Full opinion text
OPINION AND ORDER CONBOY, District Judge: This case raises serious constitutional questions that go to the heart of the current national debate on what has come to be denominated as “political correctness” in speech and thought on the campuses of the nation’s colleges and universities. A professor who has had tenure for over sixteen years at one of America’s most famous institutions of higher learning, singularly noted for its bracing environment of broad and untrammeled speech, claims that his tenure is in jeopardy, his students drawn away, his classes disrupted, his reputation injured, and his speech chilled as a result of the actions of his college’s administrators, who are said to be repelled by his views on affirmative action quotas and the relative intelligence of blacks and whites, and who are said to be, by their actions, seeking to suppress those views. The college officials say that his views are odious, and rightly denounced, and that although he has committed no act of academic misconduct or discrimination against his students, and although there is no complaint by any of his students against him, they are permitted to structure the class schedule to provide alternative professors to “insulate” and “protect” his present and future students from his views. Professor Michael Levin has brought this action pursuant to federal civil rights law, 42 U.S.C. § 1983, and the First and Fourteenth Amendments to the United States Constitution. We conclude that Professor Levin has convincingly established his case, that the defendant college officials have sought to and did punish him in retaliation for and solely because of his expressed ideas, that in so doing they have violated his constitutional rights and the civil rights laws of the United States, and that federal injunctive relief is necessary to secure Professor Levin’s rights on the campus of City College of the City University of New York. We will now elaborate upon these findings. The constitutional questions presented by this case are a) whether the creation of what in this lawsuit have been denominated “shadow sections” by City College officials, to which Professor Levin’s students, having been warned by the College Dean that his views are “controversial”, may voluntarily switch, have operated or may operate to abridge Professor Levin’s free speech rights under the First Amendment of the Constitution, and abridged his tenure rights under the Fourteenth Amendment of the Constitution, and b) whether the creation by the College President of an “ad hoc Committee” of faculty to investigate Professor Levin’s writings but not apparently, any of his conduct, is a constitutionally impermissible attempt by the College to silence his views through an implicit threat to revoke his tenure, and constitutes a discrete injury to his tenure, in violation of the First and Fourteenth Amendments of the Constitution. These are largely legal questions, as the parties at trial did not dispute any material facts underlying them. Finally, there is presented the factual question as to whether college officials have tacitly approved the disruption of Professor Levin’s classes by failing to identify and discipline persons who have on numerous occasions disrupted and caused to be terminated philosophy classes being conducted by Professor Levin. The resolution of this question has a bearing on whether the disruptions, which are conceded, constitute a separate abridgement by the College of Professor Levin’s free speech rights, and an injury to his liberty and property interests in his tenure. Michael Levin, the plaintiff, holds a doctorate in philosophy and is a tenured member of the faculty of the City College of the City University of New York (“City College”), a public institution funded in part by the State of New York. The remaining defendants are Bernard W. Harleston, President of City College, and Paul Sherwin, Dean of City College. Various members of the faculty of City College who were asked to and did serve on the Ad Hoc Committee convened by President Harleston to inquire into certain writings of Professor Levin, and certain views he expressed outside of his classroom, which views have been characterized on the campus as racist, were initially named as defendants and then later dismissed. Professor Levin claims that his right to freedom of expression secured by the First Amendment to the Constitution of the United States, and his property rights in the full enjoyment of his tenured status secured by the Fourteenth Amendment, have been violated by defendants’ actions and failures to act, and will, in the absence of injunctive and declaratory relief from this Court, continue to be violated. Specifically, Professor Levin claims that the appointment of the Ad Hoc Committee to determine whether his published writings and public statements outside of his classes go beyond the bounds of academic freedom and constitute conduct unbecoming a member of the City College staff has i) chilled and continues to chill his right of freedom of expression; ii) threatened and continues to threaten his academic freedom, employment, tenure status and freedom to enjoy such status without peril of disciplinary action; and iii) injured and continues to injure his reputation, professional standing, professional and academic opportunities, and prospects of alternative employment in his field. Professor Levin also claims that the establishment by Dean Sherwin, with the knowledge and approval of President Harleston, of alternative classes (“shadow sections”) to his introductory philosophy course, with an accompanying letter warning his students that Professor Levin had expressed controversial views, had the intended effect of injuring his free speech and tenure rights. Finally, Professor Levin claims that the failure of the President and Dean to prevent or take effective steps to investigate repeated disruption of his classes by demonstrators has contributed to the aforementioned injuries to his tenure and rights under the Constitution. The defendant City College’s President and Dean deny violating or threatening to violate Professor Levin’s constitutional rights and argue that, in any event, they are protected from personal liability in this action by the doctrine of “qualified immunity,” predicated on their good faith belief in the legitimacy of their actions. In a prior opinion, reported at 752 F.Supp. 620 (S.D.N.Y.1991), we denied defendants’ motion to dismiss, finding that Professor Levin’s claim was justiciable in federal court. The case was tried without a jury on May 7, 8, and 9, 1991, and post-trial papers were filed on May 30, 1991. This opinion shall constitute the Court’s findings of fact and conclusions of law in the matter. FACTUAL BACKGROUND Professor Levin’s Writings The writings of Professor Levin that have made him a subject of controversy are three in number. They are a letter to the editor of the New York Times, published January 11, 1987; a book review that appeared in the January/February, 1988 issue of an Australian journal called Quadrant; and a January, 1990 letter published in the Proceedings of the American Philosophical Association. The Sunday edition of the New York Times for January 11, 1987 carried a letter to the editor signed by Professor Levin, in which he responded to, and criticized, a Times editorial published on the previous December 28th. He asserted that the editorial had misunderstood the