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UNITED STATES COURT OF APPEALS
FOR THE SIXTH CIRCUIT
Charles KINCAID, individually and on behalf of all others
similarly situated, and Capri Coffer, individually and on behalf
of all others similarly situated,
Plaintiffs-Appellants,
v.
Betty GIBSON, individually and in her official capacity
as Vice President of Student Affairs of Kentucky State University;
Mary Smith, individually and in her official capacity as President
of Kentucky State University; Dr. William Parker, George H. Helton,
Robert E. Ison, Valinda E. Livingston, Veleria Shavers, Dr. Richard
Taylor, Michele C. Coleman, M. Anthony Howard, Joyce Ann Johnson,
Dr. Anthony T. Remson, and Curtis D. Sullivan, all individually
and in their official capacities as Regents of Kentucky State
University,
Defendants-Appellees.
No. 98-5385
Appeal from the United States District Court
for the Eastern District of Kentucky at Frankfort.
No. 95-00098--Joseph M. Hood, District Judge.
Argued: March 18, 1999
Decided and Filed: September 8, 1999
Before: RYAN, NORRIS, and COLE, Circuit Judges.
COUNSEL
ARGUED: D. Bruce Orwin, Somerset, Kentucky, for Appellants.
J. Guthrie True, JOHNSON, JUDY, TRUE & GUARNIERI, Frankfort,
Kentucky, for Appellees.
ON BRIEF: D. Bruce Orwin, Somerset, Kentucky, Winter
R. Huff, LAW OFFICES OF JOHN G. PRATHER, Somerset, Kentucky, for
Appellants. J. Guthrie True, JOHNSON, JUDY, TRUE & GUARNIERI,
Frankfort, Kentucky, for Appellees. Lucy A. Dalglish, DORSEY &
WHITNEY, LLP, Minneapolis, Minnesota, Ann K. Benfield, Louisville,
Kentucky, Richard M. Goehler, FROST & JACOBS, LLP, Cincinnati,
Ohio, for Amici Curiae.
NORRIS, J., delivered the opinion
of the court, in which RYAN, J., joined. COLE, J. (pp. 21-23),
delivered a separate opinion concurring in part and dissenting
in part.
OPINION
ALAN E. NORRIS, Circuit Judge.
Plaintiffs Charles Kincaid and Capri Coffer challenge Kentucky
State University ("KSU") officials' ban on the distribution
of KSU's 1992-94 yearbook and the officials' alleged attempt to
influence the content of the school newspaper. Plaintiffs appeal
the district court's grant of defendants' motions to dismiss and
for summary judgment. We affirm the judgment of the district court.
I.
Charles Kincaid is currently
a student at Kentucky State University. During the occurrence
of the events underlying this action, Kincaid was a consumer of
and contributor to The Thorobred News, the KSU student
newspaper, and purchased The Thorobred yearbook at issue.
Capri Coffer was at all relevant times a KSU student, a staff
writer for, and consumer of, the student newspaper, and an editor
and purchaser of the yearbook.
KSU is a state-funded public
university. The KSU student newspaper and yearbook are operated
on, and by means of, KSU property and are funded by the university,
the yearbook at least partially by some portion of a mandatory
$80.00 student activities fee. Payment of this fee entitles a
student to a copy of the yearbook. Both publications are subject
to oversight by the Student Publications Board, on which sits
(among others) the editors of the newspaper and yearbook, the
Vice-President for Student Affairs, and the Student Publications
Coordinator. The Board's functions are to select the editors and
staff for each of the student publications, arrange seminars for
journalism education, provide the publications with counsel, and
approve the written publications policy of each student publication,
including such items as purpose, size, quantity controls, and
time, place, and manner of distribution.
At the time of the events giving
rise to this action, the Student Publications Board had not yet
adopted a governing policy detailing the scope of its oversight
of student publications.(1) The only written indication of the
University's intent in this regard may be found in the KSU student
handbook, under a section entitled "Student Publications."
The Board of Regents respects
the integrity of student publications and the press, and the rights
to exist in an atmosphere of free and responsible discussion and
of intellectual exploration. The Board expects student editors
and faculty advisors to adhere to high standards of journalistic
ethics and the highest level of good taste and maturity in the
integrity, tone and content of student publications.
Student Publications Board
The Thorobred News (Student Newspaper)
and the Thorobred yearbook shall be under the management of the
Student Publications Board. Though both publications are subsidized
by the University, it is the intent that both shall be as free
of censorship as prevailing law dictates.
