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WEB DESIGN
Jeanne Criscola Criscola Design
free speech first amendment censorship
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Court Opinion |
NATIONAL
ENDOWMENT FOR THE ARTS v.
FINLEY, 524
U.S. 569 (1998)
NATIONAL
ENDOWMENT FOR THE ARTS, ET AL. v.
FINLEY
ET AL
CERTIORARI
TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH
CIRCUIT
No.
97-371.
Argued
March 31, 1998
Decided
June 25, 1998
The National
Foundation on the Arts and Humanities Act vests
the
National Endowment for the Arts (NEA) with substantial
discretion
to award financial grants to support the arts;
it identifies only
the broadest funding priorities, including "artistic
and cultural
significance, giving emphasis to . . . creativity
and cultural
diversity," "professional excellence," and the
encouragement of
"public . . . education . . . and appreciation
of the arts." See 20 U.S.C. § 954(c)(1)-(10).
Applications for NEA funding are
initially reviewed by advisory panels of experts
in the relevant
artistic field. The panels report to the National
Council on the
Arts (Council), which, in turn, advises the
NEA Chairperson. In
1989, controversial photographs that appeared
in two NEA-funded
exhibits prompted public outcry over the agency's
grant-making
procedures. Congress reacted to the controversy
by inserting an
amendment into the NEA's 1990 reauthorization
bill. The
amendment became § 954(d)(1), which directs
the Chairperson
to ensure that "artistic excellence and artistic
merit are the
criteria by which [grant] applications are judged,
taking into
consideration general standards of decency and
respect for the
diverse beliefs and values of the American public."
The NEA has
not promulgated an official interpretation of
the provision, but
the Council adopted a resolution to implement
§ 954(d)(1) by
ensuring that advisory panel members represent
geographic,
ethnic, and esthetic diversity. The four individual
respondents
are performance artists who applied for NEA
grants before §
954(d)(1) was enacted. An advisory panel recommended
approval of
each of their projects, but the Council subsequently
recommended
disapproval, and funding was denied. They filed
suit for
restoration of the recommended grants or reconsideration
of their
applications, asserting First Amendment and
statutory claims.
When Congress enacted § 954(d)(1), respondents,
joined by the
National Association of Artists' Organizations,
amended their
complaint to challenge the provision as void
for vagueness and
impermissibly viewpoint based. The District
Court granted
summary judgment in favor of respondents on
their facial
constitutional challenge to § 954(d)(1).
The Ninth
Circuit affirmed, holding that § 954(d)(1),
on
its face, impermissibly discriminates on the
basis of
viewpoint and is void for vagueness under the
First and Fifth
Amendments.
Held:
Section 954(d)(1) is facially valid, as it neither
inherently
interferes with First Amendment rights nor violates
constitutional
vagueness principles. Pp. 580-590.
(a) Respondents
confront a heavy burden in advancing their facial
constitutional
challenge, and they have not demonstrated a
substantial
risk that application of § 954(d)(1) will
lead to
the suppression of free expression, see Broadrick
v. Oklahoma,
413 U.S. 601,
615. The premise of
respondents' claim is that § 954(d)(1)
constrains the
agency's ability to fund certain categories
of artistic
expression. The provision, however, simply adds
"considerations"
to the grant-making process; it does not preclude
awards to
projects that might be deemed "indecent" or
"disrespectful," nor
place conditions on grants, or even specify
that those factors
must be given any particular weight in reviewing
an application.
Regardless whether the NEA's view that the formulation
of diverse
advisory panels is sufficient to comply with
Congress' command is
in fact a reasonable reading, § 954(d)(1)'s
plain text
clearly does not impose a categorical requirement.
Furthermore,
the political context surrounding the "decency
and respect"
clause's adoption is inconsistent with respondents'
assertion.
The legislation was a bipartisan proposal introduced
as a
counterweight to amendments that would have
eliminated the NEA's
funding or substantially constrained its grant-making
authority.
Section 954(d)(1) merely admonishes the NEA
to take "decency and
respect" into consideration, and the Court does
not perceive a
realistic danger that it will be utilized to
preclude or punish
the expression of particular views. The Court
typically strikes
down legislation as facially unconstitutional
when the dangers
are both more evident and more substantial.
