United States v. Lopez, 514 U.S. 549, 115 S.Ct. 1624 (1995)
Supreme Court of the United States
UNITED STATES, Petitioner
v.
Alfonso LOPEZ, Jr.
No. 93-1260.
Decided April 26, 1995.
Defendant was convicted in the United States
District Court for the Western District of Texas, H.F. Garcia, J., of
possessing firearm in school zone in violation of Gun-Free School Zones Act,
and he appealed. The Court of Appeals for the Fifth Circuit,
Garwood, Circuit Judge, 2 F.3d 1342, reversed and remanded with directions, and
government petitioned for certiorari review. After granting certiorari, 114
S.Ct. 1536, the United States Supreme Court, Chief Justice Rehnquist, held that
Gun-Free School Zones Act, making it federal offense for any individual
knowingly to possess firearm at place that individual knows or has reasonable
cause to believe is school zone, exceeded
Congress' commerce clause authority, since possession of gun in local school
zone was not economic activity that substantially affected interstate commerce.
Affirmed.
Justice Kennedy filed concurring opinion in
which Justice O'Connor joined.
Justice Thomas filed concurring opinion.
Justices Stevens and Souter filed dissenting
opinions.
Justice Breyer filed dissenting opinion, in
which Justices Stevens, Souter and Ginsburg joined.
2 F.3d 1342, (CA5 1993), affirmed.
REHNQUIST, C.J., delivered the opinion of the
Court, in which O'CONNOR, SCALIA, KENNEDY, and THOMAS, JJ.,
joined. KENNEDY, J., filed a concurring opinion, in which O'CONNOR,
J., joined, post, p. 1634. THOMAS, J., filed a concurring
opinion, post, p. 1642. STEVENS, J., post, p. 1651,
and SOUTER, J., post, p. 1651, filed dissenting opinions.
BREYER, J., filed a dissenting opinion, in which STEVENS, SOUTER, and GINSBURG,
JJ., joined, post, p. 1657.
Chief Justice REHNQUIST delivered the opinion
of the Court.
In the Gun-Free School Zones Act of 1990,
Congress made it a federal offense "for any individual knowingly to
possess a firearm at a place that the individual knows, or has reasonable cause
to believe, is a school zone." 18 U.S.C. § 922(q)(1)(A) (1988 ed.,
Supp. V). The Act neither regulates a commercial activity nor contains a
requirement that the possession be connected in any way to interstate
commerce. We hold that the Act exceeds the authority of Congress
"[t]o regulate Commerce ... among the several States...." U.S.
Const., Art. I, § 8, cl. 3.
On March 10, 1992, respondent, who was then a
12th-grade student, arrived at Edison High School in San Antonio, Texas,
carrying a concealed .38-caliber handgun and five bullets. Acting
upon an anonymous tip, school authorities confronted respondent, who admitted
that he was carrying the weapon. He was arrested and charged under
Texas law with firearm possession on school premises. See Tex.Penal
Code Ann. § 46.03(a)(1) (Supp.1994). The next day, the state
charges were dismissed after federal agents charged respondent by complaint
with violating the Gun-Free School Zones Act of 1990. 18 U.S.C. §
922(q)(1)(A) (1988 ed., Supp. V). [FN1]
A federal grand jury indicted respondent on
one count of knowing possession of a firearm at a school zone, in violation of
§ 922(q). Respondent moved to dismiss his federal indictment on the
ground that § 922(q) "is unconstitutional as it is beyond the power of
Congress to legislate control over our public schools." The
District Court denied the motion, concluding that § 922(q) "is a
constitutional exercise of Congress' well-defined power to regulate activities
in and affecting commerce, and the 'business' of elementary, middle and high
schools ... affects interstate commerce." App. to Pet. for
Cert. 55a. Respondent waived his right to a jury trial.
The District Court conducted a bench trial, found him guilty of violating §
922(q), and sentenced him to six months' imprisonment and two years' supervised
release.
On appeal, respondent challenged his
conviction based on his claim that § 922(q) exceeded Congress' power to
legislate under the Commerce Clause. The Court of Appeals for the Fifth
Circuit agreed and reversed respondent's conviction. It held that,
in light of what it characterized as insufficient congressional findings and
legislative history, "section 922(q), in the full reach of its terms, is
invalid as beyond the power of Congress under the Commerce Clause."
2 F.3d 1342, 1367-1368 (1993). Because of the importance of the
issue, we granted certiorari, 511 U.S. 1029, 114 S.Ct. 1536, 128 L.Ed.2d 189
(1994), and we now affirm.
We start with first principles. The Constitution creates a Federal Government of
enumerated powers. See Art. I, § 8. As James
Madison wrote: "The powers delegated
by the proposed Constitution to the federal government are few and
defined. Those which are to remain in the State governments are
numerous and indefinite." The Federalist No. 45, pp.
292-293 (C. Rossiter ed. 1961). This constitutionally mandated
division of authority "was adopted by the Framers to ensure protection of
our fundamental liberties." Gregory v. Ashcroft, 501 U.S.
452, 458, 111 S.Ct. 2395, 2400, 115 L.Ed.2d 410 (1991) (internal quotation
marks omitted). "Just as the
separation and independence of the coordinate branches of the Federal
Government serve to prevent the accumulation of excessive power in any one
branch, a healthy balance of power between the States and the Federal
Government will reduce the risk of tyranny and abuse from either front."Ibid.
The Constitution delegates to Congress the
power "[t]o regulate Commerce with foreign Nations, and among the several
States, and with the Indian Tribes." Art. I, § 8, cl. 3.
The Court, through Chief Justice Marshall, first defined the nature of
Congress' commerce power in Gibbons v. Ogden, 9 Wheat. 1, 189-190, 6
L.Ed. 23 (1824):
"Commerce, undoubtedly, is traffic, but it is something more: it is intercourse. It describes the commercial intercourse between nations, and parts of nations, in all its branches, and is regulated by prescribing rules for carrying on that intercourse."
The commerce power "is the power to regulate; that is, to prescribe the rule by which commerce is to be governed. This power, like all others vested in congress, is complete in itself, may be exercised to its utmost extent, and acknowledges no limitations, other than are prescribed in the constitution." Id., at 196. The Gibbons Court, however, acknowledged that limitations on the commerce power are inherent in the very language of the Commerce Clause.
"It is not intended to say that these words comprehend that commerce, which is completely internal, which is carried on between man and man in a State, or between different parts of the same State, and which does not extend to or affect other States. Such a power would be inconvenient, and is certainly unnecessary.
"Comprehensive
as the word 'among' is, it may very properly be restricted to that commerce
which concerns more States than one.... The enumeration presupposes
something not enumerated; and that something, if we regard the language,
or the subject of the sentence, must be the exclusively internal commerce of a
State." Id., at 194-195.
For nearly a century thereafter, the Court's Commerce Clause decisions dealt but rarely with the extent of Congress' power, and almost entirely with the Commerce Clause as a limit on state legislation that discriminated against interstate commerce. See, e.g., Veazie v. Moor, 14 How. 568, 573-575, 14 L.Ed. 545 (1853) (upholding a state-created steamboat monopoly because it involved regulation of wholly internal commerce); Kidd v. Pearson, 128 U.S. 1, 17, 20-22, 9 S.Ct. 6, 9-10, 32 L.Ed. 346 (1888) (upholding a state prohibition on the manufacture of intoxicating liquor because the commerce power "does not comprehend the purely internal domestic commerce of a State which is carried on between man and man within a State or between different parts of the same State"); see also L. Tribe, American Constitutional Law 306 (2d ed. 1988). Under this line of precedent, the Court held that certain categories of activity such as "production," "manufacturing," and "mining" were within the province of state governments, and thus were beyond the power of Congress under the Commerce Clause. See Wickard v. Filburn, 317 U.S. 111, 121, 63 S.Ct. 82, 87, 87 L.Ed. 122 (1942) (describing development of Commerce Clause jurisprudence).
In 1887, Congress enacted the Interstate
Commerce Act, 24 Stat. 379, and in 1890, Congress enacted the Sherman Antitrust
Act, 26 Stat. 209, as amended, 15 U.S.C. § 1 et seq. These
laws ushered in a new era of federal regulation under the commerce
power. When cases involving these laws first reached this Court, we
imported from our negative Commerce Clause cases the approach that Congress
could not regulate activities such as "production,"
"manufacturing," and "mining." See, e.g.,
United States v. E.C. Knight Co., 156 U.S. 1, 12, 15 S.Ct. 249, 253-254, 39
L.Ed. 325 (1895) ("Commerce succeeds to manufacture, and is not part of
it"); Carter v. Carter Coal Co., 298 U.S. 238, 304, 56 S.Ct. 855,
869, 80 L.Ed. 1160 (1936) ("Mining brings the subject matter of commerce
into existence. Commerce disposes of it"). Simultaneously,
however, the Court held that, where the interstate and intrastate aspects of
commerce were so mingled together that full regulation of interstate commerce
required incidental regulation of intrastate commerce, the Commerce Clause
authorized such regulation. See, e.g., Shreveport Rate Cases,
234 U.S. 342, 34 S.Ct. 833, 58 L.Ed. 1341 (1914).
In A.L.A. Schechter Poultry Corp. v.
United States, 295 U.S. 495, 550, 55 S.Ct. 837, 851-52, 79 L.Ed. 1570
(1935), the Court struck down regulations that fixed the hours and wages of
individuals employed by an intrastate business because the activity being
regulated related to interstate commerce only indirectly. In doing
so, the Court characterized the distinction between direct and indirect effects
of intrastate transactions upon interstate commerce as "a fundamental one,
essential to the maintenance of our constitutional system." Id.,
at 548, 55 S.Ct., at 851. Activities that affected interstate commerce directly
were within Congress' power; activities that affected interstate commerce
indirectly were beyond Congress' reach. Id., at 546, 55 S.Ct., at
850. The justification for this formal distinction was rooted in
the fear that otherwise "there would be virtually no limit to the federal
power and for all practical purposes we should have a completely centralized
government." Id., at 548, 55 S.Ct., at 851.
Two years later, in the watershed case of NLRB
v. Jones & Laughlin Steel Corp., 301 U.S. 1, 57 S.Ct. 615, 81 L.Ed. 893
(1937), the Court upheld the National Labor Relations Act against a Commerce
Clause challenge, and in the process, departed from the distinction between
"direct" and "indirect" effects on interstate
commerce. Id., at 36-38, 57 S.Ct., at 623-624 ("The question
[of the scope of Congress' power] is necessarily one of
degree"). The Court held that intrastate activities that
"have such a close and substantial relation to interstate commerce that
their control is essential or appropriate to protect that commerce from burdens
and obstructions" are within Congress' power to regulate. Id.,
at 37, 57 S.Ct., at 624.
In United States v. Darby, 312 U.S.
100, 61 S.Ct. 451, 85 L.Ed. 609 (1941), the Court upheld the Fair Labor
Standards Act, stating:
"The power of Congress over interstate commerce is not confined to the regulation of commerce among the states. It extends to those activities intrastate which so affect interstate commerce or the exercise of the power of Congress over it as to make regulation of them appropriate means to the attainment of a legitimate end, the exercise of the granted power of Congress to regulate interstate commerce." Id., at 118, 61 S.Ct., at 459.
See also United States v. Wrightwood Dairy Co., 315 U.S. 110, 119, 62 S.Ct. 523, 526, 86 L.Ed. 726 (1942) (the commerce power "extends to those intrastate activities which in a substantial way interfere with or obstruct the exercise of the granted power").
In Wickard v. Filburn, the Court
upheld the application of amendments to the Agricultural Adjustment Act of 1938
to the production and consumption of homegrown wheat. 317 U.S., at
128-129, 63 S.Ct., at 90-91. The Wickard Court explicitly
rejected earlier distinctions between direct and indirect effects on interstate
commerce, stating:
"[E]ven if appellee's activity be local and though it may not be regarded as commerce, it may still, whatever its nature, be reached by Congress if it exerts a substantial economic effect on interstate commerce, and this irrespective of whether such effect is what might at some earlier time have been defined as 'direct' or 'indirect.' " Id., at 125, 63 S.Ct., at 89.