. . . .
The Student Publications Board
shall:
1.Approve the written publications policy of each student publication,
including such items as purpose, size, quantity controls, and
time, place and manner of distribution;
2.Set qualifications for and (upon nomination by the Student
Publications Advisor), appoint the editor of each publication
who shall serve for a one-year term, unless reappointed or removed
by the Board for cause;
3.Set qualifications for and appoint staff members for each
publication upon nomination of its editor with concurrence of
the Student Publications Advisor, also, remove any of these staff
members for cause;
4.Arrange seminars for student publications personnel with
skilled publications experts for discussion of reporting, editing,
and other journalistic techniques;
5.Provide the Thorobred News and Thorobred yearbook staffs
with counsel, and encourage them to maintain for fiscal, news
and editorial responsibilities.
In
subsidizing the Thorobred News through the Student Publications
Board, the University expects the newspaper to maintain at least
these two standards of quality control.
1.Report accurately and fairly newsworthy campus events; and
2.Pursue important news events to make sure they are reported
and commented upon on the editorial pages with comprehension and
full understanding of the facts.
Since
the Thorobred News is not an "official" organ of the
University, the Student Publication Board shall cause to be inserted
in the masthead a standing and distinct disclaimer indicating
that the views expressed are not necessarily those of the University,
but rather are those of the named student author, editor or board
of editors. In setting qualifications for the editors of the newspaper
and yearbook, the Board shall include a sufficiently high academic
average or the successful completion of a basic journalism course,
or both. To assure that the newspaper and yearbook is not overwhelmed
by ineptitude and inexperience, the Board shall require the use
of an experienced advisor. In order to meet responsible standards
of journalism, an advisor may require changes in the form of materials
submitted by students, but such changes must deal only with the
form or the time and manner of expressions rather than alteration
of its content.
It
is the responsibility of the editor to verify the accuracy of
all printed matter, and to recognize that he/she will be subject
to the legal exigencies that may arise from improper reporting
of news.
Plaintiff Capri Coffer was the
editor in charge of the 1992-94 yearbook. Although she was at
first assisted by several other yearbook staff members, those
members soon dropped out, leaving the sizeable task of creating
the two-year Thorobred to Coffer. Coffer decided to structure
the book around the theme "Kentucky State: Destination Unknown."
She selected this theme because, in her words, "it was a
commentary [on] just about everything that was happening at the
University and within the lives of the students . . . . It was
about . . . saying where are we going in our lives . . . . Destination
Unknown, where am I going to be in five years from now[?] Where
am I going to be ten years from now[?]" Coffer also chose
to include a collection of photographs that depicted not only
the goings-on at Kentucky State University, but current events
in the community and around the world. Finally, Coffer chose a
purple cover for the yearbook rather than the university colors
of gold and green. Although it was not the first time the yearbook
had been clad in non-university colors, Coffer explained that
"we want[ed] to do something different. We wanted to bring
Kentucky State University into the nineties. . . . I wanted to
present a yearbook to the student population that was what they
ha[d] never seen before."
When the final copies of the
yearbook arrived at KSU, defendant Betty Gibson, then Vice-President
for Student Affairs, was displeased with the results of Coffer's
efforts. Specifically, she was disturbed by the yearbook's purple
cover, its vague theme and title "Destination Unknown,"
the inclusion of pictures of current events and public figures
unrelated to KSU such as Ross Perot, Bill Clinton, and the Pope,
the paucity of pictures of school figures and events, and the
fact that many of the pictures lacked captions. After consulting
with Mary Smith, University President, Gibson decided not to distribute
the yearbook and instructed Leslie Thomas, Director of Student
Life, to secure the books with the intent to later discard them.
According to plaintiffs, Gibson's
attempt to stifle student speech at KSU extended also to the student
newspaper. Plaintiffs contend that certain comic strips were no
longer published in the paper after Gibson had criticized them
for making fun of the administration and other aspects of life
at KSU. Furthermore, plaintiffs allege that in November of 1994,
Gibson directed the Publications Coordinator, Laura Cullen, to
prohibit the newspaper from printing a particular letter to the
editor and to convince the students to publish more positive news
in the paper. Cullen refused to censor the content of the student
newspaper on grounds that it would violate the students' First
Amendment rights. Following Cullen's refusal, and not coincidentally,
plaintiffs assert, on the same day Gibson received the final copies
of the yearbook, Cullen was transferred without notice or hearing
from her position as Publications Coordinator to an unspecified
position in the Housing Office.
