Lead Opinion
OPINION
The Supreme Court has not recognized a new category of speech that is unprotected by the First Amendment in over twenty-five years.
I.
In March of 2004, a federal grand jury sitting in the Western District of Pennsylvania returned a three-count indictment against Stevens, a resident of Virginia. All three counts charged Stevens with knowingly selling depictions of animal cruelty with the intention of placing those depictions in interstate commerce for commercial gain, in violation of 18 U.S.C. § 48.
The indictment arose out of an investigation by federal and Pennsylvania law enforcement agents who had discovered that Stevens had been advertising pit bull related videos and .merchandise through
As a result of their investigation, law enforcement officers obtained a search warrant for Stevens’ Virginia residence. One day later, on April 23, 2003, officers executed the search warrant and found several copies of the three videos, as well as other dogfighting merchandise. On March 2, 2004, a grand jury in the Western District of Pennsylvania returned an indictment charging Stevens with three counts of knowingly selling depictions of animal cruelty with the intention of placing those depictions in interstate commerce for commercial gain, in violation of 18 U.S.C. § 48. In November of 2004, the District Court denied Stevens’ motion to dismiss the indictment based on his assertion that § 48 abridged his First Amendment right to freedom of speech. The case proceeded to trial, and on January 13, 2005, the jury returned a verdict of guilty on each of the three counts. The District Court sentenced Stevens to 37 months of imprisonment and three years of supervised release. This appeal followed.
II.
Stevens’ case is the first prosecution in the nation under § 48 to proceed to trial, and this appeal represents the first substantive constitutional evaluation of the statute by a federal appellate court. 18 U.S.C. § 48 states:
(a) Creation, sale, or possession. — Whoever knowingly creates, sells, or possesses a depiction of animal cruelty with the intention of placing that depiction in interstate or foreign commerce for commercial gain, shall be fined under this title or imprisoned not more than 5 years, or both.
(b) Exception. — Subsection (a) does not apply to any depiction that has serious religious, political, scientific, educational, journalistic, historical, or artistic value.
(c) Definitions. — In this section—
(1) the term “depiction of animal cruelty” means any visual or auditory depiction, including any photograph, motion-picture film, video recording, electronic image, or sound recording of conduct in which a living animal is intentionally maimed, ■ mutilated, tortured, wounded, or killed, if such conduct is illegal under Federal law or the law of the State in which the creation, sale, or possession takes place, regardless of whether the maiming, mutilation, torture, wounding, or killing took place in the State; and
(2) the term “State” means each of the several States, the District of Columbia, the Commonwealth of Puerto Eico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the*222 Northern Mariana Islands, and any other commonwealth, territory, or possession of the United States.
Resort here to some legislative history is instructive, not as a device to help us construe or interpret the statute, but rather to demonstrate the statute’s breadth as written compared to what may originally have been intended. The legislative history for § 48 indicates that the primary conduct that Congress sought to address through its passage was the creation, sale, or possession of “crush videos.” A crush video is a depiction of “women inflicting ... torture [on animals] with their bare feet or while wearing high heeled shoes. In some video depictions, the woman’s voice can be heard talking to the animals in a kind of dominatrix patter. The cries and squeals of the animals, obviously in great pain, can also be heard in the videos.” H.R.Rep. No. 106-397, at 2 (1999). Testimony presented at a hearing on the Bill, and referenced in the House Committee Report, indicates that “these depictions often appeal to persons with a very specific sexual fetish who find them sexually arousing or otherwise exciting.” Id. at 2-3.
One of the distinctive features of crush videos is that “the faces of the women inflicting the torture in the material often were not shown, nor could the location of the place where the cruelty was being inflicted or the date of the activity be ascertained from the depiction.” H.R.Rep. No. 106-397, at 3. Consequently:
defendants arrested for violating a State cruelty to animals statute in connection with the production and sale of these materials ... often were able to successfully assert as a defense that the State could not prove its jurisdiction over the place where the act occurred or that the actions depicted took place within the time specified in the State statute of limitations.
Id The sponsor of the Bill in the House of Representatives, Rep. Elton Gallegly, emphasized that the purpose of the legislation was to target crush videos. These videos evidently turn a brisk business, particularly over the Internet. See 145 Cong. Reo. E1067-01 (May 24, 1999) (extension of remarks by Rep. Elton Gallegly); 145 Cong. Rec. HI0267-01 (Oct. 19, 1999). The discussion of the Bill in the Senate similarly focused on § 48 as a tool to aid in the elimination of crush videos. See 145 Cong. ReC. S15220-03 (Nov. 19,1999).
Yet, the government interests identified in the House Committee Report in support of § 48 do not focus on crush videos. The primary interest identified there is the federal government’s interest in “regulating the treatment of animals.” H.R.Rep. No. 106-397, at 3. Similarly, the House Report states that the Government has an interest in discouraging individuals from becoming desensitized to animal violence generally, because that may serve to deter future antisocial behavior toward human beings. Id. at 4.
This broader focus on animal cruelty is consistent with the text of § 48 and it is also reflected in the House Report’s discussion of why the speech that § 48 targets should be deemed outside the protection of the First Amendment. Id. at 4-5. The Report concedes that § 48 is a content-based restriction, but states that the harm it would address, by reducing cruelty to animals, “so outweighs the expressive interest, if any, at stake, that the materials [prohibited by § 48] may be prohibited as a class.” Id. at 5. The Report minimizes the expressive interest of any speech prohibited by the statute because “[b]y the very terms of the statute, material depicting cruelty to animals that has serious utility — whether it be religious, political, scientific, educational, journalistic, historic,
III.
The Government does not allege that Stevens participated in the interstate transport of “crush videos.” Nor does the Government allege that the videos Stevens sold contained prurient material. The Government also concedes that § 48 constitutes a content-based restriction on speech. Nonetheless, the Government argues that the type of speech regulated by § 48 falls outside First Amendment protection. By doing so, the Government asks us to create a new category of unprotected speech. We proceed in two parts. First, we show how § 48 regulates protected speech. Second, because § 48 regulates protected speech, we must subject the statute to strict scrutiny. As shown below, the statute cannot withstand that heightened level of scrutiny.
