Ian Y. LIND, Plaintiff-Appellee,
v.
Gary G. GRIMMER; Linda K. Rose-Hill; James C.F. Wang;
Robert Y. Watada, Individually, and in their capacities as
Commissioners of the Campaign Spending Commission, State of
Hawaii; and Jack M.K. Gonzales, Individually, and in his
capacity as the Executive Director of the Campaign Spending
Commission, State of Hawaii, Defendants-Appellants.
No. 93-16021.
United States Court of Appeals,
Ninth Circuit.
Argued and Submitted April 12, 1994.
Decided July 22, 1994.
Steven S. Michaels, Deputy Atty. Gen., Honolulu, HI, for defendants-appellants.
R. Malia Taum, Honolulu, HI, for plaintiff-appellee.
Appeal from the United States District Court for the District of Hawaii.
Before: SCHROEDER, D.W. NELSON and CANBY, Jr., Circuit Judges.
Opinion by Judge CANBY.
CANBY, Circuit Judge:
Hawaii Rev.Stat. Sec. 11-216(d) prohibits disclosure of information concerning investigations undertaken by Hawaii's Campaign Spending Commission. The State of Hawaii appeals the district court's grant of summary judgment, which enjoined enforcement of the statute on the ground that it violates the First Amendment of the United States Constitution, both as applied to appellee Lind and on its face. We affirm.
I. BACKGROUND
When a complaint is filed with Hawaii's Campaign Spending Commission, the Commission is required to determine whether there is probable cause that a campaign spending violation occurred, and if so, whether that violation was unintentional or willful. Haw.Rev.Stat. Sec. 11-216. If the Commission finds probable cause that a willful violation occurred, it must advise the lieutenant governor, and it may initiate a prosecution. Haw.Rev.Stat. Sec. 11-216(f)-(g). If it finds probable cause that an unintentional violation occurred, it must order the cited party to remedy that violation. Haw.Rev.Stat. Sec. 11-216(f). If it finds no probable cause, it need take no further action. See id.
At issue in this appeal is Haw.Rev.Stat. Sec. 11-216(d), which requires that all aspects of the Commission's activities remain confidential while an investigation is pending, and that the entire record of an investigation remain confidential if the Commission determines that there is no probable cause that a violation occurred:
Until a determination of probable cause is made by the commission, all proceedings, including the filing of the complaint, investigation, and hearing shall be confidential unless the person complained of requests an open hearing. In the event the commission determines that probable cause does not exist, the complaint shall be dismissed and the entire record of the proceedings shall be kept confidential at the option of the person complained of. Breach of this provision is a crime punishable by up to thirty days in jail and a fine of up to $1,000. Haw.Rev.Stat. Sec. 11-228; Sec. 706-663.
Appellee Ian Lind was author, editor, and publisher of the "Hawaii Monitor," an independent non-partisan newsletter devoted to discussing election campaign issues. In June of 1992, Lind published in his newsletter the fact that he had filed a complaint against the University of Hawaii Professional Assembly alleging that the Assembly failed to disclose certain campaign contributions during the 1990 election and that it made excessive and prohibited contributions in support of Governor John D. Waihee's election. The Assembly responded by asking the Commission to clarify the applicability of section 11-216(d) to Lind's complaint. The Commission, in turn, decided to treat this request as a complaint against Lind for violation of section 11-216(d). Lind responded by bringing this action in federal district court seeking a declaration that section 11-216(d) violated his rights under the First Amendment, and an injunction against its enforcement.
Just fifteen days after Lind's complaint was filed, the parties submitted to the district court a stipulation of settlement, proposing that the court dismiss Lind's complaint with prejudice and declare that section 11-216(d) violated the First Amendment and was unenforceable. The district court, however, refused to do so without additional briefing. Thereafter, the State changed its position and decided to defend the statute. Following cross motions for summary judgment, the district court held section 11-216(d) unconstitutional as applied to Lind, held it unconstitutionally overbroad, and permanently enjoined its enforcement. This appeal followed.
