Kelly GALLAGHER, Donovan K. Gallagher, Barth Robinson,
Gretchen Robinson, William Van Gelderen, Susan Larsen, Brad
Larsen, Harold Wardell, and Mary C. Wardell, personally and
on behalf of two classes of similarly situated persons,
Plaintiffs-Appellants,
P. Constable, D. Constable, F.G. Maestas, D.R. Maestas,
Chris Fornelius, Kim Sloan, Richard S. Allen, Jr.,
Laura A. Allen, Plaintiffs,
v.
"NEIL YOUNG FREEDOM CONCERT," Rick James, Director of the
Huntsman Center, University of Utah, United Concerts, Inc.,
a corporation, Contemporary Services Corporation, a
California corporation, Richard Roes 1-6, Jane Does 1
through 12, and John Does 1 through 12, Defendants-Appellees.
No. 93-4122.
United States Court of Appeals,
Tenth Circuit.
Feb. 28, 1995.
Brian M. Barnard (John Pace with him, on the briefs), Utah Legal Clinic, Salt Lake City, UT, for plaintiffs-appellants.
Paul S. Felt (Cameron M. Hancock with him, on the brief), Ray, Quinney, & Nebeker, Salt Lake City, UT, for defendant-appellee Rick James.
Raymond M. Berry, Richard A. Van Wagoner, Snow, Christensen, & Martineau, Salt Lake City, UT, for defendant-appellee United Concerts, Inc. Tracy H. Fowler, Campbell, Maack, & Sessions, Salt Lake City, UT, for defendant-appellee Contemporary Services Corp. with him, on the brief.
Before SEYMOUR, Chief Judge, HENRY, Circuit Judge, and DAUGHERTY, Senior District Judge.*
HENRY, Circuit Judge.
Appellants challenge the district court's order granting summary judgment against them in an action filed pursuant to 42 U.S.C. Sec. 1983. They assert that, prior to entering an arena on the University of Utah campus to attend a concert, they were subjected to unreasonable pat-down searches in violation of the Fourth Amendment. The district court found that because the searches were conducted by employees of a private security company, they did not constitute the state action necessary to support a Section 1983 claim.
We review thе district court's grant of summary judgment de novo, applying the same standard as the district court under Fed.R.Civ.P. 56(c). Russillo v. Scarborough,
For the reasons set forth below, we affirm the decision of the district court.
I. BACKGROUND
On March 20, 1991, singer Neil Young performed a concert at the John M. Huntsman Center on the University of Utah campus in Salt Lake City, Utah. The defendant-appellee United Concerts, Inc., promoted the concert and leased the Huntsman Center from the University on the evening of the concert. United Concerts hired the defendant-appellee Contemporary Services Corp. to provide certain security services for the concert.
United Concerts negotiated the lease of the Huntsman Center pursuant to a University operations manual that required sponsors of events to offer a discount to University students, faculty, and staff and to pay specified rental charges and direct expenses incurred by the University. The manual also stated that the requirements for "support personnel" for each Huntsman Center event, including police and internal security, "shall be determined by the Director after consultation with the sponsor of the event." Aplt.App. at 268. The manual explained the University's obligation to provide security as follows:
The University Public Safety department shall provide, for each JMHC event, qualified personnel for crowd control, building security, public safety and fire control, traffic control, and any other services at the cost of the sponsoring organization.
Aplt.App. at 270.
United Concerts' lease established a base rental charge as well as an additional fee calculated as a percentage of gross ticket sales up to a maximum amount. The lease stated that United Concerts was responsible for costs incurred by the University in providing certain support personnel for the concert, including sound technicians, electricians, and ushers. It also stated that United Concerts would pay the University an hourly fee for security and police services provided by officers from the University's Department of Public Safety.
Prior to the concert, United Concerts contacted Contemporary Services, and the two companies entered into an oral contract under which Contemporary Services agreed to provide crowd management services for the concert. United Concerts had contracted with Contemporary Services to provide similar services for other concerts, including several concerts at the Huntsman Center at which pat-down searches were performed. The decision to hire Contemporary Services for security for the Neil Young concert was made by United Concerts personnel and not by University officials. However, the lease reflected United Concerts' decision, stating that United Concerts would supply and pay crowd management personnel and specifically designating Contemporary Services as the firm that would provide crowd management. Aplt.App. at 263.