The acts of animal cruelty that form the predicate for § 48 are reprehensible, and indeed warrant strong legal sanctions. The Government is correct in arguing that animal cruelty should be the subject of not only condemnation but also prosecution. To this end, anti-animal cruelty statutes have been enacted in all fifty states and the District of Columbia.
A. § 48 Regulates Protected Speech
It has been two and a half decades since the Supreme Court last declared an entire category of speech unprotected. See New York v. Ferber,
The Government acknowledges that the speech at issue in this case does not fall under one of the traditionally unprotected classes. The Government argues, however, that these categories may be supplemented. That, in itself, is an unassailable proposition. But, we disagree with the suggestion that the speech at issue here can appropriately be added to the extremely narrow class of speech that is unprotected. Out of these categories, only Ferber is even remotely similar to the type of speech regulated by § 48.
In Ferber, the Court considered the constitutionality of a New York criminal statute that prohibited persons from knowingly promoting sexual performances by children under the age of 16 by distributing material that depicted such performances. Ferber,
The Supreme Court in turn reversed the New York Court of Appeals, holding that the statute was constitutional because child pornography, whether obscene or not, is unprotected by the First Amendment. Id. at 756,
1. The State has a “compelling” interest in “safeguarding the physical and psychological well-being of a minor.” Id. at 756-57,102 S.Ct. 3348 (quoting Globe Newspaper Co. v. Superior Court,457 U.S. 596 , 607,102 S.Ct. 2613 ,73 L.Ed.2d 248 (1982)).
2. Child pornography is “intrinsically related to the sexual abuse of children in at least two ways. First, the materials produced are a permanent record of the children’s participation and the harm to the child is exacerbated by their circulation. Second, the distribution network for child pornography must be closed” in order to control the production of child pornography. Id. at 759,102 S.Ct. 3348 (citations omitted). The Court explained that the production of child pornography is a “low-profile, clandestine industry” and that the “most expeditious if not the only practical method of law enforcement may be to dry up the market for this material” by punishing its use. Id. at 760,102 S.Ct. 3348 .
3. “The advertising and selling of child pornography provide an economic motive for and are thus an integral part of the production” of child pornography. Id. at 761,102 S.Ct. 3348 .
4. The possibility that there would be any material of value that would be prohibited under the category of child pornography is “exceedingly modest, if not de minimis.” Id. at 762,102 S.Ct. 3348 .
5. Banning full categories of speech is an accepted approach in First Amendment law and is therefore appropriate in this instance. Id. at 763-64,102 S.Ct. 3348 .
Amy Adler, Inverting the First Amendment, 149 U. Pa. L. Rev. 921, 938 n. 77 (2001); see also Ashcroft v. Free Speech Coalition,
Without guidance from the Supreme Court, a lower federal court should hesitate before extending the logic of Ferber to other types of speech. The reasoning that supports Ferber has never been used to create whole categories of unprotected speech outside of the child pornography context. Furthermore, Ferber appears to be on the margin of the Supreme Court’s unprotected speech jurisprudence. Adler, supra, at 936 (noting that, aside from child pornography, “when the Court eliminates a category of expression from constitution
Even assuming that Ferber may, in limited circumstances and without Supreme Court guidance, be applied to other categories of speech, 18 U.S.C. § 48 does not qualify for such treatment. The Court cited five bases in Ferber for upholding the anti-child pornography law. That reasoning does not translate well to the animal cruelty realm. We address the five-factor rationale in its entirety, although the first factor is the most important because, under Ferber, if the Government’s interest is not compelling, then this type of statute necessarily violates the First Amendment.
1. First Ferber Factor
The compelling government interest inquiry at issue here overlaps with the strict scrutiny analysis discussed presently. No matter how appealing the cause of animal protection is to our sensibilities, we hesitate — in the First Amendment context — -to elevate it to the status of a compelling interest.
Three reasons give us pause to conclude that “preventing cruelty to animals” rises to a compelling government interest that trumps an individual’s free speech rights. First, the Supreme Court has suggested that the kind of government interest at issue in § 48 is not compelling. See Church of the Lukumi Babalu Aye, Inc. v. City of Hialeah,
Although that case dealt with the Free Exercise Clause rather than the Free Speech Clause, and was limited by the Court to the context of the particular ordinances at issue, it remains instructive. The possible relevance of Lukumi was noted under the “Dissenting Views” section of the House Report of § 48:
Although the Supreme court [sic] recognized the governmental interest in protecting animals from cruelty, as against the constitutional right of free exercise of religion[,] the governmental interest did not prevail. Therefore, it seems that, on balance, animal rights do not supersede fundamental human rights. Here, while Government can and does protect animals from acts of cruelty, to make possession of films of such acts*227 illegal would infringe upon the free speech rights of those possessing the films.
ELR.Rep. No. 106-397, at 11. When we consider Lukumi along with the fact that the Supreme Court has not expanded the extremely limited number of unprotected speech categories in a generation, the only conclusion we are left with is that we — as a lower federal court — should not create a new category when the Supreme Court has hinted at its hesitancy to do so on this same topic.
Second, while the Supreme Court has not always been crystal clear as to what constitutes a compelling interest in free speech cases, it rarely finds such an interest for content-based restrictions. When it has done so, the interest has — without exception — related to the well-being of human beings, not animals. When looking at these cases, as well as the interests at issue in the unprotected speech categories, it is difficult to see how § 48 serves a compelling interest that represents “a government objective of surpassing importance.” Ferber,
The Supreme Court has suggested that a state interest in avoiding an Establishment clause violation may be compelling, although that remains an unsettled question of law. Compare Capitol Square Review & Advisory Bd. v. Pinette,
Similarly, and even more fatal to the Government’s position, because the statute does not regulate the underlying act of animal cruelty — which must be a crime under state or federal law in order to trigger § 48 — we can see no persuasive argument that such a statute serves a compelling government interest. While the statute at issue in Ferber also prohibited the distribution of the depiction of sexual performances by children under the age of 16,
Third, there is not a sufficient link between § 48 and the interest in “preventing cruelty to animals.” As the Government recognizes, Congress and the states already have in place comprehensive statutory schemes to protect animals from mistreatment. The Government states that “all fifty states have enacted laws which criminalize the infliction of cruelty on animals. This includes laws which outlaw dog fighting in all 50 states.” Gov’t Br. 32. These statutes are materially different from § 48. Section 48 does nothing to regulate the underlying conduct that is already illegal under state laws. Rather, it regulates only the depiction of the conduct.
