State v. William Schenk
State v. William Schenk
Opinion of the Court
*822¶ 1. Defendant William Schenk was charged with two counts of disorderly conduct, in violation of 13 V.S.A. § 1026(a)(1), in connection with the distribution of Ku Klux Klan recruitment flyers in the City of Burlington. For each count, the State charged that the penalty should be enhanced under 13 V.S.A. § 1455 because the crime was hate-motivated. Defendant appeals the trial court's denial of his motion to dismiss the two disorderly conduct charges and the associated sentence enhancement. We hold that the State failed to establish a prima facie case because defendant's conduct conveyed neither the physical nor imminent threat of harm that we construe the definition of "threatening behavior" to require. Accordingly, we do not reach defendant's challenge to the application of the hate-motivated crime sentence enhancement. We reverse and grant defendant's motion to dismiss.
¶ 2. The facts may be summarized as follows. In late October 2015, two women in Burlington found flyers advertising the Ku Klux Klan at their homes. One of the women is Mexican American; the other is African American. One woman found the flyer folded up and inserted into the mailbox by her front door, while the other woman found the flyer tucked into her front door. The one-page flyer depicted a hooded and robed Klansman mounted on a horse and holding a burning cross. The Confederate flag and the colonial thirteen-star American flag are shown behind the horse and rider. Across the top of the flyer were the words: "Join the Klan and Save Our Land!!!!" The bottom of the flyer read "United Northern & Southern Knights of the Ku Klux Klan" and included a web address. The flyer had no other content. Neither woman saw this flyer at neighboring homes.
¶ 3. Burlington police canvassed the area where the flyers were found looking for other flyers, though they were unable to speak with some residents because those residents were not at home. Police also reached out through social media and the local news to determine whether any other flyers had been found. The only other reported sighting was at a local copy store, where an employee reported finding the flyer in one of the store's copy machines. Police viewed surveillance camera footage from the store and were able to identify defendant. The investigating detective then contacted defendant. Defendant admitted to distributing the flyers and explained that he is a Kleagle, a recruiter for the Ku Klux Klan. Defendant told the detective that he had distributed a total of thirty to forty flyers in neighborhoods that defendant described as "more white."
¶ 4. The State charged defendant with two counts of disorderly conduct under 13 V.S.A. § 1026(a)(1), which states that:
A person is guilty of disorderly conduct if he or she, with intent to cause public *823inconvenience or annoyance, or recklessly creates a risk thereof ... engages in fighting or in violent, tumultuous, or threatening behavior ....
For each count, the charging information specifically alleged that defendant had "recklessly created a risk of public inconvenience or annoyance when he engaged in threatening behavior, TO WIT, by anonymously placing a flyer endorsing the Ku Klux Klan." The State also sought a hate-motivated crime sentence enhancement under 13 V.S.A. § 1455.
¶ 5. Defendant filed a motion to dismiss the charges under Vermont Rule of Criminal Procedure 12(b)(2)(B), which permits a defendant to raise at any time "a claim that the indictment or information fails to state an offense." As the court noted in its decision, the motion to dismiss for failure to state an offense was essentially converted into a motion to dismiss for lack of a prima facie case under Rule 12(d). In his motion, defendant argued that his conduct was protected speech under the U.S. Constitution's First Amendment and that his speech did not fall into any of the narrow categories of unprotected speech, such as true threats. The trial court held an evidentiary hearing on defendant's motion at which the two alleged victims and the investigating police officer testified. The court applied the standard for whether the State demonstrated a prima facie case: "whether, taking the evidence in the light most favorable to the state and excluding modifying evidence, the state has produced evidence fairly and reasonably tending to show the defendant guilty beyond a reasonable doubt." State v. Dixon,
¶ 6. The court considered each of these factors in turn, concluding that each weighed against dismissal. The court found it particularly persuasive that defendant had entered the curtilage of each alleged victim's home, an area that the court noted typically bears a heightened expectation of privacy. The court's decision also placed great weight on the content of the flyers distributed by defendant, reasoning for example that because "the Klan name and imagery, particularly the image of a burning cross, implies impending harm," defendant's conduct carried a strong implication of harm. The court summarized its decision as follows: "[T]he nature of the flyer and placement of the flyer in a part of the complaining witnesses' homes, where the *824recipients are members of an ethnic group historically targeted for violence by the Klan, results in the conclusion that the Defendant used the flyer as a tool to convey a strong message of intimidation and the potential for harm."
¶ 7. Following the trial court's denial of his motion to dismiss, defendant entered a conditional guilty plea, reserving the right to appeal the trial court's decision. Defendant was sentenced to concurrent terms of 119 to 120 days, with credit for time served. This appeal followed.
¶ 8. On appeal, defendant raises both facial and as-applied constitutional arguments. He essentially asks this Court to hold that either the disorderly conduct statute reaches only physical behavior, and speech can never serve as the basis for a charge under the statute, or that the statute can reach speech and, as such, either unconstitutionally regulates free speech under the First Amendment or prohibits only unprotected true threats. If the statute does reach true threats, defendant argues that his speech does not convey the imminent harm that defendant argues is necessary to find a true threat under U.S. Supreme Court caselaw.
¶ 9. It is fair to say from the briefing that the parties center their arguments on whether defendant's conduct can be found to involve a true threat such that defendant's speech was not protected by the First Amendment to the U.S. Constitution. The U.S. Supreme Court has held in two main cases that true threats are not constitutionally protected: Watts v. United States,
[A] prohibition on true threats "protect[s] individuals from the fear of violence" and "from the disruption that fear engenders," in addition to protecting people "from the possibility that the threatened violence will occur." Intimidation in the constitutionally proscribable sense of the word is a type of true threat, where a speaker directs a threat to a person or group of persons with the intent of placing the victim in fear of bodily harm or death. Respondents do not contest that some cross burnings fit within this meaning of intimidating speech, and rightly so .... [T]he history of cross burning in this country shows that cross burning is often intimidating, intended to create a pervasive fear in victims that they are a target of violence.