See, e.g.,
R.A.V.
v. St.
Paul,
505 U.S. 377.
Given the
varied interpretations of the "decency and respect"
criteria
urged by the parties, and the provision's vague
exhortation to
"take them into consideration," it seems unlikely
that §
954(d)(1) will significantly compromise First
Amendment values.
The NEA's
enabling statute contemplates a number of indisputably
constitutional
applications for both the "decency" and the
"respect" prong
of § 954(d)(1). It is well established
that
"decency" is a permissible factor where "educational
suitability"
motivates its consideration. See, e.g.,
Board of Ed., Island
Trees
Union Free School Dist. No. 26
v. Pico,
457 U.S. 853,
871. And the statute already provides that the
agency
must take "cultural diversity" into account.
References to
permissible applications would not alone be
sufficient to sustain
the statute,
but neither is the Court persuaded that, in
other applications,
the language of § 954(d)(1) itself will
give rise to the
suppression of protected expression. Any content-based
considerations
that may be taken into account are a
consequence
of the nature of arts funding; the NEA has limited
resources
to allocate among many "artistically excellent"
projects,
and it does so on the basis of a wide variety
of
subjective criteria. Respondent's reliance on
Rosenberger
v. Rector
and Visitors of Univ. of Va.,
515 U.S. 819,
837 — in which the Court overturned
a public
university's objective decision denying funding
to all
student publications having religious editorial
viewpoints
— is therefore misplaced. The NEA's mandate
is to make
esthetic judgments, and the inherently content-based
"excellence"
threshold for NEA support sets it apart from
the
subsidy at issue in Rosenberger.
Moreover, although the
First Amendment applies in the subsidy context,
Congress has wide
latitude to set spending priorities. See, e.g.,
Regan
v. Taxation
with Representation of Wash., 461 U.S.
540, 549.
Unless and until § 954(d)(1) is applied
in a manner
that raises concern about the suppression of
disfavored
viewpoints, the Court will uphold it. Pp. 580-588.
(b) The lower
courts also erred in invalidating § 954(d)(1)
as unconstitutionally
vague. The First and Fifth Amendments
protect speakers
from arbitrary and discriminatory enforcement
of
vague standards. See NAACP
v. Button,
371 U.S. 415,
432-433.
Section 954(d)(1)'s terms are undeniably opaque,
and if they
appeared in a criminal statute or regulatory
scheme,
they could raise substantial vagueness concerns.
It is unlikely,
however, that speakers will be compelled to
steer too far clear
of any forbidden area in the context of NEA
grants. As a
practical matter, artists may conform their
speech to what they
believe to be the NEA decisionmaking criteria
in order to acquire
funding. But when the Government is acting as
patron rather than
sovereign, the consequences of imprecision are
not
constitutionally severe. In the context of selective
subsidies,
it is not always feasible for Congress to legislate
with clarity.
Indeed, to accept respondents' vagueness argument
would be to
call into question the constitutionality of
the many valuable
Government programs awarding scholarships and
grants on the basis
of subjective criteria such as "excellence."
Pp. 588-590.
100 F.3d 671,
reversed and remanded.
O'CONNOR,
J., delivered the opinion of the Court, in which
REHNQUIST, C.J.,
and STEVENS, KENNEDY, and BREYER, JJ., joined,
and in which GINSBURG, J.,
joined except for Part II-B. SCALIA, J., filed
an opinion concurring in
the judgment, in which THOMAS, J., joined, post,
p. 590. SOUTER, J., filed
a dissenting opinion, post,
p. 600.
Solicitor
General Waxman
argued the cause for petitioners. With
him on the briefs were Assistant
Attorney General Hunger, Deputy
Solicitor General Kneedler, Deputy Assistant
Attorney General
Preston, Jeffrey P. Minear, William Kanter,
Alfred Mollin,
and Karen
Christensen.
David
Cole
argued the cause for respondents. With him on
the briefs
were Ellen
Yarshefsky, Marjorie Heins, Steven R.
Shapiro,
Mary D. Dorman,
and Carol
Sobel.
