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Respondents were convicted under the Protection of Children Against Sexual Exploitation Act of 1977, which prohibits "knowingly" transporting, shipping, receiving, distributing, or reproducing a visual depiction, 18 U.S.C. 2252 (a)(1) and (2), if such depiction "involves the use of a minor engaging in sexually explicit conduct," 2252 (a)(1)(A) and (2)(A). In reversing, the Ninth Circuit held, inter alia, that 2252 was facially unconstitutional under the First Amendment because it did not require a showing that the defendant knew that one of the performers was a minor.
Held:
Because the term "knowingly" in 2252 (1) and (2) modifies the phrase "the use of a minor" in subsections (1)(A) and (2)(A), the Act is properly read to include a scienter requirement for age of minority. This Court rejects the most natural grammatical reading, adopted by the Ninth Circuit, under which "knowingly" modifies only the relevant verbs in subsections (1) and (2), and does not extend to the elements of the minority of the performers, or the sexually explicit nature of the material, because they are set forth in independent clauses separated by interruptive punctuation. Some applications of that reading would sweep within the statute's ambit actors who had no idea that they were even dealing with sexually explicit material, an anomalous result that the Court will not assume Congress to have intended. Moreover, Morissette v. United States,
982 F.2d 1285, reversed.
REHNQUIST, C.J., delivered the opinion of the Court, in which STEVENS, O'CONNOR, KENNEDY, SOUTER, GINSBURG, and BREYER, JJ., joined. STEVENS, J., filed a concurring opinion. SCALIA, J., filed a dissenting opinion, in which THOMAS, J., joined. [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 1]
CHIEF JUSTICE REHNQUIST delivered the opinion of the Court.
The Protection of Children Against Sexual Exploitation Act of 1977, as amended, prohibits the interstate transportation, shipping, receipt, distribution or reproduction of visual depictions of minors engaged in sexually explicit conduct. 18 U.S.C. 2252. The Court of Appeals for the Ninth Circuit reversed the conviction of respondents for violation of this Act. It held that the Act did not require that the defendant know that one of the performers was a minor, and that it was therefore facially unconstitutional. We conclude that the Act is properly read to include such a requirement.
Rubin Gottesman owned and operated X-Citement Video, Inc. Undercover police posed as pornography retailers and targeted X-Citement Video for investigation. During the course of the sting operation, the media exposed Traci Lords for her roles in pornographic films while under the age of 18. Police Officer Steven Takeshita expressed an interest in obtaining Traci Lords tapes. Gottesman complied, selling Takeshita 49 videotapes featuring Lords before her 18th birthday. Two months later, Gottesman shipped eight tapes of the underage Traci Lords to Takeshita in Hawaii. [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 2]
These two transactions formed the basis for a federal indictment under the child pornography statute. The indictment charged respondents with one count each of violating 18 U.S.C. 2252 (a)(1) and (a)(2), along with one count of conspiracy to do the same under 18 U.S.C. 371.
1
Evidence at trial suggested that Gottesman had full awareness of Lords' underage performances. United States v. Gottesman, No. CR 88-295KN, Findings of Fact § 7 (CD Cal., Sept. 20, 1989), App. to Pet. for Cert. A-39 ("Defendants knew that Traci Lords was underage when she made the films defendant's [sic] transported or shipped in interstate commerce"). The District Court convicted respondents of all three counts. On appeal, Gottesman argued inter alia that the Act was facially unconstitutional because it lacked a necessary scienter requirement and was unconstitutional as applied because the tapes at issue were not child pornography. The Ninth Circuit remanded to the District Court for reconsideration in light of United States v. Thomas, 893 F.2d 1066 (CA9), cert. denied,
On appeal for the second time, Gottesman reiterated his constitutional arguments. This time, the court reached the merits of his claims and, by a divided vote, found 2252 facially unconstitutional. The court first held that 18 U.S.C. 2256 met constitutional standards in setting the age of minority at age 18, substituting lascivious for lewd, and prohibiting actual or simulated bestiality and sadistic or masochistic abuse. 982 F.2d 1285,
[ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994)
, 3]
1288-1289 (CA9 1992). It then discussed 2252, noting it was bound by its conclusion in Thomas to construe the Act as lacking a scienter requirement for the age of minority. The court concluded that case law from this Court required that the defendant must have knowledge at least of the nature and character of the materials. 982 F.2d, at 1290, citing Smith v. California,
Title 18 U.S.C. 2252 (1988 ed. and Supp. V) provides, in relevant part:
If the term "knowingly" applies only to the relevant verbs in 2252 - transporting, shipping, receiving, distributing and reproducing - we would have to conclude that Congress wished to distinguish between someone who knowingly transported a particular package of film whose contents were unknown to him, and someone who unknowingly transported that package. It [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 5] would seem odd, to say the least, that Congress distinguished between someone who inadvertently dropped an item into the mail without realizing it, and someone who consciously placed the same item in the mail, but was nonetheless unconcerned about whether the person had any knowledge of the prohibited contents of the package.
