No. 98-933
In the Supreme Court of the United States
OCTOBER TERM, 1998
APOLLOMEDIA CORPORATION, APPELLANT
v.
JANET RENO, ATTORNEY GENERAL
ON APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF CALIFORNIA
MOTION TO DISMISS OR AFFIRM
SETH P. WAXMAN
Solicitor General
Counsel of Record
DAVID W. OGDEN
Acting Assistant Attorney General
EDWIN S. KNEEDLER
Deputy Solicitor General
JAMES A. FELDMAN
Assistant to the Solicitor
General
BARBARA L. HERWIG
JACOB M. LEWIS
Attorneys
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
QUESTION PRESENTED
Whether 47 U.S.C. 223(a)(1)(A) (Supp. II 1996)- which prohibits persons
in interstate and foreign communications from initiating, by means of a
"telecommunications device," the transmission of any communication
that is "obscene, lewd, lascivious, filthy, or indecent" with
the "intent to annoy, abuse, threaten, or harass another person"-is
limited to communications that are obscene.
In the Supreme Court of the United States
OCTOBER TERM, 1998
No. 98-933
APOLLOMEDIA CORPORATION, APPELLANT
v.
JANET RENO, ATTORNEY GENERAL
ON APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF CALIFORNIA
MOTION TO DISMISS OR AFFIRM
OPINION BELOW
The opinion of the three-judge district court (J.S. App. 1a-43a) is reported
at 19 F. Supp. 2d 1081.
JURISDICTION
The district court's order was entered on the docket on September 24, 1998.
The notice of appeal was filed on October 9, 1998. The jurisdiction of this
Court is invoked under 28 U.S.C. 1253.1
STATEMENT
1. From 1968 to 1996, federal law imposed criminal penalties on any person
who
in the District of Columbia or in interstate or foreign communication by
means of telephone * * * makes any comment, request, suggestion or proposal
which is obscene, lewd, lascivious, filthy, or indecent.
47 U.S.C. 223(a)(1)(A)(1994). Section 223(a)(2) imposed criminal penalties
on anyone who "knowingly permits any telephone facility under his control
to be used" for the above purposes.
In 1996, as part of the Telecommunications Act, Section 223(a) was amended
to impose criminal penalties on any person who
in interstate or foreign communications by means of a telecommunications
device knowingly * * * makes, creates, or solicits, and * * * initiates
the transmission of, any comment, request, suggestion, proposal, image,
or other communication which is obscene, lewd, lascivious, filthy, or indecent,
with intent to annoy, abuse, threaten, or harass another person.
47 U.S.C. 223(a)(1)(A) (Supp. II 1996). See Communications Decency Act of
1996 (CDA), Pub. L. No. 104-104, § 502, 110 Stat. 133. The amended
Section 223(a)(2) imposes criminal penalties on anyone who "knowingly
permits any telecommunications facility under his control" to be used
for the above above purposes "with the intent that it be used for such
activity." 47 U.S.C. 223(a)(2)(Supp. II 1996).
As relevant in this case, the 1996 Act made a number of changes in Section
223(a)(1)(A). It broadened the scope of liability from use of a "telephone"
to use of a "telecommunications device"; it added the "knowingly"
requirement; and it added "image or other communication" to the
previous listing of "comment, request, suggestion or proposal."
The 1996 Act also added the requirement that the communication had to be
made "with intent to annoy, abuse, threaten, or harass any other person."
47 U.S.C. 223(a)(1)(C) (Supp. II 1996). The 1996 Act did not, however, change
one important part of Section 223(a)(1)(A)-the basic characterization of
the communication that is forbidden; the amended version, like the earlier
version, imposes liability only if the transmitted item is "obscene,
lewd, lascivious, filthy, or indecent." This case involves the meaning
of those terms.
2. Appellant Apollomedia Corporation is a San Francisco-based company that
maintains an Internet website-at "www.annoy.com"-intended to permit
persons to communicate views to public figures using language that, appellant
alleges, may be considered indecent in some communities. J.S. App. 4a-5a.
One section of appellant's website, for example, is designed to permit persons
to construct, from preselected options, anonymous e-mail messages to public
figures named in articles by freelance authors taking provocative positions
on various issues. Id. at 5a n.5. Another section permits persons to send
"digital postcards" over the Internet by creating a postcard at
a specific location on the website and by e-mailing instructions to the
intended recipient explaining how to retrieve the postcard. Ibid.
On January 30, 1997, appellant filed suit in federal district court seeking
to enjoin the enforcement of 47 U.S.C. 223(a)(1)(A)(ii) and (2) on the ground
that the provisions on their face violate appellant's First Amendment rights,
as well as the First Amendment rights of visitors to its website, to make
indecent communications with the intent to annoy their recipients. Pursuant
to Section 561(a) of the CDA, 110 Stat. 142, a three-judge court was convened
to hear the suit.
3. After briefing and argument, the court denied appellant's motion for
a preliminary injunction and dismissed appellant's complaint. J.S. App.
1a-43a. Although the court held that appellant had standing to assert its
claims, id. at 8a-13a, the court agreed with the government that 47 U.S.C.
223(a)(1)(A) proscribes only obscene speech, to which the protections of
the First Amendment do not extend. J.S. App. 15a, 34a- 35a.2
Referring to the statutory specification of the prohibited communications
("obscene, lewd, lascivious, filthy, or indecent"), the court
observed that, beginning with Roth v. United States, 354 U.S. 476 (1957),
this Court had construed statutory words "nearly identical to those
employed in § 223(a)(1)(A), to refer solely to 'obscenity.'" J.S.
App. 18a. See Roth, 354 U.S. at 491 (construing 18 U.S.C. 1461's prohibition
against the knowing use of the mails to transport any publication that is
"obscene, lewd, lascivious, or filthy . . . or * * * of an indecent
character"); Manual Enters., Inc. v. Day, 370 U.S. 478, 482-483 (1962)
(opinion of Harlan, J.) (any matter that is "obscene, lewd, lascivious,
indecent, filthy or vile"); Hamling v. United States, 418 U.S. 87,
114 (1974) (same). See also United States v. 12 200-ft. Reels of Super 8
MM Film, 413 U.S. 123, 130 n.7 (1973) ("obscene," "lewd,"
"lascivious," "filthy," "indecent," or "immoral").
