OCTOBER TERM, 2000
Syllabus
UNITED STATES ET AL.
v. UNITED FOODS, INC.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SIXTH
CIRCUIT
No. 00-276. Argued April 17, 200l-Decided June 25, 2001
The Mushroom Promotion, Research, and Consumer Information Act
mandates that fresh mushroom handlers pay assessments used
primarily to fund advertisements promoting mushroom sales.
Respondent refused to pay the assessment, claiming that it violates
the First Amendment. It filed a petition challenging the assessment
with the Secretary of Agriculture, and the United States filed an
enforcement action in the District Court. After the administrative
appeal was denied, respondent sought review in the District Court,
which consolidated the two cases. In granting the Government
summary judgment, the court found dispositive the decision in
Glickman v.
Wileman Brothers &
Elliott,
Inc., 521 U. S.
457, that the First Amendment was not violated when
agricultural marketing orders, as part of a larger regulatory
marketing scheme, required producers of California tree fruit to
pay assessments for product advertising. The Sixth Circuit
reversed, holding that
Glickman did not control because the
mandated payments in this case were not part of a comprehensive
statutory agricultural marketing program.
Held: The assessment requirement violates the First
Amendment.
Pp. 409-417.
(a) Even viewing the expression here as commercial speech, there
is no basis under
Glickman or this Court's other precedents
to sustain the assessments. The First Amendment may prevent the
government from,
inter alia, compelling individuals to pay
subsidies for speech to which they object. See
Abood v.
Detroit Bd. of Ed., 431 U. S. 209;
Keller v.
State Bar of Gal., 496 U. S. 1. Such
precedents provide the beginning point for analysis here.
Respondent wants to convey the message that its brand of mushrooms
is superior to those grown by other producers, and it objects to
being charged for a contrary message which seems to be favored by a
majority of producers. First Amendment values are at serious risk
if the government can compel a citizen or group of citizens to
subsidize speech on the side that it favors; and there is no
apparent principle distinguishing out of hand minor debates about
whether a branded mushroom is better than just any mushroom. Thus,
the compelled funding here must pass First Amendment scrutiny.
Pp.409-411.
406
(b) The program sustained in
Glickman differs from the
one at issue here in a fundamental respect: The mandated
assessments for speech in that case were ancillary to a more
comprehensive program restricting marketing autonomy. This Court
stressed in
Glickman that the entire regulatory program must
be considered in resolving a case. There, California tree fruits
were marketed under detailed marketing orders that had displaced
competition to such an extent that they had an antitrust exemption;
the Court presumed that the producers compelled to contribute funds
for cooperative advertising were bound together and required by
statute to market their products according to cooperative rules.
Those important features are not present here. Most of the funds at
issue are used for generic advertising; and there are no marketing
orders regulating mushroom production and sales, no antitrust
exemption, and nothing preventing individual producers from making
their own marketing decisions. Mushroom growers are not forced to
associate as a group that makes cooperative decisions. Although
respondent is required simply to support speech by others, not to
utter speech itself, that mandated support is contrary to the First
Amendment principles set forth in cases involving expression by
groups which include persons who object to the speech but,
nevertheless, must remain group members by law or necessity. See,
e. g., Abood, supra; Keller, supra. Properly applied,
Abood's rule protecting against compelled assessments for
some speech requires this scheme to be invalidated. Before
addressing whether a conflict with freedom of belief exists, the
threshold inquiry must be whether there is some state imposed
obligation making group membership less than voluntary; for it is
only the overriding associational purpose which allows any
compelled subsidy for speech in the first place. In
Abood,
Keller, and
Glickman, the objecting members were
required to associate for purposes other than the compelled
subsidies for speech. Here, however, the only program the
Government contends the assessments serve is the very advertising
scheme in question. Were it sufficient to say speech is germane to
itself,
Abood's and
Keller's limits would be empty of
meaning and significance. No corollary to
Glickman's
cooperative marketing structure exists here; the expression
respondent is required to support is not germane to an
association's purpose independent from the speech itself; and
Abood's rationale extends to the party who objects to the
compelled support for this speech. There is also no suggestion here
that the assessments are necessary to make voluntary advertisements
nonmisleading for consumers.
Zauderer v.
Office of
Disciplinary Counsel of Supreme Court of Ohio, 471 U. S. 626,
distinguished.
407
Because the Government did not raise in the Sixth Circuit its
theory that this case is permissible government speech, this Court
will not entertain that argument here. Pp.411-417.
197 F.3d
221, affirmed.
KENNEDY, J., delivered the opinion of the Court, in which
REHNQUIST, C. J., and STEVENS, SCALIA, SOUTER, and THOMAS, JJ.,
joined. STEVENS, J.,
post, p. 417, and THOMAS, J.,
post, p. 418, filed concurring opinions. BREYER, J., filed a
dissenting opinion, in which GINSBURG, J., joined, and in which
O'CONNOR, J., joined as to Parts I and III,
post, p.
419.
Barbara McDowell argued the cause for the United States. With
her on the brief were Acting Solicitor General Underwood, Acting
Assistant Attorney General Schiffer, Deputy Solicitor General
Kneedler, and Douglas N. Letter.
Laurence H. Tribe argued the cause for respondent.
With him on the brief were Thomas C. Goldstein and Bradley A.
MacLean. *
*Briefs of
amici curiae urging reversal were filed for
the State of California et al. by
Bill Lockyer, Attorney
General of California,
Richard M. Frank, Chief Assistant
Attorney General,
Mary E. Hackenbracht, Senior Assistant
Attorney General, and
Edna Walz, Deputy Attorney General,
and by the Attorneys General for their respective States as
follows:
Ken Salazar of Colorado,
M. Jane Brady of
Delaware,
Jennifer M. Granholm of Michigan,
Don
Stenberg of Nebraska,
Frankie Sue Del Papa of Nevada,
Betty D. Montgomery of Ohio,
D. Michael Fisher of
Pennsylvania, and
Christine Q Gregoire of Washington; for
the American Mushroom Institute et al. by
John G.
