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citing this case: Circuit Courts
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NEW YORK TIMES CO. v. SULLIVAN, 376 U.S. 254 (1964)
376 U.S. 254
NEW YORK TIMES CO. v. SULLIVAN. CERTIORARI TO THE
SUPREME COURT OF ALABAMA. No. 39. Argued January 6,
1964. Decided March 9, 1964. *
[ Footnote * ] Together with No. 40, Abernathy et
al. v. Sullivan, also on certiorari to the same court, argued
January 7, 1964.
Respondent, an elected official in Montgomery, Alabama,
brought suit in a state court alleging that he had been
libeled by an advertisement in corporate petitioner's
newspaper, the text of which appeared over the names of the
four individual petitioners and many others. The advertisement
included statements, some of which were false, about police
action allegedly directed against students who participated in
a civil rights demonstration and against a leader of the civil
rights movement; respondent claimed the statements referred to
him because his duties included supervision of the police
department. The trial judge instructed the jury that such
statements were "libelous per se," legal injury being implied
without proof of actual damages, and that for the purpose of
compensatory damages malice was presumed, so that such damages
could be awarded against petitioners if the statements were
found to have been published by them and to have related to
respondent. As to punitive damages, the judge instructed that
mere negligence was not evidence of actual malice and would
not justify an award of punitive damages; he refused to
instruct that actual intent to harm or recklessness had to be
found before punitive damages could be awarded, or that a
verdict for respondent should differentiate between
compensatory and punitive damages. The jury found for
respondent and the State Supreme Court affirmed. Held: A State
cannot under the First and Fourteenth Amendments award damages
to a public official for defamatory falsehood relating to his
official conduct unless he proves "actual malice" - that the
statement was made with knowledge of its falsity or with
reckless disregard of whether it was true or false. Pp.
265-292.
(a) Application by state courts of a rule of law,
whether statutory or not, to award a judgment in a civil
action, is "state action" under the Fourteenth Amendment. P.
265.
(b) Expression does not lose constitutional protection
to which it would otherwise be entitled because it appears
in the form of a paid advertisement. Pp. 265-266. [376 U.S. 254, 255]
(c) Factual error, content defamatory of official
reputation, or both, are insufficient to warrant an award of
damages for false statements unless "actual malice" -
knowledge that statements are false or in reckless disregard
of the truth - is alleged and proved. Pp. 279-283.
(d) State court judgment entered upon a general verdict
which does not differentiate between punitive damages, as to
which under state law actual malice must be proved, and
general damages, as to which it is "presumed," precludes any
determination as to the basis of the verdict and requires
reversal, where presumption of malice is inconsistent with
federal constitutional requirements. P. 284.
(e) The evidence was constitutionally insufficient to
support the judgment for respondent, since it failed to
support a finding that the statements were made with actual
malice or that they related to respondent. Pp. 285-292.
273 Ala. 656, 144 So.2d 25, reversed and remanded.
Herbert Wechsler argued the cause for petitioner in No. 39.
With him on the brief were Herbert Brownell, Thomas F. Daly,
Louis M. Loeb, T. Eric Embry, Marvin E. Frankel, Ronald S.
Diana and Doris Wechsler.
William P. Rogers and Samuel R. Pierce, Jr. argued the
cause for petitioners in No. 40. With Mr. Pierce on the brief
were I. H. Wachtel, Charles S. Conley, Benjamin Spiegel,
Raymond S. Harris, Harry H. Wachtel, Joseph B. Russell, David
N. Brainin, Stephen J. Jelin and Charles B. Markham.
M. Roland Nachman, Jr. argued the cause for respondent in
both cases. With him on the brief were Sam Rice Baker and
Calvin Whitesell.
Briefs of amici curiae, urging reversal, were filed in No.
39 by William P. Rogers, Gerald W. Siegel and Stanley Godofsky
for the Washington Post Company, and by Howard Ellis, Keith
Masters and Don H. Reuben for the Tribune Company. Brief of
amici curiae, urging reversal, was filed in both cases by
Edward S. Greenbaum, Harriet F. Pilpel, Melvin L. Wulf,
Nanette Dembitz and Nancy F. Wechsler for the American Civil
Liberties Union et al. [376 U.S. 254, 256]
MR. JUSTICE BRENNAN delivered the opinion of the Court.
We are required in this case to determine for the first
time the extent to which the constitutional protections for
speech and press limit a State's power to award damages in a
libel action brought by a public official against critics of
his official conduct.
Respondent L. B. Sullivan is one of the three elected
Commissioners of the City of Montgomery, Alabama. He testified
that he was "Commissioner of Public Affairs and the duties are
supervision of the Police Department, Fire Department,
Department of Cemetery and Department of Scales." He brought
this civil libel action against the four individual
petitioners, who are Negroes and Alabama clergymen, and
against petitioner the New York Times Company, a New York
corporation which publishes the New York Times, a daily
newspaper. A jury in the Circuit Court of Montgomery County
awarded him damages of $500,000, the full amount claimed,
against all the petitioners, and the Supreme Court of Alabama
affirmed. 273 Ala. 656, 144 So.2d 25.
Respondent's complaint alleged that he had been libeled by
statements in a full-page advertisement that was carried in
the New York Times on March 29, 1960. 1 Entitled "Heed Their Rising Voices," the
advertisement began by stating that "As the whole world knows
by now, thousands of Southern Negro students are engaged in
widespread non-violent demonstrations in positive affirmation
of the right to live in human dignity as guaranteed by the
U.S. Constitution and the Bill of Rights." It went on to
charge that "in their efforts to uphold these guarantees, they
are being met by an unprecedented wave of terror by those who
would deny and negate that document which the whole world
looks upon as setting the pattern for modern freedom. . . ."
Succeeding [376 U.S.
254, 257] paragraphs purported to illustrate
the "wave of terror" by describing certain alleged events. The
text concluded with an appeal for funds for three purposes:
support of the student movement, "the struggle for the
right-to-vote," and the legal defense of Dr. Martin Luther
King, Jr., leader of the movement, against a perjury
indictment then pending in Montgomery.
The text appeared over the names of 64 persons, many widely
known for their activities in public affairs, religion, trade
unions, and the performing arts. Below these names, and under
a line reading "We in the south who are struggling daily for
dignity and freedom warmly endorse this appeal," appeared the
names of the four individual petitioners and of 16 other
persons, all but two of whom were identified as clergymen in
various Southern cities. The advertisement was signed at the
bottom of the page by the "Committee to Defend Martin Luther
King and the Struggle for Freedom in the South," and the
officers of the Committee were listed.
Of the 10 paragraphs of text in the advertisement, the
third and a portion of the sixth were the basis of
respondent's claim of libel. They read as follows:
Third paragraph:
"In Montgomery, Alabama, after students sang `My
Country, 'Tis of Thee' on the State Capitol steps, their
leaders were expelled from school, and truckloads of police
armed with shotguns and tear-gas ringed the Alabama State
College Campus. When the entire student body protested to
state authorities by refusing to re-register, their dining
hall was padlocked in an attempt to starve them into
submission."
Sixth paragraph:
"Again and again the Southern violators have answered
Dr. King's peaceful protests with intimidation and violence.
They have bombed his home almost killing his wife and child.
They have [376 U.S.
254, 258] assaulted his person. They have
arrested him seven times - for `speeding,' `loitering' and
similar `offenses.' And now they have charged him with
`perjury' - a felony under which they could imprison him for
ten years. . . ."
Although neither of these statements mentions
respondent by name, he contended that the word "police" in the
third paragraph referred to him as the Montgomery Commissioner
who supervised the Police Department, so that he was being
accused of "ringing" the campus with police. He further
claimed that the paragraph would be read as imputing to the
police, and hence to him, the padlocking of the dining hall in
order to starve the students into submission. 2 As to the sixth paragraph, he contended that
since arrests are ordinarily made by the police, the statement
"They have arrested [Dr. King] seven times" would be read as
referring to him; he further contended that the "They" who did
the arresting would be equated with the "They" who committed
the other described acts and with the "Southern violators."
Thus, he argued, the paragraph would be read as accusing the
Montgomery police, and hence him, of answering Dr. King's
protests with "intimidation and violence," bombing his home,
assaulting his person, and charging him with perjury.
Respondent and six other Montgomery residents testified that
they read some or all of the statements as referring to him in
his capacity as Commissioner.
It is uncontroverted that some of the statements contained
in the paragraphs were not accurate descriptions of events
which occurred in Montgomery. Although Negro students staged a
demonstration on the State Capitol steps, they sang the
National Anthem and not "My [376 U.S. 254, 259] Country, 'Tis
of Thee." Although nine students were expelled by the State
Board of Education, this was not for leading the demonstration
at the Capitol, but for demanding service at a lunch counter
in the Montgomery County Courthouse on another day. Not the
entire student body, but most of it, had protested the
expulsion, not by refusing to register, but by boycotting
classes on a single day; virtually all the students did
register for the ensuing semester. The campus dining hall was
not padlocked on any occasion, and the only students who may
have been barred from eating there were the few who had
neither signed a preregistration application nor requested
temporary meal tickets. Although the police were deployed near
the campus in large numbers on three occasions, they did not
at any time "ring" the campus, and they were not called to the
campus in connection with the demonstration on the State
Capitol steps, as the third paragraph implied. Dr. King had
not been arrested seven times, but only four; and although he
claimed to have been assaulted some years earlier in
connection with his arrest for loitering outside a courtroom,
one of the officers who made the arrest denied that there was
such an assault.
On the premise that the charges in the sixth paragraph
could be read as referring to him, respondent was allowed to
prove that he had not participated in the events described.
Although Dr. King's home had in fact been bombed twice when
his wife and child were there, both of these occasions
antedated respondent's tenure as Commissioner, and the police
were not only not implicated in the bombings, but had made
every effort to apprehend those who were. Three of Dr. King's
four arrests took place before respondent became Commissioner.
Although Dr. King had in fact been indicted (he was
subsequently acquitted) on two counts of perjury, each of
which carried a possible five-year sentence, respondent had
nothing to do with procuring the indictment. [376 U.S. 254, 260]
Respondent made no effort to prove that he suffered actual
pecuniary loss as a result of the alleged libel. 3 One of his witnesses, a former employer,
testified that if he had believed the statements, he doubted
whether he "would want to be associated with anybody who would
be a party to such things that are stated in that ad," and
that he would not re-employ respondent if he believed "that he
allowed the Police Department to do the things that the paper
say he did." But neither this witness nor any of the others
testified that he had actually believed the statements in
their supposed reference to respondent.
The cost of the advertisement was approximately $4800, and
it was published by the Times upon an order from a New York
advertising agency acting for the signatory Committee. The
agency submitted the advertisement with a letter from A.
