Lead Opinion
OPINION
This case comes to the -court on the consolidated appeals of plaintiffs, Watchtower Bible and Tract Society of New York, Inc. and Wellsville, Ohio, Congregation of Jehovah’s Witnesses, Inc.; and of defendants, the Village of Stratton, Ohio, and its Mayor, John M. Abdalla. Plaintiffs appeal the district court’s judgment denying portions of their First Amendment challenges to the Village’s solicitation and canvass ordinance. On appeal they argue that the ordinance is facially unconstitutional because it is overly broad and vague, and, as applied, the ordinance violates their rights to free speech and free exercise of religion. Defendants appeal the district court’s judgment awarding plaintiffs attorneys’ fees as a prevailing party in the First Amendment litigation. They argue that the court erred in finding that plaintiffs were entitled to attorneys’ fees,
Because the ordinance is neither unconstitutionally overbroad nor vague and it is narrowly tailored to serve significant government interests, we affirm the district court’s judgment finding the majority of the ordinance constitutionally permissible. And because the district court did not abuse its discretion in awarding plaintiffs reasonable attorneys’ fees, we affirm that judgment as well.
I. FACTS
This dispute centers on the Village of Stratton’s ordinance regulating the soliciting and canvassing of private homes in the Village. By its terms, the ordinance applies to “canvassers, solicitors, peddlers, [or] hawkers” that go on a private residence in the Village for the “purposes of advertising, promoting, selling and/or explaining any product, service, organization or cause.” Such individuals must first register with the Office of the Mayor by filling out a Registration Form. The Registration Form requires the individuals to furnish information about their cause, why they are canvassing, which residences they intend to canvass, how long they intend to canvass, and any “other information concerning the Registrant^] and [their] business or purpose as may be reasonably necessary to accurately describe the nature of the privilege desired.”
If individuals covered by the ordinance fail to comply with these requirements, they could be charged with a misdemeanor of the fourth degree.
Plaintiffs challenged the ordinance in district court seeking a declaratory judg
Unsatisfied with the scope of this relief, plaintiffs filed a timely notice of appeal from the court’s judgment. The notice reads, “Plaintiffs ... hereby appeal ... those parts of the [district court’s] Order ... which uphold the constitutionality[ — jfacially and as applied to the Plaintiffs” — of the ordinance.
In addition to fifing an appeal, plaintiffs, based upon the judgment on the merits, filed a motion for attorneys’ fees pursuant to 42 U.S.C. § 1988. The district court determined that plaintiffs were a prevailing party and therefore entitled to attorneys’ fees. After reducing the requested award, the court awarded plaintiffs $58,892.41 in attorneys’ fees and costs. Defendants filed a timely notice of appeal from that judgment.
The appeals are now consolidated and before us.
II. CONSTITUTIONALITY OF THE ORDINANCE
The First Amendment to the United States Constitution provides, “Congress shall make no law ... prohibiting the free exercise [of religion]; or abridging the freedom of speech, or of the press.” U.S. Const, amend. I. The Supreme
A. Free Speech Challenges
Plaintiffs contend that the ordinance’s requirement that canvassers register prior to canvassing fails the Free Speech Clause analysis both facially and as applied to them. Predictably, much of their argument is dedicated to attempting to convince us that the ordinance is subject to strict scrutiny. And as equally predictable, the Village dedicates a large portion of its brief to arguing that the ordinance is subject to some lower level of scrutiny.