The Wickard Court emphasized that although Filburn's own contribution to the demand for wheat may have been trivial by itself, that was not "enough to remove him from the scope of federal regulation where, as here, his contribution, taken together with that of many others similarly situated, is far from trivial." Id., at 127-128, 63 S.Ct., at 90-91.
Jones & Laughlin Steel, Darby, and Wickard ushered in an era of Commerce
Clause jurisprudence that greatly expanded the previously defined authority of
Congress under that Clause. In part, this was a recognition of the
great changes that had occurred in the way business was carried on in this
country. Enterprises that had once been local or at most regional
in nature had become national in scope. But the doctrinal change
also reflected a view that earlier Commerce Clause cases artificially had
constrained the authority of Congress to regulate interstate commerce.
But even these modern-era
precedents which have expanded congressional power under the Commerce Clause
confirm that this power is subject to outer limits. In Jones
& Laughlin Steel, the Court warned that the scope of the interstate
commerce power "must be considered in the light of our dual system of
government and may not be extended so as to embrace effects upon interstate
commerce so indirect and remote that to embrace them, in view of our complex
society, would effectually obliterate the distinction between what is national
and what is local and create a completely centralized government." 301 U.S., at 37, 57 S.Ct., at 624; see also Darby,
supra, 312 U.S., at 119-120, 61 S.Ct., at 459-460 (Congress may regulate
intrastate activity that has a "substantial effect" on interstate
commerce); Wickard, supra, at 125, 63 S.Ct., at 89 (Congress may
regulate activity that "exerts a substantial economic effect on interstate
commerce"). Since that time, the Court has heeded that warning
and undertaken to decide whether a rational basis existed for concluding that a
regulated activity sufficiently affected interstate commerce. See, e.g.,
Hodel v. Virginia Surface Mining & Reclamation Assn., Inc., 452 U.S.
264, 276-280, 101 S.Ct. 2352, 2360-2361, 69 L.Ed.2d 1 (1981); Perez v.
United States, 402 U.S. 146, 155-156, 91 S.Ct. 1357, 1362, 28 L.Ed.2d 686
(1971); Katzenbach v. McClung, 379 U.S. 294, 299-301, 85 S.Ct.
377, 381-382, 13 L.Ed.2d 290 (1964); Heart of Atlanta Motel, Inc. v.
United States, 379 U.S. 241, 252-253, 85 S.Ct. 348, 354-355, 13 L.Ed.2d 258
(1964). [FN2]
Similarly, in Maryland v. Wirtz, 392 U.S.
183, 88 S.Ct. 2017, 20 L.Ed.2d 1020 (1968), the Court reaffirmed that "the
power to regulate commerce, though broad indeed, has limits" that
"[t]he Court has ample power" to enforce. Id., at 196, 88
S.Ct., at 2023-2024, overruled on other grounds, National League of Cities
v. Usery, 426 U.S. 833, 96 S.Ct. 2465, 49 L.Ed.2d 245 (1976), overruled by Garcia
v. San Antonio Metropolitan Transit Authority, 469 U.S. 528, 105 S.Ct.
1005, 83 L.Ed.2d 1016 (1985). In response to the dissent's warnings
that the Court was powerless to enforce the limitations on Congress' commerce
powers because "[a]ll activities affecting commerce, even in the minutest
degree, [Wickard], may be regulated and controlled by Congress,"
392 U.S., at 204, 88 S.Ct., at 2028 (Douglas, J., dissenting), the Wirtz
Court replied that the dissent had misread precedent as "[n]either here
nor in Wickard has the Court declared that Congress may use a relatively
trivial impact on commerce as an excuse for broad general regulation of state
or private activities," id., at 197, n. 27, 63 S.Ct., at 89-90, n.
27. Rather, "[t]he Court has said only that where a general
regulatory statute bears a substantial relation to commerce, the de
minimis character of individual instances arising under that statute is of
no consequence." Ibid. (first emphasis added).
Consistent
with this structure, we have identified three broad categories of activity that
Congress may regulate under its commerce power. Perez, supra, at 150, 91
S.Ct., at 1359; see also Hodel, supra, at 276- 277, 101 S.Ct., at
2360-2361. First, Congress may regulate the use of the channels of
interstate commerce. See, e.g., Darby, 312 U.S., at 114, 61
S.Ct., at 457; Heart of Atlanta Motel, supra, at 256, 85 S.Ct., at
357 (" '[T]he authority of Congress to keep the channels of interstate
commerce free from immoral and injurious uses has been frequently sustained,
and is no longer open to question.' " (quoting Caminetti v. United
States, 242 U.S. 470, 491, 37 S.Ct. 192, 197, 61 L.Ed. 442
(1917))). Second, Congress is empowered to regulate and protect the
instrumentalities of interstate commerce, or persons or things in interstate
commerce, even though the threat may come only from intrastate activities.
See, e.g., Shreveport Rate Cases, 234 U.S. 342, 34 S.Ct. 833, 58 L.Ed.
1341 (1914); Southern R. Co. v. United States, 222 U.S. 20, 32
S.Ct. 2, 56 L.Ed. 72 (1911) (upholding amendments to Safety Appliance Act as
applied to vehicles used in intrastate commerce); Perez, supra, at 150,
91 S.Ct., at 1359 ("[F]or example, the destruction of an aircraft (18
U.S.C. § 32), or ... thefts from interstate shipments (18 U.S.C. §
659)"). Finally, Congress' commerce authority includes the
power to regulate those activities having a substantial relation to interstate
commerce, Jones & Laughlin Steel, 301 U.S., at 37, 57 S.Ct., at 624,
i.e., those activities that substantially affect interstate commerce, Wirtz,
supra, at 196, n. 27, 88 S.Ct., at 2024, n. 27.
Within this final category, admittedly, our
case law has not been clear whether an activity must "affect" or
"substantially affect" interstate commerce in order to be within
Congress' power to regulate it under the Commerce Clause. Compare Preseault
v. ICC, 494 U.S. 1, 17, 110 S.Ct. 914, 924-925, 108 L.Ed.2d 1 (1990), with Wirtz,
supra, at 196, n. 27, 88 S.Ct., at 2024, n. 27 (the Court has never
declared that "Congress may use a relatively trivial impact on commerce as
an excuse for broad general regulation of state or private
activities"). We conclude, consistent with the great weight of
our case law, that the proper test requires an analysis of whether the
regulated activity "substantially affects" interstate commerce.
We now turn to consider the power of
Congress, in the light of this framework, to enact § 922(q). The
first two categories of authority may be quickly disposed of: § 922(q) is
not a regulation of the use of the channels of interstate commerce, nor is it
an attempt to prohibit the interstate transportation of a commodity through the
channels of commerce; nor can § 922(q) be justified as a regulation by
which Congress has sought to protect an instrumentality of interstate commerce
or a thing in interstate commerce. Thus, if § 922(q) is to be sustained, it
must be under the third category as a regulation of an activity that
substantially affects interstate commerce.
First, we have upheld a wide variety of
congressional Acts regulating intrastate economic activity where we have
concluded that the activity substantially affected interstate
commerce. Examples include the regulation of intrastate coal
mining; Hodel, supra, intrastate extortionate credit transactions,
Perez, supra, restaurants utilizing substantial interstate supplies, McClung,
supra, inns and hotels catering to interstate guests, Heart of Atlanta
Motel, supra, and production and consumption of homegrown wheat, Wickard
v. Filburn, 317 U.S. 111, 63 S.Ct. 82, 87 L.Ed. 122 (1942).
These examples are by no means exhaustive, but the pattern is
clear. Where economic activity substantially affects interstate
commerce, legislation regulating that activity will be sustained.
Even Wickard, which is perhaps the
most far reaching example of Commerce Clause authority over intrastate activity,
involved economic activity in a way that the possession of a gun in a school
zone does not. Roscoe Filburn operated a small farm in Ohio, on
which, in the year involved, he raised 23 acres of wheat. It was
his practice to sow winter wheat in the fall, and after harvesting it in July
to sell a portion of the crop, to feed part of it to poultry and livestock on
the farm, to use some in making flour for home consumption, and to keep the
remainder for seeding future crops. The Secretary of Agriculture
assessed a penalty against him under the Agricultural Adjustment Act of 1938
because he harvested about 12 acres more wheat than his allotment under the Act
permitted. The Act was designed to regulate the volume of wheat
moving in interstate and foreign commerce in order to avoid surpluses and
shortages, and concomitant fluctuation in wheat prices, which had previously
obtained. The Court said, in an opinion sustaining the application
of the Act to Filburn's activity:
"One of the primary purposes of the Act in question was to increase the market price of wheat and to that end to limit the volume thereof that could affect the market. It can hardly be denied that a factor of such volume and variability as home-consumed wheat would have a substantial influence on price and market conditions. This may arise because being in marketable condition such wheat overhangs the market and, if induced by rising prices, tends to flow into the market and check price increases. But if we assume that it is never marketed, it supplies a need of the man who grew it which would otherwise be reflected by purchases in the open market. Home-grown wheat in this sense competes with wheat in commerce." 317 U.S., at 128, 63 S.Ct., at 90- 91.
Section 922(q) is a criminal statute that by its terms has nothing to do with "commerce" or any sort of economic enterprise, however broadly one might define those terms. [FN3] Section 922(q) is not an essential part of a larger regulation of economic activity, in which the regulatory scheme could be undercut unless the intrastate activity were regulated. It cannot, therefore, be sustained under our cases upholding regulations of activities that arise out of or are connected with a commercial transaction, which viewed in the aggregate, substantially affects interstate commerce.
Second, § 922(q) contains no jurisdictional
element which would ensure, through case-by-case inquiry, that the firearm
possession in question affects interstate commerce. For example, in
United States v. Bass, 404 U.S. 336, 92 S.Ct. 515, 30 L.Ed.2d 488
(1971), the Court interpreted former 18 U.S.C. § 1202(a), which made it a crime
for a felon to "receiv[e], posses[s], or transpor[t] in commerce or
affecting commerce ... any firearm." 404 U.S., at 337, 92 S.Ct., at
517. The Court interpreted the possession component of § 1202(a) to
require an additional nexus to interstate commerce both because the statute was
ambiguous and because "unless Congress conveys its purpose clearly, it
will not be deemed to have significantly changed the federal-state
balance." Id., at 349, 92 S.Ct., at 523. The Bass
Court set aside the conviction because, although the Government had
demonstrated that Bass had possessed a firearm, it had failed "to show the
requisite nexus with interstate commerce." Id., at 347, 92
S.Ct., at 522. The Court thus interpreted the statute to reserve
the constitutional question whether Congress could regulate, without more, the
"mere possession" of firearms. See id., at 339, n.
4, 92 S.Ct., at 518, n. 4; see also United States v. Five Gambling
Devices, 346 U.S. 441, 448, 74 S.Ct. 190, 194, 98 L.Ed. 179 (1953)
(plurality opinion) ("The principle is old and deeply imbedded in our
jurisprudence that this Court will construe a statute in a manner that requires
decision of serious constitutional questions only if the statutory language
leaves no reasonable alternative"). Unlike the statute in Bass,
§ 922(q) has no express jurisdictional element which might limit its reach to a
discrete set of firearm possessions that additionally have an explicit
connection with or effect on interstate commerce.