Philip Randolph, Chairman of the Committee, certifying that
the persons whose names appeared on the advertisement had
given their permission. Mr. Randolph was known to the Times'
Advertising Acceptability Department as a responsible person,
and in accepting the letter as sufficient proof of
authorization it followed its established practice. There was
testimony that the copy of the advertisement which accompanied
the letter listed only the 64 names appearing under the text,
and that the statement, "We in the south . . . warmly endorse
this appeal," and the list of names thereunder, which included
those of the individual petitioners, were subsequently added
when the first proof of the advertisement was received. Each
of the individual petitioners testified that he had not
authorized the use of his name, and that he had been unaware
of its use until receipt of respondent's demand for a
retraction. The manager of the Advertising Acceptability [376 U.S. 254, 261]
Department testified that he had approved
the advertisement for publication because he knew nothing to
cause him to believe that anything in it was false, and
because it bore the endorsement of "a number of people who are
well known and whose reputation" he "had no reason to
question." Neither he nor anyone else at the Times made an
effort to confirm the accuracy of the advertisement, either by
checking it against recent Times news stories relating to some
of the described events or by any other means.
Alabama law denies a public officer recovery of punitive
damages in a libel action brought on account of a publication
concerning his official conduct unless he first makes a
written demand for a public retraction and the defendant fails
or refuses to comply. Alabama Code, Tit. 7, 914. Respondent
served such a demand upon each of the petitioners. None of the
individual petitioners responded to the demand, primarily
because each took the position that he had not authorized the
use of his name on the advertisement and therefore had not
published the statements that respondent alleged had libeled
him. The Times did not publish a retraction in response to the
demand, but wrote respondent a letter stating, among other
things, that "we . . . are somewhat puzzled as to how you
think the statements in any way reflect on you," and "you
might, if you desire, let us know in what respect you claim
that the statements in the advertisement reflect on you."
Respondent filed this suit a few days later without answering
the letter. The Times did, however, subsequently publish a
retraction of the advertisement upon the demand of Governor
John Patterson of Alabama, who asserted that the publication
charged him with "grave misconduct and . . . improper actions
and omissions as Governor of Alabama and Ex-Officio Chairman
of the State Board of Education of Alabama." When asked to
explain why there had been a retraction for the Governor but
not for respondent, the [376 U.S. 254, 262] Secretary of
the Times testified: "We did that because we didn't want
anything that was published by The Times to be a reflection on
the State of Alabama and the Governor was, as far as we could
see, the embodiment of the State of Alabama and the proper
representative of the State and, furthermore, we had by that
time learned more of the actual facts which the ad purported
to recite and, finally, the ad did refer to the action of the
State authorities and the Board of Education presumably of
which the Governor is the ex-officio chairman . . . ." On the
other hand, he testified that he did not think that "any of
the language in there referred to Mr. Sullivan."
The trial judge submitted the case to the jury under
instructions that the statements in the advertisement were
"libelous per se" and were not privileged, so that petitioners
might be held liable if the jury found that they had published
the advertisement and that the statements were made "of and
concerning" respondent. The jury was instructed that, because
the statements were libelous per se, "the law . . . implies
legal injury from the bare fact of publication itself,"
"falsity and malice are presumed," "general damages need not
be alleged or proved but are presumed," and "punitive damages
may be awarded by the jury even though the amount of actual
damages is neither found nor shown." An award of punitive
damages - as distinguished from "general" damages, which are
compensatory in nature - apparently requires proof of actual
malice under Alabama law, and the judge charged that "mere
negligence or carelessness is not evidence of actual malice or
malice in fact, and does not justify an award of exemplary or
punitive damages." He refused to charge, however, that the
jury must be "convinced" of malice, in the sense of "actual
intent" to harm or "gross negligence and recklessness," to
make such an award, and he also refused to require that a
verdict for respondent differentiate between compensatory and
punitive damages. The judge rejected petitioners' contention
[376 U.S. 254, 263]
that his rulings abridged the freedoms of
speech and of the press that are guaranteed by the First and
Fourteenth Amendments.
In affirming the judgment, the Supreme Court of Alabama
sustained the trial judge's rulings and instructions in all
respects. 273 Ala. 656, 144 So.2d 25. It held that "where the
words published tend to injure a person libeled by them in his
reputation, profession, trade or business, or charge him with
an indictable offense, or tend to bring the individual into
public contempt," they are "libelous per se"; that "the matter
complained of is, under the above doctrine, libelous per se,
if it was published of and concerning the plaintiff"; and that
it was actionable without "proof of pecuniary injury . . .,
such injury being implied." Id., at 673, 676, 144 So.2d, at
37, 41. It approved the trial court's ruling that the jury
could find the statements to have been made "of and
concerning" respondent, stating: "We think it common knowledge
that the average person knows that municipal agents, such as
police and firemen, and others, are under the control and
direction of the city governing body, and more particularly
under the direction and control of a single commissioner. In
measuring the performance or deficiencies of such groups,
praise or criticism is usually attached to the official in
complete control of the body." Id., at 674-675, 144 So.2d at
39. In sustaining the trial court's determination that the
verdict was not excessive, the court said that malice could be
inferred from the Times' "irresponsibility" in printing the
advertisement while "the Times in its own files had articles
already published which would have demonstrated the falsity of
the allegations in the advertisement"; from the Times' failure
to retract for respondent while retracting for the Governor,
whereas the falsity of some of the allegations was then known
to the Times and "the matter contained in the advertisement
was equally false as to both parties"; and from the testimony
of the Times' Secretary that, [376 U.S. 254, 264] apart from the
statement that the dining hall was pad-locked, he thought the
two paragraphs were "substantially correct." Id., at 686-687,
144 So.2d at 50-51. The court reaffirmed a statement in an
earlier opinion that "There is no legal measure of damages in
cases of this character." Id., at 686, 144 So.2d, at 50. It
rejected petitioners' constitutional contentions with the
brief statements that "The First Amendment of the U.S.
Constitution does not protect libelous publications" and "The
Fourteenth Amendment is directed against State action and not
private action." Id., at 676, 144 So.2d, at 40.
Because of the importance of the constitutional issues
involved, we granted the separate petitions for certiorari of
the individual petitioners and of the Times. 371
U.S. 946 . We reverse the judgment. We hold that the rule
of law applied by the Alabama courts is constitutionally
deficient for failure to provide the safeguards for freedom of
speech and of the press that are required by the First and
Fourteenth Amendments in a libel action brought by a public
official against critics of his official conduct. 4 We [376
U.S. 254, 265] further hold that under the
proper safeguards the evidence presented in this case is
constitutionally insufficient to support the judgment for
respondent.
I
We may dispose at the outset of two grounds asserted to
insulate the judgment of the Alabama courts from
constitutional scrutiny. The first is the proposition relied
on by the State Supreme Court - that "The Fourteenth Amendment
is directed against State action and not private action." That
proposition has no application to this case. Although this is
a civil lawsuit between private parties, the Alabama courts
have applied a state rule of law which petitioners claim to
impose invalid restrictions on their constitutional freedoms
of speech and press. It matters not that that law has been
applied in a civil action and that it is common law only,
though supplemented by statute. See, e. g., Alabama Code, Tit.
7, 908-917. The test is not the form in which state power has
been applied but, whatever the form, whether such power has in
fact been exercised. See Ex parte Virginia, 100
U.S. 339, 346 -347; American Federation of Labor v. Swing,
312
U.S. 321 .
The second contention is that the constitutional guarantees
of freedom of speech and of the press are inapplicable here,
at least so far as the Times is concerned, because the
allegedly libelous statements were published as part of a
paid, "commercial" advertisement. The argument relies on
Valentine v. Chrestensen, 316
U.S. 52 , where the Court held that a city ordinance
forbidding street distribution of commercial and business
advertising matter did not abridge the First Amendment
freedoms, even as applied to a handbill having a commercial
message on one side but a protest against certain official
action on the other. The reliance is wholly misplaced. The
Court in Chrestensen reaffirmed the constitutional protection
for "the freedom of communicating [376 U.S. 254, 266]
information and disseminating opinion"; its holding was
based upon the factual conclusions that the handbill was
"purely commercial advertising" and that the protest against
official action had been added only to evade the ordinance.
The publication here was not a "commercial" advertisement
in the sense in which the word was used in Chrestensen. It
communicated information, expressed opinion, recited
grievances, protested claimed abuses, and sought financial
support on behalf of a movement whose existence and objectives
are matters of the highest public interest and concern. See N.
A. A. C. P. v. Button, 371
U.S. 415, 435 . That the Times was paid for publishing the
advertisement is as immaterial in this connection as is the
fact that newspapers and books are sold. Smith v. California,
361
U.S. 147, 150 ; cf. Bantam Books, Inc., v. Sullivan, 372
U.S. 58, 64 , n. 6. Any other conclusion would discourage
newspapers from carrying "editorial advertisements" of this
type, and so might shut off an important outlet for the
promulgation of information and ideas by persons who do not
themselves have access to publishing facilities - who wish to
exercise their freedom of speech even though they are not
members of the press. Cf. Lovell v. Griffin, 303
U.S. 444, 452 ; Schneider v. State, 308
U.S. 147, 164 . The effect would be to shackle the First
Amendment in its attempt to secure "the widest possible
dissemination of information from diverse and antagonistic
sources." Associated Press v. United States, 326
U.S. 1, 20 . To avoid placing such a handicap upon the
freedoms of expression, we hold that if the allegedly libelous
statements would otherwise be constitutionally protected from
the present judgment, they do not forfeit that protection
because they were published in the from of a paid
advertisement. 5 [376 U.S. 254, 267]
II
Under Alabama law as applied in this case, a publication is
"libelous per se" if the words "tend to injure a person . . .
in his reputation" or to "bring [him] into public contempt";
the trial court stated that the standard was met if the words
are such as to "injure him in his public office, or impute
misconduct to him in his office, or want of official
integrity, or want of fidelity to a public trust . . . ." The
jury must find that the words were published "of and
concerning" the plaintiff, but where the plaintiff is a public
official his place in the governmental hierarchy is sufficient
evidence to support a finding that his reputation has been
affected by statements that reflect upon the agency of which
he is in charge. Once "libel per se" has been established, the
defendant has no defense as to stated facts unless he can
persuade the jury that they were true in all their
particulars. Alabama Ride Co. v. Vance, 235 Ala. 263, 178 So.
438 (1938); Johnson Publishing Co. v. Davis, 271 Ala. 474,
494-495, 124 So.2d 441, 457-458 (1960). His privilege of "fair
comment" for expressions of opinion depends on the truth of
the facts upon which the comment is based. Parsons v.
Age-Herald Publishing Co., 181 Ala. 439, 450, 61 So. 345, 350
(1913). Unless he can discharge the burden of proving truth,
general damages are presumed, and may be awarded without proof
of pecuniary injury. A showing of actual malice is apparently
a prerequisite to recovery of punitive damages, and the
defendant may in any event forestall a punitive award by a
retraction meeting the statutory requirements. Good motives
and belief in truth do not negate an inference of malice, but
are relevant only in mitigation of punitive damages if the
jury chooses to accord them weight. Johnson Publishing Co. v.
Davis, supra, 271 Ala., at 495, 124 So.2d, at 458. [376 U.S. 254, 268]
The question before us is whether this rule of liability,
as applied to an action brought by a public official against
critics of his official conduct, abridges the freedom of
speech and of the press that is guaranteed by the first and
Fourteenth Amendments.
Respondent relies heavily, as did the Alabama courts, on
statements of this Court to the effect that the Constitution
does not protect libelous publications. 6 Those statements do not foreclose our inquiry
here. None of the cases sustained the use of libel laws to
impose sanctions upon expression critical of the official
conduct of public officials. The dictum in Pennekamp v.
