United States District Court for the Eastern District of Pennsylvania
729 F.Supp.2d 691 (E.D.Pa., 2010)
FREE SPEECH COALITION, INC., et al.
v.
Honorable Eric H. HOLDER, Jr.
Civil Action No. 09-4607.
July 27, 2010.
Background: Trade association representing producers
and distributors of sexually explicit materials brought action challenging
Child Protection and Obscenity Enforcement Act's recordkeeping, labeling, and
inspection requirements as violative of First, Fourth, and Fifth Amendments.
Government moved to dismiss.
Holdings: The District Court, Baylson, J., held that:
(1) Act's requirements served significant
governmental interest in preventing child pornography;
(2) Act's requirements were narrowly
tailored;
(3) Act's requirements were not facially
overbroad;
(4) claim that Act's requirements violated
Fifth Amendment's self-incrimination clause was not ripe for review; and
(5) producers did not have reasonable
expectation of privacy in records compiled pursuant to Act.
Motion granted.
*694 J. Michael Murray, Lorraine R. Baumgardner, Berkman, Gordon, Murray & Devan,
Cleveland, OH, Kevin E. Raphael, J. Peter Shindel, Jr., Pietragallo Gordon Alfano Bosick &
Raspanti LLP, Philadelphia, PA, for Free Speech Coalition, Inc., et al.
Kathryn Wyer, U.S. Dept. of Justice Civ. Div., Washington, DC, for
Honorable Eric H. Holder, Jr.
MEMORANDUM RE: DEFENDANT'S MOTION TO DISMISS AND
PLAINTIFFS' MOTION FOR LEAVE TO AMEND
BAYLSON, District Judge.
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I.
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INTRODUCTION
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696
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II.
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FACTUAL BACKGROUND
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698
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A.
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The
Statutes and Implementing Regulations
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698
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1.
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Relevant
Text of the Statutes and Implementing Regulations
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698
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a.
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18
U.S.C. § 2257
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698
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b.
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18
U.S.C. § 2257A
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699
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i.
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Section
2257A(h)'s Certification Provision for Commercial Producers
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699
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c.
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Implementing
Regulations
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700
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2.
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Legislative
Background
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700
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a.
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Child
Pornography Legislation Predating §§ 2257 and 2257A
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700
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b.
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Legislative
History of § 2257
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701
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i.
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The
Final Report of the Attorney General's Commission on Pornography
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701
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ii.
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Congressional
Action
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702
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c.
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Legislative
History of § 2257A
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703
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d.
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Additional
Background Material
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704
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i.
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Congressionally
Mandated Amendments to the Sentencing Guidelines
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704
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ii.
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State
Laws
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704
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B.
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Plaintiffs
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705
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III.
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PROCEDURAL
HISTORY
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706
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IV.
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STANDARD
OF REVIEW
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707
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V.
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THE
PARTIES' CONTENTIONS
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708
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A.
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First
Amendment Challenges
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708
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1.
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Level of
Scrutiny
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708
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a.
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Plaintiffs
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708
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b.
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Defendant
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709
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2.
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Other
First Amendment Challenges
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710
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B.
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Fifth
Amendment Challenges
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711
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C.
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Vagueness
Challenges
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711
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D.
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Fourth
Amendment Challenge
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711
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E.
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Collateral
Estoppel
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712
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VI.
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ANALYSIS
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712
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A.
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Past
Litigation Regarding § 2257
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712
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1.
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American
Library Association v. Reno
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712
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2.
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Connection
Distributing Co. v. Holder
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714
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3.
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Free
Speech Coalition v. Gonzales
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715
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B.
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Collateral
Estoppel
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716
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C.
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First
Amendment Challenges
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719
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1.
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Regulations
of Child Pornography and the First Amendment
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719
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2.
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The Statutes
Are Content Neutral
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721
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3.
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The
Statutes Survive Intermediate Scrutiny As Applied to Plaintiffs
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725
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a.
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The
Statutes Advance a Significant Governmental Interest
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725
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b.
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An
Evidentiary Hearing and/or Discovery Is Not Necessary
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726
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c.
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The
Statutes Are Narrowly Tailored
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729
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d.
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The
Statutes Leave Open Adequate Alternative Channels of Communication
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731
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4.
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The
Statutes Are Not Facially Unconstitutional
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731
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5.
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Other
First Amendment Challenges
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737
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a.
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Anonymous
Speech
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737
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b.
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Prior
Restraint
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738
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c.
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Strict
Liability
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739
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D.
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Fifth
Amendment Challenges
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740
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1.
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The
Statutes Do Not Violate the Equal Protection Clause
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740
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2.
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The
Challenge Under the Self-Incrimination Clause Is Not Ripe
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741
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E.
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Vagueness
Challenges
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742
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F.
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Fourth
Amendment Challenge
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743
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1.
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Summary
of the Parties' Arguments
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743
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2.
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Plaintiffs'
Motion for Leave To Amend
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745
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3.
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There Is
No Reasonable Expectation of Privacy in the Records Required by the Statutes
and Regulations
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746
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4.
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The
Inspection Program Falls Within the Administrative Search Exception to the
Warrant Requirement
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751
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VII.
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CONCLUSION
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757
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*696
* * *
I.
INTRODUCTION
Child pornography is one of the serious scourges of our
time. Devoid of any trace of social value, child pornography inflicts severe
and reprehensible harm upon the children exploited in its production. The
Supreme Court has consistently ruled it outside of the protections of the First
Amendment, and Congress has taken many measures to eradicate it, criminalizing
not only its creation, but also its possession and distribution. Nonetheless,
an appetite for this debasement persists, with its trafficking only facilitated
by advances in technology, particularly the growth of the internet.
Let us turn to recordkeeping, as old as history itself.
Prehistoric relics, Biblical references, Greek, Roman, Chinese and Egyptian
antiquities make clear that the creation and maintenance of records has
featured prominently in the customs and practices of many different cultures.
Recordkeeping has been undertaken voluntarily, for personal use and
gratification-such as the detailed records kept by Mozart's hero, Don Giovanni,
regarding his amorous conquests, so melodiously documented by his sidekick,
Leporello, in the aptly named “catalog aria”-and has also been made mandatory
in certain circumstances, in order to serve a particular public interest, for
instance. Such mandatory recordkeeping has become commonplace in modern times:
shortly after World War II, President Truman signed Executive Order 9784, ordering all federal agencies to adopt
record-management practices; in 1950, Congress passed the Federal Records Act;
and the drumbeat of mandatory recordkeeping has continued unabated. Congress
has enacted laws requiring individuals and businesses to keep records
concerning taxes as well as regarding immigration and environmental
transactions, and has often authorized administrative agencies to detail the
records that must be maintained. Courts have routinely upheld the validity of
such recordkeeping statutes and regulations.
Faced with the grave and persisting problem of child
pornography, and cognizant of First Amendment concerns with statutory
overbreadth and content-based restrictions on speech, Congress has chosen to
extend the practice of mandatory recordkeeping into the realm of sexually explicit
expression, employing it as a tool in the ongoing fight against the sexual
exploitation of children. 18 U.S.C. §§ 2257 and 2257A are two federal criminal statutes that impose recordkeeping,
labeling, and inspection requirements on certain visual depictions of actual or
simulated sexually explicit conduct. Under these statutes and their implementing
regulations, see 28 C.F.R. § 75 et seq., the producers of such
depictions must create and maintain records regarding the ages and identities
of the performers appearing in the depictions, must affix labels to the depictions
indicating where the records are located, and must permit periodic inspection
of the records by authorized government officials. The aim of the requirements
is to provide a reliable mechanism for verifying the ages of the performers
appearing in these sexually explicit depictions, to help ensure that children
are not being used in their production. The requirements apply regardless of
the performers' actual or apparent *697 age, and regardless of whether
the depiction in question is obscene, thereby reaching expression protected
under the First Amendment.
Plaintiffs in the present case characterize themselves as “a
broad array of producers and distributors of expression that has as its theme,
the ‘great and mysterious motive force in human life ... [which] has
indisputably been a subject of absorbing interest to mankind through the ages,’
that being, sex.” (Compl. ¶ 2) (quoting Roth v. United States, 354 U.S. 476, 487, 77 S.Ct. 1304, 1 L.Ed.2d 1498
(1957)).
Plaintiffs do not specifically attack the right of Congress to require
recordkeeping, and they emphatically denounce child pornography. Plaintiffs assert,
however, that the age-verification requirements of §§ 2257 and 2257A go too far, infringing upon their constitutional rights. Thus,
plaintiffs have brought this lawsuit seeking a declaratory judgment and an
injunction against the enforcement of the statutes and their regulations, alleging
that they violate the First, Fourth, and Fifth Amendments of the United States
Constitution.
This case thus presents two concerns of the highest order:
the sexual exploitation of children in the production of pornography, and the
infringement of the individual rights guaranteed under the Constitution. The
question is whether Congress, in enacting §§ 2257 and 2257A, has charted a constitutionally sound course between them. As
discussed at length below, this Court concludes that it has.
To date, two Circuit courts and a district court have
addressed and rejected similar constitutional challenges to § 2257; this decision appears to be the first regarding the
constitutionality of § 2257A, which was added in 2006. As in these past cases, plaintiffs here
assert that, under the guise of recordkeeping and the deterrence child pornography,
Congress has impermissibly “chilled” their legitimate First Amendment rights.
In considering this challenge, a primary principle on which this Court relies
is the legal distinction between content-based and content-neutral-sometimes
referred to as viewpoint-specific and viewpoint-neutral-statutes in the First
Amendment context.FN1
FN1.
This conceptual distinction was explored by this Court in a recent Opinion
holding that the Pennsylvania Anti-Blasphemy Statute was unconstitutional. See
Kalman v. Cortes, Civ. A. No. 09-684, 726 F.Supp.2d 766, 799-803, 2010
WL 2649869, at *29-32 (E.D.Pa. June 30, 2010).
This gap, although linguistically only a few words apart,
is thematically as wide as that between Beethoven and the Beatles or between
Manet and Matisse, and plays a critical role in determining a statute's
viability under the First Amendment. The Supreme Court has carefully but
consistently struck down content-based statutes because they target speech
based on its message or viewpoint and inhibit freedoms guaranteed under the
First Amendment, but has upheld content-neutral statutes because they primarily
serve other societal values without unduly interfering with constitutionally
protected expression. FN2
In the present case, this doctrinal distinction lays the foundation for the
following conclusions:
FN2.
In its most recent term, the Supreme Court has continued to look to, and
approve of, the content-based/content-neutral dichotomy. See Christian Legal Soc'y Chapter of Univ. of California,
Hastings Coll. of Law v. Martinez, --- U.S. ----, 130 S.Ct. 2971, 2993-95, 177 L.Ed.2d
838 (2010); Holder v. Humanitarian Law Project, --- U.S. ----, 130 S.Ct. 2705, 2723-24, 177 L.Ed.2d
355 (2010); United States v. Stevens, ---U.S. ----, 130 S.Ct. 1577, 1584, 176 L.Ed.2d 435
(2010); see
also Doe No. 1 v. Reed, --- U.S. ----, 130 S.Ct. 2811, 2817-18, 177 L.Ed.2d
493 (2010).
1. The statutes and regulations are content neutral. That
is, whatever *698 burden these age-verification requirements place on
constitutionally protected expression is not motivated by any disagreement with
or disapproval of the content of that expression, but instead arises
incidentally in the furtherance of a purpose-preventing the sexual exploitation
of children-that is unrelated to the protected expression's message or
viewpoint.
2. In light of the nature and needs of this content-neutral
purpose, the age-verification requirements are not unduly onerous or overly
sweeping; rather, under an intermediate level of scrutiny, they are a narrowly
tailored means for Congress to combat child pornography, and do not
unconstitutionally suppress protected expression.
In so ruling, this Court follows previous courts' analyses
upholding § 2257, and finds that § 2257A is valid under the same reasoning.
As to the inspection program authorized by the statutes and
regulations-the focus of plaintiffs' Fourth Amendment challenge-this Court
concludes that it does not implicate any reasonable expectation of privacy that
producers may claim to have in the records they are required to maintain, and
also that it amounts to a valid warrantless administrative search.
These threads weave together with various other legal
doctrines-pertaining to ripeness and preclusion, for instance-to convince this
Court that plaintiffs' challenges should be rejected, and that dismissal of
their claims is warranted. Plaintiffs urge that this Court must allow discovery
and take evidence before reaching any such conclusion, and thus that their
claims should survive at this stage of the litigation. This Court disagrees:
taking plaintiffs' factual allegations as true, they do not support a claim
under the relevant legal standards.
Defendant has moved to dismiss the Complaint under Fed.R.Civ.P. 12(b)(1) and 12(b)(6). (Doc. 17). This Court held oral argument on March 12, 2010, and
plaintiffs subsequently filed a Motion for Leave to Amend their Complaint.
(Doc. 49). For the reasons set forth below, defendant's Motion to Dismiss will
be granted, and plaintiffs' Motion for Leave to Amend will be denied.
II.
FACTUAL BACKGROUND
A. The
Statutes and Implementing Regulations
1. Relevant Text of the Statutes and Implementing Regulations
a. 18 U.S.C. § 2257
Originally enacted in 1988, 18 U.S.C. § 2257 provides that producers of certain visual
depictions of actual sexually explicit conduct “shall create and maintain individually
identifiable records pertaining to every performer portrayed in such a visual
depiction.” § 2257(a). Actual “sexually explicit conduct” comprises actual (1) “sexual
intercourse, including genital-genital, oral-genital, anal-genital, or
oral-anal, whether between persons of the same or opposite sex”; (2) “bestiality”;
(3) “masturbation”; (4) “sadistic or masochistic abuse”; and (5) “lascivious
exhibition of the genitals or pubic area of any person.” 18 U.S.C. § 2256(2)(A)(i)-(v) (incorporated by reference in § 2257(h)(1)).
A producer subject to this requirement must “ascertain, by
examination of an identification document containing such information, the
performer's name and date of birth” as well as any other name ever used by the
performer, and must maintain records of this identifying information “at his
business premises, or at such other place as the Attorney General may by *699
regulation prescribe and shall make such records available to the Attorney General
for inspection at all reasonable times.” § 2257(b), (c). “No information or evidence obtained from the records required
to be created or maintained by this section shall ..., directly or indirectly,
be used as evidence against any person with respect to any violation of law,”
except there may be “use of such information or evidence in a prosecution or
other action for a violation of this chapter or chapter 71, or for a violation
of any applicable provision of law with respect to the furnishing of false
information.” § 2257(d). The producer must also “affix[ ] to every copy of any
[visual depiction covered by § 2257] ... a statement describing where the records required by this
section with respect to all performers depicted in that copy of the [depiction]
may be located.” § 2257(e)(1).
A producer who falls under this section will be subject to
criminal liability if he or she: “fail[s] to create or maintain the records as
required”; “knowingly ... make[s] any false entry in or knowingly ... fail[s]
to make an appropriate entry in, any [required] record”; “knowingly ... fail
[s] to comply with” the labeling requirements; or “refuse[s] to permit the
Attorney General or his or her designee to conduct an inspection.” § 2257(f)(1)-(3), (5). It is also unlawful for an individual “knowingly
to sell or otherwise transfer, or offer for sale or transfer,” a book,
magazine, film, or any other matter which contains a depiction covered by this
section and which does not have the requisite label affixed. § 2257(f)(4).
b. 18 U.S.C. § 2257A
Added in 2006, § 2257A pertains to depictions of simulated (rather than actual) sexually
explicit conduct. The regulations implementing this provision make clear that
[s]imulated sexually explicit conduct means conduct engaged
in by performers that is depicted in a manner that would cause a reasonable
viewer to believe that the performers engaged in actual sexually explicit
conduct, even if they did not in fact do so. It does not mean not [sic]
sexually explicit conduct that is merely suggested.
28 C.F.R. § 75.1(o ). Section 2257A imposes the same recordkeeping, inspection, and labeling
requirements on producers of these depictions, and identifies the same criminal
offenses for noncompliance, as § 2257.
i. Section 2257A(h)'s Certification Provision for Commercial
Producers
When Congress enacted § 2257A, it provided that the requirements of both §§ 2257 and 2257A “shall not apply to matter, or any image therein, containing one
or more visual depictions of simulated sexually explicit conduct, or [of actual
lascivious exhibition of the genitals or pubic area of any person], if such
matter” (1) “is created as a part of a commercial enterprise by a person who
certifies to the Attorney General that such person regularly and in the normal
course of business collects and maintains individually identifiable information
regarding all performers, including minor performers, employed by that person,
pursuant to Federal and State tax, labor, and other laws, labor agreements, or
otherwise pursuant to industry standards, where such information includes the
name, address, and date of birth of the performer”; and (2) is either “intended
for commercial distribution” and “not produced, marketed or made available by
the person described [above] ... to another in circumstances such than an ordinary
person would conclude that the matter contains a visual depiction that is child
pornography”; or is “subject to the authority and regulation of the Federal
Communications Commission acting in its *700 capacity to enforce section
1464 of this title, regarding the broadcast of obscene, indecent or profane programming.”
§ 2257A(h)(1). Nothing in this provision “shall be construed to exempt
any matter that contains any visual depiction that is child pornography, ... or
is actual sexually explicit conduct” aside from the lascivious exhibition of
the genitals or pubic area of any person. § 2257A(h)(2).
c. Implementing Regulations
As noted, the Department of Justice has promulgated
regulations implementing §§ 2257 and 2257A. See 28 C.F.R. § 75. These regulations provide definitions
of various statutory terms, such as “producer” and “sexually explicit conduct,”
see § 75. 1, and flesh out the recordkeeping, labeling, and inspection
requirements set forth in the statutes, see §§ 75.2-75.9. Of particular
relevance to the present case are the provisions pertaining to the location and
inspection of records, §§ 75.4 and 75.5. Specifically, the regulations provide
that “[a]ny producer required by this part to maintain records shall make such
records available at the producer's place of business or at the place of
business of a non-employee custodian of records.” § 75.4. Inspections pursuant
to the statutes may be performed by “[i]nvestigators authorized by the Attorney
General,” who “are authorized to enter without delay and at reasonable times
any establishment of a producer where records under § 75.2 are maintained to
inspect during regular working hours and at other reasonable times, and within
reasonable limits and in a reasonable manner, for the purpose of determining
compliance with the record-keeping requirements of the [statutes] and any other
provision of the [statutes].” § 75.5(a). “Records may be inspected once during
any four-month period, unless there is a reasonable suspicion to believe that a
violation of this part has occurred ....” § 75.5(d). “Advance notice of record
inspections shall not be given.” § 75.5(b). “Inspections shall take place
during normal business hours and at such places as specified in § 75.4,” and “shall
be conducted so as not to unreasonably disrupt the operations of the
establishment.” § 75.5(c)(1), (3). At the outset of the inspection, the
inspector must “[p]resent his or her credentials,” “[e]xplain the nature and
purpose of the inspection,” and “[i]ndicate the scope of the specific inspection
and the records that he or she wishes to inspect.” § 75.5(c)(2). “An
investigator may copy, at no expense to the producer or to his non-employee
custodian of records, during the inspection, any record that is subject to
inspection.” § 75.5(e). Lastly, the regulations make clear that they “do not
restrict the otherwise lawful investigative prerogatives of an investigator
while conducting an inspection,” § 75.5(f), and that “[n]otwithstanding any provision
of this part or any other regulation, a law enforcement officer may seize any
evidence of the commission of any felony while conducting an inspection,” §
75.5(g).
2. Legislative Background
As discussed in greater detail below, Congress enacted §§ 2257 and 2257A as a means to combat the use of children in the production of
pornography. These statutes, however, are not the only legislation Congress has
promulgated to this end, but instead represent just one aspect of larger a
statutory scheme-beginning as early as 1978, and continuing through to the
present-that has sought to protect children from sexual exploitation.
a. Child Pornography Legislation Predating §§ 2257 and 2257A
In 1978, Congress promulgated the Protection of Children
Against Sexual Exploitation Act of 1977 (“1977 Act”), Pub.L. No. 95-225, 92 Stat. 7 (1978) (codified as amended at 18 U.S.C. §§ 2251-2252, 2256), which criminalized the use of children under*701 the age
of sixteen in sexually explicit productions “for the purpose of sale or
distribution for sale.” The 1977 Act imposed penalties of up to ten years'
imprisonment and/or a $10,000 fine. 18 U.S.C. § 2251(c)(1979). In considering the legislation,
Congress convened “one Senate and two House subcommittees over ten dates and
four cities from May to September of 1977.” Attorney General's Commission on
Pornography, Final Report, Ch. 3 (1986) (“Final Report” ). The
accompanying report from the Senate Judiciary Committee explained that Congress
aimed to eradicate the “highly organized, multimillion dollar” child
pornography and child prostitution industries “that operate on a nationwide
scale.” S.Rep. No. 95-438, at 5 (1977), 1978 U.S.C.C.A.N. 40, at 42.
Seven years later, the Child Protection Act of 1984 (“1984
Act”), Pub.L. No. 98-292, 98 Stat. 204 (codified as amended at in various
sections of 18 U.S.C.), significantly expanded the 1977 Act. The 1984 Act was
enacted after congressional hearings revealed that federal enforcement of the
1977 Act had been “seriously impaired” because much of the industry had gone
underground after the Act's promulgation, meaning that “the bulk of child
pornography traffic [had become] noncommercial.” Exploited and Missing
Children: Hearing Before the Subcomm. on Juvenile Justice, Comm. on the
Judiciary, 97th Cong., 39 (1982) (statement of Dana E. Caro, Deputy
Assistant Director, Organized Crime Division, FBI); id. at 47 (statement
of Charles P. Nelson, Assistant Chief Postal Inspector, U.S. Postal Service).
The 1984 Act increased tenfold the fines for distributing materials that
depicted children engaged in sexual activity. Pub.L. No. 98-292, § 3. The 1984 Act also altered the
definition of “sexually explicit conduct” by replacing the word “lewd” with “lascivious”
to describe the exhibition of genitals or pubic area. As for the production of
child pornography, the 1984 Act broadened its reach to cover noncommercial
materials, no longer requiring that production be engaged in for “pecuniary
profit” in order to constitute criminal behavior. Id. § 5. Additionally,
the 1984 Act added criminal and civil forfeiture provisions that required
persons convicted of child pornography offenses to forfeit the interest or
gross proceeds they obtained from committing the offenses. Id. § 6, 98
Stat. 205-26 (1984), 18 U.S.C. §§ 2253(a)(2), 2254.
b. Legislative History of § 2257
i. The Final Report of the Attorney General's Commission on
Pornography
In 1986, the Attorney General's Commission on Pornography
issued a Final Report, which found that “[t]he legislative assault on child
pornography drastically curtailed its public presence; it has not, however
ended the problem. Sexual exploitation of children has retreated to the
shadows, but no evidence ... suggests that children are any less at risk than
before.” Final Report, at 314. The Commission emphasized the “extremely
broad array of backgrounds[ ] and occupations” of perpetrators, who adopt a
widely varying set of approaches to sexually exploiting children, as well as
the vulnerability of the children who are victimized. Id. at Ch. 3. The
Commission found that one cause for the continuing market for child pornography
was the industry's use of young-looking performers in so-called “pseudo child
pornography,” which “has made it increasingly difficult for law enforcement
officers to ascertain whether an individual in a film or other visual depiction
is a minor.” Id.
In order to fill the “gaps” in then-existing legislation
which “allow [ed] the exploitation of minors to continue,” the Commission on
Pornography recommended that Congress “enact a statute requiring the producers,
retailers or distributors of sexually explicit visual depictions to maintain *702
records containing consent forms and proof of performers' ages.” Id. The
Commission also recommended a requirement that the location of this information
be identified “in the opening or closing footage of a film, the inside cover of
the magazine, or standard locations in or on other material containing visual
depictions,” and that the information be “available for inspection by any duly
authorized law enforcement officer upon demand as a regulatory function for the
limited purposes of determining consent and proof of age.” Id. The Final
Report explained that such legislation would “protect minors from abuse.” Id.
The Commission noted that child “[p]erformers in pornography face more risks
than just sexual abuse,” because such participation “may destroy employment
prospects and threaten family stability.” Id. In addition, the
recommended legislation would “place the burden of ensuring this protection
[i]s implemented squarely on the producers of the materials.” Id. In fact,
the Final Report recommended that Congress impose “[t]he recordkeeping
obligation ... on wholesalers, retailers, producers and any one [sic] engaged
in the sale or trade of sexually explicit material,” in order to “afford
protection to minors through every level of the pornography industry.” Id.
at 619. The Final Report noted that the recommended requirements would be “comparable”
to “that found in environmental and similar statutes.” Id.; see also
id., at Ch. 3, n. 469 (listing such statutes).
ii. Congressional Action
In 1988, after the Senate Judiciary Committee held
extensive hearings on the Final Report's recommendations, Congress acted upon
the Attorney General's findings by enacting the Child Protection and Obscenity
Enforcement Act, which included what has been codified as § 2257, the recordkeeping requirement recommended by the Final Report. See
Pub.L. No. 100-690, § 7513, 102 Stat. 4485, 4487-88 (1988); Child Protection and
Obscenity Enforcement Act and Pornography Victims Protection Act of 1987:
Hearing on S. 704 and S.2033 Before the S. Comm. on the Judiciary, 100th
Cong. (1988). Congress subsequently amended § 2257 in 1990, 2003, and 2006; these amendments left intact, and in
some respects expanded the coverage of, the statute's recordkeeping, labeling,
and inspection requirements for depictions of actual sexually explicit conduct.
