T.S. Ellis, III, United States District Judge
Plaintiff in this Fourteenth Amendment due process and free speech case is a former George Mason University ("GMU") student who was expelled in December 2014 following an administrative process that found him responsible for violating two of GMU's student conduct regulations, one pertaining to sexual misconduct and one pertaining to threats. In response to this expulsion, plaintiff filed the instant action in February 2015 against GMU and three of its officials in their individual and official capacities, alleging violations of various state and federal constitutional rights, state common law duties, and federal law. By Order and Memorandum Opinion dated September 16, 2015, defendants' motion to dismiss plaintiff's Second Amended Complaint was granted in part and denied in part.
This Memorandum Opinion addresses two issues.
The facts giving rise to the instant suit began in August 2012, when plaintiff matriculated as a freshman at GMU. Shortly thereafter, plaintiff began a romantic relationship with a woman — referred to pseudonymously as Jane Roe — who was a student at a different university. This relationship included certain sexual practices known collectively as "BDSM," which is an acronym for the practices it entails, namely bondage, discipline, dominance, submission, sadism, and masochism. Thus, a BDSM relationship might involve as part of the sexual activity such actions as biting, choking, spanking, or the use of restraints. In order to protect Roe, who was the submissive party in the relationship, plaintiff and Roe agreed on a safe word — "red" — that Roe could use to indicate when she wanted sexual activity to cease. According to plaintiff, the ground rules for his BDSM relationship with Roe included that plaintiff should not stop sexual activity unless and until Roe used the safe word. Thus, under the rules of the relationship statements such as "stop" or physical resistance to sexual conduct were not a withdrawal of consent; only the safe word "red" would signal a withdrawal of consent.
While engaged in his relationship with Roe, plaintiff first came to the attention of the GMU administration as a possible threat to student safety. Specifically, in December 2012, a GMU residence life official observed plaintiff carve the words "kill them" into plaintiff's knuckles with a pocket knife. This official intervened and accompanied plaintiff to GMU's psychological services center. During their walk to the center, plaintiff commented that he was glad GMU had officials who would intervene in this way, as such intervention might have prevented the 2007 shooting at Virginia Tech. This incident put plaintiff on the radar of GMU's Campus Assessment and Intervention Team ("CAIT"), which investigates students who might pose a threat to others at GMU. At all times relevant to this action, defendants Ericson and Blank-Godlove were members of CAIT.
The knuckle-carving incident was not plaintiff's only run-in with GMU officials; during the course of his enrollment, plaintiff incurred several disciplinary violations. Specifically, plaintiff was charged for possessing lighter fluid in his dormitory in December 2012. A few months later, in April 2013, plaintiff was sanctioned again, this time for possession of weapons on campus. On this occasion, plaintiff, while in the GMU dining hall, had in his possession both a knife and a "blackjack," a lead-filled, leather-encased blunt force trauma
Despite his disciplinary record, plaintiff remained a student at GMU and progressed to his second year of studies. He also continued to live in the GMU dormitories, and he continued his BDSM relationship with Roe. As such, plaintiff and Roe unsurprisingly engaged in certain of their BDSM activities in plaintiff's dormitory room. One such occasion was October 27, 2013. On that night, Roe went to plaintiff's dormitory room and sexual activity ensued. During this sexual encounter, Roe at one point pushed plaintiff away, but plaintiff continued the sexual activity. At another point, plaintiff asked Roe whether she wished to continue sexual activity, to which Roe responded "I don't know." Plaintiff continued with the sexual activity despite the equivocation, given that Roe did not use the agreed safe word "red."
A few months after the October 27, 2013 incident, plaintiff and Roe ended their relationship. In the following months, plaintiff occasionally attempted to communicate with Roe, often to no avail. One such attempt was a March 2014 text message in which plaintiff told Roe that if she did not respond, then plaintiff would shoot himself. In April 2014, Roe reported incidents of harassment by plaintiff and allegations of the abusive nature of their prior relationship to her university. Thereafter, in May 2014, Roe reported her allegations to GMU's university police department, which in turn reported the allegations to defendant Ericson. In June 2014, Ericson first met with Roe to discuss Roe's allegations and to inquire whether Roe wished to press administrative charges against plaintiff through GMU's student disciplinary process.
Quite apart from her communications with Ericson, Roe also began working with the GMU police. Specifically, in July 2014, Roe cooperated with the GMU police to record a telephone conversation between herself and plaintiff. Over the course of that conversation, Roe asked plaintiff "why [he] never stopped when [she] used the safe word," to which plaintiff replied that he "felt like [she] could handle it." See Recorded Telephone Conversation Transcript (D. Mem. Supp., Ex. 9).
Ultimately, Roe decided to press student disciplinary charges against plaintiff through GMU. Thus, on August 19, 2014, Ericson sent plaintiff an email informing
See id.