In order to serve the purported compelling government interest of preventing animal cruelty, the regulation of these depictions must somehow aid in the prevention of cruelty to animals. With this depiction/act distinction in mind, it seems appropriate to recast the compelling government interest as “preventing cruelty to animals that state and federal statutes directly regulating animal cruelty under-en-foree.” See Ashcroft v. ACLU,
The Government also argues that § 48 indirectly serves to deter future animal cruelty and other antisocial behavior by discouraging individuals from becoming desensitized to animal violence. As support for its position, the Government approvingly cited the House Committee Report, which cited research that “suggested] that violent acts committed by humans may be the result of a long pattern of perpetrating abuse, which ‘often begins with the torture and killing of animals.’ ” Gov’t Br. 31-32 (citing H.R.Rep. No. 106-397, at 4[sic]). The full quote is as follows:
The committee also notes the increasing body of research which suggests that humans who kill or abuse others often do so as the culmination of a long pattern of abuse, which often begins with the torture and killing of animals. When society fails to prevent these persons from inflicting harm upon animals as children, they may fail to learn respect for any living being. If society fails to prevent adults from engaging in this behavior, they may become so desensitized to the suffering of these beings that they lose the ability to empathize with the suffering of humans.
H.R.Rep. No. 106-397, at 4. We read this passage to mean that, by broadly prohibiting these depictions of animal cruelty, the drafters of the House Committee Report believed that fewer individuals will see and make such depictions and therefore not be subject to this desensitization.
This reasoning is insufficient to override First Amendment protections for content-based speech restrictions. The Supreme Court has rejected a similar argument in the context of virtual child pornography, stating that “[w]hile the Government asserts that the images can lead to actual instances of child abuse, the causal link is contingent and indirect. The harm does not necessarily follow from the speech, but depends upon some unquantified potential for subsequent criminal acts.” Ashcroft v. Free Speech Coalition,
For these reasons, we fail to see how 18 U.S.C. § 48 serves a compelling government interest.
2. Second Ferber Factor
The second factor in the Ferber rationale, that child pornography is “intrinsically related to the sexual abuse of children,” Ferber,
3. Third Ferber Factor
Both the second and third Ferber factors assert that the distribution network for child pornography must be closed so that the production of child pornography will decrease.
4. Fourth Ferber Factor
The fourth Ferber factor is that the value of the prohibited speech is “exceedingly modest, if not de minimis.”
The exceptions clause cannot on its own constitutionalize § 48. The exceptions clause in this case is a variation of the third prong of the Miller obscenity test. This prong asks “whether the work, taken as a whole, lacks serious literary, artistic, political, or scientific value.” Miller v. California,
This type of exceptions clause has not been applied in non-prurient unprotected speech cases, and taking it out of this context ignores the essential framework of the Miller test. Congress and the Government would have the statute operate in such a way as to permit the restriction of otherwise constitutional speech so long as part of the statute allows for an exception for speech that has “serious value.” The problem with this view is twofold. First, outside of patently offensive speech that appeals to the prurient interest, the First Amendment does not require speech to have serious value in order for it to fall under the First Amendment umbrella. What this view overlooks is the great spectrum between speech utterly without social value and high value speech. Second, if the mere appendage of an exceptions clause serves to constitutionalize § 48, it is difficult to imagine what category of speech the Government could not regulate through similar statutory engineering. That is not a road down which this Court is willing to proceed.
In sum, the speech restricted by 18 U.S.C. § 48 is protected by the First Amendment. The attempted analogy to Ferber fails because of the inherent differences between children and animals. Those profound differences require no further explication here.
B. § 48 Cannot Survive Heightened Scrutiny
Because the speech encompassed by § 48 does not qualify as unprotected speech, it must survive a heightened form of scrutiny.
We have already shown why § 48 does not serve a compelling government
The problem lies in defining the compelling government interest when Congress does not have the constitutional power to regulate an area that has traditionally been governed by state statutes. When federalism concerns arise, the “least restrictive means” analysis necessarily informs the “compelling government interest” analysis. The stated governmental interest in 18 U.S.C. § 48 is to “prevent cruelty to animals.” Taking federalism concerns into account, the interest stated in this manner is too broad. Absent demonstration of the requisite impact on commerce which is absent on this record, Congress does not have the constitutional authority to pass the types of animal cruelty statutes that are seen in the fifty states and the District of Columbia. It is for this reason that we have suggested that the compelling government interest should be redefined as “preventing cruelty to animals that state and federal statutes directly regulating animal cruelty under-enforce.” And once this reformulation of the interest targeted by § 48 is accepted, we do not see how a sound argument can be made that the Free Speech Clause is outweighed by a statute whose primary purpose is to aid in the enforcement of an already comprehensive state and federal anti-animal-cruelty regime. Conversely, if we agree with the Government that the compelling government interest is “preventing cruelty to animals,” then we do not see how a sound argument can be made that § 48 is narrowly tailored and uses the least restrictive means.
The Supreme Court routinely strikes down content-based restrictions on speech on the narrow tailoring/least restrictive means prong of strict scrutiny. See, e.g., Ashcroft v. ACLU,
First, with respect to the reach of the Commerce Clause, § 48 does not prohibit any depictions — including crush videos — ■ that are made solely for personal rather than interstate commercial use. Party X may create a depiction of animal cruelty in Virginia and sell it in Virginia without violating § 48, so long as Party X does not intend to place that depiction in interstate or foreign commerce. Accordingly, if we accept that the government interest served by § 48 is to prevent animal cruelty, the statute is — by its very terms — underinclu-sive.