1. Level of Judicial Scrutiny
As an initial matter, we note that the Supreme Court has not set forth a framework for determining what level of scrutiny to apply to laws that require an individual to obtain a permit prior to going door-to-door. It has, however, established a framework for answering the question in the context of laws requiring an individual to obtain a permit prior to engaging in speech in a public forum. See Forsyth County v. Nationalist Movement,
Under that framework, a law that is content based is subject to strict scrutiny. See Turner Broad. Sys., Inc. v. Federal Communications Comm’n,
Using that framework, the district court determined that the ordinance was content neutral and of general applicability and therefore subject to intermediate scrutiny. Plaintiffs argue that the district court erred and urge us to review the ordinance under strict scrutiny. Strict scrutiny applies, they argue, because the ordinance potentially infringes upon two constitutionally protected rights — freedom of speech and freedom of religion- — thereby making their claim a “hybrid rights” claim. And, they continue, the Supreme Court in Employment Division v. Smith,
We cannot agree. Our review of the ordinance leads us to conclude it is content neutral and of general applicability, and hence, subject to intermediate scrutiny. A law is content neutral and of general applicability if on its face and in its purpose it does not make a distinction between favored and disfavored speech. See Turner Broad.,
The evidence plaintiffs cite in support of their argument misses the mark. That the No Solicitation Form listed Jehovah’s Witnesses is not evidence that the Village’s purpose in promulgating the ordinance was to restrict their speech; rather, it is evidence of the Village’s administration of the ordinance. And that evidence does not indicate that the Village applied the ordinance unequally. It may simply be that Jehovah’s Witnesses, along with the other organizations listed on the form, canvassed or solicited more frequently than other groups, thereby making it efficient to place them name on the form. Likewise, the testimony of the Mayor that he would not grant Jehovah’s Witnesses an exemption from the ordinance’s hours restriction is not evidence of the purpose of the Village in promulgating the ordinance. Nor is it evidence of the Village’s application of the ordinance, as plaintiffs have not applied for an exemption. We do note, as the district court did, that were we to find disparate treatment in the granting of exemptions from the time restraints, we would be troubled. However, as our review finds nothing of the sort, we believe the ordinance is neutral on its face and the Village’s purpose in promulgating it was content neutral. Therefore, we hold that it is subject to intermediate scrutiny.
In so holding, we reject plaintiffs’ assertion that the Supreme Court established in Employment Division v. Smith that laws challenged by hybrid rights claims are subject to strict scrutiny. While much debate has revolved around the Court’s language in Smith, we do not believe the Court held there, nor has it ever held, that a different level of scrutiny applies to laws that potentially affect hybrid rights. In rejecting the plaintiffs’ argument that “ ‘prohibiting the free exercise [of religion]’ includes requiring any individual to observe a generally applicable law,” the Smith Court noted,
The only decisions in which we have held that the First Amendment bars application of a neutral, generally applicable law to religiously motivated action have involved not the Free Exercise Clause alone, but the Free Exercise Clause in conjunction with other constitutional protections, such as freedom of speech and of the press....
Smith,
2. Merits of Free Speech Claims
It bears emphasis that, contrary to plaintiffs’ assertions, Supreme Court dicta is not on their side. On numerous occasions the Court has strongly suggested that registration schemes such as the Village’s would pass constitutional muster.
Nothing we have said is intended even remotely to imply that, under the cloak of religion, persons may, with impunity, commit frauds upon the public.... Without doubt a state may protect its citizens from fraudulent solicitation by requiring a stranger in the community, before permitting him publicly to solicit funds for any purpose, to establish his identity and his authority to act for the cause which he purports to represent.
Cantwell,
We begin our review with a brief discussion of the differences between as applied and facial challenges. “If a statute is unconstitutional as applied, the State may continue to enforce the statute in different circumstances where it is not unconstitutional, but if a statute is unconstitutional on its face, the State may not enforce the statute under any circumstances.” Women’s Med. Prof'l Corp. v. Voinovich,
“In a facial challenge to the over-breadth and vagueness of a law, the court’s first task is to determine whether the enactment reaches a substantial amount of constitutionally protected conduct. If it does not, then the overbreadth challenge must fail. The court should then examine the facial vagueness challenge.... ” Village of Hoffman Estates v. Flipside, Hoffman Estates, Inc.,
i. Unconstitutionally Overbroad
Plaintiffs argue the ordinance is unconstitutionally overbroad because it would have the effect of prohibiting individuals from going door-to-door to engage in political speech without first obtaining a permit. An effect, they allege, the Supreme Court effectively made unconstitutional in McIntyre v. Ohio Elections Commission,
McIntyre’s holding misses Stratton’s ordinance. The McIntyre Court established a First Amendment right to distribute political pamphlets anonymously. See id. at 357,
While the ordinance requires political canvassers to reveal the remainder of their identities, i.e., their names, we do not believe that requirement rises to the level of impinging on First Amendment protected speech the Court sought to protect by fashioning the right in McIntyre. By creating a right of anonymity, the Court sought “to protect unpopular individuals from retaliation — and their ideas from suppression.” Id. Once the political canvassers are before the resident, the ability to protect them from those dangers is substantially diminished. Accordingly, there is little reason to read the Court’s holding as protecting political canvassers from being required to reveal a portion of their identities when their very activity will reveal other portions of their identity and subject them to scrutiny.