One week after Clanton's initial email, plaintiff received a follow-up email containing a narrative statement by Roe describing her allegations and Roe's list of witnesses and evidence, which included the GMU police recording of the July 2014 telephone conversation. See Aug. 29, 2014 Email (D. Mem. Supp., Ex. 5). Roe's narrative statement alleged "a number of violent and harassing incidents," including "much distressing communication" from plaintiff from January 2013 through July 2014. See Roe Statement (D. Mem. Supp., Ex. 6). Moreover, Roe alleged that "[o]n many occasions, without [her] consent, [plaintiff] forced sex on [her]." Id. Importantly, the only instance of alleged sexual misconduct Roe described with any particularity was the October 27, 2013 incident, when plaintiff and Roe engaged in sexual activity in plaintiff's dormitory room. See id. Indeed, Roe described the October 27, 2013 incident as "[t]he most vivid" and the one she wanted GMU "to know most about." Id. In addition to the foregoing email communications, plaintiff received "official notification" of his alleged misconduct from Clanton by letter dated September 4, 2014. See Sept. 4, 2014 Letter (P. Mem. Supp., Ex. 6).
Under GMU policy, allegations of sexual misconduct are adjudicated by a three-member panel of the Sexual Misconduct Board, which consists of GMU faculty members and staff. On September 5, 2014, a panel convened a hearing on the allegations against plaintiff. This hearing lasted ten hours, and both plaintiff and Roe had the opportunity to testify subject to cross-examination, to call witnesses, and to submit
Approximately one week after the panel's decision issued, Roe filed an appeal of the panel's decision that plaintiff was not responsible on all charges.
In adjudicating Roe's appeal, Ericson engaged in numerous ex parte (and, the summary judgment record suggests, completely off the record) meetings with persons involved. For instance, Ericson met with each of the panelists who had adjudicated plaintiff's case in the first instance. Ericson also met with Roe. Finally, on October 8, 2014, Ericson met with plaintiff. Importantly, Ericson concedes that as of his meeting with plaintiff, Ericson had already prejudged the appeal and decided to find plaintiff responsible for sexual assault.
By letter dated October 10, 2014, Ericson formally announced his decision, finding plaintiff responsible for violating Code 2013.8.A (deliberate touching or penetration of another person without consent) and Code 2013.9.B (communication that may cause injury, distress, or emotional or physical discomfort). As a result of these findings, Ericson imposed the sanction of expelling plaintiff from GMU. Ericson's October 10 letter did not explain the factual basis for his decision or the
On or about October 16, 2014, plaintiff appealed Ericson's decision as improper on the ground that it did not meet the criteria for an appeal under GMU policy. Plaintiff was allowed to pursue this appeal, although GMU had never previously allowed an appeal of an appeal and GMU has never allowed an appeal of an appeal since. Plaintiff's appeal was before Blank-Godlove, the Dean of Students. In the course of her deliberation, Blank-Godlove met separately and off the record with plaintiff (accompanied by counsel), Roe, and Ericson. Blank-Godlove did not review the entire record; rather, she reviewed only those portions of the record identified by Ericson as supporting his decision. On December 5, 2014, Blank-Godlove issued her decision via a form letter that affirmed Ericson's decision on responsibility and the sanction of expulsion. Accordingly, plaintiff's GMU transcript now notes a non-academic expulsion as of December 5, 2014.
Plaintiff commenced the instant lawsuit in February 2015, claiming, inter alia, that his expulsion was a denial of due process in various respects. Plaintiff now knows — only as a result of discovery in this action — that the review of Roe's appeal was de novo and that plaintiff was expelled for conduct other than what occurred on October 27, 2013.
Analysis begins with the parties' cross-motions for summary judgment. At issue on these motions are plaintiff's two remaining claims, namely that defendants deprived plaintiff of liberty without due process of law and infringed upon his right to free speech. Each of these counts is addressed separately.
To prevail on a procedural due process claim, plaintiff must establish (i) that he possessed a protected liberty interest, (ii) that the state or its agents deprived him of this interest, and (iii) that this deprivation was effectuated without constitutionally sufficient process. See Sansotta v. Town of Nags Head, 724 F.3d 533, 540 (4th Cir.2013). It is well settled that a liberty interest is implicated "[w]here a person's good name, reputation, honor, or integrity is at stake because of what the government is doing to him." Wisconsin v. Constantineau, 400 U.S. 433, 437, 91 S.Ct. 507, 27 L.Ed.2d 515 (1971). Nevertheless, "injury to reputation alone does not deprive an individual of a constitutionally protected liberty interest." Tigrett v. Rector & Visitors of Univ. of Va., 290 F.3d 620, 628 (4th Cir.2002). Rather, as the Fourth Circuit has explained, in order to constitute a protected liberty interest a "reputational injury [must be] accompanied by a state action that `distinctly alter[s] or extinguishe[s]' [a] legal status." Shirvinski v. U.S. Coast Guard, 673 F.3d 308, 315 (4th Cir.2012). The Fourth Circuit has further noted that a reputational injury is actionable if there is even "a likelihood that prospective employers or members of the public [will] see the damaging information." Sciolino v. City of Newport News, 480 F.3d 642, 650 (4th Cir.2007).