¶ 10. We cannot decide this case on the constitutional issues raised by the parties unless it is clear that the State has made out a prima facie case that defendant has violated the statute under which he is charged. In arguing the constitutional question, the parties are assuming that a true threat will violate the statute. We must examine this assumption. This method of proceeding is required by our policy to decide cases on nonconstitutional grounds if possible, and to adopt a construction of the statute that avoids constitutional *825deficiencies. See State v. Read,
¶ 11. Defendant is accused of threatening behavior. We have relevant decisions of this Court in two contexts explaining the meaning of "threatening behavior." The first is decisions construing this language in cases brought under the statute before us here, 13 V.S.A. § 1026(a)(1). In construing this statute, we have held that behavior is threatening when it communicates a threat-"[a] threat is a communicated intent to inflict harm on person or property." State v. Cole,
¶ 12. The most recent decision construing this language is State v. Albarelli, in which the defendant was charged with disorderly conduct in violation of 13 V.S.A. § 1026(a)(1). In Albarelli, the defendant was charged under the same prong of the disorderly conduct statute as defendant here-with threatening behavior-after he approached a "Vermonters for Hope" table on the Church Street Mall in Burlington and began "ranting about the Obama candidacy." His hands were in his pockets for most of the time, though occasionally he "gestur[ed] wildly." This behavior lasted for approximately twenty minutes. Albarelli,
¶ 13. Albarelli went further than earlier decisions in describing the elements of the crime. We noted that "[d]isorderly conduct statutes have long raised free speech concerns."
¶ 14. In the second context in which we have considered "threatening behavior," we have several times over considered whether a probationer has violated a condition of probation prohibiting him or her from engaging in threatening behavior. One of these cases, decided shortly after Albarelli, in particular defines the contours of expressive conduct as threatening behavior. In State v. Sanville, we held that this probation condition was impermissibly vague as applied to the charged violation in that case.
*826
¶ 15. Sanville is particularly significant because the State argued that the probationer had committed the crime of disorderly conduct under 13 V.S.A. § 1026(a)(1) by engaging in threatening behavior, and that this crime constituted the basis for his probation violation.
¶ 16. Two other cases addressing the same probation condition are related to Sanville, but neither is helpful to the question before us today. See State v. Johnstone,
¶ 17. Johnstone noted that Sanville had not specifically addressed whether pure speech could violate the probation condition, and it refused to answer that question, but nonetheless narrowed the meaning of the condition to apply only to behavior that was intended to put the target of the threat in fear of harm.
¶ 18. Miles preceded Sanville. Like Johnstone, it noted that we had not decided whether speech alone could violate the probation condition prohibiting threatening behavior and declined to address that question.
¶ 19. There are also relevant and helpful decisions from courts in other jurisdictions. As we explained in Cole, much of the language of § 1026 was derived from § 250.2(1) of the Model Penal Code, including a variant of the "threatening behavior" language.
¶ 20. Cases from two states-Oregon and Connecticut-are particularly helpful in addressing the statutory construction issue before us because in both states, the statutory language is identical to that in 13 V.S.A. § 1026(a)(1).
We next consider defendants' contention that [the disorderly conduct statute] is overbroad in violation of [the Oregon Constitution], and, if so, whether a saving construction is possible. A criminal law is overbroad if it purports to reach activities that are constitutionally protected. [The statute] makes it a crime to engage in "fighting or in violent, tumultuous or threatening behavior" with the intent to cause, or recklessly creating a risk of, public inconvenience, annoyance or alarm. Defendants argue that, under certain circumstances, "behavior" could include actual or symbolic constitutionally-protected speech. We do not read the statute to encompass speech in the term "behavior," but construe it to refer only to physical acts of violence ..... "[F]ighting" and "violent, tumultuous or threatening behavior" describe physical acts of aggression, not speech, and in prohibiting such physical acts [the statute] does not run afoul of [the Oregon Constitution].
....
We hold that [the statute] makes unlawful only the use of physical force or *828physical conduct which is immediately likely to produce the use of such force and which is intended to create or recklessly creates a risk of public inconvenience, annoyance or alarm.
¶ 21. Hosley is instructive in applying the construction of the Oregon disorderly conduct statute. The defendant in that case, while walking in front of a neighbor's yard, talked with and picked up and hugged the neighbor's seven-year-old daughter and became emotional in doing so. He said he wanted a girl as pretty as her. A day later, the defendant placed a letter on the neighbor's porch, which thanked the neighbor for his understanding in a difficult time, but also included a page containing a "promise," with a signature line for the young girl and a signature line on which the defendant had already signed his name. Above the signature lines, the page set out a promise that "[i]f any boy or older man ever touches my privates or hurts me in any bad way, I promise I will tell my daddy." Hosley,
¶ 22. The Oregon court held that neither defendant's actions nor his letter met the standard of physical force or physical conduct which is immediately likely to produce the use of physical force. Id. at 390. With respect to the argument that the physical act was the delivery of the letter to the neighbor's porch, the court held:
[W]e reject the state's contention that the communicative act of leaving a letter can support defendant's disorderly conduct conviction. The statute does not reach physical conduct that is actual but incidental to a defendant's speech. We have specifically exempted physical acts that are a common method of gaining someone's attention, such as banging on a door and shouting for someone to open it. When defendant left the letter on T's porch, he engaged in a common method of gaining someone's attention, and that communicative act is not proscribed by [the disorderly conduct statute].
Id. at 389-90 (citations and quotations omitted).
¶ 23. In Connecticut, the critical decision is State v. Lo Sacco, a case that involves the same disorderly conduct language as 13 V.S.A. § 1026(a)(1) in the context of a domestic violence incident.
"Violent" is defined as "characterized by extreme force" and "furious or vehement to the point of being improper, unjust, or illegal." "Threatening" is defined as a "promise [of] punishment" or, "to give signs of the approach of (something evil or unpleasant)." When two or more words are grouped together, it is possible to ascertain the meaning of a particular word by reference to its relationship *829with other associated words and phrases under the doctrine of noscitur a sociis. Placed within the context of the other words in the statute, the word "threatening" takes on a more ominous tone. The statute proscribes "engaging in fighting or in violent, tumultuous, or threatening behavior." In State v. Duhan, [38 Conn.Supp. 665 ,460 A.2d 496 (1982) ], the Appellate Session of the Superior Court defined "tumultuous" as "riotous" and "turbulent." Fighting, by its plain meaning, involves physical force. We conclude that the language of [the disorderly conduct statute] involved in this case, namely, "violent or threatening behavior," evinces a legislative intent to proscribe conduct which actually involves physical violence or portends imminent physical violence.