Florida, 328
U.S. 331, 348 -349, that "when the statements amount to
defamation, a judge has such remedy in damages for libel as do
other public servants," implied no view as to what remedy
might constitutionally be afforded to public officials. In
Beauharnais v. Illinois, 343
U.S. 250 , the Court sustained an Illinois criminal libel
statute as applied to a publication held to be both defamatory
of a racial group and "liable to cause violence and disorder."
But the Court was careful to note that it "retains and
exercises authority to nullify action which encroaches on
freedom of utterance under the guise of punishing libel"; for
"public men, are, as it were, public property," and
"discussion cannot be denied and the right, as well as the
duty, of criticism must not be stifled." Id., at 263-264, and
n. 18. In the only previous case that did present the question
of constitutional limitations upon the power to award damages
for libel of a public official, the Court was equally divided
and the question was not decided. Schenectady Union Pub. Co.
v. Sweeney, 316
U.S. 642 . [376
U.S. 254, 269] In deciding the question now,
we are compelled by neither precedent nor policy to give any
more weight to the epithet "libel" than we have to other "mere
labels" of state law. N. A. A. C. P. v. Button, 371
U.S. 415, 429 . Like insurrection, 7 contempt, 8 advocacy of unlawful acts, 9 breach of the peace, 10 obscenity, 11 solicitation of legal business, 12 and the various other formulae for the
repression of expression that have been challenged in this
court, libel can claim no talismanic immunity from
constitutional limitations. It must be measured by standards
that satisfy the First Amendment.
The general proposition that freedom of expression upon
public questions is secured by the First Amendment has long
been settled by our decisions. The constitutional safeguard,
we have said, "was fashioned to assure unfettered interchange
of ideas for the bringing about of political and social
changes desired by the people." Roth v. United States, 354
U.S. 476, 484 . "The maintenance of the opportunity for
free political discussion to the end that government may be
responsive to the will of the people and that changes may be
obtained by lawful means, an opportunity essential to the
security of the Republic, is a fundamental principle of our
constitutional system." Stromberg v. California, 283
U.S. 359, 369 . "[I]t is a prized American privilege to
speak one's mind, although not always with perfect good taste,
on all public institutions," Bridges v. California, 314
U.S. 252, 270 , and this opportunity is to be afforded for
"vigorous advocacy" no less than "abstract discussion." N. A.
A. C. P. v. Button, 371
U.S. 415, 429 . [376 U.S. 254, 270] The First
Amendment, said Judge Learned Hand, "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." United States v. Associated Press, 52 F.
Supp. 362, 372 (D.C. S. D. N. Y. 1943). Mr. Justice Brandeis,
in his concurring opinion in Whitney v. California, 274
U.S. 357, 375 -376, gave the principle its classic
formulation:
"Those who won our independence believed . . . that
public discussion is a political duty; and that this should
be a fundamental principle of the American government. They
recognized the risks to which all human institutions are
subject. But they knew that order cannot be secured merely
through fear of punishment for its infraction; that it is
hazardous to discourage thought, hope and imagination; that
fear breeds repression; that repression breeds hate; that
hate menaces stable government; that the path of safety lies
in the opportunity to discuss freely supposed grievances and
proposed remedies; and that the fitting remedy for evil
counsels is good ones. Believing in the power of reason as
applied through public discussion, they eschewed silence
coerced by law - the argument of force in its worst form.
Recognizing the occasional tyrannies of governing
majorities, they amended the Constitution so that free
speech and assembly should be guaranteed."
Thus we consider this case against the background
of a profound national commitment to the principle that debate
on public issues should be uninhibited, robust, and wide-open,
and that it may well include vehement, caustic, and sometimes
unpleasantly sharp attacks on government and public officials.
See Terminiello v. Chicago, 337
U.S. 1, 4 ; De Jonge v. Oregon, 299
U.S. 353 , [376
U.S. 254, 271] 365. The present
advertisement, as an expression of grievance and protest on
one of the major public issues of our time, would seem clearly
to qualify for the constitutional protection. The question is
whether it forfeits that protection by the falsity of some of
its factual statements and by its alleged defamation of
respondent.
Authoritative interpretations of the First Amendment
guarantees have consistently refused to recognize an exception
for any test of truth - whether administered by judges,
juries, or administrative officials - and especially one that
puts the burden of proving truth on the speaker. Cf. Speiser
v. Randall, 357
U.S. 513, 525 -526. The constitutional protection does not
turn upon "the truth, popularity, or social utility of the
ideas and beliefs which are offered." N. A. A. C. P. v.
Button, 371
U.S. 415, 445 . As Madison said, "Some degree of abuse is
inseparable from the proper use of every thing; and in no
instance is this more true than in that of the press." 4
Elliot's Debates on the Federal Constitution (1876), p. 571.
In Cantwell v. Connecticut, 310
U.S. 296, 310 , the Court declared:
"In the realm of religious faith, and in that of
political belief, sharp differences arise. In both fields
the tenets of one man may seem the rankest error to his
neighbor. To persuade others to his own point of view, the
pleader, as we know, at times, resorts to exaggeration, to
vilification of men who have been, or are, prominent in
church or state, and even to false statement. But the people
of this nation have ordained in the light of history, that,
in spite of the probability of excesses and abuses, these
liberties are, in the long view, essential to enlightened
opinion and right conduct on the part of the citizens of a
democracy."
That erroneous statement is inevitable in free
debate, and that it must be protected if the freedoms of
expression [376 U.S.
254, 272] are to have the "breathing space"
that they "need . . . to survive," N. A. A. C. P. v. Button,
371
U.S. 415, 433 , was also recognized by the Court of
Appeals for the District of Columbia Circuit in Sweeney v.
Patterson, 76 U.S. App. D.C. 23, 24, 128 F.2d 457, 458 (1942),
cert. denied, 317
U.S. 678 . Judge Edgerton spoke for a unanimous court
which affirmed the dismissal of a Congressman's libel suit
based upon a newspaper article charging him with anti-Semitism
in opposing a judicial appointment. He said:
"Cases which impose liability for erroneous reports of
the political conduct of officials reflect the obsolete
doctrine that the governed must not criticize their
governors. . . . The interest of the public here outweighs
the interest of appellant or any other individual. The
protection of the public requires not merely discussion, but
information. Political conduct and views which some
respectable people approve, and others condemn, are
constantly imputed to Congressmen. Errors of fact,
particularly in regard to a man's mental states and
processes, are inevitable. . . . Whatever is added to the
field of libel is taken from the field of free debate." 13
Injury to official reputation affords no more
warrant for repressing speech that would otherwise be free
than does factual error. Where judicial officers are involved,
this Court has held that concern for the dignity and [376 U.S. 254, 273]
reputation of the courts does not justify
the punishment as criminal contempt of criticism of the judge
or his decision. Bridges v. California, 314
U.S. 252 . This is true even though the utterance contains
"half-truths" and "misinformation." Pennekamp v. Florida, 328
U.S. 331, 342 , 343, n. 5, 345. Such repression can be
justified, if at all, only by a clear and present danger of
the obstruction of justice. See also Craig v. Harney, 331
U.S. 367 ; Wood v. Georgia, 370
U.S. 375 . If judges are to be treated as "men of
fortitude, able to thrive in a hardy climate," Craig v.
Harney, supra, 331
U.S., at 376 , surely the same must be true of other
government officials, such as elected city commissioners. 14 Criticism of their official conduct does not
lose its constitutional protection merely because it is
effective criticism and hence diminishes their official
reputations.
If neither factual error nor defamatory content suffices to
remove the constitutional shield from criticism of official
conduct, the combination of the two elements is no less
inadequate. This is the lesson to be drawn from the great
controversy over the Sedition Act of 1798, 1 Stat. 596, which
first crystallized a national awareness of the central meaning
of the First Amendment. See Levy, Legacy of Suppression
(1960), at 258 et seq.; Smith, Freedom's Fetters (1956), at
426, 431, and passim. That statute made it a crime, punishable
by a $5,000 fine and five years in prison, "if any person
shall write, print, utter or publish . . . any false,
scandalous and malicious [376 U.S. 254, 274] writing or
writings against the government of the United States, or
either house of the Congress. . ., or the President . . .,
with intent to defame . . . or to bring them, or either of
them, into contempt or disrepute; or to excite against them,
or either or any of them, the hatred of the good people of the
United States." The Act allowed the defendant the defense of
truth, and provided that the jury were to be judges both of
the law and the facts. Despite these qualifications, the Act
was vigorously condemned as unconstitutional in an attack
joined in by Jefferson and Madison. In the famous Virginia
Resolutions of 1798, the General Assembly of Virginia resolved
that it
"doth particularly protest against the palpable and
alarming infractions of the Constitution, in the two late
cases of the `Alien and Sedition Acts,' passed at the last
session of Congress . . . . [The Sedition Act] exercises . .
. a power not delegated by the Constitution, but, on the
contrary, expressly and positively forbidden by one of the
amendments thereto - a power which, more than any other,
ought to produce universal alarm, because it is levelled
against the right of freely examining public characters and
measures, and of free communication among the people
thereon, which has ever been justly deemed the only
effectual guardian of every other right." 4 Elliot's
Debates, supra, pp. 553-554.
Madison prepared the Report in support of the
protest. His premise was that the Constitution created a form
of government under which "The people, not the government,
possess the absolute sovereignty." The structure of the
government dispersed power in reflection of the people's
distrust of concentrated power, and of power itself at all
levels. This form of government was "altogether different"
from the British form, under which the Crown was sovereign and
the people were subjects. "Is [376 U.S. 254, 275] it not natural
and necessary, under such different circumstances," he asked,
"that a different degree of freedom in the use of the press
should be contemplated?" Id., pp. 569-570. Earlier, in a
debate in the House of Representatives, Madison had said: "If
we advert to the nature of Republican Government, we shall
find that the censorial power is in the people over the
Government, and not in the Government over the people." 4
Annals of Congress, p. 934 (1794). Of the exercise of that
power by the press, his Report said: "In every state,
probably, in the Union, the press has exerted a freedom in
canvassing the merits and measures of public men, of every
description, which has not been confined to the strict limits
of the common law. On this footing the freedom of the press
has stood; on this foundation it yet stands . . . ." 4
Elliot's Debates, supra, p. 570. The right of free public
discussion of the stewardship of public officials was thus, in
Madison's view, a fundamental principle of the American form
of government. 15 [376 U.S. 254, 276]
Although the Sedition Act was never tested in this Court,
16 the attack upon its validity has carried the
day in the court of history. Fines levied in its prosecution
were repaid by Act of Congress on the ground that it was
unconstitutional. See, e. g., Act of July 4, 1840, c. 45, 6
Stat. 802, accompanied by H. R. Rep. No. 86, 26th Cong., 1st
Sess. (1840). Calhoun, reporting to the Senate on February 4,
1836, assumed that its invalidity was a matter "which no one
now doubts." Report with Senate bill No. 122, 24th Cong., 1st
Sess., p. 3. Jefferson, as President, pardoned those who had
been convicted and sentenced under the Act and remitted their
fines, stating: "I discharged every person under punishment or
prosecution under the sedition law, because I considered, and
now consider, that law to be a nullity, as absolute and as
palpable as if Congress had ordered us to fall down and
worship a golden image." Letter to Mrs. Adams, July 22, 1804,
4 Jefferson's Works (Washington ed.), pp. 555, 556. The
invalidity of the Act has also been assumed by Justices of
this Court. See Holmes, J., dissenting and joined by Brandeis,
J., in Abrams v. United States, 250
U.S. 616, 630 ; Jackson, J., dissenting in Beauharnais v.
