United States v. Strandlof
Justia.com Opinion Summary: Appellant Rick Strandlof was charged under the Stolen Valor Act (18 U.S.C. 704(b)) which makes it illegal to falsely claim to have received a military award or honor. The issue before the Tenth Circuit was whether the Act is constitutional. Despite never having served in the armed forces, Appellant founded the Colorado Veterans Alliance, and frequently told veterans he graduated from the United States Naval Academy, was a former U.S. Marine Corps Captain, and had been wounded in combat in Iraq. He bragged of receiving a Purple Heart, and he boasted that he had been awarded the Silver Star for gallantry in battle. A number of local veterans found Appellant to be an unconvincing imposter. Angered by Appellant's lies, they contacted the FBI and reported their suspicion that Appellant was a phony. After military officials confirmed Appellant never attended the Naval Academy or served in the military, the government filed a criminal complaint in the District of Colorado charging him with making false claims about receipt of military decorations or medals, in violation of the Act. Reasoning that false statements are generally protected by the First Amendment, the district court declared the Stolen Valor Act unconstitutional and dismissed the charges against Appellant. Upon review, the Tenth Circuit disagreed with that reading of Supreme Court precedent and reversed: "[a]s the Supreme Court has observed time and again, false statements of fact do not enjoy constitutional protection, except to the extent necessary to protect more valuable speech. Under this principle, the Stolen Valor Act does not impinge on or chill protected speech, and therefore does not offend the First Amendment."
Receive FREE Daily Opinion Summaries by Email
Receive FREE Daily Opinion Summaries by Email
The court issued a Revised version of this opinion on July 2, 2012
Loading PDF...
FILED
United States Court of Appeals
Tenth Circuit
January 27, 2012
PUBLISH
Elisabeth A. Shumaker
Clerk of Court
UNITED STATES COURT OF APPEALS
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellant,
v.
No. 10-1358
RICK GLEN STRANDLOF,
Defendant-Appellee.
and
THE AMERICAN LEGION,
Amicus Curiae.
and
CHRISTOPHER GUZELIAN,
Amicus Curiae.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLORADO
(D.C. NO. 09-CR-00497-REB)
Joseph F. Palmer, United States Department of Justice, Criminal Division,
Appellate Section, Washington, District of Columbia (John Walsh, United States
Attorney, and Michael C. Johnson, Assistant United States Attorney, United
States Attorneyâs Office, Denver, Colorado, with him on the briefs), for
Appellant.
John T. Carlson, Assistant Federal Public Defender (Raymond P. Moore, Federal
Public Defender, and O. Dean Sanderford, Research and Writing Specialist, with
him on the brief) Office of the Federal Public Defender, Denver, Colorado, for
Appellee.
Van H. Beckwith, Ryan L. Bangert, and Russell W. Fusco, Baker Botts L.L.P.,
Dallas Texas, and Aaron M. Streett, Baker Botts L.L.P. Houston, Texas, and
Philip B. Onderdock, Jr., National Judge Advocate, The American Legion,
Indianapolis, Indiana, on the brief for Amicus Curiae The American Legion in
support of Appellant.
Christopher Guzelian, San Diego, California, on the brief for Amicus Curiae
Christopher Guzelian in support of Appellee.
Before TYMKOVICH, BALDOCK, and HOLMES, Circuit Judges.
TYMKOVICH, Circuit Judge.
Appellant Rick Strandlof was charged under the Stolen Valor Act, 18
U.S.C. § 704(b), which makes it illegal to falsely claim to have received a
military award or honor. We must decide whether the Act is constitutional.
Answering this question requires us to determine whether, and to what extent, the
First Amendment prohibits Congress from punishing knowingly false statements
of fact.
Reasoning that false statements are generally protected by the First
Amendment, the district court declared the Stolen Valor Act unconstitutional and
dismissed the charges against Strandlof. We disagree with this reading of
Supreme Court precedent and reverse. As the Supreme Court has observed time
and again, false statements of fact do not enjoy constitutional protection, except
-2-
to the extent necessary to protect more valuable speech. Under this principle, the
Stolen Valor Act does not impinge on or chill protected speech, and therefore
does not offend the First Amendment.
I. Background
A. The Statute
The Stolen Valor Act provides:
Whoever falsely represents himself or herself, verbally or in
writing, to have been awarded any decoration or medal
authorized by Congress for the Armed Forces of the United
States, any of the service medals or badges awarded to the
members of such forces, the ribbon, button, or rosette of any such
badge, decoration, or medal, or any colorable imitation of such
item shall be fined under this title, imprisoned not more than six
months, or both.
18 U.S.C. § 704(b). The Act provides for jail terms of up to six months for most
misrepresentations and up to a year for false statements that a person has received
the Congressional Medal of Honor or other specified awards. Id. § 704(d).
B. Strandlofâs Prosecution
Over a multi-year period, Appellant Rick Strandlof concocted a ruse that
plainly put him in the cross-hairs of the Stolen Valor Act. Despite never having
served in the armed forces, Strandlof founded the Colorado Veterans Alliance,
and he frequently told veterans he graduated from the United States Naval
Academy, was a former U.S. Marine Corps Captain, and had been wounded in
combat in Iraq. He bragged of receiving a Purple Heart, which is given to
-3-
soldiers wounded or killed in action, and he boasted that he had been awarded the
Silver Star for gallantry in battle. For example, while attending a planning
meeting for a luncheon to solicit donations for veterans, Strandlof falsely claimed
to have received a Purple Heart. At veterans gatherings, Strandlof used the alias
âCaptain Rick Duncan,â and he created online profiles where he claimed to have
graduated from the Naval Academy.
A number of local veterans found Strandlof to be an unconvincing
imposter. Angered by Strandlofâs lies, they contacted the FBI and reported their
suspicion that âRick Duncanâ was a phony. After military officials confirmed
Strandlof never attended the Naval Academy or served in the military, the
government filed a criminal complaint in the District of Colorado charging
Strandlof with making false claims about receipt of military decorations or
medals, in violation of the Stolen Valor Act.
Strandlof pleaded not guilty and moved to dismiss the charges.
Represented by a federal public defender, he argued the Stolen Valor Act is
unconstitutional under the First Amendment, both facially and as applied to him,
because it is a content-based restriction on speech. Rejecting the governmentâs
argument that false speech is unprotected under the First Amendment, the district
court found the Act facially unconstitutional and granted Strandlofâs motion.
United States v. Strandlof, 746 F. Supp. 2d 1183, 1185 (D. Colo. 2010). The
court held that false speech is protected by the First Amendment unless it falls
-4-
within one of the narrow categories of speech that have been historically
recognized as exceptional, such as fraud or defamation. Id. at 1186â88. The
district court further held the speech criminalized by the Stolen Valor Act was
analogous neither to fraud nor defamation, and that it could not be shoehorned
into any of the other historical categories. Id. The district court therefore
characterized the Act as a content-based regulation of protected speech and held
that it did not survive strict scrutiny. Id. at 1189â91.
