NATIONAL ASSOCIATION FOR THE ADVANCEMENT OF COLORED PEOPLE
(NAACP), a corporation suing through its Alabama Conference
of Branches, Thomas Reed, Alvin Holmes, James E. Buskey,
John L. Buskey, William Clark, Patricia Davis, George W.
Grayson, Bobbie G. McDowdell, Bryant Melton, Jr., George
Perdue, John W. Rogers, Jr., Lewis G. Spratt, Michael A.
Figurеs, Earl F. Hilliard and Henry Sanders, Plaintiffs-Appellants,
v.
Guy HUNT, individually and as Governor of the State of
Alabama; Cecil Humphrey, individually and as Chief of
Capitol Security; G. Robin Swift, Jr., individually and as
Finance Director, Defendants-Appellees.
No. 89-7245.
United States Court of Appeals, Eleventh Circuit.
Jan. 16, 1990.
Ernestine S. Sapp, Fred D. Gray, Gray, Langford, Sapp & McGowan, Tuskegee, Ala., Gen. Counsel, N.A.A.C.P., Sp. Contribution Fund, Baltimore, Md., for plaintiffs-appellants.
Alex L. Holtsford, Jr., Nix & Holsford, H.E. Nix, Jr., Montgomery, Ala., for defendants-appellees.
Appeal from the United States District Court for the Middle District of Alabama.
Before JOHNSON and EDMONDSON, Circuit Judges, and PECKHAM*, Senior District Judge.
JOHNSON, Circuit Judge:
Plaintiffs-Appellants, the National Association for the Advancement of Colored People, et al. ("NAACP"), appeal the district court's grant of summary judgment for defendants Hunt, et al. ("the state") on the NAACP's claims under 42 U.S.C.A. §§ 1983 and 1988, 36 U.S.C.A. § 175(c) (the United States Flag Code), the First, Thirteenth, and Fourteenth Amendments to the United States Constitution, and, under Alabama state law, conspiracy to cause malicious prosecution.
I. STATEMENT OF THE CASE
For some twenty years the confederate flag has flown atop the capitol dome in Montgomery, Alabama. At present, there are three flags flying on a single pole above the dome: the United States flag on top, the Alabama state flag second, and the confederate flag at the bottom.
There is no state statute authorizing or mandating the flying of the confederate flag. Alabama raised the flag on two occasions. The flag was raised in 1961 during the administration of Governor John Patterson for the purpose of commemorating the 100th anniversary of the Civil War. Thе flag was raised again on the morning of April 25, 1963, the day that United States Attorney General Robert F. Kennedy travelled to Montgomery to discuss with then-Governor George Wallace the governor's announced intention to block the admission of the first black students to the University of Alabama. Regardless of the reason, it is undisputed that the flying of the flag atop the capitol dome has caused much controversy.
In 1975, Alabama state legislator Alvin Holmes filed suit in the Middle District of Alabama alleging that the flying of the confederate flag immediately below the Alabama flag on the capitol dome, with the American flag flown at a lowеr elevation on the capitol grounds, violated 36 U.S.C.A. § 175 (the U.S. Flag Code),1 the Thirteenth and Fourteenth Amendments, and 42 U.S.C.A. §§ 1983 and 1985.2 The district court held in Holmes v. Wallace,
On February 2, 1988, several members of the NAACP, all of whom were also members of the Alabama legislature, were arrested for criminal trespass at the capitol gates. The NAACP maintains that its members were attempting to "symbolically touch" the capitol fence to express their disagreement with the flag being flown. The state contends that the NAACP members were attempting to scale the security fence and remove the flag forcibly from the dome. The NAACP members were convicted in Montgomery County District Court on January 10, 1989. Appeals of those convictions are pending in the circuit court.
On May 20, 1988, the NAACP filed suit in the Middle District of Alabama against Governor Guy Hunt, Chief of Capitol Services Cecil Humphrey, and Director of Finance Robin Swift ("the state") seeking a declaratory judgment that the flying of the flag atop the Alabama capitol dome violates 42 U.S.C.A. §§ 1983 and 1988, 36 U.S.C.A. § 175, and the First, Thirteenth, and Fourteenth Amendments to thе Constitution. The NAACP sought injunctive relief requiring the state to remove the flag from the capitol and prohibiting the state from displaying the flag on capitol grounds. On October 12, 1988, the NAACP amended its complaint to include a challenge to the February 2, 1988 trespass arrest on the ground that the defendants in this lawsuit conspired to cause the wrongful prosecution of the NAACP members. In its answer, the state raised several affirmative defenses, including res judicata.
