DocketNumber: 97-371
Judges: Scalia, O'Connor, Rehnquist, Stevens, Kennedy, Breyer, Ginsburg, Scaua, Thomas, Souter
Filed Date: 6/25/1998
Status: Precedential
Modified Date: 11/15/2024
delivered the opinion of the Court.
The National Foundation on the Arts and the Humanities Act of 1965, as amended in 1990, 104 Stat. 1963, requires the Chairperson of the National Endowment for the Arts (NEA) to ensure that “artistic excellence and artistic merit are the criteria by which [grant] applications are judged, taking into consideration general standards of decency and respect for the diverse beliefs and values of the American public.” 20 U. S. C. § 954(d)(1). In this case, we review the Court of Ap
I
A
With the establishment of the NEA in 1965, Congress embarked on a “broadly conceived national policy of support for the . . . arts in the United States,” see § 953(b), pledging federal funds to “help create and sustain not only a climate encouraging freedom of thought, imagination, and inquiry but also the material conditions facilitating the release of... creative talent.” §951(7)- The enabling statute vests the NEA with substantial discretion to award grants; it identifies only the broadest funding priorities, including “artistic and cultural significance, giving emphasis to American creativity and cultural diversity,” “professional excellence,” and the encouragement of “public knowledge, education, understanding, and appreciation of the arts.” See §§954(c)(l)-(10).
Applications for NEA funding are initially reviewed by advisory panels composed of experts in the relevant field of the arts. Under the 1990 amendments to the enabling statute, those panels must reflect “diverse artistic and cultural points of view” and include “wide geographic, ethnic, and minority representation,” as well as “lay individuals who are knowledgeable about the arts.” §§959(c)(l)-(2). The panels report to the 26-member National Council on the Arts (Council), which, in turn, advises the NEA Chairperson. The Chairperson has the ultimate authority to award grants but may not approve an application as to which the Council has made a negative recommendation. § 955(f).
Throughout the NEA’s history, only a handful of the agency’s roughly 100,000 awards have generated formal complaints about misapplied funds or abuse of the public’s trust. Two provocative works, however, prompted public controversy in 1989 and led to congressional revaluation of the NEA’s funding priorities and efforts to increase oversight of its grant-making procedures. The Institute of Contemporary Art at the University of Pennsylvania had used $30,000 of a visual arts grant it received from the NEA to fund a 1989 retrospective of photographer Robert Mapplethorpe’s work. The exhibit, entitled The Perfect Moment, included homoerotic photographs that several Members of Congress condemned as pornographic. See, e. g., 135 Cong. Rec. 22372 (1989). Members also denounced artist Andres Serrano’s work Piss Christ, a photograph of a crucifix immersed in urine. See, e. g., id., at 9789. Serrano had been awarded a $15,000 grant from the Southeast Center for Contemporary Art, an organization that received NEA support.
When considering the NEA’s appropriations for fiscal year 1990, Congress reacted to the controversy surrounding the
In the 1990 appropriations bill, Congress also agreed to create an Independent Commission of constitutional law scholars to review the NEA’s grant-making procedures and assess the possibility of more focused standards for public arts funding. The Commission’s report, issued in September 1990, concluded that there is no constitutional obligation to provide arts funding, but also recommended that the NEA rescind the certification requirement and cautioned against legislation setting forth any content restrictions. Instead, the Commission suggested procedural changes to enhance the role of advisory panels and a statutory reaffirmation of “the high place the nation accords to the fostering of mutual respect for the disparate beliefs and values among us.” See Independent Commission, Report to Congress on the Na
Informed by the Commission’s recommendations, and cognizant of pending judicial challenges to the funding limitations in the 1990 appropriations bill, Congress debated several proposals to reform the NEA’s grant-making process when it considered the agency’s reauthorization in the fall of 1990. The House rejected the Crane Amendment, which would have virtually eliminated the NEA, see 136 Cong. Rec. 28656-28657 (1990), and the Rohrabacher Amendment, which would have introduced a prohibition on awarding any grants that could be used to "promote, distribute, disseminate, or produce matter that has the purpose or effect of denigrating the beliefs, tenets, or objects of a particular religion” or "of denigrating an individual, or group of individuals, on the basis of race, sex, handicap, or national origin,” id., at 28657-28664. Ultimately, Congress adopted the Williams/ Coleman Amendment, a bipartisan compromise between Members opposing any funding restrictions and those favoring some guidance to the agency. In relevant part, the Amendment became § 954(d)(1), which directs the Chairperson, in establishing procedures to judge the artistic merit of grant applications, to “takfe] into consideration general standards of decency and respect for the diverse beliefs and values of the American public.”