Although as part of our independent
evaluation of constitutionality under the Commerce Clause we of course consider
legislative findings, and indeed even congressional committee findings,
regarding effect on interstate commerce, see, e.g., Preseault v. ICC,
494 U.S., at 17, 110 S.Ct., at 924- 925, (1990), the Government concedes
that "[n]either the statute nor its legislative history contain[s] express
congressional findings regarding the effects upon interstate commerce of gun
possession in a school zone." Brief for United States
5-6. We agree with the Government that Congress normally is not
required to make formal findings as to the substantial burdens that an activity
has on interstate commerce. See McClung, 379 U.S., at 304,
85 S.Ct., at 383-384; see also Perez, 402 U.S., at 156, 91 S.Ct., at
1362 ("Congress need [not] make particularized findings in order to
legislate"). But to the extent that congressional findings
would enable us to evaluate the legislative judgment that the activity in
question substantially affected interstate commerce, even though no such
substantial effect was visible to the naked eye, they are lacking here. [FN4]
The Government argues that Congress has
accumulated institutional expertise regarding the regulation of firearms
through previous enactments. Cf. Fullilove v. Klutznick, 448 U.S. 448,
503, 100 S.Ct. 2758, 2787, 65 L.Ed.2d 902 (1980) (Powell, J.,
concurring). We agree, however, with the Fifth Circuit that
importation of previous findings to justify § 922(q) is especially
inappropriate here because the "prior federal enactments or Congressional
findings [do not] speak to the subject matter of section 922(q) or its relationship
to interstate commerce. Indeed, section 922(q) plows thoroughly new
ground and represents a sharp break with the long-standing pattern of federal
firearms legislation." 2 F.3d, at 1366.
The Government's essential contention, in
fine, is that we may determine here that § 922(q) is valid because
possession of a firearm in a local school zone does indeed substantially affect
interstate commerce. Brief for United States 17. The
Government argues that possession of a firearm in a school zone may result in
violent crime and that violent crime can be expected to affect the functioning
of the national economy in two ways. First, the costs of violent
crime are substantial, and, through the mechanism of insurance, those costs are
spread throughout the population. See United States v. Evans,
928 F.2d 858, 862 (CA9 1991). Second, violent crime reduces the
willingness of individuals to travel to areas within the country that are
perceived to be unsafe. Cf. Heart of Atlanta Motel, 379
U.S., at 253, 85 S.Ct., at 355. The Government also argues that the
presence of guns in schools poses a substantial threat to the educational
process by threatening the learning environment. A handicapped
educational process, in turn, will result in a less productive
citizenry. That, in turn, would have an adverse effect on the
Nation's economic well-being. As a result, the Government argues
that Congress could rationally have concluded that § 922(q) substantially
affects interstate commerce.
We pause to consider the implications of the
Government's arguments. The Government admits, under its
"costs of crime" reasoning, that Congress could regulate not only all
violent crime, but all activities that might lead to violent crime, regardless
of how tenuously they relate to interstate commerce. See Tr. of Oral Arg.
8-9. Similarly, under the Government's "national
productivity" reasoning, Congress could regulate any activity that it
found was related to the economic productivity of individual citizens:
family law (including marriage, divorce, and child custody), for example. Under the theories that the Government presents in
support of § 922(q), it is difficult to perceive any limitation on federal
power, even in areas such as criminal law enforcement or education where States
historically have been sovereign. Thus, if we were to accept the
Government's arguments, we are hard pressed to posit any activity by an
individual that Congress is without power to regulate.
Although Justice BREYER argues that
acceptance of the Government's rationales would not authorize a general federal
police power, he is unable to identify any activity that the States may
regulate but Congress may not. Justice BREYER posits that there might be some
limitations on Congress' commerce power, such as family law or certain aspects
of education. Post, at 1661-1662. These
suggested limitations, when viewed in light of the dissent's expansive
analysis, are devoid of substance.
Justice BREYER focuses, for the most part, on
the threat that firearm possession in and near schools poses to the educational
process and the potential economic consequences flowing from that
threat. Post, at 1659- 1662. Specifically, the
dissent reasons that (1) gun-related violence is a serious problem; (2)
that problem, in turn, has an adverse effect on classroom learning; and
(3) that adverse effect on classroom learning, in turn, represents a
substantial threat to trade and commerce. Post, at
1661. This analysis would be equally applicable, if not more so, to
subjects such as family law and direct regulation of education.
For instance, if Congress can, pursuant to
its Commerce Clause power, regulate activities that adversely affect the
learning environment, then, a fortiori, it also can regulate the
educational process directly. Congress could determine that a
school's curriculum has a "significant" effect on the extent of
classroom learning. As a result, Congress could mandate a federal
curriculum for local elementary and secondary schools because what is taught in
local schools has a significant "effect on classroom learning," cf. post,
at 1661, and that, in turn, has a substantial effect on interstate commerce.
Justice BREYER rejects our reading of
precedent and argues that "Congress ... could rationally conclude
that schools fall on the commercial side of the line." Post,
at 1664. Again, Justice BREYER's rationale lacks any real limits
because, depending on the level of generality, any activity can be looked upon
as commercial. Under the dissent's rationale, Congress could just
as easily look at child rearing as "fall[ing] on the commercial side of
the line" because it provides a "valuable service--namely, to equip
[children] with the skills they need to survive in life and, more specifically,
in the workplace." Ibid. We do not doubt that Congress
has authority under the Commerce Clause to regulate numerous commercial
activities that substantially affect interstate commerce and also affect the
educational process. That authority, though broad, does not include
the authority to regulate each and every aspect of local schools.
Admittedly, a determination whether an
intrastate activity is commercial or noncommercial may in some cases result in
legal uncertainty. But, so long as Congress' authority is limited
to those powers enumerated in the Constitution, and so long as those enumerated
powers are interpreted as having judicially enforceable outer limits,
congressional legislation under the Commerce Clause always will engender
"legal uncertainty." Post, at 1664. As
Chief Justice Marshall stated in McCulloch v. Maryland, 4 Wheat. 316, 4
L.Ed. 579 (1819):
"Th[e] [federal] government is acknowledged by all to be one of enumerated powers. The principle, that it can exercise only the powers granted to it ... is now universally admitted. But the question respecting the extent of the powers actually granted, is perpetually arising, and will probably continue to arise, as long as our system shall exist." Id., at 405.
See also Gibbons v. Ogden, 9 Wheat., at 195 ("The enumeration presupposes something not enumerated"). The Constitution mandates this uncertainty by withholding from Congress a plenary police power that would authorize enactment of every type of legislation. See Art. I, § 8. Congress has operated within this framework of legal uncertainty ever since this Court determined that it was the Judiciary's duty "to say what the law is."Marbury v. Madison, 1 Cranch 137, 177, 2 L.Ed. 60 (1803) (Marshall, C.J.). Any possible benefit from eliminating this "legal uncertainty" would be at the expense of the Constitution's system of enumerated powers.
In Jones & Laughlin Steel, 301
U.S., at 37, 57 S.Ct., at 624, we held that the question of congressional power
under the Commerce Clause "is necessarily one of degree."
To the same effect is the concurring opinion of Justice Cardozo in Schechter
Poultry:
"There is a view of causation that would obliterate the distinction between what is national and what is local in the activities of commerce. Motion at the outer rim is communicated perceptibly, though minutely, to recording instruments at the center. A society such as ours 'is an elastic medium which transmits all tremors throughout its territory; the only question is of their size.' " 295 U.S., at 554, 55 S.Ct., at 85 (quoting United States v. A.L.A. Schechter Poultry Corp., 76 F.2d 617, 624 (CA2 1935) (L. Hand, J., concurring)).
These are not precise formulations, and in the nature of things they cannot be. But we think they point the way to a correct decision of this case. The possession of a gun in a local school zone is in no sense an economic activity that might, through repetition elsewhere, substantially affect any sort of interstate commerce. Respondent was a local student at a local school; there is no indication that he had recently moved in interstate commerce, and there is no requirement that his possession of the firearm have any concrete tie to interstate commerce.
To uphold the Government's
contentions here, we would have to pile inference upon inference in a manner
that would bid fair to convert congressional authority under the Commerce
Clause to a general police power of the sort retained by the States.
Admittedly, some of our prior cases have taken long steps down that road,
giving great deference to congressional action. See supra,
at 1629. The broad language in these opinions has suggested the
possibility of additional expansion, but we decline here to proceed any
further. To do so would require us to conclude that the
Constitution's enumeration of powers does not presuppose something not
enumerated, cf. Gibbons v. Ogden, supra, at 195, and that there
never will be a distinction between what is truly national and what is truly
local, cf. Jones & Laughlin Steel, supra, at 30, 57 S.Ct.,
at 621. This we are unwilling to do.
For the foregoing reasons
the judgment of the Court of Appeals is
Affirmed.
Justice KENNEDY, with whom Justice O'CONNOR
joins, concurring.
The history of the judicial struggle to
interpret the Commerce Clause during the transition from the economic system
the Founders knew to the single, national market still emergent in our own era
counsels great restraint before the Court determines that the Clause is
insufficient to support an exercise of the national power. That
history gives me some pause about today's decision, but I join the Court's
opinion with these observations on what I conceive to be its necessary though
limited holding.
Chief Justice Marshall announced that the
national authority reaches "that commerce which concerns more States than
one" and that the commerce power "is complete in itself, may be
exercised to its utmost extent, and acknowledges no limitations, other than are
prescribed in the constitution." Gibbons v. Ogden, 9 Wheat.
1, 194, 196, 6 L.Ed. 23 (1824). His statements can be understood
now as an early and authoritative recognition that the Commerce Clause grants
Congress extensive power and ample discretion to determine its appropriate
exercise. The progression of our Commerce Clause cases from Gibbons
to the present was not marked, however, by a coherent or consistent course of
interpretation; for neither the course of technological advance nor the
foundational principles for the jurisprudence itself were self-evident to the
courts that sought to resolve contemporary disputes by enduring principles.
Furthermore, for almost a century after the
adoption of the Constitution, the Court's Commerce Clause decisions did not
concern the authority of Congress to legislate. Rather, the Court
faced the related but quite distinct question of the authority of the States to
regulate matters that would be within the commerce power had Congress chosen to
act. The simple fact was that in the early years of the Republic, Congress
seldom perceived the necessity to exercise its power in circumstances where its
authority would be called into question. The Court's initial task,
therefore, was to elaborate the theories that would permit the States to act
where Congress had not done so. Not the least part of the problem
was the unresolved question whether the congressional power was exclusive, a
question reserved by Chief Justice Marshall in Gibbons v. Ogden, supra,
at 209-210.
At the midpoint of the 19th century, the
Court embraced the principle that the States and the National Government both
have authority to regulate certain matters absent the congressional
determination to displace local law or the necessity for the Court to
invalidate local law because of the dormant national power. Cooley v. Board
of Wardens of Port of Philadelphia, ex rel. Soc. for Relief of Distressed
Pilots, 12 How. 299, 318-321, 13 L.Ed. 996 (1852). But the
utility of that solution was not at once apparent, see generally F.
Frankfurter, The Commerce Clause under Marshall, Taney and Waite (1937)
(hereinafter Frankfurter), and difficulties of application persisted, see Leisy
v. Hardin, 135 U.S. 100, 122-125, 10 S.Ct. 681, 688-690, 34 L.Ed. 128 (1890).
One approach the Court used to inquire into
the lawfulness of state authority was to draw content-based or subject-matter
distinctions, thus defining by semantic or formalistic categories those
activities that were commerce and those that were not. For
instance, in deciding that a State could prohibit the in-state manufacture of
liquor intended for out-of-state shipment, it distinguished between manufacture
and commerce. "No distinction is more popular to the common mind, or
more clearly expressed in economic and political literature, than that between
manufactur[e] and commerce. Manufacture is transformation--the
fashioning of raw materials into a change of form for use. The
functions of commerce are different." Kidd v. Pearson, 128
U.S. 1, 20, 9 S.Ct. 6, 10, 32 L.Ed. 346 (1888). Though that
approach likely would not have survived even if confined to the question of a
State's authority to enact legislation, it was not at all propitious when
applied to the quite different question of what subjects were within the reach
of the national power when Congress chose to exercise it.
This became evident when the Court began to
confront federal economic regulation enacted in response to the rapid
industrial development in the late 19th century. Thus, it relied
upon the manufacture-commerce dichotomy in United States v. E.C.
