Opinion · Supreme Court of the United States
Street v. New York
22 L. Ed. 2d 572
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1969-04-21
- Topic
- general
holding unconstitutional, as applied, a statute that punished words that cast contempt on the flag of the United States | holding a statute could not criminalize flag burning as symbolic speech tantamount to fighting words | declining, in an opinion for the Court by Justice Harlan, to reach facial challenges to the statute because the statute was unconstitutionally applied | explaining that a general verdict in a bench trial must be set aside if “we cannot know that it did not rest on the invalid constitutional ground” (quoting Williams v. North Carolina, 317 U.S. 287, 292 (1942)) | applying the Stromberg rule because an unconstitutional statutory ban on verbal contempt of the national flag might have formed a basis for the petitioner’s conviction | applying the Stromberg rule because an unconstitutional statutory ban on verbal contempt of the national flag might have formed a basis for the petitioner’s conviction | reversing conviction because review of the record could not establish that the conviction was based on conduct and not solely on speech | reversing conviction because review of the record could not establish that the conviction was based on conduct and not solely on speech | reversing conviction because review of the record could not establish that the conviction was based on conduct and not solely on speech | explaining that a general verdict in a bench trial must be set aside if “we cannot know that it did not rest on the invalid constitutional ground” (quoting Williams v. North Carolina, 317 U.S. 287, 292, 63 S.Ct. 207, 87 L.Ed. 279 (1942)) | assuming conviction otherwise passed muster on constitutional grounds, “nothing ... would render the conviction impermissible merely because an element of the crime was proved by defendant’s words rather than in some other way.” | issue was whether defendant's constitutionally protected speech "could have been an independent cause" of his flag-burning conviction | reversal required if defendant's constitutionally protected "words could have been an independent cause of his conviction" | reversal required if defendant’s constitutionally protected "words could have been an independent cause of his conviction” | issue was whether defendant’s constitutionally protected speech “could have been an independent cause” of his flag-burning conviction | speech cannot be restricted simply because some listeners, “shocked” by the defendant’s disrespectful conduct of burning a flag, might be “moved to retaliate” against him | "It is firmly settled that . . . the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers" | “It is firmly settled that . . . the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers” | “[A] police officer[’s] . . . duty is to enforce laws already enacted and to make arrests . . . for conduct already made criminal.” | “It is firmly settled that ... the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers.” | “[T]he public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers.” | statute cannot ban verbal desecration; four dis senters think it constitutional to ban physical desecration | "We can think of four governmental interests which might conceivably have been furthered by punishing appellant for his words[.]" | "We can think of four governmental interests which might conceivably have been furthered by punishing appellant for his words[.]" | "It is firmly settled that under our Constitution the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers." | “It is firmly settled that under our Constitution the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of the hearer
Citator
- Cited by
- 320 opinions
delivered the opinion of the Court.
Appellant Street has been convicted in the New York courts of violating former § 1425, subd. 16, par. d, of the New York Penal Law, which makes it a misdemeanor
According to evidence given at trial, the events which led to the conviction were these. Appellant testified that during the afternoon of June 6, 1966, he was listening to the radio in his Brooklyn apartment. He heard a news report that civil rights leader James Meredith had been shot by a sniper in Mississippi. Saying to himself, “They didn’t protect him,” appellant, himself a Negro, took from his drawer a neatly folded, 48-star American flag which he formerly had displayed on national holidays. Appellant left his apartment and carried the still-folded flag to the nearby intersection of St. James Place and Lafayette Avenue. Appellant stood on the northeast corner of the intersection, lit the flag with a match, and dropped the flag on the pavement when it began to burn.