On December 15, 1988, the district court granted the state's motion for dismissal or summary judgment on the Flag Code issue, civil rights violations under 42 U.S.C.A. §§ 1983 and 1988, and constitutional violations under the Thirteenth and Fourteenth Amеndments. The court allowed the NAACP to proceed with its First Amendment claim, but did not address the conspiracy claim. On March 1, 1989, the district court granted the state's motion for summary judgment on the First Amendment claim. The district court also found that the conspiracy claim was unavailable to the NAACP because the prosecutions were not based on wrongful torts and had resulted in conviction of the defendants.
We first consider whether the district court erred in granting the state's motion for summary judgment on the Flag Code claim on the grounds of res judicata. We then determine whether the district court erred in granting the state's motions for summary judgment on the NAACP's clаims arising under 42 U.S.C.A. §§ 1983 and 1988, and under the First, Thirteenth, and Fourteenth Amendments.
II. ANALYSIS
Our review of a district court grant of summary judgment is plenary; the reviewing court must ask whether any genuine issue of material fact exists, or whether the moving party is entitled to judgment as a matter of law. Shipes v. Hanover Ins. Co.,
A. Res Judicata
The district court granted the state's motion for summary judgment on the issue of violation of the Flag Code, 36 U.S.C.A. § 175, because it found that this issue had already been determined in Holmes v. Wallace, supra.4 A district court's conclusions as to res judicata are conclusions of law, and are thus reviewable de novo by this Court. See McDonald v. Hillsborough County School Bd.,
Federal courts apply the law of the state in which they sit with respect to the doctrine of res judicata. Id. Under Alabama law, the essential elements of res judicata are: "(1) a prior judgment on the merits, (2) rendered by a court of competent jurisdiction, (3) with substantial identity of the parties, and (4) with the same cause of action presented in both suits." Hughes v. Allenstein,
The decision in Holmes v. Wallace was based on the grant of a motion to dismiss. The decision does not indicate whether the court dismissed the claims under Fed.R.Civ.P. 12(b)(6) or 41(b), or whether it dismissed the claims with or without prejudice. In any event, the Supreme Court has clearly stated that "[t]he dismissal for failure to state a claim under Federal Rule of Civil Procedure 12(b)(6) is a 'judgment on the merits.' " Federated Dept. Stores, Inc. v. Moitie,
Identity of parties concerns two sets of persons. The first set is comprised of those persons who were actual parties in the original action. Lary v. Ansari,
The question of whether sufficient privity exists to warrant application of res judicata is a question of law. Southwеst Airlines Co. v. Texas Int'l. Airlines, Inc.,
The final element of res judicata requires that the same cause of actiоn be presented in both cases. This Circuit has recognized that "the principal test for comparing causes of action is whether the primary right and duty or wrong are the same in each action." Kemp v. Birmingham News Co.,
The district court was correct in determining that the causes of action were the same in Holmes and the present actiоn. The wrongful act in both Holmes and the present case is the flying of the confederate flag atop the capitol. The right claimed in both cases appears to be the right to be free from discrimination symbolized by the location of the confederate flag over the capitol. In Holmes the plaintiff alleged that the position of the flag in relation to the American flag violated the Flag Code, the Thirteenth and Fourteenth Amendments, and 42 U.S.C.A. §§ 1983 and 1985. In the present case the appellants allege that the prominent position of the flag violates the Flag Code, the First, Thirteenth, and Fourteenth Amendments, аnd 42 U.S.C.A. §§ 1983 and 1988. The only distinctions between the two causes of action are: (1) the First Amendment and section 1988 claims were not raised in the first case, and (2) the present plaintiffs are requesting that the flag be removed from the capitol dome entirely, while Holmes requested that it not be placed above the American flag. While it is arguable that the causes of action are different because of the different remedies sought, the rights claimed and the wrongs alleged are almost identical. Further, res judicata operates to preclude not only the issues raised in the prior action, but issues which could have beеn raised in the prior action. Hughes,
Although the entire claim is precluded by res judicata, we proceed nonetheless to discuss the issues not dealt with on the merits in the Holmes decision. Because of the controversial concerns raised in this case, it is important that all issues be laid to rest on the merits.