In 1990, Congress, inter alia, added to the statute criminal
penalties for failing to comply with its requirements.FN3
Child Protection Restoration and Penalties Enhancement Act of 1990, Pub.L. No. 101-647, § 311(f), 104 Stat. 4816, 4816-17. In 2003, Congress extended the
statute's requirements to apply to any “computer generated image, digital
image, or picture.” Prosecutorial Remedies and Other Tools to End the
Exploitation of Children Today (PROTECT) Act, Pub.L. No. 108-21, § 511(a)(2), 117 Stat. 650, 685 (2003)
(codified at 18 U.S.C. § 2257(h)(3) (2003)). Congress found that “the vast
majority of child pornography prosecutions today involve*703 images
contained on computer hard drives, computer disks, and/or related media,” and
emphasized that “[t]he Government has a compelling state interest in protecting
children from those who sexually exploit them” and in “ensuring that the
criminal prohibitions against child pornography remain enforceable and effective.”
Id. § 501(6), (2), (3), 117 Stat. at 676-77. Congress also increased the
criminal penalties for violating the statute's requirements and broadened the
scope of criminal prosecutions in which use of evidence or information obtained
during an inspection of the statutorily required records may be used. Id.
§ 511(a)(3), (1), 119 Stat. at 684-85.
FN3.
As originally enacted, § 2257 imposed no direct penalties for noncompliance, but provided that,
in a prosecution for other child-pornography offenses, failure to comply with
the statute's requirements would result in a “rebuttable presumption” that
certain performers appearing in the depictions in question were minors. See
Pub.L. No. 100-690, § 7513, 102 Stat. at 4487-88. In 1989,
the United States District Court for the District of Columbia determined the
statute's imposition of this presumption was unconstitutional. Am. Library Ass'n v. Thornburgh, 713 F.Supp. 469, 480-82 (D.D.C.1989). In 1990, Congress responded by removing
the presumption and imposing criminal penalties for certain acts of
noncompliance.
Lastly, through the amendments in 2006, Congress brought
the definition of “actual sexually explicit conduct” into full conformance with
that provided in 18 U.S.C. § 2256(2)(A).FN4
Adam Walsh Child Protection and Safety Act of 2006 (“2006 Act”), Pub.L. No. 109-248, § 502(a)(4), 120 Stat. 587, 625.
Congress also made it unlawful for a producer subject to the statute's requirements
to refuse an inspection authorized under the statute. Id. §
502(a)(3)(C), 120 Stat. at 625.
FN4.
Between 1990 and 2006, § 2257's definition of “actual sexually explicit conduct” did not
include “lascivious exhibition of the genitals or pubic area.” The statute as
originally enacted in 1988, however, covered this category of depictions,
albeit in slightly different terms. See Pub.L. No. 100-690, § 7513, 102 Stat. at 4488 (stating that “
‘actual sexually explicit conduct’ means actual but not simulated conduct as defined
in subparagraphs (A) through (E) of section 2256 of this title,” which included “lewd” exhibitions
of the genitals or pubic area). As noted above, when Congress reintroduced this
category of depictions in 2006, it also extended, through the provision now
codified at § 2257A(h), a certification exemption for certain commercial producers
of such depictions. Pub.L. No. 109-248, § 503, 120 Stat. at 627-28.
c. Legislative History of § 2257A
In the 2006 Act, Congress noted that it continued to find
that a “substantial interstate market in child pornography exists.” Id.
§ 501(B), 120 Stat. at 623. Thus, in addition to the amendments to § 2257, mentioned above, the 2006 Act introduced § 2257A to address depictions of simulated sexually explicit conduct,
extending § 2257's age-verification requirements and penalties to such depictions
and providing a certification exemption for certain commercial producers of
such depictions. Id. § 503, 120 Stat. at 626-29.
Members of both the House and Senate discussed how § 2257A was an important means of combating and deterring further child
exploitation. First, Representative Michael Pence remarked that he first
introduced § 2257A's recordkeeping and labeling requirements in a previous bill.
Representative Pence stated that his intent in drafting his bill was “to
prevent American children from becoming victims of pornography,” including exploitation
that occurs in the home, when “children are forced to pose for pornographic
pictures or act in pornographic videos.” 152 Cong. Rec. H5724 (2006). Representative
Pence noted that § 2257A's recordkeeping requirement “[p]rovid[es] law enforcement with
the tools to combat child pornography contained in this legislation,” which he
viewed as “a much-needed and overdue step that must be taken to protect our
children.” Id. In addition, Representative Pence explained that his bill
went “a step further by requiring that records be kept for lascivious
exhibitions-nude photographs or displays. No child should be used in either
nude pictures or sexually explicit materials because these items only serve to
inflame the prurient interest in child predators. Requiring that records be
kept will serve as a deterrent.” Id. at H5725.
*704
Similarly, Senator Mitchell McConnell took care to note that § 2257A “strengthens the pornography recordkeeping and labeling
requirements passed by Congress in 1988 to protect children from exploitation
by pornographers.” 152 Cong. Rec. S8024 (2006). Senator McConnell noted that
such “provisions were originally part” of a bill sponsored by Senator Orrin
Hatch and co-sponsored by Senator McConnell, and that he was “doubly pleased
now to see these provisions included.” Id. Speaking to the certification
exemption provided in § 2257A(h), Senator Patrick Leahy noted that “[b]ecause the focus of
these requirements is adult pornography and the protection of children, not
mainstream visual depictions and activities that do not threaten children, [§ 2257A] includes provisions intended to limit the reach of these
requirements to those who are actually exploiting children.” Id. at
S8027.
d. Additional Background Material
i. Congressionally Mandated Amendments to the Sentencing
Guidelines
Congress has further shown that it continues to view child
pornography as a serious threat by repeatedly increasing the criminal penalties
for possessing and distributing child pornography. In 1990, upon criminalizing
the possession of child pornography, Congress directed the United States
Sentencing Commission (“Sentencing Commission”) to “amend existing guidelines
for sentences involving sexual crimes against children ... so that more
substantial penalties may be imposed.” Pub.L. No. 101-647, § 321, 104 Stat. 4789, 4817-18 (1990). A year later, Congress
instructed the Sentencing Commission to “promulgate guidelines, or amend
existing or proposed guidelines” to increase sentences for simple possession of
visual depictions of minors. Pub.L. No. 102-141, § 632, 105 Stat. 834, 876 (1991).
In 1995, Congress directed the Sentencing Commission to
amend the sentencing guidelines by increasing by two levels the base offense
level for “certain conduct involving the sexual exploitation of children,” and
to provide a two-level enhancement if a computer was used to possess or
transmit child pornography. Pub.L. No. 104-71, §§ 2-3, 109 Stat. 774, 774 (1995). Three years later, Congress
instructed the Commission to “clarify that the term ‘distribution of
pornography’ applies” to both distribution “for monetary remuneration” and “for
a non-pecuniary interest.” Pub.L. No. 105-314, § 506(2), 112 Stat. 2974, 2982 (1998).
More recently, in 2003, Congress directed the Commission to increase the base
offense level provided in United States Sentencing Guidelines (“U.S.S.G.”) §§
2G2.2 and 2G2.4 if “material portrays sadistic or masochistic conduct, or other
violence,” and in light of the number of child pornography-related images the
offender possesses or distributes. Pub.L. No. 108-21, § 401(i), 117 Stat. 650, 672-73 (2003). Congress also provided
that judges could only apply downward departures that have been “affirmatively
and specifically identified as [ ] permissible ground[s].” Id. § 401(a),
117 Stat. at 669. In response to Congress's directions to increase the
penalties for possessing and distributing child pornography, the Sentencing
Commission has repeatedly amended U.S.S.G. §§ 2G2.2 and 2G2.4.
ii. State Laws
Lastly, Congress has not been alone in passing legislation
aimed at eradicating child pornography. As noted in the 1986 Final Report of
the Commission on Pornography, “[n]early all [states] ban the production of
child pornography, and an overwhelming majority prohibit distribution as well.”
Final Report, at Ch. 3. Presently, all states and the District of
Columbia prohibit the distribution, promotion,*705 and possession of
child pornography, and nine states also prohibit the viewing of such pornography.
FN5
FN5.
See National Center for Prosecution of Child Abuse, National District
Attorney's Association [hereinafter “NCPCA”], Child Pornography Distribution
and Promotion Statutes (Mar.2010), http:// www. ndaa. org/ p
df/Child_Pornography_Distribution_and_Dissemination.pdf; NCPCA, Viewing
Child Pornography Statutory Compilation (Oct.2009), http:// www. ndaa. org/
pdf/ Child_ Pornography_ Viewing. pdf; NCPCA, Child Pornography Possession
Statutes (Sept.2009), http:// www. ndaa. org/ pdf/ Child_ Pornography_
Possession. pdf.
B. Plaintiffs
Plaintiffs in the present case “include artists, sex educators,
photographers, performers, commercial producers of adult expression, and
persons engaged in the dissemination of sexually explicit materials,” (Compl. ¶
2), all of whom allege that §§ 2257 and 2257A “unconstitutionally restrict and burden a vast amount of
constitutionally protected expression that [they] produce, wish to produce,
disseminate and wish to disseminate.” (Compl. ¶ 51).
As alleged in the Complaint, plaintiff Free Speech
Coalition, Inc. is “a trade association ... represent[ing] more than 1,000
businesses and individuals throughout the United States engaged in the
production, distribution, and sale and presentation of non-obscene,
adult-oriented materials that include visual depictions of adults engaged in
actual and/or simulated sexually explicit conduct and/or candidly displaying
their genitals.” (Compl. ¶ 18). “The Coalition and its members, as commercial
producers of sexually explicit expression, are not involved in the production
of child pornography and actively employ measures to assure that minors simply
do not appear in their expression.” (Compl. ¶ 19).
Plaintiff American Society of Media Photographers, Inc. is “the
leading trade association for photographers who photograph for publication ...
including books, magazines, newspapers, web uses, corporate reports, publicity,
and advertising. In the course of pursuing their profession, ASMP's members
produce photographs that document the range of human experience and
interests-including those involving sexual content.” (Compl. ¶ 20).
Plaintiff Townsend Enterprises, Inc. d.b.a. Sinclair
Institute, in furtherance of its “purpose of educating adults about sexual
health and fulfillment,” “produces and distributes materials containing visual
depictions of adults of all ages and ethnicities engaging in actual and
simulated sexually explicit conduct and candidly displaying their genitals,”
and “has developed a comprehensive library of sex education videos.” (Compl. ¶
30).
Plaintiff C 1 R Distribution, L.L.C. d.b.a. Channel 1
Releasing “produces and offers for sale DVDs containing visual depictions of
adults engaged in actual and simulated sexually explicit conduct and candidly
displaying their genitals, and operates an Internet website that allows
subscribers to pay to view videos containing [such] visual depictions ... and
to view adults engaged [in such conduct] live ..., and operates a brick and mortar
retail store.” (Compl. ¶ 32).
Plaintiff David Conners, a.k.a. Dave Cummings, “produces
and performs in videotapes and digital video discs (DVDs) that contain visual
depictions of adults engaged in actual and simulated sexually explicit conduct
and candidly displaying their genitals,” and “also operates two computer
websites that contain [such] visual depictions.” (Compl. ¶ 25). “He operates
his small business as a sole-proprietorship ... from his private home.” (Compl.
¶ 25). Plaintiff Carol Queen is a “sociologist, sexologist, and feminist sex
educator” *706 who has, among other things, “authored a substantial
number of sexuality-related articles, essays and books,” and has “performed as
a sex educator in films.” (Compl. ¶ 36). Much of her work, including images
that are live-streamed over the internet, contains depictions of adults that
are subject to the statutes' requirements. (Compl. ¶¶ 36-37). Plaintiff Marie
L. Levine a.k.a. Nina Hartley is an actress who “has appeared in more than 650
adult films,” “has created a 40-volume educational series on human sexuality,”
and “operates a website ... that features her films and offers live shows to
persons who purchase a membership to the site.” (Compl. ¶ 45). Plaintiff Betty
Dodson “is an octogenarian sexologist, sex educator, author, and artist,” much
of whose work includes depictions subject to the statutes' requirements.
(Compl. ¶ 49). She and plaintiff Carlin Ross “host a website that addresses
issues of sexuality and genitalia. The website includes a ‘genital art gallery’
created by Dodson, the purpose of which was to help adult men and women work
through shame related to the look of their genitalia, by providing a forum for
individuals to post images of and essays about their genitalia and to do so anonymously.”
(Compl. ¶ 50).
Plaintiff Michael Barone is “an artist and accomplished
professional photographer who creates commercial and fine art works,” including
“erotic portraits” commissioned by individuals and couples. (Compl. ¶ 22). “He
displays his work at public galleries and on the Internet; his commissioned
erotic portraits are created for private use.” (Compl. ¶ 22). Plaintiff Thomas
Hymes is “a journalist who ... operates a web site ... that chronicles society,
culture and politics, in a broad sense, and as they relate to the adult
industry, in particular.” (Compl. ¶ 28). Plaintiff Barbara Alper is a “recognized
commercial photographer” who has, among other things, “documented various
lifestyles including sexual subcultures” and published a “compilation of fine
art photography” containing photographs of adults that are subject the
statutes' requirements. (Compl. ¶ 34). Plaintiff Barbara Nitke is “an
internationally known photographer who specializes in the subject of human
sexual relations”; her work includes “photographs chronicling relationships
between consenting adults engaged in sadomasochistic activities,” and she has
worked “for many years as a behind-the-scene photographer on the shoots of
hundreds of adult films.” (Compl. ¶ 39). Plaintiff David Steinberg is “an
acclaimed photographer” who “writ[es] about sexual issues” and “tak[es] fine
art photographs of couples in long-term, loving relationships engaged in actual
and simulated sexually explicit conduct and candidly displaying their genitals.”
(Compl. ¶ 43). Plaintiff Dave Levingston is a photographer “who creates
photographic expression, not for commercial purposes, but for its own sake.”
(Compl. ¶ 48). “A portion of his art depicts adults in erotic and sexual settings.”
(Compl. ¶ 47).
III.
PROCEDURAL HISTORY
On October 7, 2009, plaintiffs filed their Complaint (Doc.
1) and their Motion for Preliminary Injunction (Doc. 3). On December 14, 2009,
defendant filed both its Response to Plaintiffs' Motion for Preliminary
Injunction (Doc. 16) and its Motion to Dismiss (Doc. 17). On February 1, 2010,
plaintiffs filed their Reply to defendant's Response and their Response to
defendant's Motion to Dismiss. (Doc. 25). On February 22, 2010, defendant filed
its Reply to plaintiffs' Response to the Motion to Dismiss. (Doc. 33). The
Court also received briefs from amici curiae-namely, the American Civil
Liberties Union of Pennsylvania (Docs. 29, 34) and the Electronic Frontier Foundation
(Docs. 32, 35) in support of plaintiffs, and from the *707 American Center
for Law and Justice and numerous United States Congressmen (Docs. 38, 43) in
support of defendant. The Court held oral argument on these motions on March
12, 2010. (Docs. 44, 46). Subsequently, the parties filed supplemental
briefing. (Docs. 48, 50-52, 57-60, 62, 64-65). Plaintiffs also filed a Motion
for Leave to Amend the Complaint (Doc. 49); defendant submitted its Response to
this Motion on April 22, 2010 (Doc. 53), and plaintiffs their Reply on April
29, 2010 (Doc. 56).
At oral argument, it became clear that this Court should
decide defendant's Motion to Dismiss before determining whether to have a
hearing on plaintiffs' Motion for Preliminary Injunction. Accordingly, the
Motion for Preliminary Injunction was denied without prejudice pending the
Court's ruling on the Motion to Dismiss and on plaintiffs' Motion for Leave to
Amend the Complaint. (Doc. 63).
IV.
STANDARD OF REVIEW
When deciding a motion to dismiss
pursuant to Fed.R.Civ.P. 12(b)(6), this Court must accept as true all
well-pleaded allegations and view them in the light most favorable to the
plaintiff. Angelastro v. Prudential-Bache Sec., Inc., 764 F.2d 939, 944 (3d Cir.1985). “In evaluating a Rule 12(b)(6) motion, a court may consider only the complaint, exhibits
attached to the complaint, matters of public record, and undisputedly authentic
documents if the plaintiff's claims are based upon those documents.” Ogbin v. Fein, Such, Kahn & Shepard, PC, Civ. A. No. 08-4138, 2009 WL 1587896, at *1 (D.N.J.
June 1, 2009)
(Cavanaugh, J.) (citing Pension Benefit Guar. Corp. v. White Consol. Indus., 998 F.2d 1192, 1196 (3d Cir.1993)).
A
valid complaint requires only “a short and plain statement of the claim showing
that the pleader is entitled to relief.” Fed.R.Civ.P. 8(a)(2). “To survive a motion to dismiss, a
complaint must contain sufficient factual matter, accepted as true, to state a
claim to relief that is plausible on its face.” Ashcroft v. Iqbal, --- U.S. ----, 129 S.Ct. 1937, 1949, 173 L.Ed.2d 868
(2009) (internal
quotation marks omitted). Iqbal clarified that the Supreme Court's decision in Bell Atlantic Corp. v. Twombly, 550 U.S. 544, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007), which required a heightened degree of
fact pleading in an antitrust case, “expounded the pleading standard for ‘all
civil actions.’ ” 129 S.Ct. at 1953.
Iqbal explained that although a court must accept as true all of
the factual allegations contained in a complaint, that requirement does not
apply to legal conclusions; therefore, pleadings must include factual allegations
to support the legal claims asserted. Id. at 1949, 1953. “Threadbare recitals of the elements of a
cause of action, supported by mere conclusory statements, do not suffice.” Id. at 1949 (citing Twombly, 550 U.S. at 555, 127 S.Ct. 1955); see also Phillips v. Cnty. of Allegheny, 515 F.3d 224, 232 (3d Cir.2008) (“We caution that without some factual
allegation in the complaint, a claimant cannot satisfy the requirement that he
or she provide not only ‘fair notice,’ but also the ‘grounds' on which the
claim rests.” (citing Twombly, 550 U.S. at 556 n. 3, 127 S.Ct. 1955)). Accordingly, to survive a motion to
dismiss, a plaintiff must plead “factual content that allows the court to draw
the reasonable inference that the defendant is liable for the misconduct
alleged.” Iqbal, 129 S.Ct. at 1949 (citing Twombly, 550 U.S. at 556, 127 S.Ct. 1955). “[W]here the well-pleaded facts do not
permit the court to infer more than the mere possibility of misconduct, the
complaint has alleged-but it has not ‘show[n]’-‘that the pleader is entitled to
relief.’ ” Id. (quoting Fed.R.Civ.P. 8(a)(2)). “This ‘plausibility’ determination*708
will be ‘a context-specific task that requires the reviewing court to draw on
its judicial experience and common sense.’ ” Fowler v. UPMC Shadyside, 578 F.3d 203, 211 (3d Cir.2009) (quoting Iqbal, 129 S.Ct. at 1949).
Upon a motion to dismiss for lack of
subject matter jurisdiction under Fed.R.Civ.P. 12(b)(1), the plaintiff bears the burden of
persuading the court that subject matter jurisdiction exists. Kehr Packages, Inc. v. Fidelcor, Inc., 926 F.2d 1406, 1409 (3d Cir.1991). “[T]here are two types of Rule 12(b)(1) motions: those that attack the complaint on its face and
those that attack subject matter jurisdiction as a matter of fact.” Petruska v. Gannon Univ., 462 F.3d 294, 302 n. 3 (3d Cir.2006). “When considering a facial attack, ‘the
Court must consider the allegations of the complaint as true,’ and in that
respect such a Rule 12(b)(1) motion is similar to a Rule 12(b)(6) motion.” Id. (quoting Mortensen v. First Fed. Sav. & Loan Ass'n, 549 F.2d 884, 891 (3d Cir.1977)). When considering a factual attack, on
the other hand, “the trial court is free to weigh the evidence and satisfy
itself as to the existence of its power to hear the case. In short, no
presumptive truthfulness attaches to plaintiff's allegations, and the existence
of disputed material facts will not preclude the trial court from evaluating
for itself the merits of jurisdictional claims.” Id. (quoting Mortensen, 549 F.2d at 891).
V. THE
PARTIES' CONTENTIONS
A. First
Amendment Challenges
Plaintiffs assert that §§ 2257 and 2257A violate the First Amendment, both facially and as applied to
them, in myriad ways. Defendant avers that a majority of plaintiffs'
contentions have already been addressed by previous courts evaluating the
constitutionality of § 2257, and in light of these decisions and the allegations in the Complaint,
plaintiffs' First Amendment challenges should be dismissed. Plaintiffs respond,
however, that those prior decisions do not bind this Court and that,
regardless, their claims are distinguishable, particularly in light of the introduction
of § 2257A into the statutory scheme. According to plaintiffs, the facts
alleged in their Complaint are extensive and certainly sufficient to state a
claim, and the development of a factual record is essential to the proper
assessment of their facial and as-applied challenges.
1. Level of Scrutiny
a. Plaintiffs
As to the substance of the claims, plaintiffs first contend
that §§ 2257 and 2257A are content-based regulations of speech, and thus their
constitutionality must be assessed under strict scrutiny, because both single
out a particular category of expression-visual depictions of actual and
simulated sexually explicit conduct-and impose restrictions on its production
and dissemination based on its content. Furthermore, plaintiffs contend, § 2257 must be evaluated as a content-based regulation of speech because
§ 2257A provides different treatment for certain commercially produced
expression containing depictions of simulated sexually explicit conduct or of
actual lascivious displays of the genitals or pubic region.
As content-based regulations of speech, plaintiffs argue, §§ 2257 and 2257A fail strict scrutiny because they do not employ the least
restrictive means of advancing the government's interest in protecting children
from sexual exploitation. Even if evaluated under intermediate scrutiny,
however, plaintiffs maintain the statutes are unconstitutional, both facially
and as applied to them. While plaintiffs do not contest the significance of the
government's interest in protecting children, they contend the statutes fail to
advance that interest in a direct and material way. *709 Plaintiffs seek
to introduce evidence that the particular problems purportedly addressed by the
statutes do not, in fact, exist, or are not served by the statutes'
requirements. Plaintiffs also assert the requirements are unnecessary in light
of industry standards governing many to whom the statutes apply, as well as the
array of other state and federal criminal statutes directed toward child
pornography. Moreover, plaintiffs contend, the statutes are overinclusive, as
they apply to all visual depictions of sexually explicit conduct-regardless of
their commercial or noncommercial nature, their duration, their social or political
value, or how clear the maturity of the individuals depicted may be-and sweep
within their scope a vast amount of purely private, protected expression between
adults. According to plaintiffs, § 2257A(h)'s certification exemption for certain commercial producers
demonstrates, by contrast, how unnecessarily burdensome the requirements
presently are. Lastly, plaintiffs claim the statutes do not leave open adequate
alternative channels for communication, as their restrictions, while not explicitly
banning the protected speech in question, have that effect in practice.
According to plaintiffs, these claims are plausible and can only be assessed
properly through the development of an evidentiary record.
b. Defendant
Defendant counters that the statutes are content neutral,
as Congress's goals in establishing the statutes' requirements are unrelated to
the content or message of the protected speech in question and any burdens that
may be placed on this protected speech are incidental. In support, defendant
points to previous courts' determinations that § 2257 is content neutral. According to defendant, the enactment of § 2257A does not alter this conclusion as to either statute.
Defendant also maintains that the statutes' recordkeeping,
labeling, and inspection requirements satisfy intermediate scrutiny. As their
legislative history makes clear, these requirements directly advance the government's
interest by ensuring that the performers in the depictions are adults, and are
a necessary aid in the prevention of sexual exploitation of children and
enforcement with respect to it. Furthermore, defendant contends, the requirements
advance the government's interest in a narrowly tailored fashion, both facially
and as applied to plaintiffs: The requirements only apply to those depictions
that would be child pornography if the performers were minors, and they apply
universally out of necessity, as the allowance of exceptions based on
subjective assessments (such as the apparent age of the performers, or the
perceived value of the expression) would greatly undermine the effectiveness of
the statutory scheme. In addition, the Department of Justice's longstanding,
official position that the statutes would only be enforced with respect to
depictions produced “for sale or trade,” and not with respect to purely private
expression, limits their reach even further.
According to defendant, plaintiffs fall within the scope of
producers whose depictions are properly targeted by the statutes, and they
provide no explanation as to why the reasoning underlying a universal
age-verification requirement with respect to such depictions would not apply to
them. As to § 2257A(h)'s certification exemption, defendant notes that it simply
reflects sound legislative judgment as to what producers are likely to already
be bound by other reliable age-verification requirements, and intermediate
scrutiny does not require Congress to adopt the least restrictive means of
advancing an interest. Lastly, defendant contends the statutes leave open adequate
alternative *710 channels of communication, as they do not ban any
speech, but only impose recordkeeping and labeling requirements with respect to
it-the type of requirements commonly found in many other legal contexts, such
as immigration. According to defendant, these conclusions find ample support in
the statutes' legislative history and previous courts' analyses of § 2257, and the additional evidentiary showings sought by plaintiffs
would be both unnecessary and improper for this Court to consider in its
intermediate-scrutiny analysis.
2. Other First Amendment Challenges
The parties next dispute whether the statutes are unconstitutionally
overbroad, with each relying on essentially the same arguments raised regarding
the statutes' “narrow tailoring.” Again, plaintiffs seek to develop an
evidentiary record regarding overbreadth, whereas defendant contends the claim
can be dismissed based on the allegations of the Complaint, the statutes
themselves, and the analyses of previous courts that have addressed the issue.
Plaintiffs also claim the statutes unconstitutionally
suppress anonymous speech. According to plaintiffs, the statutes, by requiring
personal information of performers to be made available for inspection, chill
the ability to speak anonymously, which is constitutionally protected.
Defendant responds that plaintiffs are not asserting that their own right to
speak anonymously has been burdened, but only that of their performers, and
regardless, any burden placed on this right by the statutes must be evaluated
under intermediate scrutiny. Here, any minor burden the statutes' requirements
place on this right survives such scrutiny.