Soon thereafter, a police officer halted his patrol car and found the burning flag. The officer testified that he then crossed to the northwest corner of the intersection, where he found appellant “talking out loud” to a small group of persons. The officer estimated that there were some 30 persons on the corner near the flag and five to 10 on the corner with appellant. The officer testified that as he approached within 10 or 15 feet of
Later the same day, appellant was charged, by an information sworn to before a judge of the New York City Criminal Court, with having committed “the crime of Malicious Mischief in that [he] did wilfully and unlawfully defile, cast contempt upon and burn an American Flag, in violation of 1425-16-D of the Penal Law, under the following circumstances: . . . [he] did wilfully and unlawfully set fire to an American Flag and shout, 'If they did that to Meredith, We don’t need an American Flag.’ ”
Appellant was tried before another Criminal Court judge, sitting without a jury, and was convicted of malicious mischief in violation of § 1425, subd. 16, par. d.2 He was subsequently given a suspended sentence. The Appellate Term, Second Department, affirmed without opinion. Leave was granted to appeal to the New York Court of Appeals, and after plenary consideration that court unanimously affirmed. 20 N. Y. 2d 231, 229 N. E. 2d 187 (1967). We noted probable jurisdiction. 392 U. S. 923 (1968).3
Though our conclusion is a narrow one, it requires pursuit of four lines of inquiry: (1) whether the constitutionality of the “words” part of the statute was passed upon by the New York Court of Appeals; (2) whether, if appellant’s conviction may have rested in whole or in part on his utterances and if the statute as thus applied is unconstitutional, these factors in themselves require reversal; (3) whether Street’s words may in fact have counted independently in his conviction; and (4) whether the “words” provision of the statute, as presented by this case, is unconstitutional.
I.
The New York Court of Appeals did not mention in its opinion the constitutionality of the “words” part of § 1425, subd. 16, par. d.4 Hence, in order to vindicate our jurisdiction to deal with this particular issue, we must inquire whether that question was presented to the New York courts in such a manner that it was necessarily decided by the New York Court of Appeals when it affirmed
In this case, any want of presentation by the appellant must have occurred at the trial level, for there appears to be no doubt that the issue of the constitutionality of the “words” part of the statute was raised in appellant’s briefs in both the Appellate Term and the Court of Appeals, and the State does not suggest the contrary. In the trial court, appellant’s counsel raised the constitutional issues by means of the following motion:
“Before we plead to this case I would like to make a motion to dismiss the information upon the ground it does not state facts to constitute a crime on the following grounds: The defendant was engaged in a constitutionally protected activity, to wit, freedom of speech. The allegation simply says that the defendant did wilfully and unlawfully set fire to an American flag and did say: ‘If they did that to Meredith we don’t need an American flag.’ Under the first amendment of the Constitution of the United States and under the New York State constitution on freedom of speech they provide for protest in many forms, whether it be by burning a flag, demonstration or picketing. This is a form of demonstration and protest.”
The issue whether a federal question was sufficiently and properly raised in the state courts is itself ultimately a federal question, as to which this Court is not bound by the decision of the state courts.5 However, it is not entirely' clear whether in such cases the scope of our review is limited to determining whether the state court has “by-passed the federal right under forms of local procedure” or whether we should decide the matter “de novo for ourselves.” Ellis v. Dixon, 349 IT. S. 458, 463 (1955). In either event, we think appellant has met the burden of showing that the issue of the constitutionality of the “words” part of § 1425, subd. 16, par. d, was adequately raised in the state trial court. The motion quoted above explicitly referred to appellant’s words. Appellant’s counsel termed appellant’s overall activity a “demonstration” or “protest,” terms which encompass words as well as conduct. Indeed, if appellant’s intention was to protest alleged governmental inaction in connection with the shooting of James Meredith, his words were an essential element, for without them no one would have known the object of his protest.
To the extent that the matter is governed by New York law, we have found no New York statutes or decisions which require that an issue be raised in the trial court with greater specificity than occurred here. In fact, in People v. McLucas, 15 N. Y. 2d 167, 172, 204 N. E. 2d 846, 848 (1965), the New York Court of Appeals held that when an appellant claims “deprivation of a funda
Insofar as the question of sufficient presentation is one for our independent decision, the controlling principle was set forth in the leading case of New York ex rel. Bryant v. Zimmerman, 278 U. S. 63, 67 (1928):
“There are various ways in which the validity of a state statute may be drawn in question on the ground that it is repugnant to the Constitution of the United States. No particular form of words or phrases is essential, but only that the claim of invalidity and the ground therefor be brought to the attention of the state court with fair precision and in due time. And if the record as a whole shows either expressly or by clear intendment that this was done, the claim is to be regarded as having been adequately presented.” (Footnote omitted.)
We think this requirement was satisfied by appellant’s previously quoted motion in the trial court and
II.
We next consider whether it is our duty to reverse if we find, as we do in Parts III and IV, infra, that Street’s words could have been an independent cause of his conviction and that a conviction for uttering such words would violate the Constitution.