ethical formulations of the eminent Harvard philosopher John Rawls, and that the citation to Rawls was “obviously an effort to bolster a position reached on nonphilosophical grounds.” PX l. The full text of the editorial is as follows: Fear of Blacks, Fear of Crime It’s very easy to spot a black person in this neighborhood, and whenever I see one, I know he’s up to no good. They come in the neighborhood and rob everybody. It’s a known fact. That’s why everybody has a thing about them. That’s how a construction worker named Jimmy, from Howard Beach, Queens, tried to explain why a gang of teen-agers armed with bats and clubs last week chased and beat three blacks whose only apparent offense was to walk through his neighborhood. The same crude presumption—that blackness indicates criminality—haunts the trial of Bernhard Goetz, who claims self-defense for shooting down four young blacks on a subway train. The presumption recently led a Louisiana sheriff to order deputies to stop and question all blacks on sight, and it produced furious debate in Washington, D.C. over whether local stores, fearing robbery, should refuse to admit black men. Signs on the doors of small shops on the upper East Side of Manhattan— “Men by appointment only”—also mask the ugly question: Shouldn’t one assume that black men are up to no good? Many whites would answer yes, observing that blacks, especially young black men, commit more than their share of crime. National surveys estimate that blacks commit robbery at a rate 10 times that of whites. Yet blacks cannot be faulted for denouncing the automatic assumption that the potential victim’s viewpoint is the only one. What about the vast, innocent majority of blacks? Why shouldn’t they be able to shop where they want, hail cabs and walk city streets, even in Howard Beach? Why must millions pay for the sins of a few? The issue engages a classic dilemma of utilitarianism versus individual rights: At what point, if ever, should needs of the community as a whole be allowed to harm an innocent minority? John Rawls, the philosopher, suggests one widely respected answer: No one ought to endorse a social order that he could not accept if he were in the shoes of the most disadvantaged. Who, then, is more disadvantaged, the innocent white subjected to crime and fear of crime, or the innocent black forced into humiliating inconvenience and heightened risk of violence from mistaken acts of self defense? The innocent potential victim of crime has more options for protection against burglary and robbery—guards, locks, dogs, alarms and buzzers, legitimate community organizing. Innocent victims of discrimination based on popular fear can do little but submit. There is no reason to choose: Discrimination, cumulatively, can be as poisonous as mugging or burglary. Both kinds of pain diminish the civility of modern life. There is no remedy, only an approach, the one suggested by John Rawls. It’s not hard for blacks to put themselves in the shoes of fearful shopkeepers and citizens; they are, too often, fearful citizens themselves. Fearful whites need to put themselves in the shoes of innocent blacks. Doing so will not dissipate the reasons for fear, but it can steadily inspire the understanding and reason that keep fear in its place. The full text of Professor Levin’s letter in response, under a headline selected by The Times, is as follows: Howard Beach Turns a Beam on Racial Tensions The reference to John Rawls in “Fear of Blacks, Fear of Crime” (editorial, Dec. 28) would illustrate the risks of misunderstanding philosophy, were it not so obviously an effort to bolster a position reached on nonphilosophical grounds. You say that the Rawls principle that “No one ought to endorse a social order that he could not accept if he were in the shoes of the most disadvantaged” implies that people ought not to take even rational steps to avoid being victimized by black criminals. In the first place, as the wording suggests, Rawls proposes this principle as a test of the basic institutions of a society, if they were being chosen from a position of total ignorance about one’s actual place in that society. It does not constrain particular decisions made within a given society as a going concern, when specific information is available about the actual risks one faces. It is important to bear in mind that the Rawls principle is in any case not fundamental and rests on the precept that, whatever the probability that the worst will actually occur, the worst possible outcome should be made as tolerable as possible. If social policy is going to be made from this pessimistic perspective, then even the occupants of society’s worst off position will endorse rules permitting steps to avoid assault on one’s person. However badly off you are, you are worse off mugged (as homeless people who fear city shelters demonstrate). If information about appearance can be used to reduce the probability of being attacked, one may use it. Even other blacks are presumably more wary of 17 year old black males wearing running shoes and hooded sweatshirts than they are of other members of the population. You indirectly try to make these points by proposing the quite incredible idea that it is just as bad to be discriminated against as it is to be robbed or murdered—or, at any rate, that a society in which prejudice is rampant is as bad as one in which violent crime is rampant. Individual tastes in disaster may differ, but surely the innocent black turned away from a Madison Avenue boutique would not wish to change places with a boutique owner who has just been assaulted. It is unfortunate that innocent blacks must be inconvenienced because of the behavior of guilty blacks, but if we are to play the put-yourself-in-his-shoes game, the innocent black who puts himself in the shoes of the vulnerable boutique owner should just as surely conclude that he would not let himself in under similar circumstances. It is hard to fathom your sudden concern with the penalized innocent given your steadfast endorsement of affirmative action quotas that invariably penalize whites innocent of discriminating. Is discrimination against innocent whites a tolerable price for insuring jobs for blacks while discriminatory inconvenience for innocent blacks is too high a price for reducing the risk of murder for white store owners? PX 1. One year later, in the January/February, 1988 issue of Quadrant, an Australian journal published in Sidney, there appeared a book review by Professor Levin of two then current and controversial best-sellers in the United States dealing with education, Cultural Literacy, by E.D. Hirsch and The Closing of the American Mind, by Allan Bloom. The article, entitled “The Trouble With American Education”, is in the record as PX 4. This article, approximately 3500 words in length, is in large measure given over to arguments about cultural transmission of common and historical experience, sweeping claims about intellectual history, and the place of value judgments in a college education. The text of that portion of Professor Levin’s article that is germane to the case at hand is as follows: [A] cause of the malaise of American education is race, a topic approached but not quite reached by Hirsch and Bloom. Since 1954, staggering energies have been expended to bring American Negroes into the educational mainstream. Yet they continue to exhibit disproportionately high rates of illiteracy, dropping out, absence