[fn*] Briefs
of amici
curiae
urging reversal were filed for the American
Center for Law and Justice by Jay
A. Sekulow, Colby M. May,
James M. Henderson, Sr.,
and John
P. Tuskey;
for Liberty Counsel
by Mathew
D. Staver
and Frederick
H. Nelson;
and for the National
Family Legal Foundation by Len
L. Munsil.
Briefs of
amici
curiae
urging affirmance were filed for the
American Association
of University Professors et al. by John
Joshua
Wheeler, Jonathan R. Alger,
and Jeffery
P. Cunard;
for Americans
United for Separation of Church and State by
Steven
K.
Green, Julie A. Segal,
and Edward
Tabash;
for the Family Research
Institute of Wisconsin by Daniel
Kelly;
for the New School
for Social Research et al. by Floyd
Abrams, Burt Neuborne,
Kathleen M. Sullivan, Jonathan Sherman, Elai
Katz, and
Deborah
Goldberg;
for the Rockefeller Foundation by Donald
B. Verrilli, Jr.
for Twenty-Six Arts, Broadcast, Library,
Museum and
Publishing Amici
Curiae
by James
F. Fitzpatrick, James
A. Dobkin, Matthew T. Heartney, Mark R. Drozdowski,
Elliot M.
Mincberg,
and Lawrence
S. Ottinger;
for Volunteer Lawyers for the
Arts et al. by Marci
A. Hamilton;
and for Claes Oldenburg et al.
by Gloria
C. Phares.
Paul
J. McGeady
and Robert
W. Peters
filed a brief for Morality
in Media, Inc., as amicus
curiae.
JUSTICE O'CONNOR
delivered the opinion of the Court.
[fn†]
JUSTICE GINSBURG joins all but Part II-B of
this opinion.
The National
Foundation on the Arts and Humanities Act, as
amended in
1990, requires the Chairperson of the National
Endowment
for the Arts (NEA) to ensure that "artistic
excellence and
artistic merit are the criteria by which [grant]
applications are
judged, taking into consideration general standards
of decency
and respect for the diverse beliefs and values
of the American
public." 20 U.S.C. § 954(d)(1).
In this case, we review
the Court of Appeals'
determination that § 954(d)(1), on its
face, impermissibly
discriminates on the basis of viewpoint and
is void for
vagueness under the First and Fifth Amendments.
We conclude that
§ 954(d)(1) is facially valid, as it neither
inherently interferes
with First Amendment rights nor violates
constitutional
vagueness principles.
I
A
With the
establishment of the NEA in 1965, Congress embarked
on a "broadly
conceived national policy of support for the
. . . arts in
the United States," see § 953(b),
pledging federal
funds to "help create and sustain not only a
climate encouraging
freedom of thought, imagination, and inquiry
but also the material
conditions facilitating the release of . . .
creative talent."
§ 951(7). The enabling statute vests the
NEA with substantial
discretion to award grants; it identifies only
the broadest
funding priorities, including "artistic and
cultural significance,
giving emphasis to American creativity and cultural
diversity,"
"professional excellence," and the encouragement
of "public
knowledge, education, understanding, and appreciation
of the
arts." See §§ 954(c)(1)-(10).
Applications
for NEA funding are initially reviewed by advisory
panels composed
of experts in the relevant field of the arts.
Under the
1990 Amendments to the enabling statute, those
panels must
reflect "diverse artistic and cultural points
of view" and include
"wide geographic, ethnic, and minority representation,"
as well as
"lay individuals who are knowledgeable about
the arts."
§§ 959(c)(1)-(2). The panels report
to the 26-member National
Council on the Arts (Council), which, in turn,
advises the
NEA Chairperson. The Chairperson has the ultimate
authority
to award grants but may not approve an application
as to
which the Council has made a negative recommendation.
§ 955(f).
Since 1965,
the NEA has distributed over three billion dollars
in grants
to individuals and organizations, funding that
has served as
a catalyst for increased state, corporate, and
foundation support
for the arts. Congress has recently restricted
the availability
of federal funding for individual artists, confining
grants primarily
to qualifying organizations and state arts
agencies,
and constraining sub-granting. See Department
of the Interior
and Related Agencies Appropriations Act, 1998,
Pub. L. 105-83,
§ 329, 111 Stat. 1600. By far the largest
portion of the
grants distributed in fiscal year 1998 were
awarded directly to
state arts agencies. In the remaining categories,
the most substantial
grants were allocated to symphony orchestras,
fine arts
museums, dance theater foundations, and opera
associations. See
National Endowment for the Arts, FY 1998 Grants,
Creation & Presentation
5-8, 21, 20, 27.