Here, the undisputed record facts reflect that plaintiff was expelled from GMU on a charge of sexual misconduct. Such a charge plainly calls into question plaintiff's "good name, reputation, honor, or integrity." Constantineau, 400 U.S. at 437, 91 S.Ct. 507. Moreover, plaintiff's expulsion constitutes an alteration of his legal status as a student. Cf. Sciolino, 480 F.3d at 649 (termination of employment constitutes a qualifying alteration of status). The record further discloses that
The question then becomes whether GMU afforded constitutionally adequate process. In this regard, plaintiff alleges that four distinct but interrelated procedural errors render the process here constitutionally insufficient. First, plaintiff argues that Ericson deviated from established GMU procedures and covered up this deviation by issuing a decision devoid of explanation. Second, plaintiff contends that Ericson's de novo review of the record resulted in a finding of responsibility for events about which plaintiff had no notice were in issue. Third, plaintiff objects to the off-the-record ex parte meetings that occurred with Roe during the appeal. And fourth, plaintiff argues that Ericson and Blank-Godlove were impermissibly biased decision-makers. Defendants, in turn, argue that plaintiff had adequate notice and opportunity to be heard on the specific facts of this case, namely that plaintiff (in defendants' view) admitted to sexual misconduct.
Analysis of the adequacy of process under the Due Process Clause is governed by the familiar three-factor balancing test set forth in Mathews v. Eldridge, 424 U.S. 319, 335, 96 S.Ct. 893, 47 L.Ed.2d 18 (1976). The three relevant factors are (i) the private interest that will be affected by the official action, (ii) the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards, and (iii) the government's interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirements would entail. See id. As the Supreme Court cautioned in Mathews, "[t]he judicial model of an evidentiary hearing is neither a required, nor even the most effective, method of decisionmaking in all circumstances." Id. at 348, 96 S.Ct. 893. Rather, the essence of the due process requirement is that a person should receive notice and an
The Fourth Circuit has provided guidance on the application of the principles of Mathews in the higher education disciplinary context. Specifically, the Fourth Circuit has embraced the Fifth Circuit's decision in Dixon v. Ala. State Bd. of Educ., 294 F.2d 150, 158 (5th Cir. 1961), observing that Dixon's "summary of minimum due process requirements for disciplinary hearings in an academic setting is still accurate today." Henson v. Honor Comm. of Univ. of Va., 719 F.2d 69, 74 (4th Cir.1983).
Id. at 159. It remains now to apply the principles of Dixon, as endorsed by Henson, to the adequacy of plaintiff's notice and opportunity to be heard in this case.
Analysis properly begins by examining the sufficiency of the notice defendants provided to plaintiff, an issue the parties vigorously dispute. It is undisputed that plaintiff was expelled for sexual misconduct occurring on dates other than October 27, 2013; the disagreement between the parties is whether plaintiff had notice that such dates were in issue. In defendants' view, plaintiff was put on notice that the entirety of his relationship with Roe was in issue at several points in the disciplinary process. Plaintiff contests this characterization, arguing that the only specific notice afforded to him was with regard to the events of October 27, 2013. As Dixon makes clear, a public university student accused of misconduct is entitled to "a statement of the specific charges" against him. 294 F.2d at 158 (emphasis added). A review of the record reveals that plaintiff's only specific notice here was with respect to the events of October 27, 2013.
The first notice of disciplinary charges that plaintiff received was an August 19, 2014 email from Ericson informing plaintiff that Ericson's office was "in receipt of a referral for an incident that occurred last semester involving a possible violation of
Plaintiff next received notice from Andre Clanton, Associate Director of GMU's Office of Student Conduct, via an August 22, 2014 email. This email provided no specifics as to the alleged factual basis of the charges, but it once again referenced "an alleged violation" in the singular. See Aug. 22, 2014 Email (D. Mem. Supp., Ex. 3). Thereafter, plaintiff received a follow-up email containing a narrative statement by Roe describing her allegations and Roe's list of witnesses and evidence, which included the GMU police recording of the July 2014 telephone conversation. Roe's narrative statement alleged "a number of violent and harassing incidents," including "much distressing communication" from plaintiff from January 2013 through July 2014. See Roe Statement (D. Mem. Supp., Ex. 6). Moreover, Roe alleged that "[o]n many occasions, without [her] consent, [plaintiff] forced sex on [her]." Id. In defendants' view, Roe's narrative statement is significant because it clearly references multiple alleged incidents of abuse over a lengthy period of time. Yet, the only incident described with specificity is October 27, 2013. And importantly, Roe is not a state actor, and her statement therefore cannot put plaintiff on notice as to what incidents the state wished to hold plaintiff accountable. In light of the communications prior to his receipt of Roe's narrative statement, plaintiff very reasonably could have believed that GMU was pursuing charges only for the October 27, 2013 incident. GMU's "official notification" letter dated September 4, 2014, did nothing to remedy the defects; it exacerbated them. See Sept. 4, 2014 Letter (P. Mem. Supp., Ex. 6).
A fair and careful reading of the transcript of the panel hearing highlights the fact that plaintiff was not on notice as to the scope of the charges against him, as the transcript discloses that the events of October 27, 2013, were the central focus of the hearing.
Nor was this constitutionally inadequate notice cured at any point during the appeals that followed. Indeed, with respect to Roe's appeal to Ericson, it is undisputed that plaintiff "received no notice that he was being charged with instances of sexual misconduct apart from Ms. Roe's allegations as to what occurred on October 27, 2013."