"These cases demonstrate," the court observed, "that, in
the context of print media and film, the Supreme Court has read statutory
'strings of words' almost identical to that employed in § 223(a)(1)(A)
to proscribe only material constituting obscenity." J.S. App. 21a.
The district court rejected appellant's reliance on two decisions of this
Court which had held other federal statutes to reach speech that was indecent
but not obscene-FCC v. Pacifica Foundation, 438 U.S. 726 (1978) (construing
18 U.S.C. 1464's prohibition against "obscene, indecent or profane"
broadcasts), and Sable Communications, Inc. v. FCC, 492 U.S. 115 (1989)
(con-struing 47 U.S.C. 223(b)'s prohibition against "obscene or indecent"
prerecorded telephone messages). As the court explained: "the 'string
of words' employed in § 223(a)(1)(A) more closely resembles in both
length and syntax the 'string of words' used in 18 U.S.C. § 1461, as
interpreted in Roth, Manual Enterprises, and Hamling, than the words at
issue in Pacifica and Sable." J.S. App. 23a. Moreover, the court stated,
the Roth interpretation of Section 1461 to encompass only obscene speech
"prevailed at the time that the predecessor statute to § 223(a)(1)(A),
which employed the same 'string of words' as employed in § 223(a)(1)(A),
was enacted." Ibid. Lastly, the court observed, the Federal Communications
Commission (FCC) "has long interpreted § 1464 as encompassing
more than the obscene," ibid. (quoting Pacifica, 438 U.S. at 741),
but "[t]here is no similar history of governmental regulation with
respect to § 223(a)(1)(A)." Ibid.
The court found "no indication" that when Section 223(a)(1)(A)
was first enacted in 1968, "the provision was intended to proscribe
'indecent' speech that is not 'obscene.'" J.S. App. 24a. In addition,
the court observed, the legislative record of the CDA "does not state
that Congress sought to change the nature of the speech proscribed by the
provision" when it amended Section 223(a)(1)(A) in 1996. J.S. App.
25a. The court was aware that the conference report on the CDA discussed
"Congress' intent to limit 'indecent' communications" in certain
instances, but it noted that those discussions "are limited to those
parts of the report which address the perceived need to protect minors from
harmful communications," id. at 26a, and that the CDA contained separate
provisions proscribing the transmission of "obscene or indecent"
or "patently offensive" communications to persons under 18 years
of age. Id. at 25a. See 47 U.S.C. 223(a)(1)(B) and (d)(1) (Supp. II 1996).
The court also emphasized that while a few Senators opposed to the CDA stated
that Section 223(a)(1)(A) "would proscribe merely 'indecent' communications
made with an intent to annoy," there was no indication "that the
CDA's sponsors, or the legislature generally, shared this view, nor does
the conference report reflect such an intent on Congress' part." J.S.
App. 28a.
The district court rejected appellant's contention that its interpretation
would render Section 223(a)(1)(A) redundant of the federal obscenity prohibitions
of 18 U.S.C. 1462 and 1465 that the CDA extended to Internet communications.
J.S. App. 31a. The court observed that the use of a "telecommunications
device" to which Section 223(a)(1)(A) applies, "is not the equivalent
of the use of an 'interactive computer service' under § 1462 and §
1465." J.S. App. 31a (citing 47 U.S.C. 223(h)(1)(B) (Supp. II 1996)).
The court also rejected the contention that because obscene speech is unprotected
by the Constitution, Section 223(a)(1)(A)'s requirement that prohibited
communications be made with "intent to annoy" serves no purpose.
The court explained that the intent requirement "clarifies Congress'
intent that the statute proscribe only obscene communications between non-consenting
adults." J.S. App. 34a.
In the end, taking into account the canon that "federal statutes are
to be construed so as to avoid serious doubts as to their constitutionality,"
J.S. App. 34a, the court determined that it was "'fairly possible'
to read § 223(a)1)(A) as applying only to 'obscene' communications,"
and that "[s]o construed, the provision would clearly survive constitutional
challenge." J.S. App. 35a.
Judge Illston dissented. J.S. App. 35a-43a. She agreed that Congress could
constitutionally prohibit the transmission of obscene communications over
the Internet, but disagreed that Section 223(a)(1)(A) should be read to
cover only obscenity. J.S. App. 35a. Stating that "[t]he present debate
over the language * * * seems academic," she would have declared the
statute "as written" to be unconstitutional and severed "the
terms other than 'obscene' * * * from it." Id. at 43a.
ARGUMENT
This appeal should be dismissed. Appellant could have had standing at the
outset of this case only insofar as appellant had a well-founded fear of
prosecution under Section 223(a)(1)(A) for transmitting indecent- but not
obscene-material by means of a telecommunications facility. In the unusual
circumstances of this case, any such fear was redressed by the combination
of the district court's judgment holding that appellant could not be prosecuted
for transmitting indecent material under Section 223(a)(1)(A) and by the
reiteration in this case of the consistent position taken by the Department
of Justice that Section 223(a)(1)(A) does not to extend to indecent communications
that are not obscene. These factors combined to eliminate any well-founded
fear of prosecution appellant might once have had. Because standing must
be demonstrated not merely at the outset of a case, but also at each successive
stage of the case through appeal and final judgment, the fact that appellant
no longer has any well-founded fear of prosecution eliminates its standing
to appeal.