Id. at 189-90 (citations and quotations omitted). The reasoning and decision of the court in Lo Sacco was endorsed by the Connecticut Supreme Court in State v. Indrisano in order to hold that the statute as interpreted was not unconstitutionally vague.
¶ 24. The courts in Connecticut and Oregon reached essentially the same statutory construction but for different reasons. The Oregon court adopted a narrowing construction limiting the reach of the statute to improper conduct in order to hold the statute was not vague or overbroad.
¶ 25. There is also a third reason for us to adopt this construction. As we noted in Cole, § 1026 is really "a criminal public nuisance statute."
¶ 26. In fact, Vermont has a general criminal statute that defines a misdemeanor *831crime of threats of violence to persons, but defendant was not charged under it.
(a) A person shall not by words or conduct knowingly:
(1) threaten another person; and
(2) as a result of the threat, place the other person in reasonable apprehension of death or serious bodily injury.
(b) A person who violates subsection (a) of this section shall be imprisoned not more than one year or fined not more than $1000.00, or both.
The statute goes on to define serious bodily injury as bodily injury that creates "a substantial risk of death, ... a substantial loss or impairment of the function of any bodily member or organ; ... a substantial impairment of health; or ... substantial disfigurement."
¶ 27. Our point is that a construction of § 1026(a)(1) that limits the statute's coverage to threatening conduct and doesn't cover threatening speech does not leave our law without a crime for speech that threatens personal violence. Indeed, the Legislature may have enacted § 1702 *832based on a concern that the disorderly conduct statute would not prohibit pure speech. Thus, § 1702 specifically addresses threatening speech and acknowledges that such a crime can extend only as far as the First Amendment allows. The presence of this statute is an indication that "threatening behavior," as criminalized in § 1026(a)(1) should not extend to threatening speech.
¶ 28. Although the Connecticut court did not rely on this rationale for its decision to construe the threatening behavior statutes to include threatening speech, we note that the same situation applies in Connecticut. The Connecticut legislature has enacted statutes that criminalize speech that threatens violence to a person, and these statutes have been challenged as inconsistent with the First Amendment. See Conn. Gen. Stat. Ann. § 53a-181(a)(3) ("A person is guilty of a breach of the peace ... when, with intent to cause inconvenience, annoyance or alarm, or recklessly creating a risk thereof, such person ... threatens to commit any crime against another person or such other person's property"). The Connecticut court has held that these statutes can be applied only to true threats to stay within constitutional limits. See State v. Krijger,
¶ 29. For the reasons stated in Cantwell and Lo Sacco, as well as adherence to our own precedent in Sanville, we adopt the construction of the term "threatening behavior" in those cases. We provide the following explanations of this construction's application.
¶ 30. In Albarelli, we held that the disorderly conduct statute proscribing threatening behavior "proscribes conduct, not speech, and therefore does not penalize speech."
¶ 31. We do not adopt the holding of Szymkiewicz that threatening behavior can be composed of fighting words despite the *833fact that the behavior is uttering speech. In Read,
For these reasons, if § 1026(a)(3) has any continuing force, it is necessarily exceedingly narrow in scope. The use of foul language and vulgar insults is insufficient. A likelihood of arousing animosity or inflaming anger is insufficient. The likelihood that the listener will feel an impulse to respond angrily or even forcefully is insufficient. The provision only reaches speech that, in the context in which it is uttered, is so inflammatory that it is akin to dropping a match into a pool of gasoline.
Id. ¶ 38. Even if the fighting words doctrine has continuing vitality, we would not apply it to the threatening behavior prong of § 1026, which has a different scope and purpose than the "abusive language" prong.
¶ 32. The definition of violent or threatening behavior in the Oregon cases-"physical force or physical conduct which is immediately likely to produce the use of such force"-is very similar to that in the Connecticut cases-"physical violence or portends imminent physical violence." We adopt the Oregon definition, with our explanation that speech can be introduced to explain or provide context for physical conduct.
¶ 33. We turn now to the trial court's decision on defendant's motion to dismiss. We apply the standard for a prima facie case pursuant to V.R.Cr.P. 12(d)(2). See supra, ¶ 5; State v. Hutchins,
¶ 34. Further, even if the statute could be violated by pure speech, the charged conduct would also need to convey the imminent threat of harm, which the conduct in this case does not. The flyer is a recruitment solicitation-its overt message is to join the Ku Klux Klan. It contains no explicit statement of threat. To the extent it conveys a message of personal threat to the recipient, it is that the Klan will recruit members and inflict harm in the future. The flyer itself is not "immediately likely to produce" force and harm. Cantwell,
¶ 35. For the above reasons, we hold that the State has not demonstrated that it *834has a prima facie case that defendant violated 13 V.S.A. § 1026(a)(1). The State's evidence cannot establish defendant's guilt beyond a reasonable doubt. The motion to dismiss the two disorderly conduct charges must be granted.
¶ 36. We need not reach whether defendant's conduct included a true threat. Even if defendant's speech contained a true threat, it would not violate the statute under which defendant was charged as we have construed that statute here and as explained above. In reaching this conclusion, we do recognize that any communication from the Ku Klux Klan complete with symbols of the Klan, particularly the burning cross, would raise concern and fear in a reasonable person who is a member of an ethnic or racial minority. We are not ruling today whether the Legislature can make criminal such action or has done so in a different statute. Our ruling today is only that defendant's conduct does not violate the specific statute under which he was charged, 13 V.S.A. § 1026(a)(1).
¶ 37. Because of our decision dismissing the disorderly conduct charges against defendant, we also need not reach the issues related to the hate-motivated sentence enhancement provided by 13 V.S.A. § 1455.
Reversed.