Simply put, plaintiff was not fairly on notice that events other than those of October 27, 2013, were at issue in his disciplinary hearing. And moreover, such a lack of notice cannot be divorced from the adequacy of plaintiff's opportunity to be heard. See Flaim, 418 F.3d at 638 (stating that constitutionally adequate notice must afford "a meaningful opportunity to prepare for the hearing") (internal quotations omitted). To elucidate, the scope and content of the defense plaintiff mounted to the charges against him may have been different had plaintiff had better notice. Specifically, plaintiff has contended, and continues to contend, that in the context of his BDSM relationship with Roe, the circumstances defendants took as admissions of sexual misconduct were in fact consensual. With adequate notice that these admissions were fair game for discipline, plaintiff may have put on additional evidence supplying greater context to his statements in order to demonstrate the truth of his contention.
Put in terms of the Mathews factors, the administrative burden of informing plaintiff formally that the whole of his relationship with Roe could be properly considered was incredibly low — a single telephone call, email, or letter to that effect would have sufficed, even saying perhaps as little as that all events and timeframes referenced in Roe's narrative statement were open to scrutiny. Instead, at almost every turn defendants conveyed the sense that plaintiff could be disciplined, if at all, only for the events relating to October 27, 2013. By conveying a limited scope of focus to plaintiff, defendants prejudiced plaintiff's ability to mount an effective defense, which increased the possibility of an erroneous outcome. Indeed, as the panel hearing and subsequent decision of not responsible on all charges illustrates, context matters with respect to plaintiff and Roe's BDSM relationship. When plaintiff supplied context to the events of October 27, 2013, he was acquitted; the same result might obtain as to the other incidents for which plaintiff had no notice he was subject to discipline.
To be clear, the conclusion reached here that plaintiff was not afforded adequate notice should not be taken to suggest that the Constitution requires some particular formula of words or specific means of communication. Rather, the conclusion here is simply that plaintiff received no adequate notice at any point in the proceedings, whether before the panel hearing or after the hearing, that events other than October 27, 2013, were in issue. Had such notice been afforded after the panel hearing, but before the appeal to Ericson, or after Ericson's decision, but before the appeal to Blank-Godlove, such that plaintiff would still be given an opportunity to mount a meaningful defense in at least one stage of proceedings, the notice might then have been constitutionally adequate. But in fact plaintiff had no such notice. In any event, nothing in this decision should be construed as imposing a rigid requirement of meticulously detailed notice at the outset of a disciplinary proceeding. Instead, the dispositive principle as to notice on the undisputed record as it exists here is simply this: Failure to provide clear and specific notice at any point that might allow for a meaningful defense is constitutionally insufficient to provide due process.
Quite apart from defendants' constitutionally inadequate notice given to plaintiff, plaintiff also argues that his opportunity to be heard was rife with procedural error. To be sure, plaintiff correctly does not challenge the adequacy of the opportunity to be heard that he received at the panel hearing as to the events of October 27, 2013, as the record here reflects
Two of the most glaring procedural deficiencies with Ericson's and Blank-Godlove's handling of the appeals were the off-the-record and ex parte meetings Ericson and Blank-Godlove had with plaintiff's accuser. As Dixon makes clear, where an accused student is not present during proceedings against him, he should be "given... an oral or written report on the facts to which each witness testifies." 294 F.2d at 159. Thus, although meeting with Roe ex parte was not by itself constitutionally problematic, the failure to provide plaintiff, at minimum, a report of what transpired during the ex parte meetings such that plaintiff could defend himself against Roe's allegations in these meetings fell short of constitutionally adequate due process.
No less important is the fact that Ericson never truly afforded plaintiff a meaningful opportunity to be heard in the appeal process. Dixon makes plain that an accused student must be afforded an opportunity to present a defense, and a necessary corollary to this requirement is that the opportunity must be meaningful. See Henson, 719 F.2d at 74 (noting the importance of "the opportunity to be heard by disinterested parties"). The undisputed record facts reflect that, as of the time plaintiff was allowed to present his defense before Ericson, Ericson admits that he "had prejudged the case and decided to find [plaintiff] responsible" for sexual assault. P. Mem. Supp., ¶ 37 (undisputed fact under Local Rule 56(B)). All the more troubling, Ericson had extensive ex parte contact with Roe over the summer of 2014, yet Ericson assigned Roe's appeal to himself rather than to another official with less actual (or even apparent) conflict.
Nor does the fact that Blank-Godlove subsequently reviewed Ericson's decision operate to cure the constitutional deficiencies in the process. The undisputed record reflects (i) that Blank-Godlove similarly met ex parte and off-the-record with Roe such that plaintiff could not respond to any of Roe's allegations in the meeting and (ii) that Blank-Godlove limited her review to those portions of the record on which Ericson relied. See Blank-Godlove Dep., 86:2-88:11. In this respect, Blank-Godlove at best provided a perfunctory review of Ericson's decision and at worst was improperly influenced by ex parte communications. Because Blank-Godlove's formal decision letter does not disclose any analysis or explanation for her decision, it is impossible now to determine which was the case.