B
The four individual respondents in this case, Karen Finley, John Fleck, Holly Hughes, and Tim Miller, are performance artists who applied for NEA grants before § 954(d)(1) was enacted. An advisory panel recommended approval of respondents’ projects, both initially and after receiving Frohn-mayer’s request to reconsider three of the applications. A majority of the Council subsequently recommended disapproval, and in June 1990, the NEA informed respondents that they had been denied funding. Respondents filed suit, alleging that the NEA had violated their First Amendment rights by rejecting the applications on political grounds, had failed to follow statutory procedures by basing the denial on criteria other than those set forth in the NEA’s enabling statute, and had breached the confidentiality of their grant applications through the release of quotations to the press, in violation of the Privacy Act of 1974, 5 TJ. S. C. § 552(a). Respondents sought restoration of the recommended grants or reconsideration of their applications, as well as damages for the alleged Privacy Act violations. When Congress enacted § 954(d)(1), respondents, now joined by the National Association of Artists’ Organizations (NAAO), amended
The District Court denied the NEA’s motion for judgment on the pleadings, 795 F. Supp. 1457, 1463-1468 (CD Cal. 1992), and, after discoveiy, the NEA agreed to settle the individual respondents’ statutory and as-applied constitutional claims by paying the artists the amount of the vetoed grants, damages, and attorney’s fees. See Stipulation and Settlement Agreement, 6 Record, Doc. No. 128, pp. 3-5.
The District Court then granted summary judgment in favor of respondents on their facial constitutional challenge to § 954(d)(1) and enjoined enforcement of the provision. See 795 F. Supp., at 1476. The court rejected the argument that the NEA could comply with § 954(d)(1) by structuring the grant selection process to provide for diverse advisory panels. Id., at 1471. The provision, the court stated, “fails adequately to notify applicants of what is required of them or to circumscribe NEA discretion.” Id., at 1472. Reasoning that “the very nature of our pluralistic society is that there are an infinite number of values and beliefs, and correlatively, there may be no national ‘general standards of decency,”’ the court concluded that § 954(d)(1) “cannot be given effect consistent with the Fifth Amendment’s due process requirement.” Id., at 1471-1472 (citing Grayned v. City of Rockford, 408 U. S. 104, 108-109 (1972)). Drawing an analogy between arts funding and public universities, the court further ruled that the First Amendment constrains the NEA’s grant-making process, -and that because § 954(d)(1) “clearly reaches a substantial amount of protected speech,” it is impermissibly overbroad on its face. 795 F. Supp., at 1476. The Government did not seek a stay of the District Court’s injunction, and consequently the NEA has not applied § 954(d)(1) since June 1992.
A divided panel of the Court of Appeals affirmed the District Court’s ruling. 100 F. 3d 671 (CA9 1996). The major
The dissent asserted that the First Amendment protects artists’ rights to express themselves as indecently and disrespectfully as they like, but does not compel the Government to fund that speech. Id., at 684 (opinion of Kleinfeld, J.). The challenged provision, the dissent contended, did not prohibit the NEA from funding indecent or offensive art, but merely required the agency to consider the “decency and respect” criteria in the grant selection process. Id., at 689-690. Moreover, according to the dissent’s reasoning, the vagueness principles applicable to the direct regulation of speech have no bearing on the selective award of prizes, and
We granted certiorari, 522 U. S. 991 (1997), and now reverse the judgment of the Court of Appeals.
II
A
Respondents raise a facial constitutional challenge to § 954(d)(1), and consequently they confront “a heavy burden” in advancing their claim. Rust, supra, at 183. Facial invalidation “is, manifestly, strong medicine” that “has been employed by the Court sparingly and only as a last resort.” Broadrick v. Oklahoma, 413 U. S. 601, 613 (1973); see also FW/PBS, Inc. v. Dallas, 493 U. S. 215, 223 (1990) (noting that “facial challenges to legislation are generally disfavored”). To prevail, respondents must demonstrate a substantial risk that application of the provision will lead to the suppression of speech. See Broadrick, supra, at 615.