Illinois, 343
U.S. 250, 288 -289; Douglas, The Right of the People
(1958), p. 47. See also Cooley, Constitutional Limitations
(8th ed., Carrington, 1927), pp. 899-900; Chafee, Free Speech
in the United States (1942), pp. 27-28. These views reflect a
broad consensus that the Act, because of the restraint it
imposed upon criticism of government and public officials, was
inconsistent with the First Amendment.
There is no force in respondent's argument that the
constitutional limitations implicit in the history of the
Sedition Act apply only to Congress and not to the States. It
is true that the First Amendment was originally addressed only
to action by the Federal Government, and [376 U.S. 254, 277] that
Jefferson, for one, while denying the power of Congress "to
controul the freedom of the press," recognized such a power in
the States. See the 1804 Letter to Abigail Adams quoted in
Dennis v. United States, 341
U.S. 494, 522 , n. 4 (concurring opinion). But this
distinction was eliminated with the adoption of the Fourteenth
Amendment and the application to the States of the First
Amendment's restrictions. See, e. g., Gitlow v. New York, 268
U.S. 652, 666 ; Schneider v. State, 308
U.S. 147, 160 ; Bridges v. California, 314
U.S. 252, 268 ; Edwards v. South Carolina, 372
U.S. 229, 235 .
What a State may not constitutionally bring about by means
of a criminal statute is likewise beyond the reach of its
civil law of libel. 17 The fear of damage awards under a rule such as
that invoked by the Alabama courts here may be markedly more
inhibiting than the fear of prosecution under a criminal
statute. See City of Chicago v. Tribune Co., 307 Ill. 595,
607, 139 N. E. 86, 90 (1923). Alabama, for example, has a
criminal libel law which subjects to prosecution "any person
who speaks, writes, or prints of and concerning another any
accusation falsely and maliciously importing the commission by
such person of a felony, or any other indictable offense
involving moral turpitude," and which allows as punishment
upon conviction a fine not exceeding $500 and a prison
sentence of six months. Alabama Code, Tit. 14, 350. Presumably
a person charged with violation of this statute enjoys
ordinary criminal-law safeguards such as the requirements of
an indictment and of proof beyond a reasonable doubt. These
safeguards are not available to the defendant in a civil
action. The judgment awarded in this case - without the need
for any proof of actual pecuniary loss - was one thousand
times greater than the maximum fine provided by the Alabama
criminal statute, and one hundred times greater than that
provided by the Sedition Act. [376 U.S. 254, 278] And since there
is no double-jeopardy limitation applicable to civil lawsuits,
this is not the only judgment that may be awarded against
petitioners for the same publication. 18 Whether or not a newspaper can survive a
succession of such judgments, the pall of fear and timidity
imposed upon those who would give voice to public criticism is
an atmosphere in which the First Amendment freedoms cannot
survive. Plainly the Alabama law of civil libel is "a form of
regulation that creates hazards to protected freedoms markedly
greater than those that attend reliance upon the criminal
law." Bantam Books, Inc., v. Sullivan, 372
U.S. 58, 70 .
The state rule of law is not saved by its allowance of the
defense of truth. A defense for erroneous statements honestly
made is no less essential here than was the requirement of
proof of guilty knowledge which, in Smith v. California, 361
U.S. 147 , we held indispensable to a valid conviction of
a bookseller for possessing obscene writings for sale. We
said:
"For if the bookseller is criminally liable without
knowledge of the contents, . . . he will tend to restrict
the books he sells to those he has inspected; and thus the
State will have imposed a restriction upon the distribution
of constitutionally protected as well as obscene literature.
. . . And the bookseller's burden would become the public's
burden, for by restricting him the public's access to
reading matter would be restricted. . . . [H]is timidity in
the face of his absolute criminal liability, thus would tend
to restrict the public's access to forms of the printed word
which the State could not constitutionally [376 U.S. 254, 279]
suppress directly. The bookseller's
self-censorship, compelled by the State, would be a
censorship affecting the whole public, hardly less virulent
for being privately administered. Through it, the
distribution of all books, both obscene and not obscene,
would be impeded." ( 361
U.S. 147, 153 -154.)
A rule compelling the critic of official conduct
to guarantee the truth of all his factual assertions - and to
do so on pain of libel judgments virtually unlimited in amount
- leads to a comparable "self-censorship." Allowance of the
defense of truth, with the burden of proving it on the
defendant, does not mean that only false speech will be
deterred. 19 Even courts accepting this defense as an
adequate safeguard have recognized the difficulties of
adducing legal proofs that the alleged libel was true in all
its factual particulars. See, e. g., Post Publishing Co. v.
Hallam, 59 F. 530, 540 (C. A. 6th Cir. 1893); see also Noel,
Defamation of Public Officers and Candidates. 49 Col. L. Rev.
875, 892 (1949). Under such a rule, would-be critics of
official conduct may be deterred from voicing their criticism,
even though it is believed to be true and even though it is in
fact true, because of doubt whether it can be proved in court
or fear of the expense of having to do so. They tend to make
only statements which "steer far wider of the unlawful zone."
Speiser v. Randall, supra, 357
U.S., at 526 . The rule thus dampens the vigor and limits
the variety of public debate. It is inconsistent with the
First and Fourteenth Amendments.
The constitutional guarantees require, we think, a federal
rule that prohibits a public official from recovering damages
for a defamatory falsehood relating to his official conduct
unless he proves that the statement was made [376 U.S. 254, 280]
with "actual malice" - that is, with
knowledge that it was false or with reckless disregard of
whether it was false or not. An oft-cited statement of a like
rule, which has been adopted by a number of state courts, 20 is found in the Kansas case of Coleman v.
MacLennan, 78 Kan. 711, 98 P. 281 (1908). The State Attorney
General, a candidate for re-election and a member of the
commission charged with the management and control of the
state school fund, sued a newspaper publisher for alleged
libel in an article purporting to state facts relating to his
official conduct in connection with a school-fund transaction.
The defendant pleaded privilege and the trial judge, over the
plaintiff's objection, instructed the jury that
"where an article is published and circulated among
voters for the sole purpose of giving what the defendant
[376 U.S. 254, 281]
believes to be truthful information
concerning a candidate for public office and for the purpose
of enabling such voters to cast their ballot more
intelligently, and the whole thing is done in good faith and
without malice, the article is privileged, although the
principal matters contained in the article may be untrue in
fact and derogatory to the character of the plaintiff; and
in such a case the burden is on the plaintiff to show actual
malice in the publication of the article."
In answer to a special question, the jury found
that the plaintiff had not proved actual malice, and a general
verdict was returned for the defendant. On appeal the Supreme
Court of Kansas, in an opinion by Justice Burch, reasoned as
follows (78 Kan., at 724, 98 P., at 286):
"It is of the utmost consequence that the people should
discuss the character and qualifications of candidates for
their suffrages. The importance to the state and to society
of such discussions is so vast, and the advantages derived
are so great, that they more than counterbalance the
inconvenience of private persons whose conduct may be
involved, and occasional injury to the reputations of
individuals must yield to the public welfare, although at
times such injury may be great. The public benefit from
publicity is so great, and the chance of injury to private
character so small, that such discussion must be
privileged."
The court thus sustained the trial court's
instruction as a correct statement of the law, saying:
"In such a case the occasion gives rise to a privilege,
qualified to this extent: any one claiming to be defamed by
the communication must show actual malice or go remediless.
This privilege extends to a great variety of subjects, and
includes matters of [376 U.S. 254, 282] public
concern, public men, and candidates for office." 78 Kan., at
723, 98 P., at 285.
Such a privilege for criticism of official conduct
21 is appropriately analogous to the protection
accorded a public official when he is sued for libel by a
private citizen. In Barr v. Matteo, 360
U.S. 564, 575 , this Court held the utterance of a federal
official to be absolutely privileged if made "within the outer
perimeter" of his duties. The States accord the same immunity
to statements of their highest officers, although some
differentiate their lesser officials and qualify the privilege
they enjoy. 22 But all hold that all officials are protected
unless actual malice can be proved. The reason for the
official privilege is said to be that the threat of damage
suits would otherwise "inhibit the fearless, vigorous, and
effective administration of policies of government" and
"dampen the ardor of all but the most resolute, or the most
irresponsible, in the unflinching discharge of their duties."
Barr v. Matteo, supra, 360
U.S., at 571 . Analogous considerations support the
privilege for the citizen-critic of government. It is as much
his duty to criticize as it is the official's duty to
administer. See Whitney v. California, 274
U.S. 357, 375 (concurring opinion of Mr. Justice
Brandeis), quoted supra, p. 270. As Madison said, see supra,
p. 275, "the censorial power is in the people over the
Government, and not in the Government over the people." It
would give public servants an unjustified preference over the
public they serve, if critics of official conduct [376 U.S. 254, 283]
did not have a fair equivalent of the
immunity granted to the officials themselves.
We conclude that such a privilege is required by the First
and Fourteenth Amendments.
III.
We hold today that the Constitution delimits a State's
power to award damages for libel in actions brought by public
officials against critics of their official conduct. Since
this is such an action, 23 the rule requiring proof of actual malice is
applicable. While Alabama law apparently requires proof of
actual malice for an award of punitive damages, 24 where general damages are concerned malice is
"presumed." Such a presumption is inconsistent [376 U.S. 254, 284]
with the federal rule. "The power to create
presumptions is not a means of escape from constitutional
restrictions," Bailey v. Alabama, 219
U.S. 219, 239 ; "the showing of malice required for the
forfeiture of the privilege is not presumed but is a matter
for proof by the plaintiff . . . ." Lawrence v. Fox, 357 Mich.
134, 146, 97 N. W. 2d 719, 725 (1959). 25 Since the trial judge did not instruct the
jury to differentiate between general and punitive damages, it
may be that the verdict was wholly an award of one or the
other. But it is impossible to know, in view of the general
verdict returned. Because of this uncertainty, the judgment
must be reversed and the case remanded. Stromberg v.
California, 283
U.S. 359, 367 -368; Williams v. North Carolina, 317
U.S. 287, 291 -292; see Yates v. United States, 354
U.S. 298, 311 -312; Cramer v. United States, 325
U.S. 1, 36 , n. 45.
Since respondent may seek a new trial, we deem that
considerations of effective judicial administration require us
to review the evidence in the present record to determine
[376 U.S. 254, 285]
whether it could constitutionally support a
judgment for respondent. This Court's duty is not limited to
the elaboration of constitutional principles; we must also in
proper cases review the evidence to make certain that those
principles have been constitutionally applied. This is such a
case, particularly since the question is one of alleged
trespass across "the line between speech unconditionally
guaranteed and speech which may legitimately be regulated."