13 V.S.A. § 1455 applies when the person has committed "any crime" and the conduct involved is "maliciously motivated by the victim's actual or perceived race, color, religion, national origin, sex, ancestry, age, service in the U.S. Armed Forces, disability as defined by 21 V.S.A. § 495d(5), sexual orientation, or gender identity." The effect of a determination that the crime was hate-motivated is to enhance the maximum sentence for the crime.
The dissent finds Sanville unimportant because it is a probation violation case. We disagree. It construes § 1026(a)(1) in a manner directly contrary to the dissent's construction. To adopt the dissent's position, we would have to overrule Sanville.
The relevant section of the Model Penal Code has language that significantly differs from that enacted by the Vermont Legislature in § 1026(a)(1). The Model Penal Code section provides that a person is guilty of disorderly conduct if, "with purpose to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof," the person "engages in fighting or threatening, or in violent or tumultuous behavior." Model Penal Code § 250.2(1)(a). As the dissent acknowledges, the free-standing word "threatening" does not modify the word "behavior" in the Model Penal Code provision as it clearly does in § 1026(a)(1). Without the tie to behavior, we acknowledge that the statement in the Commentary that the statute covers speech alone is consistent with the statutory language. It is the tie to behavior in § 1026(a)(1) that leads to a different result.
The majority of appellate decisions construing statutory language based at least in part on § 250.2(1) of the Model Penal Code come from these two states.
In State v. Begins, we relied upon the second holding of Cantwell that the statute was not void for vagueness.
The dissent's argument that the narrowing construction adopted by the Oregon courts is unnecessary is premised on the unspoken conclusion that the only issue is whether the statute is overbroad. We relied upon the construction of the language in Cantwell to hold that the statute was not void for vagueness with respect to § 1026's prefatory language. See State v. Begins,
A sampling of cases, including some of those cited by the dissent, illustrates this point. For example, in United States v. Turner, the Second Circuit held that a true threat can be both "conditional and inexplicit."
In contrast, the Third Circuit has interpreted Watts v. United States to require that a true threat be unconditional. That court, writing six years after Virginia v. Black, cited Watts for the premise that "while advocating violence that is not imminent and unlikely to occur is protected, speech that constitutes a 'true threat' is not."United States v. Fullmer,
Fullmer does not cite or discuss Black in its true threats analysis. Indeed, not all recent U.S. Supreme Court First Amendment cases list true threats among the categories of unprotected speech. In United States v. Stevens, the Court was asked to rule that depictions of animal cruelty were a categorically unprotected class of speech.
From 1791 to the present, ... the First Amendment has permitted restrictions upon the content of speech in a few limited areas, and has never included a freedom to disregard these traditional limitations. These historic and traditional categories long familiar to the bar-including obscenity, defamation, fraud, incitement, and speech integral to criminal conduct-are well-defined and narrowly limited classes of speech, the prevention and punishment of which have never been thought to raise any Constitutional problem.
The situation here is much different from that in Read,
This statute became effective on July 1, 2016. See 2015, No. 162 (Adj. Sess.), §§ 6b, 7. Because defendant was not charged under this statute, and, given the timing of the charge in this case and § 1702's enactment date, could not have been charged under this statute, we do not address whether the State has shown a prima facie case that defendant violated it. We are unwilling also to speculate, as the dissent does, that this statute is too narrow to cover threats to the public. We note, for example, that a threat to explode a bomb in a shopping mall is a threat to harm the persons who are in it when the threat is made. Further, § 1702 indicates that the Legislature is less concerned with a threat that the person who utters it cannot carry out. The inability to carry out the threat is an affirmative defense under the statute. See 13 V.S.A. § 1702(f). What the dissent sees as an unexplained gap in coverage may be a legislative decision not to extend the coverage as far as the dissent would want.
Likewise, the "mixed bag" that the dissent sees in the Legislature's use of the words "threat" and "threatening behavior" across several statutes, post, ¶ 44, may actually indicate that these terms are used consistently across statutes. Three of the statutes discussed by the dissent use the word "threat" rather than "threatening behavior," and each of these three references can be understood to refer to a pure speech threat, with no accompanying physical conduct. First, 13 V.S.A. § 1027(a) provides that a person commits the offense of disturbing the peace by use of telephonic or other electronic communication if the person, "with intent to ... threaten ... makes contact by means of a telephonic or other electronic communication with another and ... threatens to inflict injury or physical harm to the person or property of any person." Given that this statute's reach is limited to threats conveyed by either telephone or electronic communication-i.e., through media that by its nature is not dependent on in-person contact between perpetrator and subject-it would be illogical to require a physical component to a threat for purposes of this statute. Thus, this statute's reference to threats rather than threatening behavior is consistent with our interpretation of threatening behavior under § 1026(a)(1).
Second, as discussed above, 13 V.S.A. § 1702(a) refers solely to threats, and not to threatening behavior. And since the Legislature saw fit to expressly limit the application of this statute to stay within the confines of the First Amendment, see
After Szymkiewicz, speech can be "threatening behavior," but only if it contains fighting words, a requirement different from a true threat. As we explain in the text, we do not adopt this requirement.
Dissenting Opinion
¶ 38. Although I am sympathetic to the goal of narrowing a criminal statute to avoid constitutional infirmity, I believe the majority's construction of the term "threatening behavior" is excessively narrow because it precludes prosecution for a serious expression of an intent to commit acts of unlawful violence to a particular individual or group of individuals uttered in public with an intent to cause public inconvenience or annoyance if that threat is unaccompanied by a physical gesture. I would construe the definition of "threatening behavior" in the statute to reach a communication of an intent to inflict physical or other harm-even that which takes the form of threatening words unaccompanied by a physical motion beyond the act of speaking-to the extent that in its overall context such threatening behavior, including its expressive component, is not constitutionally protected. Our standard of review at this stage of the proceedings is significant. The question for us on appeal is not how this Court construes the evidence but whether a reasonable jury could find defendant guilty if it viewed the record evidence, and the inferences from that evidence, in the light most favorable to the State. Given the combination of three critical factors-that the communications in this case were targeted exclusively at two minority residents in a predominantly white, nonhispanic neighborhood, they invoked powerful symbols of violence against racial and ethnic minorities, and they were placed inside or next to the screen doors of two targeted individuals' homes-a reasonable and properly instructed jury could conclude that the threats in this case were not constitutionally protected. Accordingly, I would affirm.
