Lead Opinion
Opinion by Judge REINHARDT; Concurrence by Judge BRUNETTI; Special Concurrence by Judge REINHARDT; Dissent by Judge FERNANDEZ; Concurrence to Dissent by Chief Judge WALLACE; Dissent by Judge KOZINSKI.
These consolidated appeals require us to consider an important area of constitutional law, rarely reexamined since a series of eases in the 1920s in which the Supreme Court struck down laws restricting the use of non-English languages. See Meyer v. Nebraska,
Specifically at issue in this case is the constitutionality of Article XXVIII of the Arizona Constitution. Article XXVIII provides, inter alia, that English is the official language of the state of Arizona, and that the state and its political subdivisions — including all government officials and employees performing government business — must “act” only in English. Arizonans for Official English and its spokesman Robert D. Parks
This case raises troubling questions regarding the constitutional status of language rights and, conversely, the state’s power to restrict such rights. There are valid concerns on both sides. In our diverse and pluralistic society, the importance of establishing common bonds and a common language between citizens is clear. See Guadalupe Organization, Inc. v. Tempe Elementary School Dist.,
The protection of the Constitution extends to all, to those who speak other languages as well as those born with English on the tongue. Perhaps it would be highly advantageous if all had ready understanding of*924 our ordinary speech, but this cannot be coerced by methods which conflict with the Constitution — a desirable end cannot be promoted by prohibited means.
We conclude that Article XXVIII constitutes a prohibited means of promoting the English language and affirm the district court’s ruling that it violates the First Amendment.
A three-judge panel of this court issued an opinion reaching this same conclusion last year. Yniguez v. Arizonans for Official English,
I.
Factual Background
In October 1987, Arizonans for Official English initiated a petition drive to amend Arizona’s constitution to prohibit the government’s use of languages other than English. The drive culminated in the 1988 passage by ballot initiative of Article XXVIII of the Arizona Constitution, entitled “English as the Official Language.” The measure passed by a margin of one percentage point, drawing the affirmative votes of 50.5% of Arizonans casting ballots in the election. Under Article XXVIII, English is “the official language of the State of Arizona”: “the language of ... all government functions and actions.” §§ 1(1) & 1(2) (see appendix). The provision declares that the “State and all [of its] political subdivisions” — defined as including “all government officials and employees during the performance of government business”— “shall act in English and no other language.” §§ l(3)(a)(iv) & 3(l)(a).
At the time of the passage of the article, Yniguez, a Latina, was employed by the Arizona Department of Administration, where she handled medical malpractice claims asserted against the state. She was bilingual — fluent and literate in both Spanish and English.
State employees who fail to obey the Arizona Constitution are subject to employment sanctions. For this reason, immediately upon passage of Article XXVIII, Yniguez ceased speaking Spanish on the job. She feared that because of Article XXVIII her use of Spanish made her vulnerable to discipline.
Yniguez’s complaint was subsequently amended to include Jaime Gutierrez, a Hispanic state senator from Arizona, as a plaintiff. Gutierrez stated that, prior to the passage of Article XXVIII, he spoke Spanish when communicating with his Spanish-speaking constituents and that he continued to do so even after the article’s passage. He claimed, however, that he feared that in doing so he was liable to be sued pursuant to Article XXVUI’s enforcement provision.
The state defendants all moved for dismissal, asserting various jurisdictional bars to the action. While these motions were pending, the plaintiffs conducted discovery and compiled the defendants’ admissions to interrogatories into a Statement of Stipulated Facts, filed with the district court in February 1989. Also filed with the court was the Arizona Attorney General’s opinion regarding the interpretation of Article XXVIII, which explained that, “to avoid possible conflicts with the federal ... constitution! ],” the Attorney General had concluded that the Article only covered the “official acts” of the Arizona government. Finally, the court heard testimony from Yniguez, Senator Gutierrez, and Jane Hill, a linguistic anthropologist, about the adverse impact of Article XXVIII on their speech rights, and the speech rights of the Hispanic population of Arizona.
The district court issued its judgment and opinion on February 6, 1990. Yniguez v. Mofford,
The district court then reached the merits of Yniguez’s claim.
In response to the state’s decision not to appeal, Arizonans for Official English moved to intervene post-judgment pursuant to Fed. R.Civ.P. 24(a), for the purpose of pursuing an appeal of the district court’s order. Immediately thereafter, the Arizona Attorney General sought to intervene pursuant to 28 U.S.C. § 2403(b) for the same purpose. The Attorney General also asked that the district court amend the judgment because it did not contain a ruling on the defendants’ prior motion to certify to state court the question of Article XXVUI’s proper interpretation. The district court denied all three motions. See Yniguez v. Mofford,
On July 19, 1991, we reversed the district court’s denial of the intervention motion of Arizonans for Official English. Yniguez v. Arizona,
After we issued our opinion regarding intervention, the state filed a suggestion of mootness based on Yniguez’s resignation from the Arizona Department of Administration in April 1990. In our second opinion in this case, Yniguez v. Arizona,
The district court subsequently granted Yniguez’s motion for an award of attorney’s
II.
The Proper Construction of Article XXVIII
A.
The District Court’s Construction
Although eighteen states have adopted “official-English” laws,
The district court, interpreting what it found to be the “sweeping language” of Article XXVIII, determined that the provision prohibits:
the use of any language other than English by all officers and employees of all political subdivisions in Arizona while performing their official duties, save to the extent that they may be allowed to use a foreign language by the limited exceptions contained in § 3(2) of Article XXVIII.
Yniguez,
For reasons we explain below, we agree with the district court’s construction of the article.
B.
The Attorney General’s Construction
The Arizona Attorney General proffers a highly limited reading of Article XXVIII under which it applies only to “official acts” of state governmental entities.
The Supreme Court has, in the past, looked to the narrowing construction given a provision by the State’s Attorney General as a guide to evaluating the provision’s scope. Broadrick v. Oklahoma,
The Attorney General’s reading of Article XXVIII focuses on § 3(l)(a), which provides, with limited exceptions, that the “State and all political subdivisions of this State shall act in English and in no other language.” § 3(l)(a). The Attorney General takes the word “act” from § 3(l)(a) and engrafts onto it the word “official,” found in the Article’s proclamation of English as the official language of Arizona. In thus urging that the Article only applies to the “official acts” of the state, he also relies on a limited meaning of the noun “act,” defined as a “decision or determination of a sovereign, a legislative council, or a court of justice.” Op.Atty.Gen. Az. No. 189-009, at 21 (quoting Webster’s International Dictionary 20 (3d ed., unabridged, 1976) (third sense of “act”)). In doing so, however, he ignores the fact that “act,” when used as a verb as in Article XXVIII, does not include among its meanings this limited one.
Section l(3)(a)(iv) broadly declares that the rule that Arizona “act in English and in no other language” applies to all government officials and employees during the performance of government business. This prohibition on the use of foreign languages when conducting government business supplements the Article’s listing of “statutes, ordinances, rules, orders, programs and policies,” an enumeration of presumably official acts on which the Attorney General relies heavily. § l(3)(a)(iii). Thus, not only is the Attorney General’s narrow reading of Article XXVIII contradicted by the provision’s expansive language, his reading would render a sizeable portion of the Article superfluous, “violating the settled rule that a [provision] must, if possible, be construed in such fashion that every word has some operative effect.” United States v. Nordic Village, Inc.,
Indeed, the district court’s broader construction of Article XXVIII is the only way to give effect to any of the exceptions contained in § 3(2). If, for example, public teachers in the regular course of their teaching duties would not otherwise be covered by the provision, then there would be no reason to include specific exceptions for some of their duties. See § 3(2)(a) & (c). Moreover, the provision’s clear and specific exclusion of some of the functions of public teachers indicates that the measure on its face applies to other “government employees” performing other types of governmental duties that are not specifically excluded — employees such as clerks at the Department of Motor Vehicles or receptionists at state welfare offices, and
Certainly, there is no justification in the text of Article XXVIII for the Attorney General’s ingenious suggestion that languages other than English may be used whenever such use would reasonably “facilitate the day-to-day operation of government” — that, in other words, the provision’s plain and unequivocal prohibition on the use of other languages may be ignored if it is expedient to do so. To read such a broad and general exception into Article XXVIII would run directly contrary to its structure, scope, and purpose, and would effectively nullify the bulk of its coverage. Article XXVIII plainly does not set forth an innocuous, pragmatic rule that tolerates the use of languages other than English whenever beneficial to the public welfare. Its mandate is precisely the opposite. The use of languages other than English is banned except when expressly permitted. Indeed, the narrow exceptions that set forth the limited circumstances under which non-English languages may be spoken directly belie the conveniently flexible approach that the Attorney General has adopted for purposes of attempting to resurrect a facially unconstitutional measure.
C.
Abstention and Certification
The Attorney General argues, alternatively, that because the Arizona state courts have not had an opportunity to interpret Article XXVIII, we should abstain from deciding this case and certify the question of the proper interpretation of Article XXVIII to the Arizona Supreme Court. See Ariz.Rev. StatAnn. § 12-1861 (permitting federal courts to certify questions of state law to Arizona Supreme Court).
First, we note that a federal court should abstain only in exceptional circumstances, Lind,
To be sure, the Supreme Court in American Booksellers did opt to certify the question of the proper interpretation of a statute to the Virginia Supreme Court.
The Attorney General here, in contrast, has never conceded that the statute would be unconstitutional if construed as Yniguez asserts it properly should be.
