BERY
v. CITY OF NEW YORK, 97
F.3d 689 (2nd Cir. 1996)
ROBERT
BERY, JAMES ALBERT HARRIS, ANNE REISS, RICARDO ANTONIO PASCUAL,
ARTISTS
FOR CREATIVE EXPRESSION ON THE SIDEWALKS OF NEW YORK CITY, ROBERT
LEDERMAN,
JODI BOGUS, KNUT MASCO, ALEXIS PORTILLA AND ARTHUR ROBINS,
PLAINTIFFS-APPELLANTS,
v. CITY OF NEW YORK; RUDOLPH GIULIANI, MAYOR, CITY
OF
NEW YORK; WILLIAM BRATTON, CHIEF, NEW YORK CITY POLICE DEPARTMENT;
ROBERT
MORGENTHAU,
DISTRICT ATTORNEY-NEW YORK COUNTY; RICHARD A. BROWN, DISTRICT
ATTORNEY-QUEENS
COUNTY; WILLIAM L. MURPHY, DISTRICT ATTORNEY-RICHMOND
COUNTY;
CHARLES H. HYNES, DISTRICT ATTORNEY-KINGS COUNTY; ROBERT F. JOHNSON,
DISTRICT
ATTORNEY-BRONX COUNTY; ALFRED C. CERULLO, III, COMMISSIONER OF NEW
YORK
CITY DEPARTMENT OF CONSUMER AFFAIRS; NEW YORK CITY DEPARTMENT OF
CONSUMER
AFFAIRS; HENRY J. STERN, COMMISSIONER, NEW YORK CITY DEPARTMENT
OF
PARKS
& RECREATION; MARILYN GELBER, COMMISSIONER OF THE NEW YORK CITY
DEPARTMENT
OF ENVIRONMENTAL PROTECTION OF THE CITY OF NEW YORK;
ENVIRONMENTAL
CONTROL BOARD OF THE CITY OF NEW YORK AND ANNE J. McCARTHY,
EXECUTIVE
DIRECTOR OF THE ENVIRONMENTAL CONTROL BOARD OF THE CITY OF NEW
YORK,
IN HER INDIVIDUAL AND OFFICIAL CAPACITIES, DEFENDANTS-APPELLEES.
Nos.
1620, 1621, 1782; Docket Nos. 95-9089(L), 95-9131, 96-7137.
United
States Court of Appeals, Second Circuit.
Argued
April 26, 1996.
Decided
October 10, 1996.
Noah A. Kinigstein,
New York City, Carol Novack, New York City,
for Bery
Plaintiffs-Appellants.
Wayne A.
Cross, New York City (Randall M. Fox, New York
City, Dewey Ballantine,
New York City), for Lederman Plaintiffs-Appellants.
Elizabeth
I. Freedman, New York City (Paul A. Crotty,
New York City, Corporation
Counsel of the City of New York, Leonard Koerner,
Robin Binder,
Assistant Corporation Counsel), for Defendants-Appellees
City of
New York.
(Marjorie
Heins, Arthur Eisenberg, New York City, for
Amici Curiae American
Civil Liberties Union, New York Civil Liberties
Union, The New
York Foundation for the Arts and The New York,
City Arts Coalition.)
(Gloria C.
Phares, Geoffrey L. Thomas, Marc E. Kenny, Paul,
Hastings, Janofsky
& Walker, New York City, for Amici Curiae
Chuck Close, Ronald Feldman,
David Hammons, Hans Haacke, Jenny Holzer, Lucy
Lippard, Claes Oldenburg,
Irving Sandler, Simon Schaama, Coosje Van Bruggen,
The College Art
Association, The Museum of Modern Art and the
Whitney Museum of American
Art.)
(Shelly S.
Friedman, Irving J. Gotbaum, Scott E. Goldsmith,
Freedman &
Gotbaum, New York City, for Amici Curiae The
Fifth Avenue Association, Inc.,
The Alliance for Downtown New York, Inc., The
Grand Central Partnership,
Inc., The 34th Street Partnership, Inc., The
Madison Avenue
Business Improvement District and The Soho Alliance.)
Appeal from
a judgment entered in the United States District
Court for
the Southern District of New York, Miriam Goldman
Cedarbaum,
Judge.