Roberts, Jr., David G.
Leitch, and
Richard T.
Rossier; and for the Western Mushroom Marketing Association et
al. by
Kendall L. Manock, Robert D. Wilkinson, and
Linda
Berg Othman.
Briefs of
amici curiae urging affirmance were filed for
the Center for Individual Freedom by
Erik S.
Jaffe
and
Renee Giachino; for the Coalition of Cotton Apparel
Importers by
Daniel M. Price; for the DKT Liberty Project by
Julia M. Carpenter; for Gerawan Farming, Inc., et al. by
Michael W McConnell and
Brian C.
Leighton; for
the Institute for Justice by
William H. Mellor, Clint
Bolick, and
Scott G.
Bullock; for the Washington
Legal Foundation by
Daniel J.
Popeo and
R. Shawn
Gunnarson; and for Jeanne Charter et al. by
Vernon E.
Woodward and
Lynn A. Hayes.
408
JUSTICE KENNEDY delivered the opinion of the Court. Four Terms
ago, in
Glickman v.
Wileman Brothers &
Elliott, Inc., 521 U. S. 457 (1997), the
Court rejected a First Amendment challenge to the constitutionality
of a series of agricultural marketing orders that, as part of a
larger regulatory marketing scheme, required producers of certain
California tree fruit to pay assessments for product advertising.
In this case a federal statute mandates assessments on handlers of
fresh mushrooms to fund advertising for the product. The Court of
Appeals for the Sixth Circuit determined the mandated payments were
not part of a more comprehensive statutory program for agricultural
marketing, thus dictating a different result than in
Glickman. It held the assessment requirement
unconstitutional, and we granted certiorari. 531 U. S. 1009
(2000).
The statute in question, enacted by Congress in 1990, is the
Mushroom Promotion, Research, and Consumer Information Act, 104
Stat. 3854, 7 U. S. C. § 6101
et seq. The Act authorizes the
Secretary of Agriculture to establish a Mushroom Council to pursue
the statute's goals. Mushroom producers and importers, as defined
by the statute, submit nominations from among their group to the
Secretary, who then designates the Council membership. 7 U. S. C.
§§ 6104(b) (l)(B), 6102(6), 6102(11). To fund its programs, the Act
allows the Council to impose mandatory assessments upon handlers of
fresh mushrooms in an amount not to exceed one cent per pound of
mushrooms produced or imported. § 6104(g)(2). The assessments can
be used for "projects of mushroom promotion, research, consumer
information, and industry information." § 6104(c)(4). It is
undisputed, though, that most moneys raised by the assessments are
spent for generic advertising to promote mushroom sales.
Respondent United Foods, Inc., is a large agricultural
enterprise based in Tennessee. It grows and distributes many crops
and products, including fresh mushrooms. In 1996 respondent refused
to pay its mandatory assessments under
409
the Act. The forced subsidy for generic advertising, it
contended, is a violation of the First Amendment. Respondent
challenged the assessments in a petition filed with the Secretary.
The United States filed an action in the United States District
Court for the Western District of Tennessee, seeking an order
compelling respondent to pay. Both matters were stayed pending this
Court's decision in
Glickman.
After
Glickman was decided, the Administrative Law Judge
dismissed respondent's petition, and the Judicial Officer of the
Department of Agriculture affirmed. Respondent sought review in
District Court, and its suit was consolidated with the Government's
enforcement action. The District Court, holding
Glickman
dispositive of the First Amendment challenge, granted the
Government's motion for summary judgment. App. to Pet. for Cert.
18a.
The Court of Appeals for the Sixth Circuit held this case is not
controlled by
Glickman and reversed the District Court.
197 F.3d
221 (1999). We agree with the Court of Appeals and now
affirm.
A quarter of a century ago, the Court held that commercial
speech, usually defined as speech that does no more than propose a
commercial transaction, is protected by the First Amendment.
Virginia Bd. of Pharmacy v.
Virginia Citizens Consumer
Council, Inc., 425 U. S. 748, 762
(1976). "The commercial marketplace, like other spheres of our
social and cultural life, provides a forum where ideas and
information flourish."
Edenfield v.
Fane, 507 U. S. 761, 767
(1993).
We have used standards for determining the validity of speech
regulations which accord less protection to commercial speech than
to other expression. See,
e. g., ibid.; Central Hudson Gas
&
Elec. Corp. v.
Public Servo Comm'n of N. Y.,
447 U. S. 557
(1980). That approach, in turn, has been subject to some criticism.
See,
e. g., Glickman, supra, at 504 (THOMAS, J.,
dissenting); J,J,
Liquormart, Inc. v.
Rhode Island,
517 U. S. 484,
518 (1996) (THOMAS, J., concurring in
410
part and concurring in judgment);
Rubin v.
Coors
Brewing Co.,
514
U. S. 476, 493 (1995) (STEVENS, J., concurring in judgment). We
need not enter into the controversy, for even viewing commercial
speech as entitled to lesser protection, we find no basis under
either
Glickman or our other precedents to sustain the
compelled assessments sought in this case. It should be noted,
moreover, that the Government itself does not rely upon
Central
Hudson to challenge the Court of Appeals' decision, Reply Brief
for Petitioners 9, n. 7, and we therefore do not consider whether
the Government's interest could be considered substantial for
purposes of the
Central Hudson test. The question is whether
the government may underwrite and sponsor speech with a certain
viewpoint using special subsidies exacted from a designated class
of persons, some of whom object to the idea being advanced.
Just as the First Amendment may prevent the government from
prohibiting speech, the Amendment may prevent the government from
compelling individuals to express certain views, see
Wooley
v.
Maynard, 430 U. S. 705, 714
(1977);
West Virginia Bd. of Ed. v.