from the more prestigious disciplines, and other forms of academic failure. The conventional explanation of this failure is bias in the standards by which students are judged; adjust the standards to eliminate race bias, and all will be well. And adjustments have been made to eliminate any measure on which blacks underperform, it always being assumed that blacks are on average as intelligent as whites and as capable of passing any fair test in proportionate numbers. But there is now quite solid evidence that this assumption is not correct; the average black is significantly less intelligent than the average white. Therefore, the only adjustments in educational measures that will allow blacks their due number of successes amount to making course-work and tests easier and easier, and this is what has been going on for over thirty years. Conversely, if standards are going to be raised, cultural literacy reasserted and college education given its old depth and focus, the American polity will have to reconcile itself to an embarrassing failure rate for blacks. The uncomfortable fact is that knowledge of factual matters is highly correlated with IQ for reasons that Hirseh’s analysis makes plain. Intelligent people are able to incorporate what they hear into larger intellectual structures, and thereby retain it more effectively. Some years ago (I do not know if this is still true) IQ tests asked the testee if he knew what the Apocrypha is. This may seem culturally biased, but the average person in American or Australian society will almost certainly have heard at least one reference to the Apocrypha in his lifetime, or at least have heard the adjective “apocryphal”. The intelligent will remember the explanation of the Apocrypha, or pursue the etymology of “apocryphal”, or in some other way hook this isolated item into their overall web of beliefs. The unintelligent will not. Teach content-full texts and readers to blacks, and the result, I fear will disappoint Hirsch. In January, 1990 Professor Levin published the following letter in the American Philosophical Association Proceedings: The June issue of the Proceedings (Volume 62, Number 5) gives survey data concerning the numbers of blacks and other minorities in philosophy. Unsurprisingly, the proportion of blacks in the discipline is considerably below their proportion of the population. Unfortunately, such findings in the current climate of opinion generally lead to calls for “affirmative action,” i.e. preference for blacks, accompanied by mea culpas on the part of whites participating in the activity from which blacks have been found to be excluded.- It should therefore be good news that whites are not responsible for this under-representation. It has been amply confirmed over the last several decades that, on average, blacks are significantly less intelligent than whites. The black mean IQ is slightly more than one standard deviation below the white mean. In more familiar terms, that amounts to a difference of more than 15 points of IQ as measured by such standard tests as the Wechsler Adult Intelligence Scale. Philosophers seem to have fixated at a primitive verificationism about such tests, and regard such tests as measuring nothing beyond themselves. In fact, performance on IQ tests correlates quite well with performance on a large number of independently measurable variables. In a recent survey of the psychometric literature, the National Academy of Sciencé concluded that “in the technically precise meaning of the term, [mental] ability tests have not been proved to be biased against blacks; that is, they predict criterion performance as well for blacks as for whites.” The significance of these findings for our profession (as for the rest of society) is that black representation in a field can be expected, absent any discrimination, to decrease as the intellectual demands of the field increase. Doctors as engineers are recruited from an IQ range of 114 of above; I do not know the corresponding figure for philosophy, but it is surely just as high, and for some specialties (e.g. logic) considerably higher. Only 3% of the black population (as opposed to 16% of the white population) has an IQ in this range. Making the most optimistic assumptions, given that blacks constitute 12% of the population, only 2% (not 12%) of the profession will be black. That is close enough to current figures for all philosophers to regard themselves free of any discriminatory guilt. The Classroom Disruptions As indicated, the relevant facts in this case are in large measure not disputed by the parties. Since the fall of 1984, City College policy has officially and in written regulations prohibited students from engaging in demonstrations that disrupt or obstruct teaching and research activities. Any activity disruptive of classes subjects the group and individual participants to disciplinary proceedings in accordance with Section 15.3 of the University Board of Trustees By-Laws. On March 23, 1987, shortly after the appearance of his letter in The Times, Professor Levin wrote a letter, PX 48, to the City College Dean of Student Affairs, George D. McDonald, complaining of persons distributing pamphlets outside of one of his classes. A week later, on April 1, 1987, Professor Levin reported to Campus Security Chief Albert Dandridge that documents affixed to his door had been burned. Dandridge filed an “Incident Report”, PX 63, and submitted a copy to Dean McDonald, among others, which stated that Professor Levin “had been the target of demonstrations by the Day Student Government.” A week after that, on April 8, 1987, a group of between 10 and 15 persons conducted a loud demonstration outside of one of Professor Levin’s classes, disrupting that and other classes and blocking entry into and exit from the classroom. Dandridge was summoned to the scene by Professor Levin. Dandridge observed one of the demonstrators, whom he later identified as Stephen N. Pearl, a student in the College, push against Security personnel in an apparent effort to inflame the situation and to exhort the other demonstrators to assault the Security officers. Dandridge obtained Pearl’s student I.D. card, as well as that of another student demonstrator, Vardon Marshall, and submitted copies of the cards with a report on the demonstration, PX 52, to Dean McDonald. Dandridge also filed an Incident Report, PX 65. The following day, on April 9, 1987, Professor Levin wrote a letter, PX 2, to President Harleston, with copies to Deans McDonald and Sherwin, concerning the same incident and contemporaneous acts of harassment against himself, including an anti-Semitic threat. No one replied to this letter. Dandridge submitted an April 8,1987 Incident Report, PX 53, to Dean McDonald concerning the threat, which was affixed to the door of Professor Levin’s office and stated: “We know where you live you Jewish bastard your time is going to come.” At about this time, Dean McDonald received a typewritten letter, PX 60, purportedly written by Pearl, which denounced Professor Levin and Dean McDonald among others in terms which can only be described as utterly vile, and which threatened Dean McDonald with death. Dean McDonald turned the matter over to the police. Though unsigned, the letter bore at the bottom the typed name Stephen Pearl, President of City College I.N.C.A.R. [International Committee Against Racism] Club. The identity of the author of the letter was never