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UNITED STATES OF AMERICA, Plaintiff-Appellee,
v.
PAMELA BAUGH; BENIJAMIN BEAR; ALAN BEIM; LOU BORDISSO;
MARIA BRANN; MARY JANE BRINTON; JESSE BROWN; KENNETH BUTIGAN;
FAYE BUTLER; CHRISTIE CANNON; JEAN CATHER; ROBERT CHAMBERLIN;
GLORIA CHANNON; NORMAN CHASE; JAMES CORDER; ROBERT COX; DOUGLAS
DONLEY; SILE DOOLEY; JENNIFER DUNLAP; WILLIAM EPSEN; ARLA ERTZ;
JOHN FAY; FOREST, AKA Gretchen Milne; BERNIE GALVIN; MARGARET
GLEASON; EDWARD GLEASON, PAUL GROSSBERG; MARY HEIN; JOAN HOPKINS;
JEFF JOHNSON; KATHRYN JORGENSON; ROBERT KING; BARBARA KOHN; HENRY
KROLL; CONSTANCE KURUPPU; CHRIS LATHAM; KRISTI LAUGHLIN; ANGIE
LOBATO; LOUISE LYNCH; ELOISE MAGENHEIM; JOSEPH MASTROCOLA; TERRY
MESSMAN; JOHN MILLEN; JEAN MONTETON; SIDENY MOORMEISTER; INNOSANTO
NAGARA; KELLY NEFF; NORBERT NICHOLS; KATHLEEN NIECE;
MICHAEL NIECE; WILLIAM O' DONNELL; CYNTHIA OKAYAMA-DOPKE;
KAREN OLIVETO; PAMELA OSGOOD; DEBRA PANEK; CHRISTINE PANELLI;
JOHN PAPPAS; TERESA PARENT; SARAH ROCK; LORETTA ROWLES; MARY
SCHOONE; CHRISTINE SMITH; RON STIEF; NAOMI SULTAN; GAIL TAYLOR;
JAMES TRACY; JAMES - WAGNER; JANET WEIL; P. E. COFFEY, aka Whirlwind
Dreamer; CAROLYN ZITO, Defendants-Appellants.
No. 98-10224
United States Court of Appeals for the Ninth Circuit
D.C. No. CR-97-00104-MMC
Appeal from the United States District Court for the Northern
District of California
Maxine M. Chesney, District Judge, Presiding
Argued and Submitted April 14, 1999 -- San Francisco, California
Before: Mary M. Schroeder, Stephen Reinhardt, and Barry G. Silverman,
Circuit Judges.
COUNSEL
Dennis Cunningham, San Francisco, California, for the
defendants-appellants.
George S. Cardona and Mark St. Angelo, Assistant United
States Attorneys, San Francisco, California, for the plaintiff-appellees.
Filed August 25, 1999
SCHROEDER, Circuit Judge:
Pamela Baugh and other members of a group called Religious
Witness with Homeless People ("RWHP" ) appeal their
convictions for demonstrating without a permit on National Park
property, in violation of 36 C.F.R. § 2.51(a). At the time
of their arrest, the defendants were protesting the Park Service'
s plan to demolish the Wherry housing in the Presidio in San
Francisco instead of using the units to house the homeless.
The defendants challenge the constitutional validity
of the permit regulation and its implementing rules both facially
and as applied to their protest. We do not reach the facial challenge,
for we hold that the Park Service' s application of the regulation
to the defendants violated the defendants' First Amendment rights.
Facts and Procedural History
The demonstration for which the government arrested
the defendants occurred on March 9, 1997. This was not the first
time RWHP had protested the planned destruction of the housing
that it wanted used to house the homeless. In past protests by
the organization at the Presidio, after marching through the
Wherry housing area, some RWHP members had trespassed into the
housing and had refused to leave until they were arrested. On
these occasions, the trespassing demonstrators were arrested
both for demonstrating without a permit and for trespass, but
were only prosecuted for trespass.
Park Police Lieutenant Kevin Hay learned of the March
9th demonstration a few days before. He telephoned Sister Bernie
Galvin, executive director of RWHP, and asked her if the group
wanted a permit. Lt. Hay told Sister Bernie that RWHP would receive
a permit only if Sister Bernie promised that no trespassing into
the units would occur at the march. Sister Bernie indicated that
RWHP desired a permit but refused to promise that no trespassing
would occur.