Second, § 48 is overinclusive. Although the statute would fail to reach depictions made solely for personal use, Party Y may, however, be prosecuted for selling a depiction in Pennsylvania made in Virginia
Third, the second Ferber factor implicitly addressed the fit between regulating the depiction of a behavior with preventing that behavior. Specifically, the Supreme Court stated that “the distribution network for child pornography must be closed if the production of material which requires the sexual exploitation of children is to be effectively controlled.” Ferber,
As to dog fighting, the Government argues that the camera typically focuses on the dogs, with their “handlers” being shown mostly from the waist or elbows down, and it is often difficult to determine when and where such fights occur for purposes of the statute of limitations and other enforcement matters. At least with respect to the videos at issue in this case, we find the Government’s argument empirically inaccurate. It is true that in the first video, “Pick-A-Winna,” much of the footage is old, but the faces of the individuals involved are sometimes quite clear. In the second video, “Japan Pit Fights,” the fights take place in Japan, where dog fighting is apparently legal and prosecution of those individuals for those particular acts of animal cruelty could not be pursued. The third video, “Catch Dogs,” primarily features footage of dogs hunting and subduing wild hogs and being trained to do so. This video gives the name and address of a catch dog supplier, and also takes the viewer on several hunting trips with these dogs. There is no effort to conceal any of the faces of the people in the video, and Stevens at several points mentions their names and the location of the hunts. In short, the research and empirical evidence in the record before us simply does not support the notion that banning depictions of animal cruelty is a necessary or even particularly effective means of prosecuting the underlying acts of animal cruelty. Much less is it the
For these reasons, § 48 is not narrowly tailored using the least restrictive means.
IV.
“When the Government restricts speech, the Government bears the burden of proving the constitutionality of its actions.” Playboy Entm’t Group,
Notes
.The Supreme Court reaffirmed, in its recent decision in United States v. Williams, that “[ojffers to engage in illegal transactions are categorically excluded from First Amendment protection.” United States v. Williams, - U.S.-, 1841,
. We exercise jurisdiction pursuant to 28 U.S.C. § 1291. The District Court had jurisdiction under 18 U.S.C. § 3231. We exercise plenary review over a challenge to the constitutionality of a federal statute. Blackhawk v. Pennsylvania,
. Stevens raises other challenges to his conviction based on the sufficiency of the evidence, the propriety of the jury instructions, and possible errors in the jury selection process. He also challenges the appropriateness of the District Court’s sentencing him based on Guidelines intended for child pornography offenses. It is unnecessary for us to reach these issues.
. The following state animal protection statutes are currently in place: Alaska Stat. § 11.61.140 (2004); Ala.Code § 13A-11-14 (1977); Ariz Rev.Stat. Ann. § 13-2910 (2002); Ark.Code Ann. § 5-62-101 (2001); Cal.Penal Code § 597 (1998); Colo.Rev.Stat. § 18-9-202 (2007); Conn. Gen.Stat. § 53-247 (2004); Del.Code Ann. tit. 11, § 1325 (2002); Fla. Stat. § 828.12 (2002); Ga.Code Ann. § 16-12-4 (2000); Haw.Rev.Stat. § 711-1109 (2007); Idaho Code Ann. §§ 25-3501-3507 (2008); 510 III. Comp. Stat. §§ 70/3.01-3.03, 70/3.03-1 (2008); Ind.Code §§ 35-46-3-7, 35-46-3-8, 35-46-3-9, 35-46-3-9.5 (2007); Iowa Code § 717B.3A (2003), amended by 2008 la. Legis. Serv. S.F. 2177 (West); Kan. Stat. Ann. § 21-4310 (2007); KyRev.Stat. Ann. §§ 525.125, 525.130, 525.135 (2007), amended by 2008 Kentucky Laws Ch. 136 (SB 58); La.Rev.Stat. Ann. §§ 14:102.1, 14:102.4 (2008); Me.Rev. Stat. Ann. tit. 17, §§ 1031, 1033 (2007), amended by 2008 Me. Legis. Serv. Ch. 702 (West); Md.Code Ann., Crim. Law §§ 10-604, 10-606, 10-607, 10-608 (2008); Mass.Gen. Laws ch. 272, § 77 (2006); Mich. Comp. Laws §§ 750.50(2), (4), 750.50b(2) (2003); Minn. Stat. §§ 343.21(7), (9) (2004); Miss.Code Ann. §§ 97-41-2, -3, -5, -7, -9, -11, 13, -15, -17, - 19, -21, -23 (2008); Mo.Rev.Stat. §§ 578.012, .025, .050 (2008); Mont.Code Ann. §§ 45-8-211, 217 (2007); Neb.Rev.Stat. §§ 28-1005, - 1009, -1010, -1017 (2007); Nev.Rev.Stat. § 574.050-.200 (2008); N.H.Rev.Stat. Ann. §§ 644:8(111), (Ill-a) (2008); N.J. Stat. Ann. § 4:22-17(b) (2008); N.M. Stat. Ann. § 30-18-1 (2008); N.Y. Agric. & Mkts. Law §§ 350-353-a (McKinney 2008); N.C. Gen.Stat. §§ 14-360 to-363.2 (2007); N.D. Cent.Code §§ 36-21.1-01 to -21.1-15 (2007); Ohio Rev. Code Ann. §§ 959.01-.20 (2008); Okla. Stat. Ann. tit. 21, § 1685 (2008); Or. Rev Stat. Ann. §§ 167.310, .315, .320, .322, .325, .330, .333, .340 (2007); 18 Pa. Cons.Stat. Ann. § 5511(a)(2.1) (2007); R.I. Gen. Laws §§ 4-1-1 to 4-1-38 (2007); S.C.Code Ann. § 47-1-10 to -210 (2007); S.D. Codified Laws §§ 40-1-1-40-1-41 (2008); Tenn.Code Ann. §§ 39-14-201 to 39-14-214 (2008); Tex Penal Code Ann. §§ 42.09-, 10 (2008); Utah Code Ann. §§ 76-9-301-307 (2008), amended by 2008 Utah Laws Ch. 292; Vt. Stat. Ann. tit. 13, §§ 351-354 (2007); 2008 Va. Acts. 860 (to be codified at Va.Code Ann. §§ 3.2-6566-6573); Wash Rev. Code §§ 16.52.011-.305 (2008); W. Va.Code §§ 7-10-3 to -4a (2008); Wis. Stat. §§ 951.01-, 18 (2007); Wyo. Stat. Ann. § 6-3-203 (2Q07); D.C.Code Ann. §§ 22-1001-.1015 (2008).