D.
Conclusion
We agree with the district court’s construction of Article XXVIII. The article’s plain language broadly prohibits all government officials and employees from speaking languages other than English in performing their official duties, save to the extent that the use of non-English languages is permitted pursuant to the provision’s narrow exceptions section. We reject both the Attorney General’s narrowing construction of the article and his suggestion of abstention and certification. We conclude that were an Arizona court ever to give the broad language of Article XXVIII a limiting construction similar to that proffered by the Attorney General, it would constitute a “remarkable job of plastic surgery upon the face of the [provision].” Shuttlesworth v. City of Birmingham,
III.
Article XXVIII and The First Amendment
A.
Overbreadth
After construing Article XXVIII, the district court ruled that it was unconstitutionally overbroad. Under the over-breadth doctrine, an individual whose own speech may constitutionally be prohibited under a given provision is permitted to challenge its facial validity because of the threat that the speech of third parties not before the court will be chilled. Board of Airport Comm’rs v. Jews for Jesus,
A provision will not be facially invalidated on overbreadth grounds unless its overbreadth is both real and substantial judged in relation to its plainly legitimate sweep, and the provision is not susceptible to a narrowing construction that would cure its constitutional infirmity. See Broadrick v. Oklahoma,
Yniguez contends that Article XXVIII unlawfully prevented her from speaking Spanish with the Spanish-speaking claimants that came to her Department of Administration office. Yniguez, however, challenges far more than Article XXVUI’s ban on her own use of Spanish in the performance of her own particular job. She also contends that the speech rights of innumerable employees, officials, and officers in all departments and at all levels of Arizona’s state and local governments are chilled by Article XXVIII’s expansive reach. At least as important, she contends that the interests of many thousands of non-English-speaking Arizonans in receiving vital information would be drastically and unlawfully limited. For those reasons, she challenges Article XXVIII as overbroad on its face and invalid in its entirety.
Article XXVIII’s ban on the use of languages other than English by persons in government service could hardly be more inclusive. The provision plainly states that it applies to “the legislative, executive, and judicial branches” of both state and local gov-
ernment, and to “all government officials and employees during the performance of government business.” §§ l(3)(a)(i), (ii) & (iv). This broad language means that Article XXVIII on its face applies to speech in a seemingly limitless variety of governmental settings, from ministerial statements by civil servants at the office to teachers speaking in the classroom, from town-hall discussions between constituents and their representatives to the translation of judicial proceedings in the courtroom.
Facial invalidation is also appropriate here because the broad language employed throughout Article XXVIII relates to a single
Moreover, the nature and structure of Article XXVIII is such that if we determine it to be unconstitutionally overbroad, then we must invalidate the entire article and not simply some of its sections. Even a cursory reading of Article XXVIII demonstrates that the provision is an integrated whole that seeks to achieve a specific result: to prohibit the use in all oral and written communications by persons connected with the government of all words and phrases in any language other than English. There is no fair reading of the article that would permit some of its language to be divorced from this overriding objective.
Equally important, the article contains no severability provision that would suggest that any clause or section was intended to survive if other parts were held unconstitutional, cf. Brockett,
As we noted at the outset of this section, however, Article XXVIII will only be unconstitutionally overbroad if it violates the First Amendment in a substantial number of instances. New York State Club Ass’n,
B.
Speech v. Expressive Conduct
Arizonans for Official English argues vehemently that First Amendment scrutiny should be relaxed in this case because the decision to speak a non-English language does not implicate pure speech rights. Rather, the group suggests, “choice of language ... is a mode of conduct” — a “nonverbal expressive activity.” Opening Brief at 15, 18 (emphasis added) (quoting R.A.V. v. City of St. Paul,
We find the analysis employed in the above eases to be inapplicable here, as we are entirely unpersuaded by the comparison between speaking languages other than English and burning flags.
A bilingual person does, of course, make an expressive choice by choosing to speak one language rather than another.
The Supreme Court recognized the First Amendment status of choice of language in somewhat different circumstances when it ratified a speaker’s freedom to say “fuck the draft” rather than “I strongly oppose the draft.” Cohen v. California,
Warning that the First Amendment does not, however, give people the absolute right to use any form of address in any circumstances, the Court next addressed the question of whether Cohen’s conviction could potentially be upheld as a regulation of the manner of Cohen’s speech. Id. at 19,
Under Article XXVIII, of course, the state is not singling out one word for repression, but rather entire vocabularies. Moreover, the languages of Cervantes, Proust, Tolstoy, and Lao-Tze, among others, can hardly be described as “scurrilous.” In this case, therefore, the Court’s admonishment that “in a society as diverse and populous as ours” the state has “no right to cleanse public
As we have noted, it is frequently the need to convey information to members of the public that dictates the decision to speak in a different tongue. If all state and local officials and employees are prohibited from doing so, Arizonans who do not speak English will be unable to receive much essential information concerning their daily needs and fives. To call a prohibition that precludes the conveying of information to thousands of Arizonans in a language they can comprehend a mere regulation of “mode of expression” is to miss entirely the basic point of First Amendment protections.
In sum, we most emphatically reject the suggestion that the decision to speak in a language other than English does not implicate pure speech concerns, but is instead akin to expressive conduct. Speech in any language is still speech, and the decision to speak in another language is a decision involving speech alone.
C.
Affirmative Versus Negative Rights
Arizonans for Official English next contends, incorrectly, that Yniguez seeks an affirmative right to have government operations conducted in foreign tongues. Because the organization misconceives Yniguez’s argument, it relies on a series of cases in which non-Engfish-speaking plaintiffs have unsuccessfully tried to require the government to provide them with services in their own language. See Guadalupe Org. Inc.,
In the case before us, there is no claim of an affirmative right to compel the state to provide multilingual information, but instead only a claim of a negative right: that the state cannot, consistent with the First Amendment, gag the employees currently providing members of the public with information and thereby effectively preclude large numbers of persons from receiving informa
The clearest example of the distinction between affirmative and negative rights may be seen in the case of a state legislator who may seek office and be elected in part because of his ability to speak with his constituents in their native languages. No one could order such an official to speak Spanish or Navajo. Neither, however, can the state preclude him or his staff from transmitting information regarding official state business to persons resident in his district in whatever language he deems to be in the best interest of those he was elected to serve.
The eases relied on by the amendment’s sponsors are inapplicable not only because they involve claims of affirmative rights but because they neither consider nor discuss the First Amendment. Eather, in all those eases the plaintiffs sought to justify the alleged right to compel the state to provide bilingual information and services by reference to equal protection and due process principles. Because mandating compliance with the plaintiffs’ requests would have placed an affirmative burden on state and local agencies to supply a bilingual speaker — creating affirmative costs — the courts rejected the claims. See, e.g., Frontera,
Accordingly, the argument of the amendment’s sponsor is irrelevant to the right we consider in this case. For while the state may not be under any obligation to provide multilingual services and information, it is an entirely different matter when it deliberately sets out to prohibit the languages customarily employed by public employees. In this connection, we note that here, unlike in the affirmative right cases, there is no contention that “harried taxpayers” will be “saddled” with additional costs, or that the state will be subjected to a “patently unreasonable burden.” All that the state must do to comply with the Constitution in this ease is to refrain from terminating normal and cost-free services for reasons that are invidious, discriminatory, or, at the very least, wholly insufficient.
D.
Public Employee Speech
1.
General Principles
If this case involved a statewide ban on all uses of languages other than English within the geographical jurisdiction of the state of Arizona, the constitutional outcome would be clear. A state cannot simply prohibit all persons within its borders from speaking in the tongue of their choice. Such a restriction on private speech obviously could not stand. Meyer v. Nebraska,
For nearly half-a-century, it has been axiomatic in constitutional law that government employees do not simply forfeit their First Amendment rights upon entering the public workplace. In 1972, the Supreme Court elaborated on this principle in upholding a constitutional challenge to a state college’s refusal to renew the contract of a teacher who had criticized its policies. See Perry v. Sindermann,
2.
Regulation of Traditional Types of Public Employee Speech
Arizonans for Official English acknowledges that public employee speech is entitled to First Amendment protection. The group then correctly points out that the Supreme Court has held in a series of cases that the government traditionally has a freer hand in regulating the speech of its employees than it does in regulating the speech of private citizens. See Waters v. Churchill, — U.S. -, -,
Elaborating on concepts previously expressed in Pickering and Connick, the Waters Court examined the reasons that less stringent scrutiny is ordinarily justified in reviewing restrictions on public employee speech. The Court found, in particular, that “the extra power the government has in this area comes from the nature of the government’s mission as employer,” id. at -,
[t]he key to First Amendment analysis of government employment decisions ... is this: The government’s interest in achieving its goals as effectively and efficiently as possible is elevated from a relatively subordinate interest when it acts as sovereign to a significant one when it acts as employer. The government cannot restrict the speech of the public at large just in the name of efficiency. But where the government is employing someone for the very purpose of effectively achieving its*939 goals, such restrictions may well be appropriate.
Id. at -,
Thus, the Court has made it clear that it is the government’s interest in performing its functions efficiently and effectively that underlies its right to exercise greater control over the speech of public employees. Even before Waters, the Court’s concern for efficiency and effectiveness led it to conclude that when a public employee speaks “as an employee upon matters only of personal interest,” then, “absent the most unusual circumstances,” the challenged speech restriction will be upheld. Connick,
The Waters/Pickering cases also establish, however, that public employee speech deserves far greater protection when the employee is speaking not simply upon employment matters of personal or internal interest but instead “as a citizen upon matters of public concern”. Connick,
3.
