Constitutional Law Cases: Rehnquist Court
1990 - 1999
U.S. Supreme Court
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
UNITED STATES, PETITIONER v. ALFONSO LOPEZ, JR.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIFTH CIRCUIT
No. 93-1260.
Argued November 8, 1994
Decided April 26, 1995
After respondent, then a 12th-grade student, carried a concealed handgun into his
high school, he was charged with violating the Gun-Free School Zones Act of 1990,
which forbids "any individual knowingly to possess a firearm at a place that [he]
knows . . . is a school zone," 18 U.S.C. 922(q)(1)(A). The District Court denied his
motion to dismiss the indictment, concluding that 922(q) is a constitutional exercise
of Congress' power to regulate activities in and affecting commerce. In reversing,
the Court of Appeals held that, in light of what it characterized as insufficient
congressional findings and legislative history, 922(q) is invalid as beyond Congress'
power under the Commerce Clause.
Held:
The Act exceeds Congress' Commerce Clause authority. First, although this Court has
upheld a wide variety of congressional Acts regulating intrastate economic activity
that substantially affected interstate commerce, the possession of a gun in a local
school zone is in no sense an economic activity that might, through repetition elsewhere,
have such a substantial effect on interstate commerce. 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 those terms are defined. Nor is it 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 the Court's 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 firearms possession in question
has the requisite Page II nexus with 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 contention that 922(q)
is justified because firearms possession in a local school zone does indeed substantially
affect interstate commerce would require this Court to pile inference upon inference
in a manner that would bid fair to convert congressional Commerce Clause authority
to a general police power of the sort held only by the States. Pp. 2-19.
2 F.3d 1342, 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. THOMAS, J., filed a concurring opinion. STEVENS, J., and SOUTER,
J., filed dissenting opinions. BREYER, J., filed a dissenting opinion, in which STEVENS,
SOUTER, and GINSBURG, JJ., joined. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) ,
1]
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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 2]
with violating the Gun-Free School Zones Act of 1990. 18 U.S.C. 922(q)(1)(A) (1988
ed., Supp. V). 1
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. ___ (1994), and we now affirm.
We start with first principles. The Constitution creates a Federal Government of
enumerated powers. See U.S. Const., Art. I, 8. As James Madison wrote, "[t]he powers
delegated by the proposed Constitution to [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 3] 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 (1991) (internal quotation marks omitted). "Just as
the separation and independence of the coordinate branches of the Federal Government
serves 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." U.S. Const., 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 (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. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 4]
"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 (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 (1888) (upholding a state prohibition on the manufacture of
intoxicating liquor because the commerce power "does not comprehend the purely 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 (1942) (describing development of
Commerce Clause jurisprudence). [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 5]
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 (1895) ("Commerce succeeds to manufacture, and is not part
of it"); Carter v. Carter Coal Co., 298 U.S. 238, 304 (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., Houston, E. & W. T. R. Co. v. United States, 234 U.S. 342 (1914) (Shreveport
Rate Cases).
In A. L. A. Schecter Poultry Corp. v. United States, 295 U.S. 495, 550 (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. Activities that affected interstate commerce directly were within Congress'
power; activities that affected interstate commerce indirectly were beyond Congress'
reach. Id., at 546. The justification for this formal distinction was rooted in the
fear that otherwise "there would be [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 6] virtually no limit to the federal power and for all practical purposes we should
have a completely centralized government." Id., at 548.
Two years later, in the watershed case of NLRB v. Jones & Laughlin Steel Corp., 301
U.S. 1 (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 ("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.
In United States v. Darby, 312 U.S. 100 (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.
See also United States v. Wrightwood Dairy Co., 315 U.S. 110, 119 (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 home-grown wheat. 317
U.S., at 128 -129. The Wickard [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 7]
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.
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.