If the Court should conclude that appellant does have standing to appeal,
the judgment of the court below should be summarily affirmed, because it
is clearly correct. Section 223(a)(1)(A) prohibits the transmission of communications
that are "obscene, lewd, lascivious, filthy, or indecent." This
Court has long limited the reach of virtually identical language in other
federal criminal statutes to obscene communication that is unprotected by
the Constitution. Moreover, this Court's decisions reaching that result
were relatively recent at the time Congress adopted the "obscene, lewd,
lascivious, filthy, or indecent" formulation in 1968, thus lending
special force to the presumption that Congress legislated with this Court's
decisions regarding the meaning of those statutory terms in view. Although
Congress changed several other terms in Section 223(a)(1)(A) in 1996, it
left the "obscene, lewd, lascivious, filthy, or indecent" formulation
untouched, thus indicating that it intended no change in the settled meaning
of that formulation. Indeed, nothing in the legislative history of either
the 1968 enactment or the 1996 amendment suggests that Congress intended
a broader meaning. And even if there were any significant doubt about the
matter, it would be appropriately resolved by the well-settled canon of
construction that federal statutes are to be read to avoid-rather than magnify-constitutional
doubts.
There is, in short, no basis for either an exercise of appellate jurisdiction
or plenary review by this Court. Appellant challenges the district court's
holding that Section 223(a)(1)(A) applies only to obscene communications,
arguing that it reaches as well indecent communications that are not obscene.
But appellant does so only as a predicate for its further contention that
Section 223(a)(1)(A), as so construed, is unconstitutional precisely because
it then would extend beyond obscene communications. And as relief appellant
seeks a remand of the case to the district court "for the entry of
appropriate equitable relief prohibiting enforcement of the statute except
as to obscene material" (J.S. 25)-which is, of course, the very scope
the district court has already given to Section 223(a)(1)(A) as a statutory
matter. Article III of the Constitution does not recognize a litigable stake
in such an exercise. But if the Court should conclude otherwise, that stake
is so attenuated-especially in view of the position of the Department of
Justice, reiterated in this case, that it will not bring a prosecution under
Section 223(a)(1)(A) unless the communication at issue was obscene-that
there is no basis in equity for this Court to disturb the district court's
denial of injunctive relief. Accordingly, if the Court were to conclude
that appellant has standing to appeal, the lack of equity would supply an
independent ground-in addition to the correctness of the district court's
construction of Section 223(a)(1)(A) -for the Court to summarily affirm
the judgment below.
1. Article III of the Constitution limits the jurisdiction of the federal
courts to "cases" and "controversies." Valley Forge
Christian College v. Americans United for Separation of Church & State,
Inc., 454 U.S. 464, 471 (1982). One element of this "bedrock requirement,"
ibid., is that a party that seeks judicial relief in the federal courts
must demonstrate that it has standing to sue. Raines v. Byrd, 521 U.S. 811,
818 (1997). Standing is an Article III requirement that "must be met
by persons seeking appellate review, just as it must be met by persons appearing
in courts of first instance." Arizonans for Official English v. Arizona,
520 U.S. 43, 64 (1997); see also Steffel v. Thompson, 415 U.S. 452, 459
n.10 (1974) ("The rule in federal cases is that an actual controversy
must be extant at all stages of review, not merely at the time the complaint
is filed.").
When a plaintiff seeks an injunction barring future prosecution under a
law on the ground that it may be applied to him, the plaintiff "must
demonstrate a realistic danger of sustaining a direct injury as the result
of the statute's operation or enforcement." Babbitt v. United Farm
Workers, 442 U.S. 289, 298 (1979). See also City of Los Angeles v. Lyons,
461 U.S. 95, 102 (1983) (plaintiff must "show that he 'has sustained
or is immediately in danger of sustaining some direct injury' as the result
of the challenged official conduct and the injury or threat of injury must
be both 'real and immediate,' not 'conjectural' or 'hypothetical'").
That rule is applicable even to plaintiffs who assert that the injury they
suffer is a chilling of their First Amendment rights of free speech. Where
a plaintiff "has alleged threats of prosecution that cannot be characterized
as 'imaginary or speculative'" and his concern with arrest for his
allegedly constitutionally protected conduct is not "chimerical,"
"it is not necessary that [the plaintiff] first expose himself to actual
arrest or prosecution to be entitled to challenge a statute that he claims
deters the exercise of his constitutional rights." Steffel, 415 U.S.
at 459. But "persons having no fears of state prosecution except those
that are imaginary or speculative, are not to be accepted as appropriate
plaintiffs." Babbitt, 442 U.S. at 298. "Allegations of a subjective
'chill' are not an adequate substitute for a claim of specific present objective
harm or a threat of specific future harm." Laird v. Tatum, 408 U.S.
1, 13-14 (1972).
The injury that appellant sought to redress in this case is what the district
court found to be its fear of prosecution under Section 223(a)(1)(A) for
communications that are indecent, but not obscene. J.S. App. 8a-11a. That
fear was at most marginally sufficient to support standing at the inception
of this case, since appellant did not and could not allege that there had
been any threat by anyone to prosecute it under Section 223(a)(1)(A) or,
indeed, that anyone had in recent decades been threatened with prosecution
under Section 223(a)(1)(A) for communications that were indecent, but not
obscene.3 But whatever fear of prosecution appellant might have had at the
outset of the case became entirely remote, speculative, and conjectural
after the district court's ruling. Accordingly, appellant had no standing
to appeal that ruling.
a. First, the core of the district court's opinion in this case was its
express holding that "the provisions [challenged by appellant] regulate
only 'obscene' communications." J.S. App. 1a. That holding would have
collateral estoppel effect against the government should it ever attempt
to prosecute appellant for indecent communications under Section 223(a)(1)(A).4
As this Court explained in United States v. Stauffer Chemical Co., 464 U.S.
165, 169 (1984), a party may make defensive use of collateral estoppel against
the government if "there was mutuality of parties," "the
issue sought to be relitigated was identical to the issue already unsuccessfully
litigated in [the earlier] court," and there has "been no change
in controlling facts or legal principles since the [earlier] action."