Speiser v. Randall, 357
U.S. 513, 525 . In cases where that line must be drawn,
the rule is that we "examine for ourselves the statements in
issue and the circumstances under which they were made to see
. . . whether they are of a character which the principles of
the First Amendment, as adopted by the Due Process Clause of
the Fourteenth Amendment, protect." Pennekamp v. Florida, 328
U.S. 331, 335 ; see also One, Inc., v. Olesen, 355
U.S. 371 ; Sunshine Book Co. v. Summerfield, 355
U.S. 372 . We must "make an independent examination of the
whole record," Edwards v. South Carolina, 372
U.S. 229, 235 , so as to assure ourselves that the
judgment does not constitute a forbidden intrusion on the
field of free expression. 26
Applying these standards, we consider that the proof
presented to show actual malice lacks the convincing [376 U.S. 254, 286]
clarity which the constitutional standard
demands, and hence that it would not constitutionally sustain
the judgment for respondent under the proper rule of law. The
case of the individual petitioners requires little discussion.
Even assuming that they could constitutionally be found to
have authorized the use of their names on the advertisement,
there was no evidence whatever that they were aware of any
erroneous statements or were in any way reckless in that
regard. The judgment against them is thus without
constitutional support.
As to the Times, we similarly conclude that the facts do
not support a finding of actual malice. The statement by the
Times' Secretary that, apart from the padlocking allegation,
he thought the advertisement was "substantially correct,"
affords no constitutional warrant for the Alabama Supreme
Court's conclusion that it was a "cavalier ignoring of the
falsity of the advertisement [from which] the jury could not
have but been impressed with the bad faith of The Times, and
its maliciousness inferable therefrom." The statement does not
indicate malice at the time of the publication; even if the
advertisement was not "substantially correct" - although
respondent's own proofs tend to show that it was - that
opinion was at least a reasonable one, and there was no
evidence to impeach the witness' good faith in holding it. The
Times' failure to retract upon respondent's demand. although
it later retracted upon the demand of Governor Patterson, is
likewise not adequate evidence of malice for constitutional
purposes. Whether or not a failure to retract may ever
constitute such evidence, there are two reasons why it does
not here. First, the letter written by the Times reflected a
reasonable doubt on its part as to whether the advertisement
could reasonably be taken to refer to respondent at all.
Second, it was not a final refusal, since it asked for an
explanation on this point - a request that respondent chose to
ignore. Nor does the retraction upon the demand of the
Governor supply the [376 U.S. 254, 287] necessary
proof. It may be doubted that a failure to retract which is
not itself evidence of malice can retroactively become such by
virtue of a retraction subsequently made to another party. But
in any event that did not happen here, since the explanation
given by the Times' Secretary for the distinction drawn
between respondent and the Governor was a reasonable one, the
good faith of which was not impeached.
Finally, there is evidence that the Times published the
advertisement without checking its accuracy against the news
stories in the Times' own files. The mere presence of the
stories in the files does not, of course, establish that the
Times "knew" the advertisement was false, since the state of
mind required for actual malice would have to be brought home
to the persons in the Times' organization having
responsibility for the publication of the advertisement. With
respect to the failure of those persons to make the check, the
record shows that they relied upon their knowledge of the good
reputation of many of those whose names were listed as
sponsors of the advertisement, and upon the letter from A.
Philip Randolph, known to them as a responsible individual,
certifying that the use of the names was authorized. There was
testimony that the persons handling the advertisement saw
nothing in it that would render it unacceptable under the
Times' policy of rejecting advertisements containing "attacks
of a personal character"; 27 their failure to reject it on this ground was
not unreasonable. We think [376 U.S. 254, 288] the evidence
against the Times supports at most a finding of negligence in
failing to discover the misstatements, and is constitutionally
insufficient to show the recklessness that is required for a
finding of actual malice. Cf. Charles Parker Co. v. Silver
City Crystal Co., 142 Conn. 605, 618, 116 A. 2d 440, 446
(1955); Phoenix Newspapers, Inc., v. Choisser, 82 Ariz. 271,
277-278, 312 P.2d 150, 154-155 (1957).
We also think the evidence was constitutionally defective
in another respect: it was incapable of supporting the jury's
finding that the allegedly libelous statements were made "of
and concerning" respondent. Respondent relies on the words of
the advertisement and the testimony of six witnesses to
establish a connection between it and himself. Thus, in his
brief to this Court, he states:
"The reference to respondent as police commissioner is
clear from the ad. In addition, the jury heard the testimony
of a newspaper editor . . .; a real estate and insurance man
. . .; the sales manager of a men's clothing store . . .; a
food equipment man . . .; a service station operator . . .;
and the operator of a truck line for whom respondent had
formerly worked . . . . Each of these witnesses stated that
he associated the statements with respondent . . . ."
(Citations to record omitted.)
There was no reference to respondent in the
advertisement, either by name or official position. A number
of the allegedly libelous statements - the charges that the
dining hall was padlocked and that Dr. King's home was bombed,
his person assaulted, and a perjury prosecution instituted
against him - did not even concern the police; despite the
ingenuity of the arguments which would attach this
significance to the word "They," it is plain that these
statements could not reasonably be read as accusing respondent
of personal involvement in the acts [376 U.S. 254, 289] in
question. The statements upon which respondent principally
relies as referring to him are the two allegations that did
concern the police or police functions: that "truckloads of
police . . . ringed the Alabama State College Campus" after
the demonstration on the State Capitol steps, and that Dr.
King had been "arrested . . . seven times." These statements
were false only in that the police had been "deployed near"
the campus but had not actually "ringed" it and had not gone
there in connection with the State Capitol demonstration, and
in that Dr. King had been arrested only four times. The ruling
that these discrepancies between what was true and what was
asserted were sufficient to injure respondent's reputation may
itself raise constitutional problems, but we need not consider
them here. Although the statements may be taken as referring
to the police, they did not on their face make even an oblique
reference to respondent as an individual. Support for the
asserted reference must, therefore, be sought in the testimony
of respondent's witnesses. But none of them suggested any
basis for the belief that respondent himself was attacked in
the advertisement beyond the bare fact that he was in overall
charge of the Police Department and thus bore official
responsibility for police conduct; to the extent that some of
the witnesses thought respondent to have been charged with
ordering or approving the conduct or otherwise being
personally involved in it, they based this notion not on any
statements in the advertisement, and not on any evidence that
he had in fact been so involved, but solely on the unsupported
assumption that, because of his official position, he must
have been. 28 This reliance on the bare [376 U.S. 254, 290] fact
of respondent's official position 29 was made explicit by the Supreme Court of
Alabama. That court, in holding that the trial court "did not
err in overruling the demurrer [of the Times] in the aspect
that the libelous [376
U.S. 254, 291] matter was not of and
concerning the [plaintiff,]" based its ruling on the
proposition that:
"We think it common knowledge that the average person
knows that municipal agents, such as police and firemen, and
others, are under the control and direction of the city
governing body, and more particularly under the direction
and control of a single commissioner. In measuring the
performance or deficiencies of such groups, praise or
criticism is usually attached to the official in complete
control of the body." 273 Ala., at 674-675, 144 So.2d. at
39.
This proposition has disquieting implications for
criticism of governmental conduct. For good reason, "no court
of last resort in this country has ever held, or even
suggested, that prosecutions for libel on government have any
place in the American system of jurisprudence." City of
Chicago v. Tribune Co., 307 Ill. 595, 601, 139 N. E. [376 U.S. 254, 292]
86, 88 (1923). The present proposition would
sidestep this obstacle by transmuting criticism of government,
however impersonal it may seem on its face, into personal
criticism, and hence potential libel, of the officials of whom
the government is composed. There is no legal alchemy by which
a State may thus create the cause of action that would
otherwise be denied for a publication which, as respondent
himself said of the advertisement. "reflects not only on me
but on the other Commissioners and the community." Raising as
it does the possibility that a good-faith critic of government
will be penalized for his criticism, the proposition relied on
by the Alabama courts strikes at the very center of the
constitutionally protected area of free expression. 30 We hold that such a proposition may not
constitutionally be utilized to establish that an otherwise
impersonal attack on governmental operations was a libel of an
official responsible for those operations. Since it was relied
on exclusively here, and there was no other evidence to
connect the statements with respondent, the evidence was
constitutionally insufficient to support a finding that the
statements referred to respondent.
The judgment of the Supreme Court of Alabama is reversed
and the case is remanded to that court for further proceedings
not inconsistent with this opinion.
Footnotes [ Footnote 1 ] A copy of the advertisement is
printed in the Appendix.
[ Footnote 2 ] Respondent did not consider the
charge of expelling the students to be applicable to him,
since "that responsibility rests with the State Department of
Education."
[ Footnote 3 ] Approximately 394 copies of the
edition of the Times containing the advertisement were
circulated in Alabama. Of these, about 35 copies were
distributed in Montgomery County. The total circulation of the
Times for that day was approximately 650,000 copies.
[ Footnote 4 ] Since we sustain the contentions of
all the petitioners under the First Amendment's guarantees of
freedom of speech and of the press as applied to the State by
the Fourteenth Amendment, we do not decide the questions
presented by the other claims of violation of the Fourteenth
Amendment. The individual petitioners contend that the
judgment against them offends the Due Process Clause because
there was no evidence to show that they had published or
authorized the publication of the alleged libel, and that the
Due Process and Equal Protection Clauses were violated by
racial segregation and racial bias in the courtroom. The Times
contends that the assumption of jurisdiction over its
corporate person by the Alabama courts overreaches the
territorial limits of the Due Process Clause. The latter claim
is foreclosed from our review by the ruling of the Alabama
courts that the Times entered a general appearance in the
action and thus waived its jurisdictional objection; we cannot
say that this ruling lacks "fair or substantial support" in
prior Alabama decisions. See Thompson v. Wilson, 224 Ala. 299,
140 So. 439 (1932); compare N. A. A. C. P. v. Alabama, 357
U.S. 449, 454 -458.
[ Footnote 5 ] See American Law Institute,
Restatement of Torts, 593, Comment b (1938).
[ Footnote 6 ] Konigsberg v. State Bar of
California, 366
U.S. 36, 49 , and n. 10; Times Film Corp. v. City of
Chicago, 365
U.S. 43, 48 ; Roth v. United States, 354
U.S. 476, 486 -487; Beauharnais v. Illinois, 343
U.S. 250, 266 ; Pennekamp v. Florida, 328
U.S. 331, 348 -349; Chaplinsky v. New Hampshire, 315
U.S. 568, 572 ; Near v. Minnesota, 283
U.S. 697, 715 .
[ Footnote 7 ] Herndon v. Lowry, 301
U.S. 242 .
[ Footnote 8 ] Bridges v. California, 314
U.S. 252 ; Pennekamp v. Florida, 328
U.S. 331 .
[ Footnote 9 ] De Jonge v. Oregon, 299
U.S. 353 .
[ Footnote 10 ] Edwards v. South Carolina, 372
U.S. 229 .
[ Footnote 11 ] Roth v. United States, 354
U.S. 476 .
[ Footnote 12 ] N. A. A. C. P. v. Button, 371
U.S. 415 .