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 [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 8] 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 ; see
also Darby, supra, at 119-120 (Congress may regulate intrastate activity that has
a "substantial effect" on interstate commerce); Wickard, supra, at 125 (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 (1981); Perez v. United States, 402 U.S. 146, 155 -156
(1971); Katzenbach v. McClung, 379 U.S. 294, 299 -301 (1964); Heart of Atlanta Motel,
Inc. v. United States, 379 U.S. 241, 252 -253 (1964). 2
Similarly, in Maryland v. Wirtz, 392 U.S. 183 (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, overruled on other grounds, National League
of Cities v. Usery, 426 U.S. 833 (1976), overruled by Garcia v. San Antonio Metropolitan
Transit Authority, 469 U.S. 528 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 9] commerce,
even in the minutest degree, [Wickard], may be regulated and controlled by Congress,"
392 U.S., at 204 (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. 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 v. United States, supra,
at 150; see also Hodel v. Virginia Surface Mining & Reclamation Assn., supra, at 276-277.
First, Congress may regulate the use of the channels of interstate commerce. See,
e.g., Darby, 312 U.S., at 114 ; Heart of Atlanta Motel, supra, at 256 ("`[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 (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 (1914); Southern R. Co.
v. United States, 222 U.S. 20 (1911) (upholding amendments to Safety Appliance Act
as applied to vehicles used in intrastate commerce); Perez, supra, at 150 ("[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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 10] activities having
a substantial relation to interstate commerce, Jones & Laughlin Steel, 301 U.S., at
37 , i.e., those activities that substantially affect interstate commerce. Wirtz,
supra, at 196, 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 (1990), with Wirtz, supra, at 196, 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, [ UNITED STATES v. LOPEZ, ___ U.S.
___ (1995) , 11] inns and hotels catering to interstate guests, Heart of Atlanta Motel,
supra, and production and consumption of home-grown wheat, Wickard v. Filburn, 317
U.S. 111 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 12] 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 .
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.
3 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 [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 13] 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 (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
. 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. 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.
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; see also United States v. Five Gambling Devices, 346 U.S. 441, 448 (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 [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 14] congressional committee findings, regarding effect
on interstate commerce, see, e.g., Preseault v. ICC, 494 U.S. 1, 17 (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 ; see also
Perez, 402 U.S., at 156 ("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. 4
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 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 15] 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 . 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 16] 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 10-11. 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 5-9. 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 9. 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 17] "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 9, 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
16. 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 17. As Chief Justice Marshall stated in McCulloch v. Maryland, 4 Wheat. 316 (1819):
"The [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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 18] 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 U.S. Const., 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 (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 , 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 Schecter Poultry:
"There is a view of causation that would obliterate the distinction of 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 (quoting United States v. A.L.A.
Schecter 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
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 19] 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 8. 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. This we are unwilling
to do.
For the foregoing reasons the judgment of the Court of Appeals is
Affirmed.
Footnotes
[ Footnote 1 ] The term "school zone" is defined as "in, or on the grounds of, a
public, parochial or private school" or "within a distance of 1,000 feet from the
grounds of a public, parochial or private school." 921(a)(25).
[ Footnote 2 ] See also Hodel, 452 U.S., at 311 ("[S]imply because Congress may conclude
that a particular activity substantially affects interstate commerce does not necessarily
make it so") (REHNQUIST, J., concurring in judgment); Heart of Atlanta Motel, 392
U.S., at 273 ("[W]hether particular operations affect interstate commerce sufficiently
to come under the constitutional power of Congress to regulate them is ultimately
a judicial rather than a legislative question, and can be settled finally only by
this Court") (Black, J., concurring).
[ Footnote 3 ] Under our federal system, the "`States possess primary authority for
defining and enforcing the criminal law.'" Brecht v. Abrahamson, 507 U.S. ___, ___
(1993) (slip op., at 14) (quoting Engle v. Isaac, 456 U.S. 107, 128 (1982)); see also
Screws v. United States, 325 U.S. 91, 109 (1945) (plurality opinion) ("Our national
government is one of delegated powers alone. Under our federal system the administration
of criminal justice rests with the States except as Congress, acting within the scope
of those delegated powers, has created offenses against the United States"). When
Congress criminalizes conduct already denounced as criminal by the States, it effects
a "`change in the sensitive relation between federal and state criminal jurisdiction.'"