All of those conditions would appear to be satisfied here. Accordingly,
the district court's holding that Section 223(a)(1)(A) applies only to obscene
communications, and therefore does not apply to the conduct appellant alleged
it engages in, would generally preclude the United States from prosecuting
appellant for the conduct appellant alleged in this case. See also 464 U.S.
at 170-171 (rejecting the government's argument that collateral estoppel
does not apply to pure questions of law, and noting that "the doctrine
of collateral estoppel can apply to preclude relitigation of both issues
of law and issues of fact if those issues were conclusively determined in
a prior action"). That alone would eliminate any well-founded fear
of prosecution that appellant might have, and it accordingly would eliminate
appellant's standing to appeal.
To be sure, the Court in Stauffer Chemical left open the possibility that
collateral estoppel might not be applicable against the government in one
additional circumstance: if the legal issue already decided arose in new
litigation between the government and the same private party in a circuit
that had accepted the government's view of the governing law. See 464 U.S.
at 174. That possibility, however, is extremely remote here. No court has
ruled that Section 223(a)(1)(A), either before or after its amendment in
1996, applies to communications that are indecent, but not obscene. Accordingly,
even if the government believed that Section 223(a)(1)(A) applied to non-obscene
but indecent communications and wanted to prosecute appellant, but see pp.
14-16, infra, there is no court in the country in which the United States
could, at this time, bring such a prosecution without being subject to collateral
estoppel. Before appellant could be prosecuted under Section 223(a)(1)(A)
for non-obscene, indecent communications, the United States would have to
alter its official position and conclude that Section 223(a)(1)(A) applied
to communications that are indecent, but not obscene; some other individual
would have to be prosecuted under that theory, and the theory would have
to be accepted on appeal by a court of appeals; venue for a prosecution
of appellant would have to lie in that circuit; the question left open in
Stauffer Chemical regarding whether collateral estoppel would apply in that
situation to bar the government from prosecuting appellant in that same
circuit would have to be decided in favor of the government; and the government
would have to surmount any other due process objections that appellant may
raise to such a prosecution, see p. 15, infra. The remote possibility that
that series of events could occur surely does not constitute the sort of
well-founded fear of prosecution necessary to support any continued standing
by appellant to appeal this case.
b. Second, on February 19, 1998, during the course of the proceedings in
the district court in this case, John C. Keeney, the then-Acting Assistant
Attorney General for the Criminal Division, instructed all United States
Attorneys of the position of the Department of Justice with respect to the
scope of Section 223(a)(1)(A) after enactment of the CDA. He pointed out
that prior to its amendment by the CDA, "the United States Attorneys
Manual interpreted this provision as prohibiting obscene remarks,"
App., infra, 2a (quoting United States Dep't of Justice, United States Attorney's
Manual 9-63.410 (1992)). He then stated that after its amendment, "[c]onsistent
with the pre-CDA interpretation of this provision, * * * the provision *
* * continued to be limited to obscene communications, albeit by telecommunications
device." App., infra, 2a. The notification also instructed United States
Attorneys that "[t]his interpretation of the statute shall govern the
conduct of your office." App, infra, 3a (emphasis added). The notification
was filed in the district court in this case. See Notice of Filing, Feb.
27, 1998.
In the light of that assurance of the government's position, repeated in
the government's filings in this case both in the district court and in
this Court, appellant would have a substantial due process objection to
any prosecution brought against it under Section 223(a)(1)(A) for communications
that are indecent, but not obscene-at least unless and until the government
gave formal notice of a change in its position and appellant had the opportunity
either to challenge the government's new position or to conform its conduct
to that changed position. Cf. Raley v. Ohio, 360 U.S. 423, 438 (1959) (referring
to "convicting a citizen for exercising a privilege which the State
clearly had told him was available" as "the most indefensible
sort of entrapment"); United States v. Pennsylvania Indus. Chem. Corp.,
411 U.S. 655, 674 (1973) ("[T]o the extent that the regulations deprived
[defendant] of fair warning as to what conduct the Government intended to
make criminal, we think there can be no doubt that traditional notions of
fairness inherent in our system of criminal justice prevent the Government
from proceeding with the prosecution."); see also United States v.
Laub, 385 U.S. 475, 487 (1967) ("Ordinarily, citizens may not be punished
for actions undertaken in good faith reliance upon authoritative assurance
that punishment will not attach."); Cox v. Louisiana, 379 U.S. 559,
571 (1965) (reversing convictions of the defendant for picketing "near"
a courthouse, where "the highest police officials of the city, in the
presence of the Sheriff and Mayor," advised the defendant "that
a demonstration at the place it was held would not be one 'near' the courthouse
within the terms of the statute").
Accordingly, even if the district court's order, with its collateral estoppel
effect, were insufficient alone to remove any well-founded fear of prosecution
that appellant might once have had, the addition of the repeated and official
assurances of the Department of Justice that it construes Section 223(a)(1)(A)
to apply only to obscene communications would be sufficient to render any
remaining fear of prosecution chimerical. As a result, although appellant
did not obtain the injunction it sought from the district court, the net
effect is that the only basis on which appellant had standing in this case-its
allegedly well-founded fear of prosecution- has been entirely redressed.
Its appeal therefore should be dismissed.
2. If this Court does not dismiss this appeal, it should summarily affirm
the judgment below.
a. Section 223(a)(1)(A) prohibits a person from using a telecommunications
device to transmit any communication "which is obscene, lewd, lascivious,
filthy, or indecent," if he has the requisite "intent to annoy,
abuse, threaten, or harass." 47 U.S.C. 223(a)(1)(A) (Supp. II 1996).
While this Court has never interpreted the scope of the string of words
used in Section 223(a)(1)(A), it has had occasion to examine virtually identical
series of words in other federal criminal statutes. In each case, the Court
has determined that the string is limited to speech that is obscene and
does not apply to speech that is merely indecent.
Thus, in Roth v. United States, 354 U.S. 476, 485 (1957), this Court upheld
the constitutionality of 18 U.S.C. 1461 on the ground that "obscenity
is not within the area of constitutionally protected speech or press."
As then at issue, Section 1461 imposed criminal penalties on anyone who
mailed any "obscene, lewd, lascivious, or filthy book, pamphlet, picture,
paper, letter, writing, print, or other publication of an indecent character."