Some applications of respondents' position would produce results that were not merely odd, but positively absurd. If we were to conclude that "knowingly" only modifies the relevant verbs in 2252, we would sweep within the ambit of the statute actors who had no idea that they were even dealing with sexually explicit material. For instance, a retail druggist who returns an uninspected roll of developed film to a customer "knowingly distributes" a visual depiction and would be criminally liable if it were later discovered that the visual depiction contained images of children engaged in sexually explicit conduct. Or, a new resident of an apartment might receive mail for the prior resident and store the mail unopened. If the prior tenant had requested delivery of materials covered by 2252, his residential successor could be prosecuted for "knowing receipt" of such materials. Similarly, a Federal Express courier who delivers a box in which the shipper has declared the contents to be "film" "knowingly transports" such film. We do not assume that Congress, in passing laws, intended such results. Public Citizen v. Department of Justice,
Our reluctance to simply follow the most grammatical reading of the statute is heightened by our cases interpreting criminal statutes to include broadly applicable scienter requirements, even where the statute by its terms does not contain them. The landmark opinion in Morissette v. United States,
Liparota v. United States,
The same analysis drove the recent conclusion in Staples v. United States, 511 U.S. ___ (1994), that to be criminally liable a defendant must know that his weapon possessed automatic firing capability so as to make it a machine gun as defined by the National Firearms Act. Congress had not expressly imposed any mens rea requirement in the provision criminalizing the possession of a firearm in the absence of proper registration. 26 U.S.C. 5861 (d). The Court first rejected the argument that the statute described a public welfare offense, traditionally excepted from the background principle favoring scienter. Morissette, supra, at 255. The Court then expressed concern with a statutory reading that would criminalize behavior that a defendant believed fell within "a long tradition of widespread lawful gun ownership by private individuals." Staples, 511 U.S., at ___ (slip op., at 10). The Court also emphasized the harsh penalties attaching to violations of the statute as a "significant consideration in determining whether the statute should be construed as dispensing with mens rea." Id., at ___ (slip op., at 16).
Applying these principles, we think the Ninth Circuit's plain language reading of 2252 is not so plain. First, 2252 is not a public welfare offense. Persons do not harbor settled expectations that the contents of magazines and film are generally subject to stringent public regulation. In fact, First Amendment constraints presuppose the opposite view. Rather, the statute is more akin to the common law offenses against the "state, person, property, or public morals," Morissette, supra, at 255, that presume a scienter requirement in the absence of express contrary intent. 2 Second, [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 8] Staples' concern with harsh penalties looms equally large respecting 2252: violations are punishable by up to 10 years in prison as well as substantial fines and forfeiture. 18 U.S.C. 2252 (b), 2253, 2254. See also Morissette, supra, at 260.