Barnette,
319 U. S. 624
(1943), or from compelling certain individuals to pay subsidies for
speech to which they object. See
Abood v.
Detroit Bd. of
Ed., 431 U. S.
209 (1977);
Keller v.
State Bar of Cal., 496 U.
S. 1 (1990); see also
Glickman, supra, at 469, n. 13. Our
precedents concerning compelled contributions to speech provide the
beginning point for our analysis. The fact that the speech is in
aid of a commercial purpose does not deprive respondent of all
First Amendment protection, as held in the cases already cited. The
subject matter of the speech may be of interest to but a small
segment of the population; yet those whose business and livelihood
depend in some way upon the product involved no doubt deem First
Amendment protection to be just as important for them as it is for
other discrete, little noticed groups in a society which values the
freedom resulting from speech in all its diverse parts. First
411
Amendment concerns apply here because of the requirement that
producers subsidize speech with which they disagree.
"[T]he general rule is that the speaker and the audience, not
the government, assess the value of the information presented."
Edenfield, supra, at 767. There are some instances in which
compelled subsidies for speech contradict that constitutional
principle. Here the disagreement could be seen as minor: Respondent
wants to convey the message that its brand of mushrooms is superior
to those grown by other producers. It objects to being charged for
a message which seems to be favored by a majority of producers. The
message is that mushrooms are worth consuming whether or not they
are branded. First Amendment values are at serious risk if the
government can compel a particular citizen, or a discrete group of
citizens, to pay special subsidies for speech on the side that it
favors; and there is no apparent principle which distinguishes out
of hand minor debates about whether a branded mushroom is better
than just any mushroom. As a consequence, the compelled funding for
the advertising must pass First Amendment scrutiny.
In the Government's view the assessment in this case is
permitted by
Glickman because it is similar in important
respects. It imposes no restraint on the freedom of an objecting
party to communicate its own message; the program does not compel
an objecting party (here a corporate entity) itself to express
views it disfavors; and the mandated scheme does not compel the
expression of political or ideological views. See
Glickman,
521 U. S., at 469-470. These points were noted in
Glickman
in the context of a different type of regulatory scheme and are not
controlling of the outcome. The program sustained in
Glickman differs from the one under review in a most
fundamental respect. In
Glickman the mandated assessments
for speech were ancillary to a more comprehensive program
restricting marketing autonomy. Here, for all practical purposes,
the advertising itself,
412
far from being ancillary, is the principal object of the
regulatory scheme.
In
Glickman we stressed from the very outset that the
entire regulatory program must be considered in resolving the case.
In deciding that case we emphasized "the importance of the
statutory context in which it arises."
Id., at 469. The
California tree fruits were marketed "pursuant to detailed
marketing orders that ha[d] displaced many aspects of independent
business activity."
Id., at 469. Indeed, the marketing
orders "displaced competition" to such an extent that they were
"expressly exempted from the antitrust laws."
Id., at 461.
The market for the tree fruit regulated by the program was
characterized by "[c]ollective action, rather than the aggregate
consequences of independent competitive choices."
Ibid. The
producers of tree fruit who were compelled to contribute funds for
use in cooperative advertising "d[id] so as a part of a broader
collective enterprise in which their freedom to act independently
[wa]s already constrained by the regulatory scheme."
Id., at
469. The opinion and the analysis of the Court proceeded upon the
premise that the producers were bound together and required by the
statute to market their products according to cooperative rules. To
that extent, their mandated participation in an advertising program
with a particular message was the logical concomitant of a valid
scheme of economic regulation.
The features of the marketing scheme found important in
Glickman are not present in the case now before us. As
respondent notes, and as the Government does not contest, cf. Brief
for Petitioners 25, almost all of the funds collected under the
mandatory assessments are for one purpose: generic advertising.
Beyond the collection and disbursement of advertising funds, there
are no marketing orders that regulate how mushrooms may be produced
and sold, no exemption from the antitrust laws, and nothing
preventing individual producers from making their own marketing
decisions.
413
As the Court of Appeals recognized, there is no "heavy
regulation through marketing orders" in the mushroom market. 197 F.
3d, at 225. Mushroom producers are not forced to associate as a
group which makes cooperative decisions. "[T]he mushroom growing
business ... is unregulated, except for the enforcement of a
regional mushroom advertising program," and "the mushroom market
has not been collectivized, exempted from antitrust laws, subjected
to a uniform price, or otherwise subsidized through price supports
or restrictions on supply."
Id., at 222, 223.
It is true that the party who protests the assessment here is
required simply to support speech by others, not to utter the
speech itself. We conclude, however, that the mandated support is
contrary to the First Amendment principles set forth in cases
involving expression by groups which include persons who object to
the speech, but who, nevertheless, must remain members of the group
by law or necessity. See,
e. g.,
Abood v.
Detroit
Bd. of Ed., 431
U. S. 209 (1977);
Keller v.
State Bar of Gal.,
496 U. S. 1
(1990).
The Government claims that, despite the lack of cooperative
marketing, the
Abood rule protecting against compelled
assessments for some speech is inapplicable. We did say in
Glickman that
Abood "recognized a First Amendment
interest in not being compelled to contribute to an organization
whose expressive activities conflict with one's 'freedom of
belief.'" 521 U. S., at 471 (quoting
Abood, 431 U. S., at
235). We take further instruction, however, from
Abood's
statement that speech need not be characterized as political before
it receives First Amendment protection.
Id., at 232. A
proper application of the rule in
Abood requires us to
invalidate the instant statutory scheme. Before addressing whether
a conflict with freedom of belief exists, a threshold inquiry must
be whether there is some state imposed obligation which makes group
membership less than voluntary; for it is only the overriding
associational purpose which allows any compelled subsidy for speech
in the first place. In
414
Abood, the infringement upon First Amendment
associational rights worked by a union shop arrangement was
"constitutionally justified by the legislative assessment of the
important contribution of the union shop to the system of labor
relations established by Congress."