With regard to the reason for
her transfer, in her deposition testimony, Cullen said:
The letter didn't have anything to do with my transfer.
The requests that were made by
Mrs. Gibson or the demand that it didn't run. And she seemed to
be angry with me on the phone when I spoke with her that morning.
And I was . . . a little tired of the same argument that I could
not and would not influence my students' decisions in this matter.
And I do remember phrasing something along the lines of we've
talked about this before kind of discussion. And I knew when I
hung up that she was angry with me . . . she said not to run the
letter . . . . And I again deferred to my students' decisions.
Nearly a month later, after Cullen had protested her transfer
through the appropriate KSU grievance procedure, she was reinstated
to her previous position. Upon reinstatement, Cullen received
a memorandum from Gibson which stated in relevant part:
Prior to returning to your position
as Coordinator of Student Publications, I find it necessary to
give you specific expectations of your job performance.
. . . .
2. More positive news is to be published;
3. There must be coverage of all campus events--athletics,
cultural, social and academic;
. . . .
5. The paper must be reviewed by The Student Publications
Board before going to print;
6. Must meet all deadlines for yearbook and monitor clearly
the content;
. . . .
Your job performance will be reassessed in sixty (60) days.
Plaintiffs contend that Gibson's memo, in addition to her other
actions regarding Cullen and the KSU newspaper, constituted unconstitutional
attempts to control the content of The Thorobred News.
On November 22, 1995, plaintiffs
filed suit in federal court, individually and on behalf of a proposed
class of KSU students, naming as defendants Betty Gibson, Mary
Smith, and eleven other individuals who comprised the governing
Board of Regents of KSU. Plaintiffs claimed, pursuant to 42 U.S.C.
§ 1983, that Gibson's interference with the newspaper and
her refusal to distribute the yearbook violated their First Amendment
rights to free speech and expression and to free association.
Plaintiffs also claimed that defendants' confiscation of the yearbook
deprived them of property rights in violation of the Fourteenth
Amendment and breached a contractual duty to provide students
with a yearbook in return for the mandatory $80.00 student activities
fee. Finally, plaintiffs alleged that defendants' actions constituted
an arbitrary exercise of governmental power in violation of Section
2 of the Kentucky Constitution.
Plaintiffs sought damages and
injunctive relief. Specifically, plaintiffs asked the court to
order KSU to distribute the 1992-94 yearbooks as promised and
to cease further attempts to control the content of student publications.
Plaintiffs also sought class certification for all former and
present KSU students who, like plaintiffs, were either consumers
of or contributors to the student newspaper and yearbook.
On December 11, 1995, defendants
moved to dismiss plaintiffs' First Amendment claims, their claims
of breach of contract and deprivation of property, and all claims
made against defendants in their official capacities. By Memorandum
Opinion entered on June 26, 1996, the district court granted the
motion in part. Citing Eleventh Amendment immunity, the court
dismissed all claims for monetary damages against defendants in
their official capacities. The court also dismissed plaintiffs'
due process claim, stating that neither plaintiffs' unilateral
expectation in obtaining a yearbook nor plaintiffs' alleged contract
for goods rose to the level of a vested property right. Without
expressing its reasoning, the court also dismissed plaintiffs'
First Amendment freedom of association claim. Finally, the court
dismissed the plaintiff's request for class certification, reasoning
that the proposed class of "all present and former students"
of KSU would be unmanageable and that the complaint lacked a sufficient
factual basis upon which to determine that plaintiffs would adequately
represent the interests of the proposed class. The court held,
however, that plaintiffs did have First Amendment standing and
therefore denied defendants' motion to dismiss plaintiffs' freedom
of speech and breach of contract claims.
On June 20, 1997, the parties
filed cross-motions for summary judgment. By Memorandum Opinion
entered on November 14, 1997, the district court granted summary
judgment in favor of defendants. With regard to the newspaper,
the court held that plaintiffs had failed to demonstrate injury-in-fact
sufficient to confer standing for a First Amendment claim. The
court explained that neither the transfer of Cullen nor plaintiffs'
allegations of censorship by Gibson amounted to a claim of specific
present objective harm, and that plaintiffs had failed to allege
a specific threat of future restraint.