Contemporary Services had previously adopted a written policy that provided, "For 'rock', [sic] 'rap' or a 'go-go' concert, we will always conduct a full pat down search." Aplt.App. at 286. Contemporary Services' policy described the procedure for conducting these searches and listed the items that were not allowed at most events. Prohibited items included bottles, cans, cameras, drugs, tape recorders, video cameras, and weapons. Aplt.App. at 286. Representatives from Contemporary Services indicated that the company's practice was to follow this policy unless specifically directed to do otherwise by the firm that hired it. The defendant-appellee Rick James, in his capacity as Director of the Huntsman Center, had previously hired Contemporary Services directly to provide security at several events at the Huntsman Center. Pat-down searches were not performed at those University-promoted events.
Approximately two weeks before Mr. Young's Huntsman Center performance, representatives of United Concerts, Contemporary Services, and the University met to discuss arrangements for the concert. United Concerts representatives directed Contemporary Services personnel to perform the pat-down searches generally performed by Contemporary Services at rock concerts. At a meeting held approximately two hours before the concert, United Concerts representatives discussed the procedures for the pat-down searches with Contemporary Services personnel and with University officials. According to United Concerts officials, Mr. James was present at both meetings. Mr. James acknowledged that he attended the meeting on the day of the concert, but did not remember attending the earlier meeting.
On March 20, 1991, outside the Huntsman Center, Contemporary Services employees performed pat-down searches of individuals attending the concert.1 Contemporary Services employees wore yellow jackets with the initials "C.S.C." on the front and the words "Event Staff" on the back. They sought to discover the items specifically barred from the concert by Contemporary Services' policy.2 Uniformed officers from the University's Department of Public Safety observed entering concert patrons from inside the Huntsman Center, approximately six to ten feet away. According to Contemporary Services officials, their employees distributed fliers to the concert patrons informing them of the items that would not be allowed in the Huntsman Center. Contemporary Services officials also indicated that their employees informed concert patrons if they did not wish to be searched they could obtain a refund of the ticket price. However, several concert patrons stated that they were never informed of this opportunity to obtain a refund. After the concert began, Contemporary Services employees assisted University officers with security and crowd control inside the building.
Approximately 8,000 people attended the Neil Young concert at the Huntsman Center. After collecting the revenue from ticket sales and deducting appropriate amounts for sales taxes, rental charges, and direct expenses incurred, the University paid United Concerts $112,282.51. The rental charges retained by the University totalled $11,500.00.
The appellants, a group of individuals who attended the Neil Young concert and were subjected to pat-down searches before entering the Huntsman Center, filed this action alleging that the searches violated the Fourth Amendment to the United States Constitution and Article I, Sec. 14 of the Utah Constitution. They named Mr. James, United Concerts, and Contemporary Services as defendants. The district court dismissed the appellants' state law claims without prejudice and granted summary judgment in favor of all the defendants on the Fourth Amendment claims, reasoning that the pat-down searches did not constitute state action and were not performed under color of law. Invoking the various tests for state action, the appellants contend that the district court erred in reaching this conclusion.
