An Indiana statute, challenged in this suit as an infringement of free speech, requires that political advertising that “expressly advocat[es] the election or defeat of a clearly identified candidate” contain “a disclaimer that appears and is presented in a clear and conspicuous manner to give the reader' or observer adequate notice of the identity of persons who paid for ... the communication,” Ind.Code §§ 3-9-3-2.5(b)(1), (d), and makes violation a misdemeanor. § 3-14-1-3. “Disclaimer” is a misnomer; the correct word would be “disclоsure” — but as we’ll see, that word has been appropriated to describe a reporting requirement.
The district court dismissed the suit on jurisdictional grounds that we concluded were unsound,
*351
Although the
McIntyre
decision held that government may not forbid the distribution of anonymous campaign literature,
id.
at 357,
Although the Indiana statute is inapplicable to issue referendа (the only type of political campaign that
McIntyre
had considered), we realized when we first heard the appeal in this case that if the Indiana statute reached political advertising wholly independent of the candidate or his campaign organization, a serious constitutional question would be created. Interest groups contest issue referenda just as candidates and parties contest elections of officials, and so the public interest in knowing the source of an anonymous contribution to the debate is as great in the оne case as in the other, though it may be small in both if the contributor is an obscure individual. The Court in
McIntyre
said that “insofar as the interest in informing the electorate means nothing more than the provision of additional information that may either buttress or undermine the argument in a document, we think the identity of the speaker is no different from other components of the document’s content that the author is free to include or exclude,” and added that in the case of “a private citizen who is not known to the recipient, the name and address of the
*352
author add little, if anything, to the reader’s ability to evaluate the document’s message.”
Our doubts about the constitutionality of the Indiana statute if interpreted more broadly than the state thought it should be interpreted impelled us to certify to the Indiana Supreme Court, pursuant to 7th Cir. R. 52 and Ind.Code § 33-2-4-1, the following question:
Is the term “persons” in Ind.Code §§ 3-9-3-2.5(b)(l), (d) limited to candidates, authorized political committees or subcommittees of candidates, and the agents of such committees or subcommittees, or does it have a broader scope, and, if so, how much broader?
The litigation in our court then resumed. With the major constitutional challenge to the Bipartisan Campaign Reform Act (popularly known as the McCain-Feingold Act) pending in the Supremе Court, we decided to hold off on further consideration of the appeal until the case was decided, because the Act contains a provision rather similar to the Indiana statute challenged in this case. When the Supreme Court rendered its decision,
McConnell v. Federal Election Comm’n,
— U.S. -,
The constitutional issue now ripe for resolution is difficult because it entails a balancing of imponderables. On the one hand, forbidding anonymous politiсal advertising reduces the amount of political advertising because some would-be advertisers are unwilling to reveal their identity. On the other hand, the quality of the political advertising that continues to be produced and disseminated under such a regime is enhanced because the advertising contains additional information useful to the consumer. The avidity with which candidates for public office seek endorsements is evidence (as if any were needed) that the identity of a candidate’s supporters — and opponents — is information that the vоting public values highly. In areas of inquiry where logic or exact observation is unavailing, a speaker’s credibility often depends crucially on who he is. As Aristotle said, “persuasion is achieved by the speaker’s personal character when the speech is so spoken as to make us think him credible. We believe good men more fully and more readily than others: this is true generally whatever the question is, and absolutely true where exact certainty is impossible and opinions are divided.” Aristotle, Rhetoric, in 2 The Complete Works of Aristotle 2152, 2155 (Jonathan Barnes ed.1984). “Where exact certainty is imрossible and opinions are divided” is a pretty good description of politics.