See 354 U.S. at 479 n.1. It was argued that the statute violated due process
on the ground that the language was "not sufficiently precise because
they do not mean the same thing to all people, all the time, everywhere."
Id. at 491. Rejecting that argument, this Court held that the statute, "applied
according to the proper standard for judging obscenity, [did] not offend
constitutional safeguards against convictions based upon protected material,
or fail to give men in acting adequate notice of what is prohibited."
Id. at 492. Roth thus "found, in effect, that in spite of the range
of terms employed in the statute, 18 U.S.C. § 1461 only proscribes
obscene speech." J.S. App. 18a-19a.
The Court returned to the subject five years later in Manual Enterprises,
Inc. v. Day, 370 U.S. 478 (1962), which overturned an administrative ruling
under an amended version of 18 U.S.C. 1461 that prohibited the mailing of
matter found to be "obscene, lewd, lascivious, indecent, filthy or
vile." In announcing the judgment of the Court, Justice Harlan emphasized
that even though the words of the statute "have different shades of
meaning, the statute since its inception has always been taken as aimed
at obnoxiously debasing portrayals of sex," 370 U.S. at 482-483, i.e.,
"only indecent material which, as now expressed in Roth v. United States,
* * * 'taken as a whole appeals to prurient interest.'" Id. at 484.
The Court adhered to this approach after it refined its test for obscenity
in Miller v. California, 413 U.S. 15 (1973). In United States v. 12 200-Ft.
Reels of Super 8MM Film, 413 U.S. 123 (1973), and United States v. Orito,
413 U.S. 138 (1973), the Court rejected constitutional challenges to 19
U.S.C. 1305(a), which prohibited the importation of "obscene or immoral"
material, and 18 U.S.C. 1462, which prohibited the shipment in interstate
commerce of matter that is "obscene, lewd, lascivious, or filthy *
* * or * * * of indecent character." In doing so, the Court emphasized
that "[i]f and when * * * a 'serious doubt' is raised as to the vagueness
of the words 'obscene,' lewd,' 'lascivious,' 'filthy,' 'indecent' or 'immoral'
as used to describe regulated material in 19 U.S.C. § 1305(a) and 18
U.S.C. § 1462 * * * we are prepared to construe such terms as limiting
regulated material to patently offensive representations or descriptions
of that specific 'hard core' sexual conduct given as examples in Miller
v. California." 12 200-Ft. Reels, 413 U.S. at 130 n.7. The Court did
just that in rejecting a vagueness challenge to 18 U.S.C. 1461 the next
year in Hamling v. United States, 418 U.S. 87, 110-116 (1974), holding that
the terms-"obscene, lewd, lascivious, indecent, filthy or vile"-are
"limited to the sort of 'patently offensive representations or descriptions
of that specific hard core sexual conduct given as examples in Miller v.
California.'" 418 U.S. at 114 (quoting 12 200-Ft. Reels, 413 U.S. at
130 n.7).
Thus, in decisions rendered both before and after 47 U.S.C. 223(a)(1)(A)
was first enacted in 1968 to prohibit "obscene, lewd, lascivious, filthy,
or indecent" telephone conversations, see Pub. L. No. 90-299, §
1, 82 Stat. 112, this Court had interpreted virtually identical terms in
other federal criminal statutes to encompass only speech that is obscene
and not indecent. Congress is presumed to be aware of such settled prior
judicial interpretation, North Star Steel Co. v. Thomas, 515 U.S. 29, 34
(1995); Cannon v. University of Chicago, 441 U.S. 677, 698 (1979), and where,
as here, the legislature adopts a statutory formulation that has been given
a specific meaning by this Court, it is reasonable to conclude that Congress
intended the formulation to be construed in accordance with the prior judicial
construction.
b. There is no indication in the legislative history of the 1968 enactment
to suggest that Congress intended the provision's reach to extend to telephone
calls involving speech that is indecent without being obscene. The House
Report described the purpose of the statute as prohibiting "obscene,
abusive, or harassing telephone calls," 5 but nowhere suggested that
the term "indecent" was to have independent significance. H.R.
Rep. No. 1109, 90th Cong., 2d Sess. 2 (1968). The Federal Communications
Commission, in its comments on the proposed enactment, similarly described
its reach as limited to "obscene or harassing telephone calls."
Id. at 7-8. And in the course of legislative consideration, the Department
of Justice informed Congress that the statutory phrase would survive constitutional
challenge, resting its opinion on the decision in Roth that obscenity falls
outside the protections of the First Amendment. See Abusive and Harassing
Telephone Calls: Hearings on S. 2825 and S. 3072 Before the Subcomm. on
Communications of the Sen. Comm. on Commerce, 89th Cong., 2d Sess. 27 (1966)
(Letter from Deputy Attorney General Ramsey Clark to Committee Chairman
Magnuson).
c. Relying on FCC v. Pacifica Foundation, 438 U.S. 726 (1978), and Sable
Communications, Inc. v. FCC, 492 U.S. 115 (1989), appellant contends (J.S.
9) that the indecent materials covered by 47 U.S.C. 223(a)(1)(A) should
be "recognized as distinct" from those that are obscene. But Pacifica
and Sable interpreted different statutes employing different language, and
they did so years after Section 223(a)(1)(A) was first enacted.
At issue in Pacifica was 18 U.S.C. 1464, which forbids the use of "any
obscene, indecent or profane language" by means of radio communications.
This Court treated the statute as regulating speech that is indecent without
being obscene in light of the FCC's longstanding interpretation of the statute
"as encompassing more than the obscene," 438 U.S. at 741, and
taking into account Congress's broader powers to regulate broadcasting under
the First Amendment. Id. at 741-742 & n.17. In Sable, there was even
less doubt about Congress' intent: the statute at issue prohibited "obscene
or indecent" commercial telephone communications, see 492 U.S. at 123
n.4, and had been modified during the litigation to "specifically place[]
the ban on obscene commercial telephone messages in a subsection separate
from the prohibition against indecent messages." Id. at 124 n.6. In
addition, as the court below correctly noted (J.S. App. 23a), "the
'string of words' employed in § 223(a)(1)(A) more closely resembles
in both length and syntax the 'string of words' used in 18 U.S.C. §
1461, as interpreted in Roth, Manual Enterprises, and Hamling, than the
words at issue in Pacifica and Sable." 6
Appellant in addition contends that because Section 223(a)(1)(A) uses the
disjunctive-"obscene, lewd, lascivious, filthy, or indecent"-the
necessary implication is "that each has a separate meaning." J.S.