ii. Unconstitutionally Vague
A law is unconstitutionally vague when it does not afford a “person of ordinary intelligence a reasonable opportunity to know what is prohibited,” Grayned v. City of Rockford,
We find no merit in any of these assertions. Only the last assertion requires any explanation. According to plaintiffs, the Supreme Court’s decision in Hynes v. Mayor & Council of the Borough of Oradell,
b. As Applied Challenge
In the context of an as applied challenge, a law requiring registration pri- or to engaging in speech would pass intermediate scrutiny if it were narrowly tailored to serve a significant government interest and left open ample alternatives for communication. See Nationalist Movement,
As applied to them, plaintiffs argue, the ordinance’s registration scheme does not meet these standards because it does not promote a significant government interest and is not narrowly tailored to promote the interests that the Village alleges are significant. Specifically, they argue that the Village has no significant interest to promote because (1) its interest in protecting its residents from annoyance in their homes simply is not a significant governmental interest and (2) while a government’s interest in preventing fraud is significant, the Village has not shown that there is a real threat of fraud to its residents. The ordinance is not narrowly tailored, they maintain, because it does not leave open ample alternative channels of communication. Given these flaws, they conclude, we must prohibit the Village from enforcing the ordinance against them.
We disagree. There can be little doubt that the governmental interests the Village seeks to promote — protecting its residents from fraud and undue annoyance in their homes — are sufficiently significant. See Ward,
And from our review of the record, we believe that is what the Village did. The ordinance promotes the Village’s interest in protecting the privacy of its residents by creating additional deterrents for canvassers, including Jehovah’s Witnesses, who are considering ignoring a resident’s wishes and canvassing the resident’s home. A Jehovah’s Witness is more likely to respect the resident’s wishes not to be canvassed when a criminal penalty — albeit a light penalty — is connected to such conduct in addition to the threat of civil action. Thus, the penalty attached to canvassing the house of a resident with a No Solicitation Sign more effectively promotes the Village’s interest. The ordinance’s registration requirements also likely deter Jehovah’s Witnesses from canvassing homes with No Solicitation Signs and forms because they are aware that the Village now has information — name, address, organization or cause — helpful in apprehending someone who ignores a resident’s wishes. The extra deterrence the ordinance creates promotes the Village’s interest in protecting its residents from undue annoyance and that interest “would be achieved less effectively absent the [ordinance].” Ward,
As to the latter method of furthering the interest — the registration requirement— the dissent misstates the issue. It is not whether the requirement deters by increasing the degree of punishment. Rather it is whether the requirement increases the likelihood of punishment. It does.
The Village’s interest in preventing fraud would also be achieved less effectively absent the ordinance. Absent a registration requirement, the Village has no way of assessing whether canvassers are in fact affiliated with an organization such as Jehovah’s Witnesses or are instead
We believe the dissent misunderstands our reasoning and the effect of the registration requirement. Its argument that the requirement burdens substantially more speech than necessary because it requires registration “not only for those wishing to engage in sales transactions — a possible avenue for fraud — but also for those wishing to engage in political, religious, or social advocacy” assumes too much. First, it assumes that the only avenue for engaging in fraud is posing as a sales person. That need not be the only avenue. Second, it assumes that one who intends to engage in fraud by posing as a sales person would be honest enough to inform the Village that he was intending to pose as a sales person and thus would register as such. That is not necessarily the case. It is also possible that the criminal would inform the Village that he was going to engage in political, religious, or social advocacy in order to avoid the registration requirement. It would be nice if the Village had the ability to discern in advance who, or what type of groups, will commit fraud. However, it does not. And absent such ability, the Village does not burden substantially more speech than necessary by requiring all individuals seeking to go door-to-door to register.