B. Statutory and Constitutional Claims
1. Civil Rights Violations
a. Claims Raised in District Court
In order to state a cause of action under section 1983, the NAACP must prove: (1) that the confederate flag is flown by individuals acting under the сloak of state authority, Monroe v. Pape,
There is no dispute regarding the "under color of state law" requirement. It seems clear that a flag flown on the state capitol dome is flown under state authority.5 The parties dispute, however, the question of whether the NAACP has been deprived of any rights. On September 23, 1988, the district court ordered both parties to submit briefs regarding the deprivation of some federally protected right. The NAACP apparently argued that the flying of the flag was "tantamount to holding public property for racially discriminatory purposes" and that it denied its members their rights to equal education, equal economic opportunity, and equal protection. Presumably the NAACP makes these claims under the Fourteenth Amendment.
Certainly the NAACP has a right to equal protection of the laws, in education and otherwise. Brown v. Board of Education,
Further, the NAACP has advanced many discrimination suits in federal and state courts over the 25 years since the flag was raised. Yet it has never requested that the flag be brought down as part of the equitable relief requested in any of those cases. In Smith v. St. Tammany Parish School Bd.,
These are the only arguments advanced by the NAACP in support of their claim that the flag infringes on a protected right in violation of section 1983. When a non-movant produces no specific factual proof in support of an essential element of its case, summary judgment is appropriate. Celotex,
b. Claims Raised on Appeal
On appeal, the NAACP argues that freedom from malicious prosecution is a federal right protected by section 1983, Strength v. Hubert,
There is a federal right to be free from malicious prosecutions. Strength,
Under Alabama common law, the elements of malicious prosecution are: "(1) a judicial proceeding initiated by the defendant, (2) the lack of probable cause, (3) malice, (4) termination of the judicial proceeding favorably to the plaintiff, and (5) damages." Ironworkers Local Union No. 477 v. Holt,
The NAACP has proven that there was a judicial proceeding on January 10, 1989, and that this proceeding was initiated by the state. The NAACP has рroduced no evidence or facts supporting its arguments, however, that there was no probable cause for the proceeding and that the proceeding was malicious. Further, there seems to be some confusion regarding the element of termination of the judicial proceeding favorably to the plaintiff. The state argues that there has been a termination to the judicial proceeding, but that because the plaintiffs were convicted, the claim for malicious prosecution should fail. The NAACP responds to this argument by claiming that there has been no termination to the proceeding, because it has appealed the conviction. Both termination and a favorable resolution for the plaintiffs are necessary to prove malicious prosecution; thus, under either the state's argument or the NAACP's argument, the NAACP has failed to raise facts necessary to state a claim for malicious prosecution. In the absence of this underlying claim, the conspiracy claim under section 1983 must fail.
Finally, the NAACP argues on appeal that the state violated section 1983 by conspiring to deprive it of its Fourteenth Amendment rights. The NAACP did not raise this claim in any shape or form in the district court. As a general rule, an appellate court will not review a legal issue or theory not presented to the trial court, unless the issue is a pure question of law and the court's failure to consider it would result in a miscarriage of justice. Payne v. McLemore's Wholesale & Retail Stores,
For the foregoing reasons, the district court did not err in granting the State defendants' motion for summary judgment under section 1983. Because section 1988 provides for attorneys' fees only to the prevailing section 1983 plaintiff, the district court was also correct in granting summary judgment on the section 1988 claim.