Reversed.
Before: VAN
GRAAFEILAND and MAHONEY, Circuit Judges, and
CARTER, District
Judge.
[fn1] Honorable
Robert L. Carter of the United States District
Court for
the Southern District of New York, sitting by
designation.
CARTER, District
Judge:
[1] Appellants
Robert Bery et al. (94 Civ. 4253) and Robert
Lederman et
al. (94 Civ. 7216), in separate actions below,
sought by
motions for a preliminary injunction to enjoin
enforcement of the
General Vendors Law, Section(s) 20-452 et seq.
of the Administrative
Code of the City of New York ("General Vendors
Law"), which
bars visual artists from exhibiting, selling
or offering
their work for sale in public places in New
York City without
first obtaining a general vendors license. Appellees
City of
New York and various municipal bodies and officials
charged with
administration and enforcement of the General
Vendors Law ("the
City") opposed the motions. The district court
denied the motions;
both sets of appellants appeal.
[2] Background
[3] Appellants
are individual artists engaged in painting,
photography
and sculpture and an artists' advocacy organization,
Artists for
Creative Expression on the Sidewalks of New
York. The
individual artists have been arrested, threatened
with arrest or
harassed by law enforcement officials for attempting
to display
and sell their creations in public spaces in
the City without
a general vendors license. Some have had their
art work confiscated
and damaged. At least one asserts a desire to
sell and
display her art on the sidewalks of New York
but has not done so
for fear of arrest and destruction of her work.
[4] The Bery
appellants commenced their action on June 9,
1994, with
the filing of a summons and complaint. The Lederman
complaint
was filed on October 5, 1994. Both sets of plaintiffs
subsequently
moved for a temporary restraining order and
preliminary
injunction. On October 24, 1995, the district
court issued
its memorandum and order jointly denying the
motions for preliminary
injunction in both actions, and on October 26,
1995, filed
an amended opinion reported at 906 F.
Supp. 163.
By order of
this court dated December 13, 1995, the actions
were consolidated
on appeal.
[5] The General
Vendors Law contains regulatory provisions
concerning
the sale or offering for sale of non-food goods
and services
in public spaces in the City of New York. Pursuant
to Section(s)
20-452(b) of the Administrative Code of the
City of New
York ("Administrative Code"), a person who "hawks,
peddles, sells,
leases or offers to sell or lease, at retail,
[non-food] goods
or services. . . in a public space" is a general
vendor. Public
space is defined as "[a]ll publicly owned property
between the
property lines on a street as such property
lines are shown on
the City Record including . . . a park, plaza,
roadway, shoulder,
tree space, sidewalk or parking space between
such property
lines. . . . [as well as] publicly owned or
leased land, buildings,
piers, wharfs, stadiums and terminals."
Administrative
Code Section(s) 20-452(d).
[6] At issue
in the present case is Section(s) 20-453 of
the General
Vendors Law, a provision which initially required
a license
for all general vendors who sought to sell non-food
goods or
services in public spaces in the City. In 1982,
Local Law 33 was
enacted amending Section(s) 20-453 to exempt
from the licensing
requirement vendors of newspapers, books and
other written
matter. L.L. 33/1982. In enacting the amendment,
the City
Council described the new provision as consonant
with the "principles
of free speech and freedom of the press." Id.
at Section(s)
1. In 1979, Section(s) 20-459(a) of the
Administrative
Code was amended by Local Law 50 to limit the
total number
of licenses in effect at any given time to the
number of
licenses in effect on September 1, 1979. L.L.
50/1979. The
number at that time was 853. However, that limitation
rests on
a slippery slope, since any veteran who qualifies
for a vending
license must be issued one. New York State General
Business Law
Section(s) 32 (McKinney 1994). As of the present,
340 such licenses
over and above the 853 cut-off number have been
issued to
veterans, making a total of 1,193 general vendors
licenses in
effect.
[7] Violators
of the licensing requirement are guilty of a
misdemeanor
punishable by fine and/or imprisonment and civil
penalties.
See Administrative Code Section(s) 20-472(a)
and (c)(1).
If criminally convicted, the violator is subject
to a fine
of not less than $250 nor more than $1000 and/or
imprisonment
of up to three months. Administrative Code
20-472(a).