[ Footnote 13 ] See also Mill, On Liberty (Oxford:
Blackwell, 1947), at 47: ". . . [T]o argue sophistically, to
suppress facts or arguments, to misstate the elements of the
case, or misrepresent the opposite opinion . . . all this,
even to the most aggravated degree, is so continually done in
perfect good faith, by persons who are not considered, and in
many other respects may not deserve to be considered, ignorant
or incompetent, that it is rarely possible, on adequate
grounds, conscientiously to stamp the misrepresentation as
morally culpable; and still less could law presume to
interfere with this kind of controversial misconduct."
[ Footnote 14 ] The climate in which public
officials operate, especially during a political campaign, has
been described by one commentator in the following terms:
"Charges of gross incompetence, disregard of the public
interest, communist sympathies, and the like usually have
filled the air; and hints of bribery, embezzlement, and other
criminal conduct are not infrequent." Noel, Defamation of
Public Officers and Candidates, 49 Col. L. Rev. 875 (1949).
For a similar description written 60 years earlier, see Chase,
Criticism of Public Officers and Candidates for Office, 23 Am.
L. Rev. 346 (1889).
[ Footnote 15 ] The Report on the Virginia
Resolutions further stated: "[I]t is manifestly impossible to
punish the intent to bring those who administer the government
into disrepute or contempt, without striking at the right of
freely discussing public characters and measures; . . . which,
again, is equivalent to a protection of those who administer
the government, if they should at any time deserve the
contempt or hatred of the people, against being exposed to it,
by free animadversions on their characters and conduct. Nor
can there be a doubt . . . that a government thus intrenched
in penal statutes against the just and natural effects of a
culpable administration, will easily evade the responsibility
which is essential to a faithful discharge of its duty. "Let
it be recollected, lastly, that the right of electing the
members of the government constitutes more particularly the
essence of a free and responsible government. The value and
efficacy of this right depends on the knowledge of the
comparative merits and demerits of the candidates for public
trust, and on the equal freedom, consequently, of examining
and discussing these merits and demerits of the candidates
respectively." 4 Elliot's Debates, supra, p. 575.
[ Footnote 16 ] The Act expired by its terms in
1801.
[ Footnote 17 ] Cf. Farmers Union v. WDAY, 360
U.S. 525, 535 .
[ Footnote 18 ] The Times states that four other
libel suits based on the advertisement have been filed against
it by others who have served as Montgomery City Commissioners
and by the Governor of Alabama: that another $500,000 verdict
has been awarded in the only one of these cases that has yet
gone to trial; and that the damages sought in the other three
total $2,000,000.
[ Footnote 19 ] Even a false statement may be
deemed to make a valuable contribution to public debate, since
it brings about "the clearer perception and livelier
impression of truth, produced by its collision with error."
Mill, On Liberty (Oxford: Blackwell, 1947), at 15; see also
Milton, Areopagitica, in Prose Works (Yale, 1959), Vol. II, at
561.
[ Footnote 20 ] E. g., Ponder v. Cobb, 257 N.C.
281, 299, 126 S. E. 2d 67, 80 (1962); Lawrence v. Fox, 357
Mich. 134, 146, 97 N. W. 2d 719, 725 (1959); Stice v. Beacon
Newspaper Corp., 185 Kan. 61, 65-67, 340 P.2d 396, 400-401
(1959); Bailey v. Charleston Mail Assn., 126 W. Va. 292, 307,
27 S. E. 2d 837, 844 (1943); Salinger v. Cowles, 195 Iowa 873,
889, 191 N. W. 167, 174 (1922); Snively v. Record Publishing
Co., 185 Cal. 565, 571-576, 198 P. 1 (1921); McLean v.
Merriman, 42 S. D. 394, 175 N. W. 878 (1920). Applying the
same rule to candidates for public office, see, e. g., Phoenix
Newspapers v. Choisser, 82 Ariz. 271, 276-277, 312 P.2d 150,
154 (1957); Friedell v. Blakely Printing Co., 163 Minn. 226,
230, 203 N. W. 974, 975 (1925). And see Chagnon v.
Union-Leader Corp., 103 N. H. 426, 438, 174 A. 2d 825, 833
(1961), cert. denied, 369
U.S. 830 . The consensus of scholarly opinion apparently
favors the rule that is here adopted. E. g., 1 Harper and
James, Torts, 5.26, at 449-450 (1956); Noel, Defamation of
Public Officers and Candidates, 49 Col. L. Rev. 875, 891-895,
897, 903 (1949); Hallen, Fair Comment, 8 Tex. L. Rev. 41; 61
(1929); Smith, Charges Against Candidates, 18 Mich. L. Rev. 1,
115 (1919); Chase, Criticism of Public Officers and Candidates
for Office, 23 Am. L. Rev. 346, 367-371 (1889); Cooley,
Constitutional Limitations (7th ed., Lane, 1903), at 604,
616-628. But see, e. g., American Law Institute, Restatement
of Torts, 598, Comment a (1938) (reversing the position taken
in Tentative Draft 13, 1041 (2) (1936)); Veeder, Freedom of
Public Discussion, 23 Harv. L. Rev. 413, 419 (1910).
[ Footnote 21 ] The privilege immunizing honest
misstatements of fact is often referred to as a "conditional"
privilege to distinguish it from the "absolute" privilege
recognized in judicial, legislative, administrative and
executive proceedings. See, e. g., Prosser, Torts (2d ed.,
1955), 95.
[ Footnote 22 ] See 1 Harper and James, Torts,
5.23, at 429-430 (1956): Prosser, Torts (2d ed., 1955), at
612-613; American Law Institute, Restatement of Torts (1938),
591.
[ Footnote 23 ] We have no occasion here to
determine how far down into the lower ranks of government
employees the "public official" designation would extend for
purposes of this rule, or otherwise to specify categories of
persons who would or would not be included. Cf. Barr v.
Matteo, 360
U.S. 564, 573 -575. Nor need we here determine the
boundaries of the "official conduct" concept. It is enough for
the present case that respondent's position as an elected city
commissioner clearly made him a public official, and that the
allegations in the advertisement concerned what was allegedly
his official conduct as Commissioner in charge of the Police
Department. As to the statements alleging the assaulting of
Dr. King and the bombing of his home, it is immaterial that
they might not be considered to involve respondent's official
conduct if he himself had been accused of perpetrating the
assault and the bombing. Respondent does not claim that the
statements charged him personally with these acts; his
contention is that the advertisement connects him with them
only in his official capacity as the Commissioner supervising
the police, on the theory that the police might be equated
with the "They" who did the bombing and assaulting. Thus, if
these allegations can be read as referring to respondent at
all, they must be read as describing his performance of his
official duties.
[ Footnote 24 ] Johnson Publishing Co. v. Davis,
271 Ala. 474, 487, 124 So.2d 441, 450 (1960). Thus, the trial
judge here instructed the jury that "mere negligence or
carelessness is not evidence of actual malice or malice in
fact, and does not justify an award of exemplary or punitive
damages in an action for libel." [376 U.S. 254, 284] The
court refused, however, to give the following instruction
which had been requested by the Times: "I charge you . . .
that punitive damages, as the name indicates, are designed to
punish the defendant, the New York Times Company, a
corporation, and the other defendants in this case,. . . and I
further charge you that such punitive damages may be awarded
only in the event that you, the jury, are convinced by a fair
preponderance of the evidence that the defendant . . . was
motivated by personal ill will, that is actual intent to do
the plaintiff harm, or that the defendant . . . was guilty of
gross negligence and recklessness and not of just ordinary
negligence or carelessness in publishing the matter complained
of so as to indicate a wanton disregard of plaintiff's
rights." The trial court's error in failing to require any
finding of actual malice for an award of general damages makes
it unnecessary for us to consider the sufficiency under the
federal standard of the instructions regarding actual malice
that were given as to punitive damages.
[ Footnote 25 ] Accord, Coleman v. MacLennan,
supra, 78 Kan., at 741, 98 P., at 292; Gough v.
Tribune-Journal Co., 75 Idaho 502, 510, 275 P.2d 663, 668
(1954).
[ Footnote 26 ] The Seventh Amendment does not, as
respondent contends, preclude such an examination by this
Court. That Amendment, providing that "no fact tried by a
jury, shall be otherwise reexamined in any Court of the United
States, than according to the rules of the common law," is
applicable to state cases coming here. Chicago, B. & Q. R.
Co. v. Chicago, 166
U.S. 226, 242 -243; cf. The Justices v. Murray. 9 Wall.
274. But its ban on re-examination of facts does not preclude
us from determining whether governing rules of federal law
have been properly applied to the facts. "[T]his Court will
review the finding of facts by a State court . . . where a
conclusion of law as to a Federal right and a finding of fact
are so intermingled as to make it necessary, in order to pass
upon the Federal question, to analyze the facts." Fiske v.
Kansas, 274
U.S. 380, 385 -386. See also Haynes v. Washington, 373
U.S. 503, 515 -516.
[ Footnote 27 ] The Times has set forth in a
booklet its "Advertising Acceptability Standards." Listed
among the classes of advertising that the newspaper does not
accept are advertisements that are "fraudulent or deceptive,"
that are "ambiguous in wording and . . . may mislead," and
that contain "attacks of a personal character." In replying to
respondent's interrogatories before the trial, the Secretary
of the Times stated that "as the advertisement made no attacks
of a personal character upon any individual and otherwise met
the advertising acceptability standards promulgated," it had
been approved for publication.
[ Footnote 28 ] Respondent's own testimony was that
"as Commissioner of Public Affairs it is part of my duty to
supervise the Police Department and I certainly feel like it
[a statement] is associated with me when it describes police
activities." He thought that "by virtue of being [376 U.S. 254, 290]
Police Commissioner and Commissioner of
Public Affairs," he was charged with "any activity on the part
of the Police Department." "When it describes police action,
certainly I feel it reflects on me as an individual." He added
that "It is my feeling that it reflects not only on me but on
the other Commissioners and the community." Grover C. Hall
testified that to him the third paragraph of the advertisement
called to mind "the City government - the Commissioners," and
that "now that you ask it I would naturally think a little
more about the police Commissioner because his responsibility
is exclusively with the constabulary." It was "the phrase
about starvation" that led to the association; "the other
didn't hit me with any particular force." Arnold D. Blackwell
testified that the third paragraph was associated in his mind
with "the Police Commissioner and the police force. The people
on the police force." If he had believed the statement about
the padlocking of the dining hall, he would have thought "that
the people on our police force or the heads of our police
force were acting without their jurisdiction and would not be
competent for the position." "I would assume that the
Commissioner had ordered the police force to do that and
therefore it would be his responsibility." Harry W. Kaminsky
associated the statement about "truckloads of police" with
respondent "because he is the Police Commissioner." He thought
that the reference to arrests in the sixth paragraph
"implicates the Police Department, I think, or the authorities
that would do that - arrest folks for speeding and loitering
and such as that." Asked whether he would associate with
respondent a newspaper report that the police had "beat
somebody up or assaulted them on the streets of Montgomery,"
he replied: "I still say he is the Police Commissioner and
those men are working directly under him and therefore I would
think that he would have something to do with it." In general,
he said, "I look at Mr. Sullivan when I see the Police
Department." H. M. Price, Sr., testified that he associated
the first sentence of the third paragraph with respondent
because: "I would just automatically consider that the Police
Commissioner in Montgomery [376 U.S. 254, 291] would have to
put his approval on those kind of things as an individual."