Plaintiffs next assert that the statutes are unconstitutional
prior restraints on speech, as they create conditions that must be followed
before certain protected expression can be produced or distributed and impose
criminal sanctions for any failure to comply. According to defendant, however,
plaintiffs misconstrue the prior restraint doctrine; properly understood, the
statutes are not unconstitutional prior restraints, because nothing in their
requirements provides a means for the government to review a depiction and
withhold permission for its publication or distribution based on a judgment
regarding its content.
Lastly, plaintiffs contend that the statutes unconstitutionally
impose strict liability for the offense of failing to create or maintain the
required records. Plaintiffs observe that the statutes contain no scienter
requirement for this offense, and argue that, as a result, they
unconstitutionally chill protected speech and fall short of basic due process
requirements. Defendant responds that plaintiffs' argument must fail in this
case because none of them has been charged with committing this offense, let
alone held strictly liable for it. Furthermore, defendant contends, there is no
indication that the statutes would be enforced in the manner suggested by
plaintiffs, as the mere absence of a scienter requirement from a criminal
statute does not, in itself, require that the statute be read to impose strict
liability. Additionally, defendant notes, punishment for violation of the
statutes' requirements does not raise due process concerns, because, contrary
to plaintiffs' characterization, the production of depictions of sexually explicit
conduct does not constitute the type of passive act where such concerns are
implicated. Lastly, defendant questions how this claim is relevant to
plaintiffs' First Amendment challenges to the statutes, as they do not explain
how the expression of those who do not know of the requirements would be
chilled, nor how the expression of those who know about the requirements would
be affected by the imposition of strict liability.
*711 B. Fifth Amendment Challenges
Plaintiffs raise two challenges to the statutes under the
Fifth Amendment. Reprising their arguments as to why the statutes are content
based, plaintiffs contend the statutes deny them equal protection of the law in
light of the differential treatment the statutes afford commercial producers of
depictions of simulated sexually explicit conduct and of actual lascivious
displays of the genitals and pubic region. In response, defendant points to
caselaw indicating that a statute deemed permissible under the First Amendment
is likely to be permissible under the Equal Protection Clause of the Fifth
Amendment as well. In particular, defendant notes that content-neutral statutes
subject to intermediate scrutiny in the First Amendment context are analyzed
under rational-basis review in the equal-protection context, and Congress had a
rational basis for the distinction in treatment identified by plaintiffs.
Plaintiffs also allege that the statutes violate the Fifth
Amendment's right against self-incrimination. Defendant contends that this
claim is not ripe for review because plaintiffs do not claim to have invoked
this privilege in response to a government demand for disclosure.
C. Vagueness
Challenges
Plaintiffs also allege that various terms in the statutes
and their implementing regulations are unconstitutionally vague.FN6
Defendant contends that these allegations either have been previously rejected
by the Supreme Court or are too underdeveloped to state a plausible claim on
their face, and thus should be dismissed.
FN6.
Though plaintiffs identified the challenged provisions in their Complaint, they
offered little explanation, particularly with regard to the regulatory
provisions, as to why they are vague. Nor did plaintiffs offer any argument in
support of these claims in their briefing on their Motion for Preliminary
Injunction or on defendant's Motion to Dismiss, leading defendant to argue that
plaintiffs had waived these claims. At oral argument, plaintiffs confirmed that
they had not waived these claims, and in response to this Court's requests,
provided a short explanation of the claims in subsequent supplemental briefing.
D. Fourth
Amendment Challenge
Plaintiffs contend the inspection program set forth by the
statutes and their implementing regulations authorizes warrantless searches and
seizures in violation of the Fourth Amendment. According to plaintiffs, an
inspection of records performed under these statutes would constitute a search
and-if the records are copied or taken-a seizure under the Fourth Amendment;
the statutes, however, do not require a warrant or probable cause for the
search or seizure to occur, in contravention of that amendment's demands.
Plaintiffs recognize that warrantless administrative searches may be lawful
under certain discrete and limited circumstances, but assert that those
circumstances are not present here.
Defendant raises three primary arguments in response.
First, defendant contends that plaintiffs' claims are not ripe for review, as
none claim to have been subject to an inspection pursuant to the challenged
procedure; accordingly, any attempt to assess the inspection scheme's validity
under the Fourth Amendment would be unduly speculative and premature. Even if
the challenge is addressed, however, defendant contends that inspections
conducted pursuant to the statutes would not fall within the scope of the
Fourth Amendment. According to defendant, the statutes authorize only an
inspection of the age-verification records required by the statutes; as these records
are made and kept solely for the purpose of compliance with the statutes,*712
the producers of the records cannot be said to have a reasonable expectation of
privacy in them such that their inspection would be a “search” or “seizure”
under the Fourth Amendment. Lastly, defendant argues that, even if analyzed
under the Fourth Amendment, an inspection conducted pursuant to the statutes
would meet the requirements of a valid warrantless administrative search, and
thus pass constitutional muster.
In response to defendant's ripeness argument, plaintiffs
submitted a Motion for Leave to Amend their Complaint, seeking to add
allegations that certain unidentified members of Free Speech Coalition, as well
as other unidentified producers of sexually explicit expression, have been
subject to inspections pursuant to the statutes and their implementing
regulations. Defendant contends this Motion does not cure the defects of
plaintiffs' Complaint and thus should be denied. These contentions are discussed
at greater length in Part VI.F.1, infra.
E. Collateral
Estoppel
Lastly, defendant raised at oral argument and in
post-argument briefing the contention that two plaintiffs, Free Speech
Coalition and David Conners, are collaterally estopped from bringing before
this Court all of their claims that are not specific to § 2257A, due to their participation as plaintiffs in a previous challenge
to § 2257 in the District of Colorado. Plaintiffs counter that this prior
proceeding ultimately resulted in dismissal without prejudice, and thus does
not carry any preclusive effect as to Free Speech Coalition and Conners.
Defendant responds that, while the District of Colorado court dismissed some of
these plaintiffs' claims without prejudice, it granted summary judgment against
them as to their other claims, including those at issue in the present case, thereby
disposing of those other claims with sufficient finality for preclusive effect
to attach.
VI.
ANALYSIS
A. Past
Litigation Regarding § 2257
“Judging the constitutionality of an Act of Congress is ‘the
gravest and most delicate duty that this Court is called upon to perform.’ ” Citizens United v. Fed. Election Comm'n, --- U.S. ----, 130 S.Ct. 876, 917-18, ---L.Ed.2d ----
(2010) (Roberts,
C.J., concurring) (internal quotation marks omitted). At the outset, this Court
notes that it is not the first to be called upon to undertake this “gravest and
most delicate duty” with respect to the recordkeeping, labeling, and inspection
requirements of § 2257; the D.C. Circuit, Sixth Circuit, and District of Colorado have
all addressed various constitutional challenges to that statute which are
similar to those raised by plaintiffs here. As these previous cases provide
significant guidance to this Court's analysis in the present case, a brief
review of them is in order.
1. American Library Association v. Reno
Shortly after § 2257 was enacted in 1988, the constitutionality of several of its
provisions was challenged in the district court for the District of Columbia.
The plaintiffs in that case included a number of associations representing
producers and distributors of books, magazines, and films containing depictions
covered by the statute. The district court determined, inter alia, that
significant portions of the statute violated the First Amendment. See Am. Library Ass'n v. Thornburgh, 713 F.Supp. 469 (D.D.C.1989). In 1990, while appeal of this
determination was pending, Congress amended § 2257. As these amendments “significantly altered” the “scope and burden”
of the statute's recordkeeping requirements, the D.C. Circuit “vacate[d] the
portion of the [district] court's judgment *713 concerning the
[statute's] recordkeeping provisions” as moot. Am. Library Ass'n v. Barr (ALA I), 956 F.2d 1178, 1186-87 (D.C.Cir.1992). On remand, the district court found
that, notwithstanding the amendments, § 2257's requirements were unconstitutional under the First Amendment.
In particular, the court found that the requirements were not “narrowly
tailored to achieve a significant legislative goal,” primarily because they “applie[d]
to all depictions of actual sexually explicit conduct regardless of the age or
even apparent age of the model.” Am. Library Ass'n v. Barr, 794 F.Supp. 412, 418, 417 (D.D.C.1992). Accordingly, the court “enjoin[ed] enforcement
of [the] Act as it applies to records that must be kept pertaining to images of
adult models,” and ruled that the “Act may not be applied to Plaintiffs[ ] and
other producers of such images who use due diligence to satisfy themselves that
the subjects in these images are over 18 years of age.” Id. at 419. It found the statute constitutional, however, “as applied to
images of models under 18 years of age.” Id.
On appeal, the D.C. Circuit, in a 2-1 decision, affirmed in
part and reversed in part the district court's judgment. Am. Library Ass'n v. Reno (ALA II), 33 F.3d 78 (D.C.Cir.1994). The court first clarified that the
plaintiffs were bringing an as-applied, rather than facial, challenge to the
statute. Id. at 83-84. The court then determined that the statute was a
content-neutral regulation of speech, as “it [was] clear that Congress enacted
the Act not to regulate the content of sexually explicit materials, but to protect
children by deterring the production and distribution of child pornography.” Id. at 86.
Applying intermediate scrutiny, the court found that the
statute's requirements “leave[ ] open ample avenues for the communication of
sexually explicit materials” and “advance the abatement of child pornography in
fundamental ways.” Id. at 88. The court “reject[ed] appellees' contention that the Act is
substantially overinclusive” because it “applies almost entirely to
constitutionally protected depictions of adults,” finding that “it is essential
to Congress's design that the Act impose its recordkeeping requirements on all
performers who appear in sexually explicit materials” and thus “the Act ...
burdens only that protected speech necessary to advance the Government's
interest in preventing child pornography.” Id. at 89-90.
The court then addressed a number of specific objections
raised by the plaintiffs regarding particular provisions and applications of § 2257's requirements. As is relevant to the challenges raised in the
case before this Court, the D.C. Circuit noted that “[t]he record-keeping
required of producers can hardly be considered onerous” as “[s]uch records are
routinely required to facilitate the enforcement of our immigration, labor, and
tax laws.” Id. at 91. The court also rejected “the district court's contention that the
Act is overly burdensome because it will invade the privacy of adult models and
discourage them from engaging in protected expression” due to its exposure of
the models' personal information; the statute and its regulations, the court
explained, do not require disclosure of this information to anyone other than “the
Attorney General or his delegee,” who “has a legitimate right to the
information,” and “the persons for whom they willingly pose ... and those who
publish the resulting pictures or videotapes,” whose knowledge of this
information would presumably not be of concern to the performers. Id. at 94 (internal quotation marks omitted). The plaintiffs petitioned for
rehearing en banc of the decision in ALA II, which the D.C. Circuit denied. Am. Library Ass'n v. Reno, 47 F.3d 1215 (D.C.Cir.1995) (per curiam). The Supreme Court
subsequently denied *714 certiorari. Am. Library Ass'n v. Reno, 515 U.S. 1158, 115 S.Ct. 2610, 132 L.Ed.2d 854 (1995) (mem.)
2. Connection Distributing Co. v. Holder
In 1995, Connection Distributing Co., a publisher of
several magazines devoted to “swinging,” brought a First Amendment challenge to
§ 2257 in the United States District Court for the Northern District of
Ohio. Seeking declaratory and injunctive relief, Connection alleged the statute
was unconstitutional both facially and as applied to it and its advertisers.
Following an evidentiary hearing, the district court denied Connection's motion
for a preliminary injunction, which the Sixth Circuit affirmed on appeal. See
Connection Distrib. Co. v. Reno (Connection I), 154 F.3d 281, 286, 296 (6th Cir.1998). In determining that Connection did not
have a reasonable likelihood of success on its claims, the Sixth Circuit
concluded, inter alia, that § 2257 was a content-neutral regulation that survived intermediate
scrutiny as applied to Connection and its advertisers, id. at 290-94, and that the statute was not an unconstitutional prior
restraint, id. at 294-95.
Subsequently, the district court granted summary judgment
against Connection, which a panel of the Sixth Circuit reversed, ordering the
district court to allow the parties additional discovery and to reconsider the
motion in light of recent Supreme Court precedents. See Connection Distrib. Co. v. Reno (Connection II), 46 Fed.Appx. 837, 837 (6th Cir.2002) (per curiam) (nonprecedential). The panel
confirmed, however, that these intervening decisions did not alter the
applicability of intermediate scrutiny to Connection's challenge. Id. at 837 & n. 2. On remand, Connection amended its
complaint, adding plaintiffs and a challenge to the validity of § 2257 under the Fifth Amendment's Self-Incrimination Clause. The
plaintiffs again sought a preliminary injunction, and the government again
moved for summary judgment; the district court denied the former and granted
the latter. The plaintiffs appealed, and after an initial reversal of the district
court, rehearing en banc was granted.
In an 11-6 decision, the en banc Sixth Circuit determined
that § 2257 did not violate the First Amendment, either facially or as
applied to the plaintiffs. See Connection Distrib. Co. v. Holder (Connection III), 557 F.3d 321 (6th Cir.2009) (en banc). The court first determined
that § 2257 was content neutral and thus should be analyzed under
intermediate scrutiny. Id. at 328-29. The court then concluded the statute satisfied
intermediate scrutiny as applied to the plaintiffs. The court found that “the
government's interest in protecting children is ‘substantial,’ ” “[a]nd a
universal age-verification requirement advances that interest in a reasonably
tailored way for several reasons.” Id. at 329 (citing ALA II, 33 F.3d at 86, 88-90). The court rejected the plaintiffs'
argument that the statute's requirements unduly burdened their interests in
engaging in anonymous speech, noting that “[n]othing in the statute ... makes
the required records available to the public ” and that, “[t]o the
extent the advertisers are concerned that the law gives the government access to
their names, addresses and other identifying information, they have no more to
complain about than every taxpayer in the country.” Id. at 330. The court also found the statute was not overinclusive for
requiring the maintenance of records of all performers regardless of age rather
than, as the plaintiffs suggested, imposing the requirement only for those
performers who appear below a certain threshold age, because (1) “in enacting a
content-neutral proof-of-age requirement, Congress need not employ the least
speech-restrictive means of advancing*715 the Government's interests,”
and (2) providing the sort of scheme suggested by the plaintiffs would “inject[
] an ineffectual subjectivity into the proof-of-age requirement” and would “effectively
delegat[e] enforcement of this critical issue to the industry being
regulated-two of the problems Congress permissibly sought to correct.” Id. at 331 (internal quotation marks omitted). Lastly, the court concluded
that § 2257 left “ample alternative channels of communication for
Connection's advertisers,” as the statute “bans no form or expression” but “merely
ensures the advertisers are who they say they are.” Id. at 332 (internal quotation marks omitted). “Similar record-keeping
requirements, indeed, are routinely required to assist the enforcement of tax,
employment and immigration laws.” Id.
Turning to the facial challenge, the Sixth Circuit determined
§ 2257 was not unconstitutionally overbroad. While the court
acknowledged Connection's claim that the statute may be unconstitutional as
applied to a publication containing only depictions of self-evidently mature performers,
“the question is not whether the claimant can imagine some ‘overbreadth’; it is
whether the claimant can show ‘substantial overbreadth.’ ” Id. at 337. “At this point in the case,” the court noted, “there is little
basis for dispute that § 2257 complies with the First Amendment in most settings” and “that
this ‘legitimate sweep’ of the law represents a vast majority of its
applications.” Id. at 336, 337. Similarly, the court found the potential application of § 2257's requirements “to a couple who produced, but never distributed,
a home video or photograph of themselves engaging in sexually explicit conduct”
did not render the statute unconstitutionally overbroad, given the “contextual
vacuum” and “law-enforcement vacuum” presented by the record before it. Id. at 337, 339.
Lastly, the Sixth Circuit rejected as unripe the plaintiffs'
challenge that § 2257 violated the Fifth Amendment's Self-Incrimination Clause, noting
that, “[a]s the record now stands, we simply have no idea whether or when the
Attorney General will attempt to inspect any of Connection's records, let alone
refuse to respect a proper claim of privilege.” Id. at 343 (internal quotation marks omitted).
The Supreme Court subsequently denied certiorari. Connection Distrib. Co. v. Holder, --- U.S. ----, 130 S.Ct. 362, 175 L.Ed.2d 30 (2009) (mem.).
3. Free Speech Coalition v. Gonzales
In 2005, § 2257 and its regulations were challenged again, this time in the
district court of the District of Colorado; among the plaintiffs were Free
Speech Coalition and David Conners, both of whom are plaintiffs in the present
case as well. See Free Speech Coal. v. Gonzales (FSC I), 406 F.Supp.2d 1196, 1199 (D.Colo.2005). The plaintiffs in that case alleged the
recordkeeping requirements of the statute and its regulations violated their
First Amendment and privacy rights, and sought preliminary injunctive relief. Id. at 1201. The court granted the plaintiffs' motion in part. As is
relevant to the present case, the court determined that § 2257 did not constitute a prior restraint on speech, id. at 1204, and was a content-neutral regulation subject to
intermediate scrutiny, id. at 1205-06. In applying this level of scrutiny, the court, inter alia,
rejected the notion “that the statute and regulations do not advance the
government's interest in preventing child pornography,” id. at 1206, and found that the plaintiffs “failed to demonstrate a
substantial likelihood that the statute and regulations fail to leave the
quantity and accessibility of speech substantially intact,” id. at 1208 (internal quotation marks and alteration marks omitted). The
court determined preliminary *716 injunctive relief was not warranted on
this basis, with the exception of two particular applications not at issue in
the case before this Court. See id. at 1208-09. The court also determined that the plaintiffs had “not
demonstrated a substantial likelihood of success with regards to their claim
that the statute and regulations infringe upon protected privacy rights” of
producers and performers whose personal information may be disclosed as a
result of the recordkeeping and labeling requirements. Id. at 1211.
The government subsequently filed a motion to dismiss or,
in the alternative, for summary judgment; the court granted the motion for
summary judgment in part. Free Speech Coal. v. Gonzales (FSC II), 483 F.Supp.2d 1069, 1073 (D.Colo.2007). As is relevant to the present case, the
court confirmed, “for substantially the reasons given in [its] prior order,
that there is no prior restraint, the statute and regulations are
content-neutral, and intermediate scrutiny applies.” Id. at 1076. The court also “continue [d] to find, for substantially
the reasons given in [its] prior order, that the statute and regulations
satisfy intermediate scrutiny, with the two exceptions noted in that order.” Id. Next, the court reviewed and rejected the plaintiffs' argument “that
a number of provisions in the statute and regulations are, on their face,
impermissibly vague, overbroad, or both,” id., including the plaintiffs' vagueness challenge to the term “sadistic
or masochistic abuse” in the statute's definition of “sexually explicit conduct,”
id. at 1077. The court then dismissed the plaintiffs' claim that § 2257 violated the Fifth Amendment's Self-Incrimination Clause, noting
that the plaintiffs “have not produced any evidence that they have ever been
subjected to an inspection” and that they “have made no attempt to explain how
the judicial capacity to protect their rights is threatened” by the statute's
requirements. Id. at 1080, 1081. Lastly, the court noted that the
plaintiffs had failed to respond regarding a group of their claims, which included
a Fourth Amendment challenge to the statute and regulations; upon review of the
government's arguments and evidence supporting these claims, the court granted
summary judgment as to them as well. Id. at 1081.
Following the court's grant of partial summary judgment,
the case was administratively closed and, pursuant to the plaintiffs' unopposed
motion, ultimately was dismissed without prejudice under Fed.R.Civ.P. 41(a)(2).
B. Collateral
Estoppel
Turning to the present case, before reaching plaintiffs'
constitutional challenges to §§ 2257 and 2257A, this Court must first address defendant's contention that two
plaintiffs, Free Speech Coalition and David Conners, are collaterally estopped
from bringing all of their claims except those specific to § 2257A as a result of their participation as plaintiffs in Free
Speech Coalition v. Gonzales.
“Issue preclusion, or collateral
estoppel, prevents parties from relitigating an issue that has already been actually
litigated. The prerequisites for the application of issue preclusion are
satisfied when: (1) the issue sought to be precluded is the same as that
involved in the prior action; (2) that issue was actually litigated; (3) it was
determined by a final and valid judgment; and (4) the determination was
essential to the prior judgment.” Peloro v. United States, 488 F.3d 163, 174-75 (3d Cir.2007) (internal quotation marks and alteration
marks omitted) (quoting Burlington N. R.R. Co. v. Hyundai Merch. Marine Co., 63 F.3d 1227, 1231-32 (3d Cir.1995)). “In its classic form, collateral
estoppel also required ‘mutuality’-i.e., that the parties on both sides of the
current proceeding be bound by the judgment in *717 the prior
proceeding.” Id. at 175. This mutuality principle has given way, however, to the doctrine
of non-mutual issue preclusion, under which “a litigant may ... be estopped
from advancing a position that he or she has presented and lost in a prior
proceeding against a different adversary.” Id. (citing Blonder-Tongue Labs., Inc. v. Univ. of Ill. Found., 402 U.S. 313, 324, 91 S.Ct. 1434, 28 L.Ed.2d 788
(1971); Parklane Hosiery Co. v. Shore, 439 U.S. 322, 329, 99 S.Ct. 645, 58 L.Ed.2d 552
(1979)).
There is no dispute that plaintiffs Free Speech Coalition
and Conners were also plaintiffs in Free Speech Coalition v. Gonzales.
Plaintiffs also do not seem to dispute that a number of the constitutional
challenges they raise as to § 2257 were also raised in that previous case. Plaintiffs contend,
however, that because that case ultimately was dismissed without prejudice
under Fed.R.Civ.P. 41(a)(2), those challenges were not determined by
a final and valid judgment, and thus Free Speech Coalition and Conners are not
collaterally estopped from pursuing them here. Defendant responds that the
constitutional challenges in question were disposed of in the court's partial
grant of summary judgment prior to the dismissal of the case, and this
determination was sufficiently final for an issue-preclusive effect to attach.
Plaintiffs disagree, citing Fed.R.Civ.P. 54(b) in support.
Rule 54(b) provides:
When an action presents more than one claim for
relief-whether as a claim, counterclaim, crossclaim, or third-party claim-or
when multiple parties are involved, the court may direct entry of a final
judgment as to one or more, but fewer than all, claims or parties only if the
court expressly determines that there is no just reason for delay. Otherwise,
any order or other decision, however designated, that adjudicates fewer than
all the claims or the rights and liabilities of fewer than all the parties does
not end the action as to any of the claims or parties and may be revised at any
time before the entry of a judgment adjudicating all the claims and all the parties'
rights and liabilities.
Fed.R.Civ.P. 54(b). “Generally speaking, a judgment entered
pursuant to Rule 54(b) has the same finality as any other judgment.” Johnson v. Orr, 897 F.2d 128, 130 (3d Cir.1990); see also 18A Wright, Miller & Cooper, Federal Practice and Procedure § 4444, at 297-98 (2d ed. 2002 & Supp.2009) ( “Summary judgment as to part of an
action may be made final under Civil Rule 54(b), ... and then is final for preclusion purposes as well as
appeal purposes.”). Plaintiffs point to the second sentence of Rule 54(b) in support of their argument, suggesting that the partial
grant for summary judgment in Free Speech Coalition v. Gonzales was not
made final under that rule. Based on this Court's understanding of the
proceedings in the District of Colorado, this characterization is correct; this
fact, however, does not in itself resolve whether the partial grant of summary
judgment has an issue-preclusive effect. See Wright, Miller & Cooper, supra, § 4432, at 60 (“Failure to enter a partial final
judgment under Rule 54(b) defeats appeal. The failure bears on a determination
whether the partial disposition is sufficiently final to support preclusion,
but is not determinative.” (footnotes omitted)).
The Third Circuit has made clear that a judgment not final
for certain purposes, such as appeal, may nonetheless be deemed sufficiently
final for it to have an issue-preclusive effect:
As we recognized in In re Brown, 951 F.2d 564, 569 (3d Cir.1991), the concept of finality for purposes of “collateral
estoppel does not require the entry of a judgment final in the sense of being *718
appealable.” Instead, “the doctrine of collateral estoppel applies whenever an
action is sufficiently firm to be accorded conclusive effect.” Id. (internal quotation marks omitted). We concluded there that “[t]he
wisest course [was] to regard the prior decision of the issue as final for the
purpose of issue preclusion without awaiting the end judgment.” Id. Brown held that “[i]n determining whether the resolution was
sufficiently firm, the second court should consider whether the parties were
fully heard, whether a reasoned opinion was filed, and whether that decision
could have been, or actually was, appealed.” Id. (We admitted, however, that “[f]inality ‘may mean little more
than that the litigation of a particular issue has reached such a stage that a
court sees no really good reason for permitting it to be litigated again.’ ” Id. (quoting Dyndul v. Dyndul, 620 F.2d 409, 412 n. 8 (3d Cir.1980)).)
Burlington N. R.R., 63 F.3d at 1233 n. 8; see also Henglein v. Colt Indus. Operating Corp., 260 F.3d 201, 210 (3d Cir.2001) (stating that finality in the context of
issue preclusion “is a more ‘pliant’ concept than it would be in other contexts”
(quotation marks omitted)); Greenleaf v. Garlock, Inc., 174 F.3d 352, 360 (3d Cir.1999) (discussing Brown and Burlington, and the degree of finality necessary for
issue preclusion to apply).FN7
One treatise offers the following with respect to issue preclusion and partial
grants of summary judgment:
There may be settings short of trial on the merits in which
preclusion is warranted as to fully contested matters that have been decided beyond
apparent reconsideration, notwithstanding the fact that appellate review will
be available only at some time in the future. Partial summary judgment as to
specific issues or parties may be a worthy example. Summary judgment at least
represents a determination that the outcome of the issues is clear. At the same
time, it is often vulnerable to appellate reversal-the extent of this risk will
depend on fluctuations in contemporary views of summary judgment. For this
reason, interlocutory summary-judgment rulings frequently are found unsuitable
support for preclusion. Perhaps the most satisfactory approach is to find that
preclusion is available only on showing both that the summary judgment was thoroughly
contested in the first action and that substantial burdens would be required to
renew the summary judgment in the second action. Even then, this is an area in
which it is suitable to recognize a relatively wide zone of discretion in
determining whether preclusion is appropriate.
