SMITH v. UNITED STATES
No. 75-1439
Supreme Court of the United States
Argued December 8, 1976—Decided May 23, 1977
431 U.S. 291
Howard E. Shapiro argued the cause for the United States. On the brief were Solicitor General Bork, Assistant Attorney General Thornburgh, and Jerome M. Feit.*
MR. JUSTICE BLACKMUN delivered the opinion of the Court.
In Miller v. California, 413 U. S. 15 (1973), this Court rejected a plea for a uniform national standard as to what
I
Between February and October 1974 petitioner, Jerry Lee Smith, knowingly caused to be mailed various materials from Des Moines, Iowa, to post office box addresses in Mount Ayr and Guthrie Center, two communities in southern Iowa. This was done at the written request of postal inspectors using fictitious names. The materials so mailed were delivered through the United States postal system to the respective postmasters serving the addresses. The mailings consisted of (1) issues of “Intrigue” magazine, depicting nude males and females engaged in masturbation, fellatio, cunnilingus, and sexual intercourse; (2) a film entitled “Lovelace,” depicting a nude male and a nude female engaged in masturbation and simulated acts of fellatio, cunnilingus, and sexual intercourse; and (3) a film entitled “Terrorized Virgin,” depicting two nude males and a nude female engaged in fellatio, cunnilingus, and sexual intercourse.
II
For many years prior to 1974 the statutes of Iowa made it a misdemeanor to sell or offer to sell or to give away “any obscene, lewd, indecent, lascivious, or filthy book, pamphlet,
In 1973, however, the Supreme Court of Iowa, in response to the standards enunciated in Miller v. California, supra, unanimously held that a related and companion Iowa statute,
On July 1, 1974,
In 1976, the Iowa Legislature enacted a “complete revision” of the State‘s “substantive criminal laws.” This is entitled the “Iowa Criminal Code” and is generally effective January 1, 1978. The existing definition of “obscene material” remains unchanged, but a new provision,
“Any person who knowingly sells or offers for sale material depicting a sex act involving sado-masochistic abuse, excretory functions, a child, or bestiality which the average adult taking the material as a whole in applying contemporary community standards would find that it appeals to the prurient interest and is patently offensive; and the material, taken as a whole, lacks serious literary, scientific, political, or artistic value shall, upon conviction be guilty of a simple misdemeanor.”
In summary, therefore, we have in Iowa (1) until 1973 state statutes that proscribed generally the dissemination of obscene writings and pictures; (2) the judicial nullification of some of those statutory provisions in that year for reasons of overbreadth and vagueness; (3) the enactment, effective July 1, 1974, of replacement obscenity statutes restricted in their application to dissemination to minors; and (4) the enactment in 1976 of a new Code, effective in 1978, with obscenity provisions, somewhat limited in scope, but not restricted in application to dissemination to minors.
Petitioner‘s mailings, described above and forming the basis of his federal prosecution, took place in 1974, after the theretofore existing Iowa statutes relating to obscene material had been nullified by Wedelstedt, but obviously before the 1976 legislation imposing misdemeanor liability with respect to certain transactions with adults becomes effective. Because
Thus, what petitioner did clearly was not a violation of state law at the time he did it. It is to be observed, also, that there is no suggestion that petitioner‘s mailings went to any nonconsenting adult or that they were interstate.
III
Petitioner was indicted on seven counts of violating
At the trial the Government introduced into evidence the actual materials covered by the indictment. It offered nothing else on the issue of obscenity vel non. Petitioner did not testify. Instead, in defense, he introduced numerous sexually explicit materials that were available for purchase at “adult” bookstores in Des Moines and Davenport, Iowa, several advertisements from the Des Moines Register and Tribune, and a copy of what was then c. 725 of the Iowa Code, prohibiting the dissemination of “obscene material” only to minors. At the close of the Government‘s case, and again at the close of all the evidence, petitioner moved for a directed verdict of acquittal on the grounds, inter alia, that the Iowa obscenity statute, proscribing only the dissemination of obscene materials to minors, set forth the applicable community standard, and that the prosecution had not proved that the materials at issue offended that standard.
The District Court denied those motions and submitted the case to the jury. The court instructed the jury that contemporary community standards were set by what is in fact
The jury found petitioner guilty on all seven counts. He was sentenced to concurrent three-year terms of imprisonment, all but three months of which were suspended, and three years’ probation.