established. Shortly thereafter, on April 13, 1987, Dean McDonald sent a letter, PX 54, to Pearl officially summoning Pearl to his office on April 21 to explain why he should not be subject to disciplinary measures for violating College regulations during the April 8 demonstration. A similar letter was sent to Marshall. Pearl and Marshall did not appear before Dean McDonald as required. Dean McDonald received a letter, PX 69, dated April 20, 1987, signed by “Members of INCAR and the City College Community.” This letter made counter-charges against College officials and stated: “we will not even consider the charges being raised against Mr. Pearl and Mr. Marshall until the charges against Mr. Dandridge, yourself and the administration are resolved to our satisfaction.” At about this time, President Harleston and Dean McDonald met with Professor Levin. They told him that academic freedom protects student demonstrators, but that the time, place, and manner of demonstrations could be regulated by the College. No commitment was forthcoming from these officials that Professor Levin’s classes would proceed unimpeded in the future. Several months later, on September 2, 1987, Dr. Levin wrote a letter, PX 3, to Dean McDonald and President Harleston complaining that Pearl was distributing leaflets outside of his class in a manner that was in apparent violation of College regulations. Neither Dean McDonald nor President Harleston replied to this letter. No further action was taken by anyone with regard to this incident. At the trial Professor Levin testified in graphic detail about the disruption of his philosophy class because of his controversial views. Tr. 38. In April, 1987 between 20 and 50 students were outside the door of his classroom with banners, shouting and impeding Professor Levin’s students from entering, and “trying to make noise so that the class couldn’t continue”. Tr. 38. The banners and the shouts denounced Professor Levin as a racist. Tr. 41. A melee with security went on for sometime in the corridor while Professor Levin attempted to resume his class. Tr. 41. Professor Levin met with Professor Harleston to complain about the demonstrators, but the President said that his hands were tied. According to Professor Levin’s testimony, which the Court accepts as credible, the President said, “ ‘What do you want me to do? There’s academic freedom issues here. The students have academic freedom as well, and their academic freedom is protected.’ ” Tr. 42. There was a further disruption of Professor Levin’s class in March, 1989. According to the Professor, The students burst in the door, about 20 students, led by Stephen Pearl with a bullhorn. [They] began haranguing my class. I tried to talk to them. But that was not possible. They simply kept chanting and shouting, chanting and shouting. My students tried to argue with them. Most of the students were simply dumbfounded at this, in a state of shock. Finally, after about three or four minutes, I said to the class, well, it appears we just can’t continue. Remember that this is your education and dismissed the class and went back to my office. * * * * * * THE COURT: What specifically did [the demonstrators] say? THE WITNESS: Levin is a racist. Levin must not teach here. Levin is a racist. Levin must not teach here. THE COURT: You indicated that some of your students responded? What did they say? THE WITNESS: What are you doing here? You can’t do this. THE COURT: In substance, would you describe whether or not there were rising tempers? Was this an emotional discussion or was it an abstract discussion befitting a philosophy class? Give us a sense, if you would, of exactly what the environment was in which you found yourself? THE WITNESS: The word I would use is extremely intimidating. The students—I should say the invaders. My students’ tempers did not rise only as I say because they seemed to be in a state of shock, intimidation out of the blue 20 people marching in and very loud, very angry shouting addressed to me, set faces, angry loud faces. Once or twice I would attempt to engage them. What is your complaint? And instead of responding, just to reiterate their chants louder, more aggressively stationing themselves in a wall in front of me, between me and the door. THE COURT: So, in other words, your ability to get out was blocked by these people? THE WITNESS: Yes. When I finally decided to dismiss the class they did part. But certainly it was a very intimidating atmosphere. It was clearly designed to inhibit me from teaching, frighten me. Menace me. Q. You mentioned that you wrote a letter to vice-president McDonald about this incident? A. Yes. Q. Did you receive any reply to that letter? A. No. Q. Was there any other reaction so far as you are aware on the part of the administration to this occurrence? A. No. Tr. 48-51. Professor Levin further testified that: In March, 1990 a further incident occurred. I was teaching and in fact I had locked the door and there was a pounding at the door. So I opened it up— perhaps unwisely opened it up to see what the pounding was and about 35 or so students came in, surrounded the class, started shouting and chanting and making teaching impossible. I had had some inkling that something like this might have occurred [sic]. I believe it was because I had seen some posters announcing a demonstration at that hour. So I thought something might be up and I mentioned it to Mr. Dandridge, the head of security, and there was some security present. Mr. Dandridge was present. He entered the class very soon after the students did and observing it decided that the wisest course would simply be to break up the class. Prior to that, my students themselves, some of my students, argued with the demonstrators and asked them to get out. But that had no effect. That was the incident. Tr. 33. After this incident, the College assigned a security guard, as it had done earlier, to protect Professor Levin from physical harm. Tr. 76. At the trial, President Harleston denied that he had told Professor Levin that academic freedom protected the student demonstrators. Tr. 38. He asserted, however, that he could not recall whether he had done anything “to follow-up the college’s investigation of the April, 1987 disruption of Professor Levin’s class”, and that he could recall nothing about the March, 1990 disruption of Professor Levin’s class. Tr. 138-39. When counsel directed his attention to a resolution of the faculty senate calling upon him “to prevent disruption of classes and to discipline those who attempt such disruption”, PX 27, President Harleston was unable to say whether the College Administration had carried out its responsibilities to comply with this resolution. Tr. 140. Indeed, when the Court pointed out that the question of the adequacy of the Administration’s response to the disruptions of Professor Levin’s classes had been put to him in a previous hearing in the case held five months earlier, and asked “[i]n the period of time that has elapsed since then, have you had occasion to review [the record] and satisfy yourself as to whether or not there was an adequate response to these complaints of disruptions in the professor’s classroom”, President Harleston stated that he had not. Tr. 141. President Harleston further testified that at the aforementioned meeting in his office, which meeting had been convened at Professor Levin’s request to stop the disruptions of his class, President Harleston had