. We do not address the constitutionality of a hypothetical statute that would only regulate crush videos. While such a hypothetical statute might target obscenity under the Miller test because crush videos appeal to a prurient interest, the actual text of § 48 and the facts of this case show just how far afield the statute's language drifted from the original emphasis in the Congressional Record on the elimination of crush videos.
. The Government suggests that its position is supported by the Supreme Court’s decision in Chaplinsky v. New Hampshire,
. See Ferber,
. As the House Committee Report stated:
The witnesses testified that the faces of the women inflicting the torture in the material often were not shown, nor could the location of the place where the cruelty was being inflicted or the date of the activity be ascertained from the depiction. As a result, defendants arrested for violating a State cruelty to animals statute in connection with the production and sale of these mate*229 rials in that State often were able to successfully assert as a defense that the State could not prove its jurisdiction over the place where the act occurred or that the actions depicted took place within the time specified in the State statute of limitations. While all States have some form of a cruelty to animal statute, none have a statute that prohibits the sale of depictions of such cruelty. Accordingly, according to the witnesses, only if the person making these depictions were caught in the act (often through some type of undercover operation) could the State’s laws be brought to bear on their actions, and then only for the cruelty itself, not for the production and sale of the depictions.
H.R.Rep. No. 106-397, at 3. Perhaps wary of the federalism implications of § 48, the House Committee Report made sure to state that "[t]he statute is intended to augment, not supplant, State animal cruelty laws by addressing behavior that may be outside the jurisdiction of the States, as a matter of law, and appears often beyond the reach of their law enforcement officials, as a practical matter.” Id.
. The third Ferber factor specifically states that "[t]he advertising and selling of child pornography provide an economic motive for and are thus an integral part of the production” of child pornography. Ferber,
. To that end, a Dogfighting Fact Sheet prepared by the Humane Society of the United
. As to the fifth Ferber factor, it is discussed throughout this opinion.
. See H.R.Ref. No. 106-397, at 4 ("While the exclusion described in the statute is expressed in seven different categories, the committee believes that any material depicting animal cruelty which society would find to be of at least some minimal value, falls within one of these broad, general categories.”).
. One further point of clarification should be mentioned in reference to the section (b) defense. The parties in this case agree that the Government must prove, beyond a reasonable doubt, that the speech contains no serious value. In contrast, the legislative history of the statute specifically states that "[t]he defendant bears the burden of proving the value of the material by a preponderance of the evidence.” See H.R. Rep. No. 106-397, at 8. Because Stevens brings a facial challenge to the statute and there is a chance that prosecutors in the future will frame the exceptions clause as an affirmative defense, we take this opportunity to sound an alarm. In the free speech context, using an affirmative defense to save an otherwise unconstitutional statute presents troubling issues. "The Government raises serious constitutional difficulties by seeking to impose on the defendant the burden of proving his speech is not unlawful. An affirmative defense applies only after prosecution has begun, and the speaker must himself prove, on pain of a felony conviction, that his conduct falls within the affirmative defense.” Ashcroft v. Free Speech Coalition,
. For an illuminating discussion of the Supreme Court's application of strict scrutiny in examining content-based restrictions on speech, see Barry P. McDonald, Speech and Distrust: Rethinking the Content Approach to Protecting the Freedom of Expression, 81 No-tre Dame L.Rev. 1347, 1363-67 (2006); see also Playboy Entm’t Group,
. The Government states that ”[b]y providing a tool to prosecute those who openly sell films and photographs showing animal cruelty, Section 48 plugs the inadequacies inherent in attempting to address this animal cruelty problem through state laws which prohibit only the actual conduct.” Gov’t. Br. 32-33. However, as shown by the videos in this case, § 48 regulates depictions produced legally in foreign countries as well as depictions in the United States produced prior to the Act’s passage in 1999.
. 18 U.S.C. § 48 might also be unconstitutionally overbroad. The Government is too quick to conclude that a reading of the statute that covers a wide variety of ostensibly technical violations like hunting and fishing will not lead to prosecutions. This Court is required to examine the plain language of the statute to determine whether "a substantial amount of protected speech is prohibited or chilled in the process” of regulating depictions of animal cruelty. Ashcroft v. Free Speech Coalition,
The statute potentially covers a great deal of constitutionally protected speech, and prosecutions that stray far from crush videos may chill this type of speech. Section 48 broadly proclaims that "the term 'depiction of animal cruelty’ means any visual or auditory depiction, including any photograph, motion-picture film, video recording, electronic image, or sound recording of conduct in which a living animal is intentionally maimed, mutilated, tortured, wounded, or killed, if such conduct is illegal under Federal law or the law of the State in which the creation, sale, or possession takes place, regardless of whether the maiming, mutilation, torture, wounding, or killing took place in the State.” 18 U.S.C. § 48(c)(1). If a person hunts or fishes out of season, films the activity, and sells it to an out-of-state party, it appears that the statute has been violated. Similarly, the same person could be prosecuted for selling a film which contains a depiction of a bullfight in Spain if bullfighting is illegal in the state in which this person sells the film. The only possible protections for this violator are pros-ecutorial discretion and the exceptions clause in section (b). If this depiction has "religious, political, scientific, educational, journalistic, historical, or artistic value” but the value is not “serious,” then this violator only has prosecutorial discretion to fall back on. The penalty for these hypothetical violations includes a fine and up to five years in prison. 18 U.S.C. § 48(a). We do not believe that the constitutionality of § 48 should depend on prosecutorial discretion for a statute that sweeps this widely. See Alan K. Chen, Statutory Speech Bubbles, First Amendment Over-breadth, and Improper Legislative Purpose, 38 Harv. C.R.-C.L. L.Rev. 31, 42 (2003) ("If the Constitution permits broadly worded statutes that sweep a great deal of protected speech within their provisions, officials have unbridled discretion to arrest and prosecute speakers based on the government’s disagreement with their messages or content.”). There is no reason to believe that prosecutors will limit themselves to targeting crush videos through § 48. The American Prosecutors Research Institute, a non-profit research arm of the National District Attorneys Association, for example, has noted in a report that “[d]e-spite the originally narrow focus, the law [§ 48] was used in 2005 to successfully prosecute a Virginia man charged with selling and mailing videotapes of fighting pit bulls.” Animal Cruelty Prosecution: Opportunities for Early Response to Crime and Interpersonal Violence 33 (July 2006). This report is essential
However, because voiding a statute on overbreadth grounds is "strong medicine” and should be used "sparingly and only as a last resort,” we are satisfied to rest our analysis on strict scrutiny grounds alone. See Broadrick v. Oklahoma,
Dissenting Opinion
dissenting with whom FUENTES and FISHER, Circuit Judges join.