As to plaintiffs' freedom of
speech claim regarding The Thorobred, the district court
concluded that the yearbook was a nonpublic forum, reasoning as
follows:
The plaintiffs have put forth no evidence that The Thorobred
was intended to reach or communicate with anybody but KSU students.
. . . [T]he plaintiffs do not contend that the yearbook was held
out to the public; instead, the plaintiffs have aptly stated that
the yearbook was a student publication, prepared and distributed
to the students by the students.
As can be seen, then, the yearbook was not intended to be a
journal of expression and communication in a public forum sense,
but instead was intended to be a journal of the "goings on"
in [a] particular year at KSU.
The court thus concluded that the KSU administration was entitled
to and in fact did exercise reasonable discretion in confiscating
the yearbook.
Next, the district court addressed
plaintiffs' state contracts claim. First, the court held that
in refusing to distribute the yearbook, defendants did not act
in their individual capacity, but in their official capacity,
and therefore may not be held liable as individuals for breach
of contract. Because the claim against defendants in their official
capacity was for monetary damages, the court held, defendants
are entitled to Eleventh Amendment sovereign immunity.
Finally, with regard to plaintiffs'
claim under Section 2 of the Kentucky Constitution, the court
held that because defendants had the right to exercise reasonable
control over the yearbook, defendants' actions may not be considered
unconstitutionally arbitrary and capricious.
The district court therefore
granted defendants summary judgment on each of plaintiffs' remaining
claims and dismissed the case.
II.
This court reviews de novo the
district court's grant of motions for summary judgment and to
dismiss. Trustee of the B.A.C. Local 32 Ins. Fund v. Fantin
Enters., Inc. 163 F.3d 965, 968 (6th Cir. 1998).
A.
We first consider plaintiffs'
contention that the district court erred in granting defendants
summary judgment on plaintiffs' First Amendment claim regarding
The Thorobred yearbook.
Through the 1970s and early 1980s,
federal courts were faced with a multitude of actions brought
by college newspapers challenging university administrators' attempts
to censor the newspapers' choice of editorial content and advertisement.
In virtually all of these cases, the courts held that the protections
afforded by the First Amendment reached "beyond the schoolyard
gates" to protect college newspapers. See, e.g.,
Stanley v. Magrath, 719 F.2d 279 (8th Cir. 1983) (finding
violation of students' First Amendment rights to free expression
where university cut student newspaper's funding at least in part
because the university disapproved of its content); Schiff
v. Williams, 519 F.2d 257 (5th Cir. 1975) (holding that university's
dismissal of student newspaper editors because the university
disapproved of the paper's editorial content violated students'
First Amendment rights); Joyner v. Whiting, 477 F.2d 456
(4th Cir. 1973) (holding that university's withdrawal of funds
from student newspaper violated students' rights to free expression);
Bazaar v. Fortune, 476 F.2d 570 (5th Cir. 1973) (holding
that university censor of student literary publication violated
students' rights to free speech); Antonelli v. Hammond,
308 F. Supp. 1329 (D. Mass. 1970) (holding that a requirement
that all material to be published in student newspaper be reviewed
by university administrators violated students' rights to free
expression); Korn v. Elkins, 317 F. Supp. 138 (D. Md. 1970)
(holding that university's excision of repugnant material from
student publication violated students' First Amendment rights).
The broad First Amendment protection
afforded students by these cases has not proven to be without
limit, however. In Hazelwood Sch. Dist. v. Kuhlmeier, 484
U.S. 260 (1988), the Supreme Court settled on a test for determining
whether a particular student publication is entitled to the full
First Amendment protection of a public forum or the more limited
protection of a nonpublic forum. The framework established in
Hazelwood applies to plaintiffs' claims in the instant
action.(2)
In Hazelwood, staff members
of a high school newspaper claimed that school officials had violated
their First Amendment right to free expression by censoring certain
articles scheduled to be published in the newspaper. The Court
reasoned that before examining the propriety of the school officials'
conduct, the Court must first assess the nature of the students'
forum. The determinative element of such an inquiry, held the
Court, is the intent of the school in chartering the publication.
See Hazelwood, 484 U.S. at 267-69 (examining school policy
toward school paper to determine whether school had created a
public forum). If the school gave to the students full reign over
the publication's content, then the school has evinced an intent
to create a public forum.(3) In that case, the school must limit
its supervision to reasonable time, place, and manner regulations,
and any content-based prohibitions must be narrowly drawn to effectuate
a compelling state interest. See Perry Educ. Ass'n v. Perry
Local Educators' Ass'n, 460 U.S. 37, 46 (1983); Widmar
v. Vincent, 454 U.S. 263, 269-70 (1981). Indeed, "[e]ven
a content-neutral regulation of speech in a public forum must
be narrowly tailored to serve a significant government interest
and must leave open ample alternative channels of communication."