In his motion for a new trial, petitioner again asserted that Iowa law defined the community standard in a
The United States Court of Appeals for the Eighth Circuit,
We granted certiorari in order to review the relationship between state legislation regulating or refusing to regulate the distribution of obscene material, and the determination of contemporary community standards in a federal prosecution. 426 U. S. 946 (1976).
IV
The “basic guidelines” for the trier of fact in a state obscenity prosecution were set out in Miller v. California in the form of a three-part test:
“(a) whether ‘the average person, applying contemporary community standards’ would find that the work, taken as a whole, appeals to the prurient interest . . .; (b) whether the work depicts or describes, in a patently offensive way, sexual conduct specifically defined by the applicable state law; and (c) whether the work, taken as a whole, lacks serious literary, artistic, political, or scientific value.” 413 U. S., at 24 (citations omitted).
In two companion cases, the Court held that the Miller standards were equally applicable to federal legislation. United States v. 12 200-ft. Reels of Film, 413 U. S. 123, 129-130 (1973) (importation of obscene material,
The phrasing of the Miller test makes clear that contemporary community standards take on meaning only when they are considered with reference to the underlying questions of fact that must be resolved in an obscenity case.6 The test
The issue we must resolve is whether the jury‘s discretion to determine what appeals to the prurient interest and what is patently offensive is circumscribed in any way by a state statute such as c. 725 of the Iowa Code. Put another way,
Obviously, a state legislature would not be able to define contemporary community standards in a vacuum. Rather, community standards simply provide the measure against which the jury decides the questions of appeal to prurient interest and patent offensiveness. In Hamling v. United States, the Court recognized the close analogy between the function of “contemporary community standards” in obscenity cases and “reasonableness” in other cases:
“A juror is entitled to draw on his own knowledge of the views of the average person in the community or vicinage from which he comes for making the required determination, just as he is entitled to draw on his knowledge of the propensities of a ‘reasonable’ person in other areas of the law.” 418 U. S., at 104-105.
It would be just as inappropriate for a legislature to attempt to freeze a jury to one definition of reasonableness as it would be for a legislature to try to define the contemporary community standard of appeal to prurient interest or patent offensiveness, if it were even possible for such a definition to be formulated.
This is not to say that state legislatures are completely foreclosed from enacting laws setting substantive limitations for obscenity cases. On the contrary, we have indicated on several occasions that legislation of this kind is permissible. See Hamling v. United States, 418 U. S., at 114; Miller v. California, 413 U. S., at 25. State legislation must still define the kinds of conduct that will be regulated by the State. For example, the Iowa law in effect at the time this prosecution was instituted was to the effect that no conduct aimed at
If a State wished to adopt a slightly different approach to obscenity regulation, it might impose a geographic limit on the determination of community standards by defining the area from which the jury could be selected in an obscenity case, or by legislating with respect to the instructions that must be given to the jurors in such cases. In addition, the State might add a geographic dimension to its regulation of obscenity through the device of zoning laws. Cf. Young v. American Mini Theatres, Inc., 427 U. S. 50 (1976). It is evident that ample room is left for state legislation even though the question of the community standard to apply, when appeal to prurient interest and patent offensiveness are considered, is not one that can be defined legislatively.