If found civilly liable, the violator may be
fined not less
than $250 nor more than $1000, together with
a fine of $250 for
each day of the unlicensed activity. Administrative
Code Section(s)
20-472(c)(1). In addition, police officers are
authorized
to seize the items being sold and the seized
items are subject
to forfeiture. Administrative Code 20-468 and
20-472(a).
[8] Administrative
Code Section(s) 20-465(a), (b), (e), (f), (k),
(m), (n),
and (q) restrict the placement, location and
size of vending
displays and prohibit vending where an authorized
city employee
has given notice that exigent circumstances
require the vendor
to move. These regulations are applicable to
all general vendors,
including vendors of exclusively written matter.
Vending, except
for written matter, in a park is barred without
written authorization
from the Department of Parks and Recreation,
Administrative Code Section(s) 20-465(j); it
is also banned
from certain commercial zoning districts and
in a delineated
section of midtown Manhattan. Administrative
Code Section(s)
20-465(g).
[9] District
Court's Determination
[10] The district
court denied appellants' motions for preliminary
injunctions,
dealing with both motions in a joint decision
issued in
amended form on October 26, 1995. See Bery v.
City of New York,
906 F. Supp. 163
(S.D.N.Y. 1995) (Cedarbaum, J.). The
court ruled
that the General Vendors Law was a content-neutral
municipal
ordinance of general application which violated
neither the
First nor the Fourteenth Amendment, although
its incidental effect
was to restrict the sale of art on the sidewalks
of New York.
The limitation of 853 licenses in effect at
a given time, a
waiting list of between 500 and 5,000 applicants,
a waiting time
of between 3-5 years to secure a license
and the absence
of any of the appellants' names on the waiting
list did not
cause the court to modify this conclusion.
[11] Stating
that "[t]he precise nature of First Amendment
protection
for painting and sculpture with no verbal elements
has not
been addressed by the federal courts," the district
court likened
appellants' "fine art" to "applied or decorative
art" and found
that it rated only limited constitutional protection,
in the
absence of evidence of government censorship.
The court found
neither censorship nor animus towards artists
as a motivation
behind the enactment of the ordinance by the
City Council.
It thus deemed the ordinance content-neutral
and subjected
it to a more lenient level of scrutiny than
would have been
required had it been content-based. Id. at 168.
[12] Applying
the standard enunciated in United States v.
O'Brien, 391 U.S. 367,
376-77 (1968), the court found the provision
furthered
a public interest unrelated to the suppression
of free speech
that would be achieved less effectively absent
the regulation.
Id. The prohibition on the sale of art on the
streets without
a general vendors license, the court found,
was appropriately
designed to deal with the problem of street
congestion.
Id. The court did not address the question of
whether alternative
channels of expression remained open to
appellants.
[13] The court
reasoned that words expressing "political or
religious
views are much closer to the heartland of First
Amendment
protection of `speech' than the apolitical paintings
in these
cases." Id. at 169. Based on this premise, the
court found the
City's exemption of the sellers of written matter
from the licensing
requirement a rational determination consonant
with the requisites
of the Equal Protection Clause of the Fourteenth
Amendment.
Id. at 170. Thus, the court denied appellants'
motions for
a preliminary injunction on both First Amendment
and Equal
Protection grounds. Id.
[14] Standards
[15] This
court reviews the district court's denial of
appellants' preliminary
injunction motions with an abuse of discretion
standard.
Reuters Ltd. v. United Press Int'l, Inc., 903
F.2d 904,
907 (2d Cir.
1990). "An abuse of discretion exists when the
district court
has made an error of law or of fact." Id.
(citations
omitted). In the present case, since appellants
seek vindication
of rights protected under the First Amendment,
we are required
to make an independent examination of the record
as a whole
without deference to the factual findings of
the trial court.
Bose Corp. v. Consumers Union of United States,
466 U.S. 485,
499 (1984);
Hurley v. Irish-American Gay, Lesbian and
Bisexual Group
of Boston, ___ U.S. ___, 115 S.Ct. 2338, 2344
(1995). Such
a "fresh examination of crucial facts" is necessary
even in the
face of the "clearly erroneous" standard of
factual review
set forth in Rule 52(a), F.R. Civ. P. Hurley,
115 S.Ct. at
2344.