Id., at 222. To attain
the desired benefit of collective bargaining, union members and
nonmembers were required to associate with one another, and the
legitimate purposes of the group were furthered by the mandated
association.
A similar situation obtained in
Keller v.
State Bar of
Gal., supra. A state-mandated, integrated bar sought to ensure
that "all of the lawyers who derive benefit from the unique status
of being among those admitted to practice before the courts [were]
called upon to pay a fair share of the cost."
Id., at 12.
Lawyers could be required to pay moneys in support of activities
that were germane to the reason justifying the compelled
association in the first place, for example, expenditures
(including expenditures for speech) that related to "activities
connected with disciplining members of the Bar or proposing ethical
codes for the profession."
Id., at 16. Those who were
required to pay a subsidy for the speech of the association already
were required to associate for other purposes, making the compelled
contribution of moneys to pay for expressive activities a necessary
incident of a larger expenditure for an otherwise proper goal
requiring the cooperative activity. The central holding in
Keller, moreover, was that the objecting members were not
required to give speech subsidies for matters not germane to the
larger regulatory purpose which justified the required
association.
The situation was much the same in
Glickman. As noted
above, the market for tree fruit was cooperative. To proceed, the
statutory scheme used marketing orders that to a large extent
deprived producers of their ability to compete and replaced
competition with a regime of cooperation. The mandated cooperation
was judged by Congress to be necessary to maintain a stable market.
Given that producers
415
were bound together in the common venture, the imposition upon
their First Amendment rights caused by using compelled
contributions for germane advertising was, as in
Abood and
Keller, in furtherance of an otherwise legitimate program.
Though four Justices who join this opinion disagreed, the majority
of the Court in
Glickman found the compelled contributions
were nothing more than additional economic regulation, which did
not raise First Amendment concerns.
Glickman, 521 U. S., at
474; see
id., at 477 (SouTER, J., dissenting).
The statutory mechanism as it relates to handlers of mushrooms
is concededly different from the scheme in
Glickman; here
the statute does not require group action, save to generate the
very speech to which some handlers object. In contrast to the
program upheld in
Glickman, where the Government argued the
compelled contributions for advertising were "part of a far broader
regulatory system that does not principally concern speech," Reply
Brief for Petitioner, O. T. 1996, No. 95-1184, p. 4, there is no
broader regulatory system in place here. We have not upheld
compelled subsidies for speech in the context of a program where
the principal object is speech itself. Although greater regulation
of the mushroom market might have been implemented under the
Agricultural Marketing Agreement Act of 1937, 50 Stat. 246, 7 U. S.
C. § 601
et seq., the compelled contributions for
advertising are not part of some broader regulatory scheme. The
only program the Government contends the compelled contributions
serve is the very advertising scheme in question. Were it
sufficient to say speech is germane to itself, the limits observed
in
Abood and
Keller would be empty of meaning and
significance. The cooperative marketing structure relied upon by a
majority of the Court in
Glickman to sustain an ancillary
assessment finds no corollary here; the expression respondent is
required to support is not germane to a purpose related to an
association independent from the speech itself; and the rationale
of
Abood extends to the party
416
who objects to the compelled support for this speech. For these
and other reasons we have set forth, the assessments are not
permitted under the First Amendment.
Our conclusions are not inconsistent with the Court's decision
in
Zauderer v.
Office of Disciplinary Counsel of Supreme
Court of Ohio, 471 U. S. 626 (1985), a
case involving attempts by a State to prohibit certain voluntary
advertising by licensed attorneys. The Court invalidated the
restrictions in substantial part but did permit a rule requiring
that attorneys who advertised by their own choice and who referred
to contingent fees should disclose that clients might be liable for
costs. Noting that substantial numbers of potential clients might
be misled by omission of the explanation, the Court sustained the
requirement as consistent with the State's interest in "preventing
deception of consumers."
Id., at 651. There is no suggestion
in the case now before us that the mandatory assessments imposed to
require one group of private persons to pay for speech by others
are somehow necessary to make voluntary advertisements
nonmisleading for consumers.
The Government argues the advertising here is government speech,
and so immune from the scrutiny we would otherwise apply. As the
Government admits in a forthright manner, however, this argument
was "not raised or addressed" in the Court of Appeals. Brief for
Petitioners 32, n. 19. The Government, citing
Lebron v.
National Railroad Passenger Corporation, 513 U. S. 374 (1995),
suggests that the question is embraced within the question set
forth in the petition for certiorari. In
Lebron, the theory
presented by the petitioner in the brief on the merits was
addressed by the court whose judgment was being reviewed.
Id., at 379. Here, by contrast, it is undisputed that the
Court of Appeals did not mention the government speech theory now
put forward for our consideration.
The Government's failure to raise its argument in the Court of
Appeals deprived respondent of the ability to ad-
417
dress significant matters that might have been difficult points
for the Government. For example, although the Government asserts
that advertising is subject to approval by the Secretary of
Agriculture, respondent claims the approval is
pro forma.
This and other difficult issues would have to be addressed were the
program to be labeled, and sustained, as government speech.
We need not address the question, however. Although in some
instances we have allowed a respondent to defend a judgment on
grounds other than those pressed or passed upon below, see,
e.
g., United States v.
Estate of Romani, 523 U. S. 517,
526, n. 11 (1998), it is quite a different matter to allow a
petitioner to assert new substantive arguments attacking, rather
than defending, the judgment when those arguments were not pressed
in the court whose opinion we are reviewing, or at least passed
upon by it. Just this Term we declined an invitation by an
amicus to entertain new arguments to overturn a judgment,
see
Lopez v.
Davis, 531 U. S. 230, 244, n. 6
(2001), and we consider it the better course to decline a party's
suggestion for doing so in this case.
For the reasons we have discussed, the judgment of the Court of
Appeals is
Affirmed.