I. In Some Contexts Stated Threats Can Constitute "Threatening Behavior" Under 13 V.S.A § 1026(a) Consistent with the Legislature's Intent and the First Amendment
¶ 39. The majority's conclusion that the "threatening behavior" prong of the disorderly conduct statute reaches only physical actions,
¶ 40. In prior cases, our focus in assessing threatening behavior has not been the presence or absence of a physical component but the presence or absence of a " 'communicated intent to inflict physical or other harm.' " State v. Sanville,
¶ 41. For example, in State v. Albarelli, we considered a disorderly conduct charge against a defendant who had engaged in a loud, agitated, and prolonged rant on a public pedestrian way by a table where individuals were promoting the presidential campaign of then-candidate Barack Obama.
¶ 42. To the extent that they are relevant, our probation condition cases reinforce this conclusion.
¶ 43. Our decisions have been faithful to the plain language of the statute. The everyday meaning of "threatening behavior" includes making serious threats to cause imminent bodily harm. Common usage supports the understanding that "threatening behavior" includes standing in the middle of a crowded pedestrian way and asserting loudly and repeatedly, to nobody in particular but in a way that reasonably gives rise to fear of bodily harm, that you will detonate a pipe bomb if people don't stop and listen. See State v. Therrien,
¶ 44. On balance, the statutory scheme likewise supports the view that "threatening behavior" can describe communicated threats unaccompanied by physical gestures, although I acknowledge that it's a mixed bag. On the one hand, the Legislature has expressly prohibited threats in several statutes without describing the offense as "threatening behavior." See, e.g., 13 V.S.A. § 1027(a) (prohibiting disturbing the peace by electronic communications including threats "to inflict injury or physical harm to the person or property" of another with intent to "terrify, intimidate, threaten, harass, or annoy); ibr.US_Case_Law.Schema.Case_Body:v1">id
¶ 45. On the other hand, in prohibiting attempts "by physical menace to put another in fear of imminent serious bodily injury" the Legislature has expressly identified a "physical action" requirement when it has sought to address threats conveyed *838through physical actions.
¶ 46. The reason I conclude that the statutory scheme as a whole supports the view that the disorderly conduct statute reaches some threats that are unaccompanied by physical gestures if made with the intent to cause public inconvenience or annoyance is that a contrary construction would leave a major gap in the statutory scheme. Under the majority's view, as the majority notes, Vermont law does prohibit threats against a specific individual without regard to the presence or absence of physical gestures accompanying the threats. See ante, ¶¶ 26-27. The private interest in freedom from targeted threats may be amply protected by other statutes besides 13 V.S.A. § 1026. See 13 V.S.A. §§ 1026a, 1027, 1702. In fact, these other statutory provisions are arguably far better suited than § 1026 to address defendant's alleged conduct in this case. But in the context of threats to the public generally, communicated in words with the requisite intent to cause the kinds of public disruptions targeted by the disorderly conduct statute, the majority's construction leaves the State with no tools for regulating, say, the hypothetical shouted threat to detonate an explosive in the middle of a crowded pedestrian mall.
¶ 47. The legislative intent underlying § 1026 supports this view. As we have previously noted, § 1026 is really a "criminal public nuisance statute." State v. Cole,
Because the concept of threatening is not otherwise defined, this aspect of the offense reaches any kind of threat, whether verbal or physical, that creates risk of public inconvenience, annoyance, or alarm. This coverage is broader than [the section of the Model Code that] proscribes as a form of assault attempting "by physical menace to put another in fear of imminent serious bodily injury." The disorderly conduct provision contains no such limitation on the kinds of threats covered, but that breadth is balanced by the requirement of purpose or recklessness with respect to creation of a public nuisance. Again, the differences between disorderly conduct and assault reflect the different rationales of the two offenses and the distinct harms at which they are aimed.
¶ 48. There can be no doubt that the Model Penal Code, upon which our disorderly conduct statute is based, reaches public disruption arising from threatening words. To the extent that a threat of harm, whether communicated through words, gestures, or both, can be quite disruptive to public order, it falls squarely within the universe of harms the Vermont Legislature intended to address with the disorderly conduct prohibition.
¶ 49. By contrast, the majority's approach-focusing on the presence or absence of physical movement-hones in on the wrong factor. The public harm from threatening behavior does not arise from a defendant's gesticulating while engaging in a threatening tirade; it flows from the threatening tirade itself. Excluding from the statute's reach those public threats that are communicated in words without the accompanying gesticulation would frustrate the purpose of the statute.
¶ 50. Most important, I believe the majority's approach to narrowing the statute is both overinclusive and underinclusive relative to the constitutional considerations that motivate the majority to narrow the statute in the first place. Even though the majority's interpretation is at odds with our caselaw and the statutory language, scheme, and purpose for the reasons set forth above, I might join in the majority's attempt to narrow the scope of the statute *840if its construction made sense as a way of avoiding conflict with the First Amendment. But by narrowing the statute based on a factor that has little to do with the underlying purposes of the statute or the relevant constitutional considerations, the majority has defined out of the statute's reach much behavior that can constitutionally be prohibited, and that the Legislature intended to include, while simultaneously leaving considerable room for constitutional conflict in cases in which a threat is conveyed through expression other than words.
¶ 51. The U.S. Supreme Court has long recognized that some threatening speech may be prohibited without offense to the First Amendment. In Watts v. United States, the Court upheld a constitutional challenge to a statute prohibiting threats against the life of the President of the United States.
¶ 52. More recently, in Virginia v. Black, the Court reaffirmed that among the categories of expression states may regulate consistent with the Constitution are "true threats," defined to "encompass those statements where the speaker means to communicate a serious expression of an intent to commit an act of unlawful violence to a particular individual or group of individuals."