[16] In order
to justify the award of a preliminary injunction,
the moving
party must first demonstrate that it is likely
to suffer irreparable
harm in the absence of the requested relief.
Sperry Int'l
Trade, Inc. v. Government of Israel, 670
F.2d 8, 11
(2d Cir.
1982). Violations of First Amendment rights
are commonly considered
irreparable injuries for the purposes of a preliminary
injunction.
See, e.g., Elrod v. Burns, 427 U.S. 347,
373 (1976) ("[t]he
loss of First Amendment freedoms, for even minimal
periods of
time, unquestionably constitutes irreparable
injury"); 11A
Charles A. Wright, Arthur R. Miller and Mary
Kane, Federal Practice
and Procedure, Section(s) 2948.1 at 161 (2d
ed. 1995) ("[w]hen
an alleged deprivation of a constitutional right
is involved,
most courts hold that no further showing of
irreparable injury
is necessary"). By the very nature of their
allegations, then,
appellants have met the first prong of the test.
[17] Ordinarily,
the movant then has two options: it must either
demonstrate
a likelihood of success on the merits or it
must raise
"sufficiently serious questions going to the
merits to make them
a fair ground for litigation and a balance of
hardships tipping
decidedly toward the party requesting the preliminary
relief." Sperry
Int'l Trade, Inc., 670 F.2d at 11, citing
Jackson Dairy,
Inc. v. H.P. Hood & Sons, Inc., 596
F.2d 70, 72
(2d Cir. 1979)
(per curiam). However, in a case in which "the
moving party
seeks to stay governmental action taken in the
public interest
pursuant to a statutory or regulatory scheme,"
the injunction
should be granted only if the moving party meets
the more rigorous
likelihood-of-success standard. Plaza Health
Laboratories,
Inc. v. Perales, 878 F.2d 577,
580 (2d Cir. 1989).
[18] Discussion
I.
[19] Initially,
we note that the district court's view of the
reach of
the First Amendment is more restricted than
the jurisprudence warrants.
The First Amendment shields more than political
speech and
verbal expression; its protections extend to
entertainment, Winters
v. New York, 333 U.S. 507,
510 (1948); film, Joseph Burstyn,
Inc. v. Wilson, 343 U.S. 495,
501-02 (1952); theater, Southeastern
Promotions, Ltd. v. Conrad, 420 U.S.
546 (1975);
music, without
regard to words, Ward v. Rock Against Racism,
491 U.S. 781,
790 (1989); peaceful marches to express grievances
to governmental
authorities, Gregory v. Chicago, 394
U.S. 111,
112 (1969),
Shuttlesworth v. Birmingham, 394 U.S.
147, 152 (1969);
sit-ins by
blacks to protest racial discrimination, Brown
v. Louisiana,
383 U.S. 131,
141-42 (1966); the wearing of black arm
bands to evidence
disapproval of our involvement in Vietnam,
Tinker v.
Des Moines Independent Community School District,
393 U.S. 503,
505 (1969); the refusal to salute the flag as
part of a regularized
school activity, West Virginia State Board of
Education
v. Barnette, 319 U.S. 624,
632 (1943); and most recently,
parades with or without banners or written messages,
Hurley, 115
S.Ct. at 2345. "[T]he Constitution looks beyond
written or
spoken words as mediums of expression." Hurley,
115 S.Ct.
at 2345. If the First Amendment reached only
"expressions conveying
a `particularized message,'" its "protection
would never
reach the unquestionably shielded painting of
Jackson Pollock,
music of Arnold Schonberg, or Jabberwocky verse
of Lewis Carroll."
Id. at 2345 (quoting from Spence v. Washington,
418 U.S. 405,
411 (1974)(per curiam).
[20] The First
Amendment has surely been valued as essential
to the preservation
of a political democracy in this country; thus,
even the
pamphleteer espousing political sedition has
been shielded from
governmental suppression. See, e.g., Whitney
v. California, 274 U.S. 357,
376 (1927) (Brandeis, J., concurring) ("even
advocacy of
violation [of the law], however reprehensible
morally, is
not a justification for denying free speech
where the advocacy
falls short of incitement and there is nothing
to indicate
that the advocacy would be immediately acted
on"). The First
Amendment's fundamental purpose, however, is
to protect all forms
of peaceful expression in all of its myriad
manifestations. Abood
v. Detroit Board of Education, 431 U.S.