William M. Parker, Jr., testified that he associated the
statements in the two paragraph with "the Commissioners of the
City of Montgomery," and since respondent "was the Police
Commissioner," he "thought of him first." He told the
examining counsel: "I think if you were the Police
Commissioner I would have thought it was speaking of you."
Horace W. White, respondent's former employer, testified that
the statement about "truck-loads of police" made him think of
respondent "as being the head of the Police Department." Asked
whether he read the statement as charging respondent himself
with ringing the campus or having shotguns and tear-gas, he
replied: "Well, I thought of his department being charged with
it, yes, sir. He is the head of the Police Department as I
understand it." He further said that the reason he would have
been unwilling to re-employ respondent if he had believed the
advertisement was "the fact that he allowed the Police
Department to do the things that the paper say he did."
[ Footnote 29 ] Compare Ponder v. Cobb, 257 N.C.
281, 126 S. E. 2d 67 (1962).
[ Footnote 30 ] Insofar as the proposition means
only that the statements about police conduct libeled
respondent by implicitly criticizing his ability to run the
Police Department, recovery is also precluded in this case by
the doctrine of fair comment. See American Law Institute,
Restatement of Torts (1938), 607. Since the Fourteenth
Amendment requires recognition of the conditional privilege
for honest misstatements of fact, it follows that a defense of
fair comment must be afforded for honest expression of opinion
based upon privileged, as well as true, statements of fact.
Both defenses are of course defeasible if the public official
proves actual malice, as was not done here. [376 U.S. 254, 293]
MR. JUSTICE BLACK, with whom MR. JUSTICE DOUGLAS joins,
concurring.
I concur in reversing this half-million-dollar judgment
against the New York Times Company and the four individual
defendants. In reversing the Court holds that "the
Constitution delimits a State's power to award damages for
libel in actions brought by public officials against critics
of their official conduct." Ante, p. 283. I base my vote to
reverse on the belief that the First and Fourteenth Amendments
not merely "delimit" a State's power to award damages to
"public officials against critics of their official conduct"
but completely prohibit a State from exercising such a power.
The Court goes on to hold that a State can subject such
critics to damages if "actual malice" can be proved against
them. "Malice," even as defined by the Court, is an elusive,
abstract concept, hard to prove and hard to disprove. The
requirement that malice be proved provides at best an
evanescent protection for the right critically to discuss
public affairs and certainly does not measure up to the sturdy
safeguard embodied in the First Amendment. Unlike the Court,
therefore, I vote to reverse exclusively on the ground that
the Times and the individual defendants had an absolute,
unconditional constitutional right to publish in the Times
advertisement their criticisms of the Montgomery agencies and
officials. I do not base my vote to reverse on any failure to
prove that these individual defendants signed the
advertisement or that their criticism of the Police Department
was aimed at the plaintiff Sullivan, who was then the
Montgomery City Commissioner having supervision of the city's
police; for present purposes I assume these things were
proved. Nor is my reason for reversal the size of the
half-million-dollar judgment, large as it is. If Alabama has
constitutional power to use its civil libel law to impose
damages on the press for criticizing the way public officials
perform or fail [376
U.S. 254, 294] to perform their duties, I
know of no provision in the Federal Constitution which either
expressly or impliedly bars the State from fixing the amount
of damages.
The half-million-dollar verdict does give dramatic proof,
however, that state libel laws threaten the very existence of
an American press virile enough to publish unpopular views on
public affairs and bold enough to criticize the conduct of
public officials. The factual background of this case
emphasizes the imminence and enormity of that threat. One of
the acute and highly emotional issues in this country arises
out of efforts of many people, even including some public
officials, to continue state-commanded segregation of races in
the public schools and other public places, despite our
several holdings that such a state practice is forbidden by
the Fourteenth Amendment. Montgomery is one of the localities
in which widespread hostility to desegregation has been
manifested. This hostility has sometimes extended itself to
persons who favor desegregation, particularly to so-called
"outside agitators," a term which can be made to fit papers
like the Times, which is published in New York. The scarcity
of testimony to show that Commissioner Sullivan suffered any
actual damages at all suggests that these feelings of
hostility had at least as much to do with rendition of this
half-million-dollar verdict as did an appraisal of damages.
Viewed realistically, this record lends support to an
inference that instead of being damaged Commissioner
Sullivan's political, social, and financial prestige has
likely been enhanced by the Times' publication. Moreover, a
second half-million-dollar libel verdict against the Times
based on the same advertisement has already been awarded to
another Commissioner. There a jury again gave the full amount
claimed. There is no reason to believe that there are not more
such huge verdicts lurking just around the corner for the
Times or any other newspaper or broadcaster which [376 U.S. 254, 295]
might dare to criticize public officials. In
fact, briefs before us show that in Alabama there are now
pending eleven libel suits by local and state officials
against the Times seeking $5,600,000, and five such suits
against the Columbia Broadcasting System seeking $1,700,000.
Moreover, this technique for harassing and punishing a free
press - now that it has been shown to be possible - is by no
means limited to cases with racial overtones; it can be used
in other fields where public feelings may make local as well
as out-of-state newspapers easy prey for libel verdict
seekers.
In my opinion the Federal Constitution has dealt with this
deadly danger to the press in the only way possible without
leaving the free press open to destruction - by granting the
press an absolute immunity for criticism of the way public
officials do their public duty. Compare Barr v. Matteo, 360
U.S. 564 . Stopgap measures like those the Court adopts
are in my judgment not enough. This record certainly does not
indicate that any different verdict would have been rendered
here whatever the Court had charged the jury about "malice,"
"truth," "good motives," "justifiable ends," or any other
legal formulas which in theory would protect the press. Nor
does the record indicate that any of these legalistic words
would have caused the courts below to set aside or to reduce
the half-million-dollar verdict in any amount.
I agree with the Court that the Fourteenth Amendment made
the First applicable to the States. 1 This means to me that since the adoption of
the Fourteenth Amendment a State has no more power than the
Federal Government to use a civil libel law or any other law
to impose damages for merely discussing public affairs and
criticizing public officials. The power of the United [376 U.S. 254, 296]
States to do that is, in my judgment,
precisely nil. Such was the general view held when the First
Amendment was adopted and ever since. 2 Congress never has sought to challenge this
viewpoint by passing any civil libel law. It did pass the
Sedition Act in 1798, 3 which made it a crime - "seditious libel" - to
criticize federal officials or the Federal Government. As the
Court's opinion correctly points out, however, ante, pp.
273-276, that Act came to an ignominious end and by common
consent has generally been treated as having been a wholly
unjustifiable and much to be regretted violation of the First
Amendment. Since the First Amendment is now made applicable to
the States by the Fourteenth, it no more permits the States to
impose damages for libel than it does the Federal Government.
We would, I think, more faithfully interpret the First
Amendment by holding that at the very least it leaves the
people and the press free to criticize officials and discuss
public affairs with impunity. This Nation of ours elects many
of its important officials; so do the States, the
municipalities, the counties, and even many precincts. These
officials are responsible to the people for the way they
perform their duties. While our Court has held that some kinds
of speech and writings, such as "obscenity," Roth v. United
States, 354
U.S. 476 , and "fighting words," Chaplinsky v. New
Hampshire, 315
U.S. 568 , are not expression within the protection of the
First Amendment, 4 freedom to discuss public affairs and public
officials [376 U.S.
254, 297] is unquestionably, as the Court
today holds, the kind of speech the First Amendment was
primarily designed to keep within the area of free discussion.
To punish the exercise of this right to discuss public affairs
or to penalize it through libel judgments is to abridge or
shut off discussion of the very kind most needed. This Nation,
I suspect, can live in peace without libel suits based on
public discussions of public affairs and public officials. But
I doubt that a country can live in freedom where its people
can be made to suffer physically or financially for
criticizing their government, its actions, or its officials.
"For a representative democracy ceases to exist the moment
that the public functionaries are by any means absolved from
their responsibility to their constituents; and this happens
whenever the constituent can be restrained in any manner from
speaking, writing, or publishing his opinions upon any public
measure, or upon the conduct of those who may advise or
execute it." 5 An unconditional right to say what one pleases
about public affairs is what I consider to be the minimum
guarantee of the First Amendment. 6
I regret that the Court has stopped short of this holding
indispensable to preserve our free press from destruction.
[ Footnote 1 ] See cases collected in Speiser v.
Randall, 357
U.S. 513, 530 (concurring opinion).
[ Footnote 2 ] See, e. g., 1 Tucker, Blackstone's
Commentaries (1803), 297-299 (editor's appendix). St. George
Tucker, a distinguished Virginia jurist, took part in the
Annapolis Convention of 1786, sat on both state and federal
courts, and was widely known for his writings on judicial and
constitutional subjects.
[ Footnote 3 ] Act of July 14, 1798, 1 Stat. 596.
[ Footnote 4 ] But see Smith v. California, 361
U.S. 147, 155 (concurring opinion); Roth v. United States,
354
U.S. 476, 508 (dissenting opinion).
[ Footnote 5 ] 1 Tucker, Blackstone's Commentaries
(1803), 297 (editor's appendix); cf. Brant, Seditious Libel:
Myth and Reality, 39 N. Y. U. L. Rev. 1.
[ Footnote 6 ] Cf. Meiklejohn, Free Speech and Its
Relation to Self-Government (1948).
MR. JUSTICE GOLDBERG, with whom MR. JUSTICE DOUGLAS joins,
concurring in the result.
The Court today announces a constitutional standard which
prohibits "a public official from recovering damages for a
defamatory falsehood relating to his official conduct unless
he proves that the statement was made with [376 U.S. 254, 298]
`actual malice' - that is, with knowledge that it was
false or with reckless disregard of whether it was false or
not." Ante, at 279-280. The Court thus rules that the
Constitution gives citizens and newspapers a "conditional
privilege" immunizing nonmalicious misstatements of fact
regarding the official conduct of a government officer. The
impressive array of history 1 and precedent marshaled by the Court, however,
confirms my belief that the Constitution affords greater
protection than that provided by the Court's standard to
citizen and press in exercising the right of public criticism.
In my view, the First and Fourteenth Amendments to the
Constitution afford to the citizen and to the press an
absolute, unconditional privilege to criticize official
conduct despite the harm which may flow from excesses and
abuses. The prized American right "to speak one's mind," cf.
Bridges v. California, 314
U.S. 252, 270 , about public officials and affairs needs
"breathing space to survive," N. A. A. C. P. v. Button, 371
U.S. 415, 433 . The right should not depend upon a probing
by the jury of the motivation 2 of the citizen or press. The theory [376 U.S. 254, 299]
of our Constitution is that every citizen
may speak his mind and every newspaper express its view on
matters of public concern and may not be barred from speaking
or publishing because those in control of government think
that what is said or written is unwise, unfair, false, or
malicious. In a democratic society, one who assumes to act for
the citizens in an executive, legislative, or judicial
capacity must expect that his official acts will be commented
upon and criticized. Such criticism cannot, in my opinion, be
muzzled or deterred by the courts at the instance of public
officials under the label of libel.