A few additional irregularities bear mentioning. It is clear from the record that the process afforded to plaintiff included certain deviations from GMU's own established policies and procedures. For one, it does not appear that the hearing officer advising the panel was involved in identifying a "substantial procedural irregularity," which is one of the prerequisites for allowing an appeal. See Code at 17. Moreover, it is undisputed that Ericson violated guidance from the U.S. Department of Education's Office for Civil Rights by informing Roe of his decision to grant her appeal a full two days before informing plaintiff.
Defendants argue an important point, namely that it is insufficient to show that constitutionally inadequate process was afforded; plaintiff must also show that the lack of process caused prejudice. See Graham v. Mukasey, 519 F.3d 546, 549-500 (6th Cir.2008). In this respect, defendants argue that because plaintiff admitted to conduct that amounts to sexual misconduct under the Code, Ericson and Blank-Godlove had a sufficient basis from which to find plaintiff responsible. Thus, defendants argue, plaintiff can show no prejudice because the record clearly establishes his guilt.
Defendants' argument as to an admission is belied by the administrative record of the appeal. At the outset, it is important to note that Code 2013.8.A, under which plaintiff was found responsible for sexual misconduct, prohibits "deliberate" touching or penetration without consent. See Code at 5. Accordingly, any admission of liability must be an admission of both the actus reus of touching or penetration and the mens rea of "deliberate." Plaintiff testified before the panel that, although there were instances in which he did not stop sexual contact when Roe used the safe word (the actus reus), plaintiff "would not just blatantly ignore and then continue" with sex (the mens rea). See Hearing Transcript, 80:19-20.
Beyond the foregoing distinction between the instant case and defendants' cited authorities, it is also relevant that the contexts are entirely different. That is, Watson and Boster are both about high school students who committed straightforward offenses and incurred punishments that were not life altering. In Watson, 242 F.3d at 1239, the student was expelled after admitting to assaulting his roommate, and in Boster, 645 F.Supp. at
In sum, the undisputed record facts disclose that plaintiff was deprived of reputational liberty without due process of law. Throughout the disciplinary process, plaintiff was led to believe that he was charged with conduct violations for a single incident, namely the events of October 27, 2013. After his acquittal by a panel, plaintiff was subjected to an appellate process before an administrator who deviated from internal policy by using an alleged procedural irregularity to justify a de novo review of the facts, again without informing plaintiff of the scope of the review. More problematically, the administrator conducting the de novo factual review met ex parte and off the record with plaintiff's accuser. This administrator then found plaintiff liable and imposed sanctions upon him without providing a basis for the decision. When plaintiff appealed this decision to a higher-level administrator, the second level of appellate review proved to be little more than a rubber stamp of the decision below, focusing the inquiry on those parts of the record that supported affirming a finding of responsibility and the imposition of a sanction and once again possibly considering matters presented ex parte and off the record by plaintiff's accuser. It is worth noting also that certain key facts about the process afforded to plaintiff are known only because of discovery in this action. For instance, only now is it clear that the "procedural irregularity" on which Ericson relied to justify the appeal was the initial panel's failure to consider statements by plaintiff concerning events outside of the October 27, 2013 incident. Moreover, only now is it known that Ericson's review was de novo, such that Ericson substituted his own judgment for that of the initial panel. In this respect, it is clear that the failure to explain the disciplinary decision concealed other more severe procedural deficiencies, thus compounding the errors.
The narrowness of the conclusion reached here warrants emphasis. The procedural
A final point merits mention. In the employment discrimination context, it is now well settled that federal courts should not sit "as a kind of super-personnel department weighing the prudence of employment decisions." DeJarnette v. Corning Inc., 133 F.3d 293, 299 (4th Cir. 1998). The same is no less true in the context of reviewing university discipline; the question is not one of prudence, but one of lawfulness. Defendants have painted a picture of plaintiff portraying him as disturbed, depraved, and dangerous, such that it is good that he was expelled. Whether this is true is immaterial to the matter at hand, as the Due Process Clause of the Fourteenth Amendment is not concerned with ends but with means. In other words, it may well be that plaintiff deserves to be expelled or otherwise sanctioned for certain behavior, but the Constitution requires that if behavior is to be sanctioned, then the state must ensure the soundness of the decision it reaches as the situation requires. At almost every critical turn, GMU had low-cost and low-burden options at its disposal that would have vindicated plaintiff's due process right. With adequate notice, an appellate reviewer who would hear plaintiff out with an open mind, and the avoidance of off-the-record ex parte meetings with the accuser, the outcome here might well be different. But where the accused has this much at stake, as in the context of university discipline of this magnitude, the compounding of errors that could easily and cheaply have been avoided renders the risk of unfairness "intolerably high." Withrow v. Larkin, 421 U.S. 35, 58, 95 S.Ct. 1456, 43 L.Ed.2d 712 (1975) (observing that due process is violated where the "facts and circumstances" of a particular case demonstrate that "the risk of unfairness is intolerably high").
Accordingly, on Count I plaintiff's motion for summary judgment must be granted and defendants' motion for summary judgment denied.