209, 231 (1977)
("[i]t is
no doubt true that a central purpose of the
First Amendment
"`was to protect the free discussion of governmental
affairs.'"
(citations omitted). But our cases have never
suggested
that expression about philosophical, social,
artistic, economic,
literary or ethical matters . . . is not entitled
to full
First Amendment protection") (footnote omitted).
See also Joseph
Burstyn,Inc., 343 U.S. at 501 (motion pictures
are fully protected
expression that "may affect public attitudes
and behavior
in a variety of ways, ranging from direct espousal
of a political
or social doctrine to the subtle shaping of
thought which
characterizes all artistic expression").
[21] The district
court viewed the First Amendment's primary
function as
safeguarding the free flow of political and
religious views,
and hence felt sanguine about the ordinance's
interference with
appellants' "wish to sell their apolitical paintings."
Bery, 906
F. Supp. at 170. The City apparently looks upon
visual art
as mere "merchandise" lacking in communicative
concepts or ideas.
Both the court and the City demonstrate an unduly
restricted
view of the First Amendment and of visual art
itself. Such
myopic vision not only overlooks case law central
to First Amendment
jurisprudence but fundamentally misperceives
the essence
of visual communication and artistic expression.
Visual art
is as wide ranging in its depiction of ideas,
concepts and emotions
as any book, treatise, pamphlet or other writing,
and is similarly
entitled to full First Amendment protection.
Indeed, written
language is far more constricting because of
its many
variants — English, Japanese, Arabic,
Hebrew, Wolof,
Guarani,
etc. — among and within each group
and because some within each language group
are illiterate and
cannot comprehend their own written language.
The ideas and concepts
embodied in visual art have the power to transcend
these language
limitations and reach beyond a particular language
group to
both the educated and the illiterate. As the
Supreme Court has
reminded us, visual images are "a primitive
but effective way of
communicating ideas . . . a short cut from mind
to mind." West
Virginia State Board of Education, 319 U.S.
at 632. Visual images
and symbols, for example, are used in the Third
World so that
individuals who are unable to read may readily
recognize the party
or candidate they wish to vote for. One cannot
look at Winslow
Homer's paintings on the Civil War without seeing,
in his depictions
of the boredom and hardship of the individual
soldier, expressions
of anti-war sentiments, the idea that war is
not heroic.
[22] Furthermore,
written and visual expression do not always
allow for
neat separation: words may form part of a work
of art, and images
may convey messages and stories. As appellants
point out, Chinese
characters are both narrative and pictorial
representations.
Nahuatl, a language used by Aztec peoples in
Central America,
also incorporates pictures in its written
language.
Visual artwork is as much an embodiment of the
artist's expression
as is a written text, and the two cannot always
be readily
distinguished.
[23] The City
argues that appellants' "expression" allegedly
impinged by
the Regulation is not in fact their art, but
their peddling
of the art. It argues that the sale of art is
conduct, and
in order to be constitutionally protected, the
sale of protected
material must be "inseparably intertwined with
a `particularized
message.'" Young v. New York City Transit
Authority,
903 F.2d 146,
153 (2d Cir.), quoting Spence, 418 U.S.
at 410-11,
cert. denied, 498 U.S. 984 (1990). The City
further argues
that appellants are free to display their artwork
publicly without
a license, they simply cannot sell it.
[24] These
arguments must fail. The sale of protected materials
is also
protected. See Lakewood v. Plain Dealer Pub.
Co., 486 U.S. 750,
756 n.5 &
768 (1988). "It is well settled that a speaker's
rights are
not lost merely because compensation is received;
a speaker
is no less a speaker because he or she is paid
to speak."
Riley v. Nat'l
Fed'n of Blind of North Carolina, 487
U.S. 781,
801 (1988).