Respondents argue that the provision is a paradigmatic example of viewpoint discrimination because it rejects any artistic speech that either fails to respect mainstream values or offends standards of decency. The premise of respondents’ claim is that § 954(d)(1) constrains the agency’s ability to fund certain categories of artistic expression. The NEA, however, reads the provision as merely hortatory, and contends that it stops well short of an absolute restriction. Section 954(d)(1) adds “considerations” to the grant-making process; it does not preclude awards to projects that might be deemed “indecent” or “disrespectful,” nor place conditions on grants, or even specify that those factors must be given
Furthermore, like the plain language of § 954(d), the political context surrounding the adoption of the “decency and respect” clause is inconsistent with respondents’ assertion that the provision compels the NEA to deny funding on the basis of viewpoint discriminatory criteria. The legislation was a bipartisan proposal introduced as a counterweight to amendments aimed at eliminating the NEA’s funding or substantially constraining its grant-making authority. See, e. g., 136 Cong. Rec. 28626, 28632, 28634 (1990). The Independent Commission had cautioned Congress against the adoption of distinct viewpoint-based standards for funding, and the Commission’s report suggests that “additional criteria for selection, if any, should be incorporated as part of the selection process (perhaps as part of a definition of ‘artistic excel
That § 954(d)(1) admonishes the NEA merely to take “decency and respect” into consideration and that the legislation was aimed at reforming procedures rather than precluding speech undercut respondents’ argument that the provision inevitably will be utilized as a tool for invidious viewpoint discrimination. In eases where we have struck down legislation as facially unconstitutional, the dangers were both more evident and more substantial. In R. A. V. v. St. Paul, 505 U. S. 377 (1992), for example, we invalidated on its face a municipal ordinance that defined as a criminal offense the placement of a symbol on public or private property “ ‘which one knows or has reasonable grounds to know arouses anger, alarm or resentment in others on the basis of race, color, creed, religion or gender.’ ” See id., at 380. That provision set forth a clear penalty, proscribed views on particular “disfavored subjects,” id., at 391, and suppressed “distinctive idea[s], conveyed by a distinctive message,” id., at 393.
Respondents’ claim that the provision is facially unconstitutional may be reduced to the argument that the criteria in § 954(d)(1) are sufficiently subjective that the agency could utilize them to engage in viewpoint discrimination. Given the varied interpretations of the criteria and the vague ex
The NEA’s enabling statute contemplates a number of indisputably constitutional applications for both the “decency” prong of § 954(d)(1) and its reference to “respect for the diverse beliefs and values of the American public.” Educational programs are central to the NEA’s mission. See §951(9) (“Americans should receive in school, background and preparation in the arts and humanities”); § 954(c)(5) (listing “projects and productions that will encourage public knowledge, education, understanding, and appreciation of the arts” among the NEAs funding priorities); National Endowment for the Arts, FY 1999 Application Guidelines 18-19 (describing “Education & Access” category); Brief for Twenty-six Arts, Broadcast, Library, Museum and Publishing Amici Curiae 5, n. 2 (citing NEA Strategic Plan FY 1997-FY 2002, which identifies children’s festivals and museums, art education, at-risk youth projects, and artists in schools as examples of the NE As activities). And it is well established that “decency” is a permissible factor where “educational suitability” motivates its consideration. Board of Ed., Island Trees Union Free School Dist. No. 26 v. Pico, 457 U. S. 853, 871 (1982); see also Bethel School Dist. No. 403 v. Fraser, 478 U. S. 675, 683 (1986) (“Surely it is a highly appropriate function of public school education to prohibit the use of vulgar and offensive terms in public discourse”).
Permissible applications of the mandate to consider “respect for the diverse beliefs and values of the American public” are also apparent. In setting forth the purposes of the NEA, Congress explained that “[i]t is vital to a democracy to honor and preserve its multicultural artistic heritage.”