Can we get help in answering the thorny question presented by this appeal from the case law, and in particular from the Supreme Court’s recent and very lengthy opinions in the
McConnell
case? The provision of the Bipartisan Campaign Reform Act that is analogous to the Indiana statute regulates “electioneering communications,” which are advertisements broadcast within 60 days of a general election or 30 days of a primary that refer to a candidate fоr federal office. 2 U.S.C. § 434(f)(3)(A)(i). Individuals who spend more than $10,000 producing such communications, or contribute at least $1,000 to
*353
an organization that produces them, must report (in the case of the contributions it is the recipient who must report) their identities to the Federal Election Commission. 2 U.S.C. §§ 434(f)(l)-(2). Without attempting to narrow the class of covered “individuals,” the Supreme Court upheld this provision on the ground that it served “important state interests ... [in] providing the electorate with information, deterring actual corruption and avoiding any appearance therеof, and gathering the data necessary to enforce more substantive electioneering restrictions.” — U.S. at -,
True, what is required is disclosure to an agency rather than disclosure in the political ad itself, though, as is apparent from the Court’s reference to “providing the electorate with information,” the identity of the contributor is available to the public rather than secreted by the FEC. 2 U.S.C. §§ 434(a)(ll)-(12), (d)(2). That may not seem a big difference from the standpoint of protecting the advertiser from retaliation, but the Court had earlier indicated that having to identify itself to the entire audience for the ad has as a practical matter a greater inhibiting effect than just a reporting requirement does because it broadcasts the advertiser’s name to the entire electoral community.
Buckley v. American Constitutional Law Foundation, Inc.,
The Court in
McIntyre
thought “the intrusion” on freedom of political advocacy brought about by a reporting requirement was “a far cry from compelled self-identification on all election-related writings,”
The only reference to
McIntyre
by the majority in
McConnell
appears in a footnote that distinguishes “genuine issue ads” from “regulation of campaign speech” and assumes that restrictions constitutionally applicable to the latter, such as the restrictions both in the Bipartisan Campaign Reform Act and in the Indiana statute, might not be applicable to the former;
McIntyre
is cited noncommittally as having invalidated a “statute banning the distribution of anonymous campaign literature.” —— U.S. at - n. 88,
An alternative interpretation, however, is that because the Bipartisan Campaign Reform Act and therefore the McConnell decision are about campaign financing, the decision is inapplicable to people who pay for political ads themselves, since they are not engaged in fund-raising. On that reading, McIntyre, which was such a case, is unaffected by McConnell, and so the Indiana statute, which is also about requiring self-financiers to identity themselves, is condemned by McIntyre’s holding. But camрaign financing and fund-raising are not synonyms, as the argument assumes; and the Bipartisan Campaign Reform Act is not just about fund-raising — the relevant provision that the Court upheld applies equally to self-financed and other-financed ads. The disclosure statement must be filed by “every person who makes a disbursement for the direct costs of producing and airing electioneering communications in an aggregate amount in excess of $10,000 during any calendar year,” whether he produces the ad himself or gives the money to someone else to produce it, 2 U.S.C. § 434(f)(1); аnd sections 434(a)(6)(B) and (E) expressly impose a requirement of reporting campaign disbursements by a candidate from his personal funds. And the first governmental interest that the Court recited in upholding the provision' — that it would provide the electorate with information — is applicable to self-financed ads. An ad might seem disinterested, but if the voting public knew who had paid for it — maybe it was an interest group that the candidate was known to have done favors for — the existence of an interest might be revealed. To draw the constitutional line between self- and оther-financed campaign ads would be to deliver a gratuitous benefit to wealthy candidates and wealthy supporters of candidates.
But what must give us considerable pause, in light of the distinction the Supreme Court has drawn between “disclosure” (reporting one’s identity to a public agency) and “disclaimer” (placing that identity in the ad itself), is the fact that the Indiana statute requires the latter and not merely the former.
Buckley v. American Constitutional Law Foundation, Inc., supra,
The Indiana Supreme Court, recognizing this last point, did a bit of judicial legerdemain, expanding the statutory exemption for mailings of up to 100 pieces of “mail” that are “substantially similar,” Ind.Code § 3-9-3-2.5(a)(9), “to include any form of delivery of any written material, including personal delivery or use of some service other than use of the United States Postal Service,” with the result that “Indiana’s law permits some individual pamphleteer-ing and applies only to candidate elections.”