In United States v. Nat'l Treasury Employees
Union, ___
U.S., 115 S.Ct. 1003 (1995), the United States
Supreme Court found
that a ban on honoraria for government employees
"imposes the
kind of burden that abridges speech under the
First Amendment,"
in part because "the denial of compensation
for lower-paid,
nonpolicymaking employees will inevitably diminish
their expressive
output" and will "impose[] a significant burden
on the public's
right to read and hear what the employees would
otherwise
have written and said." Id. at 1014-15. As in
the present
case, without the money, the plaintiffs would
not have engaged
in the protected expressive activity.
[25] Furthermore,
the street marketing is in fact a part of the
message of
appellants' art. As they note in their submissions
to the
court, they believe that art should be available
to the public.
Anyone, not just the wealthy, should be able
to view it and
to buy it. Artists are part of the "real" world;
they struggle
to make a living and interact with their environments.
The sale of
art in public places conveys these messages.
[26] The district
court seems to have equated the visual expression
involved in
these cases with the crafts of the jeweler,
the potter
and the silversmith who seek to sell their work.
Bery, 906
F. Supp. at 167. While these objects may at
times have expressive
content, paintings, photographs, prints and
sculptures,
such as those appellants seek to display and
sell in public
areas of the City, always communicate some idea
or concept to
those who view it, and as such are entitled
to full First Amendment
protection. Courts must determine what constitutes
expression
within the ambit of the First Amendment and
what does not.
This surely will prove difficult at times, but
that difficulty
does not warrant placing all visual expression
in limbo
outside the reach of the First Amendment's protective
arm. Courts
have struggled with such issues in the past;
that is not to
say that decisions are impossible. See, e.g.,
Dallas v. Stanglin,
490 U.S. 19,
24-25 (1989) (social dance distinguished
from expressive
dance); Yurkew v. Sinclair, 495 F. Supp.
1248,
1253 (D. Minn.
1980) ("[w]herever the amorphous line of
demarcation
exists between protected and unprotected conduct
for First
Amendment purposes, . . . tattooing falls on
the unprotected
side of the line"). Furthermore, simply because
the matter
does not lend itself to judicial determination
does not mean
that it is not appropriate for local lawmakers
and governmental
bodies such as the City to tackle.
II.
[27] Having
determined that appellants' artwork is entitled
to full First
Amendment protection, we turn now to an application
of the appropriate
constitutional test. In examining the
constitutionality
of a regulation that impinges on First
Amendment
activity, courts will apply a strict scrutiny
analysis when
the regulation discriminates on the basis of
content, and a more
lenient analysis to content-neutral regulations.
Turner Broadcasting
System, Inc. v. Federal Communications Comm'n,
___ U.S.,
114 S.Ct. 2445, 2469 (1994).
[28] The district
court labelled the ordinance content-neutral,
since it raised
no concerns over censorship. It is not clear
that this
ordinance is content-neutral, however; it distinguishes
between written
and visual expression in a manner that
effectively
bans one while subjecting the other to a more
limited form
of regulation. See, e.g., Minneapolis Star &
Tribune Co. v. Minnesota
Commissioner of Revenue, 460 U.S. 575,
592-93 (1983) (law
that "targets individual publications within
the press" must surmount
a heavy burden to satisfy First Amendment strictures);
Buckley v.
Valeo, 424 U.S. 1,
18 (1976)(only regulations which do not
discriminate among speakers or ideas are content-neutral).
The ordinance's
effective bar on the sale of artwork in public
places raises
concerns that an entire medium of expression
is being
lost. See, e.g., City of Ladue v. Gilleo, 512
U.S. 43 (1994);
United States v. National Treasury Employees
Union, U.S., 115
S.Ct. 1003 (1995). We need not decide that issue,
however, since
the ordinance must fall even under the less
restrictive yardstick
the court applied.
[29] A content-neutral
regulation may restrict the time, place, and
manner of
protected speech, provided it is "narrowly tailored
to serve
a significant governmental interest" and "leave[s]
open ample
alternative channels for communication." Ward,
491 U.S. at 791,
quoting Clark v. Community for Creative Non-Violence,
468 U.S. 288,
293 (1984). The City certainly has a significant
interest in
keeping its public spaces safe and free of
congestion.
The license requirement as it relates to appellants,
however, which
effectively bars them from displaying or selling
their art
on the streets, is too sweeping to pass constitutional
muster. See,
e.g., Cincinnati v. Discovery Network, Inc.,
507 U.S. 410,
429-30 (1993). The district court's failure
to properly
analyze the questions of narrow tailoring and
alternative
channels was an abuse of discretion that led
to an incorrect
result.