Throughout
the NEA's history, only a handful of the agency's
roughly 100,000
awards have generated formal complaints about
misapplied
funds or abuse of the public's trust. Two provocative
works, however,
prompted public controversy in 1989 and led
to congressional
revaluation of the NEA's funding priorities
and efforts
to increase oversight of its grant-making procedures.
The Institute
of Contemporary Art at the University of
Pennsylvania
had used $30,000 of a visual arts grant it received
from the NEA
to fund a 1989 retrospective of photographer
Robert Mapplethorpe's
work. The exhibit, entitled The
Perfect Moment,
included homoerotic photographs that several
Members of
Congress condemned as pornographic. See, e.g.,
135 Cong.
Rec. 22372 (1989). Members also denounced artist
Andres Serrano's
work Piss
Christ,
a photograph of a crucifix immersed
in urine. See, e.g.,
id.,
at 9789. Serrano
had been awarded a $15,000 grant from the Southeast
Center for
Contemporary Art, an organization that received
NEA support.
When considering
the NEA's appropriations for fiscal year 1990,
Congress reacted
to the controversy surrounding the Mapplethorpe
and Serrano photographs by eliminating $45,000
from the agency's
budget, the precise amount contributed to the
two exhibits
by NEA grant recipients. Congress also enacted
an amendment
providing that no NEA funds "may be used to
promote, disseminate,
or produce materials which in the judgment of
[the NEA]
may be considered obscene, including but not
limited to, depictions
of sadomasochism, homoeroticism, the sexual
exploitation
of children, or individuals engaged in sex acts
and which,
when taken as a whole, do not have serious literary,
artistic,
political, or scientific value." Department
of the Interior
and Related Agencies Appropriations Act, 1990,
Pub. L. 101-121,
103 Stat. 738, 738-742. The NEA implemented
Congress' mandate by
instituting a requirement that all grantees
certify in writing that
they would not utilize federal funding to engage
in projects inconsistent
with the criteria in the 1990 appropriations
bill. That
certification requirement was subsequently invalidated
as unconstitutionally
vague by a Federal District Court, see
Bella
Lewitzky Dance Foundation
v. Frohnmayer,
754 F. Supp. 774
(CD Cal. 1991), and the NEA did not appeal the
decision.
In the 1990
appropriations bill, Congress also agreed to
create an
Independent Commission of constitutional law
scholars to review
the NEA's grant-making procedures and assess
the possibility
of more focused standards for public arts funding.
The Commission's
report, issued in September 1990, concluded
that there
is no constitutional obligation to provide arts
funding, but
also recommended that the NEA rescind the certification
requirement
and cautioned against legislation setting forth
any content
restrictions. Instead, the Commission suggested
procedural
changes to enhance the role of advisory panels
and a statutory
reaffirmation of "the high place the nation
accords to the
fostering of mutual respect for the disparate
beliefs and values
among us." See Independent Commission, Report
to Congress on
the National
Endowment for the Arts 83-91 (Sept. 1990), 3
Record, Doc.
No. 151, Exh. K (hereinafter Report to Congress).
Informed
by the Commission's recommendations, and cognizant
of pending
judicial challenges to the funding limitations
in the 1990
appropriations bill, Congress debated several
proposals to reform
the NEA's grant-making process when it considered
the agency's
reauthorization in the fall of 1990. The House
rejected the
Crane Amendment, which would have virtually
eliminated the NEA,
see 136 Cong. Rec. 28656-28657 (1990), and the
Rohrabacher Amendment,
which would have introduced a prohibition on
awarding any
grants that could be used to "promote, distribute,
disseminate,
or produce matter that has the purpose or effect
of denigrating
the beliefs, tenets, or objects of a particular
religion"
or "of denigrating an individual, or group of
individuals,
on the basis of race, sex, handicap, or national
origin," id.,
at 28657-28664. Ultimately, Congress
adopted the
Williams/Coleman Amendment, a bipartisan compromise
between Members
opposing any funding restrictions and those
favoring some
guidance to the agency. In relevant part, the
Amendment
became § 954(d)(1), which directs the Chairperson,
in establishing
procedures to judge the artistic merit of grant
applications,
to "tak[e] into consideration general standards
of decency
and respect for the diverse beliefs and values
of the American
public."