Morissette, reinforced by Staples, instructs that the presumption in favor of a scienter requirement should apply to each of the statutory elements which criminalize otherwise innocent conduct. Staples held that the features of a gun as technically described by the firearm registration act was such an element. Its holding rested upon "the nature of the particular device or substance Congress has subjected to regulation and the expectations that individuals may legitimately have in dealing with the regulated items." Staples, supra, at ___ (slip op., at 20). Age of minority in 2252 indisputably possesses the same status as an elemental fact because non-obscene, sexually explicit materials involving persons over the age of 17 are protected by the First Amendment. Alexander v. United States, 509 U.S. ___ (1993) (slip op., at 4-5); Sable Communications of California, Inc. v. Federal Communications Commission,
The legislative history of the statute evolved over a period of years, and perhaps for that reason speaks somewhat indistinctly to the question whether "knowingly" in the statute modifies the elements of (1)(A) and (2)(A) - that the visual depiction involves the use of a minor engaging in sexually explicit conduct - or merely the verbs "transport or ship" in (1) and "receive or distribute . . . [or] reproduce" in (2). In 1959 we held in Smith v. California, supra, that a California statute which dispensed with any mens rea requirement as to the contents of an obscene book would violate the First Amendment. Id., at 154. When Congress began dealing with child pornography in 1977, the content of the legislative debates suggest that it was aware of this decision. See, e.g., 123 Cong. Rec. 30935 (1977) ("It is intended that they have knowledge of the type of material . . . proscribed by this bill. The legislative history should be clear on that so as to remove any chance it will lead into constitutional problems"). Even if that were not the case, we do not impute to Congress an intent to pass legislation that is inconsistent with the Constitution as construed by this Court. Yates v. United States,
In 1984, Congress amended the statute to its current form, broadening its application to those sexually explicit materials that, while not obscene as defined by Miller v. California,
The committee reports and legislative debate speak more opaquely as to the desire of Congress for a scienter requirement with respect to the age of minority. An early form of the proposed legislation, S. 2011, was rejected principally because it failed to distinguish [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 11] between obscene and non-obscene materials. S. Rep. No. 95-438, p. 12 (1977). In evaluating the proposal, the Justice Department offered its thoughts:
The legislative history can be summarized by saying that it persuasively indicates that Congress intended that the term "knowingly" apply to the requirement that the depiction be of sexually explicit conduct; it is a good deal less clear from the Committee Reports and floor debates that Congress intended that the requirement extend also to the age of the performers. But, turning once again to the statute itself, if the term "knowingly" applies to the sexually explicit conduct depicted, it is emancipated from merely modifying the verbs in subsections (1) and (2). And as a matter of grammar it is difficult to conclude that the word "knowingly" modifies one of the elements in (1)(A) and (2)(A), but not the other.
A final canon of statutory construction supports the reading that the term "knowingly" applies to both elements. Cases such as Ferber,
For all of the foregoing reasons, we conclude that the term "knowingly" in 2252 extends both to the sexually explicit nature of the material and to the age of the performers.
As an alternative grounds for upholding the reversal of their convictions, respondents reiterate their constitutional challenge to 18 U.S.C. 2256. These claims were not encompassed in the question on which this Court granted certiorari, but a prevailing party, without cross-petitioning, is "entitled under our precedents to urge any grounds which would lend support to the judgment below." Dayton Bd. of Ed. v. Brinkman,
Respondents also argued below that their indictment was fatally defective because it did not contain a scienter requirement on the age of minority. The Court of Appeals did not reach this issue because of its determination that 2252 was unconstitutional on its face, and we decline to decide it here.
The judgment of the Court of Appeals is
[ Footnote 2 ] Morissette's treatment of the common law presumption of mens rea recognized that the presumption expressly excepted "sex offenses, such as rape, in which the victim's actual age was determinative despite defendant's reasonable belief that the girl had [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 8] reached the age of consent." 342 U.S. at 251, n. 8. But as in the criminalization of pornography production at 18 U.S.C. 2251, see infra, at 12 n. 5, the perpetrator confronts the underage victim personally and may reasonably be required to ascertain that victim's age. The opportunity for reasonable mistake as to age increases significantly once the victim is reduced to a visual depiction, unavailable for questioning by the distributor or receiver. Thus we do not think the common law treatment of sex offenses militates against our construction of the present statute.