That such is our duty is made apparent by a number of decisions of this Court. In the leading case of Stromberg v. California, 283 U. S. 359 (1931), the appellant was convicted by a jury under a California statute making it an offense publicly to display a red flag for any one of three purposes. Finding that it would be unconstitutional to punish one who displayed for the first-named reason, this Court rejected the state court’s reasoning that the appellant’s conviction could nevertheless be sustained because the other two statutory reasons were severable and constitutional. This Court said:
“The verdict against the appellant was a general one. It did not specify the ground upon which it rested. ... [I] t is impossible to say under which clause of the statute the conviction was obtained. If any one of these clauses . . . was invalid, it can*586 not be determined upon this record that the appellant was not convicted under that clause. ... It follows that . . . the conviction cannot be upheld.” Id., at 367-368.
The principle established in Stromberg has been consistently followed. In Williams v. North Carolina, 317 U. S. 287 (1942), this Court again held itself compelled to reverse a conviction based upon a general jury verdict when the record failed to prove that the conviction was not founded upon a theory which could not constitutionally support a verdict. The Court stated:
“To say that a general verdict of guilty should be upheld though we cannot know that it did not rest on the invalid constitutional ground . . . would be to countenance a procedure which would cause a serious impairment of constitutional rights.” Id., at 292.
The rule was again applied in Cramer v. United States, 325 U. S. 1, 36, n. 45 (1945); Terminiello v. Chicago, 337 U. S. 1, 5-6 (1949); and Yates v. United States, 354 U. S. 298, 311 (1957).
It is true that in the present case the general verdict was rendered by a judge, not a jury. However, if the ground of the judge’s decision cannot be ascertained from the record, then the danger of unconstitutional conviction is not significantly less than in the cases just discussed. Cf. Thomas v. Collins, 323 U. S. 516, 528-529 (1945). Nor would it be appropriate to remand the case to the trial judge for a post hoc explanation of the grounds of his decision. Cf. Greyhound Lines v. Mealey, 334 U. S. 653, 655 (1948). Hence, we conclude that the case is governed by the rule of Stromberg, and that appellant’s conviction must be set aside if we find that it could have been based solely upon his words and that a conviction resting on such a basis would be
Moreover, even assuming that the record precludes the inference that appellant’s conviction might have been based solely on his words, we are still bound to reverse if the conviction could have been based upon both his words and his act. This is made apparent by Thomas v. Collins, supra. The Court in that case noted that Thomas had been cited for contempt because during a meeting he allegedly had violated a court restraining order both by soliciting a single individual to join a union and by soliciting all nonunion men present. The Court found it unnecessary to consider the State’s contention that the judgment could be sustained on the basis of the individual solicitation alone. The Court said:
“The motion for the fiat in contempt was filed and the fiat itself was issued on account of both invitations. The order adjudging Thomas in contempt was in general terms, finding that he had violated the restraining order, without distinction between the solicitations set forth in the petition and proved as violations. The sentence was a single penalty. In this state of the record it must be taken that the order followed the prayer of the motion and the fiat’s recital, and that the penalty was imposed on account of both invitations. The judgment therefore must be affirmed as to both or as to neither. Cf. Williams v. North Carolina, 317 U. S. 287, 292; Stromberg v. California, 283 U. S. 359, 368.” 323 U. S., at 528-529. (Footnotes omitted.)
Finding that a conviction based upon the general solicitation could not stand, the Court reversed the entire conviction.8
We take the rationale of Thomas to be that when a single-count indictment or information charges the commission of a crime by virtue of the defendant’s having done both a constitutionally protected act and one which may be unprotected, and a guilty verdict ensues without elucidation, there is an unacceptable danger that the trier of fact will have regarded the two acts as “intertwined” and have rested the conviction on both together. See 323 U. S., at 528-529, 540-541. There is no comparable hazard when the indictment or information is in several counts and the conviction is explicitly declared to rest on findings of guilt on certain of those counts,9 for in such instances there is positive evidence that the trier of fact considered each count on its own merits and separately from the others.
III.