The NEA has
not promulgated any official interpretation
of the
provision, but in December 1990, the Council
unanimously adopted
a resolution to implement § 954(d)(1) merely
by ensuring
that the members of the advisory panels that
conduct the initial
review of grant applications represent geographic,
ethnic, and
esthetic diversity. See Minutes of the Dec.
1990 Retreat
of the National Council on the Arts, reprinted
in App. 12-13;
Transcript of the Dec. 1990 Retreat of the National
Council on
the Arts, reprinted in id.,
32-33. John Frohnmayer,
then Chairperson of the NEA, also declared that
he would
"count on [the] procedures" ensuring diverse
membership on the
peer review panels to fulfill Congress' mandate.
See id.,
at 40.
B
The four
individual respondents in this case, Karen Finley,
John Fleck,
Holly Hughes, and Tim Miller, are performance
artists who applied
for NEA grants before § 954(d)(1) was enacted.
An advisory
panel recommended approval of respondents' projects,
both initially
and after receiving Frohnmayer's request to
reconsider
three of the applications. A majority of the
Council subsequently
recommended disapproval, and in June 1990, the
NEA informed
respondents that they had been denied funding.
Respondents
filed suit, alleging that the NEA had violated
their First
Amendment rights by rejecting the applications
on political grounds,
had failed to follow statutory procedures by
basing the denial
on criteria other than those set forth in the
NEA's enabling
statute, and had breached the confidentiality
of their grant
applications through the release of quotations
to the press,
in violation of the Privacy Act of 1974, 5
U.S.C. § 552(a).
Respondents
sought restoration of the recommended grants
or reconsideration
of their applications, as well as damages for
the alleged
Privacy Act violations. When Congress enacted
§ 954(d)(1),
respondents, now joined by the National Association
of Artists'
Organizations (NAAO), amended their
complaint to challenge the provision as void
for vagueness and
impermissibly viewpoint based. First Amended
Complaint
1.
The District
Court denied the NEA's motion for judgment on
the pleadings,
795 F. Supp. 1457,
1463-1468 (CD Cal. 1992), and, after
discovery, the NEA agreed to settle the
individual respondents' statutory and as-applied
constitutional claims
by paying the artists the amount of the vetoed
grants, damages, and
attorney's fees. See Stipulation and Settlement
Agreement, 6 Record,
Doc. No. 128, pp. 3-5.
The District
Court then granted summary judgment in favor
of respondents
on their facial constitutional challenge to
§ 954(d)(1)
and enjoined enforcement of the provision. See
795 F. Supp.,
at 1476. The court rejected the argument that
the NEA could
comply with § 954(d)(1) by structuring
the grant selection
process to provide for diverse advisory panels.
Id.,
at 1471. The provision, the court stated, "fails
adequately
to notify applicants of what is required of
them or to circumscribe
NEA discretion." Id.,
at 1472. Reasoning that
"the very nature of our pluralistic society
is that there are
an infinite number of values and beliefs, and
correlatively, there
may be no national `general standards of decency,'"
the court
concluded that § 954(d)(1) "cannot be given
effect consistent
with the Fifth Amendment's due process requirement."
Id.,
at 1471-1472 (citing Grayned
v. City
of
Rockford,
408 U.S. 104,
108-109 (1972)). Drawing an analogy
between arts funding and public universities,
the court further
ruled that the First Amendment constrains the
NEA's grant-making
process, and that because § 954(d)(1) "clearly
reaches a
substantial amount of protected speech," it
is impermissibly
overbroad on its face. 795 F. Supp., at 1476.
The Government
did not seek a stay of the District Court's
injunction,
and consequently the NEA has not applied §
954(d)(1)
since June 1992.
A divided
panel of the Court of Appeals affirmed the District
Court's ruling.