Wright, Miller & Cooper, supra, § 4434, at 118-22 (footnotes omitted).
For the reasons discussed at length below, this Court will
grant defendant's Motion to Dismiss, and so it need not reach whether
plaintiffs Free Speech Coalition and Conners are collaterally estopped from
pursuing certain claims. That said, this Court's review of the proceedings in Free
Speech Coalition v. Gonzales strongly suggests that the court definitively
decided against the plaintiffs in that case with respect to their First
Amendment challenges to § 2257, and that those challenges were fully developed by the parties
and thoroughly addressed by the court. As such, this Court believes its
discretion would be properly exercised by applying the doctrine of issue preclusion
against plaintiffs Free Speech Coalition and Conners as to those claims.
Therefore, as an alternative holding, these two plaintiffs' First Amendment
challenges not specific to § 2257A will be dismissed on grounds of issue preclusion.FN8
As to the rest of the plaintiffs in this case, defendant has not argued that
collateral estoppel should preclude them from raising their First Amendment
challenges to § 2257, and the Court agrees that existing precedent would not support
such a ruling. That said, based on the allegations in the Complaint, this Court
can discern no meaningful differences between these plaintiffs and Free Speech
Coalition and Conners with respect to their First Amendment claims. Furthermore,
as discussed in this memorandum, this Court finds the analysis and legal
conclusions of the court in Free Speech Coalition v. Gonzales-as well as
of the Sixth Circuit in Connection III and the D.C. Circuit in ALA II-correct and persuasive, and will follow them in this case.
Thus, while the proceedings in the District of Colorado preclude only certain
claims of Free Speech Coalition and Conners, this Court considers them highly
relevant as to the claims of all plaintiffs here.
*719 C. First Amendment Challenges
As noted, plaintiffs raise numerous challenges to the
constitutionality of §§ 2257 and 2257A under the First Amendment. In this Court's view, an understanding
of the broader jurisprudence surrounding regulations of child pornography and
the First Amendment is critical to a proper analysis of these challenges.
Accordingly, this Court will begin with a brief synopsis of this jurisprudence.
1. Regulations of Child Pornography and the First Amendment
As the Supreme Court has recognized, and as no one in the
present case disputes, “[c]hild pornography harms and debases the most
defenseless of our citizens.” United States v. Williams, 553 U.S. 285, 307, 128 S.Ct. 1830, 170 L.Ed.2d 650
(2008); see,
e.g., Ashcroft v. Free Speech Coal., 535 U.S. 234, 244, 122 S.Ct. 1389, 152 L.Ed.2d 403
(2002) (“The
sexual abuse of a child is a most serious crime and an act repugnant to the
moral instincts of a decent people.”). Correspondingly, the Court's jurisprudence,
beginning with New York v. Ferber, 458 U.S. 747, 102 S.Ct. 3348, 73 L.Ed.2d 1113 (1982), has made clear that, “[b]ecause of the
surpassing importance of the government's interest in safeguarding the physical
and psychological well-being of children, the government has greater leeway to
regulate child pornography than it does other areas.” United States v. Malloy, 568 F.3d 166, 175 (4th Cir.2009) (citing Ferber, 458 U.S. at 756, 102 S.Ct. 3348); see also United States v. Knox, 32 F.3d 733, 749 (3d Cir.1994).FN9
This is in contrast to the political-speech context, for instance, where First
Amendment protection is “at its zenith” and where laws regulating such speech
are subject to exacting scrutiny. Buckley v. Am. Constitutional Law Found., Inc., 525 U.S. 182, 186-87, 119 S.Ct. 636, 142 L.Ed.2d 599
(1999); see McIntyre v. Ohio Elections Comm'n, 514 U.S. 334, 346, 115 S.Ct. 1511, 131 L.Ed.2d 426
(1995) (political
speech “occupies the core of the protection afforded by the First Amendment”); FSC I, 406 F.Supp.2d at 1210 (noting that “under First Amendment case
law,” laws impacting pornography are “viewed differently” than those regulating
political speech).
FN9.
This Court's own experience in certain criminal cases regarding child
pornography, which required the observation of materials that were degrading to
and destructive of young children without any trace of socially redeeming features,
has cast in sharp relief the “surpassing importance” of the government's
interest in preventing and deterring the use of children in pornographic
productions. See United States v. Schade, Crim. A. No. 07-555, 2008 WL 2201772 (E.D.Pa. May 22,
2008) (judgment of
sentence following a jury trial in which jury was required to view the images
in question because the defendant declined to stipulate that images were child
pornography), aff'd, 318 Fed.Appx. 91 (3d Cir.2009); United States v. MacEwan, Crim. A. No. 04-262, 2004 WL 3019316, at *3 (E.D.Pa.
Dec. 29, 2004)
(nonjury trial upholding the reference to internet usage as establishing
sufficient nexus with interstate commerce), aff'd, 445 F.3d 237 (3d Cir.2006).
In Ferber, for instance, the Supreme Court “sustained [New York]
legislation aimed at protecting the physical and emotional well-being of youth
even when the laws have operated in the sensitive area of constitutionally protected
rights.” 458 U.S. at 757, 102 S.Ct. 3348. The Court stated that it would “not
second-guess” the legislature's judgment that “[t]he public *720 policy
of the state demands the protection of children from exploitation through
sexual performances.” Id. at 757-58, 102 S.Ct. 3348 (quoting 1977 N.Y. Laws, ch. 910, § 1).
The Court reasoned,
Suffice it to say that virtually all of the States and the
United States have passed legislation proscribing the production of or
otherwise combating “child pornography.” The legislative judgment, as well as
the judgment found in the relevant literature, is that the use of children as
subjects of pornographic materials is harmful to the physiological, emotional,
and mental health of the child. That judgment ... easily passes muster under
the First Amendment.
Id. at 758, 102 S.Ct. 3348 (footnote omitted). This reasoning has
guided the Supreme Court's subsequent evaluation of various pieces of
child-pornography-related legislation. As the Court recently summarized,
We have held that a statute which proscribes the distribution
of all child pornography, even material that does not qualify as obscenity,
does not on its face violate the First Amendment. Moreover, we have held that
the government may criminalize the possession of child pornography, even though
it may not criminalize the mere possession of obscene material involving
adults.
Williams, 553 U.S. at 288, 128 S.Ct. 1830 (citation omitted); see Ferber, 458 U.S. at 751-53, 102 S.Ct. 3348; Osborne v. Ohio, 495 U.S. 103, 111, 110 S.Ct. 1691, 109 L.Ed.2d 98
(1990). The Court
also concluded in Williams that “offers to provide or requests to obtain child pornography
are categorically excluded from the First Amendment.” 553 U.S. at 293, 128 S.Ct. 1830.
In keeping with this line of precedent, the Third Circuit
has recognized that child pornography implicates an “extremely narrow class of
speech that is unprotected” and is “locate[d] ... on the margin as an
unprotected speech category” because of the “conflation of the underlying act
with its depiction”:
By criminalizing the depiction itself, “[c]hild pornography
law has collapsed the ‘speech/action’ distinction that occupies a central role
in First Amendment law[,]” and “is the only place in First Amendment law where
the Supreme Court has accepted the idea that we can constitutionally
criminalize the depiction of a crime.”
United States v. Stevens, 533 F.3d 218, 224, 226 (3d Cir.2008) (en banc) (alterations in original)
(quoting Amy Adler, Inverting the First Amendment, 149 U. Pa. L. Rev. 921, 970, 984 (2001)), aff'd, --- U.S. ----, 130 S.Ct. 1577, 176 L.Ed.2d 435 (2010). Accordingly, in vacating a defendant's
conviction for violating a statute prohibiting depictions of animal cruelty,
the Third Circuit in Stevens rejected “the Government['s] attempts to analogize between
the depiction of animal cruelty and the depiction of child pornography” and
declined “to extend the rationale of Ferber beyond the regulation of child pornography without express
direction from the Supreme Court.” Id. at 224, 226.
Although this jurisprudence indicates that, given the
nature of the harm at issue, expression related to child pornography is at the
fringes of constitutional protection and thus tolerates a unique degree of
regulation, “[t]he broad authority to proscribe child pornography is not ...
unlimited.” Williams, 553 U.S. at 289, 128 S.Ct. 1830. In Ashcroft v. Free Speech Coalition, the Supreme Court addressed a facial
challenge to two provisions of the Child Pornography Prevention Act of 1996
(CPPA), a statute which “extend [ed] the federal prohibition against child
pornography to sexually explicit images that appear to depict minors but were
produced without *721 using any real children.” 535 U.S. at 239, 122 S.Ct. 1389. The Court determined that both provisions
in question were impermissibly overbroad. In particular, the Court distinguished
the the CPPA, which “prohibits speech that records no crime and creates no
victims by its production,” id. at 250, 122 S.Ct. 1389, from those prohibitions upheld under the Ferber line of precedent, in which “[t]he production of the work,
not its content, [is] the target of the statute.” Id. at 249, 122 S.Ct. 1389; see id. at 250-51, 122 S.Ct. 1389 (noting that “ Ferber 's judgment about child pornography was based upon how it was made,
not on what it communicated,” and that the Court in Osborne similarly “anchored its holding in the concern for the participants,
those whom it called the victims of child pornography” (internal quotation
marks omitted)). As the Court later summarized, Ashcroft v. Free Speech Coalition indicated that “the child-protection
rationale for speech restriction does not apply to materials produced without
children.” Williams, 553 U.S. at 289, 128 S.Ct. 1830.
With this background in mind, this Court now turns to
plaintiffs' First Amendment challenges to §§ 2257 and 2257A. As discussed in greater detail below, these statutes, like those
in presented in Ferber and its progeny, were enacted to combat the use of
children in the production of pornography and to prevent the “harm[ ] and debase[ment
of] the most defenseless of our citizens,” Williams, 553 U.S. at 307, 128 S.Ct. 1830; their target is not the content of
certain speech, but rather its production. Accordingly, this Court will rely
upon the Ferber line of precedent in analyzing the statutes'
constitutionality. Furthermore, many of the particular challenges raised by
plaintiffs in the present case have been analyzed with respect to § 2257 in the previous decisions from the Sixth and D.C. Circuits and
the District of Colorado, outlined above. This Court finds that these prior analyses
are persuasive and that their reasoning should be used to inform this Court's
evaluation of both §§ 2257 and 2257A.
2. The Statutes Are Content Neutral
Plaintiffs first maintain that §§ 2257 and 2257A are content-based regulations of speech that must be evaluated
under strict scrutiny. As the Supreme Court has explained, “[t]he principal
inquiry in determining content neutrality ... is whether the government has
adopted a regulation of speech because of disagreement with the message it
conveys.” Hill v. Colorado, 530 U.S. 703, 719, 120 S.Ct. 2480, 147 L.Ed.2d 597
(2000) (quoting Ward v. Rock Against Racism, 491 U.S. 781, 791, 109 S.Ct. 2746, 105 L.Ed.2d 661
(1989)); see Brown v. City of Pittsburgh, 586 F.3d 263, 270 (3d Cir.2009). “The government's purpose is the
controlling consideration. A regulation that serves purposes unrelated to the
content of expression is deemed neutral, even if it has an incidental effect on
some speakers or messages but not others.” Ward, 491 U.S. at 791, 109 S.Ct. 2746.
Applying this standard, courts that have confronted First
Amendment challenges to § 2257 uniformly have found the statute to be content neutral. See Connection III, 557 F.3d at 328-29; ALA II, 33 F.3d at 84-87; FSC I, 406 F.Supp.2d at 1205-06. As the Sixth Circuit explained:
Congress's “unanimous concern” in enacting [§ 2257] was to deter the production and distribution of child
pornography. Congress singled out these types of pornography for regulation not
because of their effect on audiences but because doing so was the only way to ensure
that its existing ban on child pornography could be meaningfully enforced. That
objective not only is independent of the content of the regulated speech, but
it also is a concern of the *722 highest order, one that relates to a
category of speech that the government may regulate, indeed completely
suppress, based on its content....
Nor does the law implicate the central risk
of a content-based regulation of speech: that the government has impermissibly
interfered with the free exchange of ideas by imposing trade barriers on
certain viewpoints but not on others. No doubt, § 2257 favors a particular viewpoint on this issue: Congress is against
child pornography and is using this law to prevent it. Although that kind of
viewpoint discrimination normally would be fatal to a law, that is not true
here because the Constitution allows the government to embrace this viewpoint
and to act on it by imposing a complete trade barrier on the production and
trafficking of this kind of speech. What we have, then, is a valid speech-related
end-eliminating child pornography-followed by a means of achieving that end, a
proof-of-age requirement that refers to the content of the speech (specifically
defined images) not because of its effect on the audience but because it is the
kind of speech that implicates the government's ban on child pornography. That
kind of sensible reference to the content of speech-how else would the
government impose a proof-of-age requirement designed to address child
pornography?-does not rise to the level of a presumptively impermissible
content-based regulation of speech.
Connection III, 557 F.3d at 328-29 (citations omitted). This Court adopts
the reasoning set forth in these prior determinations, and believes it applies
with equal force to § 2257A's extension of § 2257's recordkeeping, labeling, and inspection requirements to
depictions of simulated sexually explicit conduct.
Plaintiffs contend that the introduction of § 2257A into the statutory scheme renders the statutes content based.
Namely, plaintiffs point to § 2257A(h), which provides that commercial producers of depictions of
either simulated sexually explicit conduct under § 2257A, or actual lascivious displays of the genitals or pubic area
under § 2257, are eligible for an exemption from §§ 2257 and 2257A's requirements if they meet certain criteria. According to
plaintiffs, this differentiation in treatment manifests a legislative
preference for one type of expression over another based on the content of that
expression, and thus warrants strict scrutiny. Plaintiffs direct this Court to
statements by Senator Patrick Leahy indicating that “the exemption was enacted
to excuse from compliance ‘legitimate businesses that have no role in harming
children.’ ” (Doc. 25, at 37) (quoting 152 Cong. Rec. S.8027). This expression
of congressional intent, plaintiffs assert, confirms the content-based nature
of the exemption: “If the producer's expression depicted simulated sexually
explicit expression, Congress concluded they were legitimate businesses having
no role in harming children; if the expression depicted actual sexually explicit
conduct, Congress concluded that they were not. That is the epitome of a
regulation that exhibits hostility against speech based on its content.” (Doc.
25, at 37).
This Court disagrees with plaintiffs' characterization.
While a producer's eligibility for § 2257A(h)'s exemption is defined in part by the content of the
depiction being produced, this Court does not view the commercial exemption as
expressing any disagreement with the message conveyed by that content. As
plaintiffs correctly observe, § 2257A(h)'s exemption limits itself to producers of certain types of
content covered by the statutes; it does not, however, extend to all producers
of that content. Instead, only those producers who meet the criteria specified
by the provision can avail themselves of the exemption.*723 These
criteria are aimed at identifying which producers are already subject to other
regulatory schemes that, in Congress's judgment, adequately achieve the same
age-verification ends as §§ 2257 and 2257A's recordkeeping scheme.FN10
If, for example, a producer of depictions of simulated sexually explicit
conduct does not meet these criteria, then that producer is subject to the same
requirements as a producer of depictions of actual sexually explicit conduct
that are not otherwise covered by the exemption. In other words, among those
producers eligible for exemption, § 2257A(h) only provides it to those who demonstrate that they are
already effectively complying with the statutes' age-verification requirements.
Thus, § 2257A(h)'s exemption provision is primarily oriented, like the
statutory scheme surrounding it, toward the permissible and content-neutral
goal of “deter[ring] the production and distribution of child pornography.” Connection III, 557 F.3d at 328. While the content of the speech may prove
relevant to the applicability of the exemption, it is not the content, nor its
message, that motivates or ultimately determines any differentiation in
treatment between producers of depictions of sexually explicit conduct.
FN10.
As Senator Leahy explained,
The [House bill's] proposed expansion of section 2257 gave rise to legitimate concerns, expressed by groups as
far-ranging as the Chamber of Commerce, the Motion Picture Association of
America, the American Hotel and Lodging Association, the American Library
Association, and the American Conservative Union, that its record-keeping and labeling
requirements, and associated criminal liability, might now affect an array of
mainstream, legitimate, and first-amendment-protected activities and
industries. These industries are leaders in protecting children employed in
their industries and are far removed from the problem that the legislation
purportedly sought to address. Subjecting them to the burdens of a
recordkeeping and labeling statute intended for the pornography industry would
create substantial burdens of compliance without any added benefit in the
wholly legitimate and vital cause of actually safeguarding the security and
welfare of children. 152 Cong. Rec. S8027 (2006). For instance, “the motion
picture industry currently operates under a panoply of laws, both civil and
criminal, as well as regulations and labor agreements governing the employment
of children in any production.” Id. To address these concerns, Senator
Leahy continued, section 2257A(h) enables law-abiding, legitimate
businesses, which create and commercially distribute materials that are not,
and do not appear to be, child pornography, to certify to the Attorney General
that, pursuant to existing laws, labor agreements, or industry standards, they
regularly and in the normal course of business collect the name, date of birth,
and address of performers employed by them. This recognizes that such
legitimate, law-abiding industries in fact routinely collect the information
necessary to demonstrate their compliance with the child protection laws and
that for this reason they were never intended to be the focus of this more
extensive recordkeeping and labeling statute. Businesses that so certify and
thus exhibit their good faith can avoid some of the more onerous requirements,
and associated criminal liability, rightfully placed on others whose compliance
is more likely to further the interest of protecting children.
Id.
In support of their position that the statutes are content
based, and in response to this Court's inquiry at oral argument as to whether
the Third Circuit would follow the Sixth Circuit's reasoning in Connection III, plaintiffs point to the Third Circuit's
recent decision in Brown v. City of Pittsburgh, 586 F.3d 263 (3d Cir.2009). This Court finds plaintiffs' analogy to Brown unavailing.
Brown presented a First Amendment challenge to a city ordinance
establishing a fifteen-foot “buffer zone” and one-hundred-foot “bubble zone”
around hospitals, medical offices, and clinics. The “buffer *724 zone”
provided that “no person shall knowingly congregate, patrol, picket, or demonstrate”
within fifteen feet of “an entrance to a hospital or health care facility.” Id. at 273 (alteration marks and quotation marks omitted). The ordinance,
however, “explicitly exempt[ed] certain persons from the buffer zone's
restrictions”-namely, “police and public safety officers, fire and rescue personnel,
or other emergency workers in the course of their official business, or ...
authorized security personnel employees or agents of the hospital, medical
office, or clinic engaged in assisting patients and other persons to enter or
exit the hospital, medical office, or clinic.” Id. at 273-74 (internal quotation marks omitted). According to the
plaintiff, this exemption rendered the ordinance content based. The Third
Circuit noted that “[t]he City does not deny that the buffer zone's
restrictions would be content-based if the Ordinance allowed the exempted
categories of persons (including, most notably, volunteers assisting women in
entering the building) to ‘picket or demonstrate’ within the fifteen-foot zone
while denying all others the same ability.” Id. at 274. The court rejected such a construction of the exemption, however,
finding instead that the ordinance was “amenable to the content-neutral
construction urged by the City, that is, an interpretation prohibiting even the
exempted classes of persons from picketing or demonstrating within the buffer
zone.” Id. at 275 (internal quotation marks and alteration marks omitted). The
court explained:
Each of the exempted classes of persons ... performs
important safety functions. The clear purpose of the exemption is to ensure
that the Ordinance's restrictions do not impair the performance of those
functions.... The functions performed by these persons are likely to require
their presence in the buffer zone, thus warranting an exemption from [the
Ordinance's] general prohibitions on congregating or patrolling within that
space. But these functions do not require or entail the picketing or
demonstrating activities generally proscribed by the buffer-zone restriction.
Consequently, a construction that does not include these advocacy activities in
the exemption is fairly possible.
Id. (internal quotation marks and footnote omitted).
Plaintiffs here contend that, under the reasoning of Brown, § 2257A(h)'s exemption must be understood as content based, as it
exempts some persons from its restrictions based on the content of their speech
and, unlike the ordinance in Brown, is not susceptible to a more limited, content-neutral
construction. What made the exemption in Brown potentially content based, however, was the prospect that
the exemption, if construed in a certain manner, would allow individuals sympathetic
to one viewpoint in the debate over abortion (such as volunteers helping women
enter the building) to engage in advocacy within the buffer zone, while denying
that same right to those who do not share that viewpoint. The court rejected
this construction, however, and deemed the exemption content neutral because “[t]he
clear purpose of the exemption” was not to create a message-based disparity in
treatment between individuals, but to facilitate the permissible goal of
ensuring the safety of the employees and patients seeking entry to and exit
from the facilities. Id. at 275. Similarly, here, the purpose of § 2257A(h)'s exemption is not to express disagreement with, or
preference for, the message of a particular form of content, but to effectuate
the statutes' permissible and content-neutral goal of deterring the sexual
exploitation of children. While the exemption may bear secondary effects on
expression in a manner defined in part by content, this is not sufficient, in
this *725 Court's view, to render § 2257 or § 2257A content based.
3. The Statutes Survive Intermediate Scrutiny As Applied to
Plaintiffs
Because §§ 2257 and 2257A are content neutral, this Court applies intermediate scrutiny to
determine whether the statutes violate the First Amendment as applied to
plaintiffs. Content-neutral legislation is “subject to an intermediate level of
scrutiny, because in most cases [it] pose[s] a less substantial risk of
excising certain ideas or viewpoints from the public dialogue.” Turner Broad. Sys., Inc. v. FCC, 512 U.S. 622, 642, 114 S.Ct. 2445, 129 L.Ed.2d 497
(1994) (citation
omitted). Under intermediate scrutiny, a court “must consider whether the
restriction on ... speech [i]s narrowly tailored to serve a significant
government interest, and whether it le[aves] open ample alternative channels of
communication.” Startzell v. City of Phila., 533 F.3d 183, 201 (3d Cir.2008) (citing Ward, 491 U.S. at 791, 109 S.Ct. 2746). “The burden is on the [government] to
demonstrate the constitutionality of its actions.” Id.; see Brown, 586 F.3d at 278.
“In
Ward, the Supreme Court made clear that the ‘narrowly tailored’
standard affords the government some discretion in deciding how best to achieve
its legitimate purposes.” Brown, 586 F.3d at 277; see id. at 280 n. 17 (“In secondary effects cases such as this, where a regulation
is justified on the basis of conduct that is associated with certain types of
protected expression (but is not the direct result of the expression's
content), courts owe deference to legislative judgments.”). Thus, a regulation “will
be found to be ‘narrowly tailored’ even if ‘a court concludes that the
government's interest could be adequately served by some
less-speech-restrictive alternative,’ ‘[s]o long as the means chosen are not
substantially broader than necessary to achieve [that] interest.’ ” Id. at 277 (alterations in original) (quoting Ward, 491 U.S. at 800, 109 S.Ct. 2746).
Plaintiffs do not dispute the magnitude of harm suffered by
children who are used in the production of depictions of actual or simulated
sexually explicit conduct, nor do they dispute the significance of the
government's interest in protecting children from such sexual exploitation.
Plaintiffs contend, however, that the age-verification requirements imposed by §§ 2257 and 2257A do not advance that interest in a direct and material fashion,
are not narrowly tailored, and do not leave open adequate alternative channels
of communication. Many of the arguments raised by plaintiffs in this regard
have been addressed in the intermediate-scrutiny analyses of § 2257 applied by previous courts, and this Court sees no reason to
depart from those analyses here.
a. The Statutes Advance a Significant Governmental Interest
First, as previous courts have enumerated, there are “several reasons” why “a
universal age-verification requirement advances [the government's] interest in
a reasonably tailored way.” Connection III, 557 F.3d at 329; see also ALA II, 33 F.3d at 86, 88-90; FSC I, 406 F.Supp.2d at 1206-07. As the Sixth Circuit summarized,
It ensures that primary producers of pornography confirm
that performers are of age before filming them; it permits secondary producers
(who rarely will know the performers) to ensure that the individuals depicted
in their publications are of age; it prevents children from attempting to pass
themselves off as adults; and it creates a compliance system in which
law-enforcement officers not only can identify the performers depicted in
magazines and movies and verify their ages but also can eliminate subjective
disputes with producers *726 over whether a model's apparent age
should have triggered an age-verification check.
Connection III, 557 F.3d at 329-30 (citing ALA II, 33 F.3d at 86, 88-90).
Plaintiffs challenge whether the requirements imposed by
the statutes are a necessary, or even effective, means of furthering the
government's interest. They question whether burdening constitutionally
protected depictions of adults with these requirements aids in the fight
against child pornography. As the D.C. Circuit has explained, however,
This argument mistakenly assumes that burdening such
materials will not further the Government's interest in preventing child
pornography. To the contrary, the statutory scheme depends upon requiring
producers to identify and maintain records of every performer who appears in
their sexually explicit materials. The entire point of the Act is to prevent
subjective determinations of age by implementing a uniform procedure that applies
to all performers.