United States v. Enmons, 410 U.S. 396, 411 -412 (1973) (quoting United States v. Bass,
404 U.S. 336, 349 (1971)). The Government acknowledges that 922(q) "displace[s] state
policy choices in . . . that its prohibitions apply even in States that have chosen
not to outlaw the conduct in question." Brief for United States 29, n. 18; see also
Statement of President George Bush on Signing the Crime Control Act of 1990, 26 Weekly
Comp. of Pres. Doc. 1944, 1945 (Nov. 29, 1990) ("Most egregiously, section [922(q)]
inappropriately overrides legitimate state firearms laws with a new and unnecessary
Federal law. The policies reflected in these provisions could legitimately be adopted
by the States, but they should not be imposed upon the States by Congress").
[ Footnote 4 ] We note that on September 13, 1994, President Clinton signed into
law the Violent Crime Control and Law Enforcement Act of 1994, Pub. L. 103-322, 108
Stat. 1796. Section 320904 of that Act, id., at 2125, amends 922(q) to include congressional
findings regarding the effects of firearm possession in and around schools upon interstate
and foreign commerce. The Government does not rely upon these subsequent findings
as a substitute for the absence of findings in the first instance. Tr. of Oral Arg.
25 ("[W]e're not relying on them in the strict sense of the word, but we think that
at a very minimum they indicate that reasons can be identified for why Congress wanted
to regulate this particular activity"). [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 1]
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 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 2] 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, 12 How. 299, 318-321 (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 (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 [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 3] 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 (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 (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. And in Adair v. United States, 208 U.S. 161 (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 employe's membership in a
labor organization and the carrying on of interstate commerce," id., at 178, and [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 4] 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 (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 New Jersey v. United States, 221 U.S. 1, 68-69 (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 (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 (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 (1911); Hoke v. United States, 227 U.S. 308 (1913).
In Hammer v. Dagenhart, 247 U.S. 251 (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, and struck down a prohibition on the interstate
transportation of goods manufactured in violation of child labor laws. [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 5]
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 (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. And in
the Shreveport Rate Cases, 234 U.S. 342 (1914), the Court upheld an ICC 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.
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 (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 [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 6] transit . . . in another." Id., at 398.
The Court explained that "commerce among the States is not a technical legal conception,
but a practical one, drawn from the course of business." Id., at 398. Chief Justice
Taft followed the same approach in upholding federal regulation of stockyards in Stafford
v. Wallace, 258 U.S. 495 (1922). Speaking for the Court, he rejected a "nice and technical
inquiry," id., at 519, when the local transactions at issue could not "be separated
from the movement to which they contribute," id., at 516.
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 (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 (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 (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 (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. The deference given to Congress has since been confirmed. United States v. Darby,
312 U.S. 100, 116 -117 (1941), overruled Hammer v. Dagenhart, supra. And in Wickard
v. Filburn, 317 U.S. 111 (1942), the Court disapproved E. C. [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 7] 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," id., at 122, and "whatever 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. 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 (1964), Katzenbach
v. McClung, 379 U.S. 294 (1964), and Perez v. United States, 402 U.S. 146 (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 [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 8] 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. ___, ___ (1992) (slip op., at 9-10) (emphasis omitted).
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 [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 9] assist in preserving separation of powers and checks and
balances. See, e.g., Prize Cases, 2 Black 635 (1863); Youngstown Sheet & Tube Co.
v. Sawyer, 343 U.S. 579 (1952); United States v. Nixon, 418 U.S. 683 (1974); Buckley
v. Valeo, 424 U.S. 1 (1976); INS v. Chadha, 462 U.S. 919 (1983); Bowsher v. Synar,
478 U.S. 714 (1986); Plaut v. Spendthrift Farm, ___ U.S. ___ (1995). These standards
are by now well accepted. Judicial review is also established beyond question, Marbury
v. Madison, 1 Cranch 137 (1803), and though we may differ when applying its principles,
see, e.g., Planned Parenthood of Southeastern Pennsylvania v. Casey, 505 U.S. ___
(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 (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 [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 10] 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 ___ (slip op., at 34) ("[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 (1991) (Blackmun, J., dissenting)).