II. LEVEL OF SCRUTINY
A statute regulating speech is content-neutral only if the state can justify it without reference either to the content of the speech it restricts or to the direct effect of that speech on listeners. Ward v. Rock Against Racism,
III. AS APPLIED TO LIND
* It is clear that the speech restricted by section 11-216(d) does not fall into any of the traditional categories, such as fighting words and obscenity, that are undeserving of full First Amendment protection. Nonetheless, Hawaii contends that the First Amendment does not protect individuals who divulge the fact that they have filed a complaint with its Campaign Spending Commission. It relies on Cohen v. Cowles Media Co.,
This novel argument is based upon a dramatic misconception of both the import of Cowles and the effect of section 11-216(d). Section 11-216(d) is not a content-neutral law of general applicability, but one intended to impose direct and significant restrictions on speech. Thus, the State is not relieved of its burden (as was the plaintiff in Cowles ) of demonstrating that the challenged provisions are necessary to serve a compelling interest. As we point out below, it has failed to carry that burden. Furthermore, the restrictions placed on Lind's speech, embodied in section 11-216(d), are state-created, and existed independently of, and prior to, any interaction between Lind and the Campaign Spending Commission. Therefore, the interaction between Lind and the Commission cannot be characterized as a simple bargain in which Lind obtained use of the Commission's investigatory machinery in exchange for his silence. The State may not condition Lind's ability to trigger an investigation on the theory that by filing a complaint he bargained away his First Amendment rights. Cf. Sherbert v. Verner,
We conclude that section 11-216(d) regulates fully protected speech.2 Unless it is narrowly tailored and necessary to promote compelling state interests, it cannot stand.
B
According to Hawaii, section 11-216(d) promotes its interest in "the free functioning of the electoral system," and in "fostering an 'uninhibited, robust, and wide-open' debate out in the political arena." We have no doubt that these are compelling interests. We conclude, however, that prohibiting disclosure that a complaint has been filed does little to serve these interests, and indeed in many ways is antithetical to them.
* The State is concerned primarily that, without section 11-216(d), candidates might be discouraged from entering political races; they are "not paid public servants, who can be expected to endure the slings and arrows of criticism in the press and elsewhere." The State acknowledges that section 11-216(d) does not prevent anyone from publicly charging candidates or their supporters with violations of spending regulations, and that it does not prevent people from publicly airing whatever evidence they may have to support their allegations. It contends, however, that disclosure of the fact that a complaint has been filed somehow lends the State's imprimatur to such charges, dramatically increasing their effectiveness. In the State's words, "At its core, the confidentiality requirement precludes the Commission's credibility from being invoked to buttress scandalous charges in the heat of a campaign."
These concerns are insufficient to justify restrictions on Lind's speech. The effect that the State fears can be countered by the truthful assertion that anyone can file a complaint with the Commission, for any reason, regardless of its merit. Because the State has no influence over when or whether a complaint is filed, the fact of filing simply cannot signal the State's approval of a complainant's charges.3 As Justice Brandeis observed nearly seventy years ago, "If there be time to ... avert the evil by the processes of education, the remedy to be applied is more speech, not enforced silence." Whitney v. California,
In fact, what the State is attempting to do is exactly the sort of thing that the First Amendment is designed to guard against. See Landmark,
With regard to the danger that people knowingly may bring unmeritorious charges of campaign spending improprieties in order to harass, the State has not shown that the victim will be without civil tort remedies. See generally New York Times v. Sullivan,
2
Secondarily, the State asserts that confidentiality facilitates the Commission's work. It predicts that permitting disclosure that a complaint has been filed would encourage people to lodge unmeritorious complaints, stimulate public inquiries concerning the status of pending investigations, and bring public pressure to bear in attempts to influence the Commission's investigations, all of which will overburden and distract the Commission. The State also contends that disclosure that a complaint has been filed would remove an important incentive for cited parties to settle, thereby further increasing the Commission's work load.
In Landmark, the Supreme Court held unconstitutional a Virginia statute that prevented third parties from divulging truthful information regarding proceedings before the state Judicial Inquiry and Review Commission. Virginia advanced many of the arguments that Hawaii presses here, claiming that its statute was necessary to preserve the "orderly administration of justice." Landmark,
In the event that the Commission becomes overburdened with unmeritorious complaints, public inquiries, or cases that fail to settle,4 it could solve this problem without impairing First Amendment rights by streamlining its investigatory processes or hiring more staff. See id. at 843,
We conclude that to the extent Haw.Rev.Stat. Sec. 11-216(d) prevents an individual from disclosing the fact that he filed a complaint with the Campaign Spending Commission, it is unconstitutional.5
IV. OVERBREADTH
* In addition to holding section 11-216(d) invalid as applied to Lind, the district court found the section unconstitutionally overbroad, and enjoined its enforcement in all circumstances. As a preliminary matter, the State argues that the district court erred in reaching this issue for a variety of reasons, none of which we find meritorious.