Knight Co., 156 U.S. 1, 15 S.Ct. 249, 39 L.Ed. 325 (1895), where a
manufacturers' combination controlling some 98% of the Nation's domestic sugar
refining capacity was held to be outside the reach of the Sherman
Act. Conspiracies to control manufacture, agriculture, mining,
production, wages, or prices, the Court explained, had too "indirect"
an effect on interstate commerce. Id., at 16, 15 S.Ct., at
255. And in Adair v. United States, 208 U.S. 161, 28 S.Ct.
277, 52 L.Ed. 436 (1908), the Court rejected the view that the commerce power
might extend to activities that, although local in the sense of having
originated within a single State, nevertheless had a practical effect on interstate
commercial activity. The Court concluded that there was not a
"legal or logical connection ... between an employee's membership in a
labor organization and the carrying on of interstate commerce," id.,
at 178, 28 S.Ct., at 282, and struck down a federal statute forbidding the
discharge of an employee because of his membership in a labor
organization. See also The Employers' Liability Cases, 207
U.S. 463, 497, 28 S.Ct. 141, 145, 52 L.Ed. 297 (1908) (invalidating statute
creating negligence action against common carriers for personal injuries of
employees sustained in the course of employment, because the statute
"regulates the persons because they engage in interstate commerce and does
not alone regulate the business of interstate commerce").
Even before the Court committed itself to
sustaining federal legislation on broad principles of economic practicality, it
found it necessary to depart from these decisions. The Court
disavowed E.C. Knight 's reliance on the manufacturing-commerce distinction
in Standard Oil Co. of N.J. v. United States, 221 U.S. 1, 68-69, 31
S.Ct. 502, 518-519, 55 L.Ed. 619 (1911), declaring that approach
"unsound." The Court likewise rejected the rationale of Adair
when it decided, in Texas & New Orleans R. Co. v. Railway Clerks,
281 U.S. 548, 570-571, 50 S.Ct. 427, 433-434, 74 L.Ed. 1034 (1930), that
Congress had the power to regulate matters pertaining to the organization of
railroad workers.
In another line of cases, the Court addressed
Congress' efforts to impede local activities it considered undesirable by
prohibiting the interstate movement of some essential element. In
the Lottery Case, 188 U.S. 321, 23 S.Ct. 321, 47 L.Ed. 492 (1903), the
Court rejected the argument that Congress lacked power to prohibit the interstate
movement of lottery tickets because it had power only to regulate, not to
prohibit. See also Hipolite Egg Co. v. United States, 220
U.S. 45, 31 S.Ct. 364, 55 L.Ed. 364 (1911); Hoke v. United States, 227
U.S. 308, 33 S.Ct. 281, 57 L.Ed. 523 (1913). In Hammer v. Dagenhart, 247
U.S. 251, 38 S.Ct. 529, 62 L.Ed. 1101 (1918), however, the Court insisted that
the power to regulate commerce "is directly the contrary of the assumed
right to forbid commerce from moving," id., at 269-270, 38 S.Ct.,
at 530, and struck down a prohibition on the interstate transportation of goods
manufactured in violation of child labor laws.
Even while it was experiencing difficulties
in finding satisfactory principles in these cases, the Court was pursuing a
more sustainable and practical approach in other lines of decisions,
particularly those involving the regulation of railroad rates. In
the Minnesota Rate Cases, 230 U.S. 352, 33 S.Ct. 729, 57 L.Ed. 1511
(1913), the Court upheld a state rate order, but observed that Congress might
be empowered to regulate in this area if "by reason of the interblending
of the interstate and intrastate operations of interstate carriers" the
regulation of interstate rates could not be maintained without restrictions on
"intrastate rates which substantially affect the former." Id.,
at 432-433, 33 S.Ct., at 753-754. And in the Shreveport Rate
Cases, 234 U.S. 342, 34 S.Ct. 833, 58 L.Ed. 1341 (1914), the Court upheld
an Interstate Commerce Commission order fixing railroad rates with the
explanation that congressional authority, "extending to these interstate
carriers as instruments of interstate commerce, necessarily embraces the right
to control their operations in all matters having such a close and substantial relation
to interstate traffic that the control is essential or appropriate to the
security of that traffic, to the efficiency of the interstate service, and to
the maintenance of conditions under which interstate commerce may be conducted
upon fair terms and without molestation or hindrance." Id., at 351,
34 S.Ct., at 836.
Even the most confined interpretation of
"commerce" would embrace transportation between the States, so the
rate cases posed much less difficulty for the Court than cases involving manufacture
or production. Nevertheless, the Court's recognition of the
importance of a practical conception of the commerce power was not altogether
confined to the rate cases. In Swift & Co. v. United States,
196 U.S. 375, 25 S.Ct. 276, 49 L.Ed. 518 (1905), the Court upheld the
application of federal antitrust law to a combination of meat dealers that
occurred in one State but that restrained trade in cattle "sent for sale
from a place in one State, with the expectation that they will end their transit
... in another." Id., at 398, 25 S.Ct., at 280.
The Court explained that "commerce among the States is not a technical
legal conception, but a practical one, drawn from the course of
business." Ibid. Chief Justice Taft followed the same
approach in upholding federal regulation of stockyards in Stafford v.
Wallace, 258 U.S. 495, 42 S.Ct. 397, 66 L.Ed. 735 (1922).
Speaking for the Court, he rejected a "nice and technical inquiry," id.,
at 519, 42 S.Ct., at 403, when the local transactions at issue could not
"be separated from the movement to which they contribute," id.,
at 516, 42 S.Ct., at 402.
Reluctance of the Court to adopt that
approach in all of its cases caused inconsistencies in doctrine to persist,
however. In addressing New Deal legislation the Court resuscitated
the abandoned abstract distinction between direct and indirect effects on
interstate commerce. See Carter v. Carter Coal Co., 298 U.S.
238, 309, 56 S.Ct. 855, 872, 80 L.Ed. 1160 (1936) (Act regulating price of coal
and wages and hours for miners held to have only "secondary and
indirect" effect on interstate commerce); Railroad Retirement Bd. v.
Alton R. Co., 295 U.S. 330, 368, 55 S.Ct. 758, 771, 79 L.Ed. 1468 (1935)
(compulsory retirement and pension plan for railroad carrier employees too
"remote from any regulation of commerce as such"); A.L.A.
Schechter Poultry Corp. v. United States, 295 U.S. 495, 548, 55 S.Ct. 837,
851, 79 L.Ed. 1570 (1935) (wage and hour law provision of National Industrial
Recovery Act had "no direct relation to interstate commerce").
The case that seems to mark the Court's
definitive commitment to the practical conception of the commerce power is NLRB
v. Jones & Laughlin Steel Corp., 301 U.S. 1, 57 S.Ct. 615, 81 L.Ed. 893
(1937), where the Court sustained labor laws that applied to manufacturing
facilities, making no real attempt to distinguish Carter, supra, and Schechter,
supra. 301 U.S., at 40- 41, 57 S.Ct., at 625-626. The
deference given to Congress has since been confirmed. United States v.
Darby, 312 U.S. 100, 116-117, 61 S.Ct. 451, 458-459, 85 L.Ed. 609 (1941),
overruled Hammer v. Dagenhart, supra. And in Wickard v.
Filburn, 317 U.S. 111, 63 S.Ct. 82, 87 L.Ed. 122 (1942), the Court
disapproved E.C. Knight and the entire line of direct-indirect and
manufacture-production cases, explaining that "broader interpretations of
the Commerce Clause [were] destined to supersede the earlier ones," at
122, 63 S.Ct., at 88, and "[w]hatever terminology is used, the criterion
is necessarily one of degree and must be so defined. This does not
satisfy those who seek mathematical or rigid formulas. But such
formulas are not provided by the great concepts of the Constitution," id.,
at 123, n. 24, 63 S.Ct., at 88, n. 24. Later examples of the
exercise of federal power where commercial transactions were the subject of
regulation include Heart of Atlanta Motel, Inc. v. United States, 379
U.S. 241, 85 S.Ct. 348, 13 L.Ed.2d 258 (1964), Katzenbach v. McClung,
379 U.S. 294, 85 S.Ct. 377, 13 L.Ed.2d 290 (1964), and Perez v. United
States, 402 U.S. 146, 91 S.Ct. 1357, 28 L.Ed.2d 686 (1971).
These and like authorities are within the fair ambit of the Court's practical
conception of commercial regulation and are not called in question by our
decision today.
The history of our Commerce Clause decisions
contains at least two lessons of relevance to this case. The first,
as stated at the outset, is the imprecision of content-based boundaries used
without more to define the limits of the Commerce Clause. The
second, related to the first but of even greater consequence, is that the Court
as an institution and the legal system as a whole have an immense stake in the
stability of our Commerce Clause jurisprudence as it has evolved to this
point. Stare decisis operates with great force in counseling
us not to call in question the essential principles now in place respecting the
congressional power to regulate transactions of a commercial
nature. That fundamental restraint on our power forecloses us from
reverting to an understanding of commerce that would serve only an 18th-century
economy, dependent then upon production and trading practices that had changed
but little over the preceding centuries; it also mandates against
returning to the time when congressional authority to regulate undoubted
commercial activities was limited by a judicial determination that those
matters had an insufficient connection to an interstate system.
Congress can regulate in the commercial sphere on the assumption that we have a
single market and a unified purpose to build a stable national economy.
In referring to the whole subject of the
federal and state balance, we said this just three Terms ago:
"This framework has been sufficiently flexible over the past two centuries to allow for enormous changes in the nature of government. The Federal Government undertakes activities today that would have been unimaginable to the Framers in two senses: first, because the Framers would not have conceived that any government would conduct such activities; and second, because the Framers would not have believed that the Federal Government, rather than the States, would assume such responsibilities. Yet the powers conferred upon the Federal Government by the Constitution were phrased in language broad enough to allow for the expansion of the Federal Government's role." New York v. United States, 505 U.S. 144, 157, 112 S.Ct. 2408, 2418, 120 L.Ed.2d 120 (1992) (emphasis deleted).
It does not follow, however, that in every instance the Court lacks the authority and responsibility to review congressional attempts to alter the federal balance. This case requires us to consider our place in the design of the Government and to appreciate the significance of federalism in the whole structure of the Constitution.
Of the various structural elements in the
Constitution, separation of powers, checks and balances, judicial review, and
federalism, only concerning the last does there seem to be much uncertainty
respecting the existence, and the content, of standards that allow the
Judiciary to play a significant role in maintaining the design contemplated by
the Framers. Although the resolution of specific cases has proved
difficult, we have derived from the Constitution workable standards to assist
in preserving separation of powers and checks and balances. See, e.g.,
Prize Cases, 2 Black 635, 17 L.Ed. 459 (1863); Youngstown Sheet
& Tube Co. v. Sawyer, 343 U.S. 579, 72 S.Ct. 863, 96 L.Ed. 1153
(1952); United States v. Nixon, 418 U.S. 683, 94 S.Ct. 3090, 41
L.Ed.2d 1039 (1974); Buckley v. Valeo, 424 U.S. 1, 96 S.Ct. 612, 46
L.Ed.2d 659 (1976); INS v. Chadha, 462 U.S. 919, 103 S.Ct. 2764, 77
L.Ed.2d 317 (1983); Bowsher v. Synar, 478 U.S. 714, 106 S.Ct. 3181, 92
L.Ed.2d 583 (1986); Plaut v. Spendthrift Farm, Inc., 514 U.S. 211, 115
S.Ct. 1447, 131 L.Ed.2d 328 (1995). These standards are by now well
accepted. Judicial review is also established beyond question, Marbury
v. Madison, 1 Cranch 137, 2 L.Ed. 60 (1803), and though we may differ when
applying its principles, see, e.g., Planned Parenthood of Southeastern Pa.
v. Casey, 505 U.S. 833, 112 S.Ct. 2791, 120 L.Ed.2d 674 (1992), its
legitimacy is undoubted. Our role in preserving the federal balance
seems more tenuous.