Hays County Guardian v. Supple, 969 F.2d 111, 118 (5th
Cir. 1992). The Court in Hazelwood noted, however, that
if the school did not intentionally create a public forum, then
the publication remains a nonpublic forum, and school officials
may impose any reasonable, non-viewpoint-based restriction on
student speech exhibited therein. Hazelwood, 484 U.S. at
267; see also International Soc'y for Krishna Consciousness,
Inc. v. Lee, 505 U.S. 672, 683 (1992).
The Hazelwood Court concluded
that the school board had not intended the high school newspaper
to operate as a public forum and therefore upheld the administrators'
censorship of the newspaper's editorial content. The Court cited
the following evidence in support of its conclusion: (1) the newspaper
was officially sponsored by the school as part of the journalism
curriculum and was published as part of a journalism class; (2)
the newspaper was under the direct and absolute editorial control
of the journalism teacher who selected the paper's editors, set
publication dates, assigned stories, advised in the development
of stories, edited, participated in the selection of articles
for publication, and negotiated with printers; (3) students received
class credit and grades for their roles in publishing the paper;
(4) and the school principal conducted final review of each issue
of the newspaper prior to publication. Hazelwood, 484 U.S.
at 268-69.
Several facts distinguish Hazelwood
from the case before us. The Thorobred yearbook is not
a product of the classroom as was the school newspaper in Hazelwood.
Nor does it appear that the KSU Student Publications Board regularly
intervened in the day-to-day operations of the yearbook staff.
These facts and others doubtless indicate that KSU did not exercise
control over The Thorobred to the same extent that the
school officials controlled the student newspaper in Hazelwood.
An absence of hands-on control, however, does not alone evince
an intent to create a public forum. As the court in Hazelwood
noted, "[t]he government does not create a public forum by
inaction or by permitting limited discourse, but only by intentionally
opening a nontraditional forum for public discourse." Id.
(citation and internal quotation marks omitted). After careful
consideration of the record, we must conclude that plaintiffs
have offered evidence insufficient as a matter of law to prove
that the KSU administration intended The Thorobred to serve
as a public forum.
At the time of defendant Gibson's
confiscation of the 1992-94 yearbook, the sole written evidence
of the university's intent regarding The Thorobred is found
in a section of the KSU Student Handbook entitled "Student
Publications." This excerpt explicitly states that both The
Thorobred News and The Thorobred yearbook "shall
be under the management of the Student Publications Board"
and emphasizes that the Board "expects student editors and
faculty advisors to adhere to high standards of journalistic ethics
and the highest level of good taste and maturity in the integrity,
tone and content of student publications."
The student handbook also offers
several details regarding the Student Publications Board's role
in supervising The Thorobred and The Thorobred News.
The handbook states, for example, that the Publications Board
shall approve the written publications policy of the publications,
"including such items as purpose, size quantity controls,
and time, place and manner of distribution." The handbook
also provides that the Board shall appoint the publications' editors
and may remove them for cause, and that the Board shall be responsible
for negotiations with the publications' printers. Most notably,
however, the handbook sets forth the university's requirement
that the publications' staffs use an experienced advisor so that
they will not be "overwhelmed by ineptitude and inexperience."
According to the handbook, this advisor may require changes in
"the form or the time and manner of expressions" to
be published. Thus, although the university evinced an intention
that students be allowed to determine the content of expression,
it left ultimate control over the form and manner of that expression
in the hands of the Publications Board.
Finally, and most telling, the
handbook mandates that because KSU does not consider The Thorobred
News to be "an 'official' organ of the University,"
the newspaper must insert a disclaimer "indicating that the
views expressed are not necessarily those of the University, but
rather are those of the named student author, editor or board
of editors." The exclusion of the yearbook from this requirement
evidences KSU's intent that the yearbook bear the imprimatur of
KSU and serve, as defendant Gibson testified, as a KSU-sponsored
representation of student life at the university rather than as
an open forum for student expression.