2. Thirteenth Amendment Violations
The Thirteenth Amendment forbids slavery or involuntary servitude. The amendment also gives Congress the authority to enforce the prohibition by appropriate legislation. Part of this authority is the authority to legislate to eradicate badges and incidents of slavery. Jones v. Alfred H. Mayer Co.,
3. First Amendment Violations
a. Establishment Clause
The NAACP argues that the confederate flag is the symbol adopted by the Ku Klux Klan. It further argues that the Ku Klux Klan began as a secret religious society, and that Klan members salute the flag as part of their religious rituals. Because of a religious element in Klan ideology, the NAACP argues that the Klan belief system is "religious" for the purposes of the First Amendment, and that the state's flying of the Klan's adopted symbol demonstrates excessive entanglement with religion.8
The Establishment Clause of the First Amendment forbids the government from establishing religion. The Supreme Court has created a three-prong test for courts to use in determining whether state action establishes religion. Under Lemon v. Kurtzman,
The flag does not violate the Lemon test. It is clear that whether the flag was hoisted to decry integration or to recognize history, the purpose in its hoisting was secular. It is also clear that the primary effect of the flag is not to promote religion; rather, it is to remind citizens, albeit offensively to some, of a controversial era in American history. To violate the Establishment Clause, the religious benefit may not be merely remote or incidental. Smith v. Board of School Com'rs of Mobile County,
Finally, the NAACP has produced no evidence that the flag constitutes excessive government entanglement with religion. It produced no evidence of any relationship between the government of Alabama and the Ku Klux Klan, other than the unsupported allegation that the state knew the flag was a Klan symbol when they raised it. Without meaningful evidence of purpose, effect, and entanglement, the Establishment Clause claim must fail. Lemon,
b. Free Speech
The First Amendment prohibits governments from abridging free speech. See, e.g., Texas v. Johnson, --- U.S. ----,
Second, the NAACP argues that the flag is government speech which improperly communicates a limited set of messages. As one commentator has noted, "[f]ree speech theory has focused on the government as censor; it has had little to say about the process by which the governmеnt adds its voice to the market place." Shiffrin, Government Speech, 27 U.C.L.A.L.Rev. 565, 569-70 (1980). Indeed, the First Amendment protects citizens' speech only from government regulation; government speech itself is not protected by the First Amendment. Columbia Broadcasting System, Inc. v. Democratic Nat. Comm.,
Restrictions on government speech seem to spring from one ideal: "If there is any fixed star in our constitutional constellation, it is that no official, high or petty, can prescribe what shall be orthodox in politics, nationalism, religion, or other matters of opinion or force citizens to confess by word or act their faith therein." West Virginia State Bd. of Ed. v. Barnette,
None of these restrictions, however, is directly applicable to thе present situation. The capitol dome is not public property which "by tradition or designation [is] a forum for public communication." Perry Educ. Assn. v. Perry Local Educators' Assn.,
Government communication is legitimate as long as the government does not abridge an individual's "First Amendment right to avoid becoming the courier for such message." Wooley,
It is unfortunate that thе State of Alabama chooses to utilize its property in a manner that offends a large proportion of its population, but that is a political matter which is not within our province to decide. The remedy for such a grievance lies within the democratic processes of the State of Alabama and the voting rights of all its citizens, "the restraints on which the people must often rely solely, in all representative governments." Gibbons v. Ogden,
III. CONCLUSION
For the foregoing reasons, we AFFIRM the district court's grant of the state's motions for summary judgment.
Notes
Honorable Robert F. Peckham, Senior U.S. District Judge for the Northern District of California, sitting by designation
36 U.S.C.A. § 175(c) states:
No other flag or pennant should be placed above or, if on the same level, to the right of the flag of the United States of America ... No person shall display the flag of the United Nations or any other national or international flag equal, above, or in place of, the flag of the United States at any place within the United States or any territory or possession thereof....
Section 175(g) states: "When flags of two or more nations are displayed, they are to be flown from separate staffs of the same height ... International usage forbids the display of the flag of one nation above that of another in time of peace."
Alvin Holmes is a plaintiff/appellant in the present lawsuit
Since the decision in Holmes, four resolutions have been introduced in the Alabama legislature seeking to have the flag removed. All four have been defeated
Although the section 1983, Thirteenth Amendment, and Fourteenth Amendment issues were also dealt with in Holmes, the district court in the present action did not apply res judicata principles to these issues
In his deposition, Governor Hunt stated that he felt he had the authority to remove the flag if he so chose
The NAACP has not advanced any due process arguments
In fact, in Augustus v. School Bd. of Escambia County, Fla.,
This Court need not reach the dubious question of whether the ideology of the Ku Klux Klan constitutes religion. The Supreme Court has applied Establishment Clause principles to government display of objects with religious significance. Allegheny County v. Greater Pittsburgh ACLU, --- U.S. ----,