11 (quoting Pacifica, 438 U.S. at 739-40). But any such implication is rebutted
by this Court's prior interpretation of the virtually identical string of
words in Roth, Manual Enterprises, and Hamling, which recognized that, despite
the "different shades of meaning" associated with the words used
in the string, "the statute since its inception has always been taken
as aimed at obnoxiously debasing portrayals of sex." Manual Enters.,
370 U.S. at 483 (Harlan, J.). This Court has often relied on the canon of
statutory construction "noscitur a sociis"-"a word is known
by the company it keeps"-in order "to avoid ascribing to one word
a meaning so broad that it is inconsistent with its accompanying words,
thus giving 'unintended breadth to the Acts of Congress.'" Gustafson
v. Alloyd Co., 513 U.S. 561, 575 (1995) (quoting Jarecki v. G.D. Searle
& Co., 367 U.S. 303, 307 (1961)). That canon is appropriately applied
in this case to fix the meaning of the single word "indecent"
in the longer statutory string. See, e.g., Flying Eagle Publications, Inc.
v. United States, 273 F.2d 799, 803 (1st Cir. 1960) (explaining that, in
construing 18 U.S.C. 1461, "the words 'indecent, filthy or vile' as
used in the statute are limited in their meaning by the preceding words
'obscene, lewd, lascivious'"); United States v. Keller, 259 F.2d 54,
57 (3d Cir. 1958) (applying doctrine to hold that, in construing 18 U.S.C.
1463, "language of an 'indecent' character must be equated with language
of an 'obscene' character").
d. There is no basis for concluding that, in amending Section 223(a)(1)(A)
in 1996 as part of the CDA, Congress intended to affect the interpretation
of the statutory phrase it had adopted in 1968. The 1996 amendments left
the string of words at issue-"obscene, lewd, lascivious, filthy, or
indecent" -unchanged. Compare Pub. L. No. 90-299, § 1, 82 Stat.
112, with 47 U.S.C. 223(a)(1)(A) (Supp. II 1996). That alone suggests that
Congress did not intend to modify the prior interpretation of that language.
Pierce v. Underwood, 487 U.S. 552, 567 (1988).
The legislative record relating to the 1996 amendments also does not show
that Congress intended to expand the scope of the statute beyond obscene
speech. The Conference Report simply explains that the Senate bill, which
was adopted with minor modifications, "updates section 223(a) * * *
by using the term 'telecommunications service' as a replacement for or in
addition to 'telephone' references in the present law," and that "[t]he
term 'communication' is added to current law references to 'conversation.'"
H.R. Conf. Rep. No. 458, 104th Cong., 2d Sess. 187 (1996). The report also
observes that the Senate bill added "[a]n intent requirement * * *
[so] that liability is incurred for 'obscene, lewd, lascivious, filthy,
or indecent' communications with the intent to 'annoy, abuse, threaten,
or harass another person.'" Ibid. The legislation's sponsor similarly
stated that the bill's intent was merely to "give law enforcement new
tools to prosecute those who would use the computer to make the equivalent
of obscene telephone calls, to prosecute electronic stalkers who terrorize
their victims." 141 Cong. Rec. S8330 (daily ed. June 14, 1995) (statement
of Sen. Exon); see also id. at S8333 (statement of Sen. Coats) ("What
we are doing here is not new, * * * We are taking the standards adopted
by the Senate, by the Congress, signed into law, that apply to the use of
these kinds of communications over the phone wires and applied it, now,
over the computer wires.").
In contending that Congress in 1996 intended Section 223(a)(1)(A) to reach
"far beyond obscenity" (J.S. 20), appellant takes out of context
a statement in the Conference Report that "the conferees intend that
the term indecency * * * has the same meaning as established in FCC v. Pacifica
Foundation, 438 U.S. 726 (1978), and Sable Communications, Inc. v. FCC,
492 U.S. 115 (1989)." H.R. Conf. Rep. No. 458, supra, at 188. As the
court below noted (J.S. App. 26a), that statement was made in the section
of the report discussing the provisions of the CDA dealing with the transmission
of "obscene or indecent" and "patently offensive" material
to minors. See 47 U.S.C. 223(a)(1)(B) and (d) (Supp. II 1996). The portions
of the report preceding the sentence quoted by appellant thus explain that
"[n]ew subsection [47 U.S.C.] 223(d)(1) applies to content providers
who send prohibited material to a specific person or persons under 18 years
of age * * * [and] who post indecent material for online display without
taking precautions that shield that material from minors." H.R. Conf.
Rep. No. 458, supra, at 188 (emphasis added). Those portions also state
that it was "[n]ew section 223(d)(1)," not section 223(a)(1)(A),
that codified Pacifica's indecency definition. Ibid. Similarly, the sentence
following the one quoted by appellant emphasizes that Pacifica and Sable
"establish the principle that the federal government has a compelling
interest in shielding minors from indecency." Ibid. (emphasis added).
Appellant points to several statements by opponents of the CDA during the
Senate floor debate that Section 223(a)(1)(A) would reach speech that is
indecent but not obscene. J.S. 20-22. But "[t]he fears and doubts of
the opposition are no authoritative guide to the construction of legislation."
Schwegmann Bros. v. Calvert Distillers Corp., 341 U.S. 384, 394- 395 (1951).