An even stronger reason for holding that a state law regulating distribution of obscene material cannot define contemporary community standards in the case before us is the simple fact that this is a federal prosecution under
Our decision that contemporary community standards must be applied by juries in accordance with their own understanding of the tolerance of the average person in their community does not mean, as has been suggested, that obscenity convictions will be virtually unreviewable. We have stressed before that juries must be instructed properly, so that they consider the entire community and not simply their own subjective reactions, or the reactions of a sensitive or of a callous minority. See Miller v. California, 413 U. S., at 30. The type of conduct depicted must fall within the substantive limitations suggested in Miller and adopted in Hamling with respect to
Petitioner argues that a decision to ignore the Iowa law will have the practical effect of nullifying that law. We do not agree. In the first place, the significance of Iowa‘s decision in 1974 not to regulate the distribution of obscene materials to adults is open to question. Iowa may have decided that the resources of its prosecutors’ offices should be devoted to matters deemed to have greater priority than the enforcement of obscenity statutes. Such a decision would not mean that Iowa affirmatively desired free distribution of those materials; on the contrary, it would be consistent with a hope or expectation on the State‘s part that the Federal Government‘s prosecutions under statutes such as
Arguments similar to petitioner‘s “nullification” thesis were made in cases that followed Stanley v. Georgia, 394 U. S. 557 (1969). In United States v. 12 200-ft. Reels of Film, 413 U. S. 123 (1973), the question was whether the United States constitutionally might prohibit the importation of obscene material that was intended solely for private, personal use and possession. See
In this case, petitioner argues that the Court has recognized the right of States to adopt a laissez-faire attitude toward regulation of pornography, and that a holding that
Even though the State‘s law is not conclusive with regard to the attitudes of the local community on obscenity, nothing we have said is designed to imply that the Iowa statute should not have been introduced into evidence at petitioner‘s trial. On the contrary, the local statute on obscenity provides rele-
V
A. We also reject petitioner‘s arguments that the prospective jurors should have been asked about their understanding of Iowa‘s community standards and Iowa law, and that
B. Neither do we find
VI
Since the Iowa law on obscenity was introduced into evidence, and the jurors were told that they could consider it as evidence of the community standard, petitioner received everything to which he was entitled. To go further, and to make the state law conclusive on the issues of appeal to prurient interest and patent offensiveness, in a federal prosecution under
The judgment of the Court of Appeals is affirmed.
It is so ordered.
MR. JUSTICE POWELL, concurring.
I join the Court‘s opinion and write to express my understanding of the relative narrowness of the questions presented.
At the time petitioner engaged in the conduct at issue here, Iowa law placed no limits on the distribution of obscene materials to adults. If Iowa law governs in this federal
The first question, easily answered, is whether Congress intended to incorporate state obscenity statutes into
The federal statute goes to the constitutional limit, reaching all pornographic materials not protected under the First Amendment. See Marks v. United States, 430 U. S. 188, 195 (1977). Under Miller local community standards play an important role in defining that limit. The second question, therefore, is whether “community standards,” as that concept is used in Miller, necessarily follow changes in a State‘s statutory law. Again, I agree with the Court‘s conclusion that they do not. A community may still judge that materials are patently offensive and that they appeal to the prurient interest even though its legislature has chosen, for whatever reason, not to apply state criminal sanctions to those who distribute them. The state statute is relevant evidence of evolving community standards, and it was properly brought to the attention of the jury here. But it is not controlling in a prosecution under federal law.
I emphasize, however, that this case presents no question concerning the limits on a State‘s power to design its obscenity statutes as it sees fit or to define community standards as it chooses for purposes of applying its own laws. Within the boundaries staked out by Miller, the States retain broad latitude in this respect.
MR. JUSTICE BRENNAN, with whom MR. JUSTICE STEWART and MR. JUSTICE MARSHALL join, dissenting.
Petitioner was convicted after a jury trial in the United States District Court for the Southern District of Iowa of
I would reverse. I have previously stated my view that this statute is “clearly overbroad and unconstitutional on its face,” see, e. g., Millican v. United States, 418 U. S. 947, 948 (1974) (dissenting from denial of certiorari), quoting United States v. Orito, 413 U. S. 139, 148 (1973) (dissenting opinion).
MR. JUSTICE STEVENS, dissenting.
Petitioner has been sentenced to prison for violating a federal statute enacted in 1873.1 In response to a request, he mailed certain pictures and writings from one place in Iowa to another. The transaction itself offended no one2 and violated no Iowa law. Nevertheless, because the materials proved “offensive” to third parties who were not intended to see them, a federal crime was committed.
Although the Court‘s affirmance of this conviction represents a logical extension of recent developments in this area of the law, it sharply points up the need for a principled re-examination of the premises on which it rests. Because so much has already been written in this area, I shall merely endeavor to identify certain weaknesses in the Court‘s “offensiveness” touchstone3 and then to explain why I believe
I
A federal statute defining a criminal offense should prescribe a uniform standard applicable throughout the country. This proposition is so obvious that it was not even questioned during the first 90 years of enforcement of the Comstock Act under which petitioner was prosecuted.4 When the reach of the statute is limited by a constitutional provision, it is even more certain that national uniformity is appropriate.5 Nevertheless, in 1963, when Mr. Chief Justice Warren concluded that
The conclusion that a uniformly administered national standard is incapable of definition or administration is an insufficient reason for authorizing the federal courts to engage in ad hoc adjudication of criminal cases. Quite the contrary, it is a reason for questioning the suitability of criminal prosecution as the mechanism for regulating the distribution of erotic material.