C. Other Stolen Valor Act Prosecutions
Other courts have confronted this same question, with varying results. 1 In
United States v. Alvarez, 617 F.3d 1198 (9th Cir. 2010), the only circuit court
1
The broader question of the constitutionality of knowing falsehoods has
also inspired significant scholarly debate, with no clear consensus. See, e.g.,
Frederick Schauer, Facts and the First Amendment, 57 UCLA L. Rev. 897 (2010);
Steven G. Gey, The First Amendment and the Dissemination of Socially Worthless
Untruths, 36 Fla. St. U. L. Rev. 1 (2008); Jonathan D. Varat, Deception and the
First Amendment, A Central, Complex, and Somewhat Curious Relationship, 53
UCLA L. Rev. 1107 (2006); James Weinstein, Speech Categorization and the
Limits of First Amendment Formalism: Lessons from Nike v. Kasky, 54 Case W.
L. Rev. 1091 (2004); Kenneth Lasson, Holocaust Denial and the First
Amendment: The Quest for Truth in a Free Society, 6 Geo. Mason L. Rev. 35
(1997); Charles Fried, The New First Amendment Jurisprudence: A Threat to
Liberty, 52 U. Chi. L. Rev. 225 (1992); Mark Tushnet, âTelling Me Liesâ: The
Constitutionality of Regulating False Statements of Fact, Harv. Pub. L. Working
Paper No. 11-02 (2011), available at
http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1737930; Josh M. Parker, The
Stolen Valor Act as Constitutional: Bringing Coherence to First Amendment
Analysis of False Speech Restrictions, 78 U. Chi. L. Rev. â (Forthcoming 2011);
Jeffrey C. Barnum, Protecting the Public by Protecting Valor: The Case for
Amending the Stolen Valor Act to be an Anti-Fraud Measure, 86 Wash. L. Rev. â
(Forthcoming 2011).
-5-
case to consider this issue, a divided Ninth Circuit panel held the Stolen Valor
Act is facially unconstitutional. 2 The majority opinion found that âfalse factual
speech, as a general category unto itself,â does not fall within those âhistorical
and traditional categories [of unprotected speech] long familiar to the bar.â Id. at
1206 (quotation omitted). Specifically, the court reasoned that the Stolen Valor
Act does not âfit[] into the defamation categoryâ of unprotected speech, because
it does not prohibit only speech that is made with actual malice or knowledge of
falsity and that is âinjurious to a private individual.â Id. at 1209 (quotation
omitted). Thus, the Ninth Circuit applied strict scrutiny and concluded that,
although the Stolen Valor Act serves an important interest (perhaps even a
compelling interest), it is not narrowly tailored because âother means exist to
achieve the interest of stopping [false speech regarding military awards], such as
by using more speech, or redrafting the Act to target actual impersonation or
fraud.â Id. at 1211.
In a dissenting opinion, Judge Bybee concluded strict scrutiny was
unnecessary because Supreme Court precedents established knowingly false
statements of fact as a category of speech unprotected by the First Amendment.
Id. at 1218â19 (Bybee, J., dissenting). In addition, several circuit judges wrote
2
In addition, the Eighth Circuit recently considered an analogous
questionâthe constitutionality of a state statute prohibiting false statements about
ballot initiativesâand held knowingly false campaign speech is not a category of
unprotected speech. 281 Care Comm. v. Arneson, 638 F.3d 621 (8th Cir. 2011).
-6-
concurring or dissenting opinions to the Ninth Circuitâs subsequent, narrowly
divided, order denying rehearing. The Supreme Court granted a writ of certiorari
to review Alvarez. 3 United States v. Alvarez, â S. Ct. â, No. 11-210, 2011 WL
3626544 (U.S. Oct. 17, 2011).
District courts considering the question have reached varying conclusions.
Like the Ninth Circuit and the District of Colorado, the Southern District of Iowa
concluded the Stolen Valor Act is an unconstitutional content-based restriction on
speech. United States v. Kepler, No. 4:11-cr-00017 (S.D. Iowa May 31, 2011)
(order). Conversely, in United States v. Robbins, 759 F. Supp. 2d 815 (W.D. Va.
2011), the Western District of Virginia concluded false statements of fact are not
constitutionally protected and upheld the Act.
Appeals involving the constitutionality of the Stolen Valor Act are pending
in the Eighth and Eleventh Circuits. See United States v. Kepler, No. 11-2278
(8th Cir. 2011); United States v. Amster, No. 10-12139 (11th Cir. 2011).
II. Discussion
The sole question presented is whether the Stolen Valor Act, a contentbased restriction on speech, is facially constitutional. We find it is and reverse
3
The government suggested we stay this case while the Supreme Court
reviews Alvarez. Strandlof urged us to decide the case. Our practice as a court
has been to decide cases that are ripe even while parallel cases are under review
by the Supreme Court. See, e.g., United States v. Story, 635 F.3d 1241 (10th Cir.
2011); In re Dawes, 652 F.3d 1236 (10th Cir. 2011); United States v. West, 550
F.3d 952 (10th Cir. 2008).
-7-
the district courtâs decision. As the Supreme Court has repeatedly asserted, the
Constitution does not foreclose laws criminalizing knowing falsehoods, so long as
the laws allow âbreathing spaceâ for core protected speechâas the Supreme
Court calls it, âspeech that matters.â Gertz v. Robert Welch, Inc., 418 U.S. 323,
341 (1974) (applying New York Times Co. v. Sullivan, 376 U.S. 254, 279 (1964)).
As we show, under this legal framework, the Stolen Valor Act survives scrutiny
because (1) it restricts only knowingly false statements of fact, and (2) specific
characteristics of the statute, including its mens rea requirement, ensure it does
not overreach so as to chill protected speech.
In the next section, we review the specifics of the Act, analyze what the
Supreme Court has and (as importantly) has not said about legislative restrictions
on false statements of fact, and survey past legislative efforts to regulate in this
area.
A.
Legal Background
1.
The Stolen Valor Act
Since Americaâs founding, penalties have been imposed for wearing
unauthorized military medals. General Orders of George Washington Issued at
Newburgh on the Hudson, 1782â1783, at 34â35 (Edward C. Boynton ed., 1883)
(reprint 1903) (âShould any who are not entitled to the [military] honors have the
insolence to assume to the badges of them, they shall be severely punished.â); see
also Alvarez, 617 F.3d at 1234 (Bybee, J., dissenting). And since 1949, 18 U.S.C.
-8-
§ 704(a) has made it illegal to wear, manufacture, or sell unauthorized military
awards. In recent years, during the Afghanistan and Iraq wars, Congress judged
prior laws insufficient to deter false statements regarding military decorations,
see, e.g., 151 Cong. Rec. S12,688 (daily ed. Nov. 10, 2005) (statement of Sen.
Conrad), and Congress responded in 2006 by passing the Stolen Valor Act, 18
U.S.C. § 704(b). In doing so, Congress found, among other things, that false
statements regarding military honors effect harm by âdamag[ing] the reputation
and meaning of [] decorations and medals.â Stolen Valor Act of 2005, Pub. L.
No. 109-437, § 2(1), 120 Stat. 3266 (2006). According to Congress, the
legislation was necessary âto permit law enforcement officers to protect the
reputation and meaning of military decorations and medals.â Id. § 2(3).