ALA II, 33 F.3d at 90. Plaintiffs note that commercial producers
of depictions of sexually explicit conduct have always checked identification
to ensure their performers are adults, and that there are many federal and
state criminal statutes directed toward child pornography that provide
compelling incentive in themselves for all producers to verify the age of their
performers. The D.C. Circuit, however, squarely confronted, and rejected, these
arguments as well. As to the argument that the statutes' requirements “will do
little to encourage primary producers to secure documentary confirmation of
their subjects' ages because virtually all those engaged in providing sexually
explicit materials for commercial markets already require such evidence,” the
court reasoned that, “[e]ven assuming that [this assertion is] correct, ... the
record-keeping obligations imposed on primary producers remain elements of the
statutory scheme that are critical to ensuring that secondary producers deny
child pornographers access to their markets.” Id. at 89. And as to the argument that the requirements “serve[ ] no
meaningful purpose given the existence of other criminal laws prohibiting child
pornography,” the court explained:
Here we deal with a law imposing new requirements that have
a significant independent enforcement purpose. After fourteen months of
investigations, the Commission on Pornography recommended that “Congress should
enact a statute requiring the producers ... of sexually explicit visual
depictions to maintain records containing consent forms and proof of performers'
ages,” precisely because of “gaps” and “loopholes” in existing law that
facilitated the exploitation of children. Final Report at 618-20. The Act
accomplishes these ends by ensuring that honest but careless producers secure
documentary evidence of a performer's age and by denying unscrupulous producers
the defense that they reasonably believed the performer to be of age.
Id. at 89-90.
b. An Evidentiary Hearing and/or Discovery Is Not Necessary
Plaintiffs argue, however, that this Court may not rely
upon these previous assessments of other courts in its analysis, and that an
evidentiary hearing and/or discovery is necessary regarding the scope and
severity of the problems purportedly addressed by §§ 2257 and 2257A. Plaintiffs look primarily to United States v. Playboy Entertainment Group, Inc., 529 U.S. 803, 120 S.Ct. 1878, 146 L.Ed.2d 865 (2000), for support.
*727
As a preliminary point, this Court notes that, as it is reviewing this First
Amendment claim under Fed.R.Civ.P. 12(b)(6), it must, and does, assume the truth of
plaintiffs' factual allegations (but not their legal conclusions). Thus, for
the purposes of disposing of the present Motion to Dismiss, this Court sees no
point in holding an evidentiary hearing to give plaintiffs the opportunity to
prove facts that this Court assumes are true.
Nor does this Court agree with plaintiffs' position that
the question whether §§ 2257 and 2257A advance significant governmental interest can only be properly
resolved in this case by taking additional evidence, thereby rendering
dismissal of plaintiffs' claim unwarranted. First, plaintiffs' reliance on Playboy Entertainment is not persuasive. At issue in that case
was a First Amendment challenge to § 505 of the Telecommunications Act of 1996,
47 U.S.C. § 561 (1994 ed., Supp. III), which “requir[ed] cable television
operators providing channels primarily dedicated to sexually-oriented
programming either to fully scramble or otherwise fully block those channels or
to limit their transmission to hours when children are unlikely to be viewing,
set by administrative regulation as the time between 10 p.m. and 6 a.m.” Playboy Entm't, 529 U.S. at 806, 120 S.Ct. 1878 (internal quotation marks omitted). “The
purpose of § 505 is to prevent children from hearing or seeing images resulting
from signal bleed.” FN11
Id. A three-judge court in the District of Delaware held a full
trial, largely concerned with the seriousness of the problem of “signal
bleeding” and the impact and efficacy of the restrictions imposed by § 505, and
determined the provision was unconstitutional. Id. at 807, 120 S.Ct. 1878; see Playboy Entm't Gr., Inc. v. United States, 30 F.Supp.2d 702 (D.Del.1998).
FN11.
As the Court explained, “signal bleed” results from imprecise scrambling, such
that “either or both audio and visual portions of the scrambled programs might
be heard or seen.” Playboy Entm't, 529 U.S. at 807, 120 S.Ct. 1878.
The Supreme Court affirmed, first determining the
regulation was content based and thus could “stand only if it satisfies strict
scrutiny.” Playboy Entm't, 529 U.S. at 813, 120 S.Ct. 1878. The Court explained that, under this
level of scrutiny, the statute “must be narrowly tailored to promote a
compelling Government interest. If a less restrictive alternative would serve
the government's purpose, the legislature must use that alternative.” Id.
Undertaking this less-restrictive-alternative analysis, the
Court explained that, “[w]hen a plausible, less restrictive alternative is
offered to a content-based speech restriction, it is the Government's
obligation to prove that the alternative will be ineffective to achieve its
goals.” Id. at 816, 120 S.Ct. 1878. The Court concluded “[t]he Government has
not met that burden here,” focusing in particular on “a central weakness in the
Government's proof”:
There is little hard evidence of how widespread or how
serious the problem of signal bleed is. Indeed, there is no proof as to how
likely any child is to view a discernible explicit image, and no proof of the
duration of the bleed or the quality of the pictures or sound. To say that
millions of children are subject to a risk of viewing signal bleed is one
thing; to avoid articulating the true nature and extent of the risk is quite
another. Under § 505, sanctionable signal bleed can include instances as
fleeting as an image appearing on a screen for just a few seconds. The First
Amendment requires a more careful assessment and characterization of an evil in
order to justify a regulation as sweeping as this.
*728 Id. According to plaintiffs, this criticism highlights the need for
this Court to take evidence as to this point, and renders defendant's motion to
dismiss inappropriate. Plaintiffs explain:
[U]nder either strict scrutiny or intermediate scrutiny,
the government must show that the speech regulation furthers its legitimate
interest: Under strict scrutiny, the court must evaluate whether the regulation
advances a compelling governmental interest using the least restrictive
alternative; under intermediate scrutiny, the court must evaluate whether the
regulation advances an important governmental interest in a narrowly tailored
way without burdening substantially more speech than is necessary. Both tests
require an evaluation of whether the legislative means advances the government's
interest.
(Doc. 25 at 5 n. 5).
This Court disagrees with plaintiffs' position that Playboy Entertainment requires this Court to receive evidence
regarding whether §§ 2257 and 2257A advance the government's interest in preventing the sexual exploitation
of children. First, §§ 2257 and 2257A are content-neutral, not content-based, regulations of speech,
and so are subject to intermediate, not strict, scrutiny. While plaintiffs are
correct that both levels of scrutiny require a court to evaluate whether a
regulation advances a governmental interest, neither Playboy Entertainment, nor any other case cited by plaintiffs,
supports the proposition that the standards that govern this evaluation under
strict scrutiny necessarily define those that control under intermediate
scrutiny. In fact, Playboy Entertainment itself indicates otherwise. See 529 U.S. at 815, 120 S.Ct. 1878 (“We have made clear that the lesser
scrutiny afforded regulations targeting the secondary effects of crime or
declining property values has no application to content-based regulations
targeting the primary effects of protected speech.”); see also id. at 817, 120 S.Ct. 1878 (“When the Government seeks to restrict
speech based on its content, the usual presumption of constitutionality
afforded congressional enactments is reversed. Content-based regulations are
presumptively invalid, and the Government bears the burden to rebut that
presumption.” (internal quotation marks and citation omitted)).
Under an intermediate, rather than strict, level of scrutiny, “[i]n reviewing
the constitutionality of a statute, courts must accord substantial deference to
the predictive judgments of Congress.” Turner Broad. Sys., Inc. v. FCC, 520 U.S. 180, 195, 117 S.Ct. 1174, 137 L.Ed.2d 369
(1997) (internal
quotation marks omitted). While courts are not prohibited from looking to an
evidentiary record in performing this assessment, see, e.g., Ctr. for Democracy & Tech. v. Pappert, 337 F.Supp.2d 606, 655 (E.D.Pa.2004) (DuBois, J.), the Supreme Court has also
allowed the government to “justify restrictions based solely on history,
consensus, and simple common sense.” Fla. Bar v. Went For It, Inc., 515 U.S. 618, 628, 115 S.Ct. 2371, 132 L.Ed.2d 541
(1995) (internal
quotation marks omitted). Accordingly, the Court is not convinced by
plaintiffs' contention that Playboy Entertainment provides the controlling standard for
assessing whether § 2257 or § 2257A advances a significant governmental interest in this case.
Moreover, in Playboy Entertainment, the Court observed that “[n]o support for
the restriction can be found in the near barren legislative record relevant to
th[e] provision” in question, which “was added ... by floor amendment,
accompanied only by brief statements, and without committee hearing or debate.”
529 U.S. at 822, 120 S.Ct. 1878. The Court found this *729 sparse
legislative history inadequate to address “whether an actual problem had been
proved in this case,” clarifying that “[t]his is not to suggest that a
10,000-page record must be compiled in every case or that the Government must
delay in acting to address a real problem; but the Government must present more
than anecdote and supposition.” Id.
In contrast to this “near barren legislative record,”
Congress, as detailed above, has made extensive factual findings regarding the
harms caused to children in the production of sexually explicit material and the
manner in which age-verification requirements such as those presented by §§ 2257 and 2257A would combat those harms. Thus, this Court is not faced with the
same deficiency of factual support as presented in Playboy Entertainment. While plaintiffs may disagree with
aspects of Congress's findings, such disagreement does not prevent this Court
from relying upon the findings in its intermediate-scrutiny analysis, nor does
it require this Court to supplant them with newly received evidence. Nothing in
Playboy Entertainment indicates otherwise. And, though this
Court is assuming the truth of plaintiffs' factual allegations at this stage of
the litigation, it need not, and will not, assume that these allegations usurp
Congress's findings in this case.
Nor does the Court believe that additional evidence on this
matter would contribute to the analyses already performed by the other courts
to have addressed this very same question. Free Speech Coalition v. Gonzales
is particularly instructive in this regard. The plaintiffs in that case, like
plaintiffs here, “argue[d] that [the government] ha[d] failed to advance any
concrete evidence to justify [§ 2257] and [its] regulations, specifically arguing that there is no
evidence that regulated producers such as themselves ever create material
involving persons under the age of 18, or that the record keeping or labeling
requirements impact child pornographers.” FSC I, 406 F.Supp.2d at 1206. In light of prior analyses of this issue
by the Sixth and D.C. Circuits, the court was “not convince[d]” by this
argument, noting that “[i]t appears undisputed that there is a significant
market for pornography involving young-looking performers,” and explaining that
although I accept that Plaintiffs themselves would not
knowingly engage in child pornography, it only makes sense, given extensive
demand for pornography involving young-looking performers, to conclude that
there is a substantial risk that performers under the age of 18 will be used in
such materials. This risk necessitates government regulatory efforts, including
imposing on producers of pornography mandatory age-checking and record-keeping
to provide a shield against child pornography.
Id. at 1206-07; see also id. (finding that “[s]uch a common sense conclusion is certainly
within the realm of congressional authority”). This Court agrees with this
rationale as applied to both §§ 2257 and 2257A, and finds that, in light of prior courts' analyses and the
extensive findings made by Congress, the role of these statutes'
age-verification requirements in advancing the government's interest in
preventing the sexual exploitation of children is sufficiently substantiated
for the purposes of intermediate scrutiny.
c. The Statutes Are Narrowly Tailored
This Court also rejects plaintiffs' contention that the statutes are not
narrowly tailored. Plaintiffs point out that the statutes' requirements apply
to all visual depictions of sexually explicit conduct, “no matter how fleeting,
no matter how artistic or valuable as political commentary or journalistic
documentary, no matter how clear it is that the persons depicted *730
are middle-aged adults.” (Doc. 3 at 29). As noted above, however, “[t]he entire
point of the [recordkeeping requirements] is to prevent subjective
determinations of age by implementing a uniform procedure that applies to all
performers”:
Absent documentation, such determinations
are not easy. Where pornographic materials are concerned, “[p]erhaps the single
most common feature of models is their relative, and in the vast majority of
cases, absolute youth,” Final Report at 855, with most female models appearing
to have “[begun] their careers in their late teens.” Final Report at 855. As
the Commission points out, “[b]y viewing a visual depiction, how does one decide
if the performer is fourteen or eighteen, seventeen or twenty-one?” Id.
at 620. The Government must be allowed to paint with a reasonably broad brush
if it is to cover depictions of all performers who might conceivably have been
minors at the time they were photographed or videotaped.
ALA II, 33 F.3d at 90 (alterations in original); see Connection III, 557 F.3d at 331 (“No doubt requiring identification only
where the individuals appear to be below a certain threshold age would lead to
accurate determinations in many cases. But it could not do so without injecting
an ineffectual subjectivity into the proof-of-age requirement and without
effectively delegating enforcement of this critical issue to the industry being
regulated-two of the problems Congress permissibly sought to correct.”
(internal quotation marks and citation omitted)).
Providing an exception based on artistic or social value
would likewise undermine the statutory scheme by “injecting an ineffectual
subjectivity” into the requirements. Furthermore, the artistic or social value
of a given depiction, or the duration of that depiction, does not eliminate the
potential harm suffered by a child who may be used in the production of that
depiction. See Ferber, 458 U.S. at 761, 102 S.Ct. 3348 (“[A] work which, taken on the whole,
contains serious literary, artistic, political, or scientific value may
nevertheless embody the hardest core of child pornography. ‘It is irrelevant to
the child [who has been abused] whether or not the material ... has a literary,
artistic, political or social value.’ ” (second alteration in original)
(quoting Memorandum of Assemblyman Lasher in Support of § 263.15)); see also
Ashcroft v. Free Speech Coal., 535 U.S. at 240, 122 S.Ct. 1389 (“ Ferber recognized that ‘[t]he Miller [v. California, 413 U.S. 15, 93 S.Ct. 2607, 37 L.Ed.2d 419 (1973),] standard [for assessing obscenity, which
includes evaluating whether a work lacks serious, literary, artistic,
political, or scientific value] ... does not reflect the State's particular and
more compelling interest in prosecuting those who promote the sexual
exploitation of children.’ ” (first alteration in original) (quoting Ferber, 458 U.S. at 761, 102 S.Ct. 3348)). Based on the allegations in their
Complaint, plaintiffs produce depictions that would constitute child
pornography if they were to involve minors; this Court does not see how the
age-verification requirements of §§ 2257 and 2257A can be considered overinclusive because they reach such
depictions without further qualification.
Plaintiffs point to the exemption provided to certain
commercial producers in § 2257A(h), and contend that its presence proves the
overinclusiveness of § 2257, as there is no reason such an exemption could not be extended to
similarly situated producers of all depictions of actual sexually explicit
conduct. Congress's decision to provide this exemption on a limited basis,
however, does not undermine § 2257's constitutionality. Rather, “in enacting a content-neutral
proof-of-age requirement, Congress need not employ ‘the least
speech-restrictive means of advancing the *731 Government's interests'
but must show only that the government's ‘interest ... would be achieved less
effectively absent the regulation’ and that the measure ‘do[es] not burden
substantially more speech than is necessary.’ ” Connection III, 557 F.3d at 331 (alterations in original) (quoting Turner, 512 U.S. at 662, 114 S.Ct. 2445); see also Brown, 586 F.3d at 277.
As already discussed and as previous courts have found,
there are constitutionally sound reasons for the reach of § 2257's requirements; this Court does not believe that these reasons
have been compromised by the passage of § 2257A(h). Rather, Congress included § 2257A(h) to reflect its judgment that, with the introduction of § 2257A and the accompanying expansion of the recordkeeping scheme, there
may certain producers of sexually explicit depictions who would now be subject
to the statutes' requirements but whose compliance with them would be
unnecessary to further the statutes' goals. This Court “accord[s] substantial
deference to th[is] predictive judgment[ ],” Turner, 520 U.S. at 195, 117 S.Ct. 1174, and does not find that, by tailoring the
new statutory scheme in this manner, Congress has undermined the established
constitutionality of § 2257 in the process. FN12
FN12.
Plaintiffs additionally contend the statutes are overinclusive in their
application to purely private expression; plaintiffs do not, however, claim to
produce such depictions themselves. Accordingly, this Court will take up that
argument in the context of plaintiffs' facial, rather than as-applied, First
Amendment challenge.
d. The Statutes Leave Open Adequate Alternative Channels of
Communication
[17]
Lastly, this Court finds the statutes leave open ample alternative channels of
communication. “Indeed, the [statutes], by [their] terms, ban[ ] no form of
expression.” ALA II, 33 F.3d at 88; see also Connection III, 557 F.3d at 332 (relying upon ALA II in reaching this same conclusion as to § 2257, and noting that “[s]imilar record-keeping requirements ... are
routinely required to assist the enforcement of tax, employment and immigration
laws”); FSC I, 406 F.Supp.2d at 1205, 1208 (finding that “most of the obligations
imposed by the statute have been in place for over ten years, yet the output of
the adult entertainment industry has grown, not dwindled,” and concluding that
the plaintiffs “have failed to demonstrate a substantial likelihood that [§ 2257] and its regulations fail to ‘leav[e] the quantity and
accessibility of speech substantially intact’ ” (quoting City of L.A. v. Alameda Books, 535 U.S. 425, 449, 122 S.Ct. 1728, 152 L.Ed.2d 670
(2002) (Kennedy,
J., concurring))).
* * *
For the reasons set forth above, this Court finds that §§ 2257 and 2257A are “narrowly tailored to serve a significant government interest
... and le [ave] open ample alternative channels of communication.” Startzell, 533 F.3d at 201. Accordingly, this Court concludes that they
survive intermediate scrutiny as applied to plaintiffs.
4. The Statutes Are Not Facially Unconstitutional
This Court now turns to plaintiffs' contention that §§ 2257 and 2257A are facially invalid under the First Amendment. As the Supreme
Court recently explained,
To succeed in a typical facial attack, [the plaintiff]
would have to establish that no set of circumstances exists under which [the
statute in question] would be valid, or that the statute lacks any plainly
legitimate sweep....
In the First Amendment context, however,
this Court recognizes a second *732 type of facial challenge, whereby a
law may be invalidated as overbroad if a substantial number of its applications
are unconstitutional, judged in relation to the statute's plainly legitimate
sweep.
Stevens, 130 S.Ct. at 1587 (internal quotation marks and citations
omitted); see also Brown, 586 F.3d at 269 (“As a general matter this court will not
invalidate a statute on its face simply because it may be applied
unconstitutionally, but only if it cannot be applied consistently with
the Constitution.... Thus, plaintiff['s] facial challenge will succeed only if
[the statute in question] is unconstitutional in every conceivable application,
or ... it seeks to prohibit such a broad range of protected conduct that it is
constitutionally overbroad.” (internal quotation marks omitted) (alterations in
original)). As already discussed, §§ 2257 and 2257A do not violate the First Amendment as to at least some of their
applications; plaintiffs contend, however, that the statutes are impermissibly
overbroad.
The Supreme Court has explained that the First Amendment
overbreadth doctrine “seeks to strike a balance between competing social costs,”
and facial invalidation under that doctrine “is strong medicine that is not to
be casually employed.” Williams, 553 U.S. at 292-93, 128 S.Ct. 1830 (internal quotation marks omitted). “Although
the Supreme Court has not explicitly listed the factors to be considered in an
overbreadth analysis, those factors have been identified as the number of valid
applications, the historic or likely frequency of conceivably impermissible
applications, the nature of the activity or conduct sought to be regulated, and
the nature of the state interest underlying the regulation.” Gibson v. Mayor & Council of City of Wilmington, 355 F.3d 215, 226 (3d Cir.2004) (internal quotation marks omitted).
As a general matter, “[f]acial challenges are disfavored”
because such claims “often rest on speculation,” “raise the risk of premature
interpretation of statutes on the basis of factually barebones records,” “run
contrary to the fundamental principle of judicial restraint,” and “threaten to
short circuit the democratic process by ... frustrat[ing] the intent of the
elected representatives of the people.” Wash. State Grange v. Wash. State Republican Party, 552 U.S. 442, 450-51, 128 S.Ct. 1184, 170 L.Ed.2d 151
(2008) (internal
quotation marks omitted). The Supreme Court, therefore, has cautioned courts to
“vigorously enforce the requirement that a statute's overbreadth be substantial,
not only in an absolute sense, but also relative to the statute's plainly
legitimate sweep.” Williams, 553 U.S. at 292, 128 S.Ct. 1830. As a result, “this standard imposes a
very heavy burden” on plaintiffs, as the “part[ies] who mount[ ] facial
challenge[s]” to §§ 2257 and 2257A. Brown, 586 F.3d at 269 (quoting McCullen v. Coakley, 571 F.3d 167, 174 (1st Cir.2009)); see also Connection III, 557 F.3d at 336 (“plac[ing] the burden of demonstrating
substantial overbreadth on the claimant” (internal quotation marks and
alteration omitted)).
In considering child-pornography-related legislation,
courts conducting a First Amendment overbreadth inquiry have been particularly
reluctant to invalidate a statute merely because they could conceive of
potentially impermissible applications. For example, in Williams, the Supreme Court rejected the plaintiffs' argument that 18 U.S.C. § 2252A(a)(3)(b), which criminalizes the pandering and
solicitation of child pornography, is overbroad, because it could apply to an
individual who turns child pornography over to the police. See 553 U.S. at 297-98, 128 S.Ct. 1830. The Williams Court reasoned that this objection was a “fanciful
hypothetical[ ],” given that the Court was aware of “no [such] prosecution ....
We can hardly say, therefore, that there is a realistic danger *733 that
[the statutory provision] will deter such activity.” Id. at 301-02, 128 S.Ct. 1830 (internal quotation marks omitted).
Instead, the Supreme Court cautioned that “[t]he mere fact that one can
conceive of some impermissible applications of a statute is not sufficient to
render it susceptible to an overbreadth challenge. In the vast majority of its
applications, th[e] statute raises no constitutional problems whatever.” Id. at 303, 128 S.Ct. 1830 (internal quotation marks and citation
omitted).
The Supreme Court took the same approach in Ferber, holding that a New York statute prohibiting persons from
knowingly promoting child sexual performances and distributing material
depicting such performances, was not overbroad for prohibiting “educational,
medical, or artistic works” that employ children engaged in such conduct. 458 U.S. at 773, 102 S.Ct. 3348. The Court expressed “serious[ ] doubt”
that “arguably impermissible applications of the statute amount to more than a
tiny fraction of the materials within the statute's reach.” Id. The Court also declined to “assume that the New York courts will
widen the possibly invalid reach of the statute by giving an expansive
construction to the proscription on lewd exhibitions of the genitals.” Id. (internal quotation marks and alteration marks omitted).
Accordingly, the Court concluded that “[u]nder these circumstances, [the
statute] is not substantially overbroad and whatever overbreadth may exist
should be cured through case-by-case analysis of the fact situations to which
its sanctions, assertedly, may not be applied.” Id. at 773-74, 102 S.Ct. 3348 (internal quotation marks and alteration
marks omitted).
For similar reasons, the Sixth Circuit rejected an
overbreadth challenge to § 2257 in Connection III. The court acknowledged Connection's claim
that the statute may be unconstitutional as applied to a publication containing
only depictions of self-evidently mature performers, but concluded that “Connection
at most has identified a discrete application of the statute that may be problematic,”
emphasizing that “the question is not whether the claimant can imagine some ‘overbreadth’;
it is whether the claimant can show ‘substantial overbreadth.’ ” Id. at 337. “At this point in the case,” the court noted, “there is little
basis for dispute that § 2257 complies with the First Amendment in most settings” and “that
this ‘legitimate sweep’ of the law represents a vast majority of its applications.”
Id. at 336, 337.
Similarly, the Sixth Circuit found the potential application
of § 2257's requirements “to a couple who produced, but never distributed,
a home video or photograph of themselves engaging in sexually explicit conduct,”
id. at 337, did not render the statute unconstitutionally overbroad. Even
assuming the statute applied to this situation and that such application would
be unconstitutional, the court noted that it had “no record, and therefore no
context, for assessing the substantiality of this overbreadth problem”-that
is, “whether some, many, indeed any, American couples are affected by this
proposed application.” Id. at 338.FN13
Furthermore, “[t]he government ... informed [the court] that, during the twenty
years that § 2257 has been in existence, it has never been enforced in this
setting,” and “the Attorney General has stated in the preamble to the new
regulations [implementing § 2257] that *734 the statute ... is limited to pornography
intended for sale or trade.” Id. at 339 (original alteration marks and internal quotation marks omitted).FN14
Though the absence of a prior application of § 2257 to purely private expression “does not by itself doom this
facial-overbreadth challenge,” the court noted, “that does not mean the government's
track record in this case-of never applying the law in this setting over
twenty years and of disclaiming any authority and intention of doing so-has no
role to play in the exercise of our judgment about whether to strike
this law in its entirety”:
FN13.
As the Sixth Circuit noted, “[a]t the panel stage of this case, the judges on
their own initiative raised [this] second overbreadth problem [regarding purely
private expression], one not raised in Connection's amended complaint, in its
briefs before the district court or in its briefs before the panel.” Connection III, 557 F.3d at 337.
FN14.
The Sixth Circuit did not adopt the Attorney General's “for sale or trade”
language as a limiting construction of § 2257; instead, as noted above, the court premised its overbreadth analysis
on the assumption that the statute extended to purely private expression and
that the statute, when so applied, would be unconstitutional. See Connection III, 557 F.3d at 338.
[I]n exercising [our] judgment [regarding whether to grant
overbreadth relief], the Supreme Court tells us to consider whether the alleged
overbreadth is “substantial” and “real,” Broadrick [v. Oklahoma ], 413 U.S. [601], 615, 93 S.Ct. 2908 [37 L.Ed.2d 830
(1973) ], the
whole point being to determine whether “there [is] a realistic danger that the
statute itself will significantly compromise” the First Amendment rights of the
parties not before us, such as the hypothesized private couples, Members of the City Council v. Taxpayers for Vincent, 466 U.S. 789, 801, 104 S.Ct. 2118, 80 L.Ed.2d 772
(1984). Surely one
factor to consider in assessing the “realistic danger” of inhibiting speech,
but hardly the only factor to consider, is the past practices and future
prospects of enforcement.