The most significant reasons for the failure to define a national standard for obscenity apply with equal force to the use of local standards. Even the most articulate craftsman finds it easier to rely on subjective reaction rather than concrete descriptive criteria as a primary definitional source.9 The diversity within the Nation which makes a single standard of offensiveness impossible to identify is also present within each of the so-called local communities in which litigation of this
Indeed, in some ways the community standard concept is even more objectionable than a national standard. As we have seen in prior cases, the geographic boundaries of the relevant community are not easily defined, and sometimes appear to be subject to elastic adjustment to suit the needs of the
The question of offensiveness to community standards, whether national or local, is not one that the average juror can be expected to answer with evenhanded consistency. The average juror may well have one reaction to sexually oriented materials in a completely private setting and an entirely different reaction in a social context. Studies have shown that an opinion held by a large majority of a group concerning a neutral and objective subject has a significant impact in distorting the perceptions of group members who would normally take a different position.12 Since obscenity is by no means a neutral subject, and since the ascertainment of a community standard is such a subjective task, the expression of individual jurors’ sentiments will inevitably influence the perceptions of other jurors, particularly those who would normally be in the minority.13 Moreover, because the record
This conclusion is especially troubling because the same image—whether created by words, sounds, or pictures—may produce such a wide variety of reactions. As Mr. Justice Harlan noted: “[It is] often true that one man‘s vulgarity is another‘s lyric. Indeed, we think it is largely because government officials [or jurors] cannot make principled distinctions in this area that the Constitution leaves matters of taste and style so largely to the individual.” Cohen v. California, 403 U. S. 15, 25. In my judgment, the line between communications which “offend” and those which do not is too blurred to identify criminal conduct. It is also too blurred to delimit the protections of the First Amendment.
II
Although the variable nature of a standard dependent on local community attitudes is critically defective when used to define a federal crime, that very flexibility is a desirable feature of a civil rule designed to protect the individual‘s right to select the kind of environment in which he wants to live.
In his dissent in Jacobellis v. Ohio, 378 U. S. 184, Mr. Chief Justice Warren reminded us that obscene material “may be proscribed in a number of ways,” id., at 201, and that a lesser standard of review is required in civil cases than in criminal. Moreover, he identified a third dimension in the obscenity determination that is ignored in the Court‘s current formulation of the standard:
“In my opinion, the use to which various materials are put—not just the words and pictures themselves—must be considered in determining whether or not the materials are obscene. A technical or legal treatise on pornography may well be inoffensive under most circumstances but, at the same time, ‘obscene’ in the extreme when sold or displayed to children.” Ibid. (footnote omitted).
The standard now applied by the Court focuses its attention on the content of the materials and their impact on the average person in the community. But that impact is not a constant; it may vary widely with the use to which the materials are put. As Mr. Justice Sutherland wrote in a different context, a “nuisance may be merely a right thing in the wrong place, —like a pig in the parlor instead of the barnyard.”15 Whether a pig or a picture is offensive is a question that cannot be answered in the abstract.
In Roth v. United States, 354 U. S. 476, 485 (1957), the Court held “that obscenity is not within the area of constitutionally protected speech or press.” That holding rests, in part, on
As long as the government does not totally suppress protected speech and is faithful to its paramount obligation of complete neutrality with respect to the point of view expressed in a protected communication, I see no reason why regulation of certain types of communication may not take into account obvious differences in subject matter. See Lehman v. City of Shaker Heights, 418 U. S. 298 (1974). It seems to me ridiculous to assume that no regulation of the display of sexually oriented material is permissible unless the same regula-
I do not know whether the ugly20 pictures in this record have any beneficial value. The fact that there is a large demand for comparable materials indicates that they do pro-
In this case the petitioner‘s communications were intended to offend no one. He could hardly anticipate that they would offend the person who requested them. And delivery in sealed envelopes prevented any offense to unwilling third parties. Since his acts did not even constitute a nuisance, it necessarily follows, in my opinion, that they cannot provide the basis for a criminal prosecution.
I respectfully dissent.
