CORDY, J.
This case concerns the constitutionality of G. L. c. 56, § 42 (§ 42), which criminalizes certain false statements about political candidates or questions submitted to voters.
1. Background. In October, 2014, Jobs First Independent Expenditure Political Action Committee (PAC) published and distributed brochures urging voters to vote against Brian Mannal, the incumbent candidate for State Representative for the Second Barnstable District. In the brochures, the PAC made several statements about Mannal, including the following:
On October 21, 2014, approximately two weeks prior to the general election, Mannal responded by filing an application for a criminal complaint in the Barnstable Division of the District Court Department against Lucas, the PAC's chairwoman and treasurer. In the application, Mannal alleged that Lucas published knowingly false statements designed to defeat Mannal's candidacy in violation of § 42. Mannal held a press conference announcing the filing and published a media advisory further detailing the reasons for the criminal complaint against Lucas and suggesting that the brochures "could put her behind bars."
On October 27, 2014, Lucas filed a motion to dismiss the application on the ground that § 42 is an unconstitutional restraint on free speech. A probable cause hearing was scheduled for November 20, 2014 — approximately two weeks after the general election. Mannal won reelection by a margin of 205 votes. After the election, Lucas and the PAC filed an emergency motion for a preliminary injunction in the United States District Court for the District of Massachusetts seeking to have the probable cause hearing stayed and § 42 declared unconstitutional. At the preliminary injunction hearing, the PAC presented evidence that it had refrained from airing a radio advertisement as a result of Mannal's application and that it would continue to refrain from certain political advocacy until the constitutionality and scope of § 42 were clarified.
After a transfer of venue in the State criminal proceedings, a probable cause hearing was held in the Falmouth Division of the
2. Discussion. a. Threshold questions. The Commonwealth argues that we should decline to address the constitutionality of § 42 in this case.
Alternatively, the Commonwealth argues that we should dismiss the complaint against Lucas on statutory, rather than constitutional, grounds because the statements at issue were opinions outside the scope of § 42. See Cole v. Westinghouse Broadcasting Co., 386 Mass. 303, 312, cert. denied, 459 U.S. 1037 (1982) (opinions could not be proved false and therefore were not actionable as libel); Aldrich v. Boyle, 328 Mass. 30, 32 (1951) (political advertisement was "customary type of hortatory appeal commonly made to voters at election time" and not actionable). The Commonwealth recites the familiar rule that we decline to consider the constitutionality of a statute that does not criminalize a defendant's conduct. See, e.g., Commonwealth v. Robertson, 467 Mass. 371, 381 (2014). Yet, in some contexts, resolving a case on narrower grounds may serve to perpetuate the chilling of
Citizens United v. Federal Election Comm'n, 558 U.S. 310, 334 (2010), quoting Federal Election Comm'n v. Wisconsin Right To Life, Inc., 551 U.S. 449, 462 (2007).
These observations have substantial force here. Assuming, arguendo, that § 42 proscribes only statements of fact as opposed to opinion and the statements at issue constituted opinion, a political candidate was nonetheless able to use those statements as the basis for an application for a criminal complaint (and ultimately for its issuance). The candidate then used the application as a political tool not only to discredit the statements but also to persuade the PAC to refrain from airing a political advertisement shortly before the election. Although Lucas filed a motion to dismiss the application, Mannal already had won the election by a narrow margin by the time of the probable cause hearing. Thus, even if the application had been dismissed, the damage was already done. See 281 Care Comm. v. Arneson, 766 F.3d 774, 790 & n.12 (8th Cir. 2014), cert. denied, 135 S.Ct. 1550 (2015) ("State has constructed a process that allows its enforcement mechanisms to be used to extract a cost from those seeking to speak out on elections, right at the most crucial time for that particular type
Importantly, this precise scenario is capable of repetition yet constantly evading review on the Commonwealth's theory that § 42 does not apply to the particular facts of a given case. This is so because anyone may initiate a complaint under § 42 and, in so doing, create lingering uncertainties of a criminal investigation and chill political speech by virtue of the process itself. See United States v. Alvarez, 132 S.Ct. 2537, 2553 (2012) (Breyer, J., concurring) ("threat of criminal prosecution for making a false statement can inhibit the speaker from making true statements, thereby `chilling' a kind of speech that lies at the First Amendment's heart"). See also Susan B. Anthony List v. Driehaus, 134 S.Ct. 2334, 2347 (2014) (political organization had standing to challenge constitutionality of statute criminalizing false campaign speech). Because "a statute which chills speech can and must be invalidated where its facial invalidity has been demonstrated," Citizens United, 558 U.S. at 336, we decline to dismiss this case on statutory grounds without first considering whether the statute is, in fact, constitutional.
b. Constitutionality of § 42. i. Protection of political speech. Our constitutional system "presupposes that right conclusions are more likely to be gathered out of a multitude of tongues, than through any kind of authoritative selection. To many this is, and always will be, folly; but we have staked upon it our all." New York Times Co. v. Sullivan, 376 U.S. 254, 270 (1964), quoting United States v. Associated Press, 52 F.Supp. 362, 372 (S.D.N.Y. 1943).