Because defendants deprived plaintiff of a protected liberty interest
Any remedy will be equitable in nature, as each defendant is named in his or her official capacity. And, as the Fourth Circuit has explained, "[o]ne of the glories of equity jurisprudence is that it is not bound by the strict rules of the common law, but can mold its decrees to do justice amid all the vicissitudes and intricacies of life." Bowen v. Hockley, 71 F.2d 781, 786 (4th Cir.1934). Thus, it is clear that a remedy must be shaped to do justice on the specific facts of the instant case. Accordingly, the recognition that defendants did not afford constitutionally adequate process to plaintiff does not necessarily require turning a blind eye to GMU's representation that in the judgment of GMU's administrators plaintiff poses a threat to the GMU community based on the totality of his actions and disciplinary violations. It may well not do justice to force GMU to place its community of students, faculty, and staff at potential risk if plaintiff did in fact commit misconduct simply because "the constable has blundered" in the first round of process. New York v. Defore, 242 N.Y. 13, 21, 150 N.E. 585 (1926) (Cardozo, J.) (famously criticizing the exclusionary rule). Plaintiff was expelled on serious charges, and serious charges require careful attention to the adequacy of the process, but defendants' failure to vindicate plaintiff's rights in the first instance does not necessarily require a judicial order preventing GMU from vindicating its community's right to a safe environment by enjoining the further adjudication of these serious misconduct charges.
At this stage, one thing is perfectly clear: plaintiff was expelled because of (i) alleged sexual misconduct occurring on dates other than October 27, 2013, and (ii) a text message sent in March 2014 threatening suicide, allegations that were not adjudicated through a constitutionally adequate process. Accordingly, there can be no doubt that it is appropriate here to vacate the decisions of defendants Blank-Godlove and Ericson and to order that plaintiff be reinstated as a GMU student in good standing.
In sum, it is clear that plaintiff must be reinstated as a student in good standing at GMU at least until new process is afforded, if such process is allowed. But the issues identified here — and perhaps other issues that the parties deem relevant — would benefit from further briefing. Accordingly, an Order will issue setting a briefing schedule on the issue of an appropriate remedy.
The remaining count at issue on the parties' cross-motions for summary judgment is Count IV, in which plaintiff alleges that defendants infringed on his freedom of speech.
It should be noted at the outset that resolution of the free speech question is arguably moot here in light of the conclusion that defendants deprived plaintiff of liberty without due process of law. Indeed, as the discussion of a remedy in Part II-B, supra, illustrates, plaintiff is entitled to have his finding of responsibility vacated on procedural grounds. Because the remedy for the due process violation affords the same relief sought under Count IV, namely the vacating of the decision of responsibility and reinstatement as a student in good standing, resolution of the free speech question would not afford any additional meaningful relief, particularly because plaintiff does not seek a finding that Code 2013.9.B is facially unconstitutional. Indeed, a leading treatise notes that an "unspoken consideration[]" in applying the mootness doctrine is "the importance of the underlying legal issues." 13C Wright & Miller,
Analysis properly begins with the text of the provision under which plaintiff was
The first half of the provision cited above clearly evidences an intent to ban "true threats," which constitute a well-settled exception to the freedom of speech protected by the First and Fourteenth Amendments. See Virginia v. Black, 538 U.S. 343, 359, 123 S.Ct. 1536, 155 L.Ed.2d 535 (2003). Indeed, the first half of the provision in issue is tailored to be entirely consistent with the Fourth Circuit's law on true threats, in that Code 2013.9 prohibits only behavior (including speech)
The constitutional problem presented here arises from Code 2013.9.B, which "also prohibit[s]," inter alia, "[c]ommunicating... by electronic communication in a manner likely to cause causes [sic] injury, distress, or emotional or physical discomfort." There can be no doubt that this language is susceptible to an interpretation that "[pen]alizes a substantial amount of protected expressive activity," e.g., offensive speech. United States v. Williams, 553 U.S. 285, 297, 128 S.Ct. 1830, 170 L.Ed.2d 650 (2008). Indeed, Code 2013.9.B's plain language imposes no "reasonable person" limitation and covers such vague effects as "distress" or "emotional... discomfort." In that respect, under a reasonable interpretation of Code 2013.9.B, the provision penalizes speech that an individual finds offensive or disagreeable. As defendant Ericson expressed in his deposition, in his view Code 2013.9.B is broad enough to permit disciplinary action against a student who expresses a racist view that African-Americans should not be permitted to enroll at GMU and thereby upsets an African-American student. See Ericson Dep., 173:3-15. Yet, it is well established that racist speech, even on a university campus, is constitutionally protected. See, e.g., IOTA XI Chapter of Sigma Chi Fraternity v. George Mason Univ., 993 F.2d 386, 393 (4th Cir.1993) (recognizing that despite a university's "responsibility" to maintain "an educational environment free of discrimination and racism," such goals should be accomplished "in some fashion other than silencing speech on the basis of its viewpoint").
Although Code 2013.9.B's plain language reaches beyond the true threats exception, defendants alternatively argue that the restriction is justifiable in light of Tinker v. Des Moines Indep. Sch. Dist., 393 U.S. 503, 89 S.Ct. 733, 21 L.Ed.2d 731 (1969).