Accordingly, this Court has "often cautioned against the danger, when
interpreting a statute, of reliance upon the views of its legislative opponents,"
since "[i]n their zeal to defeat a bill, they understandably tend to
overstate its reach." NLRB v. Fruit & Vegetable Packers & Warehousemen
Local 760, 377 U.S. 58, 66 (1964). Accord Edward J. DeBartolo Corp. v. Florida
Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 585 (1988).
Appellant can point to no statement by any of the CDA's supporters that
adopted the view of Section 223(a)(1)(A) espoused by its opponents, and
"[t]here is no indication * * * that the CDA's sponsors, or the legislature
generally, shared this view." J.S. App. 28a.
e. Appellant complains (J.S. 8-9, 13-14) that the district court's construction
of 47 U.S.C. 223(a)(1)(A) gives the term "indecent" in that subsection
a meaning different from that in 47 U.S.C. 223(a)(1)(B) (Supp. II 1996),
which prohibits "obscene or indecent" communications to minors,
see Reno v. American Civil Liberties Union, 521 U.S. 844 (1997), and 47
U.S.C. 223(b)(2), which prohibits indecent communications "by means
of telephone * * * for commercial purposes." See Sable, 492 U.S. at
126. But "[i]t is not unusual for the same word to be used with different
meanings in the same act, and there is no rule of statutory construction
which precludes the courts from giving to the word the meaning which the
legislature intended it should have in each instance." Atlantic Cleaners
& Dyers, Inc. v. United States, 286 U.S. 427, 433 (1932). In this case,
the term "indecent" as used in Section 223(a)(1)(A) has a history
and context that is distinctly different from that of either of the other
provisions in Section 223 upon which appellant relies, and there is no reason
to presume that its construction should be modified to fit that of other
provisions, with different histories and embodying different purposes, which
were added later.
Appellant also claims that the district court's construction renders 47
U.S.C. 223(a)(1)(A) "redundant of other federal laws criminalizing
the communication of obscenity by computer, like 18 U.S.C. § 1465."
J.S. 15. But Section 1465, which prohibits the interstate transportation
of obscene matter for distribution, applies to materials transmitted through
the use of "an interactive computer service." 18 U.S.C. 1465 (Supp.
II 1996). Section 223(a)(1)(A), by contrast, applies to obscene matter transmitted
by use of a "telecommunications device." The two terms are not
the same. An "interactive computer service" is "any information
service, system, or access software provider that provides or enables computer
access by multiple users to a computer server, including * * * a service
* * * that provides access to the Internet." 47 U.S.C. 230(e)(2) (Supp.
II 1996). In contrast, as appellant acknowledges (J.S. 3 n.1), "'telecommunications
devices' include telephones, computer modems and fax machines." See
American Civil Liberties Union v. Reno, 929 F. Supp. 824, 828 n.5 (E.D.
Pa. 1996), aff'd, 521 U.S. 844 (1997). See also 47 U.S.C. 223(h)(1)(B) (Supp.
II 1996) (specifically providing that "[t]he use of the term 'telecommunications
device' in this section * * * does not include an interactive computer service").
To be sure, there is an area of overlap between the two provisions, but
that is hardly unusual where federal legislation is concerned. See Babbitt
v. Sweet Home Chapter of Communities for a Great Oregon, 515 U.S. 687, 703
(1995); Russello v. United States, 464 U.S. 16, 24 n.2 (1983) (even if there
are "factual situations to which [two] subsections apply," an
overlapping interpretation is not foreclosed where the two subsections are
"not wholly redundant").
Finally, appellant asserts that interpreting Section 223(a)(1)(A) as limited
to obscene communications renders its "intent to annoy" requirement
"surplusage," because "obscene communications can be proscribed
regardless of such intent." J.S. 12. But Congress always remains free
to legislate short of constitutional boundaries. In this case, the legislative
history shows that Congress intended in part to "codify Court and FCC
interpretations that [the statute] applies to communications between non-consenting
parties." 141 Cong. Rec. S8091 (daily ed. June 9, 1995) (statement
of Sen. Exon). See J.S. App. 33a-34a (discussing United States v. Carlin
Communications, Inc., 815 F.2d 1367, 1372 (10th Cir. 1987), and Cohalan
v. New York Tel. Co., 55 Rad. Reg. 2d (P & F) 1249 (FCC Mar. 7, 1984).
There is nothing questionable about interpreting Section 223(a)(1)(A) to
prohibit only those obscene communications that are made with an intent
to annoy.
f. In the end, even if doubts regarding the meaning of 47 U.S.C. 223(a)(1)(A)
were more substantial, there would be no basis for overturning the district
court's interpretation. It is well settled that "an Act of Congress
ought not be construed to violate the Constitution if any other possible
construction remains available." NLRB v. Catholic Bishop, 440 U.S.
490, 500 (1979). See generally Public Citizen v. United States Department
of Justice, 491 U.S. 440, 466 (1989); Crowell v. Benson, 285 U.S. 22, 62
(1932). Accordingly, "where an otherwise acceptable construction of
a statute would raise serious constitutional problems, the Court will construe
the statute to avoid such problems unless such construction is plainly contrary
to the intent of Congress." Edward J. DeBartolo Corp., 485 U.S. at
575.
Appellant vigorously contends that if 47 U.S.C. 223(a)(1)(A) is construed
to reach communications that are indecent and not obscene, even with the
limitation that such communications must be made with the intent "to
annoy, abuse, threaten, or harass another person," the statute is unconstitutional.
J.S. 23-27. If appellant is correct, then the district court was under a
duty in accordance with this Court's precedents to determine whether there
remained an alternative construction of the statute by which the constitutional
question could be avoided. In this case, given this Court's decisions construing
virtually identical language, it is plainly possible to read Section 223(a)(1)(A)
as applying only to obscene communications. Appellant makes no claim that,
as so construed, the statute would be unconstitutional-indeed, appellant
concedes that "obscene communications can be proscribed" by Congress.
J.S. 12. It was thus entirely appropriate for the district court to interpret
Section 223(a)(1)(A) to reach only those indecent communications that are
also obscene.