Id. at 341. As “Connection offer[ed] no argument, much less proof, that there
are a meaningful number of individuals who would be adversely affected by this
construction of the law,” the court concluded it had not carried its burden of
demonstrating substantial overbreadth on this basis. Id. at 339-40.
This Court agrees with the reasoning of the Sixth Circuit,
and finds it persuasive as to both §§ 2257 and 2257A. Plaintiffs contend the statutes are overbroad due to their
failure to provide exceptions based on artistic or social value, for instance,
or apparent age of the performers, but as discussed above, the breadth of the
statutes' scope of coverage in this regard is necessary to their effectiveness.
Ashcroft v. Free Speech Coalition does not indicate otherwise. While, in
that case, the Supreme Court found the CPPA's ban on “virtual” child pornography
to be overbroad in part because it “prohibit[ed] speech despite its serious
literary, artistic, political, or scientific value,” 535 U.S. at 246, 122 S.Ct. 1389, the Court also made clear that its
analysis was not controlled by the Ferber line of precedent, which focuses on the sexual exploitation
of children in the production of pornography and which, consequently, is not
concerned with the potential “value” of the expression produced, id. at 240, 249-51, 122 S.Ct. 1389.
Plaintiffs further emphasize that “[t]he statutes also
apply to a vast amount of protected private expression between adults: an army
wife e-mailing a suggestive photo of herself to her husband stationed far from
home, two adults ‘sexting’ messages to one another on their cell phones, and
adults privately exchanging sexually candid photos with one another on a social
networking website, among others.” (Doc. 3 at 29) (emphasis omitted). Even
assuming that these potential applications of the statutes would be
unconstitutional, however, this Court rejects *735 plaintiffs'
contention that, as a result, the statutes are facially overbroad. As noted by
the Sixth Circuit, the government has disavowed the enforcement of the statutes
beyond “pornography intended for sale or trade,” and plaintiffs have not
alleged that the government has deviated from this position or has sought to
enforce the statutes in any of the scenarios identified by plaintiffs here.
While this Court recognizes that it may consider hypothetical applications in
its overbreadth analysis, “[s]ome sensitivity to reality is needed” when doing
so. Gibson, 355 F.3d at 226 (quoting Magill v. Lynch, 560 F.2d 22, 30 (1st Cir.1977)); see Connection III, 557 F.3d at 341 (“Surely one factor to consider in
assessing the realistic danger of inhibiting speech, but hardly the only factor
to consider, is the past practices and future prospects of enforcement.”
(internal quotation marks omitted)). Given “the number of valid applications”
of the statutes, “the historic or likely frequency of [the] conceivably impermissible
applications” identified by plaintiffs, “the nature of the activity or conduct
sought to be regulated,” and the strength “of the state interest underlying the
[statutes],” Gibson, 355 F.3d at 226, this Court sees no basis for finding the
statutes substantially overbroad either “in an absolute sense” or “relative to
[their] plainly legitimate sweep,” Williams, 553 U.S. at 292, 128 S.Ct. 1830.
In resisting this conclusion, plaintiffs invoke the Supreme
Court's statement from Ashcroft v. Free Speech Coalition that “[t]he Government may not suppress
lawful speech as the means to suppress unlawful speech. Protected speech does
not become unprotected merely because it resembles the latter.” 535 U.S. at 255, 122 S.Ct. 1389. This language, however, does not provide
the standard for assessing overbreadth. Rather, as the Court made clear
immediately after that statement, “The overbreadth doctrine prohibits the
Government from banning unprotected speech if a substantial amount of protected
speech is prohibited or chilled in the process.” Id. That §§ 2257 and 2257A reach protected expression is not, in itself, determinative of the
statutes' facial constitutionality. Instead, the substantiality of the
overbreadth, both in an absolute and relative sense, is the guiding
consideration, and for the reasons discussed above, this Court believes the
statutes satisfy this standard.
Furthermore, the applicability of this language to the
present case diminishes when read in proper context. The Court made this
statement in rejecting the government's contention that, because “the
possibility of producing images by using computer imaging makes it very difficult”
to distinguish between depictions of actual and “virtual” child pornography and
thus “to prosecute those who produce pornography by using real children,” “[t]he
necessary solution ... is to prohibit both kinds of images.” Id. at 254, 122 S.Ct. 1389. As the Court emphasized in its analysis,
however, the solution of banning virtual child pornography proved to be
unconstitutional in part because it was not directly targeted toward the
protection of real children from the harms that may occur in the production of
that pornography. Unlike the CPPA, however, §§ 2257 and 2257A do not ban any form of speech based upon the harms that may flow
from its content, see id. at 242, 122 S.Ct. 1389, nor do they reduce protected expression
to unprotected expression; rather, they impose content-neutral regulations on
the production of certain expression in order to prevent the sexual
exploitation of children. Thus, this Court heeds the caution urged by the
Supreme Court in Ashcroft v. Free Speech Coalition, but does not find it implicated by these
statutes.
Plaintiffs also contend that this Court can no longer rely
on the Sixth Circuit's *736 overbreadth analysis in light of the Supreme
Court's recent decision in Stevens. At issue in that case was whether a federal statute
criminalizing the commercial creation, sale, or possession of certain
depictions of animal cruelty was facially unconstitutional under the First
Amendment. The Supreme Court determined the statute was content based and
unconstitutionally overbroad. The government, in an attempt to stave off the
overbreadth attack, had pointed out that “[t]he Executive Branch construes § 48
to reach only ‘extreme’ cruelty, and it ‘neither has brought nor will bring a
prosecution for anything less.’ ” Stevens, 130 S.Ct. at 1591 (citation omitted). The Court rejected
this argument:
[T]he First Amendment protects against the Government; it
does not leave us at the mercy of noblesse oblige. We would not uphold
an unconstitutional statute merely because the Government promised to use it responsibly.
Cf. Whitman v. American Trucking Assns., Inc., 531 U.S. 457, 473, 121 S.Ct. 903, 149 L.Ed.2d 1
(2001).
This prosecution is itself evidence of the
danger in putting faith in government representations of prosecutorial
restraint. When this legislation was enacted, the Executive Branch announced
that it would interpret § 48 as covering only depictions “of wanton cruelty to
animals designed to appeal to a prurient interest in sex.” See Statement by
President William J. Clinton upon Signing H.R. 1887, 34 Weekly Comp. Pres. Doc.
2557 (Dec. 9, 1999). No one suggests that the videos in this case fit that
description. The Government's assurance that it will apply § 48 far more
restrictively than its language provides is pertinent only as an implicit acknowledgment
of the potential constitutional problems with a more natural reading.
Id. According to plaintiffs, this language undermines the propriety
of the Sixth Circuit's reliance on the nonenforcement of § 2257 in assessing the statute's overbreadth. This Court, however, does
not understand Stevens to have this effect. Stevens addressed a restriction on speech that was content based
and that, as the Supreme Court made clear, did not share the concerns inherent
in the regulation of child pornography. Id. at 1599-1601. When, on the other hand, the Supreme
Court recently addressed an overbreadth challenge to legislation regulating
child pornography, it recognized the statute's history of nonenforcement as a
legitimate consideration in its analysis. See Williams, 553 U.S. at 301-02, 128 S.Ct. 1830 (rejecting as a “fanciful hypothetical[ ]”
the plaintiffs' argument that the statute in question was overbroad because of
its potential application to an individual who turns child pornography over to
the police, given that the Court was aware of “no [such] prosecution” and could
“hardly say, therefore, that there is a realistic danger that [the statutory
provision would] deter such activity”). Furthermore, as the Court pointed out
in Stevens, the very prosecution giving rise to the case before the
Court undermined the government's “representation[ ] of prosecutorial restraint”
with respect to the statute in question. 130 S.Ct. at 1591. Plaintiffs' allegations in the present
case provide no similar reason to question the government's intentions with
respect to the enforcement of §§ 2257 and 2257A. Given this distinction and the more closely analogous authority
of Williams, this Court is not convinced that Stevens compromises the Sixth Circuit's overbreadth analysis or
prevents this Court from relying upon that analysis here.
Accordingly, this Court rejects plaintiffs' contention that
§§ 2257 and 2257A are overbroad. Plaintiffs also contend the statutes fail
intermediate scrutiny on their face. This contention comprises the arguments*737
made by plaintiffs with respect to their as-applied and overbreadth challenges,
and for the reasons set forth in the above analysis of those arguments, this
contention is rejected as well.
5. Other First Amendment Challenges
Plaintiffs raise three other First Amendment challenges to §§ 2257 and 2257A: (1) they unconstitutionally infringe on the right to speak
anonymously; (2) they constitute impermissible prior restraints on speech; and
(3) they unconstitutionally impose strict liability.
a. Anonymous Speech
First, plaintiffs contend the statutes unconstitutionally infringe on the right
to speak anonymously. Plaintiffs identify two particular objections in this
regard: (1) the statutes “require all [covered] expression to bear a label
identifying the address where the records are kept-which may be the home
address of the producer and may, in fact, also be the home address of the
person depicted”; and (2) the statutes “compel those depicted in such expression
to submit photo identification documents-completely dispelling any shred of
anonymity-so that government agents can examine and copy them.” (Doc. 25 at
31-32). Plaintiffs do not seem to allege that the statutes' requirements have
impaired their own anonymous speech, and thus it is not clear whether
plaintiffs contend the statutes interfere with their own right to speak anonymously
or instead raise this contention as part of their facial challenge to the
statutes; under either understanding, however, this Court finds plaintiffs'
arguments unavailing.
Neither of the objections raised by plaintiffs here is
novel. As to the first objection, the plaintiffs in Free Speech Coalition v. Gonzales argued that § 2257 and its regulations “violate[d] the privacy rights of ...
producers who work out of their homes by mandating disclosure of the actual
place of business on the label.” 406 F.Supp.2d at 1210. The court recognized that “under some
circumstances the First Amendment provides a right to anonymous speech,” but
found “the cases which might arguably support Plaintiffs' position, Buckley [, 525 U.S. 182, 119 S.Ct. 636,] and McIntyre [, 514 U.S. 334, 115 S.Ct. 1511], both addressed laws impacting political
speech, which ... is viewed differently than pornography under First Amendment
case law.” FSC I, 406 F.Supp.2d at 1210. “Even in the context of political speech,”
the court continued, “invalidating disclosure requirements requires evidence of
a reasonable probability that the compelled disclosure of ... names will
subject them to threats, harassment or reprisals from either Government officials
or private parties,” and the plaintiffs had not identified evidence sufficient “to
establish a reasonable probability of harm resulting from the regulations.” Id. (internal quotation marks omitted). Lastly, the court noted that
the requirement at issue was not “new[, but] again [the plaintiffs] fail[ed] to
provide any indication that the quantity of explicit speech ha[d] diminished
due to [it].” Id.
Plaintiffs' second objection was addressed by both the D.C.
Circuit in ALA II and the Sixth Circuit in Connection III. In ALA II, the court rejected “the district court's contention that
the Act is overly burdensome because it will invade the privacy of adult models
and discourage them from engaging in protected expression” due to its exposure
of the models' personal information. 33 F.3d at 94. The court explained:
The Act and its implementing regulations ... do not require
that this information be disclosed to anyone other than “the Attorney General
or his delegee,” 28 C.F.R. § 75.5, the persons for whom they willingly pose
while engaged in sexual acts, and those who publish the *738 resulting
pictures or videotapes. The first of these has a legitimate right to the
information, and we believe we may safely assume that the performers are not concerned
over the prospect of being stigmatized, harassed, or ridiculed by the producers
they help enrich.
Id. In Connection III, the plaintiffs “argue[d] that the
record-keeping requirements place[d] undue barriers on the [plaintiffs']
interests in engaging in anonymous speech.” 557 F.3d at 330. In rejecting this challenge, the Sixth
Circuit observed that “[n]othing in [§ 2257] ... makes the required records available to the public,”
and “[t]o the extent the [plaintiffs] are concerned that the law gives the
government access to their names, addresses and other identifying information,
they have no more to complain about than every taxpayer in the country.” Id. Furthermore, “[t]o the extent their concern is that the government
somehow plans to use this information for a purpose for which it was not
intended, ... they offer nothing more than two unverified anecdotes to support
the point, and both anecdotes have nothing to do with the improper use of these
records by government agents.” Id.
As these analyses indicate, the Supreme Court has
recognized a right to anonymous speech under the First Amendment in some
circumstances, but that right is not absolute; rather, the constitutionality of
a burden on anonymous speech depends on the nature of that burden and the
nature of the governmental interest served by it.FN15
Plaintiffs here, like those in Free Speech Coalition v. Gonzales,
premise their arguments regarding anonymous speech upon caselaw addressing
statutes that regulated some form of political speech or that were content
based and subject to strict scrutiny; given the different interests and levels
of scrutiny at play in those cases, this Court does not believe they provide
useful analogies for the content-neutral, child-pornography-related statutes at
issue here. Nor does this Court believe that, in light of the governmental
interest served by §§ 2257 and 2257A, whatever burden these statutes may place on anonymous speech
alters this Court's intermediate-scrutiny or overbreadth analyses. While the
labeling requirement may result in disclosure of the home address of a producer
or performer, this Court does not see how an exemption for such scenarios could
be provided without undermining the effectiveness and integrity of the
statutory scheme. Furthermore, there is nothing in the statutes requiring that
the requisite records be kept in that location.FN16
As to the disclosure of performers' personal information to the government,
this Court agrees with the D.C. Circuit's and Sixth Circuit's treatment of this
issue and notes that plaintiffs here do not allege any mishandling or misuse of
such information by the government. Accordingly, this Court declines to find
that the constitutionality of §§ 2257 and 2257A is compromised by whatever burden on anonymous speech these
statutes might impose.
FN15.
For example, “First Amendment challenges to disclosure requirements in the
electoral context” have been “reviewed ... under what has been termed ‘exacting
scrutiny.’ ... To withstand this scrutiny, the strength of the governmental interest
must reflect the seriousness of the actual burden on First Amendment rights.” Doe No. 1 v. Reed, ---U.S. ----, 130 S.Ct. 2811, 2814, 177 L.Ed.2d 493
(2010) (internal
quotation marks omitted).
FN16.
As noted, the implementing regulations provide that the records may be
maintained and made available for inspection “at the producer's place of
business or at the place of business of a non-employee custodian of records.” 28 C.F.R. § 75.4.
b. Prior Restraint
Plaintiffs next contend the statutes are unconstitutional
prior restraints on speech. *739 “The term prior restraint is used ‘to
describe administrative and judicial orders forbidding certain communications
when issued in advance of the time that such communications are to occur.’ ” Alexander v. United States, 509 U.S. 544, 550, 113 S.Ct. 2766, 125 L.Ed.2d 441
(1993) (quoting M.
Nimmer, Nimmer on Freedom of Speech § 4.03, at 4-14 (1984)). Previous
courts have squarely rejected this challenge as to § 2257, and this Court adopts their rationale as to both statutes here. See
Connection I, 154 F.3d at 295 (“Connection and its subscribers are not
being forbidden from engaging in expressive activity in the future, but rather
they potentially are being subjected to sanctions following their expressive
activity-but only if they subsequently are found guilty of violating the
record-keeping provisions. Because there is a ‘well-established distinction
between prior restraints and subsequent criminal punishments,’ Alexander, 509 U.S. at 548, 113 S.Ct. 2766, [§ 2257] does not constitute a prior restraint.”); FSC I, 406 F.Supp.2d at 1204 (“[I]t is clear that the statute and
regulation do not constitute a ‘prior restraint’ as traditionally described by
the Supreme Court.”).
c. Strict Liability
Lastly, plaintiffs contend that §§ 2257 and 2257A violate the First Amendment because they “impose strict liability
on a producer of expression for failing to create or maintain the
identification records required by their provisions,” noting that “[n]either
statute contains a scienter requirement as an element of th[at] offense.” (Doc.
3 at 41-42).FN17
FN17.
Plaintiffs also suggest in their briefing that the statutes' imposition of
strict liability violates the Fifth Amendment guarantee of due process;
plaintiffs do not, however, allege this in their Complaint.
“Strict liability is generally disfavored in criminal law,
particularly with respect to cases that implicate the First Amendment.” United States v. Sheehan, 512 F.3d 621, 629 (D.C.Cir.2008) (citing Smith v. California, 361 U.S. 147, 150-54, 80 S.Ct. 215, 4 L.Ed.2d 205
(1959)). Sections 2257 and 2257A both provide that “[i]t shall be unlawful ... for any person to
whom subsection (a) applies to fail to create or maintain the records as
required by subsections (a) and (c) or by any regulation promulgated under this
section.” § 2257(f)(1); § 2257A(f)(1). Thus, plaintiffs are correct that Congress has not
specified a scienter requirement for this offense. This is in contrast to some
of the other offenses listed in §§ 2257 and 2257A, which must be committed “knowingly.” See § 2257(f)(2)-(4); § 2257A(f)(2)-(4).
While this distinction might be read to suggest that
Congress did not likewise intend a “knowingly” requirement to apply to the
offense of failing to create or maintain records,FN18
this Court does not take it to mean that the statutes necessarily establish a
strict-liability regime for that offense. First, plaintiffs have not
identified, and this Court is not aware of, any indication that Congress
intended, by its silence, to impose strict liability for that offense. Cf. *740Staples v. United States, 511 U.S. 600, 606, 114 S.Ct. 1793, 128 L.Ed.2d 608
(1994) (“[O]ffenses
that require no mens rea generally are disfavored, and ... some
indication of congressional intent, express or implied, is required to dispense
with mens rea as an element of a crime.” (citation omitted)). Nor is
there any allegation or indication that the statutes have been enforced in that
manner.
FN18.
See Holder v. Humanitarian Law Project, --- U.S. ----, 130 S.Ct. 2705, 2717-18, 177 L.Ed.2d
355 (2010)
(finding that a statutory provision “prohibit[ing] ‘knowingly’ providing material
support” to a foreign terrorist organization should not be interpreted to
require specific intent to further the organization's terrorist activities, in
part because of “the sections immediately surrounding [the provision], both of
which do refer to intent to further terrorist activity”); see generally United States v. X-Citement Video, Inc., 513 U.S. 64, 115 S.Ct. 464, 130 L.Ed.2d 372 (1994) (inferring the express scienter requirement
of one element of a criminal offense to apply to other elements of that
offense, and providing an extensive discussion regarding the circumstances
under which an inference of scienter may be warranted).
In so reasoning, this Court is mindful that “[a] First
Amendment claim ... is subject to a relaxed ripeness standard ... because of
concern that, even in the absence of a fully concrete dispute, unconstitutional
statutes or ordinances tend to chill protected expression among those who
forbear speaking because of the law's very existence.” Peachlum v. City of York, 333 F.3d 429, 434-35 (3d Cir.2003). This Court also recognizes that, as a general
matter, “where threatened action by government is concerned, we do not require
a plaintiff to expose himself to liability before bringing suit to challenge
the basis for the threat-for example, the constitutionality of a law threatened
to be enforced.” MedImmune, Inc. v. Genentech, Inc., 549 U.S. 118, 128-29, 127 S.Ct. 764, 166 L.Ed.2d 604
(2007) (emphasis
omitted); see also Peachlum, 333 F.3d at 435 (“The courts have allowed somewhat
liberally constitutional challenges under circumstances where the government
has not initiated enforcement proceedings.”).
Nonetheless, even in the context of First Amendment
preenforcement challenges to criminal statutes, “there must be a real and
immediate threat of enforcement against the plaintiff” for the challenge to be
justiciable. Salvation Army v. Dep't of Cmty. Affairs of N.J., 919 F.2d 183, 192 (3d Cir.1990) (internal quotation marks omitted). For
instance, in the Supreme Court's recent opinion, Holder v. Humanitarian Law Project, --- U.S. ----, 130 S.Ct. 2705, 177 L.Ed.2d 355 (2010), the Court found that the plaintiffs'
First and Fifth Amendment preenforcement challenges to a criminal statute were
ripe because the plaintiffs “face[d] ‘a credible threat of prosecution’ and ‘should
not be required to await and undergo a criminal prosecution as the sole means
of seeking relief.’ ” Id. at 2717 (quoting Babbitt v. United Farm Workers Nat'l Union, 442 U.S. 289, 298, 99 S.Ct. 2301, 60 L.Ed.2d 895
(1979)). The Court
explained that the Government “has charged about 150 persons with violating
[the statute], and ... several of those prosecutions involved the enforcement
of the statutory terms at issue here,” and that “[t]he Government has not
argued to this Court that plaintiffs will not be prosecuted if they do what
they say they wish to do.” Id.
In the present case, defendant has not made any express
representation regarding whether the statutes would be enforced in a
strict-liability fashion if plaintiffs were prosecuted for failing to create or
maintain the required records. As noted, however, there is also no allegation
or indication that the statutes have been enforced in that manner, nor is there
any indication-congressional or prosecutorial-that it should or will be
enforced in that manner. Thus, this Court does not believe plaintiffs presently
face a credible threat that they will be prosecuted or convicted under a theory
of strict liability for any failure to create or maintain the required records.
As such, this Court is not prepared at this point to assume, as plaintiffs do,
that the statutes impose strict liability for this offense or find that they,
as a result, impermissibly chill protected speech.
D. Fifth
Amendment Challenges
1. The Statutes Do Not Violate the Equal Protection Clause
Plaintiffs contend that §§ 2257 and 2257A violate the Equal Protection Clause *741 under the Fifth
Amendment because of the differential treatment afforded certain producers
under § 2257A(h)'s exemption scheme. As noted above, this claim essentially
reprises the arguments regarding this provision made by plaintiffs in their
First Amendment challenges, and this Court finds those arguments no more availing
here. See Brown, 586 F.3d at 283 (“ ‘[W]here the state shows a
satisfactory rationale for a content-neutral time, place, and manner
regulation, that regulation necessarily’ survives scrutiny under the Equal
Protection Clause.” (quoting McGuire v. Reilly, 260 F.3d 36, 49-50 (1st Cir.2001))).
2. The Challenge Under the Self-Incrimination Clause Is Not Ripe
[20]
Plaintiffs' contention that §§ 2257 and 2257A violate the Fifth Amendment's Self-Incrimination Clause focuses
on subsection (d) of both statutes, which provides that “information or
evidence obtained from records required to be created or maintained by this
section” is not precluded from use “in a prosecution or other action for a
violation of this chapter [titled ‘Sexual Exploitation and Other Abuse of
Children’] or chapter 71 [titled ‘Obscenity’] or for a violation of any
applicable provision of law with respect to the furnishing of false
information.” § 2257(d)(1), (d)(2); § 2257A(d)(1), (d)(2). According to plaintiffs, “[w]hen a law mandates that a select
group of persons, whom the government suspects of criminal activity, create and
maintain records relative to that activity and allows the government to use
information contained in those records to prosecute related criminal
violations, it violates the Fifth Amendment's prohibition against compelled
self-incrimination.” (Doc. 57 at 4). Defendant contends that plaintiffs'
challenge is not ripe for review, citing in support the Sixth Circuit's
treatment of this same issue in Connection III.
As the Sixth Circuit explained, in determining the
plaintiffs' Fifth Amendment challenge to § 2257 was unripe:
[T]he Supreme Court has previously held that a
pre-enforcement self-incrimination challenge to a reporting requirement is ‘premature’
even when the plaintiff insists that he ‘intend[s] to engage’ in the conduct
that triggers the requirement-so long as the plaintiff has yet to assert a
privilege claim in response to a government demand for disclosure. Cal. Bankers Ass'n v. Shultz, 416 U.S. 21, 72-74, 94 S.Ct. 1494, 39 L.Ed.2d 812
(1974); see also
Trs. for Alaska v. EPA, 749 F.2d 549, 560 (9th Cir.1984) (dismissing as “unripe” a pre-enforcement
self-incrimination challenge to self-monitoring, reporting and record-keeping
requirements contained in federal pollutant-discharge permits where no one
contended those requirements had been “improperly applied in an actual case”).
That is precisely the case here. As the record now stands, we simply “have no
idea whether or when” the Attorney General will attempt to inspect any of
Connection's records, let alone refuse to respect a proper claim of privilege. Warshak [v. United States ], 532 F.3d [521] at 526 [ (6th Cir.2008) ] (internal quotation marks omitted); cf.
Free Speech Coal. v. Gonzales, 483 F.Supp.2d 1069, 1081 (D.Colo.2007) (dismissing on standing grounds the
plaintiffs' self-incrimination attack on § 2257 because they failed to show a concrete injury, as they “ha[d] not
produced any evidence that they have ever been subjected to an inspection”).
Connection III, 557 F.3d at 342-43. The Sixth Circuit further noted that “the
plaintiffs have not shown that ‘withholding court consideration’ until a
concrete conflict arises will prejudice them in any material way.... At least
until the Attorney General attempts to obtain § 2257 records *742 from these individuals, they face no greater
risk of prospective harm than a claimant concerned that the government will
violate his Fourth Amendment rights in future searches.” Id. at 343.
This Court finds the Sixth Circuit's analysis persuasive
and applicable to plaintiffs in the present case. Plaintiffs here, like the
plaintiffs in Connection III and Free Speech Coalition v. Gonzales,
have not alleged in their Complaint that they have been subject to any
inspection under the statutes, nor have they alleged that they have made a
proper claim of privilege that has been refused.FN19
Accordingly, this Court finds plaintiffs' Fifth Amendment self-incrimination
challenge unripe for adjudication at this time.
FN19.
In their proposed amended complaint, plaintiffs allege that certain members of
Free Speech Coalition have endured such inspections. As discussed in Part
VI.F.2, plaintiffs' Motion for Leave to Amend will be denied. Even if this
Court were to grant plaintiffs' request to amend their Complaint, it would not
alter this Court's analysis here, as the amended complaint does not allege that
any plaintiffs, or anyone else for that matter, has “assert[ed] a privilege
claim in response to a government demand for disclosure.” Connection III, 557 F.3d at 343.