The Interests Favoring Protection of the Prohibited Speech
Here the speech does not fit easily into any of the categories previously established in the case law. It is clear that the speech at issue cannot be dismissed as merely speech involving “employee grievances” or “internal working conditions”—speech that is ordinarily of little concern to the general public. Nor is it precisely the same as the speech generally denominated in past cases as “speech on matters of public concern,” in part because here the employee is not simply commenting on a public issue but in speaking is actually performing his official duties.
This case does not, however, require us to attempt to resolve any broad, general questions regarding the scope of government’s authority to regulate speech that occurs as part of an employee’s official duties. In many instances, the governmental interest in regulation will be at its height in such cases. For example, the government would have an indisputable right to prohibit its employees from using profanity or abusive language
In deciding whether to afford constitutional protection to prohibited employee speech, we must consider both the general interest of the public servant in speaking freely, as described in Perry and Rutan, and the importance to the public of the speech involved. See Connick,
The practical effects of Article XXVIII’s de facto bar on communications by or with government employees are numerous and varied. For example, monolingual Spanish-speaking residents of Arizona cannot, consistent with the article, communicate effectively with employees of a state or local housing office about a landlord’s wrongful retention of a rental deposit, nor can they learn from clerks of the state court about how and where to file small claims court complaints.
Because Article XXVIII bars or significantly restricts communications by and with government officials and employees, it significantly interferes with the ability of the non-English-speaking populace of Arizona ‘“to receive information and ideas.’” Virginia State Bd. of Pharmacy v. Virginia Citizens Consumer Council,
The large-scale disincentive to government employees’ expression also imposes a significant burden on the public's right to read and hear what the employees would otherwise have written and said. See Virginia State Bd. of Pharmacy v. Virginia Citizens Consumer Council, Inc.,425 U.S. 748 , 756-757,96 S.Ct. 1817 , 1822-1823,48 L.Ed.2d 346 (1976). We have no way to measure the true cost of that burden, but we cannot ignore the risk that it might deprive us of the work of a future Melville or Hawthorne.
National Treasury Employees Union, — U.S. at -,
Article XXVIII obstructs the free flow of information and adversely affects the rights of many private persons by requiring the incomprehensible to replace the intelligible. Under its provisions, bilingual public employees will be aware that in many instances the only speech they may lawfully offer may be of no value. The article effectively requires that these employees remain mute before members of the non-English speaking public who seek their assistance. At such moments of awkward silence between government employees and those they serve, it will be strikingly clear to all concerned that vital speech that individuals desire both to provide and to hear has been stifled by the state.
4.
The Absence of Any State Interest In Efficiency and Effectiveness
In light of the interests of both public employees and members of the public in the prohibited speech, a decision as to the constitutionality of Article XXVIII’s restrictions involves at a minimum a weighing and balancing process similar to that conducted in the more traditional cases involving public employee speech of “public concern”.
Specifically, the facts of this case unequivocally establish that Yniguez’s use of Spanish in the course of her official duties contributed to the efficient and effective administration of the State. See Statement of Stipulated Facts at 5-6. More generally, the facts of this case, as well as elementary reason, tell us that government offices are more efficient and effective when state and local employees are permitted to communicate in languages other than English with consumers of government services who are not proficient in that language. Id. (stating that use of non-English languages promotes the “efficient administration of the State”); Cota v. Tucson Police Dept.,
Additionally, as we explained earlier, if the purpose of Article XXVIII were to promote efficiency, it would not impose a total ban but would provide that languages other than En
On this point, we note that Arizonans for Official English’s assertion that government inefficiency and “chaos” will result from Article XXVIIFs invalidation is not only directly contrary to the stipulated facts but is predicated upon a wholly erroneous assumption as to the nature of Yniguez’s claim. The group contends that appellees seek the right to speak another language at will and regardless of whether the intended recipient of the speech primarily speaks that language or is even able to comprehend it. However, such a “right” would be of a far different order than the right at issue here. As the facts show, Yniguez spoke Spanish with Spanish-speaking claimants and English with English-speaking claimants. She does not claim any right to “choose” to speak Spanish with claimants who would not understand her, nor would this or any other court uphold such a right. Accordingly, in the interests of clarity, we emphasize that by ruling that the state cannot unreasonably limit the use of non-English languages, we do not imply that the state is therefore forced to allow inappropriate or burdensome language uses. In short, we do not suggest that a public employee has a “right” to speak in another language when to do so would hinder job performance. Cf. Jurado v. Eleven-Fifty Corp.,
5.
The Propriety of Considering State Justifications Other Than Efficiency and Effectiveness
Because the speech at issue here does not adversely affect the state’s interest in efficiency and effectiveness, and because the Waters/Pickering line of cases limits consideration of the governmental interest to these concerns, were we to apply the traditional Waters/Pickering balancing test, Arizonans for Official English would lose by default. There would be nothing on the non-free speech side of the scale. There have, however, been a number of other cases in which the Court (though sometimes giving some weight to efficiency and effectiveness concerns) has considered primarily the government’s argument that a broader set of justifications supports a particular restriction on the First Amendment rights of public employees.
Most of the eases in which the government has relied on justifications other than efficiency and effectiveness have involved patronage practices, although some have involved restrictions on public employees’ political activities. See, e.g., Rutan v. Republican Party of Illinois,
In a recent Supreme Court ease in which the government sought to justify a limitation on public employee First Amendment rights on the basis of broad governmental interests rather than on traditional efficiency and effectiveness concerns, the majority applied a strict scrutiny test and rejected the challenged governmental practices. The majori
In an even more recent case, the Court invalidated a restriction on public employee speech without discussing the question of the applicable test, although it employed a balancing approach. See United States v. National Treasury Employees Union, - U.S. -, ---,
The Court’s approach in National Treasury Employees Union is consistent with the method of analysis we undertake. In any event, we need not decide what level of scrutiny or what approach to balancing is applicable here. Whether we apply strict scrutiny as suggested by Rutan, whether we use a form of balancing test similar to that advocated by the Rutan dissenters and modelled on the approach traditionally employed in the Waters/Pickering line of cases, or whether we follow the course chosen by the Court in National Treasury Employees Union, the result is the same: The restrictions on free speech are not justified by the alleged state interests.
6.
Evaluating the Alleged State Justifications
Arizonans for Official English claims, as it and others did when the initiative was on the ballot, that Article XXVIII promotes significant state interests. The organization enumerates these interests as: protecting democracy by encouraging “unity and political stability”; encouraging a common language; and protecting public confidence.
We note at the outset that the sweeping nature of Article XXVUI’s restriction on public employee speech weighs significantly in our evaluation of the state’s alleged interests. In National Treasury Employees Union, the Court explained that when the government seeks to defend a “wholesale deterrent to a broad category of expression by a massive number of potential speakers,” — U.S. at -,
There is no basis in the record to support the proponents’ assertion that any of the broad societal interests on which they rely
In plain fact, Arizonans for Official English offer us nothing more than “assertion and conjecture to supports its claim” that Article XXVUI’s restrictions on speech would serve the alleged state interests. Landmark,
We also reject the justifications for even more basic reasons. Our conclusions are influenced primarily by two Supreme Court cases from the 1920s in which nearly identical justifications were asserted in support of laws restricting language rights. See Meyer v. Nebraska,
In defending the statute at issue in Meyer, the state of Nebraska explained that “[t]he object of the legislation ... [is] to create an enlightened American citizenship in sympathy with the principles and ideals of this country.”
Similarly, the provision at issue in Tokush-ige had the specific purpose of regulating language instruction “in order that the Americanism of the students may be promoted.”
Like the Court in Meyer and Tokushige, we recognize the importance of (1) promoting democracy and national unity and (2) encouraging a common language as a means of encouraging such unity. See Guadalupe Organization, Inc., supra.
We should add that we are entirely unmoved by the third justification — that allowing government employees to speak languages other than English when serving the public would undermine public confidence and lead to “disillusionment and concern.” To begin with, it is clear that the non-English speaking public of Arizona would feel even greater disillusionment and concern if their communications with public employees and, effectively, their access to many government services, were to be barred by Article XXVIII. Moreover, numerous cases support the notion that the interest in avoiding public hostility does not justify infringements upon constitutional rights. See e.g., Buchanan v. Warley,
Here, the full costs of banning the dissemination of critical information to non-English speaking Arizonans cannot readily be calculated. There would undoubtedly be severe adverse consequences which even the sponsors of Article XXVIII neither foresaw nor intended. The range of potential injuries to the public is vast. Much of the information about essential governmental services that, but for the initiative, would be communicated in a manner that non-English speaking Arizonans could comprehend may not be susceptible to timely transmission by other means. By comparison, the benefits that the initiative purports to offer are minimal, especially in light of the state’s concession that its interests in “efficiency” and “effectiveness” are not served by the Article. Thus, under a balancing test, whether identified as a Waters/Pickering type of test, a test modelled after that standard, as employed by the dissenters in Rutan, or the National Treasury Employees Union approach to balancing, Article XXVIII must be held unconstitutional. A fortiori, the article could not survive a traditional strict scrutiny test. We reach our conclusions only after giving full consideration to the governmental interest in controlling the content and manner of the speech of its employees in the performance of their work assignments. Here, however, that interest, when balanced against the considerations we have examined, cannot outweigh the free speech interests impaired by Article XXVIII.
E.