Notes
“Every obscene, lewd, lascivious, indecent, filthy or vile article, matter, thing, device, or substance;
“Is declared to be nonmailable matter and shall not be conveyed in the mails or delivered from any post office or by any letter carrier.
“Whoever knowingly uses the mails for the mailing, carriage in the mails, or delivery of anything declared by this section . . . to be nonmailable, or knowingly causes to be delivered by mail according to the direction thereon . . . shall be fined not more than $5,000 or imprisoned not more than five years, or both, for the first such offense, and shall be fined not more than $10,000 or imprisoned not more than ten years, or both, for each such offense thereafter.”
Although appeal to the “prurient” interest and “patently offensive” character are identified as separate parts of the legal standard for determining whether materials are obscene, the two concepts overlap to some extent. But whether or not the two standards are different, sexually oriented material is constitutionally protected if it is not patently offensive.Petitioner‘s proposed questions were:
“1. Are any members of the panel a member of or are in sympathy with any organization which has for its purpose the regulating or banning of alleged obscene materials?
“2. Will those jurors raise their hands who have any knowledge of the contemporary community standards existing in this federal judicial district relative to the depiction of sex and nudity in magazines and books?
“(The following individual questions are requested for each juror who answers the above question in the affirmative.)
In 1962, Mr. Justice Harlan wrote: “There must first be decided the relevant ‘community’ in terms of whose standards of decency the issue must be judged. We think that the proper test under this federal statute, reaching as it does to all parts of the United States whose population reflects many different ethnic and cultural backgrounds, is a national standard of decency. We need not decide whether Congress could constitutionally prescribe a lesser geographical framework for judging this issue which would not have the intolerable consequence of denying some sections of the country access to material, there deemed acceptable, which in others might be considered offensive to prevailing community standards of decency.” Manual Enterprises, Inc. v. Day, 370 U. S. 478, 488 (1962) (footnote omitted).The phrase “contemporary community standards” was first used in Roth v. United States, 354 U. S. 476 (1957). See generally F. Schauer, The Law of Obscenity 116–135 (1976). The Roth Court explained the derivation and importance of the community standards test as follows:
“The early leading standard of obscenity allowed material to be judged merely by the effect of an isolated excerpt upon particularly susceptible persons. Regina v. Hicklin, [1868] L. R. 3 Q. B. 360. Some American courts adopted this standard but later decisions have rejected it and substituted this test: whether to the average person, applying contemporary community standards, the dominant theme of the material taken as a whole appeals to prurient interest. The Hicklin test, judging obscenity by the effect of isolated passages upon the most susceptible persons, might well encompass material legitimately treating with sex, and so it must be rejected as unconstitutionally restrictive of the freedoms of speech and press. On the other hand, the substituted standard provides safeguards adequate to withstand the charge of constitutional infirmity.” 354 U. S., at 488-489 (footnotes omitted).
Although expressions in opinions vacillated somewhat before coming to the position that a national community standard was not constitutionally mandated, compare Manual Enterprises, Inc. v. Day, 370 U. S. 478, 488, and n. 10 (1962) (opinion of Harlan, J.), and Jacobellis v. Ohio, 378 U. S. 184, 195 (1964) (opinion of BRENNAN, J.), with Miller v. California, 413 U. S., at 30, the Court has never varied from the Roth position that the community as a whole should be the judge of obscenity, and not a small, atypical segment of the community. The only exception to this rule that has been recognized is for material aimed at a clearly defined deviant sexual group. Mishkin v. New York, 383 U. S. 502, 508 (1966). See Paris Adult Theatre I v. Slaton, 413 U. S. 49, 56 n. 6 (1973).
Id., at 200-201 (dissenting opinion).The Court in Miller gave two “plain examples” of what a state statute could define for regulation:
“(a) Patently offensive representations or descriptions of ultimate sexual acts, normal or perverted, actual or simulated.
“(b) Patently offensive representations or descriptions of masturbation, excretory functions, and lewd exhibition of the genitals.” 413 U. S., at 25.
Hamling v. United States, 418 U. S. 87.“3. Where did you acquire such information?
“4. State what your understanding of those contemporary community standards are?
“5. In arriving at this understanding, did you take into consideration the laws of the State of Iowa which regulate obscenity?
“6. State what your understanding of those laws are?” App. 8.