The restrictions in the Stolen Valor Act are specifically aimed at one
category of speechâlies about military honors. Given this focus, the Act is a
content-based restriction on speech. Under the plain terms of the Act, if someone
pontificating on a street corner falsely (and with knowledge of the falsehood)
proclaims to be a decorated veteran, he has committed a criminal act. It is
inconsequential whether the lie induced reliance or caused discrete harm. 4
4
In May 2011, Representative Joseph Heck introduced a congressional
resolution, which amends the Stolen Valor Act to add a requirement that, to
violate the act, misrepresentations must be made âwith intent to obtain anything
of value.â H.R. 1775, 112th Cong. (2011). This resolution, which would
expressly transform the Act into a fraud statute, was referred to subcommittee in
June 2011.
-9-
Despite the potential breadth of the statute, however, it has limits. The
Supreme Court requires we read an act of Congress narrowly, so as to avoid
constitutional problems. We âwill . . . not lightly assume that Congress intended
to infringe constitutionally protected liberties.â Edward J. DeBartolo Corp. v.
Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988)
(â[W]here an otherwise acceptable construction of a statute would raise serious
constitutional problems, the Court will construe the statute to avoid such
problems unless such construction is plainly contrary to the intent of Congress.â).
Accordingly, we find the Act is limited in two important ways.
First, the term âfalsely represents,â as used in § 704(b), connotes that to be
guilty, a speaker must have had a specific intent to deceive. See, e.g., Blackâs
Law Dictionary 1091 (9th ed. 2009) (a âfalse representation,â also known as a
âmisrepresentation,â is â[t]he act of making a false or misleading statement about
something, usu[ally] with the intent to deceiveâ); see also United States v.
Perelman, 658 F.3d 1134, 1138 (9th Cir. 2011) (holding the provision of the
Stolen Valor Act that bars the unauthorized wearing of medals, § 704(a), should
be interpreted as limited to situations where the wearer âhas an intent to
deceiveâ). 5 Therefore, we find § 704(b) contains a scienter element, which
5
The dissent finds an intent to deceive requirement at odds with the
statute. But such a requirement follows naturally from the textâs emphasis on
false representations, of which intent to deceive is naturally a part. The Stolen
Valor Act does not compel the expansive reading the dissent provides. Rather,
(continued...)
-10-
operates to criminalize only knowingly false statements about receiving military
awards. This interpretation aligns with the presumption that criminal statutes
contain an implied mens rea requirement. See, e.g., Staples v. United States, 511
U.S. 600, 605â06 (1994); Morissette v. United States, 342 U.S. 246, 250 (1952).
Thus, the Act does not punish unwitting lies about military awards.
Second, the Stolen Valor Act does not criminalize any satirical, rhetorical,
theatrical, literary, ironic, or hyperbolic statements that qualify as protected
speech. See, e.g., Watts v. United States, 394 U.S. 705, 708 (1969) (per curiam)
(interpreting prohibition on knowingly making âany threatâ to harm the President
as excluding âpolitical hyperboleâ in the absence of any evidence of contrary
congressional intent). The Actâs requirement that false statements be made with
an intent to deceive, as we explain below, would not allow the government to
prosecute individuals for making ironic or other artistically or politically
motivated statements. Blackâs Law Dictionary 1415 (a ârepresentationâ is a
âpresentation of factâ).
We thus disagree with the suggestion that upholding the Stolen Valor Act
would lead America down a slippery slope where Congress could criminalize an
appallingly wide swath of ironic, dramatic, diplomatic, and otherwise polite
speech. See, e.g., United States v. Alvarez, 638 F.3d 666, 684 (9th Cir. 2011)
5
(...continued)
the Act is aimed at the âdeceptive use of military medals,â i.e., that âdeception
was the targeted harm.â Perelman, 658 F.3d at 1137 (emphasis in original).
-11-
(Kozinski, C.J., concurring in the denial of rehearing en banc) (cataloguing
various colorful, everyday utterances that legislatures could conceivably
criminalize if the Stolen Valor Act is upheld). Indeed, just because Congress can
criminalize some lies does not imply it can attack opinions (e.g., âYou look
beautiful todayâ), ideologically inflected statements (e.g., holocaust denial or
climate change criticism), or anything else that is not a knowingly false factual
statement made with an intention to deceive. 6
Read with these two limitations, only outright liesânot ideas, opinions,
artistic statements, or unwitting misstatements of factâare punishable under the
Act. With this in mind, we consider the constitutional framework.
2.
Constitutional Framework
The First Amendment provides that âCongress shall make no law . . .
abridging the freedom of speech.â U.S. Const. amend. I.
Despite this plain language, little historical consensus exists as to the
original public meaning of this clause, in part because the framers apparently did
not envision that Congress would actively regulate speech. See Akhil Reed Amar,
6
And of course, the judiciary will continue to scrutinize arbitrary and
irrational legislative enactments. Moreover, we expect that, just as they have for
centuries, legislative majorities will continue to exercise
judgmentâconstitutional as well as practicalâand refrain from enacting
outrageous laws that encroach upon the ability of individuals to voice their
opinions, converse with fellow citizens, and go about their lives. If a legislature
were to attempt to ban innocuous âwhite lies,â we would likely have already
traveled far down a path of tyranny in other, more significant, areas.
-12-
How Americaâs Constitution Affirmed Freedom of Speech Even Before the First
Amendment, 38 Cap. U. L. Rev. 503, 504 (2010). It is clear, however, that, â[t]he
framing-era conception of freedom of speech and the press was anything but
capacious, at least by contemporary standards.â Lawrence Rosenthal, First
Amendment Investigations and the Inescapable Pragmatism of the Common Law
of Free Speech, 86 Ind. L.J. 1, 13 (2011); see also Frederick Schauer, Facts and
the First Amendment, 57 UCLA L. Rev. 897, 904 (2010) (observing that initially,
â[c]ampaigns for increased freedom of speech . . . were largely about the claimed
right to criticize . . . the government . . . but it was scarcely even suggested that
freedom of speech encompassed the right to articulate factually false
propositionsâ). Indeed, it took Congress only a few years to pass the Sedition Act
of 1798, 1 Stat. 596, which made it a crime to âwrite, print, utter or publish . . .
any false, scandalous and malicious writing or writings against the government of
the United States, or either house of the Congress . . ., or the President . . ., with
intent to defame . . . or to bring them, or either of them, into contempt or
disrepute; or to excite against them, or either or any of them, the hatred of the
good people of the United States.â See also New York Times, 376 U.S. at 273â74
(describing the content and import of the Sedition Act). While the Sedition Act
was never formally tested in the Supreme Court (it expired on March 3, 1801, the
day before President Adamsâs presidential term ended), the Act has long been
recognized as unconstitutional. See, e.g. id. at 276 (âAlthough the Sedition Act
-13-
was never tested in this Court, the attack upon its validity has carried the day in
the court of history.â); Act of July 4, 1840, c. 45, 6 Stat. 802, accompanied by
H.R. Rep. No. 86, 26th Cong., 1st Sess. (1840) (repaying fines levied in Sedition
Act prosecutions on the ground that the Act was unconstitutional). And it was not
until the 1920s and 1930s, in cases involving prosecutions for allegedly seditious
political activity, that the Supreme Court first invoked liberty interests inherent in
the Fourteenth Amendmentâs due process clause to reverse criminal convictions
based on speech. See, e.g., Fiske v. Kansas, 274 U.S. 380 (1927); Stromberg v.