[30] The ordinance
is a de facto bar preventing visual artists
from exhibiting
and selling their art in public areas in New
York. The
total number of licenses outstanding at any
given time is a low
853. Those fortunate enough to possess one of
these permits may
automatically renew it annually which, of course,
means that late-comers
like appellants have little hope of securing
a license
in the foreseeable future. In addition to this
all-but-impenetrable
barrier, a 500-to-5000 person waiting list
makes appellants'
prospects of securing a license apparently
nonexistent,
a fact conceded at oral argument.
[31] The City
may enforce narrowly designed restrictions as
to where appellants
may exhibit their works in order to keep the
sidewalks free
of congestion and to ensure free and safe public
passage on the
streets, but it cannot bar an entire category
of expression to
accomplish this accepted objective when more
narrowly drawn regulations
will suffice. The City points to nothing on
this record
concerning its need to ensure street safety
and lack of congestion
that would justify the imposition of the instant
prohibitive
interdiction barring the display and sale of
visual art
on the City streets. See Wright v. Chief of
Transit Police, 558 F.2d 67,
68-69 (2d Cir. 1977) (city must find less
restrictive
alternative than complete ban on newspaper vending
in subways);
Loper v. New York City Police Dep't, 999
F.2d 699,
704-05 (2d
Cir. 1993)(street begging constitutes expressive
conduct which
cannot be totally barred without unconstitutional
interference
with First Amendment rights.)
[32] This
is not to say that the display of large, cumbersome
works that
would block public traverse on the streets may
not be subjected
to discrete regulation as to time, place and
location or
indeed that both visual and written expression
may not be so restricted
by regulations addressed to particular areas
of the City
where public congestion might create physical
hazards and public
chaos. For example, requiring a license for
a parade, Cox v.
New Hampshire, 312 U.S. 569,
574 (1941), or for a vending machine,
City of Lakewood, 486 U.S. at 760, or restricting
the right
to distribute newspapers through newsracks on
public property
not traditionally a place for public communication,
Gannett Satellite
Information Network v. Metropolitan Transportation
Authority, 745 F.2d 767,
772 (2d Cir. 1984), are all
valid exercises of state police power to control
time, place and
manner of public access to public spaces.
[33] The ordinance
as it stands, however, cannot be considered
merely a regulation
designed for crowd management and control, or
to prevent
congestion or to keep the streets clear to allow
unimpeded
passage of the public over the City's thoroughfares.
There exist
specific sections of the Administrative Code
which directly
regulate time, place, manner and location of
vending that
already achieve these ends without such a drastic
effect. See,
e.g., Administrative Code Section(s) 20-465.
Furthermore, the
City's licensing exceptions for veterans and
vendors of written
material call into question the City's argument
that the regulation
is narrowly tailored. The City does not maintain
control over
the absolute number of vendors, since the exceptions
are unlimited;
the number 853 does not in and of itself control
congestion.
The City's control over congestion is largely
maintained
through the time, place and manner restrictions
on vending
that facilitate the flow of traffic, ease crowding
and improve
safety.
[34] We turn
now to a consideration of whether alternative
channels of
communication exist for appellants' protected
expression. Appellants
argue that no such alternatives exist. They
contend that
licenses are virtually impossible to obtain,
and no other forum
exists for the display of art by appellants,
since museum and
gallery space in New York City is drastically
limited.
[35] The City
states that alternatives exist; appellants may
sell their
artwork from their homes or seek permission
to display it in
restaurants and street fairs and the like. However,
appellants
are entitled to a public forum for their expressive
activities.
Southeastern Promotions Ltd., 420 U.S. at 556
(1975); Gold
Coast Pub., Inc. v. Corrigan, 798 F.
Supp. 1558,
1572 (S.D. Fla.
1992), aff'd in part, rev'd in part on other
grounds, 42 F.3d 1336
(11th Cir. 1994), cert. denied, ___ U.S. ___,
116 S.Ct. 337
(1995). Displaying art on the street has a different
expressive
purpose than gallery or museum shows; it reaches
people who
might not choose to go into a gallery or museum
or who might
feel excluded or alienated from these forums.