[
Footnote 3
] In this regard, age of minority is not a "jurisdictional fact" that enhances an offense otherwise committed with an evil intent. See, e.g., United States v. Feola,
[
Footnote 4
] The Miller test for obscenity asks whether the work, taken as a whole, "appeals to the prurient interest," "depicts or describes [sexual conduct] in a patently offensive way," and "lacks serious literary, artistic, political, or scientific value." Miller,
[ Footnote 5 ] The difference in congressional intent with respect to 2251 versus 2252 reflects the reality that producers are more conveniently able to ascertain the age of performers. It thus makes sense to impose the risk of error on producers. United States v. United States District Court for Central District of California, 858 F.2d 534, 543, n. 6 (CA9 1988). Although producers may be convicted under 2251 (a) without proof they had knowledge of age, Congress has independently required both primary and secondary producers to record the ages of performers with independent penalties for failure to comply. 18 U.S.C. 2257 (a) and (i) (1988 ed. and Supp. V); American Library Assn. v. Reno, 33 F.3d 78 (CADC 1994).
[
Footnote 6
] Congress amended 2251 to insert subsection (c) in 1986. Pub. L. 99-628, 100 Stat. 3510. That provision created new offenses relating to the advertising of the availability of child pornography or soliciting children to participate in such depictions. The legislative history of 2251(c) does address the scienter requirement: "The government must prove that the defendant knew the character of the visual depictions as depicting a minor engaging in sexually explicit conduct, but need not prove that the defendant actually knew the person depicted was in fact under 18 years of age or that the depictions violated Federal law." H. Rep. No. 99-910, p. 6 (1986). It may be argued that since the House Committee Report rejects any requirement of scienter as to the age of minority for 2251 (c),
[ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994)
, 14]
the House Committee thought that there was no such requirement in 2252. But the views of one Congress as to the meaning of an act passed by an earlier Congress are not ordinarily of great weight, United States v. Clark,
JUSTICE STEVENS, concurring.
In my opinion, the normal, commonsense reading of a subsection of a criminal statute introduced by the word "knowingly" is to treat that adverb as modifying each of the elements of the offense identified in the remainder of the subsection. 18 U.S.C. 2252 (a)(1) reads as follows:
JUSTICE SCALIA, with whom JUSTICE THOMAS joins, dissenting.
Today's opinion is without antecedent. None of the decisions cited as authority support interpreting an explicit statutory scienter requirement in a manner that its language simply will not bear. Staples v. United States, 511 U.S. ___ (1994), discussed ante, at 7, and United States v. United States Gypsum Co.,
There is no way in which any of these cases, or all of them in combination, can be read to stand for the sweeping proposition that "the presumption in favor of a scienter requirement should apply to each of the statutory elements which criminalize otherwise innocent conduct," ante, at 8, even when the plain text of the statute says otherwise. All those earlier cases employ the presumption as a rule of interpretation which applies when Congress has not addressed the question of criminal intent (Staples and Gypsum), or when the import of what it has said on that subject is ambiguous (Morissette and Liparota). Today's opinion converts the rule of interpretation into a rule of law, contradicting the plain import of what Congress has specifically prescribed regarding criminal intent.
In United States v. Thomas, 893 F.2d 1066, 1070 (CA9), cert. denied,
I have been willing, in the case of civil statutes, to acknowledge a doctrine of "scrivener's error" that permits a court to give an unusual (though not unheard-of) meaning to a word which, if given its normal meaning, would produce an absurd and arguably unconstitutional result. See Green v. Bock Laundry Machine Co.,
The Court acknowledges that "it is a good deal less clear from the Committee Reports and floor debates that Congress intended that the requirement [of scienter] extend . . . to the age of the performers." Ante, at 14. That is surely so. In fact it seems to me that the dominant (if not entirely uncontradicted) view expressed in the legislative history is that set forth in the statement of the Carter Administration Justice Department which introduced the original bill: "[T]he defendant's knowledge of the age of the child is not an element of the offense but . . . the bill is not intended to apply to innocent transportation with no knowledge of the nature or character of the material involved." S. Rep. No. 95-438, p. 29 (1977). As applied to the final bill, this would mean that the scienter requirement applies to the element of the crime that the depiction be of "sexually explicit conduct," but not to the element that the depiction "involv[e] the use of a minor engaging" in such conduct. See 18 U.S.C. 2252 (a)(1)(A) and (a)(2)(A). This is the interpretation that was argued by the United States before the Ninth Circuit. See 982 F.2d, at 1289.