said: “But, Prof. Levin, you wrote about affirmative action and it’s not surprising that the students would want to ask you about it.” Tr. 165. Amazingly, President Harleston also testified that he could not remember ever getting a detailed account of the disruptions complained of by Professor Levin. Tr. 166. Finally, at the conclusion of his testimony, the following colloquy ensued between the Court and President Harleston: THE COURT: Would you look at Exhibit W in the smaller of the two exhibit books. Exhibit W is the statement of the university on the freedom of expression and dissent at City College. THE WITNESS: Yes. THE COURT: You’ll note in the second to the last paragraph, on the question of the college’s frowning on the disruption of classroom teaching, that the following statement is made: “The college cannot and will not tolerate behavior that interferes with or compromises responsible classroom teaching.” Now, what does the college mean when it tells its students that disruption of classes will not be tolerated in connection with responsible classroom teaching? What function does the word “responsible” serve and how does it operate in the implementation of this policy? THE WITNESS: Your Honor, I honestly don’t know, I have signed the document. It’s my document. I do not know what the context for the term responsible was. THE COURT: Do you think this might communicate a message to students who are disposed to disrupt classes that if, in their view, the teacher in the classroom is espousing irresponsible classroom teaching that such disruption would be sanctioned by the university? THE WITNESS: I cannot imagine that it would, given all the other policies that the college has and responsible here is not used in contrast to irresponsible. I would not know what that means. But I simply cannot give you the specific meaning for responsible, sir. Tr. 175-76. Dean Paul Sherwin testified at the trial that although students Pearl and Marshall were cited for violations of College regulations in the disruption of Professor Levin’s classes, and although they refused to appear to answer the charges, the disciplinary matter was not pursued, because to enforce the rules would have invited “chaos on the campus,” and “it was moving closer to the end of the semester.” Tr. 262. Dean George McDonald, Vice President for Student Affairs, testified that he is the College’s principal official responsible for student disciplinary matters, although final authority rests with President Harleston. Tr. 225. He agreed that through 1989 College policy unequivocally prohibited the use of bullhorns or amplification devices by demonstrating students during class hours. Tr. 228. Since 1989, the College’s disciplinary rules have specifically prohibited the violation of the rights of professors to teach and of students to learn free from external pressures or interference. These rights, the policy asserts, will be “guarded vigilantly”. PX 56. Rule 1 states that A member of the academic community shall not intentionally obstruct and/or forcibly prevent others from the exercise of their rights. Nor shall he/she interfere with the institution’s instructional services. Id. Any student violating this Rule “shall” be subject to sanctions. Id. However, Dean McDonald conceded that the College does not, as a policy, attempt to have security personnel forcibly terminate classroom disruptions by ejecting demonstrators, or summon local police to achieve this goal. The policy is to terminate the class, and proceed against disruptive student demonstrators later. Tr. 268-72. As noted, however, according to College officials, this was not done with respect to Pearl and Marshall, because of the College’s judgment that to have done so would have brought about chaos on the campus. It appears, therefore, that in circumstances such as those in which Professor Levin’s teaching rights were concededly injured by Pearl and Marshall, the College has no mechanism, as a practical matter, to either protect or vindicate the rights announced in its Rules and Regulations. Albert Dandridge, the Director of Security at the College, made the remarkable statement at trial that there have been student “disruptions” at the College every year of his service there, which has lasted twenty-two years. Tr. 304. “In many instances we have had professors who express views that are somewhat alien to some of the students. [The students] form pressure groups and attempt to get their way.” Id. He stated that since 1969, the police have had to be called onto the campus to restore order seven or eight times. Tr. 308. He also said that it is “a common occurrence” at City College for students to set fire to papers on a professor’s office door, grade announcements and such, and agreed with the Court’s observation that if a student gets failing grades, his response is sometimes not to study harder, but to torch the bad news. Tr. 311. The Shadow Sections After the appearance of his Quadrant book review, Professor Levin was summoned on October 21, 1988 to meet with then Philosophy Department Chairman Martin Tawny and Dean Sherwin. Professor Levin was requested by Chairman Tawny and Dean Sherwin to withdraw from teaching his required introductory Philosophy course, the next class session of which was to meet the following Monday. Among the reasons given by Dean Sherwin and Chairman Tawny for the request were that (1) there might be disruption of the class by demonstrators opposing Professor Levin’s recently published views; and (2) some persons in the class might feel uncomfortable being taught by one holding such views. The previous day, the Faculty Senate had passed a resolution condemning his views in the Quadrant article, as expressing “racist prejudices [offensive to] our fundamental notions of human decency”. PX 5. Following the meeting, Professor Levin agreed to withdraw from this class. At the time of the meeting, neither Dean Sherwin nor Chairman Tawny had any specific knowledge of particular demonstrations or disturbances being planned. There was no other occasion during the seven years of Sherwin’s deanship when a professor was asked to withdraw from a class for the reasons for which professor Levin was asked to withdraw during the October 21, 1988 meeting. On October 25,1988, President Harleston issued a memorandum, PX 6, to the City College faculty in which he proclaimed himself to have been “a proud witness” to the Faculty Senate’s discussion and condemnation of Professor Levin on October 20, 1988. President Harleston further suggested “that the Faculty Senate appoint a special faculty Committee to receive, investigate and make recommendations concerning any charges of bias related activities by faculty directed to or in interaction with students.” The Faculty Senate ignored this proposal. The following semester, Professor Levin resumed teaching his required introductory Philosophy course, and he was assigned to teach this course for the spring semester of 1990. Shortly after the appearance of his American Philosophical Association letter, Dean Sherwin, on February 1, 1990, (without prior notice) sent to Professor Levin’s students a letter, PX 10, stating that Professor Levin had “expressed controversial views” and informing them of the availability of a newly opened second section—a “shadow” or “parallel” section—of Professor Levin’s required introductory philosophy course to be taught by another instructor. Dean Sherwin also