Yet, the fact that "speech is used as a tool for political ends does not automatically bring it under the protective mantle of the Constitution." Garrison v. Louisiana, 379 U.S. 64, 75 (1964). Statements made during the fervor of a political campaign may fall within those "well-defined and narrowly limited classes of speech, the prevention and punishment of which have never been thought to raise any Constitutional problem."
The Commonwealth's interest in preventing and punishing election fraud remains relevant to the inquiry into the statute's constitutionality. See Schaumburg v. Citizens for a Better Env't, 444 U.S. 620, 637 (1980). But any legitimate interest in preventing electoral fraud must be done by narrowly drawn laws designed
The Commonwealth's attempt to shoehorn § 42 into the exception for defamatory speech is similarly flawed. "To prevail on a
Finding no historical exception into which § 42 may comfortably fit, we next consider whether the statute imposes a restraint on the content of protected speech. "A statute is content neutral only if `it is justified without reference to the content of the regulated speech.'" Opinion of the Justices, 436 Mass. 1201, 1206 (2002), quoting Ward v. Rock Against Racism, 491 U.S. 781, 791 (1989). Section 42 proscribes false statements whose content is designed to affect candidates and ballot issues. Because the "applicability of the [statute's] requirements can only be determined by reviewing the contents of the proposed expression, the [statute] is a content-based regulation of speech." Opinion of the Justices, 436 Mass. at 1206. Accordingly, § 42 is presumptively invalid and the Commonwealth bears the heavy burden of establishing its constitutionality. See Mendoza, 444 Mass. at 197 n.12.
ii. Level of scrutiny. The parties dispute the level of constitutional scrutiny that we should apply to § 42. Lucas argues that strict scrutiny is appropriate because the statute regulates the content of protected speech. See, e.g., United States v. Playboy Entertainment Group, Inc., 529 U.S. 803, 814 (2000) ("As we
In Alvarez, six justices of the Supreme Court agreed that the Stolen Valor Act, which made it a crime to claim falsely receipt of the Congressional Medal of Honor, violated the First Amendment. Alvarez, supra at 2543, 2551. The justices did not agree, however, as to the appropriate level of constitutional scrutiny. A plurality of four justices concluded that because the statute regulated the content of protected speech, it was subject to the "most exacting scrutiny." Id. at 2548, quoting Turner Broadcasting Sys., Inc. v. Federal Communications Comm'n, 512 U.S. 622, 642 (1994). In contrast, the two concurring justices concluded that the more flexible intermediate level of scrutiny was appropriate because the statute did not encroach on a subject matter that traditionally has called for strict scrutiny. Id. at 2552. In light of this reasoning, we find it doubtful that the concurring opinion of two justices in Alvarez abrogated the well-established line of First Amendment precedent holding that content-based restrictions of political speech must withstand strict scrutiny. Accord 281 Care
In any event, we need not enter that fray because, under our Declaration of Rights, the applicable standard for content-based restrictions on political speech is clearly strict scrutiny. See Bachrach v. Secretary of the Commonwealth, 382 Mass. 268, 276 (1981) ("As a substantial restriction of political expression and association . . . the legislation at bar should attract `strict scrutiny' "). See also First Nat'l Bank v. Attorney Gen., 362 Mass. 570, 587 (1972) ("Legislature has the power to regulate elections in order to prevent bribery, fraud and corruption to the end that the people's right to vote may be protected. . . . But such regulation must be narrowly drawn to meet the precise evil sought to be curbed"). See generally Roman v. Trustees of Tufts College, 461 Mass. 707, 713 (2012), quoting Batchelder v. Allied Stores Int'l, Inc., 388 Mass. 83, 89 n.8 (1983), S.C., 393 Mass. 819 (1985) ("we have rejected the assertion that art. 16 can `extend no further than the comparable provisions of the First Amendment' "). "We adhere to the principle that this court will exercise its independent judgment to uphold the cherished protections of the Declaration of Rights as a matter of State constitutional law." Mendoza, 444 Mass. at 201. Accordingly, we now turn to whether
iii. Scrutiny under art. 16. In order for § 42 to withstand strict scrutiny, the government must establish that the statute is both "necessary to serve a compelling state interest and . . . narrowly drawn to achieve that end." Opinion of the Justices, 436 Mass. at 1206, quoting Simon & Schuster, Inc. v. New York Crime Victims Bd., 502 U.S. 105, 118 (1991).