Majors v. Abell, supra,
As an original matter it could be objected that speech and the press would no longer be free if the government could insist that every speaker and every writer add to his message information that the government deems useful to the intended audience for the message, and that it is arbitrary for the government to single out the identity of the writer or speaker and decree that that information, though no other that potential voters might value as much or more, must be disclosed. But the Supreme Court crossed that Rubicon in McConnell. Reluctant, without clearer guidance from the Court, to interfere with state experimentation in the baffling and conflicted field of campaign finance law without guidance from authoritative precedent, we hold that the Indiana statute is constitutional.
The decision of the district court is modified to place the dismissal of the suit on the merits, and as so modified is
AFFIRMED.
Four decisions of the Supreme Court hold or strongly imply that the ability to speak anonymously- — and thus with less concern for repercussions- — is part of the “freedom of speech” protected by the first amendment against governmental interference.
Talley v. California,
There have been times and places in the United States when opposing elected political officials risked both wealth and health. Decisions such as
O’Hare Truck Service, Inc. v. Northlake,
According to my colleagues, the answer lies in the fact that
McConnell v. Federal Election Commission,
— U.S. -, -,
Still, the Justices’ failure to discuss
McIntyre,
or even to cite
Talley, American Constitutional Law Foundation,
or
Watchtower,
makes it impossible for courts at our level to make an informed decision — for the Supreme Court has not told us what principle to apply. Does
McConnell
apply to all electioneering? All speakers? To primary communications (as opposed to notices sent to agencies)? The Supreme Court wrote that § 304 is valid because it is (in the view of five Justices) a wise balance among competing interests. Yet the function of the first amendment is to put the regulation of speech off limits to government
even if
regulation is deemed wise. See
American Booksellers Ass’n v.
*357
Hudnut,
Footnote 88 to the lead opinion in
McConnell,
— U.S. at - n. 88,
Doubtless “a speaker’s credibility often depends crucially on who he is.”
Trade associations and other interest groups will hаve little difficulty complying with Indiana’s law.’ Factions that hope to secure political favors enjoy legal counsel who specialize in election matters. Professionals in the field not. only will assure compliance but also will- exploit the inevit *358 able loopholes. The identity of these interest groups is no mystery; many operate from marble-clad buildings and deploy full-time lobbyists. Statutes such as Indiana’s have their real bite when flushing small groups, political clubs, or solitary speakers into the limelight, or reducing them to silence. Indiana’s statute, which requires disclosure from the first dollar of speech, bears especially heavily on political outsiders. Indiana has essentially forbidden all spontaneous political speech, perhaps all electioneering by individuals and small groups. Before favoring or opposing any candidate, a would-be speaker must navigate a thicket of rules.
These laws and regulations are written in language that only specialists can fathom. For example, Indiana requires a “disclaimer” of identity; yet, as my colleagues observe, the state uses this word tо mean the opposite of its normal connotation. In everyday language, a disclaimer is a repudiation or denial of responsibility. In Indiana’s election code, however, that word denotes a statement
accepting
responsibility or authorship — a
pro
claimer (or just a “disclosure”) rather than a
dis
claimer. Getting through this kind of double-talk requires help. Even a lawyer might not be enough: answering the question that we had certified, the Supreme Court of Indiana held that both the state’s executive branch and the federal district judge had misunderstood the law’s coverage.
Majors v. Abell,
Often the Supreme Court says that even a small fee or tax, or a short delay in obtaining a free license (as in
Watchtower),
is an unacceptable burden on speech. Cf.
United States v. Playboy Entertainment Group, Inc.,
Indiana does not contend that requiring disclosure by plaintiffs Carol Antun, Perry Metzger, and Bruce Martin — who want to use their own resources to speak on behalf of candidates of the Libertarian Party (and oppose incumbents, for libertarians do not occupy any major office in Indiana)' — -is essential to avert a material risk of underground favor-trading or bribery. Nor does the state try to justify mandatory disclosure by any truly independent speaker. Instead Indiana contends that it is entitled to regulate all electioneering by every speaker in order to avoid drawing lines. Given McConnell, I cannot be confident that my colleagues are wrong in thinking that five Justices will go along. But I also do not understand how that position can be reconciled with established principles of constitutional law.