JUSTICE STEVENS, concurring.
JUSTICE BREYER has correctly noted that the program at issue in
this case, like that in
Glickman v.
Wileman Brothers
&
Elliott, Inc., 521 U. S. 457 (1997),
"does not compel speech itself; it compels the payment of money."
Post, at 425 (dissenting opinion). This fact suffices to
distinguish these compelled subsidies from the compelled speech in
cases like
West Virginia Bd. of Ed. v.
Barnette,
319 U. S. 624
(1943), and
Wooley v.
Maynard, 430 U. S. 705 (1977). It
does not follow, however, that the First Amendment is not
implicated when a person is forced to subsidize speech to which he
objects.
Keller v.
State Bar of Gal., 496 U. S. 1, 13-14
418
(1990). As we held in
Glickman, Keller, and a number of
other cases, such a compelled subsidy is permissible when it is
ancillary, or "germane," to a valid cooperative endeavor. The
incremental impact on the liberty of a person who has already
surrendered far greater liberty to the collective entity (either
voluntarily or as a result of permissible compulsion) does not, in
my judgment, raise a significant constitutional issue if it is
ancillary to the main purpose of the collective program.
This case, however, raises the open question whether such
compulsion is constitutional when nothing more than commercial
advertising is at stake. The naked imposition of such compulsion,
like a naked restraint on speech itself, seems quite different to
me. * We need not decide whether other interests, such as the
health or artistic concerns mentioned by JUSTICE BREYER,
post, at 428, might justify a compelled subsidy like this,
but surely the interest in making one entrepreneur finance
advertising for the benefit of his competitors, including some who
are not required to contribute, is insufficient.
JUSTICE THOMAS, concurring.
I agree with the Court that
Glickman v.
Wileman
Brothers &
Elliott, Inc., 521 U. S. 457 (1997), is
not controlling. I write separately, however, to reiterate my views
that "paying money for the purposes of advertising involves
speech," and that "compelling speech raises a First Amend-
*The Court has held that the First Amendment is implicated by
government regulation of contributions and expenditures for
political purposes.
Buckley v.
Valeo, 424 U. S. 1 (1976)
(per
curiam). Although it by no means follows that the reasoning in
such cases would apply to the regulation of expenditures for
advertising, I think it clear that government compulsion to finance
objectionable speech imposes a greater restraint on liberty than
government regulation of money used to subsidize the speech of
others. Even in the commercial speech context, I think it entirely
proper for the Court to rely on the First Amendment when evaluating
the significance of such compulsion.
419
ment issue just as much as restricting speech."
Id., at
504 (THOMAS, J., dissenting). Any regulation that compels the
funding of advertising must be subjected to the most stringent
First Amendment scrutiny.
JUSTICE BREYER, with whom JUSTICE GINSBURG joins, and with whom
JUSTICE O'CONNOR joins as to Parts I and III, dissenting.
The Court, in my view, disregards controlling precedent, fails
properly to analyze the strength of the relevant regulatory and
commercial speech interests, and introduces into First Amendment
law an unreasoned legal principle that may well pose an obstacle to
the development of beneficial forms of economic regulation. I
consequently dissent.
I
Only four years ago this Court considered a case very similar to
this one,
Glickman v.
Wileman Brothers &
Elliott, Inc.,
521 U. S. 457 (1997). The
issue there, like here, was whether the First Amendment prohibited
the Government from collecting a fee for collective product
advertising from an objecting grower of those products (nectarines,
peaches, and plums). We held that the collection of the fee did not
"rais[e] a First Amendment issue for us to resolve," but rather was
"simply a question of economic policy for Congress and the
Executive to resolve."
Id., at 468. We gave the following
reasons in support of our conclusion:
"First, the marketing orders impose no restraint on the freedom
of any producer to communicate any message to any audience. Second,
they do not compel any person to engage in any actual or symbolic
speech. Third, they do not compel the producers to endorse or to
finance any political or ideological views." Id., at
469470.
420
This case, although it involves mushrooms rather than fruit, is
identical in each of these three critical respects. No one,
including the Court, claims otherwise. And I believe these similar
characteristics demand a similar conclusion.
The Court sees an important difference in what it says is the
fact that
Wileman's fruit producers were subject to
regulation (presumably price and supply regulation) that "
'displaced competition,'" to the "extent that they were 'expressly
exempted from the antitrust laws.'"
Ante, at 412 (quoting
521 U. S., at 461). The mushroom producers here, it says, are not
"'subjected to a uniform price, ... restrictio[n] on supply,'"
ante, at 413 (quoting
197 F.3d
221, 222, 223 (CA6 1999)), or any other "common venture" that
"depriv[es]" them of the "ability to compete,"
ante, at 414.
And it characterizes this difference as "fundamental."
Ante,
at 411.
But the record indicates that the difference to which the Court
points could not have been critical. The Court in
Wileman
did not refer to the
presence of price or output
regulations. It referred to the fact that Congress had
"authorized" that kind of regulation. 521 U. S., at 462
(emphasis added). See also id., at 461 (citing agricultural
marketing statute while noting that marketing orders issued under
its authority
"may include" price and quantity controls
(emphasis added)). Both then-existing federal regulations and
JUSTICE SOUTER'S dissenting opinion make clear that, at least in
respect to some of
Wileman's marketing orders, price and
output regulations, while "authorized," were not, in fact, in
place. See 7 CFR pts. 916, 917 (1997) (setting forth container,
packaging, grade, and size regulations, but not price and output
regulations); 521 U. S., at 500, n. 13 (SOUTER, J., dissenting)
(noting that "the extent to which the Act eliminates competition
varies among different marketing orders"). In this case, just as in
Wileman, the Secretary of Agriculture is
authorized
to promulgate price and supply regulations. See
ante, at 415
("greater regula-
421
tion of the mushroom market might have been implemented under
the Agricultural Marketing Agreement Act of 1937"); 7 U. S. C. §§
608c(2), (6)(A), (7). But in neither case has she actually done so.