To understand these material differences, an appropriate starting place is the Fourth Circuit's characterization of the unique role of universities in society. Specifically, the Fourth Circuit has observed:
Kim v. Coppin State Coll., 662 F.2d 1055, 1064 (4th Cir.1981). In short, controversial and sometimes offensive ideas and viewpoints are central to the educational mission of universities. It follows that university students cannot thrive without a certain thickness of skin that allows them to engage with expressions that might cause "distress" or "discomfort," which is precisely the type of speech that Code 2013.9.B seeks to suppress. The coddling of the nation's young adults by proscribing any expression on a university campus that is likely to be distressing or discomforting does not protect "the work...of the school;" such rules frustrate the mission of the university. See Morse, 551 U.S. at 403, 127 S.Ct. 2618 (noting that schools can proscribe speech that disrupts a school's educational goals); Kim, 662 F.2d at 1064 (identifying the goals of universities).
In Sword v. Fox, 446 F.2d 1091, 1097 (4th Cir.1971), the Fourth Circuit, relying in part on Tinker, articulated the criteria for evaluating the reasonableness of regulations
Viewed against the backdrop of these principles, Code 2013.9.B is similar to the university speech code provision held unconstitutionally overbroad in McCauley. There, the court concluded that a policy restricting speech that may "frighten, demean, degrade, or disgrace," although it encompassed certain speech that would qualify as unprotected fighting words, also "encompass[ed] much more speech than that which could reasonably be found to cause a threat of substantial disruption." McCauley v. Univ. of the V.I., 52 V.I. 816, 849 (D.V.I.2009). Like the provision struck down in McCauley, Code 2013.9.B purports to cover all student speech — regardless whether it occurs on campus — and uses entirely subjective standards such as "distress." Cf. id. at 847. As the McCauley court correctly noted, "some people may feel [distressed] by a comment that other students find perfectly acceptable." Id. Accordingly, the natural incentive under a regime like that created by Code 2013.9.B is to speak less for fear of "distress[ing]" or "discomfort[ing]" another.
It is untenable to suggest that a regulation as broad as Code 2013.9.B is necessary to "prevent interference" with the normal operations of a university. See Sword, 446 F.2d at 1097. Nor can defendants proffer a justification for a regulation that sweeps so broadly. Code 2013.9.B does not advance the university's pedagogical goal of serving as a "great bazaar[] of ideas;" rather, it is likely to stifle the expression of unpopular opinions for fear that another will become "distress[ed]" or "discomfort[ed]." See Kim, 662 F.2d at 1064. In essence, Code 2013.9.B attempts to impose a civility code upon university students — students who are adults with full rights of participation in civic life, for whom the university does not stand in loco parentis, and who can never escape "the heavy hand of a regulation" that purports to apply wherever they speak. Id. As the Second Circuit has observed, even in elementary and secondary schools the administration's power to "teach students the boundaries of socially appropriate behavior" limits the punishment of "threatening" speech to instances that "occur[] publicly at school or a school-related event." See Cox v. Warwick Valley Cent. Sch Dist., 654 F.3d 267, 273 (2d Cir.2011) (internal quotations and alterations omitted). A university's
Of course, the fact that a university speech code arguably reaches substantial constitutionally protected speech is not dispositive as to whether the provision is unconstitutional. Rather, such restrictions are only unconstitutional if they are actually construed to reach substantial protected speech. And in this regard, the Fourth Circuit has made clear that a court "will not strike down a [regulation] as facially overbroad if its constitutionality can be preserved through a `limiting construction'...capable of `removing the seeming threat or deterrence to constitutionally protected expression.'" Legend Night Club v. Miller, 637 F.3d 291, 300 (4th Cir.2011) (internal alterations omitted). Where, as here, the regulation is a state enactment, any "reasonable and readily apparent" limiting construction that follows from the "text or other source of...intent" "must be resorted to." See id. at 300-01. Such a limiting construction is readily apparent with respect to Code 2013.9.B. By the plain language of Code 2013.9.B, the communications proscribed are "[e]xamples" of behavior prohibited as a true threat, i.e., speech "that by its very nature would be interpreted by a reasonable person to threaten or endanger the health, safety or well-being of another." See Code at 5-6; White, 670 F.3d at 507 (defining a true threat as communication that "an ordinary reasonable recipient who is familiar with the context...would interpret as a threat of injury"). Thus, it is fully appropriate here to construe Code 2013.9.B as prohibiting only true threats or fighting words,
Defendants appear to argue that quite apart from the fact that the March 2014 text message does not fall within the proper reach of Code 2013.9.B, it constitutes speech that GMU administrators could punish on an ad hoc basis because they could "reasonably conclude" that it would "`materially and substantially disrupt the work and discipline of the school.'" Morse, 551 U.S. at 403, 127 S.Ct. 2618 (quoting Tinker, 393 U.S. at 513, 89 S.Ct. 733). In defendants' view, regardless whether the speech occurred on or off campus, the threat of committing suicide via firearm implicates GMU's interest in the order, safety, and well-being of its students. But that is not this case. Rather, the record here reflects that plaintiff was sanctioned for the March 2014 text message not because he posed harm to himself
This is not to say that university administrators are powerless to act when a threat of suicide by firearm comes to their attention. On this issue, the Second Circuit's Cox decision is instructive. In Cox, a middle school administrator sequestered a student for several hours after the student submitted an essay containing a "casual description of illegal activity, violence, and suicide." 654 F.3d at 270. The purpose of this sequestration was to determine whether the student "posed an imminent threat to himself or others" and "whether he should be disciplined for his essay." Id. at 271. In the student's lawsuit for free speech retaliation, the Second Circuit did not reach or decide whether the essay was protected speech, instead concluding that the administrator's actions in separating the offending student from other students while determining whether a threat existed was not an adverse action. See id. at 273. Cox is instructive here for two points. First, dicta in Cox suggests that the power under Tinker to punish "threatening" speech that is private and divorced from school-related activities is circumscribed. See id. Second, Cox makes clear that school administrators have tools at their disposal to fulfill their obligation to ensure school safety that fall short of punishing empty threats of suicide. See id. at 274 ("[A] school administrator must be able to react to ambiguous student speech by temporarily removing the student from potential danger (to himself and others) until it can be determined whether the speech represents a real threat to school safety and student learning."). And as the Fourth Circuit has expressed, a university should not "silenc[e] speech" where it can "accomplish[] its goals in some [other] fashion." IOTA XI Chapter of Sigma Chi Fraternity, 993 F.2d at 393.