II. DISCUSSION
The Fourteenth Amendment to the United States Constitution provides in part: "No State shall ... deprive any person of life, liberty, or property, without due process of law." That language establishes an "essential dichotomy" between governmental action, which is subject to scrutiny under the Fourteenth Amendment, and private conduct, which " 'however discriminatory or wrongful,' " is not subject to the Fourteenth Amendment's prohibitions. Jackson v. Metropolitan Edison Co.,
The statute that provides a remedy for constitutional violations committed by state officials, 42 U.S.C. Sec. 1983, establishes a similar dichotomy. Under Section 1983, liability attaches only to conduct occurring "under color of law." Thus, the only proper defendants in a Section 1983 claim are those who " 'represent [the state] in some capacity, whether they act in accordance with their authority or misuse it.' " National Collegiate Athletic Ass'n v. Tarkanian,
The Supreme Court has identified several principles underlying the constitutional distinction between governmental action and private conduct. First, it "preserves an area of individual freedom by limiting the reach of federal law and federal judicial power." Id. at 936,
Application of the state action doctrine has been characterized as " 'one of the more slippery and troublesome areas of civil rights litigation.' " International Soc'y for Krishna Consciousness, Inc. v. Air Canada,
The Court has taken a flexible approach to the state action doctrine, applying a variety of tests to the facts of each case. In some instances, the Court has considered "whether there is a sufficiently close nexus between the State and the challenged action of the regulated entity so that the action of the latter may be fairly treated as that of the State itself." Id. at 351,
Under each of these four tests, "the conduct allegedly causing the deprivation of a federal right" must be "fairly attributable to the State." Lugar,
A. Nexus Test
Under the nexus test, a plaintiff must demonstrate that "there is a sufficiently close nexus" between the government and the challenged conduct such that the conduct "may be fairly treated as that of the State itself." Jackson,
As is the case with all of the various tests for state action, the required inquiry is fact-specific. Nevertheless, the Supreme Court has established a number of important general principles. First, the existence of governmental regulations, standing alone, does not provide the required nexus. Id. at 1004,
Blum illustrates the application of the nexus test. There, the plaintiffs alleged that decisions made by nursing homes to discharge or transfer patients without notice or an opportunity for a hearing violated their due process rights under the Fourteenth Amendment. They named as defendants the Commissioners of the New York Department of Social Services and the Department of Health.
The Supreme Court concluded that the plaintiffs had failеd to establish the necessary state action. In reaching that conclusion, the Court examined various statutes, regulations, and state constitutional provisions that: (1) required nursing home physicians to complete state-devised forms concerning patients' health; (2) required nursing homes to make all possible efforts to transfer patients to appropriate levels of care; (3) authorized the state to assess fines against facilities that violated applicable regulations; (4) required the state to approve or disapprove continued payment of Medicaid benefits to nursing homes on the basis of decisions to discharge or transfer particular patients; and (5) authorized the New York Legislature to provide funds for the care of the needy. The Court concluded that none of these provisions demonstrated that state officials were responsible for the decision to discharge or transfer specific patients. Id. at 1008,
In Gilmore v. Salt Lake Community Action Program,
Several other courts of appeals have applied the nexus test to alleged constitutional violations arising out of leases of government owned facilities. For example, in Wagner v. Metropolitan Nashville Airport Auth.,
The Eleventh Circuit reached a similar conclusion in NBC v. Communications Workers of America, AFL-CIO,
In contrast, in D'Amario v. Providence Civic Center Auth.,
The Supreme Court's analysis in Blum, our decision in Gilmore, and the decisions of the First, Sixth, and Eleventh Circuits under analogous factual scenarios frame our application of the nexus test to this case. Following the reasoning of these decisions, we must determine whether there was a sufficiently close nexus between University rules, policies, decisions, and actions and the pat-down searches outside the Huntsman Center.
The appellants maintain that the following factors establish the requisite nexus: (1) the sections of the Huntsman Center's operations manual and the parts of the job description of its Executive Director that, according to the appellants, established a duty to provide security; (2) the fact that Mr. James was aware of the decision to perform pat-down searches; and (3) observation of the pat-down searches by University Department of Public Safety officers. These factors are insufficient to establish the requisite nexus.
As to the first factor, appellants rely on the provisions of the Huntsman Center's operations manual that stated that officers from the University's Department of Public Safety "shall provide security" at Huntsman Center events. They also note that the University's job description for the Executive Director of the Huntsman Center provided that the Director was ultimately responsible for final decisions regarding the number of support personnel, including security officers, at Huntsman Center events.