CONCLUSION
The appeal should be dismissed. In the alternative, the judgment of the
district court should be summarily affirmed.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
DAVID W. OGDEN
Acting Assistant Attorney General
EDWIN S. KNEEDLER
Deputy Solicitor General
JAMES A. FELDMAN
Assistant to the Solicitor
General
BARBARA L. HERWIG
JACOB M. LEWIS
Attorneys
MARCH 1999
APPENDIX
[Department of Justice caption omitted]
February 19, 1998
MEMORANDUM FOR ALL UNITED STATES ATTORNEYS
FROM: /s/ JCK John C. Keeney
Acting Assistant Attorney General
SUBJECT: Instructions on Interpretation of 47 U.S.C. § 223(a)(1)(A),
Part of the Communications Decency Act.
On February 8, 1996, the President signed the Telecommunications Act of
1996, which contained the Communications Decency Act ("CDA").
The CDA amended, inter alia, 47 U.S.C. § 223(a)(1)(A) to prohibit by
means of a telecommunications device transmissions of obscene, lewd, lascivious,
filthy, or indecent materials with the intent to annoy, abuse, threaten,
or harass another person. See 47 U.S.C. §§ 223(a)(1)(A), as amended
by Title V, Section 502 of the Telecommunications Act of 1996.
As originally enacted in 1968, 47 U.S.C. § 223(1(A) lacked an intent
requirement and prohibited using a "telephone" "in the District
of Columbia or in interstate or foreign communication" to "make[]
any comment, request, suggestion or proposal which is obscene, lewd, lascivious,
filthy or indecent." The United States Attorneys Manual interpreted
this provision as prohibiting "obscene remarks." See U.S. Attys.
Man 9-63.410 (1992) (section 223(a) "makes it a federal offense for
any person, by means of a telephone in the District of Columbia or in interstate
or foreign communication, to * * * [m]ake any obscene remark[.]").
See also, U.S. Attys. Man. 9-75.093 (1998) and Criminal Resource Manual
at 1979 (47 U.S.C. § 223(a)(1)(A) (obscene phone calls)).
A lawsuit was recently filed in which plaintiff challenged solely the CDA's
prohibition on "indecent" communications intended to "annoy"
another person as unconstitutionally vague and overbroad on its face and
as applied. See Apollomedia Corp. v. Reno, No. 97-346 (N.D. Ca.). Consistent
with the pre-CDA interpretation of this provision, the Department took the
position in opposing plaintiff's motion for preliminary injunction that
the provision at issue continued to be limited to obscene communications,
albeit by telecommunications device. Oral argument on the still-pending
motion was held on October 20, 1997.
This interpretation of the statute shall govern the conduct of your office.
In addition, the Child Exploitation and Obscenity Section ("CEOS")
of the Criminal Division continues to have supervisory responsibility over
section 223. Thus, "[c]onsultation with the Section is required before
any criminal prosecution may be instituted [there]under[.]" U.S. Attys.
Man. 9-75.020 ("Authorization and General Prosecution Policies- Department
Priorities").
1 Section 1253 provides for a direct appeal to this Court from an order
granting or denying an injunction in any case required by an Act of Congress
to be decided by a district court of three judges. See J.S. 1. Section 561(a)
of Pub. L. No. 104-104, 110 Stat. 142, requires that any civil action challenging
the constitutionality, on its face, of any provision of the Communications
Decency Act of 1996, shall be heard by a three-judge district court. See
J.S. 1. Section 561(b), 110 Stat. 143, authorizes a direct appeal to this
Court from judgments, decrees or orders holding unconstitutional all or
part of the Communications Decency Act, and any amendment made by that Act.
Because the district court's order upheld the constitutionality of 47 U.S.C.
223(a)(1)(A), Section 561(b) is inapplicable to this case.
2 Because the court recognized that liability under 47 U.S.C. 223(a)(2)
"is only established by proving a violation of 47 U.S.C. § 223(a)(1),"
it did not engage in a separate analysis of 47 U.S.C. 223(a)(2). J.S. App.
16a n.11.
3 We are aware of only one instance, 29 years ago, in which anyone was prosecuted
under Section 223(a)(1)(A) for communications that may have been indecent,
but not obscene. See United States v. Darsey, 431 F.2d 963 (5th Cir. 1970).
In that case, it appears that the government in fact charged the defendant
with obscene communications. See id. at 963 ("The first two counts
charged the use of obscene language in interstate telephone calls.").
Accordingly, the case is best explained as a possible misapplication of
the obscenity standard, rather than as a prosecution under a theory that
the communications were indecent, but not obscene.
4 Collateral estoppel is available against the government in criminal cases.
See Dowling v. United States, 493 U.S. 342, 347 (1990).
5 Besides prohibiting telephone conversations that involved "obscene,
lewd, lascivious, filthy, or indecent" language, the 1968 statute also
prohibited persons from making anonymous telephone calls with the intent
to "annoy, abuse, threaten, or harass any person at the called number,"
or causing the telephone of another "repeatedly or continuously to
ring, with intent to harass any person at the called number," or make
repeated telephone calls, "during which conversation ensues, solely
to harass any person at the called number." Pub. L. No. 90-299, §
1, 82 Stat. 112. Those provisions remain in current law. See 47 U.S.C. 223(a)(1)(C),
(D), and (E) (Supp. II 1996).
6 Appellant also cites Denver Area Educational Telecom-munications Consortium
v. FCC, 518 U.S. 727 (1996), and National Endowment for the Arts v. Finley,
118 S. Ct. 2168 (1998) (see J.S. 9-11), but those decisions interpreted
statutory language that bears even less resemblance to that employed in
47 U.S.C. 223(a)(1)(A). See Denver Area, 518 U.S. at 732-733 (reviewing
constitutionality of federal statute governing the carriage of cable programming
containing "patently offensive" depictions of "sexual or
excretory activities or organs"); Finley, 118 S. Ct. at 2173 (reviewing
constitutionality of statute requiring the NEA to "tak[e] into consideration
general standards of decency and respect for the diverse beliefs and values
of the American public" in establishing regulations concerning grant
decisions).