It has been recognized that "prosecutions for libel on
government have [no] place in the American system of
jurisprudence." City of Chicago v. Tribune Co., 307 Ill. 595,
601, 139 N. E. 86, 88. I fully agree. Government, however, is
not an abstraction; it is made up of individuals - of
governors responsible to the governed. In a democratic society
where men are free by ballots to remove those in power, any
statement critical of governmental action is necessarily "of
and concerning" the governors and any statement critical of
the governors' official conduct is necessarily "of and
concerning" the government. If the rule that libel on
government has no place in our Constitution is to have real
meaning, then libel on the official conduct of the governors
likewise can have no place in our Constitution.
We must recognize that we are writing upon a clean slate.
3 As the Court notes, although there have been
[376 U.S. 254, 300]
"statements of this Court to the effect that
the Constitution does not protect libelous publications . . .
[n]one of the cases sustained the use of libel laws to impose
sanctions upon expression critical of the official conduct of
public officials." Ante, at 268. We should be particularly
careful, therefore, adequately to protect the liberties which
are embodied in the First and Fourteenth Amendments. It may be
urged that deliberately and maliciously false statements have
no conceivable value as free speech. That argument, however,
is not responsive to the real issue presented by this case,
which is whether that freedom of speech which all agree is
constitutionally protected can be effectively safeguarded by a
rule allowing the imposition of liability upon a jury's
evaluation of the speaker's state of mind. If individual
citizens may be held liable in damages for strong words, which
a jury finds false and maliciously motivated, there can be
little doubt that public debate and advocacy will be
constrained. And if newspapers, publishing advertisements
dealing with public issues, thereby risk liability, there can
also be little doubt that the ability of minority groups to
secure publication of their views on public affairs and to
seek support for their causes will be greatly diminished. Cf.
Farmers Educational & Coop. Union v. WDAY, Inc., 360
U.S. 525, 530 . The opinion of the Court conclusively
demonstrates the chilling effect of the Alabama libel laws on
First Amendment freedoms [376 U.S. 254, 301] in the area of
race relations. The American Colonists were not willing, nor
should we be, to take the risk that "[m]en who injure and
oppress the people under their administration [and] provoke
them to cry out and complain" will also be empowered to "make
that very complaint the foundation for new oppressions and
prosecutions." The Trial of John Peter Zenger, 17 Howell's St.
Tr. 675, 721-722 (1735) (argument of counsel to the jury). To
impose liability for critical, albeit erroneous or even
malicious, comments on official conduct would effectively
resurrect "the obsolete doctrine that the governed must not
criticize their governors." Cf. Sweeney v. Patterson, 76 U.S.
App. D.C. 23, 24, 128 F.2d 457, 458.
Our national experience teaches that repressions breed hate
and "that hate menaces stable government." Whitney v.
California, 274
U.S. 357, 375 (Brandeis, J., concurring). We should be
ever mindful of the wise counsel of Chief Justice Hughes:
"[I]mperative is the need to preserve inviolate the
constitutional rights of free speech, free press and free
assembly in order to maintain the opportunity for free
political discussion, to the end that government may be
responsive to the will of the people and that changes, if
desired, may be obtained by peaceful means. Therein lies the
security of the Republic, the very foundation of
constitutional government." De Jonge v. Oregon, 299
U.S. 353, 365 .
This is not to say that the Constitution protects
defamatory statements directed against the private conduct of
a public official or private citizen. Freedom of press and of
speech insures that government will respond to the will of the
people and that changes may be obtained by peaceful means.
Purely private defamation has little to do with the political
ends of a self-governing society. The imposition of liability
for private defamation does not [376 U.S. 254, 302] abridge the
freedom of public speech or any other freedom protected by the
First Amendment. 4 This, of course, cannot be said "where public
officials are concerned or where public matters are involved.
. . . [O]ne main function of the First Amendment is to ensure
ample opportunity for the people to determine and resolve
public issues. Where public matters are involved, the doubts
should be resolved in favor of freedom of expression rather
than against it." Douglas, The Right of the People (1958), p.
41.
In many jurisdictions, legislators, judges and executive
officers are clothed with absolute immunity against liability
for defamatory words uttered in the discharge of their public
duties. See, e. g., Barr v. Matteo, 360
U.S. 564 ; City of Chicago v. Tribune Co., 307 Ill., at
610, 139 N. E., at 91. Judge Learned Hand ably summarized the
policies underlying the rule:
"It does indeed go without saying that an official, who
is in fact guilty of using his powers to vent his spleen
upon others, or for any other personal motive not connected
with the public good, should not escape liability for the
injuries he may so cause; and, if it were possible in
practice to confine such complaints to the guilty, it would
be monstrous to deny recovery. The justification for doing
so is that it is impossible to know whether the claim is
well founded until the [376 U.S. 254, 303] case has been
tried, and that to submit all officials, the innocent as
well as the guilty, to the burden of a trial and to the
inevitable danger of its outcome, would dampen the ardor of
all but the most resolute, or the most irresponsible, in the
unflinching discharge of their duties. Again and again the
public interest calls for action which may turn out to be
founded on a mistake, in the face of which an official may
later find himself hard put to it to satisfy a jury of his
good faith. There must indeed be means of punishing public
officers who have been truant to their duties; but that is
quite another matter from exposing such as have been
honestly mistaken to suit by anyone who has suffered from
their errors. As is so often the case, the answer must be
found in a balance between the evils inevitable in either
alternative. In this instance it has been thought in the end
better to leave unredressed the wrongs done by dishonest
officers than to subject those who try to do their duty to
the constant dread of retaliation. . . .
"The decisions have, indeed, always imposed as a
limitation upon the immunity that the official's act must
have been within the scope of his powers; and it can be
argued that official powers, since they exist only for the
public good, never cover occasions where the public good is
not their aim, and hence that to exercise a power
dishonestly is necessarily to overstep its bounds. A
moment's reflection shows, however, that that cannot be the
meaning of the limitation without defeating the whole
doctrine. What is meant by saying that the officer must be
acting within his power cannot be more than that the
occasion must be such as would have justified the act, if he
had been using his power for any of the purposes on whose
account it was vested in him. . . ." Gregoire v. Biddle, 177
F.2d 579, 581. [376
U.S. 254, 304]
If the government official should be immune from
libel actions so that his ardor to serve the public will not
be dampened and "fearless, vigorous, and effective
administration of policies of government" not be inhibited,
Barr v. Matteo, supra, at 571, then the citizen and the press
should likewise be immune from libel actions for their
criticism of official conduct. Their ardor as citizens will
thus not be dampened and they will be free "to applaud or to
criticize the way public employees do their jobs, from the
least to the most important." 5 If liability can attach to political criticism
because it damages the reputation of a public official as a
public official, then no critical citizen can safely utter
anything but faint praise about the government or its
officials. The vigorous criticism by press and citizen of the
conduct of the government of the day by the officials of the
day will soon yield to silence if officials in control of
government agencies, instead of answering criticisms, can
resort to friendly juries to forestall criticism of their
official conduct. 6
The conclusion that the Constitution affords the citizen
and the press an absolute privilege for criticism of official
conduct does not leave the public official without defenses
against unsubstantiated opinions or deliberate misstatements.
"Under our system of government, counterargument and education
are the weapons available to expose these matters, not
abridgment . . . of free speech . . . ." Wood v. Georgia, 370
U.S. 375, 389 . The public [376 U.S. 254, 305] official
certainly has equal if not greater access than most private
citizens to media of communication. In any event, despite the
possibility that some excesses and abuses may go unremedied,
we must recognize that "the people of this nation have
ordained in the light of history, that, in spite of the
probability of excesses and abuses, [certain] liberties are,
in the long view, essential to enlightened opinion and right
conduct on the part of the citizens of a democracy." Cantwell
v. Connecticut, 310
U.S. 296, 310 . As Mr. Justice Brandeis correctly
observed, "sunlight is the most powerful of all
disinfectants." 7
For these reasons, I strongly believe that the Constitution
accords citizens and press an unconditional freedom to
criticize official conduct. It necessarily follows that in a
case such as this, where all agree that the allegedly
defamatory statements related to official conduct, the
judgments for libel cannot constitutionally be sustained.
[ Footnote 1 ] I fully agree with the Court that
the attack upon the validity of the Sedition Act of 1798, 1
Stat. 596, "has carried the day in the court of history,"
ante, at 276, and that the Act would today be declared
unconstitutional. It should be pointed out, however, that the
Sedition Act proscribed writings which were "false, scandalous
and malicious." (Emphasis added.) For prosecutions under the
Sedition Act charging malice, see, e. g., Trial of Matthew
Lyon (1798), in Wharton, State Trials of the United States
(1849), p. 333: Trial of Thomas Cooper (1800), in id., at 659;
Trial of Anthony Haswell (1800), in id., at 684; Trial of
James Thompson Callender (1800), in id., at 688.
[ Footnote 2 ] The requirement of proving actual
malice or reckless disregard may, in the mind of the jury, add
little to the requirement of proving falsity, a requirement
which the Court recognizes not to be an adequate safeguard.
The thought suggested by Mr. Justice Jackson in United States
v. Ballard, 322
U.S. 78, 92 -93, is relevant here: "[A]s a matter of
either practice or philosophy I do not see how [376 U.S. 254, 299]
we can separate an issue as to what is
believed from considerations as to what is believable. The
most convincing proof that one believes his statements is to
show that they have been true in his experience. Likewise,
that one knowingly falsified is best proved by showing that
what he said happened never did happen." See note 4, infra.
[ Footnote 3 ] It was not until Gitlow v. New York,
268
U.S. 652 , decided in 1925, that it was intimated that the
freedom of speech guaranteed by [376 U.S. 254, 300] the First
Amendment was applicable to the States by reason of the
Fourteenth Amendment. Other intimations followed. See Whitney
v. California, 274
U.S. 357 ; Fiske v. Kansas, 274
U.S. 380 . In 1931 Chief Justice Hughes speaking for the
Court in Stromberg v. California, 283
U.S. 359, 368 , declared: "It has been determined that the
conception of liberty under the due process clause of the
Fourteenth Amendment embraces the right of free speech." Thus
we deal with a constitutional principle enunciated less than
four decades ago, and consider for the first time the
application of that principle to issues arising in libel cases
brought by state officials.
[ Footnote 4 ] In most cases, as in the case at
bar, there will be little difficulty in distinguishing
defamatory speech relating to private conduct from that
relating to official conduct. I recognize, of course, that
there will be a gray area. The difficulties of applying a
public-private standard are, however, certainly of a different
genre from those attending the differentiation between a
malicious and nonmalicious state of mind. If the
constitutional standard is to be shaped by a concept of
malice, the speaker takes the risk not only that the jury will
inaccurately determine his state of mind but also that the
jury will fail properly to apply the constitutional standard
set by the elusive concept of malice. See note 2, supra.
[ Footnote 5 ] MR. JUSTICE BLACK concurring in Barr
v. Matteo, 360
U.S. 564, 577 , observed that: "The effective functioning
of a free government like ours depends largely on the force of
an informed public opinion. This calls for the widest possible
understanding of the quality of government service rendered by
all elective or appointed public officials or employees. Such
an informed understanding depends, of course, on the freedom
people have to applaud or to criticize the way public
employees do their jobs, from the least to the most
important."
[ Footnote 6 ] See notes 2, 4, supra.
[ Footnote 7 ] See Freund, The Supreme Court of the
United States (1949), p. 61. [376 U.S. 254, 306]
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