People of State of Cal., 283 U.S. 359 (1931); Amar, supra, at 504.
Over time, however, free speech doctrine has evolved to reflect a broad
and principled conception of the First Amendment. âAt the heart of the First
Amendment is the recognition of the fundamental importance of the free flow of
ideas and opinions on matters of public interest and concern. â[T]he freedom to
speak oneâs mind is not only an aspect of individual libertyâand thus a good
unto itselfâbut also is essential to the common quest for truth and the vitality of
society as a whole.ââ Hustler Magazine, Inc. v. Falwell, 485 U.S. 46, 50â51
(1988) (quoting Bose Corp. v. Consumers Union of United States, Inc., 466 U.S.
485, 503â04 (1984)). â[A]s a general matter, . . . government has no power to
restrict expression because of its message, its ideas, its subject matter, or its
content.â Ashcroft v. American Civil Liberties Union, 535 U.S. 564, 573 (2002)
(quotation marks omitted). And in most cases, a content-based restriction on
-14-
speech can withstand a First Amendment attack only if it satisfies strict
scrutinyâthat is, only if the challenged legislation is narrowly drawn to serve a
compelling governmental interest. R.A.V. v. City of St. Paul, 505 U.S. 377, 395
(1992).
Given this case law, the Stolen Valor Act, a content-based restriction, is
âpresumptively invalid, and the government bears the burden to rebut that
presumption.â United States v. Playboy Entmât Grp., Inc., 529 U.S. 803, 817
(2000) (quotation omitted). And doubly so since the Act criminalizes the speech
it condemns.
But despite the First Amendmentâs open-ended language, not all categories
of speech receive full constitutional protection. The Supreme Court, in a long
line of cases, has recognized Congress may regulate some types of speech without
facing constitutional scrutiny. For example, in Chaplinsky v. New Hampshire,
315 U.S. 568, 572 (1942), the Supreme Court upheld a law prohibiting âfighting
words,â reasoning the Constitution does not afford shelter to words âwhich by
their very utterance inflict injury or tend to incite an immediate breach of the
peace.â In doing so, the Court observed, âit is well understood that the right of
free speech is not absolute at all times and under all circumstances.â Id. at 571;
see also Gertz, 418 U.S. at 382 (White, J., dissenting) (the framers recognized,
âin any well-governed society, the legislature has both the right and the duty to
prohibit certain forms of speechâ (quotation omitted)). As Justice Story, one of
-15-
our most respected constitutional scholars, recognized, the First Amendment is
not made of absolutes: it was never âintended to secure to every citizen an
absolute right to speak, or write, or print, whatever he might pleaseâ; to think so
âis a supposition too wild to be indulged by any rational man.â Joseph Story,
Commentaries on the Constitution 703 (1833). Similarly, Thomas Cooley,
perhaps the leading constitutional scholar of the Reconstruction Era, suggested
the First Amendment protects expression only âso long as it is not harmful in its
character, when tested by such standards as the law affords.â Thomas M. Cooley,
A Treatise on the Constitutional Limitations Which Rest upon the Legislative
Power of the States of the American Union 421 (1868). While these conceptions
of the First Amendment are quaint by todayâs standards, they frame the historical
context of our narrow inquiry: whether false statements of fact are entitled to
blanket First Amendment protection.
3.
Knowingly False Statements of Fact
Since the 1960s, the Supreme Court has repeatedly declared that knowingly
false statements of fact, as a category of speech, are not generally entitled to full
First Amendment protection. As the Court recently confirmed, protection of false
statements is derivative of the need to ensure that false-speech restrictions do not
chill valuable speech. â[W]hile false statements may be unprotected for their own
sake, the First Amendment requires that we protect some falsehood in order to
protect speech that matters.â BE&K Constr. Co. v. NLRB, 536 U.S. 516, 531
-16-
(2002) (quotation omitted). Thus, so long as legislatures avoid unduly chilling
speech that matters, they have room to regulate false statements of fact.
This approach to false-statements legislation traces back to three Supreme
Court cases involving defamation: New York Times Co. v. Sullivan, 376 U.S. 254
(1964); Garrison v. Louisiana, 379 U.S. 64 (1964); and Gertz v. Robert Welch,
Inc., 418 U.S. 323 (1974). These cases and the cases that follow teach us that
false statements of fact are generally unprotectedâbut with a caveat. The Court
has recognized that false-speech restrictions may violate the First Amendment
when they are so suffocating as to afford inadequate breathing space for
constitutionally valuable speech.
In fleshing out this doctrine, we start with the celebrated case of New York
Times Co. v. Sullivan, 376 U.S. at 280â84. There, the Supreme Court set forth a
framework for applying the First Amendment to statesâ abilities to punish
defamatory falsehoods. In striking down an aspect of Alabamaâs defamation law,
the Court held the First Amendment (and Fourteenth Amendment) 7 permits state
legislatures to impose liability for making a defamatory statement regarding a
public official only if the âpublic official . . . proves that the statement was made
with âactual maliceââthat is, with knowledge that it was false or with reckless
disregard of whether it was false or not.â Id. at 279â80. This holding was based
7
Earlier Supreme Court cases upheld libel statutes under the Fourteenth
Amendment. See, e.g., Beauharnais v. People, 343 U.S. 250 (1952).
-17-
on the Courtâs reasoning that because âerroneous statement is inevitable in free
debate,. . . it must be protected if the freedoms of expression are to have the
âbreathing spaceâ that they need . . . to survive.â Id. at 271â72 (quotations and
alterations omitted) (emphasis added). The Court recognized the danger that a
strict liability or negligence standard could chill constitutionally protected speech
by silencing speakers seeking to avoid malicious prosecution or jury
misunderstanding. Protecting some false utterancesâthose made without malice
or on matters of private concernâwas the only way to avoid deterring a range of
truthful statements that benefit public discourse. Implicit in the Courtâs analysis,
however, was the understanding that false statements, standing alone, lack
elemental constitutional value, and public discourse is not diminished when a
speaker is deterred from making a false statement of fact.
Just a few months after New York Times, the Supreme Court applied these
principles in Garrison v. Louisiana. In that case, the Court recognized expressly
that knowingly false statements are not entitled to full First Amendment
protection:
Although honest utterance, even if inaccurate, may further the
fruitful exercise of the right of free speech, it does not follow
that the lie, knowingly and deliberately published about a public
official, should enjoy a like immunity. At the time the First
Amendment was adopted, as today, there were those
unscrupulous enough and skillful enough to use the deliberate or
reckless falsehood as an effective political tool to unseat the
public servant or even topple an administration. That speech is
-18-
used as a tool for political ends does not automatically bring it
under the protective mantle of the Constitution.
The Court went on to proclaim:
For the use of the known lie as a tool is at once at odds with the
premises of democratic government and with the orderly manner
in which economic, social, or political change is to be effected.
Calculated falsehood falls into that class of utterances which 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. Hence the knowingly false statement and the false
statement made with reckless disregard of the truth, do not enjoy
constitutional protection.