100 F.3d 671
(CA9 1996). The majority agreed
with the District Court that the NEA was compelled
by the adoption
of § 954(d)(1) to alter its grant-making
procedures to
ensure that applications are judged according
to the "decency and
respect" criteria. The Chairperson,
the court reasoned, "has no discretion to ignore
this obligation,
enforce only part of it, or give it a cramped
construction." Id.,
at 680. Concluding that the "decency and respect"
criteria are
not "susceptible to objective definition," the
court held that § 954(d)(1)
"gives rise to the danger of arbitrary and
discriminatory
application" and is void for vagueness under
the First
and Fifth Amendments.
Id.,
at 680-681. In the alternative,
the court ruled that § 954(d)(1) violates
the First
Amendment's prohibition on viewpoint-based restrictions
on protected
speech. Government funding of the arts, the
court explained,
is both a "traditional sphere of free expression,"
Rust
v. Sullivan,
500 U.S. 173,
200 (1991), and an
area in which the Government has stated its
intention to "encourage
a diversity of views from private speakers,"
Rosenberger
v. Rector
and Visitors of Univ. of Va.,
515 U.S. 819,
834 (1995). 100 F.3d, at 681-682. Accordingly,
finding that § 954(d)(1) "has a speech-based
restriction
as its sole rationale and operative principle,"
Rosenberger,
supra,
at 834, and noting the NEA's
failure to articulate a compelling interest
for the provision,
the court declared it facially invalid. 100
F.3d, at 683.
The dissent
asserted that the First Amendment protects artists'
rights to
express themselves as indecently and disrespectfully
as they
like, but does not compel the Government to
fund that speech.
Id.,
at 684 (Kleinfeld, J., dissenting). The
challenged
provision, the dissent contended, did not prohibit
the NEA
from funding indecent or offensive art, but
merely required the
agency to consider the "decency and respect"
criteria in the grant
selection process. Id.,
at 689-690. Moreover, according
to the dissent's reasoning, the vagueness principles
applicable
to the direct regulation of speech have no bearing
on the
selective award of prizes, and the
Government may draw distinctions based on content
and viewpoint
in making its funding decisions. Id.,
at 684-688.
Three judges dissented from the denial of rehearing
en banc,
maintaining that the panel's decision gave the
statute an "implausible
construction," applied the "`void for vagueness'
doctrine where
it does not belong," and extended "First Amendment
principles
to a situation that the First Amendment doesn't
cover." 112
F.3d 1015,
1016-1017 (CA9 1997).
We granted
certiorari, 522 U.S. 991 (1997), and now reverse
the judgment
of the Court of Appeals.
II
A
Respondents
raise a facial constitutional challenge to §
954(d)(1),
and consequently they confront "a heavy burden"
in advancing
their claim. Rust,
supra,
at 183. Facial
invalidation "is, manifestly, strong medicine"
that "has been
employed by the Court sparingly and only as
a last resort." Broadrick
v. Oklahoma,
413 U.S. 601,
613 (1973);
see also FW/PBS,
Inc.
v. Dallas,
493 U.S. 215,
223 (1990) (noting that "facial challenges to
legislation
are generally disfavored"). To prevail, respondents
must demonstrate
a substantial risk that application of the
provision
will lead to the suppression of speech. See
Broadrick,
supra,
at 615.
Respondents
argue that the provision is a paradigmatic example
of viewpoint
discrimination because it rejects any artistic
speech that
either fails to respect mainstream values or
offends standards
of decency. The premise of respondents' claim
is that §
954(d)(1) constrains the agency's ability to
fund certain categories
of artistic expression. The NEA, however, reads
the provision
as merely hortatory, and contends that it stops
well short
of an absolute restriction. Section 954(d)(1)
adds "considerations"
to the grant-making process; it does not
preclude awards
to projects that might be deemed "indecent"
or "disrespectful,"
nor place conditions on grants, or even specify
that those
factors must be given any
particular weight in reviewing an application.
Indeed, the agency
asserts that it has adequately implemented §
954(d)(1) merely
by ensuring the representation of various backgrounds
and points
of view on the advisory panels that analyze
grant applications.
See Declaration of Randolph McAusland, Deputy
Chairman for
Programs at the NEA, reprinted in App. 79 (stating
that the NEA
implements the provision "by ensuring that the
peer review
panels represent a variety of geographical areas,
aesthetic
views, professions, areas of expertise, races
and ethnic
groups, and gender, and include a lay person").