Although the earlier protests had taken place solely
at the housing area, RWHP intended to convene on March 9th at
the Visitor Center, in a different part of the Presidio, before
going to the Wherry housing area to march. On March 9th, about
150 to 175 RWHP members gathered before the Visitor Center. Sister
Bernie spoke to Lt. Hay two or three times at that location.
He again made it clear that the permit would issue only if Sister
Bernie would promise that none of the RWHP members would trespass
into the housing units. Sister Bernie again refused to make this
pledge.
Lt. Hay told Sister Bernie that the group would have
to move to an area reserved for protestors known as the "First
Amendment area" located 150 to 175 yards from the Visitor
Center. Sister Bernie declined this option as well. She and other
RWHP members believed that the designated area was located too
far away from the Visitor Center to convey RWHP' s message to
Park Service officials and the public. Because of the Park Service'
s stance, the group gave up their march and decided instead to
hold a prayer service where they stood: on the Visitor Center'
s lawn. Shortly after the inception of the prayer service, Lt.
Hay made several announcements that the group would be arrested
if it did not move to the First Amendment area. Although some
RWHP demonstrators went to the First Amendment area or crossed
the street, those who remained in front of the Visitor Center
were promptly arrested.
The record contains some indication that the protestors
may have caused some disruption of Visitor Center activities,
but the Park Service did not arrest defendants for this reason.
It arrested defendants solely for not having a permit to engage
in their expressive activities. According to Lt. Hay' s testimony,
the Park Service might have permitted the demonstration to go
forward at a location much closer to the Visitor Center than
the so-called First Amendment area had Sister Bernie been willing
to negotiate further. Sister Bernie, for her part, testified
that she did not believe she possessed this option.
The defendants moved to quash their arrests on the grounds
that the arrests violated the First Amendment and the district
court denied the motion. The court held that 36 C.F.R. §
2.51 and the Park Service' s implementing regulations were constitutional
on their face and as applied to the defendants. On April 13,
1998, after a one-day bench trial, defendants were convicted
of demonstrating without a permit in violation of § 2.51(a).
The district court held that the no-trespassing condition imposed
by the Park Service constituted a reasonable condition for the
permit. The district court sentenced the defendants to ninety
days of unsupervised probation and twelve hours of community
service.
The Regulation and Its Implementing Rules
The Park Service regulates expressive activity at the
Presidio under 36 C.F.R. § 2.51,[FOOTNOTE 1] which is implemented
through a compendium of Park rules. The permit regulation presumptively
allows expressive activities, provided the Park superintendent
has issued a permit in advance. See 36 C.F.R. § 2.51(a).
The regulation further specifies that the superintendent shall,
without unreasonable delay, issue a permit upon a proper application
unless certain conditions apply. See § 2.51(c). One
such condition is "[i]t reasonably appears that the event
will present a clear and present danger to the public health
or safety." See § 2.51(c)(2). Another condition
is the inability to accommodate the event in the applied-for
location due to the nature of the event and considering such
factors as damage to park resources or facilities, damage to
a protected area' s atmosphere of peace and tranquility, or disturbance
of program activities or public use facilities. See §
2.51(c)(3).
The regulation also provides that the superintendent
should designate on a map the locations available for public
assemblies. See § 2.51(e). These areas must be available
for assemblies unless, inter alia, the activities would
cause injury or damage to park resources; unreasonably interfere
with interpretive, visitor service, or other program activities,
or with the administrative activities of the National Park Service;
substantially interfere with the operation of public use facilities;
or present a clear and present danger to the public health and
safety. See § 2.51(e).
The compendium of implementing regulations designates
three locations within the Presidio for which the Park Service
will issue permits for First Amendment activities. If a group
wishes to stage a special event, it may apply to the superintendent
for the designation of an additional First Amendment area. If
the criteria in the regulations are complied with, the superintendent
will designate another specific location for the exercise of
First Amendment activities. At trial, a Park Service official
testified that he had the authority to issue floating permits
to groups who applied and who wished to hold First Amendment
activities that warranted such a permit.