Conclusion
To conclude, Article XXVIII is not a valid regulation of the speech of public employees and is unconstitutionally overbroad. By prohibiting public employees from using non-English languages in performing their duties, the article unduly burdens their speech rights as well as the speech interests of a portion of the populace they serve. The article similarly burdens the First Amendment rights of state and local officials and officers in the executive, legislative, and judicial branches.
We note that the adverse impact of Article XXVUI’s over-breadth is especially egregious because it is not uniformly spread over the population, but falls almost entirely upon Hispanics and other national origin minorities. Cf. Spun Steak,
As President Franklin D. Roosevelt once remarked, “all of our people all over the country, all except the pure-blooded Indians, are immigrants or descendants of immigrants, including those who came over on the Mayflower.” N.Y. Times, Nov. 5,1944, at 38. Many and perhaps most immigrants arrived in the United States speaking a language other than English. Nonetheless, this country has historically prided itself on welcoming immigrants with a spirit of tolerance and freedom — and it is this spirit, embodied in the Constitution, which, when it flags on occasion, courts must be vigilant to protect.
In closing, we note that tolerance of difference — whether difference in language, religion, or culture more generally- — does not ultimately exact a cost. To the contrary, the diverse and multicultural character of our society is widely recognized as being among our greatest strengths. Recognizing this, we have not, except for rare repressive statutes such as those struck down in Meyer, Bartels, Yu Cong Eng, and Farrington, tried to compel immigrants to give up their native language; instead, we have encouraged them to learn English. The Arizona restriction on language provides no encouragement, however, only compulsion: as such, it is unconstitutional.
IV.
Nominal Damages
Finally, we must consider the question of Yniguez’s right to nominal damages. The State of Arizona expressly waived its right to
[c]ommon-law courts traditionally have vindicated deprivations of certain absolute rights that are not shown to have caused actual injury through the award of a nominal sum of money. By making the deprivation of such rights actionable for nominal damages without proof of actual injury, the law recognizes the importance to organized society that those rights be scrupulously observed.
Id.; see also Lokey v. Richardson,
The right of free speech, like that of due process of law, must be vigorously defended. Indeed, the protection of First Amendment rights is central to guaranteeing society’s capacity for democratic self-government. See Meiklejohn, Free Speech and Its Relation to Self-Government (1948); New York Times v. Sullivan,
V.
Conclusion
We affirm the district court’s judgment that Article XXVIII of the Arizona Constitution is facially overbroad and violates the First Amendment, and that the article is unconstitutional in its entirety. We reverse and remand the district court judgment insofar as it denies Yniguez an award of nominal damages.
AFFIRMED IN PART, REVERSED IN PART AND REMANDED.
APPENDIX
ARTICLE XXVIII. ENGLISH AS THE OFFICIAL LANGUAGE
1. English as the Official Language; Applicability.
Section 1. (1) The English language is the official language of the State of Arizona.
(2) As the official language of this State, the English language is the language of the ballot, the public schools and all government functions and actions.
(3)(a) This Article applies to:
(i) the legislative, executive and judicial branches of government,
(ii) all political subdivisions, departments, agencies, organizations, and instrumentalities of this State, including local governments and municipalities,
(iii) all statutes, ordinances, rules, orders, programs and policies,
(iv) all government officials and employees during the performance of government business.
(b) As used in this Article, the phrase “This state and all political subdivisions of this State” shall include every entity, person, action or item described in this Section, as appropriate to the circumstances.
2. Requiring This State to Preserve, Protect and Enhance English.
Section 2. This State and all political subdivisions of this State shall take all reasonable steps to preserve, protect and enhance the role of the English language as the official language of the state of Arizona.
Section 3. (1) Except as provided in Subsection (2):
(a) This State and all political subdivisions of this State shall act in English and no other language.
(b) No entity to which this Article applies shall make or enforce a law, order, decree or policy which requires the use of a language other than English.
(c) No governmental document shall be valid, effective or enforceable unless it is in the English language.
(2) This State and all political subdivisions of this State may act in a language other than English under any of the following circumstances:
(a) to assist students who are not proficient in the English language, to the extent necessary to comply with federal law, by giving educational instruction in a language other than English to provide as rapid as possible a transition to English.
(b) to comply with other federal laws.
(c) to teach a student a foreign language as a part of a required or voluntary educational curriculum.
(d) to protect public health or safety.
(e) to protect the rights of criminal defendants or victims of crime.
4. Enforcement; Standing.
Section 4. A person who resides in or does business in this State shall have standing to bring suit to enforce this Article in a court of record of the State. The Legislature may enact reasonable limitations on the time and manner of bringing suit under this subsection.
Notes
. All further references to Arizonans for Official English also include by implication Parks.
. We also hold that Yniguez is entitled to nominal damages. Given our affirmance on the merits, we need not rule upon the state defendants' claim that, in the event of a reversal, the plaintiff's attorney's fees award should be vacated.
. Judge Thomas Tang of Arizona was a member of the three-judge panel and the en banc court. He died on July 18, 1995, two days before the en banc oral argument. He was replaced on the en banc court by Judge Kozinski. Because the decision of the en banc court is essentially identical to the panel opinion, it is important to note that Judge Tang contributed greatly to that earlier opinion. Many of the ideas and much of the language was his. Although he was unable to participate in the deliberations of the en banc court, this decision reflects his views and his wise understanding of the Constitution.
.It should be noted that the bulk of the underlying facts in this case were stipulated to by Yni-guez and the state defendants. Arizonans for Official English, however, makes certain factual allegations in its briefs on appeal that are unsupported or even contradicted by the record. Compare Opening Brief at 24 (Yniguez’ use of Spanish “would interfere with the government's substantial interest in the efficiency of its workforce”) with Stipulated Facts at 5 (Yniguez’ use of Spanish "contributes to the efficient operation of the State”). Nonetheless, the organization made no effort to supplement the record on appeal or to seek a remand. Rather, it explicitly states in its brief that there are no material facts in dispute. At any rate, the facts stipulated to by Yniguez and the state defendants are in the main self-evident. Accordingly, our legal conclusions are based on the record as stipulated to by the original parties.
. Yniguez' original complaint, filed November 10, 1988, named only the State of Arizona as a defendant. She later filed an amended complaint including the other defendants.
. In particular, the court relied on the fact that "Mofford has officially stated that she intends to comply with Article XXVIII and expects state service employees, of which Yniguez is one, to comply with Article XXVIII.” Yniguez, 730 F.Supp. at 312.
.Because the district court found that Article XXVIII violated the First Amendment, it did not reach the other constitutional and statutory grounds that Yniguez asserted for invalidating the provision.
. Asking this court to revisit issues already decided in Yniguez II, the cross-appellee state defendants assert that Yniguez's request for nominal damages is untimely because such damages were not specifically requested at trial, and their denial was not specifically appealed at that time. However, as we held in Yniguez II, Yniguez's blanket request for "all other relief that the Court deems just and proper under the circumstances,” encompasses a request for nominal damages.
Similarly, Yniguez suggests that the appeal of Arizonans for Official English is untimely because its notice of appeal was not filed within thirty days of the date that our order permitting intervention was entered on the district court’s docket. However, we retained jurisdiction over the case, during that period in reviewing the suggestion of mootness filed by the state. We did not relinquish jurisdiction until after September 16, 1992, when we filed our opinion rejecting the mootness suggestion. In that opinion, we specifically explained that "[t]he district court may now proceed to allow the parties to perfect their appeals and to conduct further proceedings in conformity with our dispositions.” Yniguez II,
. All further references to Arizonans Against Constitutional Tampering include by implication Espinosa.
. The federal government of the United States has never recognized English as the "official language,” either under the Constitution or federal law. See generally Perea, Demography and Distrust: An Essay on American Languages, Cultural Pluralism and Official English, 77 Minn. L.Rev. 269, 271-81 (1992) (noting that Continental Congress issued official publications in German and French, as well as English, and that the Framers purposely gave no special designation to English). As one academic commentator has explained, “early political leaders recognized the close connection between language and religious/cultural freedoms, and they preferred to refrain from proposing legislation which might be construed as a restriction on these freedoms.” Heath, Language and Politics in the United States, in Linguistics and Anthropology 267, 270 (1977). Recent efforts to establish English as the official national language have not succeeded. See H.R.J.Res. 81, 101st Cong., 1st Sess. (1989); S.J.Res. 13, 100th Cong., 1st Sess. (1987); see also Comment, The Proposed English Language Amendment: Shield or Sword?, 3 Yale L. & Pol'y Rev. 519 (1985); Harris v. Rivera Cruz,
.Besides Arizona, the states that have adopted such provisions are: Alabama, Ala. Const, amend. 509; Arkansas, Ark.Code Ann. § 1-4-117; California, Cal. Const, art. Ill § 6; Colorado, Colo. Const. Art. II § 30a; Florida, Florida Const, art. II § 9; Georgia, Ga. L. 1986, p. 529; Hawaii, Haw. Const, art. XV § 4; Illinois, Ill. Code 5 § 460/20; Indiana, Ind.Code Ann. § 1-2-10-1; Kentucky, Ky.Rev.Stat.Ann. § 2.013; Mississippi, Miss.Code Ann. § 3-3-31; Nebraska, Neb. Const, art. 1 § 27; North Carolina, N.C.Gen.Stat. § 145-12; North Dakota, N.D.Cent.Code § 54-02-13; South Carolina, S.C.Code Ann. § 1-1-696; Tennessee, Tenn.Code Ann. § 4-1-404; and Virginia, Va.Code Ann. § 22.1-212.1. Compare Meyer,
Two of these states — California and Hawaii— are in our circuit. The "official-English” provisions in these states, like those of other states besides Arizona, appear to be primarily symbolic. See, e.g., Puerto Rican Org. for Political Action v. Kusper,
. At the oral argument before the panel, Arizonans for Official English partially endorsed the Attorney General's reading of Article XXVIII. While purporting to agree with the Attorney General that the provision’s mandate that the state and its subdivisions "shall act in English” covered only official governmental acts, the organization nonetheless suggested vaguely that its interpretation of the provision was broader than that of the Attorney General, and that it might, for example, construe the provision as prohibiting state employees from speaking another language in the performance of their duties when unnecessary to do so.