¶ 53. State and federal courts have relied on this test in construing statutes that criminalize threats, and in evaluating their constitutionality. See, e.g., United States v. Turner,
¶ 54. The majority's holding precludes prosecution under the disorderly conduct statute for a large swath of true threats that the Legislature can permissibly prohibit consistent with the First Amendment and which, as argued above, the Legislature intended to proscribe. In particular, the majority removes from the disorderly conduct statute true threats communicated without an accompanying physical gesture, even if the other elements of the disorderly conduct statute are satisfied. Its construction of the statute is far narrower than required by the First Amendment, to the detriment of the State's ability to regulate public disturbances occasioned by true threats.
¶ 55. At the same time, the majority's holding does little to address the serious constitutional questions that may arise even when a threat is communicated through physical gestures alone, or in combination with words. What makes a threat threatening-whether it is communicated through words, physical actions, or some combination of the two-is the substance and credibility of the communication itself. Even if the State could only prosecute gestures or physical acts as "threatening behavior," it's the expressive content of the gestures or acts that make them threats. See, e.g., Cole,
¶ 56. In sum, the focus of the disorderly conduct statute is not the physical movements that convey or accompany the communication of threats; it's the threats themselves. And the exception to the U.S. Constitution's protection of free speech is based on the meaning and significance of the threats themselves, not the manner in which they are communicated. The factor relied upon by the majority to limit the scope of § 1026 accomplishes the goal, in this case, of avoiding difficult constitutional questions, but does so by relying on a factor that has little to do with anything. For these reasons, I cannot join the majority's construction of § 1026.
II. "Threatening Behavior" Encompasses "True Threats"
¶ 57. To narrow the statute against a facial challenge, I would construe the "threatening behavior" prong of the disorderly conduct statute consistent with our prior decisions as well as with the limitations of the First Amendment, as we have done in connection with the "abusive language" prong of that statute. This construction incorporates ample safeguards for free speech insofar as it requires, in addition to a "true threat" in the constitutional sense, (1) an intent to threaten; (2) an objective threat; and (3) a finding of intent, or at least recklessness, with respect to the public disruption engendered by the threatening behavior.
¶ 58. In construing another provision of the disorderly conduct statute that raises *842First Amendment concerns, we have narrowed the reach of that provision to include the activity the Legislature sought to regulate, but only to the extent permitted under the U.S. Constitution. In State v. Read, we considered a facial challenge under the First Amendment to the prong of the disorderly conduct statute addressing "abusive language."
¶ 59. While this construction is broader than the majority's construction, at least with regard to the scope of verbal threats subject to regulation under the statute, its scope is subject to three important limitations that mitigate the free speech concerns that it raises.
¶ 60. First, whatever state of mind is required relative to the risk of public annoyance or inconvenience, the speaker of a "true threat" under our disorderly conduct statute must intend to threaten. We recognized in Cole that the word "threaten" includes "some element of volition," namely, "a communicated intent to inflict harm on person or property."
¶ 61. Second, whether the content of the threatening communication, taking into account the full context, rises to the level of a true threat is evaluated from the objective perspective of a reasonable, similarly situated person, and is not based on the particular response of a recipient of the threat. See State v. Gagne,
¶ 62. Finally, in addition to the intent to convey a threat, the speaker must also intend to cause public inconvenience or annoyance, or recklessly create such a risk. This requirement keeps the ultimate focus of the disorderly conduct statute aligned with its purpose: to protect against public disturbances more generally. See supra, ¶¶ 46-48.
¶ 63. The disorderly conduct statute requires reckless or intentional creation of a public inconvenience or annoyance. We have on several occasions addressed the "public annoyance" requirement. In State v. Lund, we upheld the disorderly conduct conviction of a defendant who yelled at a sheriff and attempted to bite the sheriff's hand at the sheriff's office and local jail.
*844¶ 64. These three factors, in addition to the requirement that the threats themselves meet the constitutional standard for "true threats" further limit the scope of the "threatening behavior" prong of the disorderly conduct statute.
III. A Reasonable Jury Could Conclude That Defendant's Communications In This Case Are True Threats
¶ 65. A reasonable jury could conclude that defendant's communications amount to "threatening behavior" and constitutionally unprotected true threats because, taking the evidence in the light most favorable to the State and considering the context of the flyers as well as their actual language, the jury could conclude that defendant intended to threaten the victims, and that a reasonable person in the victims' circumstances would understand defendant's communications as an actual threat. The singling out of these particular minority victims for receipt of the flyers, the history of the Ku Klux Klan and the imagery of hooded Klansmen and burning crosses, and the anonymous and intrusive placement of the flyers in the doors of the victims' homes are three critical factors that, in combination, support this conclusion.
¶ 66. The question for us on appeal is not whether, as a matter of law, defendants engaged in threatening behavior that communicated a constitutionally unprotected true threat, and is not how the Court construes the evidence, but, rather, is whether a properly instructed reasonable jury could find defendant guilty. We will affirm the trial court's denial of the defendant's motion to dismiss if the State's evidence "fairly and reasonably tend[ed] to show the defendant guilty beyond a reasonable doubt when we view the evidence in the light most favorable to the State and exclude modifying evidence." Cole,
¶ 67. Moreover, we consider whether a reasonable jury could conclude that defendant's communications amount to "true threats," not whether this Court itself reaches that conclusion. See United States v. Stevens,
¶ 68. In reviewing defendant's appeal based on the trial court's denial of his motion to dismiss, we view the State's evidence in the light most favorable to the State, and excluding any modifying evidence. State v. Elkins,
¶ 69. The critical question in this case is whether a reasonable person in the position of the target of defendant's threats would understand that an actual threat had been made. Stevens,
¶ 70. The fact that a communication does not expressly articulate a threat of violence or harm, while relevant, is not dispositive in the "true threats" analysis. We have recognized that "[l]anguage may be treated as a threat to harm a victim, even in the absence of an explicit statement to do so, as long as circumstances support the victim's fearful or apprehensive response." Albarelli,
¶ 71. Moreover, the context of a communication, both immediate and historical, is highly relevant to understanding whether it amounts to a threat. "[C]ontext is critical in a true threats case and history can give meaning to the medium." Planned Parenthood of Columbia/Willamette, Inc.,
¶ 72. A threat need not suggest "imminent" harm to lose its constitutional protection. See, e.g., Parr,
¶ 73. Applying these standards, although I believe this is a close case, I conclude that a reasonable jury, drawing permissible inferences from the evidence most favorable to the State, could conclude that defendant's communications amount to true threats. I rely primarily on three closely related considerations.