Perhaps that is why the Court in
Wileman did not rely
heavily upon the existence of the Secretary's authority to regulate
prices or output. See 521 U. S., at 469 (noting statutory scheme in
passing).
Regardless, it is difficult to understand why the presence or
absence of price and output regulations could make a critical First
Amendment difference. The Court says that collective fruit
advertising (unlike mushroom advertising) was the "logical
concomitant" of the more comprehensive "economic" regulatory
"scheme."
Ante, at 412. But it does not explain how that
could be so. Producer price-fixing schemes seek to keep prices
higher than market conditions might otherwise dictate, as do
restrictions on supply. Antitrust exemptions are a "logical
concomitant," for otherwise the price or output agreement might be
held unlawful. But collective advertising has no obvious comparable
connection. As far as
Wileman or the record here suggests,
collective advertising might, or might not, help bring about prices
higher than market conditions would otherwise dictate. Certainly
nothing in
Wileman suggests the contrary. Cf. 521 U. S., at
477 (SOUTER, J., dissenting) (criticizing the Court for not
requiring advertising program to be "reasonably necessary to
implement the regulation").
By contrast, the advertising here relates directly, not in an
incidental or subsidiary manner, to the regulatory program's
underlying goal of "maintain[ing] and expand[ing] existing markets
and uses for mushrooms." 7 U. S. C. § 6101(b)(2). As the Mushroom
Act's economic goals indicate, collective promotion and research is
a perfectly traditional form of government intervention in the
marketplace. Promotion may help to overcome inaccurate consumer
perceptions about a product. See Hearings on H. R. 1776 et al.
before the Subcommittee on Domestic Marketing, Consumer
Relations,
422
and Nutrition of the House Committee on Agriculture, 101st
Cong., 1st Sess., 99 (1989) (hereinafter Hearings) (statement of
Rep. Grant) (noting need to overcome consumer fears about safety of
eating mushrooms and that per capita mushroom consumption in Canada
was twice that of United States). Overcoming those perceptions will
sometimes bring special public benefits. See 7 U. S. C. §§
6101(a)(1)-(3) (mushrooms are "valuable part of the human diet,"
and their production "benefits the environment"). And compelled
payment may be needed to produce those benefits where, otherwise,
some producers would take a free ride on the expenditures of
others. See Hearings 95-96 (statement of James Ciarrocchi) ("The
... industry has embarked on several voluntary promotion campaigns
over the years .... [A] lesson from everyone ... has been
unreliability, inefficiency, and inequities of voluntary
participation").
Compared with traditional "command and control," price, or
output regulation, this kind of regulation-which relies upon
self-regulation through industry trade associations and upon the
dissemination of information-is more consistent, not less
consistent, with producer choice. It is difficult to see why a
Constitution that seeks to protect individual freedom would
consider the absence of "heavy regulation,"
ante, at 413, to
amount to a special, determinative reason for refusing to permit
this less intrusive program. If the Court classifies the former,
more comprehensive regulatory scheme as "economic regulation" for
First Amendment purposes, it should similarly classify the latter,
which does not differ significantly but for the comparatively
greater degree of freedom that it allows.
The Court invokes in support of its conclusion other First
Amendment precedent, namely,
Abood v.
Detroit Bd. of
Ed., 431 U. S.
209 (1977),
Keller v.
State Bar of Gal., 496 U. S. 1 (1990), West
Virginia Bd. of Ed. v.
Barnette, 319 U. S. 624 (1943), and
Wooley v.
Maynard, 430 U. S. 705 (1977). But
those cases are very different. The first two,
Abood and
423
Keller, involved compelled contributions by employees to
trade unions and by lawyers to state bar associations,
respectively. This Court held that the compelled contributions were
unlawful (1) to the extent that they helped fund subsidiary
activities of the organization, i.
e., activities
other
than those that legally justified a compelled contribution; and
(2) because the subsidiary activities in question were political
activities that might "conflict with one's 'freedom of belief.'''
Wileman, supra, at 471 (quoting
Abood, supra, at
235). See
Keller, supra, at 15 (communications involving
abortion, prayer in the public schools, and gun control);
Abood,
supra, at 213 (communications involving politics and
religion).
By contrast, the funded activities here, like identical
activities in
Wileman, do
not involve this kind of
expression. In
Wileman we described the messages at issue as
incapable of "engender[ing] any crisis of conscience" and the
producers' objections as "trivial." 521 U. S., at 471, 472. The
messages here are indistinguishable. Compare Brief for Respondent
10-11 (objecting to advertising because it treats branded and
unbranded mushrooms alike, associates mushrooms "with the
consumption of alcohol and ... tout[s] mushrooms as an
aphrodisiac") with
Wileman, supra, at 467, n. 10 (dismissing
objections to advertising that suggested "'all varieties of
California fruit to be of equal quality,'" and included "'sexually
subliminal messages as evidenced by an ad depicting a young girl in
a wet bathing suit''') (quoting District Court opinion). See also
Appendix,
infra. The compelled contribution here relates
directly to the regulatory program's basic goal.
Neither does this case resemble either
Barnette or
Wooley.
Barnette involved compelling children, contrary to their
conscience, to salute the American flag. 319 U. S., at 632.
Wooley involved compelling motorists, contrary to their
conscience, to display license plates bearing the State's message
"Live Free or Die." 430 U. S., at 707. In
Wileman
424
we found
Barnette and
Wooley, and
all of
"our compelled speech case law ... clearly inapplicable" to
compelled financial support of generic advertising. 521 U. S., at
470. See also
Zauderer v.