The organization's briefs to the panel were even less clear in indicating its position regarding Article XXVIII's proper scope. The briefs were, first of all, quite reticent on the question. However, the arguments asserted in support of the provision were quite sweeping, and seemed most appropriate to an extremely broad prohibition on the use of non-English languages by government officials and employees. Although we would, even absent these briefs, be entirely unconvinced by the proffered limiting construction (see below), we find "[t]hat construction even less plausible in light of the broad purposes that [the appellants] insist[] underlie the [provision].” Lind v. Grimmer,
Before the en banc court, Arizonans for Official English’s and the Attorney General’s explanations as to the initiative’s scope were confused and self-contradictory. At best, they shed little light on how the amendment could rationally be construed in a limiting manner and at worst they helped make it clear that it could not be.
. Similarly, Article XXVIII also describes English as the language of "all government functions and actions.” § 1(2). Under no sense of either "functions" or “actions”, are the two words limited to official acts. Cf. Powers v. Ohio,
. The Attorney General has only stated that a narrow construction "may ... be necessary to avoid conflict” with the federal constitution, and his analysis on the point was based on the Equal Protection Clause of the Fourteenth Amendment rather than the First Amendment.
. The district court held that the Eleventh Amendment barred State Senator Gutierrez from suing state officials in federal court to challenge Article XXVIII's application to legislators. The district court concluded that these state officials lacked the power to enforce Article XXVIII against him and thus could not be proper federal defendants under Ex Parte Young. See Yniguez,
. The Court's recent decision in United States v. National Treasury Employees Union, - U.S. -,
None of these factors is present here. First, all public officers and employees are treated identically under Article XXVIII. None received any compensating benefits. Second, if the article is unconstitutional as to civil servants, it is necessarily unconstitutional as to officers and elected officials. See Yniguez,
. We have no doubt, however, that even under the relatively relaxed test for expressive conduct set out in U.S. v. O'Brien,
.The paradoxical attempt to classify choice of language as conduct is useful, perhaps, in underscoring the weakness of the strict conduct/speech distinction. As the example of American sign-language illustrates, we describe various kinds of physical conduct — whether the making of specific sounds or specific hand movements — as language when they have reached a level of sophistication in grammatical structure and vocabulary to allow them to convey complex ideas with a sufficient degree of accuracy. See Johnson,
. It is important to recall, by contrast, that a monolingual person does not have the luxury of making the expressive choice to communicate in one language or another. If that person is to speak at all, it is in a single language which may not be English.
. Conversely, the deliberate choice to speak to someone in a language that he or she does not understand may convey a strong message of exclusion.
. We would only add that to ignore the substance of speech and to look solely to form when analyzing the impact of a prohibition on speech is to be wholly mechanical and artificial. That approach to constitutional analysis ill serves the purpose of the Bill of Rights and denigrates the judicial function. When the effect of banning a form of speech is to prevent receipt of the message by the intended audience, it cannot seriously be argued that the ban is innocuous because it applies only to the mode of speech.
Moreover, notwithstanding Chief Judge Wallace’s assertion, see Wallace, concurring in dissent at 959, the Court has found modes of speech to be protected by the First Amendment. For example, the Court has repeatedly protected a speaker’s right to deliver his message anonymously. McIntyre v. Ohio Elections Com’n, - U.S. -,
. The distinction between affirmative and negative rights, though its legitimacy has been much disputed in academic circles, continues to find favor with the Supreme Court. See, e.g., DeShaney v. Winnebago County Dep’t of Social Servs,
. The dissent's statement that the speech in this case cannot be easily pigeonholed into one of the traditional legal categories is fully consistent with our analysis. However, unlike the dissent, we conclude, for the reasons discussed infra at 940-42, that the speech prohibited by Article XXVIII of the Arizona Constitution more closely resembles public concern than private concern speech.
Chief Judge Wallace’s attempt to distinguish the speech of public employees who communicate information relating to governmental functions in languages other than English from off-the-job-speech in which public employees communicate their personal opinions relating to governmental matters only serves to prove our point conclusively. If the latter, as Judge Wallace correctly says constitutes speech of public concern, see Wallace, concurring in dissent at 960, so, a fortiori, must the former.
. The Court’s statements concerning the state's authority to make content-based distinctions when it is the speaker are not to the contrary. See Rosenberger v. Rector and Visitors of Univ. of Va., — U.S. -,
Neither Rosenberger nor Rust concerned the authority of the state to penalize the speech of its public employees, let alone to adopt a general prohibitory rule of sweeping applicability regarding such speech. We do not believe that isolated statements in these cases were meant to rewrite the Court's public employee speech doctrine. Nor do we believe that words used in cases dealing with wholly different issues should be wrenched from their context and applied mechanically to entirely different circumstances. While Rosenberger is of very recent origin. Rust has been with us for over four years. Rust has been cited more than 50 times by circuit courts, yet not once has it been applied in the context of a restriction on the speech of public employees. Rust is simply irrelevant here. In any event, we note that both cases demonstrate there are limitations on the restrictions that the state may impose.
It is rare that governmental power is absolute, and constitutional limitations are wholly inapplicable. While government may certainly regulate or control speech when it is the speaker, it does not have unlimited power to regulate such speech; here, as elsewhere, it must act within constitutional constraints. The government could not, for example, force all public employees to wear pro-life lapel pins or deliver a pro-life message whenever in the performance of their work they communicate with members of the public, any more than it could require delivery of a pro-choice message under similar circumstances. To say that in most circumstances the government may regulate content by compelling or prohibiting on-the-job delivery of a particular message is a truism. However, pronouncing that truism does not resolve the question before us. It merely helps us reach the central issue of this case: Is the particular regulation — here, one that drastically affects not only public employees but also countless Arizonans who need desperately to communicate with their government— constitutional?
. We note that in Gutierrez v. Municipal Court,
. In Virginia Citizens, the Court struck down a statute declaring it unprofessional conduct for a licensed pharmacist to advertise the prices of prescription drugs, holding that the statute violated the First Amendment. Specifically, it found that the government's suppression of the flow of prescription drug price information violated consumers' right to receive the information. Id. at 770,
. The alternative is, of course, to apply the strict scrutiny test. See Rutan,
. The dissenters concluded that it is wholly irrelevant whether the restrictions at issue are justified on the basis of the “employer” interests of efficiency and effectiveness, or broader interests. See id. at 100,
. The fact that the Supreme Court, deciding these cases in the 1920s, struck down the language restrictions in Meyer and Tokushige as violative of due process does not lessen their relevance. Substantive due process was the doctrine of choice for the protection of fundamental rights during the first part of this century, although it has now largely been replaced by other constitutional doctrines. See, e.g., Halter v. Nebraska,
. The dissent in Bartels v. Iowa,
. The dissent treats Guadalupe Organization, a case that does not even discuss the First Amendment and which focused on the right to be instructed in a foreign language about a foreign culture, as the touchstone for deciding this First Amendment challenge. We agree with Guadalupe Organization to the extent that it sets forth the advantages that accrue from encouraging those living in this nation to learn English and to share in our use of a common language. At the same time we recognize that cultural diversity and tolerance of differences are among our nation's greatest strengths, as is our unwillingness to impose uniformity or orthodoxy by fiat. This court’s position regarding linguistic and cultural diversity and the constitutionally-permissible means for promotion of our growth as a unified nation are the ones expressed in this majority opinion and the concurrence of Judge Brunetti whose separate statements on this point we fully endorse. We disapprove, however, the part of Guadalupe Organization on which the dissent relies and which it quotes at pages 958-59. By doing so, we do not intend to unsettle the holding of our earlier decision; the question resolved in Guadalupe Organization is not before us, and we do not consider the part of the opinion we disapprove essential to the conclusion the Guadalupe Organization court reached.
. Cf. Hernandez v. New York,
. We note, once again, a strong similarity between this case and Meyer. Because they invalidated Nebraska statute to a large extent targeted the substantial German-American community in that state (and was enacted in the wake of World War I), Meyer has been viewed as a precursor to modern equal protection doctrine. Tribe, supra, at 1320 n. 13; Hernandez,
The speech of unpopular groups, of course, often meets with hostility and repression, though it is more commonly the message that is targeted than the language in which it is communicated. Given the link between unpopular speech and unpopular groups, it is not surprising that even some of our most venerable First Amendment precedents have an (albeit implicit) equal protection component. See, e.g., Barnette, supra (Jehovah's Witnesses); New York Times v. Sullivan,
. Indeed, an award of nominal damages in recognition of society's interest in vindicating the disputed right is singularly appropriate in First Amendment overbreadth cases such as this, for a successful plaintiff in an overbreadth case has convinced the court to strike down a law that would, if left standing, chill the constitutionally protected speech of large numbers of other members of society.