E. Vagueness
Challenges
Plaintiffs contend that various aspects of §§ 2257 and 2257A and their accompanying regulations are unconstitutionally vague. “The
Supreme Court has explained that a statute is unconstitutionally vague if it ‘fails
to provide a person of ordinary intelligence fair notice of what is prohibited,
or is so standardless that it authorizes or encourages seriously discriminatory
enforcement.’ ” Interactive Media Entm't & Gaming Ass'n v.
Attorney Gen. of U.S., 580 F.3d 113, 116 (3d Cir.2009) (quoting Williams, 553 U.S. at 304, 128 S.Ct. 1830). “[The Court has] said that when a statute
interferes with the right of free speech or association, a more stringent
vagueness test should apply. But perfect clarity and precise guidance have
never been required even of regulations that restrict expressive activity.” Humanitarian Law Project, 130 S.Ct. at 2719 (internal quotation marks and citation
omitted).
Plaintiffs first “challenge, on vagueness grounds, the
statutory terms, actual or simulated sadistic or masochistic abuse, simulated
lascivious exhibition of the genitals or public region, and simulated
masturbation.” (Doc. 57 at 2 (emphasis omitted); Compl. ¶ 60(J)).FN20
These terms appear in the definition of “sexually explicit conduct” provided by
18 U.S.C. § 2256(2)(A). Previous courts have rejected vagueness
challenges to this definition, and this Court sees no reason to rule otherwise
here. See FSC II, 483 F.Supp.2d at 1077 (rejecting the plaintiffs' vagueness
challenge to the term “sadistic and masochistic abuse,” and “find[ing] as other
courts have that this language is materially indistinguishable from the
language upheld by the Supreme Court in New York v. Ferber ”); see also United States v. X-Citement Video, Inc., 982 F.2d 1285, 1288 (9th Cir.1992), rev'd on other grounds, *743513 U.S. 64, 115 S.Ct. 464, 130 L.Ed.2d 372 (1994); United States v. Lamb, 945 F.Supp. 441, 450 (N.D.N.Y.1996).
FN20.
“For instance,” plaintiffs explain, “Plaintiff Nitke wants to expand her work
to include pictures of fashion associated with sadomasochism, such as pictures
of people in corsets or rope, without any sexual activity being depicted.
Because of the sweeping and vague language of [§§ 2257 and 2257A], Nitke is uncertain about which types of images constitute
sadomasochism that trigger the panoply of the statutes' record keeping and
labeling requirements.” (Doc. 57 at 2; Compl. ¶ 42). Plaintiffs also allege
that “[i]n all cases where [they] are involved with producing or disseminating
expression involving the candid display of human genitals, they legitimately
fear that the Defendant will treat their expression as involving the lascivious
display of the genitals or pubic region.” (Compl. ¶ 53).
Plaintiffs also contend that certain provisions of the
regulations “run afoul of the First Amendment because of their vagueness and
imprecision.” (Doc. 57 at 2). The Complaint lists the challenged provisions,
but provides no further indication of why plaintiffs consider them impermissibly
vague. (See Compl. ¶ 68). As stated in a subsequent letter brief,
however, plaintiffs question (1) whether 28 C.F.R. § 75.1(c)'s definition of a producer as one who “digitizes
an image” would include a producer who “digitiz[es] a previously recorded image”
or who “reformat[s] ... images into ‘Blu Ray’ formats”; (2) whether 28 C.F.R. § 75.2(a)(4)'s requirement that “[t]he primary
producer shall create a record of the date of original production of the
depiction” applies “only to recordings occurring after the effective date of
the regulations”; and (3) how 28 C.F.R. § 75.6(a)'s requirement that the statement identifying
the location of the records appear on “every page of a Web site on which a
visual depiction of an actual human being engaged in actual or simulated
sexually explicit conduct appears” would “apply to a downloadable video clip.”
(Doc. 57 at 2-3).
As to plaintiffs' challenge to § 75.2(a)(4), the introductory language of § 75.2(a) makes clear that the record-maintenance requirements
outlined by the regulation (of which § 75.2(a)(4) is one) apply to “visual depictions of an actual human
being engaged in actual sexually explicit conduct (except lascivious exhibition
of the genitals or pubic area of any person) made after July 3, 1995,” and “visual
depictions of an actual human being engaged in simulated sexually explicit
conduct or in actual sexually explicit conduct limited to lascivious exhibition
of the genitals or pubic area of any person made after March 18, 2009.” As to
plaintiffs' challenges to § 75.1(c) and § 75.6(a), even if this Court accepts plaintiffs' claim that the
regulations are unclear as to these particular points, this Court does not
believe that, because of this ambiguity, the regulations “fail[ ] to provide a
person of ordinary intelligence fair notice of what is prohibited, or [are] so
standardless that [they] authorize[ ] or encourage[ ] seriously discriminatory
enforcement.” Williams, 553 U.S. at 304, 128 S.Ct. 1830; see Holder, 130 S.Ct. at 2719 (“ ‘[P]erfect clarity and precise
guidance have never been required even of regulations that restrict expressive
activity.’ ” (quoting Williams, 553 U.S. at 304, 128 S.Ct. 1830)). Thus, this Court finds that any
vagueness the regulations may possess in this regard is not constitutionally
problematic, and plaintiffs do not state a claim as to them upon which relief
can be granted.
F.
Fourth Amendment Challenge
1. Summary of the Parties' Arguments
Plaintiffs argue in their Complaint that §§ 2257 and 2257A and their implementing regulations are unconstitutional under the
Fourth Amendment because they authorize unreasonable warrantless searches and
seizures. Specifically, plaintiffs allege that they
are subjected to repeated warrantless searches of their
premises by government investigators who are empowered to appear without
advance notice and demand entrance to the premises-whether office, studio, or
private home-to inspect and copy the records that the statutes require to be
maintained and are subject to seizure of anything on the premises that the
government investigators believe is related to a commission of a felony,
without a warrant.
(Compl. ¶ 56). Plaintiffs further explain that “[t]he
implementing regulations authorize the government to conduct *744
searches and seizures of persons' homes, studios, and/or offices-without
warrant or notice. The government inspectors are authorized to copy any of the
records and to seize any evidence of a felony-without limitation on the scope
of the search or seizure.” (Compl. ¶ 72) (emphases omitted). Thus, plaintiffs
contend, the statutes and regulations “deprive and threaten to deprive
Plaintiffs of their right guaranteed by the Fourth Amendment to be free of
unreasonable searches and seizures ... which have caused and threaten to cause
in the future, irreparable harm to the Plaintiffs for which there is no
adequate remedy at law.” (Compl. ¶ 83). For these reasons, plaintiffs seek a
judgment declaring that the statutes and regulations “are unconstitutional on
their face and as applied under the Fourth Amendment to the United States
Constitution.” (Compl. at 31).
In response, defendant points out that “plaintiffs do not
claim to have been subject to any inspections; rather, they mount a purely
abstract facial challenge to the scheme set forth by statute and regulation.”
(Doc. 17 at 42). Thus, defendant concludes, “[g]iven the purely speculative,
and inaccurate, nature of plaintiffs' assertions, the Court should simply deem
plaintiffs' Fourth Amendment challenge unripe.” (Doc. 17 at 44).
Defendant also argues that plaintiffs do not have a
reasonable expectation of privacy in the records at issue. Defendant reasons
that “producers cannot plausibly claim to retain an expectation of privacy in
the records themselves” because the records are “created and maintained for the
very purpose of allowing inspection.” (Doc. 17 at 44). Thus, according to
defendant, “producers who are required to keep records demonstrating that they
have verified the ages of performers in their depictions of sexually-explicit
conduct have no reasonable expectation of privacy in the very records that they
create in order to fulfill the statutory obligation.” (Doc. 33 at 33).
Additionally, defendant contends that, even if this Court
were to find that plaintiffs' Fourth Amendment challenge is ripe and that
plaintiffs do have a reasonable expectation of privacy in the records at issue,
the inspection scheme authorized under the statutes and their implementing
regulations does not violate the Fourth Amendment because it is in accord with
the administrative search exception to the warrant requirement. (Doc. 33 at
36-37.)
As the parties debated these points in their briefing,
plaintiffs, in response to defendant's ripeness arguments, filed a Motion for
Leave to Amend their Complaint, seeking “to allege additional facts relevant to
their Fourth Amendment challenge.” (Doc. 49 at 2). Specifically, plaintiffs
seek to amend their Complaint to include the following paragraph:
Several of Free Speech Coalition's members have been
subjected to inspections pursuant to 18 U.S.C. § 2257 and its implementing regulations. In each
instance, a team of FBI agents came to the member's private business premises,
without a warrant or prior notice, gained access under authority of 18 U.S.C. § 2257 and its implementing regulations, entered
areas of the business premises not open to the public, searched through the
business's files and records owned and possessed by the member pertaining to
its sexually explicit expression and made copies of certain records. The agents
also took photos of the interior areas of the business premises-again, all
without a warrant. Inspections have also been made by FBI agents of producers
who are not members of Plaintiff Free Speech Coalition, and in two instances,
upon information and belief, inspections were conducted at private residences
of the producers because*745 that is where their records were maintained.
(Doc. 49 at 2).
In response to this Motion, defendant first argues that
plaintiffs' Fourth Amendment claim cannot be made ripe based on the assertion
that various unidentified plaintiffs and non-plaintiffs have been subjected to
inspections. Furthermore, defendant contends, Free Speech Coalition lacks
standing to assert an as-applied Fourth Amendment challenge on behalf of these
non-plaintiffs and unidentified members of their organization.
Lastly, defendant contends that the only possible effect
that plaintiffs' proposed amendment to their Complaint could have is to make
their facial Fourth Amendment claim ripe-but that even if such a claim is ripe,
it would still fail as a matter of law under the relevant legal standard, which
requires plaintiffs to establish that no set of circumstances exist under which
the inspection scheme would be valid. According to defendant, this standard
cannot be met in this case, even under the amended complaint, because: (1)
producers have no reasonable expectation of privacy in the records kept
pursuant to the recordkeeping statutes and their implementing regulations; (2)
even if a producer has an expectation of privacy in the premises where an
inspection occurred, the inspection scheme allows producers to keep these
records with a third-party custodian, negating any expectation of privacy that
a producer would have in the third-party premises; and (3) even if the
producer's own place of business was entered, whether a producer has a reasonable
expectation of privacy would depend on the specific nature of the premises
accessed. Furthermore, defendant argues, even if this Court were to conclude
that the inspection program implicates Fourth Amendment privacy concerns, the
program is still lawful under the administrative search exception to the
warrant requirement.
2. Plaintiffs' Motion for Leave to Amend
The Third Circuit has emphasized that under Fed.R.Civ.P. 15(a), “leave to amend should be ‘freely given
when justice so requires,’ ” and “ ‘a district court must permit a curative
amendment unless such an amendment would be inequitable or futile.’ ” Toll Bros., Inc. v. Twp. of Readington, 555 F.3d 131, 144 n. 10 (3d Cir.2009) (quoting Phillips v. Cnty. of Allegheny, 515 F.3d 224, 245 (3d Cir.2008)). An amendment is considered futile if “the
complaint, as amended, would fail to state a claim upon which relief could be
granted.” In re Burlington Coat Factory Sec. Litig., 114 F.3d 1410, 1434 (3d Cir.1997). Notably, the Third Circuit has stated
that “although amendments are to be liberally granted, the district court may
properly deny leave to amend where the amendment would not withstand a motion
to dismiss.” Centifanti v. Nix, 865 F.2d 1422, 1431 (3d Cir.1989).
In the present case, plaintiffs' proposed amended complaint
merely indicates that unidentified members of Free Speech Coalition were
subject to inspections without specifically identifying any such members, and
also states that other unidentified producers who are not members of Free
Speech Coalition were subject to inspections. As defendant notes, the amended
complaint thus would likely still retain the same questions of ripeness and
standing that exist in the initial Complaint. Furthermore, and as is ultimately
fatal to plaintiffs' Motion, there is nothing in the proposed amended complaint
that would alter this Court's determination, set forth at length below, that plaintiffs
have failed to state a viable Fourth Amendment claim because (1) they have no
reasonable expectation of privacy in the records subject to *746
inspection and (2) the inspection program authorized by the statutes and
regulations constitutes a permissible warrantless administrative search. As
this Court finds that “the complaint, as amended, would fail to state a claim
upon which relief could be granted,” In re Burlington, 114 F.3d at 1434, this Court will deny it as futile.
3. There Is No Reasonable Expectation of Privacy in the Records
Required by the Statutes and Regulations
The Fourth Amendment provides:
The right of the people to be secure in their persons,
houses, papers, and effects, against unreasonable searches and seizures, shall
not be violated, and no Warrants shall issue, but upon probable cause, supported
by Oath or affirmation, and particularly describing the place to be searched,
and the persons or things to be seized.
U.S. Const. amend. IV. “It is well settled that the Fourth
Amendment's protection extends beyond the sphere of criminal investigations.” City of Ontario v. Quon, --- U.S. ----, 130 S.Ct. 2619, 2627, 177 L.Ed.2d 216
(2010) (citing Camara v. Mun. Court of City and Cnty. of S.F., 387 U.S. 523, 530, 87 S.Ct. 1727, 18 L.Ed.2d 930
(1967)). The Fourth
Amendment “guarantees the privacy, dignity, and security of persons against certain
arbitrary and invasive acts by officers of the Government, without regard to
whether the government actor is investigating crime or performing another
function.” Id. (quoting Skinner v. Ry. Labor Execs.' Ass'n, 489 U.S. 602, 613-14, 109 S.Ct. 1402, 103 L.Ed.2d 639
(1989)). Yet, the
Supreme Court has emphasized that “ ‘no interest legitimately protected by the
Fourth Amendment’ is implicated by governmental investigative activities unless
there is an intrusion into a zone of privacy.” United States v. Miller, 425 U.S. 435, 440, 96 S.Ct. 1619, 48 L.Ed.2d 71
(1976) (quoting Hoffa v. United States, 385 U.S. 293, 301-02, 87 S.Ct. 408, 17 L.Ed.2d 374
(1966)).
Indeed, the Supreme Court has “uniformly has held that the application of the
Fourth Amendment depends on whether the person invoking its protection can
claim a justifiable, a reasonable, or a legitimate expectation of privacy that
has been invaded by government action.” Smith v. Maryland, 442 U.S. 735, 740, 99 S.Ct. 2577, 61 L.Ed.2d 220
(1979) (internal
citations and quotation marks omitted). As the Third Circuit has explained, “[t]he
fundamental task of any Fourth Amendment analysis is assessing the
reasonableness of the government search,” and “[i]f the search is reasonable,
there is no constitutional problem, for the Fourth Amendment only protects
individuals from unreasonable searches and seizures,” United States v. Sczubelek, 402 F.3d 175, 182 (3d Cir.2005) (citing United States v. Knights, 534 U.S. 112, 118, 122 S.Ct. 587, 151 L.Ed.2d 497
(2001); Skinner, 489 U.S. at 619, 109 S.Ct. 1402); see also, e.g., Hunter v. Sec. & Exch. Comm'n, 879 F.Supp. 494, 498 (E.D.Pa.1995) (Waldman, J.) (compiling cases and noting
that “[o]f course, only items of information in which a party has a legitimate
or reasonable expectation of privacy are [constitutionally] protected”).
Whether a search is reasonable “depends on all of the circumstances,” and
involves balancing “on the one hand, the degree to which the search intrudes
upon an individual's privacy and, on the other hand, the degree to which the
search is needed for the promotion of legitimate governmental interests.” Id. (internal quotation marks and alteration marks omitted).
Determining the reasonableness of a person's expectation of privacy involves
two separate inquiries: first, whether a person in fact demonstrated an actual
or subjective expectation of privacy in the subject of the search or seizure;
and second, whether a person's expectation is *747 “one that society is
prepared to recognize as reasonable,” that is, an expectation that is
objectively justifiable under the circumstances. Smith, 442 U.S. at 740, 99 S.Ct. 2577 (internal quotation marks omitted).
Stated otherwise, “a Fourth Amendment search does not occur-even when the
explicitly protected location of a house is concerned-unless the
individual manifested a subjective expectation of privacy in the object of the
challenged search, and society [is] willing to recognize that expectation as
reasonable.” Kyllo v. United States, 533 U.S. 27, 33, 121 S.Ct. 2038, 150 L.Ed.2d 94
(2001) (internal
quotation marks and citation omitted).
In the present case, defendant argues that plaintiffs do not have a reasonable
expectation of privacy in the records because “the records are created and maintained
for the very purpose of allowing inspection,” (Doc. 17 at 44), and that “producers
who are required to keep records demonstrating that they have verified the ages
of performers in their depictions of sexually-explicit conduct have no
reasonable expectation of privacy in the very records that they create in order
to fulfill the statutory obligation,” (Doc. 33 at 33). Plaintiffs counter that
the records they must keep are “are private papers and protected expression in
which the owners of these records have a legitimate expectation of privacy.”
(Doc. 50 at 23). Plaintiffs describe the documents and papers subject to
inspection as including: (1) a copy of a government issued photo identification
card, such as a driver's license or passport, of each person depicted in
expression created by the producer that contains sexual imagery; (2) a copy of
the producer's expression itself, containing the sexual imagery; (3) a list
created by the producer of any other names used by the person depicted in the
producer's expression; and (4) the producer's required indices of the records.
(Doc. 50 at 21-22). Thus, according to plaintiffs,
The documents subject to search are, in fact, private
papers, maintained by the producer and composed of very personal information
about the persons depicted in the expression produced by him or her as well as
the constitutionally protected expression itself.... Here, Plaintiffs can and
do assert ownership and possession of the files, documents and expression
subject to inspection. They are collected by Plaintiffs in the course of
producing their expression; they belong to the Plaintiffs; and Plaintiffs are
in physical possession of them.
(Doc. 50 at 22).
After review, this Court concludes that plaintiffs do not
have a reasonable expectation of privacy in the records kept pursuant to §§ 2257 and 2257A and their implementing regulations, as (1) plaintiffs do not have
an actual or subjective expectation of privacy in the records, and (2) even if
plaintiffs were to have a subjective expectation of privacy, any such
expectation is not one that society would accept as reasonable. This
determination is based on the well-established principle that “the privilege
which exists as to private papers cannot be maintained in relation to records
required by law to be kept in order that there may be suitable information of transactions
which are the appropriate subjects of governmental regulation, and the
enforcement of restrictions validly established.” Shapiro v. United States, 335 U.S. 1, 33, 68 S.Ct. 1375, 92 L.Ed. 1787 (1948) (internal quotation marks omitted).
The Supreme Court's analysis in United States v. Miller, 425 U.S. 435, 96 S.Ct. 1619, 48 L.Ed.2d 71 (1976), is highly relevant in this regard and
provides the applicable analytical framework here. In Miller, the Supreme Court held that a bank depositor did not have
a reasonable expectation of privacy in bank records consisting of microfilms of
checks, deposit slips, and *748 other records relating to his bank
accounts maintained pursuant to the Bank Secrecy Act of 1970. Prior to Miller reaching the Supreme Court, the Fifth Circuit had reversed
the trial court on the ground that the depositor's Fourth Amendment rights were
violated when the bank records were obtained by means of a defective subpoena. Id. at 437, 96 S.Ct. 1619. The Supreme Court, however, reversed the
Fifth Circuit, finding that the depositor “had no protectable Fourth Amendment
interest in the ... documents,” id., and that “the Court of Appeals erred in finding [the bank records
and] documents to fall within a protected zone of privacy,” id. at 440, 96 S.Ct. 1619.
The Miller Court began its analysis by stating that the bank records
and documents “[o]n their face ... are not [the depositor]'s ‘private papers,’ ”
and that the depositor “can assert neither ownership nor possession. Instead,
these are the business records of the banks.” Id. The Court continued, “The records of [the depositor]'s accounts,
like all of the records (which are required to be kept pursuant to the Bank
Secrecy Act,) pertain to transactions.” Id. at 440-41, 96 S.Ct. 1619 (internal citations and quotation marks
omitted). The Court then stated that the depositor “urges that he has a Fourth
Amendment interest in the records kept by the banks because they are merely
copies of personal records that were made available to the banks for a limited
purpose and in which he has a reasonable expectation of privacy.” Id. at 442, 96 S.Ct. 1619. For this reason, the Court stated that it
was required to “examine the nature of the particular documents sought to be protected
in order to determine whether there is a legitimate ‘expectation of privacy’
concerning their contents.” Id.
The Miller Court ultimately found that there was no legitimate
expectation of privacy in the contents of the documents, stating:
The checks are not confidential communications but
negotiable instruments to be used in commercial transactions. All of the
documents obtained, including financial statements and deposit slips, contain
only information voluntarily conveyed to the banks and exposed to their
employees in the ordinary course of business. The lack of any legitimate
expectation of privacy concerning the information kept in bank records was
assumed by Congress in enacting the Bank Secrecy Act, the expressed purpose of
which is to require records to be maintained because they have a high degree of
usefulness in ... regulatory investigations and proceedings.
Id. at 442-43, 96 S.Ct. 1619 (internal quotation marks omitted)
(alteration in original). The Court therefore found that the inspection scheme
authorized under the Bank Secrecy Act did not implicate Fourth Amendment
concerns: “By requiring that such records be kept by all banks, the Bank
Secrecy Act is not a novel means designed to circumvent established Fourth
Amendment rights. It is merely an attempt to facilitate the use of a proper and
long-standing law enforcement technique by insuring that records are available
when they are needed.” Id. at 444, 96 S.Ct. 1619.
Here, as in Miller, recordkeeping requirements are not a means designed to
circumvent Fourth Amendment rights, but instead are intended to ensure that the
required records are available for inspection. Additionally, as in Miller, the records that plaintiffs must keep do not entail
confidential communications or files, and they cannot be classified as being a
producer's “private papers.” FN21
To the contrary, they are copies of records and files *749 that are
compiled, maintained, and kept according to statutes and regulations that are
known to and followed by plaintiffs, and that contain information that enables
authorities to verify the ages and identities of performers in depictions of
sexually explicit conduct. Furthermore, here, as in Miller, the information contained in the bulk of the records-identifying
information contained in copies of drivers' licenses or passports, a listing of
other names used when performing, and so forth-was voluntarily conveyed to the
producers and exposed to them by the persons handing over such records. FN22
FN21.
Without ruling on the issue, this Court notes that plaintiffs may not be the
proper party to claim an expectation of privacy in some of the records that
they argue are their “private papers.” Indeed, the privacy expectation in
performers' personal identifying information, as contained in government-issued
identification including drivers' licenses and passports, likely belongs not to
the producers, but to the person whose personal information is contained within
such records. Similarly, a producer likely does not have a privacy interest in
a list of other names used by a person who appears in that producer's expression;
such a privacy interest likely belongs to the person who actually used the
other names. That plaintiffs maintain physical possession of copies of these
records pursuant to the recordkeeping statutes and their implementing
regulations should not affect the conclusion that the privacy rights in such
information likely does not belong to them. Furthermore, even if the persons
appearing in the expression were to claim an expectation of privacy in these
records, there is Supreme Court precedent for the conclusion that once a person
gives such information or records to a third party, such as a producer, the
person forfeits whatever privacy right he or she once had in such information
or records. See Sec. & Exch. Comm'n v. O'Brien, Inc., 467 U.S. 735, 743, 104 S.Ct. 2720, 81 L.Ed.2d 615
(1984) (“It is
established that, when a person communicates information to a third party even
on the understanding that the communication is confidential, he cannot object
if the third party conveys that information or records thereof to law
enforcement authorities.”) (citing United States v. Miller, 425 U.S. 435, 443, 96 S.Ct. 1619, 48 L.Ed.2d 71
(1976)). Thus, it
is questionable whether plaintiffs can rightfully claim an expectation of
privacy in some of the records at issue here.
FN22.
Plaintiffs argue that because the statutes and regulations require that a copy
of the expression itself be kept for inspection, the First Amendment is
implicated in the Fourth Amendment analysis. (See Doc. 50 at 22-23). It
is true that the Supreme Court has cautioned that “[t]he First Amendment
imposes special constraints on searches for and seizures of presumptively protected
material, and requires that the Fourth Amendment be applied with scrupulous
exactitude in such circumstances.” Maryland v. Macon, 472 U.S. 463, 468, 105 S.Ct. 2778, 86 L.Ed.2d 370
(1985) (internal
quotation marks and citation omitted). Nevertheless, the fact that a copy of
the producer's work must be kept pursuant to the statutes and regulations does
not instantly turn what this Court finds to be a non-reasonable expectation of
privacy in the records as a whole, into a reasonable one. This is not an
instance where protected expression itself is the specific target of a
government search or seizure; rather, as detailed above, the statutes and their
implementing regulations were promulgated by Congress in an effort to prevent
the sexual exploitation of children in the production of sexually explicit
expression. Accordingly, after carefully weighing the totality of the
circumstances, this Court finds that, in this case, the fact that a copy of the
producer's expression must be kept as part of the records does not in itself
create a reasonable expectation of privacy in the records, nor does it create a
Fourth Amendment violation.
Other caselaw reinforces this Court's conclusion that
plaintiffs do not have a reasonable expectation of privacy in the records at
issue here. For instance, in United States v. Sorcher, Crim. A. No. 05-0799, 2007 WL 1160099 (E.D.N.Y. Apr.
18, 2007), Judge
Nina Gershon stated that “where an entity governed by a regulatory scheme maintains
documents required by that scheme, its owners or operators would have no
reasonable expectation of privacy that would protect those documents from
seizure by the regulators.” Id. at *8. Additionally, in United States v. McCoy, 492 F.Supp. 540 (M.D.Fla.1980), Judge Howell *750 N. Melton held
that a customshouse broker could not claim a reasonable expectation of privacy
in business records which were required by administrative regulations to be
retained and made available for inspection. Judge Melton explained:
[T]he defendant ... was aware of [his] responsibility ...
to provide [authorities] with access to his business records. Indeed, the
regulations could not be clearer on this subject.... Clearly, the ... books and
papers which the defendant seeks to suppress, if presently in his possession,
would have to be released to the proper authorities. The defendant cannot claim
a legitimate expectation of privacy in these documents.... [T]he customs
records seized herein were “required records”, which the government had
statutory authority to inspect and remove....