First, Hawaii insists that the district court's overbreadth determination must be reversed because the court granted summary judgment on the issue sua sponte, depriving the State of the notice required by Fed.R.Civ.Proc. 56. We need not decide whether the district court erred in this regard. Whether a statute is facially unconstitutional is a matter of law, which this court reviews de novo. Therefore, any lack of notice would not compel reversal. See Schwartz v. Pillsbury, Inc.,
Next, the State argues that the district court should have abstained under Railroad Comm'n of Texas v. Pullman Co.,
A federal court should abstain only in exceptional circumstances, Houston v. Hill,
Finally, the State contends that we may not reach the question of overbreadth because, if the statute is unconstitutional as applied to Lind, he has no standing to challenge it as overbroad. See, e.g., Brockett v. Spokane Arcades, Inc.,
[While facial invalidation due to overbreadth may be proper when the statute is constitutional as applied to the party before the court, it] is otherwise where the parties challenging the statute are those who desire to engage in protected speech that the overbroad statute purports to punish.... There is then no want of a proper party to challenge the statute, no concern that an attack on the statute will be unduly delayed or protected speech discouraged. The statute may forthwith be declared invalid to the extent that it reaches too far, but otherwise left intact.
Id. at 504,
Here, in contrast, after striking the portion of section 11-216(d) that is unconstitutional as applied to Lind, and even assuming that the statute may have some constitutional applications, we are left with the fact that section 11-216(d) has numerous other potential applications that are unconstitutional. In this circumstance, the dangers that the overbreadth doctrine is designed to avert--a potential chilling effect on speech and lack of a proper party before the court--are present. Consequently Lind has standing to raise the issue.
B
We find that section 11-216(d) imposes criminal penalties for a substantial range of constitutionally protected conduct, while its "plainly legitimate sweep" is quite limited. See Broadrick v. Oklahoma,
Not only does section 11-216(d) prohibit complainants from divulging the fact that they have filed a complaint, but it also prohibits third parties, who are strangers to the Commission's investigation, from divulging anything that they might lawfully learn about an investigation, both before and after the Commission makes a probable cause determination. This prohibition is patently unconstitutional. See Landmark,
The State has failed even to offer examples of plainly constitutional applications of the section. Accordingly, on this record we must conclude that the overbreadth of section 11-216(d) is "not only ... real, but substantial as well, judged in relation to the statute's plainly legitimate sweep." Broadrick,
V. CONCLUSION
Section 11-216(d) of the Hawaii Revised Statutes is unconstitutional both on its face and as applied to appellee Lind. Accordingly, the judgment of the district court is affirmed, and the case remanded to the district court for a determination of the reasonable attorney's fees to be awarded to Lind in connection with his efforts in the district court and on this appeal. See 42 U.S.C. Sec. 1988.
AFFIRMED and REMANDED.
Notes
This conclusion comports with that reached by the majority of courts that have considered comparable statutes. See, e.g., Butterworth v. Smith,
We reject the State's alternative assertion that section 11-216(d) only restricts speech concerning information a speaker acquires with the assistance or intervention of the government, and that such speech is unprotected by the First Amendment. The fact that a complaint has been filed is in no meaningful sense information acquired only by virtue of the government's assistance or intervention
In this respect, the confidentiality provisions at issue here differ from secrecy provisions in the grand jury context. Grand jury investigations are triggered either by the grand jury itself or by a request from a prosecutor. Consequently, the mere fact of a grand jury investigation carries with it the imprimatur of official suspicion
Another reason to keep secret the existence of a grand jury investigation is to prevent those being investigated from fleeing. Butterworth v. Smith,
The dynamics of settlement here differ from those in judicial review board inquiries. In that context, if there is strong evidence of corruption or of ethical violations, a review board's primary goal is to remove the offending judge from the bench rapidly. See First Amendment Coalition v. Judicial Inquiry & Rev. Bd.,
The majority of courts that have addressed this question (all in the context of judicial review board or ethics Commission proceedings) have come to the same conclusion. See First Amendment Coalition v. Judicial Inquiry & Review Board,
The State implies that issues of fact are involved, having filed a Rule 56(f) motion in order to present statistics that most complaints to the Commission are resolved informally (and alleging that section 11-216(d) restrictions do not apply to informally resolved complaints). The district court properly rejected this motion, noting that these statistics have no bearing on whether the statute is overbroad. The issue is not how many times section 11-216(d) has been applied, but rather the extent to which it potentially may impair First Amendment rights
Virginia v. American Booksellers Ass'n,
The State urges us to apply a narrowing construction restricting application of the post-probable cause confidentiality provision to release of the official record. This provision reads:
In the event the Commission determines that probable cause does not exist, ... the entire record of the proceedings shall be kept confidential at the option of the person complained of.
Read in isolation, this sentence appears to be "fairly subject" to the construction the State urges. See Harman v. Forssenius,