Concurrence Opinion
concurring:
I agree that Article XXVIII of the Arizona Constitution is facially invalid and I join in the majority opinion. I write separately to emphasize that the article’s unconstitutional effect on Arizona’s elected officials would alone be sufficient reason to strike the provision down.
I.
As indicated in the majority opinion, the government employees affected by the article’s unconstitutional limitations outnumber the elected officials affected. However, the extent of the damage caused by Article XXVIII’s restrictions on elected officials is not diminished by the fact that their population is smaller than that of government employees.
Article XXVIII offends the First Amendment not merely because it attempts to regulate ordinary political speech, but because it attempts to manipulate the political process by regulating the speech of elected officials. Freedom of speech is the foundation of our democratic process, and the language restrictions of Article XXVTII stifle informative inquiry and advocacy by elected officials. By restricting the free communication of ideas between elected officials and the people they serve, Article XXVIII threatens the very survival of our democratic society.
To begin with, Article XXVIII interferes with the ability of candidates for re-election to communicate with voters. These First Amendment protections are equally applicable to all candidates, not simply those running for re-election. However, I address specifically candidates running for re-election because Article XXVIII only affects elected officials.
A candidate must be able to communicate with voters in order for voters to make an informed decision about whether to cast their ballot for that candidate. Indeed, the Supreme Court has said:
Legislators have an obligation to take positions on controversial political questions so that their constituents can be fully informed by them, and be better able to assess their qualifications for office; also so they may be represented in governmental debates by the person they have elected to represent them.
Bond v. Floyd,
Article XXVIII not only interferes with a voter’s ability to assess candidates, but it also interferes with officials’ ability to represent then constituents once they are elected. “The manifest function of the First Amendment in a representative government requires that legislators be given the widest latitude to express their views on issues of policy.” Id. at 135-36,
In addition to interfering with voting and political representation, Article XXVIII attempts to reconfigure the political landscape. Language is at the foundation of the cultural and ethnic diversity in our democratic and political processes, and is inextricably intertwined therein. Article XXVIII attempts to impose political conformity by requiring that the same language be used for all political and governmental dialogue. See Legislative Council Arguments Favoring Proposition 106, at 26 (describing the need to “reverse the trend” of “language rivalries” by requiring discourse in English only).
It does not take much “judicial prediction or assumptionf,]” Broadrick v. Oklahoma,
II.
That being said, I agree with the other members of the majority that the article is also unconstitutional and facially overbroad for the independent reason that it restricts the speech of government employees, such as Yniguez. While I feel there may be some tension between the public interest in receiving Yniguez’s public services in Spanish as described by the majority, and our prior cases which hold that there is no right to receive government services in a language other than English, our holding today does not conflict with those prior cases. See, e.g., Carmona v. Sheffield,
As the majority carefully describes, we are only considering the interest of the public in receiving speech when government employees exercise their right to utter such speech, and we do not create an independently enforceable public right to receive information in another language. Our consideration of the public’s interest in receiving Yniguez’s speech is dictated by the Waters/Pickering test. Under the Waters/Pickering test, we must balance “ ‘the interests of the [employee], as a citizen, in commenting upon matters of public concern and the interest of the State, as an employer, in promoting the efficiency of the public services it performs through its employees.’” United States v. National Treasury Employees Union, — U.S. -, -,
Speech touches a matter of public concern if the community that constitutes the speaker’s audience has an interest in receiving that speech. Cf. Connick v. Myers,
On the efficiency side of the Waters/Pickering balance, the public’s interest in receiving Yniguez’s communications is once again an important factor. If a recipient of Yni-guez’s information did not have an interest in receiving the information in Spanish, it would not be efficient for Yniguez to communicate with that person in Spanish. For example, if Yniguez’s audience was a mono-lingual English-speaker, undeniably it would be inefficient for her to talk to that person in Spanish. But that is not the situation here. The parties in this ease stipulated that Yniguez only speaks Spanish to mono-lingual Spanish-speakers, or people whose “English language [skills] were not sufficiently well-developed to understand all of the English language expressions and ideas which [Yniguez] desired to communicate.” Use of Spanish under these circumstances, as the parties stipulated, “contributes to the efficient operation of the State.”
Under the facts of this case, the public interest in Yniguez’s use of Spanish is a necessary consideration under the Waters/Pickering test. Consideration of the public’s interest in receiving Yniguez’s Spanish language communications is only for the purpose of establishing her right to speak, not of establishing the public’s right to receive. Yniguez’s Spanish-speaking audience has an interest in listening to her Spanish-language speech, and that interest helps define her right to speak in Spanish. Nowhere is it implied that her audience has a right to hear her, or any other government employee, speak in Spanish.
Concurrence Opinion
concurring specially:
Judge Kozinski’s separate dissent requires separate comment. In the latest chapter of his crusade against the use of languages other than English in public, it is what Judge Kozinski does not say that is most revealing. My learned colleague, who is surely expert in these matters by now, ignores completely the constitutional interests of the numerous non-English speakers. There is nothing novel about the fact that the interests of the audience as well as of the speaker are protected by the First Amendment. Yet Judge Kozin-ski does not even mention, let alone discuss Virginia State Bd. of Pharmacy v. Virginia Citizens Consumer Council,
If Judge Kozinski had his way, bilingual government clerks would not be able to advise persons who can speak only Spanish — or Chinese or Navajo — how to apply for food stamps, or aid for their children, or unemployment or disability benefits. Public employees would be prohibited from helping non-English speaking residents file com
At the same time that Judge Kozinski callously ignores the interests of “people, he stretches eagerly to place the powers of the government, in its role as speaker, beyond the reach of the Constitution. Indeed, it is the rights of the government that Judge Kozinski stresses at every opportunity. If Judge Kozinski had his druthers, public employees would be stripped of all First Amendment rights while performing their governmental functions.
The difference between the majority’s view and Judge Kozinski’s is simple. The majority says that under the First Amendment there are limits to what the government can force its employees or officials to say in the course of performing their official duties while Judge Kozinski says that there are none. To me, unlimited government power in any form is a foreign notion indeed.
Judge Kozinski does Abraham Lincoln no honor by seeking to enlist his words in support of a mean-spirited, nativist measure — a measure that would create so much division and ill will and that would so severely penalize those among us who are unable to communicate in English. The end result of Judge Kozinski’s legal approach would be to punish people who are not as fortunate or as well educated as he — people who are neither able to write for nor read the Wall Street Journal, and indeed would have little cause to do either.
Nor does Judge Kozinski advance his cause by disingenuously suggesting that his argument is a limited one, that the Arizona initiative might be unlawful for other reasons — just not on First Amendment grounds. Judge Kozinski has previously argued that languages other than English should be banished from the public arena. He openly favors conformity over diversity and would “preserv[e] native tongues and dialects for private and family gatherings.” Gutierrez v. Mun. Ct. Of S.E. Judicial Dist.,
Judge Kozinski trots out a parade of horri-bles that he insists will come to haunt us if we do not accept his absolutist, authoritarian view. All his examples are absurd. No court in this country would protect a government employee who adopted one of the outlandish stances that Judge Kozinski so ca-suistically suggests. Were we to withhold rights from individuals because clever judges could conjure up hypothetical examples of frivolous law suits, there would soon be no
The true horror of this case is what could happen if Judge Kozinski’s view prevailed. Government employees could be compelled to parrot racist and sexist slogans, to hurl hateful invective at non-English speaking people asking for assistance, to publicly declare their loyalty to political parties, and to bow toward the national or state capítol three times a day — and the First Amendment would offer them no protection whatsoever. Under Judge Kozinski’s approach, non-English speakers would be relegated to second class status, deprived of information they desperately need to meet the basic necessities of their daily fives, and grievously handicapped in their efforts to pursue the American dream. It would be a sad day indeed for the Constitution were we to betray our nation’s history and uphold a measure that is so alien to America’s most basic traditions.
. I do not mean to suggest that my worthy colleague would discriminate against public employees. They would fare no worse in his regime than private employees. Judge Kozinski would strip the latter of the fruits of the basic job protection provisions that they fought for so long and so bitterly. See Judge Kozinski's dissent in Sanders v. Parker Drilling Co.,
Dissenting Opinion
with whom Chief Judge WALLACE and Judges HALL and KLEINFELD join, dissenting:
The State of Arizona, through its initiative process, added Article XXVIII to the State’s constitution. That Article made English the official language of “the public schools and all government functions and actions.” Ariz. Const, art. XXVIII, § 1(2). It also directed that the State and all of its political subdivisions shall “act in English and in no other language,” except in a handful of instances. Id. at § 3. The Article applies to “all government officials and employees during the performance of government business.” Id. at § l(3)(a)(iv). Maria-Kelley F. Yniguez
She, in effect, proceeds from the fundamentally flawed assumption that while performing government business an official
I believe that a relatively brief explanation of the relevant constitutional principles will adumbrate the proper path and show that Article XXVIII does not violate Yniguez’s First Amendment rights.