Moving to the final requirement of intermediate scrutiny, we believe' that the ordinance leaves open ample alternatives of communication. Indeed, the ordinance does not foreclose the option of going door-to-door; one only need register first. Plaintiffs’ argument that the ordinance effectively forecloses that option to them because of their religious convictions, as we will discuss below, is foreclosed by the Court’s decision in Employment Division v. Smith.
This is not to say, as the dissent suggests we are holding, that meeting the ample alternatives requirement alone is sufficient to pass constitutional muster. Indeed, if that were the case, we would have foregone the rest of the analysis, evaluated the alternatives available to Jehovah’s Witnesses, and called it a day.
As the ordinance satisfies the ample alternatives as well as the other requirements of intermediate scrutiny, we hold that the ordinance does not violate plaintiffs’ free speech rights.
B. Free Exercise Claims
1. Whether the Ordinance is Unconstitutional
We reach the same conclusion with respect to plaintiffs’ free exercise challenges. Other than arguments that the ordinance fails strict scrutiny, plaintiffs offer no arguments for why the ordinance Violates their free exercise rights.
Instead, they cite a handful of Supreme Court cases all of which, they claim, stand for the proposition that the “Supreme Court has continuously held that Jehovah’s Witnesses cannot be required to obtain a
Nor does a general review of the ordinance under current law warrant such a finding. Under recent Supreme Court precedent, a law that is content neutral and of general applicability does not violate an individual’s free exercise rights. See Smith,
We find the law to be both content neutral and of general applicability. In the context of free exercise challenges, a law is not content neutral if “the object of the law is to infringe upon or restrict religious practices because of their religious motivation.” Id. at 532,
We also find that the law is of general applicability. To be generally applicable, the law must not be the product of a government action that, in pursuit of legitimate interests, “impose[s] burdens only on conduct motivated by religious belief essential to the protection of the rights guaranteed by the Free Exercise Clause.” Id. at 543,
2. Exemption from, the Ordinance
For the same reason, we deny plaintiffs’ request for an exemption from the requirements of the ordinance. Plaintiffs argue that they should be granted an exemption from the ordinance because seeking permission to spread their religious beliefs violates their religious convictions. To support their argument they cite Wisconsin v. Yoder,
That is not the law. As the Court noted in Smith, it “has never held that an individual’s religious beliefs excuse him from compliance with an otherwise valid law prohibiting conduct that the State is free to regulate.” Smith,
In conclusion, we affirm the district court’s judgment that the ordinance does not violate plaintiffs’ First Amendment rights and we deny them an exemption from complying with the ordinance. We now review the Village’s challenges to the district court’s judgment awarding plaintiffs attorneys’ fees.
III. ATTORNEYS’ FEES
Briefly, the Village argues that the district court erred in awarding attorneys’ fees by concluding (1) that plaintiffs were the prevailing party and (2) that they obtained substantial relief and were thus entitled to compensation for the time their attorneys expended on the entire course of the litigation. It contends that plaintiffs’ relief was so small — and not of the type sought — that they cannot be considered the prevailing party. And, even if they are, by no means did they obtain the relief for which they hoped — being exempted from complying with the ordinance — and therefore cannot be considered to have achieved substantial success.
In reviewing an award of attorneys’ fees under § 1988, we review the factual findings underlying the district court’s determination of prevailing status for clear error and its award of attorneys’ fees for abuse of discretion. See Gregory v. Shelby County,
We have no trouble agreeing with the district court’s conclusion that plaintiffs were in fact the prevailing party. As a result of the litigation, their legal relationship with the Village was altered in a manner which they sought. See Hensley v. Eckerhart,
Therefore, we affirm the district court’s judgment awarding plaintiffs attorneys’ fees and costs.