Garrison, 379 U.S. at 75 (emphasis added) (citation, quotation marks, and
alterations omitted).
Ten years later, in Gertz v. Robert Welch, the Supreme Court reiterated, in
perhaps even plainer terms, that false statements of fact receive limited shelter
from the First Amendment:
Under the First Amendment there is no such thing as a false idea.
However pernicious an opinion may seem, we depend for its
correction not on the conscience of judges and juries but on the
competition of other ideas. But there is no constitutional value
in false statements of fact. Neither the intentional lie nor the
careless error materially advances societyâs interest in
uninhibited, robust, and wide-open debate on public issues. They
belong to that category of utterances which âare 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.â
[Chaplinsky, 315 U.S. at 572.] . . . [T]he erroneous statement of
fact is not worthy of constitutional protection.
-19-
418 U.S. at 339â40 (citation and quotation marks omitted) (emphasis added). In
line with the breathing space principle enunciated in New York Times, the Court
recognized false statements of fact are âinevitable in free debate . . . [a]nd
punishment of error runs the risk of inducing a cautious and restrictive exercise of
the constitutionally guaranteed freedoms of speech and press.â Id. at 340.
Therefore, the Court explained, â[t]he First Amendment requires that we protect
some falsehood in order to protect speech that matters.â Id. at 341. And the
Court also noted that, if a law provides breathing space but chills some speech,
the law is constitutional only if it âreach[es] no farther than is necessary to
protect the legitimate interest involved.â Id. at 349.
Thus, the Supreme Court has expressly stated that, although laws punishing
false statements must afford adequate breathing space to protected speech,
knowingly false factual statements are not intrinsically protected under the First
Amendment. The theoretical basis for this classification is based on the
understanding that â[f]alse statements of fact are particularly valueless [because]
they interfere with the truth-seeking function of the marketplace of ideas, and
they cause damage to an individualâs reputation that cannot easily be repaired by
counterspeech, however persuasive or effective.â Hustler Magazine, 485 U.S. at
52. In other words, knowingly false statements, in contrast even to incendiary
ideas, are no part of the âthe common quest for truth and the vitality of society as
-20-
a whole.â Id. at 51. Just because controversial ideas and opinions merit
constitutional protection does not mean false facts deserve the same immunity.
In summary, New York Times, Garrison, and Gertz require a three-part
inquiry. First, we must assess whether a law punishes only knowingly false
statements. If this is the case, the court must then decide whether the law leaves
adequate âbreathing spaceâ for truthful and other fully protected speech. And if a
statute survives both of these inquiries but still chills some speech, it is
constitutional so long as it reaches no further than necessary to protect the
governmentâs legitimate interest.
The breathing space approach set forth in these cases remains good law and
is binding on us. Further, New York Times, Garrison, and Gertz are not
anomalous constitutional outliers. In fact, consistently over the past five
decadesâin cases involving defamation, libel, commercial speech, intentional
infliction of emotional distress, and other legislative areasâthe Court has
reiterated that false statements of fact receive minimal constitutional protection.
See, e.g., BE&K Constr. Co., 536 U.S. at 530â31 (â[F]alse statements are not
immunized by the First Amendment right to freedom of speech . . . .â (quotation
omitted)); Hustler Magazine, 485 U.S. at 52 (âFalse statements of fact are
particularly valueless . . . .â); Keeton v. Hustler Magazine, Inc., 465 U.S. 770
(1984) (âFalse statements of fact harm both the subject of the falsehood and the
readers of the statement. . . . There is no constitutional value in false statements
-21-
of fact.â (quotation omitted)); Bill Johnsonâs Rests., Inc. v. NLRB, 461 U.S. 731,
743 (1983) (â[F]alse statements are not immunized by the First Amendment right
to freedom of speech . . . .â); Brown v. Hartlage, 456 U.S. 45, 60â61 (1982) (false
factual statements âare not protected by the First Amendment in the same manner
as truthful statementsâ (citation omitted)); Herbert v. Lando, 441 U.S. 153, 171
(1979) (âSpreading false information in and of itself carries no First Amendment
credentials. â[T]here is no constitutional value in false statements of fact.ââ
(quoting Gertz, 418 U.S. at 340)); Virginia State Bd. of Pharmacy v. Virginia
Citizens Consumer Council, Inc., 425 U.S. 748, 771 (1976) (âUntruthful speech
. . . has never been protected for its own sake.â); Cox Broadcasting Corp. v.
Cohn, 420 U.S. 469, 499 n.3 (1975) (Powell, J., concurring) (â[T]he common
premise [is] that while the Constitution requires that false ideas be corrected only
by the competitive impact of other ideas, the First Amendment affords no
constitutional protection for false statements of fact.â); Time, Inc. v. Hill, 385
U.S. 374, 389 (1967) (â[C]onstitutional guarantees can tolerate sanctions against
calculated falsehood without significant impairment of their essential function.â).
Most circuit courts have recognized these authorities and held that false
statements of fact receive limited First Amendment protection. See, e.g., Gibson
v. Mayor & Council of Wilmington, 355 F.3d 215, 228 (3d Cir. 2004) (â[L]ies and
untruthful statements are protected under First Amendment jurisprudence only in
those rare instances where they contribute to the uninhibited marketplace of
-22-
ideas.â (quotation omitted)); Colson v. Grohman, 174 F.3d 498, 507 (5th Cir.
1999) (â[I]ntentional or reckless falsehood, even political falsehood, enjoys no
First Amendment protection.â); Pestrak v. Ohio Elections Commân, 926 F.2d 573,
577 (6th Cir. 1991) (â[F]alse speech, even political speech, does not merit
constitutional protection if the speaker knows of the falsehood or recklessly
disregards the truth.â); Solano v. Playgirl, Inc., 292 F.3d 1078, 1089 (9th Cir.
2002) (âThe First Amendment does not protect knowingly false speech.â); Clipper
Exxpress v. Rocky Mountain Motor Tariff Bureau, Inc., 690 F.2d 1240, 1261 (9th
Cir. 1982), overruled on other grounds by Mayle v. Felix, 545 U.S. 644, 657â59
(2005) (âThe first amendment has not been interpreted to preclude liability for
false statements.â); Bennett v. Hendrix, 325 F. Appâx 727, 742 (11th Cir. 2009)
(â[S]peech constitut[ing] a false factual assertion [] is not protected by the First
Amendment.â); United States v. Capps, 140 F. Appâx 911, 913 (11th Cir. 2005)
(âCapps had no First Amendment right to make a false statement.â).
And most importantly, these principles extend well beyond the narrow
context of defamation. Since New York Times, Garrison, and Gertz, courts have
extended the âfalse statements of factâ exception to cover many categories of
false-speech statutes, including laws punishing fraud, false-light invasion of
privacy, intentional infliction of emotional distress through false statements, trade
libel, perjury, unsworn false statements of fact made to governmental officials,
impersonation of a governmental official, false claims regarding university
-23-
degrees and professional licenses, falsehoods in connection with political
campaigns, falsehoods likely to provoke public panic, and falsehoods that are
likely to lead to physical harm. See Brief for Eugene Volokh & James Weinstein
Amici Curiae Supporting Petitioner at 3â11, United States v. Alvarez, No. 11-210
(U.S. Dec. 7, 2011); Brief for Eugene Volokh Amicus Curiae Supporting Plaintiff
at 1, United States v. Strandlof, No. 09-cr-00497 (D. Colo. Jan. 15, 2010).