Following Blum, Gilmore, and cases from other circuits regarding the leasing of public facilities, we conclude that these University rules and policies, standing alone, are simply too general to supply the required nexus to the pat-down searches. In this regard, it is noteworthy that both the federal regulations analyzed by the Sixth Circuit in Wagner and the lease considered by the Eleventh Circuit in NBC contained similarly general language conferring broad respоnsibility on the government entity. See Wagner,
To be sure, if the appellants could demonstrate that the pat-down searches directly resulted from the University's policies then the required nexus would be established. However, evidence of such a specific causal connection is lacking. In particular, it is uncontroverted that the challenged searches were conducted pursuant to a policy formulated by Contemporary Services. There is no evidence in the record indicating that the University's rules and policies influenced the formulation or execution of this policy. Indeed, there is nothing in the record that suggests that if United Concerts and Mr. Young had decided to hold the concert at a privately owned facility in which the University's policies and procedures did not apply the pat-down searches would have been conducted any differently than they were at the Huntsman Center. Therefore, we conclude that the requisite nexus between the University's policies and procedures and the pat-down searches is absent. Compare United States v. Henry,
The remaining factors advanced by the appellants are similarly insufficient. As to Mr. James's involvement, the record establishes only that sometime prior to the concert he learned that Contemporary Services would conduct the pat-down searches. Although there is some disрute in the record as to precisely when he learned about the decision to conduct the searches and about whether the University's rules and policies gave him the authority to prevent the searches from occurring, these disputes are not material here. As we have noted, it is well established that a state official's mere approval of or acquiescence to the conduct of a private party is insufficient to establish the nexus required for state action. See, e.g., San Francisco Arts & Athletics,
Finally, as to the observation of the searches by uniformed officers from the University's Department of Public Safety, we note that a number of courts have held that the mere presence of police officers does not transform the conduct of private parties into state action. See, e.g., Soldal v. County of Cook,
Accordingly, because the factors identified by the appellants do not establish a sufficiently close nexus between the University and the pat-down searches at the Huntsman Center, we hold that the nexus test for state action is not satisfied.
B. Symbiotic Relationship
State action is also present if the state "has so far insinuated itself into a position of interdependence" with a private party that "it must be recognized as a joint participant in the challenged activity." Burton,
In Burton, the Court held that a privately owned restaurant's refusal to serve an African-American customer constituted state action because the restaurant leased space from a parking garage owned by a state agency. The Court reasoned that the state's leasing of space to the restaurant conferred a variety of mutual benefits on each party. The restaurant obtained tax benefits and convenient parking for its customers. Public funds were used for building maintenance. In turn, the restaurant was "a physically and financially integral and, indeed, indispensable part of the State's plan to operate its project as a self-sustaining unit." Burton,
Subsequent Supreme Court decisions have read Burton narrowly. See generally 1 Schwartz & Kirklin, supra, Sec. 5.11, at 274 ("The present Supreme Court ... has not found state action in any case that has relied upon Burton. In each case in which the applicability of Burton has arisen, the Court has distinguished Burton on its facts as part of its justification for not finding state action."). The Court has held that extensive state regulation, the receipt of substantial state funds, and the performance of important public functions do not necessarily establish the kind of symbiotic relationship between the government and a private entity that is required for state action. See, e.g., San Francisco Arts & Athletics,
In Milo v. Cushing Mun. Hosp.,
The applicable decisions clearly establish no bright-line rule for determining whether a symbiotic relationship exists between a government agency and a private entity. Questions as to how far the state has insinuated itself into the operations of a particular private entity and when, if ever, the operations of a private entity become indispensable to the state are matters of degree. Nevertheless, in this case, we find no symbiotic relationship between United Concerts, Contemporary Services, and the University of Utah.
In arguing that such a relationship existed, the appellants focus on two factors: (1) the fact that challenged searches occurred on University property; and (2) the fact that the University profited from Mr. Young's concert. Appellants maintain that our decision in Milo and the Fifth Circuit's decision in Jatoi v. Hurst-Euless-Bedford Hosp. Auth.,
As we have noted in оur discussion of the nexus test, the first factor is clearly not sufficient. The fact that certain conduct occurs on public property does not establish state action. See, e.g., Wagner,
As to the University's profits from the concert, appellants note that the income earned from Mr. Young's concert constituted approximately five percent of the total income generated by the Huntsman Center during the 1991 fiscal year. They also observe that, excluding income from concession sales, novelty sales, and parking, approximately nineteen percent of the Huntsman Center's total income for 1991 came from concerts promoted by guest sponsors such as United Concerts. According to appellants, the University also obtained several noneconomic benefits as a direct result of the pat-down searches. They maintain that the searches enhanced the University's ability "to draw the public to concerts and to seal contracts with populаr performers." Aplt. Brief in Chief at 35. The appellants also claim that searches assisted University officials in enforcing the University policies prohibiting alcohol, drugs, and video and tape recorders from the Huntsman Center.