The majority today declares that the Government can have no compelling interest in protecting animals from intentional and wanton acts of physical harm, and in doing so invalidates as unconstitutional a federal statute targeting the distribution and trafficking of depictions of these senseless acts of animal cruelty. Because we cannot agree, in light of the overwhelming body of law across the nation aimed at eradicating animal abuse, that the Government’s interest in ensuring the humane treatment of animals is anything less than of paramount importance, and because we conclude the speech prohibited by 18 U.S.C. § 48 to be of such minimal socially redeeming value that its restriction may be affected consistent with the First Amendment, we respectfully dissent.
I.
In the seminal case Chaplinsky v. New Hampshire,
Id. at 571-72,
The Supreme Court has provided us with two beacons to guide our inquiry into whether depictions of animal cruelty should be recognized as beyond the reach of the First Amendment. First, the Supreme Court has consistently reaffirmed that the Government may, consistent with the Constitution, restrict certain types of speech when the social value of the speech is so minimal as to be plainly outweighed by the Government’s compelling interest in its regulation. See, e.g., Virginia v. Black,
a.
In discussing the contours of permissible content-based regulations, the Supreme Court has explained speech may be restricted when its “utterances are no essential part of any exposition of ideas, and are of such slight social value as a step to truth that any benefit that may be derived from them is clearly outweighed by the social interest in order and morality.” Chaplinsky,
1.
We agree with the Government that its interest in preventing animal cruelty is compelling.
Our nation’s aversion to animal cruelty is deep-seated. Laws prohibiting cruelty to animals have existed in this country since 1641, when the Puritans of the Massachusetts Bay Colony enacted a law entitled “Off the Bruite Creature,” which stated: “No man shall exercise any Tirranny or Crueltie towards any bruite Creature which are usuallie kept for man’s use.” Emily Stewart Leavitt, Animals and Their Legal Rights: A Survey of American Laws from 16H to 1970 13 (Animal Welfare Institute 1970). In 1828, the first modern animal cruelty law was enacted in New York, and by 1913 every state had such a law. Id. at 17; see also Pamela D. Frasch et ah, State Animal Anti-Cruelty Statutes: An Overview, 5 Animal L. 69 (1999) (examining current state of anti-cruelty laws throughout the country). As one early jurist stated: “[L]aws, and the enforcement or observance of laws, for the protection of dumb brutes from cruelty, are, in my judgment, among the best evidences of the justice and benevolence of men.” Stephens v. State,
Congress has also regularly enacted laws that protect animals from maltreatment, including, inter alia, laws that: proscribe animal fighting, 7 U.S.C. § 2156; require that livestock be slaughtered humanely, 7 U.S.C. § 1901; help establish humane guidelines governing the purchase, sale, and handling of animals, 7 U.S.C. § 2142; create standards to protect pets in pounds and shelters, 7 U.S.C. § 2158; prevent the “cruel and inhumane” soring
These statutes are animated by concerns for animals, the aspirant abuser, and the public in general. It cannot be insignificant, as even the majority acknowledges, see Majority Op., supra at 223 n. 4, that the conduct underlying the depictions at hand is subject to criminal penalties in every state in the nation. This overwhelming body of law reflects the “widespread belief that animals, as living things, are entitled to certain minimal standards of treatment by humans,” H.R.Rep. No. 106-397, at 4 (1999), and is powerful evidence of the importance of the governmental interest at stake. Indeed, the Supreme Court often cites to the prevalence of nationwide legislation on a matter as support for its conclusion that the asserted interest is sufficiently important as to be deemed compelling. See, e.g., Simon & Schuster, Inc. v. Members of N.Y. State Crime Victims Bd.,
Less obvious, but no less important, cruelty to animals is a form of antisocial behavior that erodes public mores and can have a deleterious effect on the individual inflicting the harm. Early jurists accepted this contention implicitly. See Broadway v. Am. Soc’y for the Prevention of Cruelty to Animals, 15 Abb.Pr.N.S. 51 (N.Y.1873) (“[The anti-cruelty statute] truly has its origin in the intent to save a just standard of humane feeling from being debased by pernicious effects of bad example — the human heart from being hardened by public and frequent exhibitions of cruelty to dumb creatures, committed to the care and which were created for the beneficial use of man.”); Commonwealth v. Turner,
Our nation has extended solicitude to animals from an early date, and has now established a rich tapestry of laws protecting animals from the cruelty we so abhor. This interest has nested itself so deeply into the core of our society — because the interest protects the animals themselves, humans, and public mores — that it warrants being labeled compelling.
Notwithstanding the majority’s assertion, the Supreme Court in no way suggested to the contrary in Church of the Lukumi Babalu Aye, Incorporated v. City of Hialeah,
A harder case would be presented if petitioners were requesting an exemption from a generally applicable anti-cruelty law. The result in the case before the Court today, and the fact that every Member of the Court concurs in that result, does not necessarily reflect this Court’s views of the strength of a State’s interest in prohibiting cruelty to animals. This case does not present, and I therefore decline to reach, the question whether the Free Exercise Clause would require a religious exemption from a law that sincerely pursued the goal of protecting animals from cruel treatment.
Id. at 580,
Nor do we find that section 48 is sufficiently under-inclusive as to undercut the Government’s claim of the significance of its interest. Cf. The Florida Star v. B.J.F.,
2.