For the foregoing reasons, we affirm the district court’s judgments.
Notes
. Specifically, the relevant section of the Ordinance reads:
The Form shall be completed by the Registrant and it shall then contain the following information:
(1) The name and home address of the Registrant and Registrant’s residence for five years next preceding the date of registration;
(2) A brief description of the nature and purpose of the business, promotion, solicitation, organization, cause, and/or the goods or services offered;
(3) The name and address of the employer or affiliated organization, with credentials from the employer or organization showing the exact relationship and authority of the Applicant;
(4) The length of time for which the privilege to canvass or solicit is desired;
(5) The specific addresses of each private residence at which the Registrant intends to [canvass]; and
(6) Such other information concerning the Registrant and its business or purpose as may be reasonably necessary to accurately describe the nature of the privilege desired.
. For the purposes of this opinion, we will refer to any activity covered by the ordinance as canvassing and those individuals engaging in such activities as canvassers.
. Plaintiffs are not appealing the portion of the ordinance the district court found unconstitutional and revised nor do they question the legitimacy of that ruling. Consequently, those questions are not before us. While we would likely have no problems with the court's decision to strike the time restriction provision from the ordinance as we believe it is severable under Ohio law, see Women's Med. Prof'l Corp. v. Voinovich,
. The alternative would be to analyze the ordinance under the standard set forth in United States v. O'Brien,
. Several of our sister circuits have indicated in dicta that they would reject challenges to the identification portion of solicitation ordinances similar to Stratton’s as well. See, e.g., City of Watseka v. Illinois Public Action Council,
. Even if McIntyre were implicated, we would find the ordinance constitutional on its face. In reviewing Ohio's statute, the Court applied strict scrutiny. As we have already noted, we are reviewing Stratton’s ordinance under intermediate scrutiny. We believe the difference in scrutiny would be outcome determinative.
. Although the Village has not brought an enforcement action against plaintiffs, we believe plaintiffs have standing to proceed on their as applied challenge. See Babbitt v. United Farm Workers Nat'l Union,
. The Supreme Court made this clear in Ward where it said, "This less restrictive-alternative analysis ... has never been a part of the inquiry into the validity of a time, place, and manner regulation.... Instead, our cases quite clearly hold that restrictions on time, place, or manner of protected speech are not invalid simply because there is some imaginable alternative that might be less burdensome on speech.” Ward,
. Contrary to Watchtower's assertions at oral argument, the Court in Martin v. City of Struthers did not hold that a government’s interest in protecting its residents from undue annoyance in their homes is insufficient to uphold an ordinance such a Stratton's. At best, the Court said that such an interest is insufficient to uphold an ordinance flatly prohibiting door-to-door canvassing. See Martin,
The State’s interest in protecting the well-being, tranquility, and privacy of the home is certainly of the highest order in a free society.... Our prior decisions have often remarked on the unique nature of the home, the last citadel of the tired, the weary, and the sick, ... and have recognized that preserving the sanctity of the home, the one retreat to which men and women can repair to escape from the tribulations of their daily pursuits, is surely an important value.
One important aspect of residential privacy is protection of the unwilling listener. Although in many locations, we expect individuals simply to avoid speech they do not want to hear ..., the home is different. That we are captives outside the sanctuary of the home and subject to objectionable speech ... does not mean we must be captives everywhere.... Thus, we have repeatedly held that' individual’s are not required to welcome unwanted speech into their homes and that the government may protect this freedom.
Frisby v. Schultz,
. Plaintiffs and dissent argue that the Village could have included in the ordinance an exception from its requirements for Jehovah's Witnesses. If the Village had included such an exception, however, the ordinance would not be content neutral. Therefore, we do not believe that to be a viable alternative here.
Concurrence in Part
Judge, concurring-in part and dissenting in part.