Appellants read Burton and its progeny too broadly. Here, in contrast to Burton, the record does not establish that the allegedly unconstitutional conduct generated profits that were indispensable elements in the University's financial success. The economic benefits that the University derived from leasing the Huntsman Center are indistinguishable from those that could be obtained through contracts generally. See Rendell-Baker,
The noneconomic benefits alleged by appellants are similarly insufficient to establish the requisite symbiotic relationship. The fact that the policies of both United Concerts and the University policies prohibited many of the same items (including drugs and recording equipment) does not mean that the two entities were functionally intertwined under the Burton standard. In certain instances, the pat-down searches performed by Contemporary Services employees may have revealed items prohibited by University policies, thereby assisting in their enforcement. However, this assistance falls far short of the degree of indispensability required by Burton and, again, is indistinguishable from a variety of benefits that government entities generally derive from public contracts. See Rendell-Baker,
In summary, although the University derived benefits from leasing the Huntsman Center to United Concerts and, in some instances, may have obtained assistance in the enforcement of its policies from pat-down searches of some concert patrons, these benefits are insufficient to establish a symbiotic relationship between the University, United Concerts, and Contemporary Services. Accordingly, the symbiotic relationship test for state action has not been satisfied.
C. Joint Action
State action is also present if a private party is a "willful participant in joint action with the State or its agents." Dennis v. Sparks,
In applying this test, some courts have adopted the requirements for establishing a conspiracy under Section 1983. These courts conclude that "[a] requirement of the joint action charge ... is that both public and private actors share a common, unconstitutional goal." Cunningham v. Southlake Ctr. for Mental Health, Inc.,
Other courts applying the joint action test have focused on the manner in which the alleged constitutional deprivation is effected. These decisions hold that, if there is a "substantial degree of cooperative action" between state and private officials, Collins,
We have applied the joint action test in several cases involving allegations that private citizens acted in concert with police officers in making arrests. In both Carey v. Continental Airlines Inc.,
In Coleman v. Turpen,
In the instant case, the appellants contend that several factors indicate that United Concerts and Contemporary Services acted in concert with University officials in conducting the pat-down searches such that they should be considered state actors under the joint action test. First, appellants focus on the University policies and regulations that gave Mr. James, as director of the Huntsman Center, broad authority over security for the facility. Second, appellants maintain that the University, United Concerts, and Contemporary Services shared a common aim: "to produce a musical concert from which each would benefit financially." Aplt. Brief in Chief at 40.
Neither of these factors supports a finding of state action under the joint action test. As we have noted in discussing the requirements of the nexus test, the University's policies regarding the Huntsman Center established general obligations to provide security and various support services at events but were silent as to the kind of security provided by lessees such as United Concerts. This silence establishes no more than the University's acquiescence in the practices of the parties that leased the Huntsman Center and is insufficient to establish state action under the joint action test. See Flagg Bros.,
Similаrly, the fact that the University, United Concerts, and Contemporary Services arguably shared the common goal of producing a profitable music concert does not establish the necessary degree of concerted action. Under this approach, state and private entities must share a specific goal to violate the plaintiff's constitutional rights by engaging in a particular course of action. See Cunningham,
Moreover, just as under the nexus test, the fact that officers from the University's Department of Public Safety observed the searches is not sufficient to establish state action. "[T]he mere presence of police at the scene of a private act ... in which they do not participate does not transform the private act into a public one." Soldal,
The appellants' reliance on Jones v. Gutschenritter,
Accordingly, because there is no evidence in the record from which a jury could reasonably conclude that University officials jointly participated in the pat-down searches at the Huntsman Center, we hold that the joint action test is not satisfied. See Moore v. City of Paducah,
D. Public Function
If the state delegates to a private party a function "traditionally exclusively reserved to the State," Jackson,
Nevertheless, the Supreme Court has found some functions to satisfy this test. These traditional state functions include administering elections of public officials, Terry v. Adams,
Here, the apрellants contend that, by safeguarding public property, United Concerts and Contemporary Services performed a public function such that they should be considered state actors. For several reasons, we disagree. Most importantly, appellants' characterization of the function performed by United Concerts and Contemporary Services is too broad. Planning the searches independently and conducting them without the assistance of University officials, these two private firms acted pursuant to their own policies. Thus, the function here at issue may be more accurately described as providing security for a company that leases a government-owned facility for an evening.