In short, Cox is illustrative of the tools universities have at their disposal, consistent with Tinker, to address communications
In sum, defendants' imposition of a sanction on plaintiff for the March 2014 text message was improper; the text message was not a true threat, fighting words, or communication properly proscribed consistent with Tinker. On this record, plaintiff was punished for the text message because of its intended emotive effect on the recipient. That was in error. Accordingly, plaintiff's motion for summary judgment on Count IV must be granted and defendants' motion for summary judgment on Count IV must be denied.
When plaintiff initiated this lawsuit, he asserted a claim for a violation of his substantive due process rights, alleging that "Ericson `disregarded' the BDSM context of the relationship and how it `affected matters like consent and related issues' and treated a BDSM relationship as `per se sexual misconduct.'" Doe, 132 F.Supp.3d at 727, 2015 WL 5553855, at *10. This, plaintiff argued, constituted a violation of plaintiff's right to sexual liberty as protected under Lawrence v. Texas, 539 U.S. 558, 578, 123 S.Ct. 2472, 156 L.Ed.2d 508 (2003), which held that a state could not criminalize intimate sexual conduct between consenting adults.
Plaintiff moved to reconsider the dismissal of his substantive due process claim, arguing that GMU's Code of Conduct is a legislative enactment that treats
The Supreme Court's cases recognizing judicially-enforceable fundamental liberty interests disclose two equal but distinct lines of precedent with respect to the appropriate methodology to be used when considering whether a liberty is fundamental and therefore protected as judicially enforceable under the Fourteenth Amendment. One approach is a common law methodology articulated by Justice Harlan in dissent in Poe v. Ullman, 367 U.S. 497, 543, 81 S.Ct. 1752, 6 L.Ed.2d 989 (1961), and later embraced in cases such as Planned Parenthood of Se. Pa. v. Casey, 505 U.S. 833, 848-49, 112 S.Ct. 2791, 120 L.Ed.2d 674 (1992), and Obergefell, 135 S.Ct. at 2598-99. This methodology balances private interests against social needs by reference to, but not bound by, historical practice. In contrast, a more restrictive and historical-focused approach was articulated in Washington v. Glucksberg, 521 U.S. 702, 721, 117 S.Ct. 2258, 138 L.Ed.2d 772 (1997), in which the Supreme Court held that a judicially enforceable implied fundamental liberty interest must be (i) deeply rooted in the nation's history and traditions and (ii) implicit in the concept of ordered liberty.
Under the Glucksberg mode of analysis, plaintiff's asserted fundamental liberty interest in engaging in BDSM sexual activity is clearly not protected as judicially enforceable under the Fourteenth Amendment.
Perhaps in recognition of the futility of his argument under Glucksberg, plaintiff
Under the Lawrence methodology, history and tradition continue to inform the analysis. See id. at 2598 ("History and tradition guide and discipline [the implied fundamental liberty interests] inquiry but do not set its outer boundaries."). Yet, courts must consider not only the history and tradition of freedom to engage in certain conduct, but also any history and tradition of impermissible animus that motivates the legislative restriction on the freedom in order to weigh with appropriate rigor whether the government's interest in limiting some liberty is a justifiable use of state power or an arbitrary abuse of that power. In this respect, the conclusion reached here under the Glucksberg line of reasoning that there is no deeply rooted history or tradition of BDSM sexual activity remains relevant and important to the analysis. Also relevant and important to the analysis is the absence of a history of impermissible animus as the basis for the restriction at issue here. Sexual activity that involves binding and gagging or the
For the foregoing reasons, plaintiff's motion for summary judgment must be granted and defendants
An appropriate order will issue.
See Code of Student Conduct ("Code"), at 17 (D. Mem. Supp., Ex. 4).