We turn to considering whether appellant’s words could have been the sole cause of his conviction, or whether
The State argues that appellant’s words were at most used to establish his unlawful intent in burning the flag.10 However, after a careful examination of the comparatively brief trial record, we find ourselves unable to say with certainty that appellant’s words were not an independent cause of his conviction. While it is true that at trial greater emphasis was placed upon appellant’s
In the face of an information explicitly setting forth appellant’s words as an element of his alleged crime, and of appellant’s subsequent conviction under a statute making it an offense to speak words of that sort, we find this record insufficient to eliminate the possibility either that appellant’s words were the sole basis of his conviction or that appellant was convicted for both his words and his deed.
IV.
We come finally to the question whether, in the circumstances of this case, New York may constitutionally inflict criminal punishment upon one who ventures “publicly [to] defy ... or cast contempt upon [any American flag] by words . . . .”
The relevant evidence introduced at appellant’s trial, considered in the light most favorable to the State, must be taken to establish the following. At the time of his arrest, appellant was standing on a street corner and speaking to a small crowd; on the opposite corner lay the burning flag. Appellant said to the crowd: “We don’t need no damn flag”; and when questioned by a police officer appellant stated: “If they let that happen to Meredith we don’t need an American flag.” According to the officer, the crowds which gathered around appellant and around the flag did not obstruct the street or sidewalk and were neither unruly nor threatening.
In these circumstances, we can think of four governmental interests which might conceivably have been
In the circumstances of this case, we do not believe that any of these interests may constitutionally justify appellant’s conviction under § 1425, subd. 16, par. d, for speaking as he did. We begin with the interest in preventing incitement. Appellant’s words, taken alone, did not urge anyone to do anything unlawful. They amounted only to somewhat excited public advocacy of the idea that the United States should abandon, at least temporarily, one of its national symbols. It is clear that the Fourteenth Amendment prohibits the States from imposing criminal punishment for public advocacy of peaceful change in our institutions. See, e. g., Cox v. Louisiana (I), 379 U. S. 536, 546-552 (1965); Edwards v. South Carolina, 372 U. S. 229, 237-238 (1963); Terminiello v. Chicago, 337 U. S. 1, 4-5 (1949); cf. Yates v. United States, 354 U. S. 298, 318-319 (1957). Even assuming that appellant’s words might be found incitive when considered together with his simultaneous burning of the flag, § 1425, subd. 16, par. d, does not purport to punish only those defiant or contemptuous words which amount to incitement, and there is no evidence that the state courts regarded the statute as so limited. Hence, a conviction for words could not be upheld on this basis. See, e. g., Yates v. United States, supra; Terminiello v. Chicago, supra.
Again, such a conviction could not be sustained on the ground that appellant’s words were likely to shock passers-by. Except perhaps for appellant’s incidental use of the word “damn,” upon which no emphasis was placed at trial,11 any shock effect of appellant’s speech must be attributed to the content of the ideas expressed. It is firmly settled that under our Constitution the public expression of ideas may not be prohibited merely because the ideas are themselves offensive to some of their hearers. See, e. g., Cox v. Louisiana (I), supra; Edwards v. South Carolina, supra; Terminiello v. Chicago, supra; cf. Cantwell v. Connecticut, 310 U. S. 296 (1940). And even if such a conviction might be upheld on the ground of “shock,” there is again no indication that the state courts regarded the statute as limited to that purpose.
“The case is made difficult not because the principles of its decision are obscure but because the flag involved is our own. Nevertheless, we apply the limitations of the Constitution with no fear that freedom to be intellectually and spiritually diverse or even contrary will disintegrate the social organization. . . . [FJreedom to differ is not limited to things that do not matter much. That would be a mere shadow of freedom. The test of its substance is the right to differ as to things that touch the heart of the existing order.
“If there is any fixed star in our constitutional constellation, it is that no official, high or petty, can prescribe what shall be orthodox in politics, nationalism, religion, or other matters of opinion or force citizens to confess by word or act their faith therein. If there are any circumstances which permit an exception, they do not now occur to us.” Id., at 641-642. (Footnote omitted.)
We have no doubt that the constitutionally guaranteed “freedom to be intellectually . . . diverse or even contrary,” and the “right to differ as to things that touch the heart of the existing order,” encompass the freedom to express publicly one’s opinions about our flag, including those opinions which are defiant or contemptuous.
We add that disrespect for our flag is to be deplored no less in these vexed times than in calmer periods of our history. Cf. Halter v. Nebraska, 205 U. S. 34 (1907). Nevertheless, we are unable to sustain a conviction that may have rested on a form of expression, however distasteful, which the Constitution tolerates and protects.