There is irony in this, because of the four
structural elements in the Constitution just mentioned, federalism was the
unique contribution of the Framers to political science and political
theory. See Friendly, Federalism: A Forward, 86 Yale L.J. 1019
(1977); G. Wood, The Creation of the American Republic, 1776-1787, pp.
524-532, 564 (1969). Though on the surface the idea may seem
counterintuitive, it was the insight of the Framers that freedom was enhanced by
the creation of two governments, not one. "In the compound republic
of America, the power surrendered by the people is first divided between two
distinct governments, and then the portion allotted to each subdivided among
distinct and separate departments. Hence a double security arises
to the rights of the people. The different governments will control
each other, at the same time that each will be controlled by
itself." The Federalist No. 51, p. 323 (C. Rossiter ed. 1961)
(J. Madison). See also Gregory v. Ashcroft, 501 U.S. 452,
458-459, 111 S.Ct. 2395, 2400, 115 L.Ed.2d 410 (1991) ("Just as the
separation and independence of the coordinate branches of the Federal
Government serve to prevent the accumulation of excessive power in any one
branch, a healthy balance of power between the States and the Federal
Government will reduce the risk of tyranny and abuse from either
front.... In the tension between federal and state power lies the promise
of liberty"); New York v. United States, supra, at 181, 112
S.Ct., at 2431 ("[T]he Constitution divides authority between federal and
state governments for the protection of individuals. State
sovereignty is not just an end in itself: 'Rather, federalism secures to
citizens the liberties that derive from the diffusion of sovereign power'
") (quoting Coleman v. Thompson, 501 U.S. 722, 759, 111 S.Ct. 2546,
2570, 115 L.Ed.2d 640 (1991) (Blackmun, J., dissenting)).
The theory that two governments accord more
liberty than one requires for its realization two distinct and discernible
lines of political accountability: one between the citizens and the
Federal Government; the second between the citizens and the
States. If, as Madison expected, the Federal and State Governments
are to control each other, see The Federalist No. 51, and hold each other in
check by competing for the affections of the people, see The Federalist No. 46,
those citizens must have some means of knowing which of the two governments to
hold accountable for the failure to perform a given function. "Federalism
serves to assign political responsibility, not to obscure it." FTC
v. Ticor Title Ins. Co., 504 U.S. 621, 636, 112 S.Ct. 2169, 2178, 119
L.Ed.2d 410 (1992). Were the Federal Government to take over the
regulation of entire areas of traditional state concern, areas having nothing
to do with the regulation of commercial activities, the boundaries between the
spheres of federal and state authority would blur and political responsibility
would become illusory. Cf. New York v. United States, supra,
at 155-169, 112 S.Ct., at 2417-2425; FERC v. Mississippi, 456 U.S.
742, 787, 102 S.Ct. 2126, 2152, 72 L.Ed.2d 532 (1982) (O'CONNOR, J., concurring
in judgment in part and dissenting in part). The resultant
inability to hold either branch of the government answerable to the citizens is
more dangerous even than devolving too much authority to the remote central
power.
To be sure, one conclusion that could be
drawn from The Federalist Papers is that the balance between national and state
power is entrusted in its entirety to the political process.
Madison's observation that "the people ought not surely to be precluded
from giving most of their confidence where they may discover it to be most
due," The Federalist No. 46, p. 295 (C. Rossiter ed. 1961), can be
interpreted to say that the essence of responsibility for a shift in power from
the State to the Federal Government rests upon a political judgment, though he
added assurance that "the State governments could have little to
apprehend, because it is only within a certain sphere that the federal power
can, in the nature of things, be advantageously administered," ibid.
Whatever the judicial role, it is axiomatic that Congress does have substantial
discretion and control over the federal balance.
For these reasons, it would be mistaken and
mischievous for the political branches to forget that the sworn obligation to
preserve and protect the Constitution in maintaining the federal balance is
their own in the first and primary instance. In the Webster-Hayne
Debates, see The Great Speeches and Orations of Daniel Webster 227-272 (E.
Whipple ed. 1879), and the debates over the Civil Rights Acts, see Hearings on
S. 1732 before the Senate Committee on Commerce, 88th Cong., 1st Sess., pts.
1-3 (1963), some Congresses have accepted responsibility to confront the great
questions of the proper federal balance in terms of lasting consequences for
the constitutional design. The political branches of the Government
must fulfill this grave constitutional obligation if democratic liberty and the
federalism that secures it are to endure.
At the same time, the absence of structural
mechanisms to require those officials to undertake this principled task, and
the momentary political convenience often attendant upon their failure to do
so, argue against a complete renunciation of the judicial role.
Although it is the obligation of all officers of the Government to respect the
constitutional design, see Public Citizen v. Department of Justice, 491
U.S. 440, 466, 109 S.Ct. 2558, 2572-2573, 105 L.Ed.2d 377 (1989); Rostker
v. Goldberg, 453 U.S. 57, 64, 101 S.Ct. 2646, 2651, 69 L.Ed.2d 478 (1981),
the federal balance is too essential a part of our constitutional structure and
plays too vital a role in securing freedom for us to admit inability to
intervene when one or the other level of Government has tipped the scales too
far.
In the past this Court has participated in
maintaining the federal balance through judicial exposition of doctrines such
as abstention, see, e.g., Younger v. Harris, 401 U.S. 37, 91 S.Ct. 746,
27 L.Ed.2d 669 (1971); Railroad Comm'n of Tex. v. Pullman Co., 312 U.S.
496, 61 S.Ct. 643, 85 L.Ed. 971 (1941); Burford v. Sun Oil Co., 319 U.S.
315, 63 S.Ct. 1098, 87 L.Ed. 1424 (1943), the rules for determining the primacy
of state law, see, e.g., Erie R. Co. v. Tompkins, 304 U.S. 64, 58 S.Ct.
817, 82 L.Ed. 1188 (1938), the doctrine of adequate and independent state
grounds, see, e.g., Murdock v. Memphis, 20 Wall. 590, 22 L.Ed. 429 (1875);
Michigan v. Long, 463 U.S. 1032, 103 S.Ct. 3469, 77 L.Ed.2d 1201 (1983),
the whole jurisprudence of preemption, see, e.g., Rice v. Santa Fe Elevator
Corp., 331 U.S. 218, 67 S.Ct. 1146, 91 L.Ed. 1447 (1947); Cipollone
v. Liggett Group, Inc., 505 U.S. 504, 112 S.Ct. 2608, 120 L.Ed.2d 407
(1992), and many of the rules governing our habeas jurisprudence, see, e.g.,
Coleman v. Thompson, 501 U.S. 722, 111 S.Ct. 2546, 115 L.Ed.2d 640
(1991); McCleskey v. Zant, 499 U.S. 467, 111 S.Ct. 1454, 113
L.Ed.2d 517 (1991); Teague v. Lane, 489 U.S. 288, 109 S.Ct. 1060,
103 L.Ed.2d 334 (1989); Rose v. Lundy, 455 U.S. 509, 102 S.Ct.
1198, 71 L.Ed.2d 379 (1982); Wainwright v. Sykes, 433 U.S. 72, 97
S.Ct. 2497, 53 L.Ed.2d 594 (1977).
Our ability to preserve this principle under
the Commerce Clause has presented a much greater challenge. See supra,
at 1634-1637. "This clause has throughout the Court's history been
the chief source of its adjudications regarding federalism," and "no
other body of opinions affords a fairer or more revealing test of judicial
qualities." Frankfurter 66-67. But as the branch
whose distinctive duty it is to declare "what the law is," Marbury
v. Madison, 1 Cranch, at 177, we are often called upon to resolve questions
of constitutional law not susceptible to the mechanical application of bright
and clear lines. The substantial element of political judgment in
Commerce Clause matters leaves our institutional capacity to intervene more in
doubt than when we decide cases, for instance, under the Bill of Rights even
though clear and bright lines are often absent in the latter class of
disputes. See County of Allegheny v. American Civil Liberties
Union, Greater Pittsburgh Chapter, 492 U.S. 573, 630, 109 S.Ct. 3086, 3120,
106 L.Ed.2d 472 (1989) (O'CONNOR, J., concurring in part and concurring in
judgment) ("We cannot avoid the obligation to draw lines, often close and
difficult lines" in adjudicating constitutional rights). But
our cases do not teach that we have no role at all in determining the meaning
of the Commerce Clause.
Our position in enforcing the dormant
Commerce Clause is instructive. The Court's doctrinal approach in that
area has likewise "taken some turns." Oklahoma Tax Comm'n v.
Jefferson Lines, Inc., 514 U.S. 175, 180, 115 S.Ct. 1331, 1336, 131 L.Ed.2d
261 (1995). Yet in contrast to the prevailing skepticism that
surrounds our ability to give meaning to the explicit text of the Commerce
Clause, there is widespread acceptance of our authority to enforce the dormant
Commerce Clause, which we have but inferred from the constitutional structure
as a limitation on the power of the States. One element of our
dormant Commerce Clause jurisprudence has been the principle that the States
may not impose regulations that place an undue burden on interstate commerce,
even where those regulations do not discriminate between in-state and
out-of-state businesses. See Brown-Forman Distillers Corp. v.
New York State Liquor Authority, 476 U.S. 573, 579, 106 S.Ct. 2080, 2084,
90 L.Ed.2d 552 (1986) (citing Pike v. Bruce Church, Inc., 397 U.S. 137,
142, 90 S.Ct. 844, 847, 25 L.Ed.2d 174 (1970)). Distinguishing
between regulations that do place an undue burden on interstate commerce and
regulations that do not depends upon delicate judgments. True, if
we invalidate a state law, Congress can in effect overturn our judgment,
whereas in a case announcing that Congress has transgressed its authority, the
decision is more consequential, for it stands unless Congress can revise its
law to demonstrate its commercial character. This difference no
doubt informs the circumspection with which we invalidate an Act of Congress,
but it does not mitigate our duty to recognize meaningful limits on the
commerce power of Congress.
The statute before us
upsets the federal balance to a degree that renders it an unconstitutional
assertion of the commerce power, and our intervention is required.As the Chief
Justice explains, unlike the earlier cases to come before the Court here
neither the actors nor their conduct has a commercial character, and neither
the purposes nor the design of the statute has an evident commercial nexus. See ante, at
1630-1631. The statute makes the simple possession of a gun within
1,000 feet of the grounds of the school a criminal offense. In a
sense any conduct in this interdependent world of ours has an ultimate
commercial origin or consequence, but we have not yet said the commerce power
may reach so far. If Congress attempts that extension, then at the
least we must inquire whether the exercise of national power seeks to intrude
upon an area of traditional state concern.
An interference of these dimensions occurs
here, for it is well established that education is a traditional concern of the
States. Milliken v. Bradley, 418 U.S. 717, 741-742, 94 S.Ct. 3112,
3125-3126, 41 L.Ed.2d 1069 (1974); Epperson v. Arkansas, 393 U.S. 97,
104, 89 S.Ct. 266, 270, 21 L.Ed.2d 228 (1968). The proximity to
schools, including of course schools owned and operated by the States or their
subdivisions, is the very premise for making the conduct criminal.
In these circumstances, we have a particular duty to ensure that the
federal-state balance is not destroyed. Cf. Rice, supra, at
230, 67 S.Ct., at 1152 ("[W]e start with the assumption that the historic
police powers of the States" are not displaced by a federal statute
"unless that was the clear and manifest purpose of Congress"); Florida
Lime & Avocado Growers, Inc. v. Paul, 373 U.S. 132, 146, 83 S.Ct. 1210,
1219, 10 L.Ed.2d 248 (1963).