In view of the extent of control
retained by the KSU Board of Regents through the Student Publications
Board, any evidence that KSU intended The Thorobred to
be a public forum is equivocal at best. Although the student handbook
states, for example, that "it is the intent that both [publications]
shall be as free of censorship as prevailing law dictates,"
such language merely begs the question of the breadth of the applicable
law. The language certainly contains nothing to suggest an intent
by the university to expand the protection afforded student speech
in a nonpublic forum to that of a public forum. See Hazelwood,
484 U.S. at 269. Nor does the fact that the university had not
yet adopted an official policy regarding the scope of The Thorobred's
intended purpose indicate an intent to open the yearbook's pages
for the unfettered use of its student editors. Again, absent an
expression of intent "by policy or by practice," Perry
Educ. Ass'n, 460 U.S. at 47, to the contrary, we must conclude
that KSU intended The Thorobred to remain a nonpublic forum.
Because plaintiffs have alleged
facts insufficient as a matter of law to indicate an intent by
KSU to relinquish editorial control over The Thorobred
to the students, defendants were entitled to regulate the contents
of the yearbook in any reasonable manner. We uphold the district
court's conclusion that defendants' confiscation of the 1992-94
Thorobred was reasonable in light of the yearbook's failure
to accomplish its intended purpose. It is no doubt reasonable
that KSU should seek to maintain its image to potential students,
alumni, and the general public. In light of the undisputedly poor
quality of the yearbook,(4) it is also reasonable that KSU might
cut its losses by refusing to distribute a university publication
that might tarnish, rather than enhance, that image. As plaintiffs
contend, it may have been more reasonable for the Publications
Board to have monitored the quality of plaintiff Coffer's work
during the yearbook's completion, rather than expressing so harshly
its disapproval upon receiving the final product. Defendants correctly
note, however, that regulation of speech in a nonpublic forum
"need only be reasonable; it need not be the most reasonable
or the only reasonable limitation." International Soc'y
for Krishna Consciousness, 505 U.S. at 683 (citation and internal
quotation marks omitted).
We therefore affirm the disrict
court's grant of summary judgment in favor of defendants on plaintiffs'
First Amendment claim regarding The Thorobred yearbook.
B.
Plaintiffs argue that the district
court erred in granting defendants summary judgment on the claim
that they violated plaintiffs' First Amendment right to free speech
by attempting to control the content of the student newspaper.
The district court held that
plaintiffs lack standing to bring a First Amendment claim with
regard to the student newspaper because plaintiffs failed to demonstrate
sufficient injury-in-fact. Specifically, the court stated that
neither the transferral of Cullen nor plaintiffs' "bald allegations"
that Gibson's criticism effected censorship of the publication
amounted to "a claim of specific present objective harm or
a threat of specific future harm."
Plaintiffs claim, in essence,
that First Amendment standing does not require a showing that
their speech was actually restricted by the university. Citing
opinions from a federal district court and a New York court of
claims, plaintiffs assert that their injury occurred upon the
university's attempt to restrict their speech. See Antonelli
v. Hammond, 308 F. Supp. 1329 (D. Mass. 1970) (holding that
a university's requirement of submission for prior review and
requiring "more positive news" constituted unconstitutional
attempts to control the content of student publication); Mazart
v. State, 441 N.Y.S.2d 600 (N.Y. Ct. Cl. 1981) (same). Similarly,
plaintiffs note that at least one court has held that the removal
of a faculty advisor alone constitutes unconstitutional injury
to students. See Romano v. Harrington, 725 F. Supp. 687
(E.D.N.Y. 1989)
Even if we were to address the
merits of plaintiffs' claims we note that they have failed to
allege that their faculty advisor, Ms. Cullen, acted upon defendant
Gibson's improper demands, or indeed that the newspaper staff
was even aware of Gibson's attempts to restrict their speech.
Thus, plaintiffs' speech did not bear even the threat of prior
restraint, and therefore they could have suffered no injury. The
district court was correct to dismiss plaintiffs' First Amendment
claim with regard to The Thorobred News.
C.
In light of our holding with
regard to plaintiffs' First Amendment freedom of expression claims,
we affirm on the opinion of the district court its grant of summary
judgment in favor of defendants on plaintiffs' breach of contract
claim and plaintiffs' claim pursuant to the Kentucky State Constitution.