¶ 74. First and foremost, the jury could infer that these communications were specifically directed at two individuals, one identified as African American and one identified as Mexican, in a predominantly white, nonhispanic neighborhood. This factor is critical. If this was, in fact, a general recruitment solicitation for the Ku Klux Klan, as suggested by the majority, ante, ¶ 34, the State would lose. A communication merely urging people to join an organization, even a heinous one with unlawful or violent goals, is not a true threat. See Brandenburg v. Ohio,
*847¶ 75. The evidence viewed in the light most favorable to the State is that defendant acknowledged that he would usually choose "white" neighborhoods for distributing such flyers, and that the only two people to whom he actually delivered the flyers are members of ethnic or racial minorities. Given that members of racial and ethnic minorities are not typically considered prime recruits for the Ku Klux Klan, a reasonable jury could conclude that defendant's targeted communications to a black person and a Mexican person were not intended to communicate a message of recruitment and would be reasonably understood to convey a different message-albeit veiled. Moreover, the fact that the communications were targeted at the two victims bolsters the argument that the communications were threats directed at them in particular, rather than general political advocacy of a menacing message. See Fogel,
¶ 76. Second, the historical and modern-day association of hooded Klan members carrying burning crosses with intimidation of and violence against racial and ethnic minorities and their perceived allies is deeply ingrained in our nation's DNA. In Virginia v. Black, the U.S. Supreme Court traced the history of the Ku Klux Klan and its use of cross burning as a tool of intimidation.
¶ 77. The Court traced the activities of the Klan, and its use of cross burning, through the twentieth century, explaining that the Klan often used cross burnings as a tool of intimidation and a threat of impending violence.
when a cross burning is directed at a particular person not affiliated with the Klan, the burning cross often serves as a message of intimidation, designed to inspire in the victim a fear of bodily harm. Moreover, the history of violence associated with the Klan shows that the possibility of injury or death is not just hypothetical. The person who burns a cross directed at a particular person often is making a serious threat, meant to coerce the victim to comply with the Klan's *848wishes unless the victim is willing to risk the wrath of the Klan.
¶ 78. In his dissent, Justice Thomas wrote, "[i]n every culture, certain things acquire meaning well beyond what outsiders can comprehend. That goes for both the sacred, and the profane. I believe that cross burning is the paradigmatic example of the latter."
¶ 79. I recognize that this case does not involve an actual cross burning. That would present a much easier case. But even though we do not today see the breadth and severity of the violence associated with the Klan of a prior era, the legacy of the Klan and the violence it represents is not a dead letter in today's America. The potency of the burning cross symbol, and the organization with which it is so closely associated, shapes the context of the communications in this case. Even a crude drawing of a hooded member of the Klan riding a hooded horse while raising a burning cross, when distributed selectively to two minority individuals in a predominantly white, nonhispanic neighborhood, can reasonably be understood to impart a substantial veiled threat.
¶ 80. Third, a jury could conclude that by placing the flyers anonymously in or next to the front doors of the victims homes, defendant intended to convey a message -"I know who you are and I know where you live"-calculated to arouse fear of violence or harm from an unknown enemy. The trial court found that in order to place one of the flyers, someone would have to ascend a set of stairs, walk across the victim's porch, and open the screen door. The second flyer was folded and inserted into a victim's mailbox, located next to her front door. The U.S. Supreme Court has concluded that "true threats" are not protected speech. The primary interests identified by the Court as the basis for its conclusion are " 'protect[ing] individuals from the fear of violence' and 'from the disruption that fear engenders,' in addition to protecting people 'from the possibility that the threatened violence will occur.' "
¶ 81. In other contexts, courts have consistently recognized the particular privacy interest people enjoy in their homes and the immediate surroundings. State v. Blow,
Of all the methods of spreading unpopular ideas, (house-to-house canvassing) seems the least entitled to extensive protection. The possibilities of persuasion are slight compared with the certainties of annoyance. Great as is the value of exposing citizens to novel views, home is one place where [people] ought to be able to shut [themselves] up in [their] own ideas if [they] desire[ ]."
....
There is, of course, no absolute right under the Federal Constitution to enter on the private premises of another and knock on a door for any purpose .... We cannot say ... that door-to-door canvassing and solicitation are immune from regulation ... whether the purpose of the regulation is to protect from danger or to protect the peaceful enjoyment of the home.
Hynes v. Mayor & Council of Borough of Oradell,
¶ 82. This is a difficult and close case. I admit that most, though not all, of the reported appellate decisions dealing with true threats involve more explicit threats of violence, or at least more strongly implied suggestions of extreme violence or death. The law surrounding "true threats" remains unsettled on many issues.
¶ 83. Moreover, there is much in this record to suggest that defendant's actions did not amount to true threats, and that a properly instructed jury would have concluded that his flyers, while repugnant, were constitutionally protected. If he distributed the flyers more broadly, as he claimed, his actions clearly fell on the "political advocacy" side of the somewhat elusive line between unprotected speech and protected advocacy. Although it could conclude otherwise, a jury could well have been persuaded that defendant lacked the requisite intent to threaten-that he was more of a bumbling patron of an organization that gave him a sense of purpose, albeit a misguided one, and that he did not intend to actually threaten anyone. The jury may well have decided that as unsettling as the flyers were in light of their manner of distribution, they did not amount to true threats as defined in constitutional terms. And, as I noted above, I believe the State's ability to satisfy the public nuisance requirement of the disorderly conduct statute may have been compromised by its necessary reliance on the highly targeted, nonpublic nature of defendant's placement of flyers at only two homes.
¶ 84. But I am constrained by the record as it comes to us and the standard of review that applies, and for the reasons set forth above, I respectfully dissent.
¶ 85. I am authorized to state that Chief Justice Reiber joins this dissent.