For the reasons previously set forth, we reverse the judgment of the New York Court of Appeals and remand the case for further proceedings not inconsistent with this opinion.
It is so ordered.
N. Y. Penal Law § 1425, subd. 16, par. d (1909). In 1967 § 1425, subd. 16, was superseded by § 136 of the General Business Law, which in par. d defines the offense in identical language. See N. Y. Laws 1965, c. 1031, § 52.
Appellant was simultaneously tried for disorderly conduct in connection with the same events. He was acquitted of that offense.
At one stage of the proceedings in this Court, the State moved for dismissal on the ground that we lacked jurisdiction over this appeal because the case was moot. The State pointed out. that appellant received a suspended sentence, and that the one-year period within which the suspended sentence might have been replaced with a prison sentence under New York law had expired. It further asserted that there were no significant collateral consequences under
Only last Term, this Court held in Ginsberg v. New York, 390 U. S. 629, 633, n. 2 (1968), that the case of a New York appellant was not moot even though the time for revocation of his suspended sentence had expired, because it was possible that his license to operate a luncheonette might be withdrawn in consequence of his conviction. Here there is an actual rather than merely a potential threat that appellant will be deprived of his employment, albeit only temporarily. This Court also held last Term, in Sibron v. New York, 392 U. S. 40, 50-58 (1968), that the case of a New York appellant who had fully served his misdemeanor sentence was not moot because he apparently could not have brought his case to this Court before completion of his sentence and because the conviction could be used for impeachment and sentencing purposes in future criminal proceedings. Appellant Street similarly was unable, despite diligent prosecution of his appeals, to bring his case here within a year of his sentencing. He is subject to all of the collateral penalties to which Sibron was liable. Hence, both Ginsberg and Sibron dictate that this case is not moot.
Also, we are unable to read the opinion of the Court of Appeals as reading the “words” clause out of the statute and authoritatively construing it to reach only the act of flag burning, whether as a protest or otherwise.
See, e. g., Parker v. Illinois, 333 U. S. 571, 574 (1948); Carter v. Texas, 177 U. S. 442, 447 (1900); R. Robertson & F. Kirkham, Jurisdiction of the Supreme Court of the United States § 63, at 112 & n. 1 (R. Wolfson & P. Kurland ed. 1951), and other cases there cited.
At the time of appellant’s trial, § 420-a of the New York Code of Criminal Procedure provided that with respect to trial rulings other than jury instructions:
“An exception shall be deemed to have been taken by the party adversely affected to every ruling either before or after the cause is finally submitted, when such party, at the time when such ruling is sought or made, makes known to the court or judge his position thereon by objection or otherwise.”
We find unpersuasive the State’s argument that appellant’s omission to raise the question of the constitutionality of the “words” provision is shown by his failure at any stage to invoke the exclusionary rule of Miranda v. Arizona, 384 U. S. 436 (1966), with respect to the admission of his words into evidence. For the State concedes that appellant’s words were probative at least with respect to his unlawful intent in burning the flag, see Brief for Appellee 45-46, and appellant therefore would have had reason to invoke Miranda even had he believed the “words” part of the statute to be irrelevant.
There can be no doubt that the Court’s disposition in Thomas, including its decision to reverse the conviction and not simply to
See, e. g., Claassen v. United States, 142 U. S. 140 (1891); Pinkerton v. United States, 328 U. S. 640 (1946); Barenblatt v. United States, 360 U. S. 109 (1959).
The State also contends that appellant’s words could not have been a ground of conviction because they obviously were not spoken “publicly,” as required by § 1425, subd. 16, par. d. However, although appellant testified that he spoke solely to a police officer, the officer himself gave evidence from which the trial judge might have concluded that appellant’s remarks were made either to or within hearing of a small crowd. See supra, at 578-579. Moreover, the sworn information recited that appellant “shout[ed]” his words on a city street, thereby apparently satisfying the statutory requirement that the words be said “publicly.”
Nor do we think it impossible for the trial judge to have found that by his statements, “We don’t need no damn flag” and “If they let that happen to Meredith we don’t need an American flag,” appellant “def[ied] ... or cast contempt upon [an American flag] by words” in violation of § 1425, subd. 16, par. d.
The State admits that there was only a “single and casual reference to this statement at the trial . . . .” Brief for Appellee 45.