Standing
While engaged in purely expressive conduct that did
not violate the Park Service' s no-trespassing condition, defendants
were arrested because they lacked a permit the Park refused to
issue unless defendants promised not to trespass. We must decide
whether the arrests violated the defendants' First Amendment
right to free speech.
Before reaching this question, however, we must first
address the threshold issue of standing. The government does
not question the defendants' standing to make a facial challenge
because one need not apply for a benefit conditioned by a facially
unconstitutional law. See Shuttlesworth v. City of Birmingham,
394 U.S. 147, 151 (1969). The government, however, does contend
that the defendants may not make an as-applied challenge because
they did not apply for a permit for their prayer service.
In Madsen v. Boise State University, we held
that generally one may not challenge a rule or policy to which
one "has not submitted himself by actually applying for
the desired benefit." 976 F.2d 1219, 1220 (9th Cir. 1992);
see also United States v. Hugs, 109 F.3d 1375, 1378 (9th
Cir. 1997); Gerritsen v. City of Los Angeles, 994 F.2d
570, 575 (9th Cir. 1993). A central reason for this requirement
is to ensure that the challenged policy actually affected the
person challenging it. See Madsen, 976 F.2d at 1221-22.
There is no reason to require a formal written application
when the record reflects, as it does here, that the Park Service
itself initiated less formal discussions with RWHP on March 9th
and on prior occasions. This practice demonstrated that the Park
Service had declined to insist on the formal application process
outlined in § 2.51, instead endeavoring to contact RWHP
and negotiate on the terms of a permit. See Gerritsen,
994 F.2d at 578 (because city in practice did not require that
bond be submitted before application reviewed, the failure to
submit a timely bond did not invalidate as-applied constitutional
challenge). The defendants engaged in this informal process,
encouraged by the Park Service officials, and defendants expressed
their desire for a permit for their march. Defendants initiated
their prayer service as a direct consequence of the Park Service'
s refusal to issue a permit for the march. They thus have standing
to challenge the permit requirement as the Park Service applied
it to their prayer service.
The Constitutionality of the Regulation as Applied
A march and other protest activities clearly constitute
protected speech. See Shuttlesworth v. City of Birmingham,
394 U.S. 147, 152 (1969) (describing the privilege of citizens
to assemble, parade, and discuss public questions in streets
and parks). We have stressed that a public park, such as the
Presidio, represents a "quintessential public forum[ ]."
See Grossman v. City of Portland, 33 F.3d 1200, 1204 (9th
Cir. 1994). "Parks . . . have immemorially been held in
trust for the use of the public and, time out of mind, have been
used for purposes of assembly, communicating thoughts between
citizens, and discussing public questions." Id. at 1204-05
(quoting Hague v. CIO, 307 U.S. 496, 515 (1939)) (internal
quotations omitted). Thus, the First Amendment applies with particular
force here. See United States v. Grace, 461 U.S. 171,
177 (1983).
The refusal of the Park Service to authorize any expressive
activity in the Presidio absent the defendants' promise to keep
out of certain areas constitutes a "prior restraint"
that prevented expressive activity from occurring. Prior restraints
on speech bear a heavy presumption of unconstitutionality because
they "are the most serious and the least tolerable infringements
on First Amendment rights." Grossman, 33 F.3d at
1204 (quoting Nebraska Press Ass' n v. Stuart, 427 U.S.
539, 559 (1975) (internal quotations omitted)). However, even
prior restraints may be imposed if they amount to reasonable
time, place, and manner restrictions on speech. Id. at
1205. To qualify as a permissible restriction, the regulation
must be content neutral, narrowly tailored to serve a significant
governmental interest, and leave open ample alternative channels
for communication of the message. See Ward v. Rock Against
Racism, 491 U.S. 781, 791 (1989); Clark v. Community for
Creative Non-Violence, 468 U.S. 288, 293 (1984); Bay Area
Peace Navy v. United States, 914 F.2d 1224, 1226 (9th Cir.
1990).
We are not the first court to consider this regulatory
scheme. The few decisions have not been uniform.