Regarding the district court's
Rule 12(b)(6) dismissal of plaintiffs' remaining claims, we note
that plaintiffs failed to mention in their notice of appeal either
the district court's June 26, 1996, Rule 12(b)(6) dismissal, or
its February 4, 1997, denial of reconsideration. Pursuant to Federal
Rule of Appellate Procedure Rule 3(c), "[a] notice of appeal
. . . must designate the judgment, order, or part thereof appealed
from." This court has held that "[n]otwithstanding the
absence of prejudice, . . . a defective notice of appeal can never
confer jurisdiction on an appellate court . . . ." Brooks
v. Toyotomi Co., 86 F.3d 582, 586 (6th Cir. 1996). Accordingly,
it appears that we may not have jurisdiction to hear plaintiffs'
due process claim, its freedom of association claim, and its request
for class certification.
Even should we have jurisdiction
over plaintiffs' challenges to these rulings, however, and we
specifically decline to rule on the issue, we would affirm for
the reasons stated by the district court in its rulings on plaintiffs'
due process claim and its freedom of association claim. With no
viable claims upon which to request class certification, that
request is moot.
III.
For the reasons stated above,
we affirm the judgment of the district court.
CONCURRING IN PART, DISSENTING IN PART
R. GUY COLE, JR. Circuit Judge,
concurring in part and dissenting in part. I agree with the majority's
disposition of the plaintiffs' First Amendment claim as it relates
to the KSU newspaper and its disposition of the plaintiffs' state
law claims. I write separately because I disagree with the majority's
determination that the university's yearbook was a nonpublic forum
and therefore subject to reasonable restrictions by the university.
See Perry Educ. Ass'n v. Perry Local Educators' Ass'n,
460 U.S. 37, 46 n.7 (1983).
In finding that the yearbook
was a nonpublic forum, the majority relies heavily on Hazelwood
Sch. Dist. v. Kuhlmeier, 484 U.S. 260 (1988). To begin, it
is worth emphasizing that the Supreme Court in that case was addressing
the scope of the First Amendment in the context of high school
student publications. While showing considerable deference to
high school administrators and teachers to regulate the content
of school publications, the Court also stated, "We need not
now decide whether the same degree of deference is appropriate
with respect to school-sponsored expressive activities at the
college and university level." Id. at 273 n.7. The
majority fails to acknowledge this point, instead applying the
same level of deference to KSU as the Court did to Hazelwood East
High School. Neither this court nor any of our sister circuits
have taken a position on this issue, and I hesitate to do so implicitly,
as the majority has done.(1)
Even if this court were to afford
the same level of deference to colleges and universities as high
schools, I disagree with the majority's application of Hazelwood
to this case. The majority acknowledges that KSU's student handbook,
already in effect in 1992, expresses the university's "intent
that both [publications] shall be free of censorship as prevailing
law dictates." The majority then determines, however, that
KSU did not intend to expand the protection afforded the
yearbook from a "nonpublic forum to that of a public forum,"
Majority Opinion at 16, because the handbook requires that the
school newspaper insert a disclaimer - "indicating that the
views expressed are not necessarily those of the University, but
rather are those of the named student author, editor or board
of editors" - but makes no such requirement of the yearbook.
Based on this distinction, the majority concludes that KSU "inten[ded]
that the yearbook bear the imprimatur of KSU and serve . . . as
a KSU-sponsored representation of student life at the university
rather than an open forum for student expression." Majority
Opinion at 16.
While I agree that the yearbook
is not a traditional public forum, I take issue with the majority's
conclusion that it must therefore be a nonpublic forum. The majority
makes this finding only by ignoring the third classification of
a limited public forum. A limited public forum is "created
by government designation of a place or channel of communication
for use by the public at large for assembly and speech, for use
by certain speakers, or for the discussion of certain subjects."
Cornelius v. NAACP Legal Defense and Educ. Fund, Inc.,
473 U.S. 788, 802 (1985). For a limited public forum, as with
a traditional public forum, "[r]easonable time, place and
manner regulations are permissible, and a content- based prohibition
must be narrowly drawn to effectuate a compelling state interest."
Perry Educ. Ass'n, 460 U.S. at 46.
The majority's emphasis on the
absence in the student handbook of a disclaimer for the yearbook
is misguided. It does not make sense to infer the university's
intent in one section of the handbook when a different section
of the handbook actually states the university's intent. The handbook
requires that both the newspaper and the yearbook have a Student
Publications Advisor, who "may require changes in the form
of materials submitted by students." Any changes, however,
"must deal only with the form or the time and manner of
expressions rather than alteration of its content." (emphasis
added). This language is very similar to the wording in Perry
Education Association, discussed supra, defining the
First Amendment protection afforded a limited public forum.(2)
Applying this heightened standard of review, I believe that the
university's proffered reasons for withholding distribution of
the yearbook for the period of 1992-94 - inappropriate theme or
title, poor quality - are content-based restrictions that do not
serve any compelling governmental interest. See Perry Educ.