stated in that letter that he was “aware of no evidence suggesting that Professor Levin’s views on controversial matters have compromised his performance as an able teacher of Philosophy who is fair in his treatment of students.” The College Philosophy Department Chair, Professor Charles Evans, resisted Dean Sherwin’s suggestion that there be additional “shadow sections” for Professor Levin’s students, but Dean Sherwin established such a class on his own authority. Professor Evans believed such an action to be immoral and illegal, and an unwarranted interference in the discretionary powers of a department chairman. No other “shadow” or “parallel” section has ever been created for any course at the College in order to provide students with the opportunity to avoid being taught by a particular instructor. During the Spring 1990 semester, 36 students originally enrolled in Dr. Levin’s required introductory Philosophy section; after Sherwin’s February 1 letter, enrollment in this section was reduced to 27 and enrollment in the “shadow section,” reached 11. During the Fall 1990 semester, 19 students enrolled in Dr. Levin’s Philosophy section; 20 enrolled in the “shadow section” for this class. In prior years, enrollment in Dr. Levin’s Philosophy class meeting at this time had been between 30 and 40. Professor Levin wrote a letter to Dean Sherwin on February 7, 1990, PX 11, pointing out that many other faculty members had expressed controversial views on a variety of subjects without being “stigmatized” by the creation of a special shadow section so that students could escape exposure to those faculty members. Dean Sherwin replied in a February 17, 1990 letter, PX 12, in which he explained his position with the muddled invocation of the “Emersonian insistence that consistency is the hobgoblin of little minds.” While Dean Sherwin stated again in that letter that he had “no reason to suppose [Professor Levin’s teaching] is not being conducted in a highly professional way,” he claimed to be “concerned about the psychic damage your beliefs may inflict on those ... who come to trust your authority.” Dean Paul Sherwin testified that he had indeed sent a letter dated February 1, 1990 to Professor Levin’s students, in which he stated the following: You may know—and otherwise, I expect would soon learn from sources other than this letter—that Professor Levin has expressed controversial views on such issues as race, feminism and homosexuality. Last year the faculty Senate of the College registered its opposition to written statements by Professor Levin at the same time upholding his right as a faculty member to express his views without restraint. I should add that I am aware of no evidence suggesting that Professor Levin’s views on controversial matters have compromised his performance as an able teacher of Philosophy who is fair in his treatment of students. Taking into consideration the rights and sensitivities of all concerned, and wishing to permit informed freedom of choice for students ... I have in this instance decided to open a second [section] ... Tr. 187; PX 10. Dean Sherwin agreed that this action was unprecedented, id. and that it was condemned by the Faculty Senate. Tr. 197. He also conceded that prior to creating the shadow section to Professor Levin’s required course, he tried to persuade the chairman of the Philosophy Department, Professor Evans, to assign someone other than Professor Levin to teach the course, but Evans refused. Tr. 209. On February 15, 1990, Professor John Harbeson of the Political Science Department wrote a letter, PX 13, to Dean Sherwin on behalf of the Academic Freedom and Faculty Interest Committee expressing that body’s “concern[] about the implications of [Dean Sherwin’s February 1] letter for Professor Levin’s academic freedom.” Id. On May 8, 1990, a letter, PX 36, signed by forty-three academics from a variety of institutions was sent to Dean Sherwin. The letter reads in part: We, the undersigned, write to convey to you and the entire City College administration our growing alarm at your increasing encroachments on the academic freedom of Professor Michael Levin. Your peremptory removal of him from his introductory classes in mid-semester 1988, and your letter of incitement—9 February 1990—sent to some of his students this semester, suggesting that they might wish to remove themselves, constitute improper and dangerous precedents. That letter itself admits that neither Professor Levin’s speech, nor conduct in class, nor his grading patterns reflect in any way his scholarly or social views. If today Professor Levin may be deprived of his academic freedom because some dislike his views, whose academic freedom will be safe tomorrow? Though you may not have intended it, your actions give encouragement to the Nazi-like tactics of the student thugs who invaded Professor Levin’s classroom, to the dismay and disgust of his own students. Such an outrage bears too close a resemblance to escape comparison with the beginnings of the downfall of the great German universities some sixty years ago. Disagreement with any professor’s views, Levin’s included, is properly aired in public and scholarly debate. It does not license actions of the kind you or the invading students have taken. Academic allegiance ought properly to be only to the canons of reason and to rational debate. Dean Sherwin replied to that letter with his own of May 16,1990, and sent a copy of that reply, along with a cover note dated May 17, 1990, collectively PX 37, to each person who signed the May 8 letter to him. The text of that letter, which was silent on the matter of disruption of Professor Levin’s classes, is here partially set forth: lam... vexed by the claims that Levin’s treatment at CCNY invites a comparison to developments in Germany sixty or so years back. Myself I am reminded of people back then whose abuses of rhetoric contributed in no small measure to sustaining their views on “racial” inferiority/superiority. I should add that I am generally in agreement with the assertion in your “Dear Colleague” letter that “Academic freedom, if it is to mean anything, must mean at least this: that a professor may hold views others dislike, even abhor, and be free of harassment from his institution while holding them.” I too would support Professor Levin’s right to hold his views. The decisive question is whether my unwillingness to require any of our students to take a course with him constitutes “harassment.” My position in the academy requires me to be concerned about the entire educative process in our courses, and my principal concem has been that, upon learning of some of Professor Levin’s views (and all of his students certainly would soon have learned of these views, represented in a less dispassionate way than in my letter), some students might not be able to learn from him all that they should be learning in Philosophy 101 (“Reason, Knowledge, Values”), (emphasis added). On the issue of establishing the shadow sections to Professor Levin’s classes, President Harleston testified that he approved the decision to do so because what is at issue is “whether students are to be held hostage to a particular point of view that by its nature impugns numbers of them, or whether students should have a choice.” Tr. 153. The following colloquy then ensued between Professor Harleston and the Court: THE COURT: [H]ow does the University set about determining whether the views of a