The Court rejects this construction of the statute for two reasons: First, because "as a matter of grammar it is difficult to conclude that the word `knowingly' modifies one of the elements in (1)(A) and (2)(A), but not the other." Ante, at 14. But as I have described, "as a matter of grammar" it is also difficult (nay, impossible) to conclude that the word "knowingly" modifies both of those elements. It is really quite extraordinary for the Court, fresh from having, as it says ibid., "emancipated" [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 5] the adverb from the grammatical restriction that renders it inapplicable to the entire conditional clause, suddenly to insist that the demands of syntax must prevail over legislative intent - thus producing an end result that accords neither with syntax nor with supposed intent. If what the statute says must be ignored, one would think we might settle at least for what the statute was meant to say; but alas, we are told, what the statute says prevents this.
The Court's second reason is even worse: "[A] statute completely bereft of a scienter requirement as to the age of the performers would raise serious constitutional doubts." Ante, at 14. In my view (as in the apparent view of the Government before the Court of Appeals) that is not true. The Court derives its "serious constitutional doubts" from the fact that "sexually explicit materials involving persons over the age of 18 are protected by the First Amendment," ante, at 8. We have made it entirely clear, however, that the First Amendment protection accorded to such materials is not as extensive as that accorded to other speech. "[T]here is surely a less vital interest in the uninhibited exhibition of material that is on the borderline between pornography and artistic expression than in the free dissemination of ideas of social and political significance . . . ." Young v. American Mini Theatres, Inc.,
I am not concerned that holding the purveyors and receivers of this material absolutely liable for supporting the exploitation of minors will deter any activity the United States Constitution was designed to protect. But I am concerned that the Court's suggestion of the unconstitutionality of such absolute liability will cause [ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 7] Congress to leave the world's children inadequately protected against the depredations of the pornography trade. As we recognized in Ferber, supra, at 766, n. 19, the producers of these materials are not always readily found, and are often located abroad; and knowledge of the performers' age by the dealers who specialize in child pornography, and by the purchasers who sustain that market, is obviously hard to prove. The First Amendment will lose none of its value to a free society if those who knowingly place themselves in the stream of pornographic commerce are obliged to make sure that they are not subsidizing child abuse. It is no more unconstitutional to make persons who knowingly deal in hard-core pornography criminally liable for the underage character of their entertainers than it is to make men who engage in consensual fornication criminally liable (in statutory rape) for the underage character of their partners.
I would dispose of the present case, as the Ninth Circuit did, by reading the statute as it is written: to provide criminal penalties for the knowing transportation or shipment of a visual depiction in interstate or foreign commerce, and for the knowing receipt or distribution of a visual depiction so transported or shipped, if that depiction was (whether the defendant knew it or not) a portrayal of a minor engaging in sexually explicit conduct. I would find the statute, as so interpreted, to be unconstitutional since, by imposing criminal liability upon those not knowingly dealing in pornography, it establishes a severe deterrent, not narrowly tailored to its purposes, upon fully protected First Amendment activities. See Smith v. California,
I could understand (though I would not approve of) a disposition which, in order to uphold this statute, departed from its text as little as possible in order to sustain its constitutionality - i.e., a disposition applying the scienter requirement to the pornographic nature of the materials, but not to the age of the performers. I can neither understand nor approve of the disposition urged by the United States before this Court and adopted today, which not only rewrites the statute, but (1) rewrites it more radically than its constitutional survival demands, and (2) raises baseless constitutional doubts that will impede congressional enactment of a law providing greater protection for the child-victims of the pornography industry. The Court today saves a single conviction by putting in place a relatively toothless child-pornography law that Congress did not enact, and by rendering congressional strengthening of that new law more difficult. I respectfully dissent.
[ Footnote * ] The case did not involve, as the Court claims, a situation in which, "even more obviously than in the statute presently before us, the word `knowingly' in its isolated position suggested that it only attached to the verb `converts'" ante, at 6, and we nonetheless applied it as well to another word. The issue was simply the meaning of "knowingly converts."
[ UNITED STATES v. X-CITEMENT VIDEO, INC., ___ U.S. ___ (1994) , 1]
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Citation: 513 U.S. 64
No. 93-723
Argued: October 05, 1994
Decided: November 29, 1994
Court: United States Supreme Court
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