While it is doubtful that any State, or
indeed any reasonable person, would argue that it is wise policy to allow
students to carry guns on school premises, considerable disagreement exists
about how best to accomplish that goal. In this circumstance, the
theory and utility of our federalism are revealed, for the States may perform
their role as laboratories for experimentation to devise various solutions
where the best solution is far from clear. See San Antonio
Independent School Dist. v. Rodriguez, 411 U.S. 1, 49-50, 93 S.Ct. 1278,
1304-05, 36 L.Ed.2d 16 (1973); New State Ice Co. v. Liebmann, 285
U.S. 262, 311, 52 S.Ct. 371, 386-87, 76 L.Ed. 747 (1932) (Brandeis, J.,
dissenting).
If a State or municipality determines that
harsh criminal sanctions are necessary and wise to deter students from carrying
guns on school premises, the reserved powers of the States are sufficient to
enact those measures. Indeed, over 40 States already have criminal
laws outlawing the possession of firearms on or near school grounds.
See, e.g., Alaska Stat.Ann. §§ 11.61.195(a)(2)(A), 11.61.220(a)(4)(A)
(Supp.1994); Cal.Penal Code Ann. § 626.9 (West Supp.1994);
Mass.Gen.Laws c. 269, § 10(j) (1992); N.J.Stat.Ann. § 2C:39-5(e) (West
Supp.1994); Va.Code Ann. § 18.2-308.1 (1988); Wis.Stat. § 948.605
(1991-1992).
Other, more practicable means to rid the
schools of guns may be thought by the citizens of some States to be preferable
for the safety and welfare of the schools those States are charged with
maintaining. See Brief for National Conference of State
Legislatures et al. as Amici Curiae 26-30 (injection of federal
officials into local problems causes friction and diminishes political
accountability of state and local governments). These might include
inducements to inform on violators where the information leads to arrests or
confiscation of the guns, see Lima, Schools May Launch Weapons Hot Line, Los
Angeles Times, Ventura County East ed., Jan. 13, 1995, p. B1, col. 5;
Reward for Tips on Guns in Tucson Schools, The Arizona Republic, Jan. 7, 1995,
p. B2; programs to encourage the voluntary surrender of guns with some
provision for amnesty, see Zaidan, Akron Rallies to Save Youths, The Plain
Dealer, Mar. 2, 1995, p. 1B; Swift, Legislators Consider Plan to Get Guns
Off Streets, Hartford Courant, Apr. 29, 1992, p. A4; penalties imposed on
parents or guardians for failure to supervise the child, see, e.g.,
Okla.Stat., Tit. 21, § 858 (Supp.1995) (fining parents who allow students to
possess firearm at school); Tenn.Code Ann. § 39-17-1312 (Supp.1992)
(misdemeanor for parents to allow student to possess firearm at school);
Straight Shooter: Gov. Casey's Reasonable Plan to Control Assault
Weapons, Pittsburgh Post-Gazette, Mar. 14, 1994, p. B2 (proposed bill);
Bailey, Anti-Crime Measures Top Legislators' Agenda, Los Angeles Times, Orange
Cty. ed., Mar. 7, 1994, p. B1, col. 2 (same); Krupa, New Gun-Control
Plans Could Tighten Local Law, The Boston Globe, June 20, 1993, p. 29;
laws providing for suspension or expulsion of gun-toting students, see, e.g.,
Ala.Code § 16-1-24.1 (Supp.1994); Ind.Code § 20-8.1-5-4(b)(1)(D) (1993);
Ky.Rev.Stat.Ann. § 158.150(1)(a) (Michie 1992); Wash.Rev.Code § 9.41.280
(1994), or programs for expulsion with assignment to special facilities, see
Martin, Legislators Poised to Take Harsher Stand on Guns in Schools, The
Seattle Times, Feb. 1, 1995, p. B1 (automatic year-long expulsion for students
with guns and intense semester-long reentry program).
The statute now before us forecloses the
States from experimenting and exercising their own judgment in an area to which
States lay claim by right of history and expertise, and it does so by
regulating an activity beyond the realm of commerce in the ordinary and usual
sense of that term. The tendency of this statute to displace state
regulation in areas of traditional state concern is evident from its
territorial operation. There are over 100,000 elementary and
secondary schools in the United States. See U.S. Dept. of
Education, National Center for Education Statistics, Digest of Education
Statistics 73, 104 (NCES 94-115, 1994) (Tables 63, 94). Each of
these now has an invisible federal zone extending 1,000 feet beyond the (often
irregular) boundaries of the school property. In some communities
no doubt it would be difficult to navigate without infringing on those
zones. Yet throughout these areas, school officials would find
their own programs for the prohibition of guns in danger of displacement by the
federal authority unless the State chooses to enact a parallel rule.
This is not a case where the etiquette of
federalism has been violated by a formal command from the National Government
directing the State to enact a certain policy, cf. New York v. United
States, 505 U.S. 144, 112 S.Ct. 2408, 120 L.Ed.2d 120 (1992), or to
organize its governmental functions in a certain way, cf. FERC v.
Mississippi, 456 U.S., at 781, 102 S.Ct., at 2149 (O'CONNOR, J., concurring
in judgment in part and dissenting in part). While the intrusion on
state sovereignty may not be as severe in this instance as in some of our
recent Tenth Amendment cases, the intrusion is nonetheless significant. Absent a stronger connection or identification with
commercial concerns that are central to the Commerce Clause, that interference
contradicts the federal balance the Framers designed and that this Court is
obliged to enforce.
For these reasons, I join
in the opinion and judgment of the Court.
Justice THOMAS, concurring.
The Court today properly concludes that the
Commerce Clause does not grant Congress the authority to prohibit gun
possession within 1,000 feet of a school, as it attempted to do in the Gun-Free
School Zones Act of 1990, Pub.L. 101-647, 104 Stat. 4844. Although
I join the majority, I write separately to observe that our case law has
drifted far from the original understanding of the Commerce Clause.
In a future case, we ought to temper our Commerce Clause jurisprudence in a
manner that both makes sense of our more recent case law and is more faithful
to the original understanding of that Clause.
We
have said that Congress may regulate not only "Commerce ... among the
several States," U.S. Const., Art. I, § 8, cl. 3, but also anything that
has a "substantial effect" on such commerce. This test, if taken to its logical extreme, would
give Congress a "police power" over all aspects of American life.
Unfortunately, we have never come to grips with this implication of our
substantial effects formula. Although we have supposedly applied
the substantial effects test for the past 60 years, we always
have rejected readings of the Commerce Clause and the scope of federal power
that would permit Congress to exercise a police power; our cases are
quite clear that there are real limits to federal power. See New York v. United States, 505
U.S. 144, 155, 112 S.Ct. 2408, 2417, 120 L.Ed.2d 120 (1992) ("[N]o one
disputes the proposition that '[t]he Constitution created a Federal Government
of limited powers' ") (quoting Gregory v. Ashcroft, 501 U.S. 452,
457, 111 S.Ct. 2395, 2399, 115 L.Ed.2d 410 (1991); Maryland v. Wirtz,
392 U.S. 183, 196, 88 S.Ct. 2017, 2023-24, 20 L.Ed.2d 1020 (1968); NLRB
v. Jones & Laughlin Steel Corp., 301 U.S. 1, 37, 57 S.Ct. 615, 624, 81
L.Ed. 893 (1937). Cf. Chisholm v. Georgia, 2 Dall. 419, 435, 1 L.Ed. 440
(1793) (Iredell, J.) ("Each State in the Union is sovereign as to all the
powers reserved. It must necessarily be so, because the United
States have no claim to any authority but such as the States have surrendered
to them") (emphasis deleted). Indeed, on this crucial point,
the majority and Justice BREYER agree in principle: The Federal
Government has nothing approaching a police power. Compare ante,
at 1628-1629, with post, at 1661-1662.
While the principal dissent concedes that
there are limits to federal power, the sweeping nature of our current test
enables the dissent to argue that Congress can regulate gun
possession. But it seems to me that the power to regulate
"commerce" can by no means encompass authority over mere gun
possession, any more than it empowers the Federal Government to regulate
marriage, littering, or cruelty to animals, throughout the 50
States. Our Constitution quite properly leaves such matters to the
individual States, notwithstanding these activities' effects on interstate
commerce. Any interpretation of the Commerce Clause that even
suggests that Congress could regulate such matters is in need of reexamination.
In an appropriate case, I believe that we
must further reconsider our "substantial effects" test with an
eye toward constructing a standard that reflects the text and history of the
Commerce Clause without totally rejecting our more recent Commerce Clause
jurisprudence.
Today, however, I merely support the Court's
conclusion with a discussion of the text, structure, and history of the
Commerce Clause and an analysis of our early case law. My goal is
simply to show how far we have departed from the original understanding and to
demonstrate that the result we reach today is by no means "radical,"
see post, at 1651 (STEVENS, J., dissenting). I also want to
point out the necessity of refashioning a coherent test that does not tend to
"obliterate the distinction between what is national and what is local and
create a completely centralized government." Jones & Laughlin
Steel Corp., supra, at 37, 57 S.Ct., at 624.
I
At the time the original Constitution was
ratified, "commerce" consisted of selling, buying, and bartering, as
well as transporting for these purposes. See 1 S. Johnson, A Dictionary of the
English Language 361 (4th ed. 1773) (defining commerce as
"Intercour[s]e; exchange of one thing for another; interchange
of any thing; trade; traffick"); N. Bailey, An Universal
Etymological English Dictionary (26th ed. 1789) ("trade or
traffic"); T. Sheridan, A Complete Dictionary of the English
Language (6th ed. 1796) ("Exchange of one thing for another; trade,
traffick"). This understanding finds support in the etymology
of the word, which literally means "with merchandise."
See 3 Oxford English Dictionary 552 (2d ed. 1989) (com--"with";
merci--"merchandise"). In fact, when Federalists and
Anti- Federalists discussed the Commerce Clause during the ratification period,
they often used trade (in its selling/bartering sense) and commerce
interchangeably. See The Federalist No. 4, p. 22 (J. Jay)
(asserting that countries will cultivate our friendship when our
"trade" is prudently regulated by Federal Government); [FN1] id.,
No. 7, at 39-40 (A. Hamilton) (discussing "competitions of commerce"
between States resulting from state "regulations of trade"); id.,
No. 40, at 262 (J. Madison) (asserting that it was an "acknowledged object
of the Convention ... that the regulation of trade should be submitted to the
general government"); Lee, Letters of a Federal Farmer No. 5, in
Pamphlets on the Constitution of the United States 319 (P. Ford ed.
1888); Smith, An Address to the People of the State of New York, in id.,
at 107.
As one would expect, the term
"commerce" was used in contradistinction to productive activities
such as manufacturing and agriculture. Alexander Hamilton, for
example, repeatedly treated commerce, agriculture, and manufacturing as three
separate endeavors. See, e.g., The Federalist No. 36, at 224
(referring to "agriculture, commerce, manufactures"); id., No.
21, at 133 (distinguishing commerce, arts, and industry); id., No. 12,
at 74 (asserting that commerce and agriculture have shared
interests). The same distinctions were made in the state
ratification conventions. See, e.g., 2 Debates in the
Several State Conventions on the Adoption of the Federal Constitution 57 (J.
Elliot ed. 1836) (hereinafter Debates) (T. Dawes at Massachusetts convention); id.,
at 336 (M. Smith at New York convention).
Moreover, interjecting a modern sense of
commerce into the Constitution generates significant textual and structural
problems. For example, one cannot replace "commerce" with
a different type of enterprise, such as manufacturing. When a manufacturer
produces a car, assembly cannot take place "with a foreign nation" or
"with the Indian Tribes." Parts may come from different
States or other nations and hence may have been in the flow of commerce at one
time, but manufacturing takes place at a discrete site. Agriculture and
manufacturing involve the production of goods; commerce encompasses
traffic in such articles.
The Port Preference Clause also suggests that
the term "commerce" denoted sale and/or transport rather than
business generally. According to that Clause, "[n]o Preference
shall be given by any Regulation of Commerce or Revenue to the Ports of one
State over those of another." U.S. Const., Art. I, § 9, cl.