Simultaneously, the breathing space standard of scrutiny first applied in
New York Times has become the default approach in First Amendment challenges
to laws regulating all categories of false statements of fact. A restriction on
knowingly false factual statements is constitutional so long as it has some limiting
characteristic that prevents it from suppressing constitutionally valuable opinions
and true statements. The Supreme Court has applied this principle, either
expressly or implicitly, in at least the following six contexts: 8
â¢
Defamatory Falsehoods. For defamation actions involving public officials,
liability is appropriate only if the plaintiff proves, by clear and convincing
evidence, that false statements were made with knowledge or reckless
disregard of their falsity, New York Times, 376 U.S. at 279â80. Non-public
individuals, however, need only show the defamatory statements were made
negligently. Gertz, 418 U.S. at 344.
â¢
Fraud. For fraud actions, liability is appropriate only if there are limiting
elements such as scienter, materiality, and reliance. Illinois ex rel.
Madigan v. Telemarketing Assocs., 538 U.S. 600, 620 (2003).
8
For a thorough discussion of the following categories, see Brief for the
United States, United States v. Alvarez, No. 11-210, at 21â28 (U.S. Dec. 1, 2011),
and Brief for Eugene Volokh & James Weinstein, Amici Curiae Supporting
Petitioner at 3â11, United States v. Alvarez, No. 11-210 (U.S. Dec. 7, 2011).
-24-
â¢
False-Light Torts. For false-light tort actions, liability is appropriate only
when someone knowingly makes false statements, reasonably understood as
statements of fact, that inflict emotional distress, without defaming or
invading privacy. Time, Inc., 385 U.S. at 385â91. False-light torts cover
even nondefamatory but offensive knowingly false statements about another
person. See Cantrell v. Forest City Publâg Co., 419 U.S. 245 (1974).
â¢
Perjury. For perjury or fraudulent administrative filings, liability is
appropriate only if the government shows the misrepresentation was
willful, material, and uttered under circumstances in which the
misrepresentation is designed to cause injury to the government or private
interests. United States v. Dunnigan, 507 U.S. 87, 94 (1993); see also
Konigsberg v. State Bar of Cal., 366 U.S. 36, 49 n.10 (1961).
â¢
Baseless Litigation. In a suit seeking damages as a result of baseless
litigation, liability is appropriate only if the litigation is âboth objectively
baseless and subjectively motivated by an unlawful purpose.â BE&K
Constr. Co., 536 U.S. at 531 (quoting Bill Johnsonâs Rest., 461 U.S. at 743)
(quotation marks and citation omitted).
â¢
Intentional Infliction of Emotional Distress. In a suit by a public figure
seeking to recover for intentional infliction of emotional distress, liability
is appropriate only if there is a showing of actual malice. Hustler, 485 U.S.
at 53, 56.
Although the Supreme Court has never precisely delineated how much breathing
space is necessary, these examples and associated cases reflect the Courtâs
consistent application of principles from New York Timesâthe same principles
we must apply here.
No recent, directly applicable Supreme Court case calls into question the
long-established breathing space approach. And, moreover, the Supreme Court
has never suggested that breathing space analysis is appropriate only for
historically unprotected categories of false speech. To the contrary, the breathing
-25-
space inquiry applies whenever government regulates false speech. So regardless
of whether the Stolen Valor Act has identifiable historical precedents, its survival
turns only on whether it satisfies breathing space principles.
This conclusion is illustrated perhaps most succinctly by Time, Inc. v. Hill,
385 U.S. at 388â90, where the Supreme Court applied breathing space analysis to
address a New York law giving public figures the right to sue for damages when
false factual statements invaded their privacy by placing them in a false light.
The Court adopted this approach despite expressly recognizing that, unlike
defamation, the false-light tort did not arise out of a long historical tradition. Id.
at 380â81 & n.3. To ensure adequate breathing space for protected speech, the
Court held that to recover under a false-light theory, a plaintiff must prove a false
statement was made knowingly or recklessly. Id. at 389â90.
The parties here disagree on the effect of the Supreme Courtâs two most
recent First Amendment pronouncementsâUnited States v. Stevens, 130 S. Ct.
1577 (2010), and Brown v. Entertainment Merchants Association, 131 S. Ct. 2729
(2011)âon the Courtâs longstanding approach to false-statement legislation.
Strandlof argues these cases fundamentally disrupt the Courtâs prior
approachâimplicitly overruling a substantial body of Supreme Court case law.
A precise analysis of what Stevens and Brown sayâand critically, what
they do not sayâreveals the flaw in Strandlofâs argument. In Stevens and Brown,
the Supreme Court addressed the constitutionality of legislation restricting films
-26-
portraying animal cruelty and violent video games, respectively. In both cases,
the Court recognized the existence of certain âwell-defined and narrowly limited
classes of speech, the prevention and punishment of which have never been
thought to raise any Constitutional problem.â Stevens, 130 S. Ct. at 1584
(citations and quotation omitted); Brown, 131 S. Ct. at 2734 (same); see also
Chaplinsky, 315 U.S at 572 (noting the existence of unprotected categories of
speech).
In Brown, the Court explained that these categories of unprotected speech
are inflexible and preordained by our nationâs history. â[W]ithout persuasive
evidence that a novel restriction on content is part of a long . . . tradition of
proscription, a legislature may not revise the judgment [of] the American people,
embodied in the First Amendment, that the benefits of its restrictions on the
Government outweigh the costs.â Brown, 131 S. Ct. at 2734. The Court
cautioned lawmakers to think twice before crafting new, as-of-yet-unrecognized
categories of unprotected speechâand it expressly foreclosed the adoption of a
balancing test to determine whether speech is valuable enough to merit
constitutional protection. â[N]ew categories of unprotected speech may not be
added to the list by a legislature that concludes certain speech is too harmful to be
tolerated.â Id. Accordingly, â[t]he First Amendmentâs guarantee of free speech
does not extend only to categories of speech that survive an ad hoc balancing of
relative social costs and benefits.â Stevens, 130 S. Ct. at 1585.
-27-
In line with these principles, the Court has listed examples of unprotected
classes of speechâincluding obscenity, defamation, fraud, incitement, and speech
integral to criminal conductâbut the Court has never voiced an intention to craft
a comprehensive and inflexible list of unshielded utterances. See Stevens, 130 S.
Ct. at 1584. To the contrary, the Court has recognized that â[m]aybe there are
some categories of speech that have been historically unprotected, but have not
yet been specifically identified or discussed as such in our case law.â 9 Id. at
1586. Based on this reasoning, in Brown the Court roundly rejected the
governmentâs efforts to craft a category of unprotected speech protecting minors
from violent images through video games.
Importantly, the breathing space analysis explained above is not an âad hoc
balancing of interestsâ of the sort foreclosed by Stevens, 130 S. Ct. at 1585.