Next, we find that the depictions of animal cruelty prohibited by section 48 also satisfy the second part of the fundamental First Amendment balancing inquiry be-eause they have little or no social value. This is guaranteed by the very terms of the statute, which excepts speech that has “serious religious, political, scientific, educational, journalistic, historical, or artistic value” from its reach. 18 U.S.C. § 48(b). While this exception removes the possibility of the statute reaching serious works, we consider it unlikely that visual depictions of animal cruelty will often constitute an important and necessary part of a literary performance, a scientific or educational work, or political discourse. See Ferber,
We find that section 48 outlaws depictions that “are no essential part of any exposition of ideas, and are of such slight social value as a step to truth that any benefit that may be derived from them is clearly outweighed by the social interest in order and morality.” Chaplinsky,
b.
We read Ferber, at its core, to stand for the narrow proposition that a category of speech may be constitutionally restricted where it depicts — and thus necessarily requires — -the intentional infliction of physical harm on a class of especially vulnerable victims in violation of law, where the distribution of such depictions spurs their production but laws prohibiting the underlying acts are woefully under-enforced, and where the speech’s social value is so de minimus as to be outweighed by the important governmental goal of protecting the victims. We find that the depictions of animal cruelty proscribed by section 48 possesses these essential attributes.
In Ferber, the Supreme Court justified the prohibition of child pornography based on four grounds: (1) “a State’s interest in
First, the Supreme Court recognized the state’s interest in protecting minors as compelling. Id. at 756-57,
Second, the Supreme Court explained that child pornography was an unprotected form of speech because of the intrinsic relationship between the distribution of child pornography and the sexual abuse of children, which it found existed in at least two ways. Ferber,
The speech at issue here is also intrinsically related to the underlying crime of animal cruelty, most clearly because its creation is also predicated on a violation of criminal law. Implicated by the depictions at hand is not the mere prospect of future crime, nor is the instant proscription premised on society’s disapproval of the views underlying the depictions. Cf. Texas v. Johnson,
In Ferber, the Supreme Court found an inextricable connection between child pornography and the underlying abuse based in part on its observation that the pornography’s deleterious and stigmatizing effects transcend the single instance of abuse depicted.
In addition, law enforcement officials face similar difficulties in prosecuting the creation of animal cruelty depictions as they do in policing child pornography, and Congress could have thus reasonably concluded that targeting the distributors would be the most effective way of drying up the animal-cruelty depictions market. In particular, police struggle to prosecute those involved in crush videos because the videos are generally created by a bare-boned, clandestine staff; the woman doing the crushing is filmed in a manner that shields her identity, and the location of the action is imperceptible. See H.R.Rep. No. 106-397, at 3. Similarly, individuals involved in dogfights are also elaborately insulated from law enforcement. See App. at 476-77 (expert witness describing the difficulty of infiltrating a dogfighting group where each member knows the others); see also Susan E. Davis, Blood Sport: Dog Fighting Is Big Business in California, and Just About Impossible to Stop, 17 Cal. Law. 44, 84 (1997) (explaining the difficulties of gaining access to dogfighting rings, as organizers often require newcomers to fight a dog before accepting that person). Indeed, in the videos at issue in this case, while the faces of the spectators of the dogfights taking place in Japan were sometimes clearly pictured (e.g., in “Japan Pit Fights”), Stevens himself stated in “Pick-A-Winna” that he purposefully edited out the faces of the handlers involved in the fights occurring in the United States.
These factors are self-evidently present in the instant case. As discussed, substantial obstacles exist in effectively detecting and prosecuting those directly involved in the creation of animal cruelty depictions. Furthermore, the record here amply demonstrates that a thriving market exists for depictions of animal cruelty: Crush videos and dogfighting videos are advertised and sold in copious amounts over the internet and through magazines.
In our view, the presence of an economic motive driving the production of depictions of animals being tortured or killed is perhaps the critical consideration that distinguishes the speech at issue here from ordinary depictions of criminal activities. A decision here allowing prohibition of the distribution of depictions of animal abuse will no more threaten the examples of speech posited by Stevens — crime scene photographs and surveillance videos — than did the Supreme Court’s decision in Ferber. Stevens’s examples are easily distinguishable from the speech prohibited by section 48 as they plainly have more than de minimis value; crime scene photographs, for instance, are eminently useful to police officers. Furthermore, most critically, no commercial market exists for depictions of run-of-the-mill criminal activities so as to incentivize the commission of the underlying illegal acts; there thus is little danger that individuals will be directly motivated to physically harm others in order to create depictions of the same solely in hopes of commercial gain.
Fourth, the Supreme Court justified its restriction in Ferber on the fact that the value of child pornography is de minimis.
The speech at issue in this case possesses the essential attributes of unprotected speech identified generally in Chaplinsky and of child pornography as discussed in Ferber. To reiterate, the Government has a compelling interest in eradicating animal cruelty, depictions of animal cruelty are intrinsically related to the underlying animal cruelty, the market for videos of animal cruelty incentivizes the commission of acts of animal cruelty, and such depictions are of de minimis value. In reaching this decision, however, we emphasize that we have before us, not a statute broadly purporting to ban all depictions of criminal acts, but merely one prohibiting depictions of a narrow subclass of depraved acts committed against an uniquely vulnerable and helpless class of victims. As such, we deem it unlikely that our ruling as to the constitutionality of the latter would have broad negative repercussions to First Amendment freedoms. Accordingly, because Congress may proscribe depictions of animal cruelty without running afoul of the First Amendment, we would reject Stevens’s challenge to the constitutional validity of 18 U.S.C. § 48.
II.