We do not decide
whether the NEA's view — that the formulation
of diverse
advisory panels is sufficient to comply with
Congress' command
— is in fact a reasonable reading of the
statute. It
is clear, however, that the text of § 954(d)(1)
imposes no
categorical requirement. The advisory language
stands in sharp contrast
to congressional efforts to prohibit the funding
of certain
classes of speech. When Congress has in fact
intended to
affirmatively constrain the NEA's grant-making
authority, it has
done so in no uncertain terms. See § 954(d)(2)
("[O]bscenity
is without artistic merit, is not protected
speech, and
shall not be funded").
Furthermore,
like the plain language of § 954(d), the
political
context surrounding the adoption of the "decency
and respect"
clause is inconsistent with respondents' assertion
that the
provision compels the NEA to deny funding on
the basis of viewpoint
discriminatory criteria. The legislation was
a bipartisan
proposal introduced as a counterweight to amendments
aimed at eliminating
the NEA's funding or substantially constraining
its grant-making authority. See, e.g.,
136 Cong.
Rec. 28626, 28632, 28634 (1990). The Independent
Commission
had cautioned Congress against the adoption
of distinct
viewpoint-based standards for funding, and the
Commission's
report suggests that "additional criteria for
selection,
if any, should be incorporated as part of the
selection
process (perhaps as part of a definition of
`artistic excellence'),
rather than isolated and treated as exogenous
considerations."
Report to Congress, at 89. In keeping with
that recommendation,
the criteria in § 954(d)(1) inform
the assessment
of artistic merit, but Congress declined to
disallow any
particular viewpoints. As the sponsors of §
954(d)(1) noted
in urging rejection of the Rohrabacher Amendment,
"if we start
down that road of prohibiting categories of
expression, categories
which are indeed constitutionally protected
speech, where
do we end? Where one Member's aversions end,
others with different
sensibilities and with different values begin."
136 Cong.
Rec. 28624 (statement of Rep. Coleman); see
also id.,
at 28663 (statement of Rep. Williams) (arguing
that the
Rohrabacher Amendment would prevent the funding
of Jasper Johns'
flag series, "The Merchant of Venice," "Chorus
Line," "Birth
of a Nation," and the "Grapes of Wrath"). In
contrast, before
the vote on § 954(d)(1), one of its sponsors
stated: "If
we have done one important thing in this amendment,
it is this.
We have maintained the integrity of freedom
of expression in
the United States." Id.,
at 28674.
That §
954(d)(1) admonishes the NEA merely to take
"decency and
respect" into consideration, and that the legislation
was aimed
at reforming procedures rather than precluding
speech, undercut
respondents' argument that the provision inevitably
will be
utilized as a tool for invidious viewpoint discrimination.
In cases
where we have struck down legislation as facially
unconstitutional,
the dangers were both more evident and more
substantial.
In R.A.V.
v. St.
Paul,
505 U.S. 377 (1992),
for example, we invalidated on its face a municipal
ordinance
that defined as a criminal offense the placement
of a symbol
on public or private property "`which one knows
or has reasonable
grounds to know arouses anger, alarm, or resentment
in others
on the basis of race, color, creed, religion,
or gender.'" See
id.,
at 380. That provision set forth a clear penalty,
proscribed
views on particular "disfavored subjects," id.,
at 391,
and suppressed "distinctive idea[s], conveyed
by a distinctive message,"
id.,
at 393.
In contrast,
the "decency and respect" criteria do not silence
speakers by
expressly "threaten[ing] censorship of ideas."
See ibid.
Thus, we do not perceive a realistic danger
that §
954(d)(1) will compromise First Amendment values.
As respondents'
own arguments demonstrate, the considerations
that the
provision introduces, by their nature, do not
engender the kind
of directed viewpoint discrimination that would
prompt this Court
to invalidate a statute on its face. Respondents
assert, for
example, that "[o]ne would be hard-pressed to
find two people in
the United States who could agree on what the
`diverse beliefs and
values of the American public' are, much less
on whether a particular
work of art `respects' them"; and they claim
that "`[d]ecency'
is likely to mean something very different to
a septegenarian
in Tuscaloosa and a teenager in Las Vegas."
Brief for
Respondents 41. The NEA likewise views the considerations
enumerated
in § 954(d)(1) as susceptible to multiple
interpretations.