In United States v. Kistner, 68 F.3d 218 (8th
Cir. 1995), the Eighth Circuit examined § 2.52, the companion
regulation to § 2.51 that pertains to pamphleting and that
contains similar language. The court held that the regulation
did not violate the First Amendment on its face nor as applied
to the defendant. Id. at 220-23. The defendant in Kistner
had been arrested for distributing religious pamphlets without
a permit in Jefferson National Expansion Memorial, in St. Louis.
Id. at 219. The pro se defendant broadly argued that the
latitude given to park officials by the regulation created a
risk that the discretion would be exercised based on the content
of speech. Id. at 221. Kistner rejected this argument,
finding that the regulation contained guidelines for the issuance
of the permit and that the record belied the defendant' s contention
that the park granted and denied permits based on content. Id.
Two district courts, however, have found similar permit
schemes to the one that confronts us unconstitutional on their
face. See Naturist Soc' y v. Fillyaw, 858 F. Supp. 1559
(S.D. Fla. 1994); United States v. Rainbow Family, 695
F. Supp. 294 (E.D. Tex. 1988). Both courts held that the regulations
were unduly vague and thus bestowed too much discretion upon
park officials because, inter alia, the provisions in
the regulations allowed park officials to deny permits if they
perceived that the demonstration presented "a clear and
present danger." Naturist Soc' y, 858 F. Supp. at
1569-70; Rainbow Family, 695 F. Supp. at 311-12.
The regulation before us also authorizes denial of a
permit on grounds of "clear and present danger." See
§ 2.5.1(c)(2). The government in part relies on this
subsection to justify its refusal to issue RWHP a permit absent
a promise not to trespass. We need not reach the issue of the
facial constitutionality of § 2.51, however, because we
hold that even if the regulation on its face created reasonable
time, place, and manner constraints, the Park Service unconstitutionally
applied the requirement when it refused to issue a permit for
any expressive activity in this case.
The first criteria for a reasonable restriction on speech
is that the restriction be content neutral, or "' justified
without reference to the content of the regulated speech.' "One
World One Family Now v. City of Honolulu, 76 F.3d 1009, 1012
(9th Cir. 1996) (quoting Clark, 468 U.S. at 293). This
requirement appears to have been met. Lt. Hay testified that
the Park Service insisted on the promise of no trespassing out
of a concern for preventing property damage and protecting the
safety of protesters who might injure themselves by trespassing
into the uninhabited Wherry houses. These concerns did not stem
from the underlying content of RWHP' s message. An isolated remark
by a Park Major that indicated disagreement with RWHP does not
alone suffice to undermine this conclusion. Cf. Kistner,
68 F.3d at 223 (rejecting a similarly unsubstantiated claim of
content bias). The government had a significant interest in protecting
the Presidio' s facilities and its users, including the protesters.
See, e.g., Ward, 491 U.S. at 797; Clark, 468 U.S.
at 297.
The critical question is whether the requirement that
Sister Bernie promise that no trespassing would occur before
the Park Service would issue RWHP a permit was sufficiently narrowly
tailored to constitute a valid First Amendment restriction. A
narrowly tailored requirement need not be the least restrictive
means of furthering the Park Service' s interests, but the restriction
may not burden substantially more speech than necessary to further
the interests. See Ward, 491 U.S. at 799; Frisby v. Schultz,
487 U.S. 474, 485 (1988). To do otherwise would be to burden
substantially those seeking to express their political views.
Organizers of protests ordinarily cannot warrant in good faith
that all the participants in a demonstration will comply with
the law. Demonstrations are often robust. No one can guarantee
how demonstrators will behave throughout the course of the entire
protest. Thus, the promise the Park Service sought would be illusory
and meaningless at best.
We have held that a complete ban on First Amendment
activity cannot be justified simply because past similar activity
led to violence. See Collins v. Jordan, 110 F.3d 1363,
1371-72 (9th Cir. 1997). In Collins, this court disapproved
of a San Francisco policy instituted in the days following the
Rodney King verdict, to disperse demonstrations before the demonstrators
acted illegally or posed any threat to other people or activities.