6. Although it is possible to conceive of regulations of
manufacturing or farming that prefer one port over another, the more natural
reading is that the Clause prohibits Congress from using its commerce power to
channel commerce through certain favored ports.
The Constitution not only uses the word
"commerce" in a narrower sense than our case law might suggest, it
also does not support the proposition that Congress has authority over all
activities that "substantially affect" interstate
commerce. The Commerce Clause [FN2] does not state that
Congress may "regulate matters that substantially affect commerce with
foreign Nations, and among the several States, and with the Indian
Tribes." In contrast, the Constitution itself temporarily prohibited
amendments that would "affect" Congress' lack of authority to
prohibit or restrict the slave trade or to enact unproportioned direct
taxation. Art. V. Clearly, the Framers could have
drafted a Constitution that contained a "substantially affects interstate
commerce" Clause had that been their objective.
In addition to its powers under the Commerce
Clause, Congress has the authority to enact such laws as are "necessary
and proper" to carry into execution its power to regulate commerce among
the several States. U.S. Const., Art. I, § 8, cl. 18. But on
this Court's understanding of congressional power under these two Clauses, many
of Congress' other enumerated powers under Art. I, § 8, are wholly
superfluous. After all, if Congress may regulate all matters that
substantially affect commerce, there is no need for the Constitution to specify
that Congress may enact bankruptcy laws, cl. 4, or coin money and fix the
standard of weights and measures, cl. 5, or punish counterfeiters of United
States coin and securities, cl. 6. Likewise, Congress would not
need the separate authority to establish post offices and post roads, cl. 7, or
to grant patents and copyrights, cl. 8, or to "punish Piracies and
Felonies committed on the high Seas," cl. 10. It might not
even need the power to raise and support an Army and Navy, cls. 12 and 13, for
fewer people would engage in commercial shipping if they thought that a foreign
power could expropriate their property with ease. Indeed, if
Congress could regulate matters that substantially affect interstate commerce,
there would have been no need to specify that Congress can regulate
international trade and commerce with the Indians. As the Framers
surely understood, these other branches of trade substantially affect
interstate commerce.
Put simply, much if not all of Art. I, § 8
(including portions of the Commerce Clause itself), would be surplusage if
Congress had been given authority over matters that substantially affect
interstate commerce. An interpretation of cl. 3 that makes the rest
of § 8 superfluous simply cannot be correct. Yet this Court's
Commerce Clause jurisprudence has endorsed just such an interpretation:
The power we have accorded Congress has swallowed Art. I, § 8. [FN3]
Indeed, if a "substantial effects"
test can be appended to the Commerce Clause, why not to every other power of
the Federal Government? There is no reason for singling out the
Commerce Clause for special treatment. Accordingly, Congress could regulate all
matters that "substantially affect" the Army and Navy, bankruptcies,
tax collection, expenditures, and so on. In that case, the Clauses
of § 8 all mutually overlap, something we can assume the Founding Fathers never
intended.
Our construction of the scope of
congressional authority has the additional problem of coming close to turning
the Tenth Amendment on its head. Our case law could be read to
reserve to the United States all powers not expressly prohibited by the
Constitution. Taken together, these fundamental textual problems
should, at the very least, convince us that the "substantial effects"
test should be reexamined.
II
The exchanges during the ratification
campaign reveal the relatively limited reach of the Commerce Clause and of
federal power generally. The Founding Fathers confirmed that most
areas of life (even many matters that would have substantial effects on
commerce) would remain outside the reach of the Federal Government.
Such affairs would continue to be under the exclusive control of the States.
Early Americans understood that commerce,
manufacturing, and agriculture, while distinct activities, were intimately
related and dependent on each other--that each "substantially
affected" the others. After all, items produced by farmers and
manufacturers were the primary articles of commerce at the time. If
commerce was more robust as a result of federal superintendence, farmers and
manufacturers could benefit. Thus, Oliver Ellsworth of Connecticut
attempted to convince farmers of the benefits of regulating commerce.
"Your property and riches depend on a ready demand and generous price for
the produce you can annually spare," he wrote, and these conditions exist
"where trade flourishes and when the merchant can freely export the
produce of the country" to nations that will pay the highest
price. A Landholder No. 1, Connecticut Courant, Nov. 5, 1787, in 3
Documentary History of the Ratification of the Constitution 399 (M. Jensen ed.
1978) (hereinafter Documentary History). See also The Federalist No. 35,
at 219 (A. Hamilton) ("[D]iscerning citizens are well aware that the
mechanic and manufacturing arts furnish the materials of mercantile enterprise
and industry. Many of them indeed are immediately connected with
the operations of commerce. They know that the merchant is their
natural patron and friend"); id., at 221 ("Will not the
merchant ... be disposed to cultivate ... the interests of the mechanic and
manufacturing arts to which his commerce is so nearly
allied?"); A Jerseyman: To the Citizens of New Jersey,
Trenton Mercury, Nov. 6, 1787, in 3 Documentary History 147 (noting that
agriculture will serve as a "source of commerce"); Marcus, The
New Jersey Journal, Nov. 14, 1787, id., at 152 (both the mechanic and
the farmer benefit from the prosperity of commerce). William Davie,
a delegate to the North Carolina Convention, illustrated the close link
best: "Commerce, sir, is the nurse of [agriculture and
manufacturing]. The merchant furnishes the planter with such articles as
he cannot manufacture himself, and finds him a market for his
produce. Agriculture cannot flourish if commerce languishes; they
are mutually dependent on each other." 4 Debates 20.
Yet, despite being well aware that
agriculture, manufacturing, and other matters substantially affected commerce,
the founding generation did not cede authority over all these activities to
Congress. Hamilton, for instance, acknowledged that the Federal
Government could not regulate agriculture and like concerns:
"The administration of private justice between the citizens of the same State, the supervision of agriculture and of other concerns of a similar nature, all those things in short which are proper to be provided for by local legislation, can never be desirable cares of a general jurisdiction." The Federalist No. 17, at 106.
In the unlikely event that the Federal Government would attempt to exercise authority over such matters, its effort "would be as troublesome as it would be nugatory." Ibid. [FN4]
The comments of Hamilton and others about
federal power reflected the well-known truth that the new Government would have
only the limited and enumerated powers found in the Constitution.
See, e.g., 2 Debates 267-268 (A. Hamilton at New York Convention)
(noting that there would be just cause for rejecting the Constitution if it
would enable the Federal Government to "alter, or abrogate ... [a State's]
civil and criminal institutions [or] penetrate the recesses of domestic life,
and control, in all respects, the private conduct of individuals");
The Federalist No. 45, at 313 (J. Madison); 3 Debates 259 (J. Madison) (Virginia
Convention); R. Sherman & O. Ellsworth, Letter to Governor
Huntington, Sept. 26, 1787, in 3 Documentary History 352; J. Wilson, Speech in
the State House Yard, Oct. 6, 1787, in 2 id., at 167- 168.
Agriculture and manufacture, since they were not surrendered to the Federal
Government, were state concerns. See The Federalist No. 34, at 212-
213 (A. Hamilton) (observing that the "internal encouragement of
agriculture and manufactures" was an object of state
expenditure). Even before the passage of the Tenth Amendment, it
was apparent that Congress would possess only those powers "herein
granted" by the rest of the Constitution. Art. I, § 1.
Where the Constitution was meant to grant
federal authority over an activity substantially affecting interstate commerce,
the Constitution contains an enumerated power over that particular
activity. Indeed, the Framers knew that many of the other
enumerated powers in § 8 dealt with matters that substantially affected
interstate commerce. Madison, for instance, spoke of the bankruptcy
power as being "intimately connected with the regulation of
commerce." The Federalist No. 42, at 287.
Likewise, Hamilton urged that "[i]f we mean to be a commercial people or
even to be secure on our Atlantic side, we must endeavour as soon as possible
to have a navy." Id., No. 24, at 157.
In short, the Founding Fathers were well
aware of what the principal dissent calls " 'economic ... realities.'
" See post, at 1662 (BREYER, J.) (quoting North
American Co. v. SEC, 327 U.S. 686, 705, 66 S.Ct. 785, 796, 90 L.Ed. 945
(1946)). Even though the boundary between commerce and other
matters may ignore "economic reality" and thus seem arbitrary or
artificial to some, we must nevertheless respect a constitutional line that
does not grant Congress power over all that substantially affects interstate
commerce.
III
If the principal dissent's understanding of
our early case law were correct, there might be some reason to doubt this view
of the original understanding of the Constitution. According to
that dissent, Chief Justice Marshall's opinion in Gibbons v. Ogden, 9
Wheat. 1, 6 L.Ed. 23 (1824), established that Congress may control all local
activities that "significantly affect interstate commerce," post,
at 1657. And, "with the exception of one wrong turn
subsequently corrected," this has been the "traditiona[l]"
method of interpreting the Commerce Clause. Post, at 1665
(citing Gibbons and United States v. Darby, 312 U.S. 100,
116-117, 61 S.Ct. 451, 458-459, 85 L.Ed. 609 (1941)).
In my view, the dissent is wrong about the
holding and reasoning of Gibbons. Because this error
leads the dissent to characterize the first 150 years of this Court's case law
as a "wrong turn," I feel compelled to put the last 50 years in
proper perspective.
A
In Gibbons, the Court examined whether
a federal law that licensed ships to engage in the "coasting trade"
preempted a New York law granting a 30-year monopoly to Robert Livingston and
Robert Fulton to navigate the State's waterways by steamship. In
concluding that it did, the Court noted that Congress could regulate
"navigation" because "[a]ll America ... has uniformly
understood, the word 'commerce,' to comprehend navigation. It was
so understood, and must have been so understood, when the constitution was
framed." 9 Wheat., at 190. The Court also observed that
federal power over commerce "among the several States" meant that
Congress could regulate commerce conducted partly within a State.
Because a portion of interstate commerce and foreign commerce would almost
always take place within one or more States, federal power over interstate and
foreign commerce necessarily would extend into the States. Id., at
194-196.
At the same time, the Court took great pains
to make clear that Congress could not regulate commerce "which is
completely internal, which is carried on between man and man in a State, or
between different parts of the same State, and which does not extend to or
affect other States." Id., at 194. Moreover,
while suggesting that the Constitution might not permit States to regulate
interstate or foreign commerce, the Court observed that "[i]nspection
laws, quarantine laws, health laws of every description, as well as laws for
regulating the internal commerce of a State" were but a small part
"of that immense mass of legislation ... not surrendered to a general
government." Id., at 203. From an early moment, the
Court rejected the notion that Congress can regulate everything that affects
interstate commerce. That the internal commerce of the States and the numerous
state inspection, quarantine, and health laws had substantial effects on
interstate commerce cannot be doubted. Nevertheless, they were not
"surrendered to the general government."
Of course, the principal dissent is not the
first to misconstrue Gibbons. For instance, the Court has stated
that Gibbons "described the federal commerce power with a breadth
never yet exceeded." Wickard v. Filburn, 317 U.S. 111, 120,
63 S.Ct. 82, 87, 87 L.Ed. 122 (1942). See also Perez v. United
States, 402 U.S. 146, 151, 91 S.Ct. 1357, 1360, 28 L.Ed.2d 686 (1971)
(claiming that with Darby and Wickard, "the broader view of
the Commerce Clause announced by Chief Justice Marshall had been
restored"). I believe that this misreading stems from two
statements in Gibbons.
First, the Court made the uncontroversial
claim that federal power does not encompass "commerce " that
"does not extend to or affect other States." 9 Wheat., at 194
(emphasis added). From this statement, the principal dissent infers
that whenever an activity affects interstate commerce, it necessarily follows
that Congress can regulate such activities. Of course, Chief
Justice Marshall said no such thing and the inference the dissent makes cannot
be drawn.
There is a much better interpretation of the
"affect[s]" language: Because the Court had earlier noted that
the commerce power did not extend to wholly intrastate commerce, the Court was
acknowledging that although the line between intrastate and interstate/foreign
commerce would be difficult to draw, federal authority could not be construed
to cover purely intrastate commerce. Commerce that did not affect another State
could never be said to be commerce "among the several States."