There can be no doubt that a public employee, like Yniguez, does not have a full panoply of freedoms to do what she likes when she is performing her job. On the contrary, the State can place numerous restrictions upon its employees. The very nature of the employment relationship allows that. For example, even were it assumed that “the citizenry at large has some sort of ‘liberty’ interest within the Fourteenth Amendment in matters of personal appearance,” an employee may be restricted unless the regulation “is so irrational that it may be branded ‘arbitrary.’ ” Kelley v. Johnson,
It is true that we have come some way since Holmes, then a Justice of the Supreme Court of Massachusetts, wrote that “[a policeman] may have a constitutional right to talk politics, but he has no constitutional right to be a policeman.” McAuliffe v. Mayor of New Bedford,
The distinction cuts closer to the bone when the Supreme Court’s treatment of public versus private speech is considered. I will not go through the extensive history of that jurisprudence because its details have little to do with this ease. The law in that area keys on the content of the speech itself. That is, was the speech on a matter of public concern or was it on a matter of private concern? See, e.g., Waters v. Churchill, — U.S. -, -,
What is important, however, is the Supreme Court’s description of the strength of the government’s interests and the scope of a government employee’s First Amendment rights. If the matter involved is not one of public concern, the court has left the matter almost entirely in the hands of the employing authority. As the Court said in Connick v. Myers,
[I]f Myers’ questionnaire cannot be fairly characterized as constituting speech on a matter of public concern, it is unnecessary for us to scrutinize the reasons for her discharge. When employee expression cannot be fairly considered as relating to any matter of political, social, or other concern to the community, government officials should enjoy wide latitude in managing their offices, without intrusive oversight by the judiciary in the name of the First Amendment. Perhaps the government employer’s dismissal of the worker may not be fair, but ordinary dismissals from government service which violate no fixed tenure or applicable statute or regulation are not subject to judicial review even if the reasons for the dismissal are alleged to be mistaken or unreasonable.
[Wjhen a public employee speaks not as a citizen upon matters of public concern, but instead as an employee upon matters only of personal interest, absent the most unusual circumstances, a federal court is not the appropriate forum in which to review the wisdom of a personnel decision taken by a public agency allegedly in reaction to the employee’s behavior_ Our responsibility is to ensure that citizens are not deprived of fundamental rights by virtue of working for the government; this does not require a grant of immunity for employee grievances not afforded by the First Amendment to those who do not work for the State.
It is worthy of note that even if the speech is of public concern, the employee does not have all of the freedom of speech of a private citizen. The government can still discipline the employee in the name of efficiency and the like if the government’s interests in promoting those other concerns outweigh the employee’s interest in speaking out. See, e.g., id. at -,
However, if I were forced to place this case in one pigeonhole or the other, I would say that it is more like a case of private concern speech. The simple fact is that the State, through its constitution, has determined that its work will be done in English, and Yniguez, for her own private reasons, does not wish to obey that determination. At any rate, unless one is thoroughly committed to the economic theory of law, which I am not, one must agree that more than efficiency drives the policies of government. Indeed, as most dictators seem to believe, freedom itself can be very very inefficient.
Yniguez nevertheless argues that her use of a language of her choice to perform the State’s business cannot be restricted. It can be said that each language has a content of its own and that languages are a mode of expressing ideas. Yniguez argues that because words are the skins of ideas, the con
If that is true, it is a powerful reason to uphold Article XXVIII. It is well settled that the State has the right to control the content of what it is paying for; it can control what is said by those who are acting on its behalf. As the Supreme Court put it in Rosenberger v. Rector and Visitors of Univ. of Va., — U.S. -, -,
[W]hen the State is the speaker, it may make content-based choices. When the University determines the content of the education it provides, it is the University speaking, and we have permitted the government to regulate the content of what is or is not expressed when it is the speaker or when it enlists private entities to convey its own message. In the same vein, in Rust v. Sullivan [500 U.S. 173 ,111 S.Ct. 1759 ,114 L.Ed.2d 233 (1991)] we upheld the government’s prohibition on abortion-related advice applicable to recipients of federal funds for family planning counseling. There, the government did not create a program to encourage private speech but instead used private speakers to transmit specific information pertaining to its own program. We recognized that when the government appropriates public funds to promote a particular policy of its own it is entitled to say what it wishes.500 U.S. at 194 [111 S.Ct. at 1772 ]. When the government disburses public funds to private entities to convey a governmental message, it may take legitimate and appropriate steps to ensure that its message is neither garbled nor distorted by the grantee.
Cf. Garcia v. Spun Steak Co.,
Thus, to the extent that language involves content, the State may choose to direct what that content must be. Moreover, it can hardly be doubted that the State can even choose to foster a particular language to some extent. As the Supreme Court said in Meyer v. Nebraska,
To the extent that a language involves a mode of expressing ideas which themselves could be expressed in different languages, Yniguez’s argument fares no better. It is most difficult to see why the State cannot constitutionally require its employees to use one mode of expression — one language — just as it can require that its employees use a particular mode of performing the rest of their duties. Surely, for example, the State can direct that its ditches be dug and that its contracts be let in particular ways, even if an
When a mode of expression attracts First Amendment scrutiny, it is because it implicates ideas themselves. There is nothing sacrosanct about the mode. It, as a mode, could be regulated if the regulation only be rational. But where the mode becomes laden with content, the mode itself may be scrutinized so that any protected content will not be injured. As the Supreme Court said in R.A.V. v. City of St. Paul,
Thus, Yniguez cannot seek First Amendment protection of the pure mode element of a language. The mode must itself seek shelter under the wing that protects the expressive or content element. However, as already indicated, the content element cannot help her here.
Of course, none of this means that the State can preclude the general public from learning or speaking a particular language. The State cannot do that. See Farrington v. Tokushige,
The penultimate line needed to sketch the path out of Yniguez’s thicket can be drawn by considering the fact that individual citizens have no constitutional right to require that state services be performed in any particular language. When plaintiffs asserted that they had a constitutional right to have the State supply Spanish-speaking employees and notices in Spanish, we turned that claim aside. See Carmona v. Sheffield,
This case, then, presents a confluence of lines of argument. Employees of the State are subject to numerous restrictions upon their freedoms, their actions, and their speech, which the government could not impose upon the general public. The State can, in general, control the content and mode of its own speech, and the general public does not have a constitutional right to have the State provide services in any particular language. In the face of all of that, it is well nigh unintelligible to say that individual officers and employees of the State can perform state business in a language of their own choice, despite the State’s direction that they shall use a particular language.
Linguistic and cultural diversity within the nation-state, whatever may be its advantages from time to time, can restrict the scope of the fundamental compact. Diversity limits unity. Effective action by the nation-state rises to its peak of strength only when it is in response to aspirations unreservedly shared by each constituent culture and language group. As affection which a culture or group bears toward a particular aspiration abates, and as the scope of sharing diminishes, the strength of the nation-state’s government wanes.
Syncretism retards, and sometimes even reverses, the shrinkage of the compact caused by linguistic and cultural diversity. But it would be incautious to strengthen diversity in language and culture repeatedly trusting only in the syncretic processes to preserve the social compact. In the language of eighteenth century philosophy, the century in which our Constitution was written, the social compact depends on the force of benevolence which springs naturally from the hearts of all men but which attenuates as it crosses linguistic and cultural lines. Multiple linguistic and cultural centers impede both the egress of each center’s own and the ingress of all others. Benevolence, moreover, spends much of its force within each center and, to reinforce affection toward insiders, hostility toward outsiders develops.
The fundamental nature of these tendencies makes clear that their scope varies from generation to generation and is fixed by the political process in its highest sense. The Constitution, aside from guaranteeing to individuals certain basic rights, privileges, powers, and immunities, does not speak to such matters; it merely evidences a compact whose scope and strength cannot be mandated by the courts but must be determined by the people acting upon the urgings of their hearts. The decision of the appellees to provide a predominantly monocultural and monolingual educational system was a rational response to a quintessentially “legitimate” state interest. The same perforce would be said were the appellees to adopt the appellants’ demands and be challenged by an English-speaking child and his parents whose ancestors were Pilgrims.
Whatever may be the consequences, good or bad, of many tongues and cultures coexisting within a single nation-state, ... [their validity] cannot be determined by reference to the Constitution.
In fine, the people of the State of Arizona did not violate the First Amendment when they adopted Article XXVIII. For good or ill, it was a question “for the people to decide.” Id.
Therefore, I respectfully dissent.
. She has been joined by Arizonans Against Constitutional Tampering (AACT), but this opinion will generally hereafter refer only to her for notational convenience.
. I see no substantial difference between employees and state officials when the officials are performing the business of the state.
. I use the word "language” to refer to those bodies of words and their pronunciation and methods of combining them which are used and understood by a considerable community and established by long usage. See Webster’s Third New International Dictionary 1270 (1986). Most prominently mentioned in this case are English and Spanish.
.I undertake this explication with some disquiet because a jurisdictional question broods over this case. Yniguez herself no longer works for the State. That certainly moots her claim for injunc-tive relief. The Attorney General says that the State has expressly waived its Eleventh Amendment defense to nominal damages, but Yniguez did not ask for those damages in the district court. It seems unusual to allow her to now appeal the failure of the district court to grant
Concurrence Opinion
concurring:
I fully join Judge Fernandez’s dissent. I add the following:
Yniguez’s claim that the Article regulates speech, not merely the expressive mode of speech, is dubious. The difficulties of Yni-guez’s claim become apparent when one tries to identify exactly what speech or message the Article suppresses. If Yniguez is able to identify to us in English the messages that the Article suppresses, she would thereby communicate those messages which she claims only Spanish can convey. In other words, by stating in English the speech or message which the Article restricts, Yniguez undermines her claim that her message can only be expressed in Spanish. Saddled with this problem, the majority, therefore, never identifies the content of the speech which the Article suppresses and writes vaguely about the Article’s restrictions.