I agree with the majority that the Village of Stratton’s ordinance is not unconstitutionally vague and does not violate the free exercise rights of the Jehovah’s Witnesses. Because the ordinance is content neutral on its face, I also agree that intermediate scrutiny is the proper standard applicable to its review. Finally, I agree with the majority’s decision to affirm the award of attorneys fees to the Jehovah’s Witnesses.
I disagree, however, with the majority’s application of the intermediate scrutiny standard, and would hold that the ordinance violates the First Amendment by burdening substantially more speech than is necessary to further the Village’s legitimate interests. See Ward v. Rock Against Racism,
The Supreme Court has long since recognized that the regulation of door-to-door solicitors must comport with the First Amendment. See Cantwell v. Connecticut,
In the present case, the Village has articulated a legitimate interest in eliminating two evils — fraud and unwanted annoyance. The question, then, is whether the means chosen by the Village to implement its goals significantly restricts a substantial quantity of speech that does not create the same evils. I am of the opinion that the ordinance does just that.
First, by subjecting noncommercial solicitation to its permit requirements, the ordinance restricts a substantial amount of speech unrelated to the prevention of fraud. The ordinance requires a permit not only for those wishing to engage in sales transactions — a possible avenue for fraud — but also for those wishing to engage in political, religious, or social advocacy. Indeed, the Village’s own “No Solicitation Registration. Form” acknowledges that the ordinance reaches political candidates, Christmas carolers, and campaigners for social issues, none of whom create the threat of fraud that the Village intended to address. The ordinance therefore burdens substantially more speech than is necessary to promote the legitimate government interest of fraud protection. See Cleveland Area Bd. of Realtors v. City of Euclid,
The majority emphasizes that “the ordinance does not foreclose the option of going door-to-door; one only need register first.” Majority Op. at 567. Such an argument implies that because a person can engage in speech once he or she has obtained a permit, all permit requirements are constitutional. This is clearly not the
The majority also states that the Jehovah’s Witnesses “may spread their message at stores, on street corners, in restaurants, in parks, and other public forums.” Majority Op. at 21. The Supreme Court, however, has stressed the unique role of door-to-door solicitation as a means of communication, stating that “as every person acquainted with political life knows, door to door campaigning is one of the most accepted techniques of seeking political support.... Door to door distribution of circulars is essential to the poorly financed causes of little people.” Martin v. City of Struthers,
The narrowly tailored requirement demands a balance between the legitimate interests of the government and the constitutional rights of individuals. However, the majority opinion concludes in a very generalized way that the Village of Strat-ton’s registration requirement is constitutional because it “more effectively promotes the Village’s interest.” Majority Op. at 19. But just as the majority accuses the dissent of assuming that those who intend to commit fraud would register as salespeople, the majority assumes (in my view, incorrectly) that those intending to commit fraud would in fact register at all.
As to the Village’s asserted interest in protecting homeowners from “unwanted annoyances,” this interest can be achieved by less restrictive means, such as by enforcing laws against trespass. See Discovery Network, Inc. v. City of Cincinnati,
Indeed, the Village already effectively achieves its interest in protecting homeowners from unwanted annoyances through the section of the ordinance that forbids solicitation at residences where the homeowners have posted “No Solicitation” signs. The same penalty, a fourth-degree misdemeanor, is imposed for violating the “No Solicitation” section as for violating the registration section of the ordinance. Thus someone who would register because they are deterred by the penalty for failing to do so would presumably already be deterred from ignoring a “No Solicitation” sign, while someone who is willing to risk the penalty imposed for ignoring a “No Solicitation” sign would presumably also be willing to risk the penalty for fading to register. The registration requirement, accordingly, is not narrowly tailored to protect homeowners from unwanted annoyances. See Ward,
“Our cases make clear that in assessing the reasonableness of a regulation [that affects speech], we must weigh heavily the fact that communication is involved.” Grayned v. City of Rockford,
For all of the reasons set forth above, I would hold that the ordinance’s permit requirement is an unconstitutional infringement on the Jehovah’s Witnesses’ First Amendment rights.