In this case, such skepticism is well founded, as the Commonwealth has not established that § 42 actually is necessary to serve the compelling interest of fair and free elections. Suppose, for example, that a candidate makes the following false statement at a preelection debate: "I received the Congressional Medal of Honor." This constitutes (1) a false statement, (2) made about a candidate, (3) designed to aid that candidate win an election, and therefore a crime pursuant to § 42. Such a result raises serious doubts about the constitutionality of § 42 in light of Alvarez, 132 S. Ct. at 2551 (striking down on First Amendment grounds Federal
Courts in other jurisdictions have applied this same principle to conclude that statutes broadly suppressing false statements about candidates or ballot questions cannot withstand strict scrutiny for the simple reason that "[o]ur constitutional election system already contains the solution to the problem that [such statutes are] meant to address." Rickert v. Public Disclosure Comm'n, 161 Wn.2d 843, 855 (2007) (en banc). That solution is counterspeech. See id. (" In a political campaign, a candidate's factual blunder is unlikely to escape the notice of, and correction by, the erring candidate's political opponent" [quotations and citations omitted]); 281 Care Comm., 766 F.3d at 793 ("Especially as to political speech, counterspeech is the tried and true buffer and elixir"). Governmental efforts to supplant political counterspeech with the specter of incarceration date back to the earliest years of our constitutional democracy. The Sedition Act of 1798, c. 74, 1 Stat. 596, enacted by Congress just seven years after the ratification of the First Amendment, made it a crime to "knowingly and willingly assist or aid in writing, printing, uttering or publishing any false, scandalous and malicious writing or writings against the government of the United States. . . with intent to defame the said government . . . or to bring [it] . . . into contempt or disrepute." Id. at § 2. In 1799, the Legislature issued a declaration of support for the Sedition Act. Jenkins, The Sedition Act of 1798 and the Incorporation of Seditious Libel into First Amendment Jurisprudence, 45 Am. J. Legal Hist. 154, 172 (2001). In the election of 1800, however, the unconstitutionality of the Sedition Act was a prominent theme in Thomas Jefferson's successful campaign for the presidency. See Amar, The Bill of Rights as a Constitution, 100 Yale L.J. 1131, 1149-1150 (1991). As the Supreme Court has observed, history has proven Jefferson right. See New York Times Co., 376 U.S. at 274-276. The fabric of jurisprudence woven across the years following the passage of the Sedition Act and, indeed, § 42 has illustrated vividly that the importance of preserving "the freedom to think for ourselves," Citizens United, 558 U.S. at 356, must be elevated over even those well-intentioned laws that have the effect of "censoring pure speech or speakers in order to `improve the quality' or `increase the fairness' of public debate." Bachrach, 382 Mass. at 281, quoting Cox, The Supreme Court 1979 Term Forward: Freedom
The Commonwealth attempts to distinguish these principles with the rather remarkable argument that the election context gives the government broader authority to restrict speech. The opposite is true. See, e.g., Weld for Governor v. Director of the Office of Campaign & Political Fin., 407 Mass. 761, 769 (1990), quoting Buckley v. Valeo, 424 U.S. 1, 15 (1976) ("First Amendment rights of speech and association have their `fullest and most urgent application precisely to the conduct of campaigns for political office' "); Anderson, 376 Mass. at 191 n.14 ("open discussion of political candidates and elections is basic First Amendment material. Government domination of the expression of ideas is repugnant to our system of constitutional government"). See also Meyer v. Grant, 486 U.S. 414, 425 (1988) ("the speech at issue is `at the core of our electoral process and of the First Amendment freedoms,' . . . an area of public policy where protection of robust discussion is at its zenith" [citation omitted]). Thus, in Commonwealth v. Dennis, 368 Mass. 92, 92 (1975), we struck down a similar statute, G. L. c. 56, § 41, which made it a crime to distribute anonymous pamphlets "designed to aid or to defeat any candidate for nomination or election to any public office or any question submitted to the voters." We observed that there was "significant authority that a disclosure requirement relating to election pamphlets cannot survive a First Amendment challenge," Dennis, supra at 98, notwithstanding the government's constitutional interest in ensuring fair and free elections. See art. 9.
Equally remarkable is the Commonwealth's reliance on the Citizens United case to defend greater restrictions on election speech. In that case, the Supreme Court departed from precedent to strike down on First Amendment grounds a Federal statute restricting the ability of corporations to make political expenditures from general treasury funds. Citizens United, 558 U.S. at 318-319, 372. The Commonwealth contends that, as a result of this decision, heavily funded groups are now able to skew political discourse so as to render counterspeech an ineffective remedy for falsehood.