Id. at 1366-68. We stated that "[t]he generally accepted
way of dealing with unlawful conduct that may be intertwined
with First Amendment activity is to punish it after it occurs
rather than to prevent the First Amendment activity from occurring
in order to obviate the possible unlawful conduct." Id.
at 1371-72; cf. Kunz v. New York, 340 U.S. 290, 294-95 (1951);
Schneider v. New Jersey, 308 U.S. 147, 164 (1939). The
Park Service, in lieu of restraining the expressive activity
by refusing to issue the permit, should have issued the permit
for the lawful expressive activity and then arrested the demonstrators
if and when they trespassed. See Frisby, 487 U.S. at 485
("A complete ban can be narrowly tailored, but only if each
activity within the proscription' s scope is an appropriately
targeted evil." ); Ward, 491 U.S. at 799-800.
The Supreme Court' s decision in Clark, 468 U.S.
at 292, illustrates the point. In that case, a group wished to
draw attention to the plight of homelessness by holding a day
and night wintertime demonstration in Lafayette Park and on the
Mall in Washington, D.C. 468 U.S. at 291-92. The Park Service
granted the group a permit to erect two symbolic tent cities.
Id. at 292. However, the Park Service refused to grant
the group' s request for a permit allowing the demonstrators
to sleep in the tents. The Supreme Court held that the limitation
the Park Service placed on the permit constituted a valid restriction
on the manner of the demonstration. Id. at 294, 297-98.
The Park Service in Clark issued the permit to allow a
lawful demonstration to go forward. Id. at 292. It did
not withhold the right to any demonstration.
In this case, by failing to tailor the no-trespass
condition narrowly to allow for lawful demonstrations, the Park
Service also failed to leave open sufficient alternative means
for the protestors to communicate their views. Lt. Hay ordered
the demonstrators to a First Amendment area 150 to 175 yards
away from the Visitor Center. The Park Service officials and
the public to whom RWHP wished to communicate its message were
at the Visitor Center. Such distancing of the demonstrators from
the intended audience does not provide a reasonable alternative
means for communication of RWHP' s views. In Bay Area Peace
Navy, we held that requiring a 75-yard security zone between
demonstrators and the persons to whom they directed their message
did not leave open ample alternative means of communicating the
protesters' message. 914 F.2d at 1229. We stated that "[a]n
alternative is not ample if the speaker is not permitted to reach
the ' intended audience.' "Id. (citation omitted); see
also Heffron v. International Soc' y for Krishna Consciousness,
Inc., 452 U.S. 640, 655 (1981) ("The First Amendment protects
the right of every citizen to ' reach the minds of willing listeners
and to do so there must be opportunity to win their attention.'
"(citation omitted)); cf. Schenk v. Pro-Choice Network
of W.N.Y., 519 U.S. 357, 377 (1997) (floating buffer zones prevent
abortion protesters from communicating their message). Because
RWHP was left with no alternative that allowed it to reach its
intended audience, the Park Service' s application of the permit
regulations also failed to satisfy the final requirement for
valid First Amendment restrictions.
The judgment is REVERSED with instructions to VACATE
defendants' convictions and sentences.
SILVERMAN, Circuit Judge, concurring:
On March 9, 1997, the defendants set out to get arrested
at the Presidio to generate publicity for their cause. They admit
that. They could have obtained the requisite permit if they would
have agreed to comply with the permit. They admit that, too.
They could have demonstrated in the First Amendment area of the
Presidio without any permit whatsoever. That, also, is admitted.
The problem is that if the defendants had agreed to comply with
the permit or to hold their demonstration in the First Amendment
area, they wouldn' t have gotten themselves arrested, which is
what they wanted to accomplish to begin with. It is in the context
of this contrived, intentionally provoked controversy that the
defendants attack both the facial constitutionality of 36 C.F.R.
§ 2.51(a) and the constitutionality of that section as applied.
Although I agree with the result reached by the majority,
I write separately to express some sympathy for the situation
faced by the officers of the Park Service in this case. Contrary
to the main opinion' s dramatic overstatement, the Park Service
officers did not prohibit the defendants from engaging in "any
expressive activity in the Presidio" on the day in question.