We have unearthed no decision that specifically addresses the proper characterization of providing security at a building leased from a government entity. However, courts considering private entities performing analogous tasks have refused to find a traditionally exclusive public function. For example, in NBC, the Eleventh Circuit concluded that a union leasing a municipally owned facility was not a state actor under the public function test when it excluded a broadcasting company from one of its meetings. The Eleventh Circuit reasoned that "[s]electing media stations to cover a speech has never been an exclusive function of the government, nor has constructing and renting space in which to conduct meetings."
Our cases involving citizens' arrests also militate against finding an exclusive state function here. In both Carey and Lee we found that a citizen making such an arrest was not a state actor. Although we did not apply the public function analysis directly, our conclusion that private citizens making arrests were not state actors because they did not act in concert with state officials suggests that the mere performance of security functions such as those here at issue is not traditionally an exclusive function of the state.4
We therefore conclude that conducting the pat-down searches did not constitute a traditionally exclusive state function, and that, as a result, the public function test for state action is not satisfied.
III. CONCLUSION
The pat-down searches conducted at the Huntsman Center on March 20, 1991 cannot be fairly attributed to the State of Utah under any of the tests for state action. Accordingly, we AFFIRM the district court's grant of summary judgment in favor of Mr. James, United Concerts, and Contemporary Services.
Notes
The Honorable Frederick A. Daugherty, Senior United States District Judge for the Northern, Eastern, and Western Districts of Oklahoma, sitting by designation
In the district court proceedings, several of the appellants presented affidavits stating that the pat-down searches were performed by individuals wearing clothing identifying them as working for the University and the Huntsman Center. Aplt.App. at 27, 33. The appellants did not specify the identifying information on the clothing. However, at a hearing beforе the district court, appellants' counsel acknowledged that the individuals performing the challenged searches wore jackets with the initials "C.S.C." on the front and "Event Staff" on the back. Aple.App. at 335-36. In addition, appellants' counsel acknowledged that Contemporary Services employees conducted all of the challenged searches. Id
One of the appellants stated that the individual performing the search "patted down my arms and legs, my groin, my underarms and my torso." Aplt.App. at 32. Another appellant stated that she was six months pregnant when she attended the concert and that the female employee of Contemporary Services who conducted the search "patted down my entire stomach at least twice and kept insisting that my stomach was 'too hard.' " Aplt.App. at 38
It should be noted that, under Utah tort law, a plaintiff may recover on a claim for battery if she has been subjected to an intentional, unprivileged touching that is harmful or offensive. See D.D.Z. v. Molerway Freight Lines,
Appellants also argue that the Supreme Court's decision in West v. Atkins,
In West, the Supreme Court concluded that a physician under contract to provide medical services to inmates at a state prison was a state actor. The Court did not expressly undertake any of the four state action inquiries that we have outlined, but instead concluded that the physician was " 'clothed with the authority of state law,' " id. at 55,
Here, the appellants maintain that University officials had the same kind of nondelegable duty to provide security at the Huntsman Center. Appellants read West too broadly. Unlike the physician in West, the Contemporary Services employeеs who conducted the pat-down searches at the Huntsman Center were not carrying out an affirmative constitutional obligation of the state. The enforcement of a policy established by a private security firm and subject to the approval of a private concert promoter is clearly distinguishable from the provision of constitutionally required medical care to individuals incarcerated by the state. See generally 1 Schwartz & Kirklin, supra, Sec. 5.6, at 262 (concluding that the holding of West is based upon "a unique coalescing of factors, namely, (1) the provision of services, pursuant to state contract, which the state is constitutionally obligated to provide, (2) in a state facility, (3) to individuals having no other access to those services, and (4) under the heavy influence of state authority").
In support of their contention that conducting the pat-down searches constituted a traditional state function, the appellants also rely on Citizens to End Animal Suffering & Exploitation, Inc. v. Faneuil Hall Marketplace, Inc.,
Faneuil Hall is distinguishable. In contrast to the Faneuil Hall Marketplace, there is no indication in the record here that on the evening of March 20, 1991, the Huntsman Center was encumbered by a public easement. Unlike the function performed by the security guards in Faneuil Hall, the actions of Contemporary Service employees in carrying out a privately formulated policy pursuant to a contract with a private concert promoter cannot be equated with those performed by a policeman.