Rather, breathing space analysis recognizes that false statements of fact are
categorically unprotected for their own sake, and then asks courts to consider
whether the challenged legislation impinges on or chills core speech. While this
approach gives courts some discretion in deciding how much breathing space
suffices, the approach is not a balancing test in any ordinary sense. Instead, this
9
In the cases since Chaplinski, the Supreme Court has held that the
historical categories include certain types of speech, including profanity, libel,
fighting words, fraud, and incitement. The cases are not consistent, however, in
listing the same categoriesâand regardless, the word âincludesâ typically is a
term of enlargement, not of limitation. Burgess v. United States, 553 U.S. 124,
131 n.3 (2008).
-28-
analysis is more aptly characterized as a specific method of review the Court uses
to assess laws regulating false factual statements. Breathing space review is no
more of a balancing test than strict scrutiny, intermediate scrutiny, or rational
basis review.
Moreover, perhaps the most important aspect of Stevens and Brown for this
case is what the Court did not say. Indeed, with Stevens and Brown, the Supreme
Court did not (at least for now) purport to create a unified theory of the First
Amendment that would preempt all prior approaches and substitute a new
doctrine. While perhaps the Court did just this (and if it did, it can tell us in
Alvarez), we are quite confident the Court, if it sought such a bold result, would
have expressly overruled prior doctrines. Instead, what the Court did was put in
place a framework for assessing ânovel restrictionsâ and ânew categories of
unprotected speech,â Brown, 131 S. Ct. at 2734 (emphasis added). But in neither
Stevens nor Brown did the Court indicate an intention to disturb or reverse
longstanding free speech jurisprudence for unprotected categories it has already
addressed in other ways. 10
10
In addition, although the Supreme Court has identified some examples of
historically unprotected categories of speech, it has offered very little guidance
regarding the level of generality with which we should define these categories.
So in coming up with a list of unprotected categories of speech, a court may be
faced with intractable questions. Are the categories of defamation, fraud, perjury,
and false light discrete and limited? Or are they merely examples of the sorts of
speech encompassed in the overarching category of knowingly false statements of
(continued...)
-29-
As we read the cases, one such unprotected category is knowingly false
statements of factâa category the Supreme Court has considered time and again
for the past 50 years. Under this understanding, the standard of review is
straightforward: so long as the legislature leaves breathing space for valuable
speech, it may restrict knowingly false statements of fact.
Accordingly, our inquiry is not whether the Stolen Valor Act is narrowly
tailored to serve a compelling governmental interest. This is the lesson of New
York Times, Garrison, Gertz, and the numerous cases that followedânone of
which has been overturned or questioned. The Courtâs false-statements
precedents remain good law, and the Court in Stevens and Brown did not purport
to reverse New York Times, Garrison, Gertz, and their heirs sub silentio. As the
dissenting opinion in Alvarez stated, âWe do not have the authority as a lower
10
(...continued)
fact? The problem here is that the only criterion identified by the Supreme
Courtâhistoryâis of no help in determining the level of generality at which the
unprotected categories should be described.
The best guidance we find on this question comes from an entirely different
context. In Michael H. v. Gerald D., 492 U.S. 110, 127 n.6 (1989), the Supreme
Court suggested that, in determining the level of generality at which traditional
protections of family autonomy should be described, âWe refer to the most
specific level at which a relevant tradition protecting, or denying protection to,
the asserted right can be identified.â See Tushnet, supra, at 15â17 (discussing the
difficulties in identifying the level of generality with which to describe
unprotected categories of speech).
-30-
court to limit the Courtâs statements to what we believe they mean rather than
what they actually say.â 617 F.3d at 1223 (Bybee, J., dissenting).
The dissent conceptualizes the case law as applying only to âinjurious
falsehoods.â Dissent, passim. This analysis has much to commend itself. But the
Supreme Court has yet to announce such a category, and as we read the cases to
date its cases express a different principle. Even the dissent recognizes that the
âinjuryâ element does not flow naturally from the case law, requiring it to extract
a broad notion of âdirectâ and âindirectâ injury to persons and governmental
processes to protect traditional areas regulated by statute or tort law. Dissent at
41-42. Even so, this categorization calls into question many laws we describe
above which require little or no injury to a third person or the government.
Perhaps the Supreme Court will adopt an analysis requiring public injury and
falsehoodâbut as we read the cases, it has yet to do so.
In sum, we understand current Supreme Court precedent to hold that
although the First Amendment protects ideas, beliefs, and some erroneous
statements of fact, the same level of protection does not generally extend to
knowingly false statements of fact. Therefore, a restriction on knowingly false
factual statements is constitutional so long as it has some limiting characteristic
that prevents it from suppressing constitutionally valuable opinions and true
statements.
-31-
4.
Other Regulations of False Speech
The constitutional doctrine thus admits to some regulation of false speech,
and many examples, from both the federal government and the states, confirm this
understanding. Contrary to Strandlofâs contentions, the Stolen Valor Act does not
stand alone. Congress has not been reluctant to enact, and the Supreme Court has
not hesitated to uphold, a number of broadly applicable measures regulating, and
occasionally criminalizing, false statements of fact.
Perhaps the most familiar of these statutes is 18 U.S.C. § 1001(a), which
prohibits âknowingly and willfullyâ making any âmaterially false, fictitious, or
fraudulent statement or representationâ in âany matter within the jurisdiction of
the executive, legislative, or judicial branch of the Government of the United
States.â 11 Although § 1001 initially prohibited only false statements that were
intended to defraud, in 1934 Congress amended the provision to remove the
deceptive-intent requirement. See United States v. Yermian, 468 U.S. 63, 70â71
(1984). Not only can one be prosecuted without intentionally lying, convictions
under the statute also do not require any showing of actual pecuniary or property
loss to the government. United States v. Gilliland, 312 U.S. 86, 93 (1941) (the
government need only show that âperversion [] might result from [] deceptive
11
For a discussion of § 1001 and other statutory examples, see Brief for
the United States, United States v. Alvarez, No. 11-210, at 29â33 (U.S. Dec. 1,
2011).
-32-
practices . . . .â (emphasis added)). The Supreme Court has considered § 1001 in
numerous cases but has never suggested it runs afoul of the First Amendment, at
least facially. See, e.g., United States v. Rodgers, 466 U.S. 475, 480 (1984);
Brogan v. United States, 522 U.S. 398, 400â06 (1998).
Section 1001 is not a lone example. To the contrary, there are at least 100
other federal criminal statutes that penalize making false statementsânone of
which has been invalidated under the First Amendment. See United States v.
Wells, 519 U.S. 482, 505 (1997) (Stevens, J., dissenting) (â[A]t least 100 federal
false statement statutes may be found in the United States Code. About 42 of
them contain an express materiality requirement; approximately 54 do not.â).
For example, it is a crime to falsely and willfully claim to be a citizen of the
United States, 18 U.S.C. § 911, and it is a crime to make a knowingly false
statement for the purpose of establishing eligibility to vote, 42 U.S.C. § 1973i(c).
Likewise, various perjury statutes criminalize false statements made under oath,
even if the perjurer has no intent to mislead, and even if there is no harm to the
tribunal or inquiry. See 18 U.S.C. § 1623; 18 U.S.C. § 1621; Brogan, 522 U.S. at
402 & n.1. As with § 1001, the Court has never suggested these provisions are
unconstitutional.