Ass'n, 460 U.S. at 46. Accordingly, in my view, the university
may not withhold issuance of the 1992-94 yearbook.
For the foregoing reasons, I
respectfully DISSENT from the majority's opinion as it
relates to its treatment of the university's yearbook.
Footnotes
1 Although plaintiffs
cite to a "Student Publications Board Governing Policy"
in support of their claims, plaintiffs conceded in their Reply
Brief that this policy was not adopted by the Board until after
the occurrence of the events underlying this action.
2 Plaintiffs assert that
because a university student publication is under the control
of private individuals--that is, the students--it is subject to
the same unqualified First Amendment protection as, for example,
The New York Times, thus making the Hazelwood public forum
analysis inappropriate. Plaintiffs cite several cases both to
the effect that student publications are private, and not state,
actors and that a publication does not become an arm of the state
merely because it accepts government funds and other benefits.
Plaintiffs' argument in this
regard is without merit. A state-funded and school-supervised
(to any extent) publication, operated on state property and with
the use of state-owned hardware and materials is clearly a creature
of, if indeed not a creation of, the state. Thus, although a university's
lack of involvement in the regulation of such a publication's
editorial content might evince an intent to create a public forum,
the university's ties with the publication clearly indicate state,
not private, ownership. The publication is thus subject to the
public forum analysis delineated by the Court in Hazelwood.
See Greg C. Tenhoff, Censoring the Public University
Student Press: A Constitutional Challenge, 64 S. Cal. L. Rev.
511, 521 (1991).
3 Although a school publication
does not normally qualify as a traditional public forum--that
is, a place such as a public sidewalk open for speech by the general
public--such a forum might constitute what is currently referred
to among legal academics as a "limited public forum,"
or a "public forum by designation." A public forum by
designation has been defined by the Court as "a place or
channel of communication for use by . . . certain speakers, or
for the discussion of certain subjects." Cornelius v.
NAACP Legal Defense and Educ. Fund, Inc., 473 U.S. 788, 802
(1985). A limited public forum is entitled to the full First Amendment
protection given a traditional public forum. Perry Educ. Ass'n,
460 U.S. at 46.
4 Plaintiffs do not dispute
Gibson's factual assertions that the yearbook lacked captions
and displayed a dearth of photographs of school personages and
functions. Plaintiffs do contend that Gibson's quality concerns
were pretextual and that her true reason for confiscation of the
yearbook was her disapproval of the yearbook's message. However,
viewpoint discrimination occurs when the government's motivation
for regulating speech is a distaste for the "specific motivating
ideology or the opinion or perspective of the speaker." Rosenberger
v. Rector and Visitors of Univ. of Va., 515 U.S. 819, 829
(1995). The government may not regulate speech based on disapproval
of a particular viewpoint, even in a nonpublic forum. Plaintiffs
have presented no evidence, however, that Gibson disagreed with
the politics of the yearbook or indeed that the yearbook even
contained a political message. With regard to Gibson's reaction
to the yearbook's theme "Destination Unknown," Gibson
merely testified that "I can't tell you what that meant."
Moreover, even if Gibson had banned distribution based upon her
disapproval of this theme, plaintiffs have presented no evidence
that such disapproval related to viewpoint discrimination, rather
than to content that exceeded the scope of the yearbook's chartered
purpose.
Footnotes of Dissent/Concurrence
1 That said, I believe
that there is reason for courts to afford colleges and universities
greater deference than they do high schools. While it may
be a stretch to consider college-aged students full adults, a
school's concern for the "emotional maturity of the intended
audience," Hazelwood, 484 U.S. at 272, is certainly
less pressing for college students than for high school students.
Most students are at least eighteen years old when they enter
college, an age at which society affords them some of the same
rights as adults (i.e., the right to vote).
2 This conclusion also
comports with common sense. A yearbook is a student publication
constructed by students, intended for students. It reflects their
perspective of the college experience, evidenced, for example,
by the fact that upperclasspersons are allowed to include a personal
caption with their individual class photograph, the content of
which may or may not be a "KSU-sponsored representation of
student life."
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