Section 48 is also not unconstitutionally overbroad. The overbreadth doctrine is designed to abate the “possibility that protected speech of others may be muted and perceived grievances left to fester because of the possible inhibitory effects of overly broad statutes.” Broadrick v. Oklahoma,
As the Supreme Court recently emphasized: “In order to maintain an appropriate balance, we have vigorously enforced the requirement that a statute’s over-breadth be substantial, not only in an absolute sense, but also relative to the statute’s plainly legitimate sweep.” Id. (emphasis in original). Courts should invalidate a statute on overbreadth grounds only when the law “reaches a substantial number of impermissible applications,” Ferber,
Stevens first argues that the statute is overbroad because it criminalizes de
Stevens also argues that the statute is overbroad because it reaches individuals who took no part in the underlying conduct. This argument is likewise foreclosed by Ferber, where the Court ruled that it was permissible for the government to annihilate the child pornography market at all levels, which included penalizing distributors.
Stevens’s final argument that the statute is overbroad because it could extend to technical violations of hunting and fishing statutes is also unpersuasive. The Supreme Court recently rejected similar contentions in upholding 18 U.S.C. § 2252A(a)(3)(B) — a federal statute criminalizing the promotion and possession of child pornography — against an over-breadth challenge. Williams,
Turning to the statute at hand, we are unable to imagine the circumstances that would have to coalesce for such a video to come within the reaches of section 48, especially in light of its exceptions clause. See id. at 1843 (remarking the examples posited “demonstrates nothing so forcefully as the tendency of our overbreadth doctrine to summon forth an endless stream
III.
Finally, Stevens contends that the statute is unconstitutionally vague. A statute is void on vagueness grounds if it: (1) “fails to provide people of ordinary intelligence a reasonable opportunity to understand what conduct it prohibits”; or (2) “authorizes or even encourages arbitrary and discriminatory enforcement.” Hill v. Colorado,
Stevens’s primary argument, that the statute is necessarily vague because the definition of “depiction of animal cruelty” is predicated on state law is unavailing. A federal statute is not rendered unconstitutionally vague merely because it incorporates state law; to the contrary, such is a legitimate drafting technique frequently utilized by Congress. See, e.g., 18 U.S.C. § 922 (prohibiting selling “firearm to any person in any State where the purchase or possession by such person of such firearm would be in violation of any State law”); 18 U.S.C. § 1202(b) (criminalizing the transfer of proceeds from any kidnapping punishable under state law). Not surprisingly, courts consistently reject due process challenges premised on incorporation grounds. See, e.g., United States v. Iverson,
Stevens’s next contention is that section 48 is void-for-vagueness because the word “animal” is defined differently in different states. We reject this argument as plainly against the weight of legal authority. See, e.g., Tripp,
IV.
To be sure, we are not insensitive to the concerns implicated when a federal court declares an entire category of speech outside the purview of the First Amendment. Nor can we disagree with our majority colleagues that the judicial power in this realm of constitutional law is one that
In conclusion, 18 U.S.C. § 48 significantly advances the Government’s compelling interest in protecting animals from wanton acts of cruelty, and the depictions it prohibits are of such minimal social value as to render this narrow category of speech outside the scope of the First Amendment. Furthermore, the statute is neither substantially overbroad nor unconstitutionally vague. Thus, we would hold that section 48 is a valid congressional act, and would therefore affirm Stevens’s conviction.
. Throughout this opinion we refer to speech as "unprotected” as a form of shorthand. We mean that “these areas of speech can, consistently with the First Amendment, be regulated because of their constitutionally proscribable content." R.A.V. v. City of St. Paul,
. To the extent the majority suggests that Chaplinsky is somehow of diminished prece-dential force, we respectfully disagree. While it is true that the broad “fighting words” doctrine first recognized in Chaplinsky has been subsequently narrowed, see James L. Swanson, Unholy Fire: Cross Burning, Symbolic Speech, and the First Amendment: Virginia v. Black, 2003 Cato Sup.Ct. Rev. 81, 90 (2002-2003) (suggesting only that the fighting words category of unprotected speech has later been “diluted”), the expansiveness of the particular exception at issue does not detract from the integrity of the constitutional principle articulated there — that certain speech may be categorically unprotected under the First Amendment. Furthermore, that few types of speech have been so deemed under the balancing inquiry says nothing of the continuing vitality of the inquiry itself, especially when this principle continues to be cited by the Supreme Court. See, e.g., Virginia v. Black,
. While the Supreme Court has not established a precise test to determine when a particular interest is sufficiently important to
. The statute defines "sore” to cover any situation where a horse suffers because "an irritating or blistering agent has been applied, internally or externally, by a person to any
. We further reject Stevens's assertion that the fact that society accepts the subjugation of
. Indeed, the question of whether Congress exceeds its constitutional authority when regulating intrastate activities was one that had, until just recently, divided the circuits. Compare, e.g., United States v. Rodia,
. On the other hand, there is nothing over-inclusive about a statute that criminalizes the knowing distribution of depictions between locales where the particular depicted act is illegal in at least one of the two places. On this point, we initially wish to note that the example given by the majority, supra at 233-34, pertaining to Party Z is, in our opinion, somewhat incomplete. Under our reading of section 48, Party Z may be prosecuted for possessing a depiction of animal cruelty in Virginia originally made in the Northern Mariana Islands, even where the underlying activity depicted is legal in the Northern Mariana Islands, only if the act is otherwise illegal in Virginia or in the state or territory to which Party Z knowingly directs the sale of the depiction. Were the acts legal in both Virginia and the Northern Mariana Islands, Party Z could not be prosecuted for selling the depiction in Virginia to someone back in the Northern Mariana Islands.
In any event, Congress was entitled to simply target the "visible apparatus" that is the commercial trafficking of the prohibited materials, especially where the underlying criminal acts are being carried out clandestinely so as to thwart detection and prosecution. New York v. Ferber,
. In analogizing to Ferber, we do not mean to suggest that the conduct underlying the creation of depictions of animal cruelty is of the same order as the reprehensible behavior implicit in child abuse. Nevertheless, insofar as Ferber highlighted the critical circumstances when a new category of consti-nationally proscribable speech may warrant recognition, we find its discussion highly instructive to our resolution of the question at hand — the proper place that depictions of animal cruelty should have in our First Amendment jurisprudence.
. And although "Catch Dogs” contains substantial footage of dogs physically restraining wild hogs, we note nevertheless that the video also plainly depicts a Japanese dogfight in its entirety.
. Caselaw demonstrates that it is not unusual for dog fights to be filmed. See Ash v. State,