... With respect to [these] business
records ... the Court can detect no violation of any right of the defendant.
The law permits customs agents access to, and the privilege of copying required
records.
Id. at 544.
Furthermore, numerous courts have ruled that a person does
not have a reasonable expectation of privacy in documents, files, or records
that are compiled under, and may be inspected or reviewed pursuant to, statutes
or regulations. See, e.g., Couch v. United States, 409 U.S. 322, 335-36, 93 S.Ct. 611, 34 L.Ed.2d 548
(1973) (“[T]here
can be little expectation of privacy where ... records are handed to an
accountant, knowing that mandatory disclosure of much of the information
therein is required .... Accordingly, petitioner here cannot reasonably claim ...
an expectation of protected privacy or confidentiality.”); United States v. Kamara-Reid, 16 Fed.Appx. 160, 161 (4th Cir.2001) (per curiam) (nonprecedential) (in
immigration context, the plaintiff did not have legitimate expectation of
privacy in, and thus did not have a valid Fourth Amendment claim as to, a
photocopy of counterfeit green card given to her employer, as “the rationale
for the employer's collection of these immigration records is compliance with
INS requirements and for INS inspection; thus, the [plaintiff] should have been
aware that the documents were likely to be reviewed by the INS during her
employment tenure” (citation omitted)); United States v. Blocker, 104 F.3d 720, 728 (5th Cir.1997) (holding, in the context of an audit of
insurance records, that the defendant did not have “any reasonable expectation
of privacy” in the records where the investigator “was authorized by statute
and by [the defendant] to search [the company's] records”); United States v. Chuang, 897 F.2d 646, 650 (2d Cir.1990) (“In view of the pervasive nature of
federal regulation of the banking industry, [Defendant], as an officer of the
bank, knew that bank documents ... were subject to periodic examination ....
The existence of a regulatory scheme necessarily reduces a bank officer's
expectation of privacy in his corporate office.”); McLaughlin v. A.B. Chance Co., 842 F.2d 724, 726 (4th Cir.1988) (“The issue presented is whether ... an
OSHA compliance officer ... may examine and copy OSHA forms ... when OSHA
regulations require the maintaining of such forms and the production thereof
for inspection and copying by a representative of the Secretary of Labor for
the purpose of carrying out the provisions of the Act. We hold that [the
employer company] had no reasonable expectation of privacy in [the] OSHA forms
... and the information contained therein ....”); United States v. Amon, 669 F.2d 1351, 1358 (10th Cir.1981) (“It is also clear that defendants'
Fourth Amendment rights have not been violated by the Government since they
could not legitimately claim an expectation of privacy in documents which *751
they submitted voluntarily to the IRS and their employers.”); United States ex rel. Terraciano v. Montanye, 493 F.2d 682, 685 (2d Cir.1974) (“The New York statutes which furnished
the authority for [the investigator]'s search were limited to [files and
records] which other New York statutes required to be kept on the premises....
[W]e do not find ... unconstitutional this ... inspection ... of records ...
maintained on the premises as required [by statute].” (internal citations and
quotation marks omitted)); United States v. Szur, No. S5 97 CR 108, 1998 WL 132942, at *14 (S.D.N.Y.
Mar. 20, 1998)
(Koeltl, J.) (“[T]o the extent a regulatory agency requires the production of
documents to which it would otherwise be entitled under a regulatory and
statutory scheme ..., the production of the documents does not violate a defendant's
Fourth Amendment right since the inspection does not intrude upon any
reasonable expectation of privacy that a defendant might have.” (internal
quotation marks and alteration marks omitted)).
For the aforementioned reasons, this Court finds that
plaintiffs do not have a subjective expectation of privacy in the records, and
that even if plaintiffs did have a subjective expectation of privacy, the
expectation is not one that society would recognize as reasonable.
4. The Inspection Program Falls Within the Administrative Search
Exception to the Warrant Requirement
In addition to finding that plaintiffs have no reasonable expectation of
privacy in the records required to be kept pursuant to §§ 2257 and 2257 and their implementing regulations, this Court finds that the
statutes and regulations proscribe constitutionally valid administrative
searches.
As discussed above, the regulations provide that producers
must make the required records available for inspection either “at the
producer's place of business or at the place of business of a non-employee custodian
of records.” 28 C.F.R. § 75.4. Further, investigators are authorized to
“enter without delay and at reasonable times any establishment of a producer
where records ... are maintained to inspect during regular working hours and at
other reasonable times, and within reasonable limits and in a reasonable
manner, for the purpose of determining compliance with the record-keeping
requirements.” § 75.5(a). Inspections are to “take place during normal business
hours,” § 75.5(c)(1), and upon commencing an inspection, the investigator is to
show his or her credentials, explain the nature and purpose of the inspection “including
[its] limited nature,” and indicate “the scope of the specific inspection and
the records that [the investigator] wishes to inspect.” § 75.5(c)(2). The inspections “shall be conducted so as not to
unreasonably disrupt the operations of the establishment.” § 75.5(c)(2). Records may be inspected no more than once every four
months unless there is reasonable suspicion of a violation, and an investigator
may copy any record that is subject to inspection. § 75.5(d), (e).
Plaintiffs argue that the statutes and regulations violate
the Fourth Amendment by allowing warrantless searches of producers' commercial
premises. FN23
This *752 Court disagrees, finding that the inspections authorized under
the statutes and regulations are lawful under what the Third Circuit has
explained to be one of the “well recognized exceptions to the warrant
requirement-administrative inspections pursuant to regulatory regimes.” Showers v. Spangler, 182 F.3d 165, 172 (3d Cir.1999).
FN23.
Plaintiffs also argue that the statutes and their regulations allow for
warrantless searches that are “not limited to commercial premises” but extend “to
private homes as well.” (Doc. 3 at 51). Plaintiffs' Complaint, however, fails
to allege any instances of inspections occurring in any of plaintiffs' private
homes. Plaintiffs attempt to remedy this issue with their Motion for Leave to
Amend, alleging that the FBI entered, for purposes of conducting records
inspections, the homes of two producers “who are not members of Plaintiff Free
Speech Coalition.” (Doc. 49 at 2). Without ruling on the issue, this Court
notes that under the related standing doctrines of organizational and
third-party standing, there is nothing to indicate that Free Speech Coalition,
or any other plaintiffs in this case, would have standing to assert claims on
behalf of these unidentified producers. See, e.g., Pa. Psychiatric Soc. v. Green Spring Health Serv.,
Inc., 280 F.3d 278, 287 (3d Cir.2002) ( “Because the patients are not members
of, or otherwise directly associated with, the Pennsylvania Psychiatric
Society, the Society does not have associational standing to assert their
claims.”); League of Women Voters of Fla. v. Cobb, 447 F.Supp.2d 1314, 1340 (S.D.Fla.2006) (“Here, because Plaintiffs do not allege
that the John and Jane Does are members of their respective organizations,
Plaintiffs cannot pursue their [organizational] standing theory.”).
Even assuming plaintiffs had standing as to this claim, or,
alternatively, looking at the statutes and regulations purely on their face,
this Court finds that because plaintiffs do not have a reasonable expectation
of privacy in the records at issue, and because an inspector's entry onto a
producer's premises for the limited purpose of inspecting records constitutes a
lawful administrative search, there is no constitutional violation if a
producer's commercial premises happens to be his home. Indeed, Congress expressly
contemplated such a situation and provided producers with what this Court
believes is an appropriate remedy: producers may use a non-employee third-party
custodian to maintain the records at issue. See 28 C.F.R. § 75.4.
It is well established that, under the Fourth Amendment, a
person's reasonable expectation of privacy in his or her home or business
exists “not only with respect to traditional police searches conducted for the
gathering of criminal evidence but also with respect to administrative searches
designed to enforce regulatory statutes.” New York v. Burger, 482 U.S. 691, 699-700, 107 S.Ct. 2636, 96 L.Ed.2d 601 (citing Marshall v. Barlow's, Inc., 436 U.S. 307, 312-13, 98 S.Ct. 1816, 56 L.Ed.2d 305
(1978)). “An
expectation of privacy in commercial premises, however, is different from, and
indeed less than, a similar expectation in an individual's home.” Id. at 700, 107 S.Ct. 2636 (citing Donovan v. Dewey, 452 U.S. 594, 598-99, 101 S.Ct. 2534, 69 L.Ed.2d 262
(1981)).
This expectation is particularly attenuated in commercial
property employed in “closely regulated” industries. Id. “ ‘Certain industries have such a history of government oversight
that no reasonable expectation of privacy [can] exist for a proprietor over the
stock of such an enterprise.’ ” Id. (citation omitted) (quoting Marshall, 436 U.S. at 313, 98 S.Ct. 1816). As the Third Circuit has explained, “one
who is engaged in an industry that is pervasively regulated by the government
or that has been historically subject to such close supervision is ordinarily
held to be on notice that periodic inspections will occur and, accordingly, has
no reasonable expectations of privacy in the areas where he knows those
inspections will occur.” Lovgren v. Byrne, 787 F.2d 857, 865 (3d Cir.1986). For this reason, a warrantless
inspection of commercial premises may be reasonable within the meaning of the
Fourth Amendment, and the Supreme Court has correspondingly recognized an
exception to the warrant requirement for searches of “closely” or “pervasively”
regulated industries. Burger, 482 U.S. at 702-03, 107 S.Ct. 2636.
A pervasively regulated business is one which has “such a
history of government oversight that no reasonable expectation of privacy could
exist.” Marshall, 436 U.S. at 313, 98 S.Ct. 1816 (citation omitted). “[T]he doctrine is
essentially defined by ‘the pervasiveness and regularity of the federal
regulation’ and the effect of such *753 regulation upon an owner's
expectation of privacy.” Burger, 482 U.S. at 701, 107 S.Ct. 2636 (quoting Donovan, 452 U.S. at 606, 101 S.Ct. 2534). As the Third Circuit has emphasized,
individuals who “voluntarily engage in such [closely or pervasively] regulated
businesses accept the burdens as well as the benefits of the trade.” Frey v. Panza, 621 F.2d 596, 597 (3d Cir.1980) (per curiam).
As discussed at length above, for over three decades the
creation, production, and distribution of sexually explicit expression has been
the subject of extensive federal regulation aimed at protecting children from
sexual exploitation.FN24
As a result of this steadily strengthening web of initiatives-which include §§ 2257 and 2257A and their implementing regulations-producers of sexually explicit
expression have been on notice for some time that, when it comes to ensuring
the performers in their expression are adults, they will be subject to various
forms of government oversight, including inspection of age-verification
records. Indeed, the “regulatory presence is sufficiently comprehensive and
defined” in this regard that producers of such expression “cannot help but be
aware that their property will be subject to periodic inspections undertaken
for specific purposes.” Burger, 482 U.S. at 705 n. 16, 107 S.Ct. 2636 (internal quotation marks omitted).
Accordingly, this Court finds that, “in light of the regulatory framework
governing” the production of sexually explicit expression as it pertains to age
verification and the protection of children from sexual exploitation,
plaintiffs have a “reduced expectation of privacy in this ‘closely regulated’ ”
enterprise. Id. at 707, 107 S.Ct. 2636.
FN24.
Thirty years is a sufficient amount of time for an industry to have been
closely or pervasively regulated. See, e.g., Prof'l Dog Breeders Advisory Council v. Wolff, Civ. A. No. 09-0258, 2009 WL 2948527, at *9 (M.D.Pa.
Sept. 11, 2009)
(Rambo, J.) (concluding that “the kennel industry is a pervasively regulated
activity” in part because it “has been subject to random inspections and
searches since at least 1982”). Furthermore, while the length of time
regulation has been in place can be a factor in determining whether it is
sufficiently pervasive to make the imposition of a warrant requirement unnecessary,
the Supreme Court has emphasized that “if the length of regulation were the
only criterion, absurd results would occur.... [N]ew or emerging industries,
including ones such as the nuclear power industry that pose enormous potential
safety and health problems, could never be subject to warrantless searches even
under the most carefully structured inspection program simply because of the
recent vintage of regulation.” Donovan, 452 U.S. at 606, 101 S.Ct. 2534. In the present case, this Court finds
that the duration and extent of the legislative measures regarding the age of
performers appearing in sexually explicit expression are sufficient to make
such regulation pervasive.
The Supreme Court has promulgated a three-prong test to
determine if a warrantless inspection of a pervasively regulated activity
survives constitutional scrutiny. See id. at 702-03, 107 S.Ct. 2636. First, “there must be a substantial
government interest that informs the regulatory scheme pursuant to which the
inspection is made.” Id. at 702, 107 S.Ct. 2636 (internal quotation marks omitted).
Second, “the warrantless inspections must be necessary to further the
regulatory scheme.” Id. (internal quotation marks omitted). Third, “the inspection
program, in terms of the certainty and regularity of its application, must
provide a constitutionally adequate substitute for a warrant,” meaning that it “must
perform the two basic functions of a warrant: (1) it must advise the owner of
the commercial premises that the search is being made pursuant to the law and
has a properly defined scope, and (2) it must limit the discretion of the
inspecting officers.” Id. at 703, 107 S.Ct. 2636 (internal quotation marks and alteration
marks omitted). Regarding the first part of the *754 final requirement,
the inspection program must be “sufficiently comprehensive and defined that the
owner of commercial property cannot help but be aware that his property will be
subject to periodic inspections undertaken for specific purposes.” Id. at 703, 107 S.Ct. 2636 (quoting Donovan, 452 U.S. at 600, 101 S.Ct. 2534). Regarding the second part of the final
requirement, in restricting the discretion of inspectors, the inspection program
must be “carefully limited in time, place, and scope.” Id. (quoting United States v. Biswell, 406 U.S. 311, 315, 92 S.Ct. 1593, 32 L.Ed.2d 87
(1972)).
The inspection program set forth by §§ 2257 and 2257A and their implementing regulations satisfies all three criteria.
First, as discussed at length above, the government has a substantial interest
in preventing the sexual exploitation of children in the production of sexually
explicit expression, and this interest informs the age-verification
requirements at issue here. As Senator Charles Grassley commented in the Senate
Committee Report for the Child Pornography Prevention Act of 1995, “[t]he
history of efforts to eliminate the scourge of child pornography is replete
with examples of child pornographers finding ways around legislation intended
to eliminate child pornography.” S.Rep. No. 104-358, at 28 (1996). For the reasons already set forth, this
Court is of the view that §§ 2257 and 2257A and their implementing regulations provide a critical tool in
this ongoing battle against the sexual exploitation of children.
Second, warrantless entrance onto a producer's premises to
inspect the required records is necessary to further the regulatory scheme. The
statutes and regulations are designed to provide a reliable mechanism for
inspectors-and producers-to verify that the performers appearing in depictions
of sexually explicit conduct are adults, something which often cannot be
ascertained by looking at the performers or depictions themselves. The purpose
of the age-verification requirements, however, is not merely to identify producers
who have used children in such depictions, but to protect children from such
harm before it happens. Correspondingly, by not requiring advance notice or a
warrant, the inspection program encourages producers to follow the
age-verification procedures regularly and in advance of the production of the
depictions, and deters the possibility of fabrication or after-the-fact compilation
of such information. As the Supreme Court has noted:
[I]f inspection is to be effective and serve as a credible
deterrent, unannounced, even frequent, inspections are essential. In this
context, the prerequisite of a warrant could easily frustrate inspection; and
if the necessary flexibility as to time, scope, and frequency is to be preserved,
the protections afforded by a warrant would be negligible.
Burger, 482 U.S. at 710, 107 S.Ct. 2636 (quoting Biswell, 406 U.S. at 316, 92 S.Ct. 1593). Here, the warrantless and unannounced
inspections ensure that producers of sexually explicit expression obtain and
maintain accurate and truthful records of the ages, names, and other
identifying information regarding the performers appearing therein.
Administrative searches of producers' premises in order to gain access to the
records are thus necessary to further the government's substantial interest in
preventing the sexual exploitation of children.
Third and finally, the inspection program set forth by the
statutes and regulations provides a “constitutionally adequate substitute for a
warrant,” as it advises producers that the inspection is being made pursuant to
law, and both adequately defines the scope of the inspection and *755
properly limits the discretion of the inspecting officers. Id. at 711, 107 S.Ct. 2636 (quoting Donovan, 452 U.S. at 603, 101 S.Ct. 2534). The regulations inform producers of
sexually explicit expression that, absent reasonable suspicion of a violation
of the age-verification requirements, inspections may occur no more than once
every four months. 28 C.F.R. § 75.5(d). And, before commencing an inspection,
the inspector must display his or her credentials and explain the nature and
purpose of the inspection. 28 C.F.R. § 75.5(c). Thus, producers know that the
inspections to which they are subject “do not constitute discretionary acts by
a government official, but are conducted pursuant to statute.” Burger, 482 U.S. at 711, 107 S.Ct. 2636 (citing Marshall, 436 U.S. at 332, 98 S.Ct. 1816).
Further, the “time, place, and scope” of the inspections
are sufficiently limited so as to place “appropriate restraints upon the
discretion of the inspecting officers.” Id. In addition to the four-month limitation mentioned above,
inspectors are only authorized to enter a producer's premises to inspect
records “at reasonable times” and “during normal business hours”-between 9 a.m.
and 5 p.m.FN25-“for
the purpose of determining compliance with the record-keeping requirements.” 28 C.F.R. § 75.5(a), (c)(1). The inspector must explain the “limited nature of the records
inspection” and indicate “the scope of the specific inspection and the records
that [the investigator] wishes to inspect.” § 75.5(c). The regulations also detail where the records to be
inspected should be located, and how they should be maintained and categorized.
§§ 75.2-75.4. Thus, producers receive adequate “notice as to how to comply
with” the regulatory scheme. Burger, 482 U.S. at 711, 107 S.Ct. 2636. Because §§ 2257 and 2257A and their implementing regulations adequately advise those
subject to inspection that the entrance onto their premises to review records
is being made pursuant to law, and because the searches are properly limited in
time, place and scope, a constitutionally adequate substitute for a search
warrant has been established.
FN25.
If a producer does not maintain “at least 20 normal business hours per week,”
the producer “must provide notice to the inspecting agency of the hours during
which records will be available for inspection, which in no case may be less
than 20 hours per week.” 28 C.F.R. § 75.5(c).
The Third Circuit has made clear that, under the administrative
search exception to the warrant requirement, “ ‘[b]ecause the owner or operator
of commercial premises in a “closely regulated” industry has a reduced expectation
of privacy, the warrant and probable-cause requirements, which fulfill the
traditional Fourth Amendment standard of reasonableness for a government
search, have lessened application in this context.’ ” Watson v. Abington Twp., 478 F.3d 144, 151-52 (3d Cir.2007) (quoting Burger, 482 U.S. at 702, 107 S.Ct. 2636). As the Supreme Court has emphasized,
The interest of the owner of commercial property is not one
in being free from any inspections. Congress has broad authority to
regulate commercial enterprises engaged in or affecting interstate commerce,
and an inspection program may in some cases be a necessary component of
federal regulation. Rather, the Fourth Amendment protects the interest of
the owner of property in being free from unreasonable intrusions onto
his property by agents of the government.
Donovan, 452 U.S. at 599, 101 S.Ct. 2534 (some emphases added). “[W]arrantless
inspections of commercial property may be constitutionally objectionable if
their occurrence is so random, infrequent, or unpredictable*756 that the
owner, for all practical purposes, has no real expectation that his property
will from time to time be inspected by government officials.” Id. (quoting Marshall, 436 U.S. at 323, 98 S.Ct. 1816). Thus, “[w]here Congress has authorized
inspection but made no rules governing the procedures that inspectors must
follow, the Fourth Amendment and its various restrictive rules apply,” id. (quotation marks omitted), and that “[i]n such cases, a warrant
may be necessary to protect the owner from the unbridled discretion [of]
executive and administrative officers,” id. (internal quotation marks omitted) (second alteration in
original).
In the present case, to the extent producers have any
reasonable expectation of privacy in age-verification records relating to
depictions of sexually explicit conduct, that expectation is reduced.
Furthermore, the government has a substantial interest in preventing sexual
exploitation of children in the production of such depictions; producers of
such depictions have adequate notice that their records will periodically be
inspected by government officials; and Congress has both authorized inspections
and created rules, further fleshed out by implementing regulations, governing
the procedures that inspectors must follow. As such, this Court concludes that §§ 2257 and 2257A and their implementing regulations authorize lawful
administrative searches of producers' premises for the specific and limited
purpose of inspecting records required to be kept pursuant to the regulatory
scheme. Such a holding is consistent with caselaw upholding valid administrative
searches conducted pursuant to lawful statutes and/or regulations.FN26
FN26.
See, e.g., Donovan, 452 U.S. at 606, 101 S.Ct. 2534 (holding that warrantless inspections by
federal mine inspectors of underground mines at least four times a year and
surface mines at least twice a year to ensure compliance with health and safety
standards required by federal legislation did not violate Fourth Amendment); Biswell, 406 U.S. at 317, 92 S.Ct. 1593 (upholding validity of warrantless search
for firearms or ammunitions dealer); Colonnade Catering Corp. v. United States, 397 U.S. 72, 90 S.Ct. 774, 25 L.Ed.2d 60 (1970) (granting agents of Alcohol and Tobacco
Tax Division of the Internal Revenue Service authority to inspect facilities of
licensed liquor dealers without a warrant); Peterman v. Coleman, 764 F.2d 1416, 1421 (11th Cir.1985) (“We conclude ... that the [administrative
search] exception applies to the regulation of second-hand [firearms]
dealers.... The only inspection authorized by the ordinance relates to the
transaction registers second-hand dealers are required to maintain.... In light
of the compelling state interest ..., this intrusion is reasonable under the
Fourth Amendment.” (citation omitted)); Gallaher v. City of Huntington, 759 F.2d 1155 (4th Cir.1985) (upholding warrantless inspection of
record book of precious metal and gem purchases by a licensed pawnbroker); Bionic Auto Parts & Sales, Inc. v. Fahner, 721 F.2d 1072, 1081 (7th Cir.1983) (rejecting Fourth Amendment challenge to
warrantless searches of premises of automotive parts dealers because “[u]nder
the carefully drawn provisions of the statute, the state's objective of
deterring automobile theft through warrantless searches outweighs the
licensees' right to privacy”); Wayne Cusimano, Inc. v. Block, 692 F.2d 1025, 1029 (5th Cir.1982) (finding administrative search of produce
dealer's records lawful, as “[t]he administrative regulations require a
licensee to permit a representative of the regulatory agency to inspect during
ordinary business hours the regulation-required records for the ... specified
inspection purposes provided by the Act itself.... [T]he present administrative
searches authorized by statute are restricted to specified purposes. Further,
the warrantless administrative examinations ... are reasonably related to, and
required to effectuate, the statutory regulatory scheme .... We thus find no
constitutional defect in the present unannounced, warrantless administrative
examination of the ... statutorily-required records ....”); United States v. Jamieson-McKames Pharm., Inc., 651 F.2d 532, 537-38 (8th Cir.1981) (“We think the drug-manufacturing
industry is properly within the [administrative search] exception to the warrant
requirement.... [T]he enforcement needs are more critical in the
drug-manufacturing field, and the interests of the general public are more
urgent. We hold that inspections authorized [by federal statute] are ‘reasonable’
and therefore not inconsistent with the Fourth Amendment.” (citations and
footnotes omitted)); Terraciano, 493 F.2d at 685 (“[W]e do not find the statutes here at
issue so seriously deficient as to render unconstitutional this non-forcible
inspection and seizure, during business hours, by a narcotics agent, of records
of a licensed pharmacist, maintained on the premises as required, relating to
narcotics and stimulant or depressant drugs.”); Prof'l Dog Breeders, 2009 WL 2948527, at *16 (finding that Pennsylvania statute
authorizing warrantless searches and inspections of dog kennels did not violate
the Fourth Amendment, as it was a valid administrative search which met all
three Burger prongs).
* * *
*757
Because plaintiffs do not have a reasonable expectation of privacy in the
records required by §§ 2257 and 2257A, and because, even if there were such an expectation, the
statutes and their implementing regulations establish a valid inspection
program under the administrative search exception to the warrant requirement,
this Court rejects plaintiffs' Fourth Amendment challenge.FN27
FN27.
As noted, the parties also dispute whether plaintiffs' Fourth Amendment
challenge is ripe; they do not, however, provide meaningful discussion or analysis
of applicable Third Circuit caselaw on it. Regardless, in light of the disposition
above, this Court declines to take up the ripeness inquiry.
VII.
Conclusion
For the reasons set forth above, defendant's Motion to
Dismiss will be granted, and plaintiffs' Motion for Leave to Amend the
Complaint will be denied. An appropriate order follows.
.
Copyright
2010-2012 J. D. Obenberger. All rights reserved. No Claim is made as to
works in the public domain, to the text of statutes, administrative
regulations, and judicial decisions.
This
article is written to generally inform the public and does not provide
legal advice nor does it establish an attorney-client relationship. If
you have a legal issue or question, contact a lawyer. If you are
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Joe
Obenberger is a Chicago Loop lawyer concentrating in the law of free
expression and liberty under the United States Constitution, and his
firm has represented many owners, employees, and customers of
adult-oriented businesses, both online and in the real world. He can be
reached in the office at 312 558-6420. His e-mail address is
obiwan@xxxlaw.net.
J.
D. Obenberger and Associates are available for consultation,
representation, and defense of adult-oriented businesses.