Office of Disciplinary Counsel
of Supreme Court of Ohio, 471 U. S. 626, 651 (1985)
(refusing to apply
Wooley and
Barnette in a
commercial context where "the interests at stake in this case are
not of the same order"). We explained:
"The use of assessments to pay for advertising does not require
respondents to repeat an objectionable message out of their own
mouths, cf. West Virginia Bd. of Ed. v. Barnette,
319 U. S. 624,
632 (1943), require them to use their own property to convey an
antagonistic ideological message, cf. Wooley v.
Maynard, 430
U. S. 705 (1977); Pacific Gas & Elec. Co. v.
Public Util. Comm'n ofCal., 475 U. S. 1, 18 (1986)
(plurality opinion), force them to respond to a hostile message
when they 'would prefer to remain silent,' see ibid., or
require them to be publicly identified or associated with another's
message, cf. PruneYard Shopping Center v. Robins,
447 U. S. 74, 88
(1980). Respondents are ... merely required to make contributions
for advertising." Wileman, supra, at 470-471.
These statements are no less applicable to the present case. How
can the Court today base its holding on
Barnette, Wooley,
Abood, and
Keller-the very same cases that we expressly
distinguished in
Wileman?
II
Nearly every human action that the law affects, and virtually
all governmental activity, involves speech. For First Amendment
purposes this Court has distinguished among contexts in which
speech activity might arise, applying special speech-protective
rules and presumptions in some of those areas, but not in others.
See,
e. g., Board of Regents
425
of Univ. of Wis. System v.
Southworth, 529 U. S. 217, 229 (2000)
(indicating that less restrictive rules apply to governmental
speech);
Central Hudson Gas &
Elec. Corp. v.
Public Servo Comm'n of N.
Y., 447 U. S. 557, 564 (1980)
(commercial speech subject to "mid-level" scrutiny);
Pickering v.
Board of Ed. of Township High School Dist.
205, Will Cty., 391 U. S. 563, 568 (1968) (applying special
rules applicable to speech of government employees). Were the Court
not to do so-were it to apply the strictest level of scrutiny in
every area of speech touched by law-it would, at a minimum, create
through its First Amendment analysis a serious obstacle to the
operation of well-established, legislatively created, regulatory
programs, thereby seriously hindering the operation of that
democratic self-government that the Constitution seeks to create
and to protect. Cf. Post, The Constitutional Status of Commercial
Speech, 48 UCLA L. Rev. 1, 9-10 (2000).
That, I believe, is why it is important to understand that the
regulatory program before us is a "species of economic regulation,"
Wileman, 521 U. S., at 477, which does not "warrant special
First Amendment scrutiny," id., at 474. Irrespective of
Wileman I would so characterize the program for three
reasons.
First, the program does not significantly interfere with
protected speech interests. It does not compel speech itself; it
compels the payment of money. Money and speech are not identical.
Cf.
Nixon v.
Shrink Missouri Government PAC,
528 U. S. 377, 388-389
(2000); id., at 398 (STEVENS, J., concurring) ("Money is property;
it is not speech"); id., at 400 (BREYER, J., concurring) ("[A]
decision to contribute money to a campaign is a matter of First
Amendment concern-not because money
is speech (it is not);
but because it
enables speech"). Indeed, the contested
requirementthat individual producers make a payment to help achieve
a governmental objective-resembles a targeted tax. See
Southworth, 529 U. S., at 241 (SOUTER, J., joined by
STEVENS
426
and BREYER, JJ., concurring in judgment) ("[T]he university fee
at issue is a tax"). And the "government, as a general rule, may
support valid programs and policies by taxes or other exactions
binding on protesting parties."
Id., at 229 (majority
opinion). Cf.
Regan v.
Taxation With Representation of
Wash., 461 U. S.
540, 547 (1983) ("Legislatures have especially broad latitude
in creating classifications and distinctions in tax statutes").
Second, this program furthers, rather than hinders, the basic
First Amendment "commercial speech" objective. The speech at issue
amounts to ordinary product promotion within the commercial
marketplace-an arena typically characterized both by the need for a
degree of public supervision and the absence of a special
democratic need to protect the channels of public debate, i.
e., the communicative process itself. Cf. Post,
supra, at 14-15. No one here claims that the mushroom
producers are restrained from contributing to a public debate,
moving public opinion, writing literature, creating art, invoking
the processes of democratic selfgovernment, or doing anything else
more central to the First Amendment's concern with democratic
self-government.
When purely commercial speech is at issue, the Court has
described the First Amendment's basic objective as protection of
the consumer's interest in the free flow of truthful commercial
information. See,
e. g., Edenfield v.
Fane, 507 U. S. 761, 766 (1993)
("First Amendment coverage of commercial speech is designed to
safeguard" society's "interes[t] in broad access to complete and
accurate commercial information");
Zauderer, supra, at 651
("[T]he extension of First Amendment protection to commercial
speech is justified principally by the value to consumers of the
information");
Central Hudson, supra, at 563 ("The First
Amendment's concern for commercial speech is based on the
informational function of advertising");
First Nat. Bank of
Boston v.
Bellotti, 435 U. S. 765, 783 (1978)
("A commercial advertisement is constitutionally protected not so
much
427
because it pertains to the seller's business as because it
furthers the societal interest in the 'free flow of commercial
information''') (quoting
Virginia Bd. of Pharmacy v.
Virginia Citizens Consumer Council, Inc., 425 U. S. 748, 764
(1976)). Unlike many of the commercial speech restrictions this
Court has previously addressed, the program before us promotes the
dissemination of truthful information to consumers. And to sustain
the objecting producer's constitutional claim will likely make less
information, not more information, available. Perhaps that is why
this Court has not previously applied "compelled speech" doctrine
to strike down laws requiring provision of additional commercial
speech.
Third, there is no special risk of other forms of speechrelated
harm. As I have previously pointed out, and
Wileman held,
there is no risk of significant harm to an individual's conscience.
Supra, at 423-424. The program does not censor producer
views unrelated to its basic regulatory justification.
Supra, at 420-421. And there is little risk of harming any
"discrete, little noticed grou[p]."