Similar criminal statutes abound. See, e.g., 18 U.S.C. §§ 922(a)(6),
924(a)(1)(A) (knowingly false statements in connection with purchasing and
owning firearms); 22 U.S.C. § 2778(c) (willfully untrue statements on report
-33-
involving export and import of arms); 18 U.S.C. § 1015 (knowingly false
statements related to citizenship and naturalization); 18 U.S.C. § 1027 (knowingly
false statements in records required by ERISA); 20 U.S.C. § 1097(b) (knowingly
false statements in connection with assignment of federally insured student loan);
42 U.S.C. § 405(c)(2)(C)(I) (willful and deceitful use of a false social security
number); see also Wells, 519 U.S. at 505 n.9 (cataloguing statutes); United States
v. Gaudin, 28 F.3d 943, 959 n.3 (9th Cir. 1994) (Kozinski, J., dissenting)
(cataloguing statutes).
Additionally, in a related area of law relevant to Strandlofâs challenge,
Congress has made it a crime to falsely purport to speak on behalf of the
government. For example, it is illegal to falsely claim to be a federal officer, 18
U.S. § 912, or to convey a false impression of governmental endorsement in
association with the Social Security Administration, 42 U.S.C. § 1320b-10(a).
The goal of these provisions is to prevent con artists from misappropriating and
diluting the governmentâs message. See United States v. Lepowitch, 318 U.S.
702, 704 (1943) (âactual financial or property lossâ are not elements of § 912
because Congress enacted the statute to âmaintain the general good repute and
dignityâ of government service). The Stolen Valor Act accomplishes a similar
goal.
States have passed analogous measures. For example, multiple state courts
have upheld laws barring individuals from falsely claiming to have a particular
-34-
university degree or professional license. Long v. State, 622 So. 2d 536 (Fla.
Dist. Ct. App. 1993) (upholding statute barring knowingly false claims of having
a university degree); People v. Kirk, 310 N.Y.S.2d 155 (Cnty Ct. 1969) (same);
State v. Marino, 929 P.2d 173 (Kan. Ct. App. 1996) (upholding statute barring
knowingly false claims of having a professional license). Other states have
upheld laws banning candidates for office from making knowingly false
statements in the context of political campaigns. See, e.g., Treasurer of the
Comm. to Elect Gerald D. Lostracco v. Fox, 389 N.W.2d 446 (Mich. Ct. App.
1986) (upholding a statute banning false claims that one is an incumbent); State v.
Davis, 499 N.E.2d 1255 (Ohio Ct. App. 1985) (affirming criminal conviction for
knowingly making false statements of fact in a political campaign); Ohio
Democratic Party v. Ohio Elections Commân, No. 07AP-876, 2008 WL 3878364
(Ohio Ct. App. Aug. 21, 2008) (upholding a statute prohibiting candidates from
claiming to hold an office they do not currently hold). Examples of falsestatement laws enacted by state legislatures are too numerous to list, but it
suffices to say these laws cover widely divergent categories of false factual
speech. 12 See, e.g., Alaska Stat. § 11.56.800(a)(2) (punishing âfalse report[s] to a
peace officer that a crime has occurred or is about to occurâ); Ariz. Rev. Stat. §
12
In addition to those listed here, amici in Alvarez have provided an
extensive list of representative false-statements provisions enacted by state
legislatures. See Brief for 20 States as Amici Curiae Supporting Petitioner at 2â4
& n.1, United States v. Alvarez, No. 11-210, at 26â27 (U.S. Dec. 8, 2011)
-35-
13â2907.03 (punishing a knowingly âfalse report of sexual assault involving a
spouseâ); Conn. Gen. Stat. § 53-378(b) (prohibiting lies about receiving military
awards); Kan. Stat. Ann. § 21-6410 (punishing falsely claiming to be a member of
a veteransâ organization); Nev. Rev. Stat. § 199.145 (punishing any willful
âunqualified statement of that which the person does not know to be trueâ made
under oath); Rev. Code Wash. § 9A.60.070 (punishing knowingly false claims of
âa credential issued by an institution of higher education that is accredited,â in
promotion of a business or with the intent to obtain employment); see also
Alvarez, 636 F.3d at 684 (OâScannlain, J., dissenting from denial of rehearing en
banc) (cataloguing federal and state false-statements laws); Larry D. Eldridge,
Before Zenger: Truth and Seditious Speech in Colonial America, 1607â1700, 19
Am. J. Legal Hist. 337, 352â53 (1995) (citing examples of Colonial-era statutes
regulating false speech).
Finally, we note there are numerous examples of state-law convictions for
various forms of impersonation and misappropriation of governmental speech.
See, e.g., State v. Messer, 91 P.3d 1191 (Kan. 2004) (upholding conviction under
Kansas false impersonation statute when defendant falsely claimed to be an
undercover police officer, apparently with no attempt to use the pretense to obtain
money or property); State v. Wickstrom, 348 N.W.2d 183 (Wis. Ct. App. 1984)
(upholding a state ban on falsely acting as a police officer); State v. Cantor, 534
-36-
A.2d 83 (N.J. Super. Ct. App. Div. 1987) (upholding conviction of defendant who
impersonated a county morgue employee).
*
*
*
With this legal framework and historical background, we turn to the
constitutionality of the Stolen Valor Act.
B. Constitutionality of the Stolen Valor Act
Under the Supreme Courtâs precedents, the Stolen Valor Act is facially
constitutional. The Act prohibits only knowingly false statements of fact, it
provides breathing space for valuable speech, and it âreach[es] no farther than is
necessary to protect the legitimate interest involved.â Gertz, 418 U.S. at 349.
There is almost no danger anyone would suppress their speech to avoid
punishment under the Act.
Most importantly, under the Act, no one may be punished unless it is
proven that he knowingly made a false statement of fact, and the government must
establish any disputed facts beyond a reasonable doubt. This scienter requirement
provides âan extremely powerful antidote to the inducement to [] selfcensorship.â Id. at 342. And tellingly, the Supreme Court has never invalidated a
false-statement restriction that contains a knowledge requirement.
Further, not just any false statement is punishable under the Stolen Valor
Act. Utterances criminalized by the Act are objective and verifiable, and they are
particularly valueless under First Amendment principles. Although military
-37-
affairs are undoubtedly matters of public importance, lying about receiving
military medals does nothing to contribute to any conceivable public debate. The
Stolen Valor Act simply does not punish political speech, factually correct
statements, artistic expressions, or opinions of any sort. 13 No one is inhibited
from criticizing the armed forces, opining about military actions and
administration, stating political opinions, or reporting on governmental affairs.
And nothing about the Stolen Valor Act impinges upon our âprofound national
commitment to the principle that debate on public issues should be uninhibited,
robust, and wide open.â New York Times, 376 U.S. at 270. By prohibiting only
specific, knowingly false assertions of fact that do not bear on political speech or
matters of public debate, the Act promotes the âlarge[] public interest, secured by
the Constitution, in the dissemination of truth.â Garrison, 379 U.S. at 73.
In this same vein, the Stolen Valor Actâs content-based restriction is
permissible bec