The public display
and sale of artwork is a form of communication
between the
artist and the public not possible in the enclosed,
separated spaces
of galleries and museums.
[36] Furthermore,
to tell appellants that they are free to sell
their work
in galleries is no remedy for them. They might
not be at
a point in their careers in which they are interested
in reaching
the public that attends exhibits at art galleries
— if,
indeed, they could get their works accepted
for showing.
Appellants are interested in attracting and
communicating
with the man or woman on the street who may
never have
been to a gallery and indeed who might never
have thought before
of possessing a piece of art until induced to
do so on seeing
appellants' works. The sidewalks of the City
must be available
for appellants to reach their public audience.
The City
has thus failed to meet the requirement of demonstrating
alternative
channels for appellants' expression.
[37] On the
basis of this record before us, the City's requirement
that appellants
be licensed in order to sell their artwork in
public spaces
constitutes an unconstitutional infringement
of their
First Amendment rights. The district court abused
its discretion
in denying the preliminary injunction.
[38] Finally,
we note that the district court was similarly
incorrect
in its rejection of appellants' argument under
the Equal
Protection Clause of the Fourteenth Amendment.
The requirement
that appellants' art cannot be sold or distributed
in public
areas without a general vendors license, while
written material
may be sold and distributed without a license,
must fall for
the same reasons outlined above. Since the ordinance
does impermissibly
impinge on a fundamental right, the district
court incorrectly
dismissed the equal protection argument under
a rational
basis test.
[39] Accordingly,
the judgment of the district court is reversed.
[fn2] It is
not clear whether this is the delay anticipated
to receive
a license or merely to be placed on the waiting
list.
[fn3] Serra
v. U.S. General Services Admin., 847
F.2d 1045
(2d.Cir.
1988) does not compel a different holding. In
Serra, this court
held that "artwork, like other non-verbal forms
of expression,
may under some circumstances constitute speech
for First
Amendment purposes." Id. at 1048. The court
did not actually
reach the question of the level of constitutional
protection
in artwork, however, since it found that "the
First Amendment
has only limited application in a case like
the present one
where the artistic expression belongs to the
Government rather
than a private individual." Id.
[fn4] A language
written and spoken in the Senegambia region
of West
Africa.
[fn5] A language
used by both indigenous and non-indigenous
peoples in
Paraguay.
[fn6] The
City proves itself ready to undertake the similarly
difficult
task of separating written from non-written
materials. (See
Aff. in Support of Cross-Motion for Summary
J. at 2-3, reprinted
in Joint Appendix at 196-97: e.g., baseball
cards are written
material, calendars and street maps are not.)
There already
exists in city ordinances a definition of "artist"
that might
serve as a helpful starting point: the New York
Multiple Dwelling
Law, Section 276 defines "artist" for the purpose
of determining
eligibility for living-work quarters earmarked
for artists.
[fn7] Richard
Schrader, former Commissioner of the City's
Department
of Consumer Affairs, the department which creates
policy regarding
licensing of general vendors, states that in
an average
year 15% of the 853 licenses become available
due to previous
holders' failure to renew, the only manner in
which a license
becomes available. (Joint Appendix at 221).
In 1990 and in
1991, no licenses were available. In 1993, the
discovery of a bookkeeping
error revealed that 553 rather than 853 licenses
were outstanding.
The Department distributed 100 licenses to
individuals
on the waiting list and issued 200 more by lottery.
This is the
only occasion when licenses have been awarded
in this manner.
Aside from this, "no new licenses were issued
in the past fifteen
years," and based on Schrader's "extensive experience
and knowledge,"
he has "never learned of an artist being licensed
to sell
art work." (Joint Appendix at 221-223).
[fn8] Even
if the City were to adhere to a licensing system
to regulate
street art sales, there exist less intrusive
means of issuing
the licenses: one amicus suggests a rotating
first-come, first-served
lottery system for assigning a limited number
of licenses.
(Brf. amici curiae of the American Civil Liberties
Union et al.
at 26-27). The system employed by San Francisco
might provide
a model: certain areas are set aside for art
sales and
a weekly lottery assigns spots. (Joint Appendix
at 313-14, 351).
The district court made no mention of these
potential alternatives.
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