But even if one were to adopt the dissent's
reading, the "affect[s]" language, at most, permits Congress to
regulate only intrastate commerce that substantially affects interstate
and foreign commerce. There is no reason to believe that Chief
Justice Marshall was asserting that Congress could regulate all
activities that affect interstate commerce. See ibid.
The second source of confusion stems from the
Court's praise for the Constitution's division of power between the States and
the Federal Government:
"The genius and character of the whole government seem to be, that its action is to be applied to all the external concerns of the nation, and to those internal concerns which affect the States generally; but not to those which are completely within a particular State, which do not affect other States, and with which it is not necessary to interfere, for the purpose of executing some of the general powers of the government." Id., at 195.
In this passage, the Court merely was making the well understood point that the Constitution commits matters of "national" concern to Congress and leaves "local" matters to the States. The Court was not saying that whatever Congress believes is a national matter becomes an object of federal control. The matters of national concern are enumerated in the Constitution: war, taxes, patents, and copyrights, uniform rules of naturalization and bankruptcy, types of commerce, and so on. See generally Art. I, § 8. Gibbons' emphatic statements that Congress could not regulate many matters that affect commerce confirm that the Court did not read the Commerce Clause as granting Congress control over matters that "affect the States generally." [FN5] Gibbons simply cannot be construed as the principal dissent would have it.
B
I am aware of no cases prior to the New Deal
that characterized the power flowing from the Commerce Clause as sweepingly as
does our substantial effects test. My review of the case law
indicates that the substantial effects test is but an innovation of the 20th
century.
Even before Gibbons, Chief Justice
Marshall, writing for the Court in Cohens v. Virginia, 6 Wheat.
264, 5 L.Ed. 257 (1821), noted that Congress had "no general right to
punish murder committed within any of the States," id., at 426, and
that it was "clear that congress cannot punish felonies generally," id.,
at 428. The Court's only qualification was that Congress could
enact such laws for places where it enjoyed plenary powers--for instance, over
the District of Columbia. Id., at 426. Thus, whatever
effect ordinary murders, or robbery, or gun possession might have on interstate
commerce (or on any other subject of federal concern) was irrelevant to the
question of congressional power. [FN6]
Likewise, there were no laws in the early Congresses that regulated
manufacturing and agriculture. Nor was there any statute
that purported to regulate activities with "substantial effects" on
interstate commerce.
United States v. Dewitt, 9 Wall. 41, 19 L.Ed. 593 (1870), marked the first
time the Court struck down a federal law as exceeding the power conveyed by the
Commerce Clause. In a two-page opinion, the Court invalidated a
nationwide law prohibiting all sales of naphtha and illuminating
oils. In so doing, the Court remarked that the Commerce Clause
"has always been understood as limited by its terms; and as a
virtual denial of any power to interfere with the internal trade and business
of the separate States." Id., at 44. The law in question was
"plainly a regulation of police," which could have constitutional
application only where Congress had exclusive authority, such as the
territories. Id., at 44-45. See also License Tax
Cases, 5 Wall. 462, 470-471, 18 L.Ed. 497 (1867) (Congress cannot interfere
with the internal commerce and business of a State); Trade-Mark Cases,
100 U.S. 82, 25 L.Ed. 550 (1879) (Congress cannot regulate internal commerce
and thus may not establish national trademark registration).
In United States v. E.C. Knight Co.,
156 U.S. 1, 15 S.Ct. 249, 39 L.Ed. 325 (1895), this Court held that mere
attempts to monopolize the manufacture of sugar could not be regulated pursuant
to the Commerce Clause. Raising echoes of the discussions of the Framers regarding
the intimate relationship between commerce and manufacturing, the Court
declared that "[c]ommerce succeeds to manufacture, and is not a part of
it." Id., at 12, 15 S.Ct., at 253. The Court also
approvingly quoted from Kidd v. Pearson, 128 U.S. 1, 20, 9 S.Ct. 6,
9-10, 32 L.Ed. 346 (1888): " 'No distinction is more popular to the common
mind, or more clearly expressed in economic and political literature, than that
between manufacture and commerce.... If it be held that the term [commerce]
includes the regulation of all such manufactures as are intended to be the
subject of commercial transactions in the future, it is impossible to deny that
it would also include all productive industries that contemplate the same
thing. The result would be that Congress would be invested ... with
the power to regulate, not only manufactures, but also agriculture,
horticulture, stock raising, domestic fisheries, mining--in short, every branch
of human industry.' " E.C. Knight, supra, 156 U.S., at 14, 15
S.Ct., at 254.
If federal power extended to these types of
production "comparatively little of business operations and affairs would
be left for state control." Id., at 16, 15 S.Ct., at
255. See also Newberry v. United States, 256 U.S. 232, 257,
41 S.Ct. 469, 474, 65 L.Ed. 913 (1921) ("It is settled ... that the power
to regulate interstate and foreign commerce does not reach whatever is
essential thereto. Without agriculture, manufacturing, mining,
etc., commerce could not exist, but this fact does not suffice to subject them
to the control of Congress"). Whether or not manufacturing,
agriculture, or other matters substantially affected interstate commerce was
irrelevant.
As recently as 1936, the Court continued to
insist that the Commerce Clause did not reach the wholly internal business of
the States. See Carter v. Carter Coal Co., 298 U.S.
238, 308, 56 S.Ct. 855, 871-872, 80 L.Ed. 1160 (1936) (Congress may not
regulate mine labor because "[t]he relation of employer and employee is a
local relation"); see also A.L.A. Schechter Poultry Corp. v.
United States, 295 U.S. 495, 543-550, 55 S.Ct. 837, 848-852, 79 L.Ed. 1570
(1935) (holding that Congress may not regulate intrastate sales of sick
chickens or the labor of employees involved in intrastate poultry
sales). The Federal Government simply could not reach such subjects
regardless of their effects on interstate commerce.
These cases all establish a simple
point: From the time of the ratification of the Constitution to the
mid-1930's, it was widely understood that the Constitution granted Congress
only limited powers, notwithstanding the Commerce Clause. [FN7] Moreover,
there was no question that activities wholly separated from business, such as
gun possession, were beyond the reach of the commerce power. If
anything, the "wrong turn" was the Court's dramatic departure in the
1930's from a century and a half of precedent.
IV
Apart from its recent vintage and its
corresponding lack of any grounding in the original understanding of the
Constitution, the substantial effects test suffers from the further flaw that
it appears to grant Congress a police power over the Nation. When
asked at oral argument if there were any limits to the Commerce Clause,
the Government was at a loss for words. Tr. of Oral Arg.
5. Likewise, the principal dissent insists that there are limits,
but it cannot muster even one example. Post, at
1661-1662. Indeed, the dissent implicitly concedes that its reading
has no limits when it criticizes the Court for "threaten[ing] legal
uncertainty in an area of law that ... seemed reasonably well settled." Post,
at 1664-1665. The one advantage of the dissent's standard is
certainty: It is certain that under its analysis everything may be
regulated under the guise of the Commerce Clause.
The substantial effects test suffers from
this flaw, in part, because of its "aggregation
principle." Under so-called "class of activities"
statutes, Congress can regulate whole categories of activities that are not themselves
either "interstate" or "commerce." In applying
the effects test, we ask whether the class of activities as a whole
substantially affects interstate commerce, not whether any specific activity
within the class has such effects when considered in isolation. See
Maryland v. Wirtz, 392 U.S., at 192-193, 88 S.Ct., at 2021-2022 (if
class of activities is " 'within the reach of federal power,' "
courts may not excise individual applications as trivial) (quoting Darby,
312 U.S., at 120-121, 61 S.Ct., at 460-461).
The aggregation principle is clever, but has
no stopping point. Suppose all would agree that gun possession within
1,000 feet of a school does not substantially affect commerce, but that
possession of weapons generally (knives, brass knuckles, nunchakus, etc.)
does. Under our substantial effects doctrine, even though Congress
cannot single out gun possession, it can prohibit weapon possession
generally. But one always can draw the circle broadly enough
to cover an activity that, when taken in isolation, would not have substantial
effects on commerce. Under our jurisprudence, if Congress passed an
omnibus "substantially affects interstate commerce" statute,
purporting to regulate every aspect of human existence, the Act apparently would
be constitutional. Even though particular sections may govern only trivial
activities, the statute in the aggregate regulates matters that substantially
affect commerce.
V
This extended discussion of the original
understanding and our first century and a half of case law does not necessarily
require a wholesale abandonment of our more recent opinions. [FN8] It
simply reveals that our substantial effects test is far removed from both the
Constitution and from our early case law and that the Court's opinion should
not be viewed as "radical" or another "wrong turn" that
must be corrected in the future. [FN9] The analysis also suggests that we
ought to temper our Commerce Clause jurisprudence.
Unless the dissenting Justices are willing to
repudiate our long-held understanding of the limited nature of federal power, I
would think that they, too, must be willing to reconsider the substantial
effects test in a future case. If we wish to be true to a
Constitution that does not cede a police power to the Federal Government, our
Commerce Clause's boundaries simply cannot be "defined" as being
" 'commensurate with the national needs' " or self-consciously
intended to let the Federal Government " 'defend itself against economic
forces that Congress decrees inimical or destructive of the national economy.'
" See post, at 1662 (BREYER, J., dissenting) (quoting North
American Co. v. SEC, 327 U.S., at 705, 66 S.Ct., at 796). Such
a formulation of federal power is no test at all: It is a blank check.
At an appropriate juncture, I think we must
modify our Commerce Clause jurisprudence. Today, it is easy enough
to say that the Clause certainly does not empower Congress to ban gun
possession within 1,000 feet of a school.
Justice STEVENS, dissenting.
The welfare of our future "Commerce with
foreign Nations, and among the several States," U.S. Const., Art. I, § 8,
cl. 3, is vitally dependent on the character of the education of our
children. I therefore agree entirely with Justice BREYER's
explanation of why Congress has ample power to prohibit the possession of
firearms in or near schools--just as it may protect the school environment from
harms posed by controlled substances such as asbestos or alcohol. I
also agree with Justice SOUTER's exposition of the radical character of the Court's
holding and its kinship with the discredited, pre- Depression version of
substantive due process. Cf. Dolan v. City of Tigard, 512
U.S. 374, 405-411, 114 S.Ct. 2309, 2326-2330, 129 L.Ed.2d 304 (1994) (STEVENS,
J., dissenting). I believe, however, that the Court's extraordinary
decision merits this additional comment.
Guns are both articles of commerce and
articles that can be used to restrain commerce. Their possession is
the consequence, either directly or indirectly, of commercial activity.
In my judgment, Congress' power to regulate commerce in firearms includes the
power to prohibit possession of guns at any location because of their
potentially harmful use; it necessarily follows that Congress may also
prohibit their possession in particular markets. The market for the
possession of handguns by school-age children is, distressingly, substantial.
[FN*] Whether or not the national interest in eliminating that market
would have justified federal legislation in 1789, it surely does today.
Justice SOUTER, dissenting.
In reviewing congressional legislation under the Commerce Clause, we defer to what is often a merely implicit congressional judgment that its regulation addresses a subject substantially affecting interstate commerce "if there is any rational basis for such a finding." Hodel v. Virginia Surface Mining & Reclamation Assn., Inc., 452 U.S. 264, 276, 101 S.Ct. 2352, 2360, 69 L.Ed.2d 1 (1981); Preseault v. ICC, 494 U.S. 1, 17, 110 S.Ct. 914, 924-925, 108 L.Ed.2d 1 (1990); see Maryland v. Wirtz, 392 U.S. 183, 190, 88 S.Ct. 2017, 2020-2021, 20 L.Ed.2d 1020 (1968), quoting Katzenbach v. McClung, 379 U.S. 294, 303-304, 85 S.Ct. 377, 383-384, 13 L.Ed.2d 290 (1964). If that congressional determination is within the real