiovisual works to publish their content” on a channel hosted by that platform, and to give fans access to that content through subscriptions. Id. ¶ 17. Those content producers often drive traffic to their channel from their social media sites. That plaintiff is “confused about what constitutes ‘reasonable age verification methods‘” and is “concerned about the costs of compliance.” Id. at 19 ¶ 17. FSC and the individual plaintiffs allege that SB 287 violates the
B. Causation & Redressability
The Plaintiffs must show that there is “a causal connection between the injury and conduct complained of” so that the injury is “fairly traceable to the challenged action of the defendant.” Lujan v. Defenders of Wildlife, 504 U.S. 555, 560 (1992) (cleaned up). And they must show that it is “likely as opposed to merely speculative that the injury will be redressed by a favorable decision.”
The Commissioner‘s involvement in giving effect to the Act is evident from the fact that, if the mDL program was functional for online verification, some of the Plaintiffs’ injuries here would be lessened (if not entirely remedied). See Reply Br. at 12 (“[T]he Commissioner is wrong when he asserts that all of Plaintiffs’ constitutional injuries derive from an ‘inability to access
Of course, the Plaintiffs’ preferred and ultimate goal is to strike down the age-verification methods in
But any inconsistencies in the Plaintiffs’ articulation of their requested injunctive relief should not change our standing analysis—let‘s remember that we‘re still at the motion-to-dismiss stage, and “at this early stage of the proceeding the court should not assume it will be unable to fashion relief that could remedy any constitutional violation found.” Petrella v. Brownback, 697 F.3d 1285, 1295 (10th Cir. 2012). Indeed, “[e]quitable relief can take many forms.” Id. At this stage, “[t]he standing inquiry . . . asks only whether the plaintiff has sufficiently alleged a cognizable injury, fairly traceable to the challenged conduct that is likely to be redressed by a favorable judicial decision.” Id. And here, the Plaintiffs clearly have.
The Plaintiffs’ request that the age-verification provisions of SB 287 be declared unconstitutional would also satisfy the “case or controversy” requirement because it would “settl[e] . . . some dispute which affects the behavior of the defendant toward the plaintiff.” Nova Health Sys., 416 F.3d at 1159 (emphasis added) (cleaned up). Depending on the district court‘s analysis on remand, a declaration that those provisions were unconstitutional combined with a suitable injunction would affect the Commissioner‘s mDL program and whether it is used for online verification in accordance with SB 287. Such a
The importance of declaratory and injunctive relief in this case is buttressed by the fact that at least one individual plaintiff will never be able to seek redress of his constitutional harms and “pursue state and federal constitutional arguments in his . . . defense” to an enforcement action, because he is the viewer or consumer of the targeted speech, not a speaker or publisher who may be sued under the statute. See Whole Woman‘s Health, 595 U.S. at 49. As the Plaintiffs explain, “for the John Doe Plaintiff in this case, there is no
Because some form of injunction combined with declaratory relief against the Commissioner would either in part (by improving the age-verification methods to ensure compliance was possible) or entirely (by striking down an inseverable part of the Act) redress the Plaintiffs’ injuries, I conclude that the Plaintiffs have shown sufficient causation and redressability for Article III standing.
C. Ripeness
The Plaintiffs’ claims against the Commissioner are ripe. “The question of whether a claim is ripe for review bears on a court‘s subject matter jurisdiction under the case or controversy clause of Article III of the United States Constitution.” New Mexicans for Bill Richardson, 64 F.3d at 1498–99. Because they both focus on the harm asserted, “[s]tanding and ripeness are closely related.” Peck v. McCann, 43 F.4th 1116, 1133 (10th Cir. 2022) (citation omitted). “But unlike standing, ripeness issues focus not on whether the plaintiff was in fact harmed, but rather whether the harm asserted has matured sufficiently to warrant judicial intervention.” Id. (cleaned up). “In evaluating ripeness the central focus is on whether the case involves uncertain
The district court held that, “[e]ven assuming that Commissioner Anderson‘s connections to the mDL program were sufficient to invoke the Ex parte Young exception, Plaintiffs[‘] claims against Commissioner Anderson are not ripe.” Free Speech Coal., 685 F. Supp. 3d at 1305. I disagree. Here, as in Walker, “[t]he ripeness challenge fails . . . because the Plaintiffs’ alleged injury is already occurring.” 450 F.3d at 1098. FSC and the other individual plaintiffs have amply demonstrated that their injury is already occurring—and is exacerbated by—the Commissioner‘s failure to provide a digitized identification card that functions as contemplated by the Act. See § II(A), supra. See generally App. at 15–19 (describing injuries to plaintiffs caused by SB 287 and the state‘s failure to provide functioning age-verification mechanisms). That the Plaintiffs’ injuries are greater because of the digitized identification card‘s lack of online functionality does not defeat the Plaintiffs’ claims; rather, it highlights the traceability and redressability of some of their injuries to the Commissioner. Because these injuries are already occurring and are not dependent on “uncertain or contingent future events,” Walker, 450 F.3d at 1097, the Plaintiffs are already undergoing considerable hardship, see Peck, 43 F.4th at 1133.
In sum, the Plaintiffs’ claims against the Commissioner are ripe because the Plaintiffs’ injuries are already occurring and are exacerbated by the mDL program‘s lack of online functionality, for which the Commissioner is responsible.
* * *
Because the Commissioner has a sufficient connection with SB 287‘s enforcement to meet the Ex parte Young exception to sovereign immunity, and
21
Notes
(9) “Reasonable age verification methods” means verifying that the person seeking to access the material is 18 years old or older by using any of the following methods:
(footnote continued)