They could have expressed themselves to their hearts' content
in the First Amendment area. The First Amendment area was not
Siberia. It was located only 150 yards or so away, and in view
of, the Visitors Center.
Likewise, the Park Service officers were ready, willing
and able to issue a floating permit so that the defendants could
conduct their demonstration elsewhere in the Presidio if they
would have agreed to comply with it. And as the main opinion
acknowledges, the denial of the permit was content-neutral, i.e.,
"did not stem from the underlying content of [the defendants'
] message."
The Park Service certainly had plenty of reason to believe
that the organizers of the demonstration intended to violate
the very permit for which they were applying. As Sister Bernie
testified, at the time Lt. Hays asked for an assurance that the
permit would be complied with, "He had a copy of our press
release that had gone out earlier which also indicated that we
were going to do civil disobedience.
We couldn' t agree to the condition of no civil disobedience
and we found being relegated to a remote area where we indeed
could not witness was simply unacceptable."
In retrospect, what the Park Service should have done
is issue the permit, await its advertised violation, and then
make the arrest. The Park Service should not have denied the
permit just because it anticipated a violation. However, one
certainly can understand why conscientious officers, concerned
with the public safety and the protection of park property, would
want to try to head off a 150-person trespass, if possible. Although
it is difficult to articulate when threatened First Amendment
activity might create such a clear and present danger to public
safety that it can be prevented in advance, Sunday in the park
with Sister Bernie was not such a case.
::::::::::::::::::::::::::::: FOOTNOTE(S):::::::::::::::::::::::::::::
FN1. The permit regulation states in pertinent part:
§ 2.51 Public assemblies, meetings.
(a) Public assemblies, meetings, gatherings, demonstrations,
parades and other public expressions of views are allowed within
park areas, provided a permit therefor has been issued by the
superintendent.
(b) An application for such a permit shall set forth the name
of the applicant; the date, time, duration, nature and place
of the proposed event; an estimate of the number of persons expected
to attend; a statement of equipment and facilities to be used
and any other information required by the permit application
form.
(c) The superintendent shall, without unreasonable delay,
issue a permit on proper application unless:
(1) A prior application for a permit for the same time and
place has been made that has been or will be granted and the
activities authorized by that permit do not reasonably allow
multiple occupancy of that particular area; or
(2) It reasonably appears that the event will present a clear
and present danger to the public health or safety; or
(3) The event is of such nature or duration that it cannot
reasonably be accommodated in the particular location applied
for, considering such things as damage to park resources or facilities,
impairment of a protected area' s atmosphere of peace and tranquility,
interference with program activities, or impairment of public
use facilities.
(d) If a permit is denied, the applicant shall be so informed
in writing, with the reason(s) for the denial set forth.
(e) The superintendent shall designate on a map, that shall
be available in the office of the superintendent, the locations
available for public assemblies. Locations may be designated
as not available only if such activities would:
(1) Cause injury or damage to park resources; or
(2) Unreasonably impair the atmosphere of peace and tranquility
maintained in wilderness, natural, historic or commemorative
zones; or
(3) Unreasonably interfere with interpretive, visitor service,
or other program activities, or with the administrative activities
of the National Park Service; or
(4) Substantially impair the operation of public use facilities
or services of National Park Service concessioners or contractors;
or
(5) Present a clear and present danger to the public health
and safety.
(f) The permit may contain such conditions as are reasonably
consistent with protection and use of the park area for the purposes
for which it is established. It may also contain reasonable limitations
on the equipment used and the time and area within which the
event is allowed.
(g) No permit shall be issued for a period in excess of 7
days . . . .
(h) It is prohibited for persons engaged in activities covered
under this section to obstruct or impede pedestrians or vehicles,
or harass park visitors with physical contact.
(i) A permit may be revoked under any of those conditions,
as listed in paragraph (c) of this section, that constitute grounds
for denial of a permit, or for violation of the terms and conditions
of the permit. Such a revocation shall be made in writing, with
the reason(s) for revocation clearly set forth, except under
emergency circumstances, when an immediate verbal revocation
or suspension may be made to be followed by written confirmation
within 72 hours.
(j) Violation of the terms and conditions of a permit issued
in accordance with this section may result in the suspension
or revocation of the permit.
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