It is untenable for the majority to hold that the Article restricts pure speech yet fail to identify suppressed messages. This difficulty strengthens the undeniable conclusion that the Article regulates the mode of speech, not pure speech. This conclusion
The majority’s failure to identify clearly the meaning conveyed by using one language rather than another confuses its evaluation of the interests favoring First Amendment protection. Building on recent Supreme Court decisions, the majority considers the public’s right to “receive information and ideas” in order to determine whether Yniguez’s speech is protected. Yet, the majority can point to no bit of information about medical malpractice claims which can only be communicated in a non-English language — and which Article XXVIII would thereby restrict Yniguez from communicating and the public from receiving. The majority is simply unable to show the public’s interest in the unique content and meaning which Yniguez can only convey in the Spanish language. Instead, it points to the interests members of the public have in receiving Yniguez’s message in a manner and language they can easily understand. In effect, the majority asserts that many Arizonans would prefer Yniguez speak in a mode which they can easily understand — no doubt a true observation, but the public’s interest in a civil servant’s particular mode of communication does not warrant First Amendment protection.
Also, the majority’s view that when Yni-guez speaks in a language other than English, she comments as a citizen on a matter of public concern ignores the cases which define “matter of public concern.” These cases look to the content of public employees’ speech to see whether it contributes to public debate. See United States v. National Treasury Employees Union, — U.S. -, -,
Contrary to precedent, the majority rules that if members of the public would like to receive public employees’ speech in a certain way, that desire constitutes a matter of public concern. Such reasoning ignores the difference between a government employee who contributes to the marketplace of ideas and an employee who speaks in a mode which helps members of the public understanding what he says. The most recent Supreme Court case on point found that speech is of public concern when it “addresse[s] a public audience, [is] made outside the workplace, and involve[s] content largely unrelated to ... government employment.” National Treasury Employees, — U.S. at -,
Dissenting Opinion
with whom Judge KLEINFELD joins, dissenting:
A house divided against itself cannot stand. — Abraham Lincoln
Government has no mouth, it has no hands or feet; it speaks and acts through people. Government employees must do what the state can’t do for itself because it lacks corporeal existence; in a real sense, they are the state. This case is about whether state employees may arrest the gears of government by refusing to say or do what the state chooses to have said or done.
The majority says yes. Or, to be precise, it says the employees may force their employer into federal court and make it prove, to the exacting standard of the First Amendment, that its interest in enforcing its laws outweighs their right not to make statements they find objectionable. This is an extraordinary ruling with explosive and far-reaching consequences. Almost everything government does involves a communication of some sort and those charged with carrying out government functions sometimes disagree
Today’s decision rends this fundamental understanding of how government works by giving bureaucrats the right to turn every policy disagreement into a federal lawsuit. Maria-Kelly Yniguez was hired by the State of Arizona to perform various functions connected with processing medical malpractice claims. The people of Arizona — Yniguez’s ultimate superiors — then augmented her duties: They charged her with promoting English by using only that language for official business. The people of Arizona were warned that this might disrupt services and make government employees less efficient. See Arizona Publicity Pamphlet 32-33 (General Election, Nov. 8, 1988) (arguments against Proposition 106 by Rose Mofford, Governor; Morris K. Udall, U.S. Representative; Jesus “Chuy” Higuera, Arizona State Senator). Arizonans nevertheless chose to make this tradeoff. Since they were paying Yniguez’s salary, I had assumed it was their call whether Yniguez spent her work-time processing claims, promoting English or twiddling her thumbs.
Not so, says the majority. Because the law in question requires Yniguez to speak, she acquires First Amendment rights in the content and manner of that speech. Majority Op. at 939-42. What Yniguez says, and in what tongue, is thus no longer a business judgment by her employer; it’s a constitutional question. If Yniguez disagrees, she can haul her employer into federal court and force it to prove that the law’s advantages outweigh her right to say what she pleases. Nor is this pro forma, rationality review. As the interminable majority opinion demonstrates, this is high-octane review involving all sorts of substantive judgments about the wisdom and efficacy of the law in question. Majority Op. at 942-47.
Such scrutiny is highly intrusive, as well as costly and time-consuming. We must ask ourselves, therefore, whether similar challenges could be raised by other government employees with qualms about the laws they’re hired to enforce. The alarming truth is that there’s nothing unique about Yni-guez’s situation, nothing unusual about her claim. The same sort of challenge could be raised by just about every disgruntled government employee.
Consider the following example: A Deputy Attorney General develops doubts about whether the death penalty is constitutional; he files a brief urging the state supreme court to vacate a death sentence. Can the Attorney General discipline him? Not anymore. Like Yniguez, the Deputy can claim the brief is his speech (after all, it carries his name) and he has First Amendment rights not to say things that chafe his conscience and offend the Constitution. He can argue, as does Yniguez, that the law in question serves no legitimate purpose; he can show, like Yniguez, that abandoning the law would make him more efficient.
How can the state meet such a challenge? How can it hope to establish, to the demanding standard erected by the majority, that its interest in pursuing the death penalty outweighs the Deputy’s First Amendment right to espouse a contrary view? Whether the death penalty deters violent crime or serves other legitimate ends are questions about which reasonable minds differ; there are many — including some of my colleagues, see, e.g., Stephen Reinhardt, “The Supreme Court, The Death Penalty, and the Harris Case,” 102 Yale L.J. 205, 216 (1992) (“[T]he courts may be functionally incapable of handling death penalty cases fairly and judiciously.”) — who believe the death penalty is a cruel anachronism. The state couldn’t demur that the Deputy’s superiors had made the policy judgment and merely assigned him the task of implementing it. Yniguez’s superiors had decided to promote the use of English and merely assigned her the job of implementing that policy. Like Yniguez, the prosecutor would be entitled to argue that the federal court should change his job description.
So too would zillions of other government employees, like the following:
* City adopts bilingual policy to give non-Anglophone residents better access to*962 government services, but employee claims a First Amendment right to speak only English. In his view, use of other languages denies minority groups a fair opportunity to assimilate.
* Social worker disagrees with county’s policy of encouraging single mothers to enter the workforce and tells mother to stay home with her baby.
* Public school teacher disagrees with school district’s policy of teaching evolution and tells students that man sprang into being from the tears of the Egyptian god Ra-Atum.
* Deputy sheriff thinks Miranda warning is silly and tells suspects, “Lawyers are slimeballs. ‘Fess up, and the judge’ll go easy on you.’ ”
* Recruiter for public university disagrees with state’s affirmative action policy and tells minority applicants not to “expect any favors.”
Most cases may, after much litigation, be resolved in favor of the government. But there would be no way to keep them out of court. And in no case would the state be entitled to say, “We chose policy X because we had a hunch it might work, but we haven’t any proof.” No, indeed. When confronted with what will come to be known as a Yniguez challenge, states, cities, counties, even the federal government, will have to prove that their laws are worth the candle; courts will routinely make judgments traditionally reserved for the legislature and the people themselves. By comparison, Lochner v. New York,
This problem cannot be solved by tinkering with the fine points of the rule announced today. The fault lies in the rule’s central premise — the dangerous notion that government employees have a personal stake in the words they utter when they speak for the government. The force of this idea will turn government employment into a platform for endless attacks on government policy and governance into a tug of war between those who make the laws and those who enforce them.
The majority masks the enormity of its departure by pretending this is just another employee-speech case like Pickering v. Board of Educ.,
Under Pickering and Waters, Yniguez can try to change the law through the political process; she can speak out against Article XXVIII on her own time, and in any language she pleases; she can campaign for its repeal. This is much different from the right the majority creates for her — the right to block government policy because she happens to disagree with it.
Twice in recent years has the Supreme Court relied on the pivotal distinction the majority ignores. In Rust v. Sullivan,
The Court again addressed the issue in Rosenberger v. University of Virginia, — U.S. -,
Confronted with recent Supreme Court cases that cut the heart from its analysis, the majority responds with ... a footnote. Majority Op. at 940 n. 24. And what a footnote! As best one can tell, the majority reads Rust and Rosenherger as applying only where the government uses a private party to disseminate its message, not where it speaks through its own employees. This would be a pretty good argument, were it not for two things: the Supreme Court’s language and common sense. As for language, one need look no farther than the passage from Rosen-herger underscored above. The Court there holds that government may control the content of speech both where “it is the speaker” and where “it enlists private entities to convey its own message.” Rosenherger, — U.S. at -,
But put language aside and consider the logic of the situation: What earthly reason would there be to give employees of government-subsidized entities fewer First Amendment rights than public employees? Does the majority think the government could refuse to fund an otherwise qualified private group because its employees speak out against the government? Or belong to the wrong political party? Or practice an unpopular religion? Surely not. Pickering, Waters and Branti v. Finkel,
This is not to say that Arizona’s English-only policy is constitutional. As the majority and the concurrence point out, Article XXVIII makes it harder for many Arizonans to receive government services. A successful challenge might be raised by those whose ability to deal with their government is thereby impaired. Nor is the First Amendment the only basis on which the policy might be attacked; Yniguez also charges that the English-only policy violates equal protection and conflicts with Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d. No court has yet considered these arguments, which go more directly to the heart of this dispute. But to give Yniguez the right to decide what she will say when she is the state’s agent opens the courthouse door to countless other employees who disagree with some expressive aspect of their jobs. While I understand my colleagues’ eagerness to do away with a law they see as misguided and divisive, the price they pay is too high. No rational society can afford it.