I am deliberately avoiding the terms "speech" and "conduct" in my discussion, as I find the speech-conduct distinction as sometimes articulated unhelpful and circular. See, e.g., R.A.V. v. City of St. Paul,
For that reason, I find the majority's attempt to reinterpret Albarelli unpersuasive. Ante, ¶ 30. The Court's recognition in that case that "[l]anguage may be treated as a threat to harm a victim" makes total sense when the harm targeted by the statute is the impact of the threat.
The purpose of the disorderly conduct statute-protecting against a public disturbance-is different from that of a probation condition-promoting individual rehabilitation. But insofar as one issue in probation condition cases is whether the prohibition of "threatening behavior" gives ample notice of what is proscribed, our understanding of "threatening behavior" in the probation condition context could be illustrative.
The majority suggests that in Sanville this Court held that verbal threats do not violate § 1026(a)(1). I respectfully disagree. The Court in Sanville concluded that the particular threats at issue in that case did not amount to "violent and threatening behavior" but did not state that threats of violence communicated through words unaccompanied by physical gestures can never run afoul of § 1026(a)(1).
In 2014, the Legislature established the offense of "aggravated disorderly conduct," codified at 13 V.S.A. § 1026a. 2013, No. 150 (Adj. Sess.), § 4. This new offense is directed at many of the actions listed in § 1026, but rather than requiring that they be undertaken with an intent to cause "public inconvenience or annoyance" or recklessly create a risk thereof, the offense targets several of the same actions as the disorderly conduct statute-fighting, violent, tumultuous or threatening behavior, unreasonable noise, etc.-when undertaken as a course of conduct with the intent to cause a specific person"inconvenience or annoyance," or "to disturb the person's peace, quiet, or right of privacy." 13 V.S.A. § 1026a. Although the aggravated disorderly conduct offense tracks many of the elements of the regular disorderly conduct statute, it includes an additional prong applicable when, with the requisite intent, the actor "threatens bodily injury or serious bodily injury, or threatens to commit a felony crime of violence."
The "threat" element of § 1026a(a)(4) got scant attention through House and Senate committee hearings, and nobody in either committee testified that the language was added to expand the limited reach of the "threatening behavior" prong. Instead, the primary goal of the new offense was to create an offense with greater penalties than the disorderly conduct statute to address behavior that may not meet all the elements of stalking but is nonetheless targeted at an individual and involves a course of harassing conduct. The penalty for violating the new statute is up to 180 days imprisonment or a $2000 fine-more than three times the incarcerative penalty for ordinary disorderly conduct, first offense, and four times the financial penalty. If anything, the legislative history suggests a desire to provide the State a broad range of tools, consistent with constitutional limitations, to combat behavior on the harassment-threat spectrum. See generally 2013, No. 150 (Adj. Sess.), Hearings on S.195 Before Senate Judiciary Comm. and House Judiciary Comm. (Vt. Feb. 19, 27, 2014, Apr. 11, 2014, May 30, 2014).
In State v. Gagne, we upheld on plain error review a jury instruction that described the threat required for "physical menace" to be "a threat, by word or act, to inflict physical injury upon a person."
If a defendant actually possesses such a weapon, this action would support a charge of aggravated assault with a deadly weapon pursuant to 13 V.S.A. § 1024(a)(5). However, this charge is only applicable if the defendant is actually armed with such a weapon.
The relevant section of the Model Penal Code provides that a person is guilty of disorderly conduct if, "with purpose to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof," the person "engages in fighting or threatening, or in violent or tumultuous behavior." Model Penal Code § 250.2(1)(a). Our statute prohibits actions undertaken with a similar purpose-although we exclude an intent to cause public "alarm" from the intent element-and directs the analogous prong of the statute at "engag[ing] in fighting or in violent, tumultuous, or threatening behavior." 13 V.S.A. § 1026(a)(1). One can imagine various explanations for the Vermont Legislature's rewording of the Model Penal Code language to refer to "threatening behavior" as opposed to using the term "threatening" as a gerund. Perhaps, consistent with the majority's opinion, the Legislature adopted the phrase "threatening behavior" in order to limit the universe of threats subject to prosecution to only those communicated through physical actions. Alternatively, and equally plausibly, the Legislature may have intended to be more expansive than the Model Penal Code by providing that the threats in question may be communicated by means other than words alone-including by physical gestures or some combination of words and physical actions. Or perhaps the Vermont Legislature adopted different phraseology because it found the Model Penal Code language clunky, with no intent to substantively depart from the Model Penal Code's description of the scope of the offense. In the absence of any evidence resolving this question, I cannot ascribe significance to the difference in wording between the Vermont statute and the Model Penal Code provision on which it is based.
This raises questions as to whether the State's charge would have survived a motion to dismiss on this factor. Two of the most significant factors in support of the State's claim that defendant's communications amounted to "true threats"-that they were targeted at only minority individuals in a predominantly white, nonhispanic neighborhood, and they were delivered inside or by the doors of the victims' homes-undermine the State's claim that defendant's actions created a public nuisance. The fact that, once publicized in the media, defendant's flyers caused great public outcry cannot be sufficient to satisfy the "public nuisance" requirement at the heart of the disorderly conduct statute. If that were so, any act of private brawling or private tumultuous behavior could be deemed a public nuisance if the news coverage of the event generated public outcry. Had defendant blanketed the neighborhood with flyers, the State's case as to public nuisance would be far more compelling; even though the flyers may have all been distributed inside screen doors, the scale of distribution could reasonably have supported the inference of intent to cause public disturbance, or recklessness in doing so. But if defendant had blanketed the predominantly white neighborhood with these Ku Klux Klan recruitment flyers-without the targeting relied upon by the State to support its prosecution-his communications would not qualify as "true threats" as opposed to "political hyperbole." See Watts,
"Context" considerations may run the other way as well, preserving constitutional protection for statements that on their face are explicitly threatening. See, e.g., State v. Krijger,
For a helpful analysis, see generally M. Strasser, Advocacy, True Threats, and the First Amendment,
Reference
- Full Case Name
- STATE of Vermont v. William SCHENK
- Cited By
- 7 cases
- Status
- Published