We recognize, of course, that reference to these permissible applications would not alone be sufficient to sustain the statute against respondents’ First Amendment challenge. But neither are we persuaded that, in other applications, the language of § 954(d)(1) itself will give rise to the suppression of protected expression. Any content-based considerations that may be taken into account in the grant-making process are a consequence of the nature of arts funding. The NEA has limited resources, and it must deny the majority of the grant applications that it receives, including many that propose “artistically excellent” projects. The agency may decide to fund particular projects for a wide variety of reasons, “such as the technical proficiency of the artist, the creativity of the work, the anticipated public interest in or appreciation of the work, the work’s contemporary relevance, its educational value, its suitability for or appeal to special audiences (such as children or the disabled), its service to a rural or isolated community, or even simply that the work could increase public knowledge of an art form.” Brief for Petitioners 32. As the dissent below noted, it would be “impossible to have a highly selective grant program without denying money to a large amount of constitutionally protected expression.” 100 F. 3d, at 685 (opinion of Eleinfeld, J.). The “very assumption” of the NEA is that grants will be awarded according to the “artistic worth, of competing applicants,” and absolute neutrality is simply “inconceivable.” Advo
Respondents’ reliance on our decision in Rosenberger v. Rector and Visitors of Univ. of Va., 515 U. S. 819 (1995), is therefore misplaced. In Rosenberger, a public university-declined to authorize disbursements from its Student Activities Fund to finance the printing of a Christian student newspaper. We held that by subsidizing the Student Activities Fund, the University had created a limited public forum, from which it impermissibly excluded all publications with religious editorial viewpoints. Id., at 837. Although the scarcity of NEA funding does not distinguish this case from Rosenberger, see id., at 835, the competitive process according to which the grants are allocated does. In the context of arts funding, in contrast to many other subsidies, the Government does not indiscriminately “encourage a diversity of views from private speakers,” id., at 834. The NEA’s mandate is to make esthetic judgments, and the inherently content-based “excellence” threshold for NEA support sets it apart from the subsidy at issue in Rosenberger — which was available to all student organizations that were “ ‘related to the educational purpose of the University,’ ” id., at 824 — and from comparably objective decisions on allocating public benefits, sueh as access to a school auditorium or a municipal theater, see Lamb’s Chapel v. Center Moriches Union Free School Dist., 508 U. S. 384, 386 (1993); Southeastern Promotions, Ltd. v. Conrad, 420 U. S. 546, 555 (1975), or the second class mailing privileges available to “‘all newspapers and other periodical publications,’” see Hannegan v. Esquire, Inc., 327 U. S. 146, 148, n. 1 (1946).
Respondents do not allege discrimination in any particular funding decision. (In fact, after filing suit to challenge § 954(d)(1), two of the individual respondents received NEA grants. See 4 Record, Doc. No. 57, Exh. 35 (Sept. 30,1991, letters from the NEA informing respondents Hughes and Miller that they had been awarded Solo Performance The
B
Finally, although the First Amendment certainly has application in the subsidy context, we note that the Government may allocate competitive ftmding according to criteria
Ill
The lower courts also erred in invalidating § 954(d)(1) as unconstitutionally vague. Under the First and Fifth Amendments, speakers are protected from arbitrary and discriminatory enforcement of vague standards. See NAACP v. Button, 371 U. S. 415, 432-433 (1963). The terms of the provision are undeniably opaque, and if they appeared in a criminal statute or regulatory scheme, they could raise substantial vagueness concerns. It is unlikely, however, that speakers will be compelled to steer too far clear of any “forbidden area” in the context of grants of this nature. Cf. Board of Airport Comm’rs of Los Angeles v. Jews for Jesus, Inc., 482 U. S. 569, 574 (1987) (facially invalidating a flat ban
In the context of selective subsidies, it is not always feasible for Congress to legislate with clarity. Indeed, if this statute is unconstitutionally vague, then so too are all Government programs awarding scholarships and grants on the basis of subjective criteria such as “excellence.” See, e. g., 2 U. S. C. §802 (establishing the Congressional Award Program to “promote initiative, achievement, and excellence among youths in the areas of public service, personal development, and physical and expedition fitness”); 20 U. S. C. § 956(c)(1) (providing funding to the National Endowment for the Humanities to promote “progress and scholarship in the humanities”); § 1134h(a) (authorizing the Secretary of Education to award fellowships to “students of superior ability selected on the basis of demonstrated achievement and exceptional promise”); 22 U. S. C. § 2452(a) (authorizing the award of Fulbright grants to “strengthen international cooperative relations”); 42 U. S. C. § 7382c (authorizing the Secretary of Energy to recognize teachers for “excellence in mathematics or science education”). To accept respondents' vagueness argument would be to call into question the constitutionality of these valuable Government programs and countless others like them.
It is so ordered.
Justice Ginsbukg joins all but Part II-B of this opinion.
Title 20 U. S. C. § 954(d) provides in full that:
“No payment shall be made under this section except upon application therefor which is submitted to the National Endowment for. the Arts in accordance with regulations issued and procedures established by the Chairperson. In establishing such regulations and procedures, the Chairperson shall ensure that—
“(1) artistic excellence and artistic merit are the criteria by which applications are judged, taking into consideration general standards of decency and respect for the diverse beliefs and values of the American public; and
“(2) applications are consistent with the purposes of this section. Such regulations and procedures shall clearly indicate that obscenity is without artistic merit, is not protected speech, and shall not be funded.”