See Department of the Interior and Related
Agencies Appropriations
for 1992, Hearing before the Subcommittee
on Interior
and Related Agencies of the House Committee
on Appropriations,
102d Cong., 1st Sess., 234 (1991) (testimony
of John
Frohnmayer) ("[N]o one individual is wise enough
to be able to
consider general standards of decency and the
diverse values and
beliefs of the American people all by him or
herself. These are
group decisions"). Accordingly, the provision
does not introduce
considerations that, in practice, would effectively
preclude or
punish the expression of particular views. Indeed,
one could
hardly anticipate how "decency" or "respect"
would bear on
grant applications in categories such as funding
for symphony orchestras.
Respondents'
claim that the provision is facially
unconstitutional
may be reduced to the argument that the criteria
in §
954(d)(1) are sufficiently subjective that the
agency could
utilize them to engage in viewpoint discrimination.
Given the
varied interpretations of the criteria and the
vague exhortation
to "take them into consideration," it seems
unlikely that
this provision will introduce any greater element
of selectivity
than the determination of "artistic excellence"
itself. And
we are reluctant, in any event, to invalidate
legislation
"on the basis of its hypothetical application
to situations
not before the Court." FCC
v. Pacifica
Foundation,
438 U.S. 726,
743 (1978).
The NEA's
enabling statute contemplates a number of indisputably
constitutional
applications for both the "decency" prong of
§ 954(d)(1)
and its reference to "respect for the diverse
beliefs and
values of the American public." Educational
programs are central
to the NEA's mission. See § 951(9) ("Americans
should receive
in school, background and preparation in the
arts and
humanities"); § 954(c)(5) (listing "projects
and productions
that will encourage public knowledge, education,
understanding,
and appreciation of the arts" among the NEA's
funding priorities);
National Endowment for the Arts, FY 1999
Application
Guidelines 18-19 (describing "Education &
Access" category);
Brief for Twenty-six Arts, Broadcast, Library,
Museum, and
Publishing Amici
Curiae
5, n. 2 (citing NEA Strategic Plan
FY 1997-FY 2002, which identifies children's
festivals and museums,
art education, at-risk youth projects, and artists
in schools
as examples of the NEA's activities). And it
is well established
that "decency" is a permissible factor where
"educational
suitability" motivates its consideration. Board
of
Ed., Island Trees Union Free School Dist. No.
26
v. Pico,
457 U.S. 853,
871 (1982); see also Bethel
School
Dist. No. 403
v. Fraser,
478 U.S. 675,
683 (1986)
("Surely it is a highly appropriate function
of public school
education to prohibit the use of vulgar and
offensive terms
in public discourse").
Permissible
applications of the mandate to consider
"respect for
the diverse beliefs and values of the American
public" are
also apparent. In setting forth the purposes
of the NEA, Congress explained
that "[i]t is vital to democracy to honor and
preserve its
multicultural artistic heritage."
§ 951(10).
The agency expressly takes diversity into account,
giving special
consideration to "projects and productions .
. . that
reach, or reflect the culture of, a minority,
inner city, rural,
or tribal community," § 954(c)(4), as well
as projects that
generally emphasize "cultural diversity," §
954(c)(1). Respondents
do not contend that the criteria in § 954(d)(1)
are impermissibly
applied when they may be justified, as the
statute contemplates,
with respect to a project's intended
audience.
We recognize,
of course, that reference to these permissible
applications
would not alone be sufficient to sustain the
statute against
respondents' First Amendment challenge. But
neither are we
persuaded that, in other applications, the language
of § 954(d)(1)
itself will give rise to the suppression of
protected expression.
Any content-based considerations that may be
taken into
account in the grant-making process are a consequence
of the nature
of arts funding. The NEA has limited resources
and it must
deny the majority of the grant applications
that it receives,
including many that propose "artistically excellent"
projects.
The agency may decide to fund particular projects
for a
wide variety of reasons, "such as the technical
proficiency of the
artist, the creativity of the work, the anticipated
public interest
in or appreciation of the work, the work's contemporary
relevance,
its educational value, its suitability for or
appeal to
special audiences (such as children or the disabled),
its service
to a rural or isolated community, or even simply
that the work
could increase public knowledge of an art form."
Brief for Petitioners
32. As the dissent below noted, it would b
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