particular teacher warrant the creation of this option for the students? THE WITNESS: Sir, I think it’s inevitably ad hoc. That is the only way. There is no issue of a priori this, that or the other. Reference was made earlier to litmus test. There is no issue as to that. But there is an issue of behavior, and an issue of statements. And they become then, I believe, the valid, appropriate basis for the institution to make a response. THE COURT: For example, there is a problem in some University campuses about Creationism and Darwinian principles. If a number of students were offended by the ideas a professor had that were based on Darwinian principles, and felt that such views that man is descended from lower animal forms [were] broadly offensive to the dignity of large numbers of students, would that generalized finding of subjective concern on the part of students in your view require a university to create an option in its biology department to the views of a teacher espousing the principles of Charles Darwin? THE WITNESS: I don’t believe so. I don’t want to be self serving, sir. The distinction that I see is that the Creationism versus Darwinism, that distinction does not denigrate a group of people defining the characteristics over which they have no control, i.e., sex, race, what have you. That becomes an issue in which the target is focused on the denigrating of particular individuals because they belong to a particular class, and I am speaking now in the area of race, ethnicity, the areas I indicated, sir, the ones that are at the forefront, I believe in that setting, if you are concerned about the appropriate climate of learning, you can’t get it, from my point of view. THE COURT: In your view it’s the University administrator who makes this decision without regard to any subjective inquiry as to the feelings or views of the students in reaction to the particular professor’s views? THE WITNESS: Well, I wish that things were that simple, or maybe I don’t wish they were that simple. When these things happen, they happen. It is not the administration acting unilaterally. The climate, the range of responses. We had on the campus clear enough evidence in terms of the responses of faculty, students, and, indeed, even staff members with respect to what was happening in the climate of the college, was not some administrator sitting in some remote location making a judgment about the parallel course. THE COURT: In other words, it’s not a college administrator evaluating the views of, for example, the professor espousing Darwinism vis-a-vis the professor espousing Creationism and making some kind of theoretical assessment of whether or not these views would impact on a particular segment of students; but rather it’s responding to complaints on the campus, in other words, a hub-bub is sufficient to invoke these considerations and perhaps lead to the creation of shadow sections? ... Is it merely a function of he or she who speaks and complains the loudest and perhaps uses the most bullhorns, or is the most aggressive in terms of asserting a viewpoint, is that what is the ultimate factor in the decision of a university to create an alternate course? THE WITNESS: It is certainly not the hub-bub or the squeakiest wheel. It’s the accumulation, I believe it’s the accumulation of a number of inputs and reactions that lead you in part to say, wait a minute, something is not happening here, I don’t believe this is the proper environment for learning to take place. And that while one person has to do it, a dean made the decision in the context of what was doing in managing his division, but it is not a knee-jerk response to a single event. It is as best I can say it, the result of accumulation of responses and concerns that are really fed by faculty as well as students, sir. Tr. 153-59 (emphasis added). Finally, President Harleston stated that he presently has no plans to commence tenure revocation proceedings or disciplinary proceedings against Professor Levin. Tr. 170-71. The Fitness Inquiry In the Spring of 1990, President Harleston made a second request to the College Faculty Senate that it appoint a faculty Committee to investigate allegations of bias or racism then being made at the College, implicating the writings of Professor Levin. This time, the Chair of the Faculty Senate responded to President Harleston that the Executive Committee of the Faculty Senate did not support the proposal and felt that such a Senate Committee would have a “chilling effect.” PTO 17. Upon whom it did not say. A Faculty Senate Committee does not, under § 7.2 of the City University of New York By-Laws, have the authority to present disciplinary charges against a member of the faculty; the President of a college does. In the April 2, 1990 issue of The Campus, the college newspaper, President Harleston was reported in an article, PX 15, to have stated at a press conference on March 28 that an ad hoc Committee would be formed to examine whether Professor Levin’s views affect his teaching ability. “The process of removing a tenured professor is a complicated one,” Professor Harleston said. “Tenure is the life-blood of the College. When it works well it is the lifeblood.” President Harleston is also quoted in that article as expressing his opinion that “[Levin’s] views are offensive to the basic values of human equality and decency and simply have no place here at City College. ...” Id. President Harleston decided to appoint such a Committee himself. He solicited suggestions for its members from Dean McDonald and from College Provost Robert Pfeffer. Dean McDonald provided his suggestions in an April 20, 1990 memorandum to President Harleston, PX 25; Provost Pfeffer provided his in an April 24, 1990 memorandum to Harleston, PX 24. Not one of the persons on either of those two lists, or among the seven persons ultimately selected by President Harleston to serve on the Committee, has an academic background in philosophy. Dean McDonald had a role in the drafting and circulation of a petition published in the April 16, 1990 issue of the Campus, PX 16, which condemned Professor Levin’s published views as racist and sexist and questioned his suitability as a teacher and faculty advisor. Dean McDonald signed the petition, as did Dean Sherwin. Five of the fourteen names suggested by Dean McDonald in his April 20 memorandum to President Harleston for Committee membership were signatories to the petition; three of the seven President Harleston eventually chose for the Committee were signatories to the petition. In a May 4, 1990 memorandum, which President Harleston wrote and had circulated to the College community, he announced formally the appointment of the Presidential Committee of seven faculty members, asked “to review the question of when speech both in and outside the classroom may go beyond the protection of academic freedom or become conduct unbecoming a member of the faculty, or some other form of misconduct.” Ex. A to Complt. In performing this task, President Harleston “asked the Committee to specifically review information concerning Professor Michael Levin ... and to include in its report its recommendations concerning what the response of the College should be.” The memorandum stated that the Committee had been asked to report to President Harleston periodically on its progress, but gave no deadline for the completion of its work. When President Harleston wrote the memorandum, he was aware