Latching on to language from McIntyre, 514 U.S. at 349, that "[t]he state interest in preventing fraud and libel . . . carries special weight during election campaigns," the Commonwealth points out that § 42 reaches falsehoods far more insidious and difficult to discredit on the eve of an election than, for example, the lie uttered in Alvarez. Accordingly, the argument goes, § 42 is necessary because, in contrast to Alvarez, the shortened time frame of an election may render the truth an ineffective remedy. This point is well taken, but nonetheless fails because, like the statute at issue in McIntyre, § 42 is not narrowly tailored. McIntyre, supra at 357 (striking down on First Amendment grounds State statute prohibiting anonymous political leafletting).
Section 42 applies not only to elections of public officers, but also to ballot issues. See McIntyre, supra at 351-352. It may be invoked as soon as one announces his or her candidacy — not merely on the eve of the election. Cf. id. at 352 ("It applies not only to leaflets distributed on the eve of an election, when the opportunity for reply is limited, but also to those distributed months in advance"). It reaches not only those statements that are widely disseminated through commercial advertisement, but also those exchanged between two friends engaged in a spirited political discussion in a local pub. Cf. id. at 351 ("It applies not only to the activities of candidates and their organized supporters, but also to individuals acting independently and using only their own modest resources"); Alvarez, supra at 2555 (Breyer, J., concurring) ("the prohibition may be applied where it should not be applied, for example, to bar stool braggadocio or, in the political arena, subtly but selectively to speakers that the Government does not like"). Moreover, as reflected in the Medal of Honor hypothetical, it applies to a broad range of content that does not pose a realistic threat to the maintenance of fair and free elections. Cf. McIntyre, supra at 351 ("Although these ancillary benefits are assuredly legitimate, we are not persuaded that they justify [the
As the facts of this case demonstrate, the danger of such breadth is that the statute may be manipulated easily into a tool for subverting its own justification, i.e., the fairness and freedom of the electoral process, through the chilling of core political speech. See First Nat'l Bank v. Attorney Gen., 362 Mass. 570, 587-588 (1972), quoting United States v. Congress of Indus. Orgs., 335 U.S. 106, 155 (1948) (Rutledge, J., concurring) ("A statute which, in the claimed interest of free and honest elections, curtails the very freedoms that make possible exercise of the franchise by an informed and thinking electorate, and does this by . . . serving as a prior restraint upon expression not in fact forbidden as well as upon what is, cannot be squared with the First Amendment"). See also Alvarez, 132 S. Ct. at 2550 ("suppression of speech by the government can make exposure of falsity more difficult, not less so"); 281 Care Comm., 766 F.3d at 796 ("statute itself actually opens a Pandora's box to disingenuous politicking"); 119 Vote No! Comm., 135 Wash. 2d at 626, 627, quoting McIntyre, 514 U.S. at 352 n.16 ("a well-publicized, yet bogus, complaint to the [commission] on election eve raises the same concern [as `an eleventh-hour anonymous smear campaign']").
The Commonwealth suggests that we could curb this danger by narrowly construing § 42 to regulate only fraudulent and defamatory speech. Although the statute could be narrowly construed in some respects, it is not amenable to the construction proposed by the Commonwealth, see Blixt v. Blixt, 437 Mass. 649, 674 (2002), quoting School Comm. of Greenfield v. Greenfield Educ. Ass'n, 385 Mass. 70, 79 (1982) ("It is our duty to construe statutes so as to avoid such constitutional difficulties, if reasonable principles of interpretation permit it");
Moreover, even in cases involving seemingly obvious statements of political fact, distinguishing between truth and falsity may prove exceedingly difficult. Assertions regarding a candidate's voting record on a particular issue may very well require an in-depth analysis of legislative history that will often be ill-suited to the compressed time frame of an election. Thus, in the election context, as elsewhere, it is apparent "that the ultimate good desired is better reached by free trade in ideas — that the best test of truth is the power of the thought to get itself accepted in the competition of the market, and that truth is the only ground upon which [the people's] wishes safely can be carried out. That at any rate is the theory of our Constitution." Lyons v. Globe Newspaper Co., 415 Mass. 258, 268 (1993), quoting Abrams v. United States, 250 U.S. 616, 630 (1919) (Holmes, J., dissenting). See 281 Care Comm., 766 F.3d at 796 ("citizenry, not the government, should be the monitor of falseness in the political arena").
The foregoing problems make it all the more concerning that anyone may file an application for a criminal complaint under § 42. See 281 Care Comm., 766 F.3d at 790. The risk inherent in such an environment is that an individual, unconstrained by the
3. Conclusion. We conclude that § 42 cannot be limited to the criminalization of fraudulent or defamatory speech, is neither necessary nor narrowly tailored to advancing the Commonwealth's interest in fair and free elections, and chills the very exchange of ideas that gives meaning to our electoral system. For all of these reasons, we hold that § 42 is antagonistic to the fundamental right of free speech enshrined in art. 16 of our Declaration of Rights and, therefore, is invalid. Accordingly, the criminal complaint charging Lucas with violating § 42 must be dismissed.
So ordered.