Ante, at 410. The Act
excludes small producers, 7 U. S. C. §§ 6102(6), (11) (exempting
those who import or produce less than 500,000 pounds of mushrooms
annually)-unlike respondent, a large, influential corporation. The
Act contains methods for implementing its requirements
democratically. See §§ 6104(b) (l)(B), (g)(2) (Mushroom Council,
which sets assessment rate, is composed entirely of industry
representatives); §§ 6105(a), (b) (referendum required before
Secretary of Agriculture's order can go into effect and five years
thereafter, and producers may request additional referenda). And
the Act provides for supervision by the Secretary. § 6104(d)(3)
(requiring Secretary to approve all advertising programs). See also
Wileman, 521 U. S., at 477 (refusing to upset "the judgment
of the majority of market participants, bureaucrats, and
legislators who have concluded that [collective advertising]
programs are beneficial"). These safeguards protect
428
against abuse of the program, such as "making one entrepreneur
finance advertising for the benefit of his competitors."
Ante, at 418 (STEVENS, J., concurring). Indeed, there is no
indication here that the generic advertising promotes some brands
but not others. And any "debat[eJ" about branded versus nonbranded
mushrooms,
ante, at 411 (majority opinion), is identical to
that in
Wileman. Supra, at 423-424.
Taken together, these circumstances lead me to classify this
common example of government intervention in the marketplace as
involving a form of economic regulation, not "commercial speech,"
for purposes of applying First Amendment presumptions. And seen as
such, I cannot find the program lacks sufficient justification to
survive constitutional scrutiny.
Wileman, supra, at
476-477.
The Court, in applying stricter First Amendment standards and
finding them violated, sets an unfortunate precedent. That
precedent suggests, perhaps requires, striking down any similar
program that, for example, would require tobacco companies to
contribute to an industry fund for advertising the harms of smoking
or would use a portion of museum entry charges for a citywide
campaign to promote the value of art. Moreover, because of its
uncertainty as to how much governmental involvement will produce a
form of immunity under the "government speech" doctrine, see
ante, at 417, the Court infects more traditional regulatory
requirements-those related, say, to warranties or to health or
safety information-with constitutional doubt.
Alternatively, the Court's unreasoned distinction between
heavily regulated and less heavily regulated speakers could lead to
less First Amendment protection in that it would deprive the former
of protection. But see
Consolidated Edison Co. of N.
Y. v.
Public Servo Comm'n of N.
Y., 447 U. S. 530, 534, n. 1
(1980) (Even "heavily regulated businesses may enjoy constitutional
protection") (citing, as an example,
Virginia Bd. of Pharmacy,
supra, at 763-765).
429
At a minimum, the holding here, when contrasted with that in
Wileman, creates an incentive to increase the Government's
involvement in any information-based regulatory program, thereby
unnecessarily increasing the degree of that program's
restrictiveness. I do not believe the First Amendment seeks to
limit the Government's economic regulatory choices in this way-any
more than does the Due Process Clause. Cf.
Lochner v.
New
York, 198 U. S.
45 (1905).
III
Even if I were to classify the speech at issue here as
"commercial speech" and apply the somewhat more stringent standard
set forth in the Court's commercial speech cases, I would reach the
same result. That standard permits restrictions where they
"directly advance" a "substantial" government interest that could
not "be served as well by a more limited restriction."
Central
Hudson, 447 U. S., at 564. I have already explained why I
believe the Government interest here is substantial, at least when
compared with many typical regulatory goals.
Supra, at 422.
It remains to consider whether the restrictions are needed to
advance its objective.
Several features of the program indicate that its speechrelated
aspects, i.
e., its compelled monetary contributions, are
necessary and proportionate to the legitimate promotional goals
that it seeks. At the legislative hearings that led to enactment of
the Act, industry representatives made clear that pre-existing
efforts that relied upon voluntary contributions had not worked.
Thus, compelled contributions may be necessary to maintain a
collective advertising program in that rational producers would
otherwise take a free ride on the expenditures of others. See
ibid.; Abood, 431 U. S., at 222 (relying upon "free rider"
justification in union context).
430
At the same time, those features of the program that led
Wileman's dissenters to find its program disproportionately
restrictive are absent here.
Wileman's statutory scheme
covered various different agricultural commodities and imposed a
patchwork of geographically based limitations while "prohibit[ing]
orders of national scope" -all for no apparent reason. 521 U. S.,
at 499 (SOUTER, J., dissenting). The law at issue here, however,
applies only to mushrooms, and says explicitly that "[a]ny"
mushroom order "shall be national in scope." 7 U. S. C. § 6103(a).
Cf.
Wileman, supra, at 493 (SOUTER, J., dissenting) ("[I]f
the Government were to attack these problems across an interstate
market for a given agricultural commodity or group of them, the
substantiality of the national interest would not be open to
apparent question ... ").
Nor has the Government relied upon "[m]ere speculation" about
the effect of the advertising.
Wileman, supra, at 501
(SOUTER, J., dissenting). Rather, it has provided empirical
evidence demonstrating the program's effect. See Food Marketing
& Economics Group, Mushroom Council Program Effectiveness
Review, 1999, p. 6 (Feb. 2000), lodging for United States
(available in Clerk of Court's case file) (finding that "for every
million dollars spent by the Mushroom Council ... the growth rate
[of mushroom sales] increases by 2.1%"). In consequence, whatever
harm the program may cause First Amendment interests is
proportionate. Cf.
Bartnicki v.
Vopper, 532 U. S. 514, 535 (2001)
(BREYER, J., concurring).
The Court's decision converts "a question of economic policy for
Congress and the Executive" into a "First Amendment issue,"
contrary to
Wileman. 521 U. S., at 468 (internal quotation
marks and citation omitted). Nor can its holding find support in
basic First Amendment principles.
For these reasons, I dissent.
[Appendix to opinion of BREYER, J., follows this page.]
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