that the language he employed for the definition of the subject of the Committee’s inquiry—conduct unbecoming a member of the faculty—is the language in the University ByLaws and Professional Staff contract then in effect, warranting the imposition of discipline on a faculty member, and that such discipline under those authorities may include the revocation of tenure. Within several weeks of the release of this memorandum, President Harleston had conversations with at least two faculty members, Professor Evans and Sociology Department Chair, Professor Steven Goldberg, concerning the fact that three of the Committee members had signed the petition condemning Levin. President Harleston did not consider speaking to those three Committee members or the Committee chair about whether this might impair either the appearance or the fact of their impartiality for the task. A partial occupation of the College Administration building by students took place on May 8, 1990. President Harleston met with representatives of the students on May 9. In a May 14, 1990 memorandum, PX 66, he reported to the College Community on those talks. The memorandum states that the students expressed deep concern regarding the views of Professor Levin “and his continued presence on the faculty.” President Harleston informed the students that on May 4 he had announced the formation of the Committee with its defined task, in apparent response to their demand for the firing of Professor Levin. The Committee members decided to not meet with or invite any other persons (including Professor Levin) to speak before them, during the more than ten sessions conducted by them, except for Law School Dean Haywood Bums. Dean Bums addressed the Committee on one occasion on the topic of the First Amendment. On June 28, 1990, counsel for Dr. Levin wrote President Harleston, Dean Sherwin and the Committee members a letter protesting the continuing violation of Professor Levin’s rights and pointing out that the Committee’s existence continued to compel him to decline invitations to speak and write. On July 14, 1990, College Professor of Philosophy Stefan Baumrin wrote President Harleston a letter, PX 26, in which he stated that, “[t]he whole idea of either investigating or evaluating Levin’s remarks, or indeed convening any kind of Committee to look into the writing or speaking of a tenured professor in our university, or any respectable academic institution is anathema ... Any special proceedings along these lines should be stopped forthwith.” During October of 1990, Professor Levin received two written death threats in his campus mail box. Following and at least in part as a result of some or all of these incidents, the College Faculty Senate passed a resolution on November 15, 1990, PX 27, which read, in part: The Faculty Senate deplores as incompatible with the preservation of academic freedom any attempt by the administration or staff to change students course selections, or to influence students to change or reconsider their course selections, based on a faculty member’s views; The Faculty Senate deplores as a violation of academic freedom any attempt by the administration or staff to pressure department chairs to determine instructional assignments on the basis of a faculty member’s views; and The Faculty Senate calls upon the administration to take all available measures to prevent disruption of classes and to discipline those who attempt such disruption. The Report of President Harleston’s Ad Hoc Committee on Academic Rights and Responsibilities, was issued on February 5, 1991 and received in evidence as DX V. Its full text is as follows: The Ad Hoc Committee on Academic Rights and Responsibilities, in fulfillment of President Bernard Harleston’s charge to “review when speech both in and outside the classroom go beyond the protection of academic freedom or become conduct unbecoming a member of the faculty”, submits the following statement. This statement summarizes the Committee’s deliberations on academic freedom in the context of faculty utterances and behavior that may denigrate a group by virtue of its race, class, ethnic origins, religion, gender or sexual orientation. Academic Freedom First, the Committee affirms its commitment to the principles of academic freedom and free speech. We consider faculty entitlement to freedom in research and discussion crucial to the intellectual vigor of the College. In this context, the Committee wishes to emphasize that protection of these principles is not just for the faculty, but also for the students, as it is a fundamental precondition for an exciting, challenging and open intellectual atmosphere. The Learning Environment The Committee also believes that the College has an obligation to uphold students’ rights to a supportive learning environment. It finds that there are utterances by faculty, even outside of class, that can have a detrimental impact on the educational process. In particular, statements denigrating the intellectual capability of groups by virtue of race, ethnicity or gender have the clear potential to undermine the learning environment and to place students in academic jeopardy. It has been clearly established that a teacher’s low expectations frequently have a negative effect on student performance. Furthermore, it is insufficient for an instructor who has publicly denigrated a group’s intellectual capacity to argue that the general statement does not apply to the individuals in his or her class. It is, in fact, the student’s perception of an instructor’s low expectations that has the negative effect on academic performance. The issue of in-class behavior is conceptually more clear-cut. It is clearly unprofessional and inappropriate for any faculty member to make it difficult for a student to fully participate in a class by virtue of the student’s race, class, ethnic origins, religion, gender or sexual orientation. The fact that unfamiliar or controversial ideas have the potential to make some students uncomfortable is an inherent aspect of an open, vigorous learning environment. However, faculty have a responsibility to exercise appropriate restraint so as not to belittle a student, to prophesy the likelihood of his/her poor performance, or to, in any manner, undermine the equal educational opportunities of all students. Although there are existing mechanisms to deal with disciplining professors who harass students, they should be carefully reviewed in acknowledgment of the perception that the procedures for bringing redress are cumbersome and frequently ineffective. The Tension There is clearly tension between the institution’s need to protect academic freedom and free speech and its need to protect the learning environment when it is harmed by public utterances in the sense described above. There are other circumstances where such tension between rights occurs. An example is when an individual’s speech causes direct harm to another individual; the laws of slander and libel deal with such circumstances. The issue of speech that causes harm to a group by virtue of its race, class, ethnic origins, religion, gender or sexual preference is certainly more complex and one on which there is no clear consensus. Many institutions, including universities, are grappling with these general issues. We wish to emphasize, however, that in this report we are dealing with a narrower issue; that is, the issue of speech that can have a direct impact on the p