The theory that two governments accord more liberty than one requires for its realization
two distinct and discernable 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 (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. See New York v. United States, supra, at ___; FERC v. Mississippi,
456 U.S. 742, 787 (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. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 11]
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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) ,
12] 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 (1989); Rostker v. Goldberg, 453
U.S. 57, 64 (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 (1971); Railroad Comm'n of Texas v. Pullman Co., 312 U.S. 496 (1941);
Burford v. Sun Oil Co., 319 U.S. 315 (1943), the rules for determining the primacy
of state law, see, e.g., Erie R. Co. v. Tompkins, 304 U.S. 64 (1938), the doctrine
of adequate and independent state grounds, see, e.g., Murdock v. City of Memphis,
87 U.S. 590 (1875); Michigan v. Long, 463 U.S. 1032 (1983), the whole jurisprudence
of pre-emption, see, e.g., Rice v. Santa Fe Elevator Corp., 331 U.S. 218 (1947); Cipollone
v. Liggett Group, Inc., 505 U.S. ___ (1992), and many of the rules governing our habeas
jurisprudence, see, e.g., Coleman v. Thompson, supra; McCleskey v. Zant, 499 U.S.
467 (1991); Teague v. Lane, 489 U.S. 288 (1989); Rose v. Lundy, 455 U.S. 509 (1982);
Wainwright v. Sykes, 433 U.S. 72 (1977).
Our ability to preserve this principle under the Commerce Clause has presented a
much greater challenge. See supra, at 1-7. "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 [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 13] 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 (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. ___, ___ (1995) (slip op., at 4). 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 (1986) (citing Pike v.
Bruce Church, Inc., 397 U.S. 137, 142 (1970)). Distinguishing between regulations
that do place an undue burden on interstate commerce and regulations that do not depends
upon [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 14] 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 its 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 have a commercial character, and neither the purposes nor the design
of the statute have an evident commercial nexus. See ante, at 10-12. 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 (1974); Epperson v. Arkansas, 393 U.S. 97, 104 (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 insure that the federal-state balance is not destroyed. Cf. Rice,
supra, at 230 ("[W]e start with the [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 15] 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 (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 (1973); New State Ice Co. v. Liebmann, 285 U.S. 262, 311 (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 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 16] might include inducements
to inform on violators where the information leads to arrests or confiscation of the
guns, see C. Lima, Schools May Launch Weapons Hot Line, L. A. Times, Jan. 13, 1995,
part B, p. 1, 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 A. Zaidan, Akron Rallies to Save Youths, The Plain Dealer,
Mar. 2, 1995, p. 1B; M. 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); E. Bailey, Anti-Crime
Measures Top Legislators' Agenda, L. A. Times, Mar. 7, 1994, part B, p. 1, col. 2
(same); G. 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 J. 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 17] 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. ___ (1992), or to organize its governmental
functions in a certain way, cf. FERC v. Mississippi, 456 U.S., at 781 (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. [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 1]
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
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 2] 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. ___, ___ (1992) (slip op., at 7) ("[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 (1991); Maryland v. Wirtz, 392 U.S.
183, 196 (1968); NLRB v. Jones & Laughlin Steel Corp., 301 U.S. 1, 37 (1937). Cf.
Chisholm v. Georgia, 2 Dall. 419, 435 (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"). 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 7-9 with post, at 10-11.
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 [ UNITED STATES v.
LOPEZ, ___ U.S. ___ (1995) , 3] 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 1 (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.
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); 1 id.,
No. 7, at 39-40 (A. Hamilton) [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 4] (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 [ UNITED STATES v. LOPEZ, ___ U.S.
___ (1995) , 5] 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 2 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. U.S. Const., 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 [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 6] 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. 3 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 7]
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 [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 8] 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 9] 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.
4
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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 10] 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. U.S. Const., 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 (A. Hamilton).
In short, the Founding Fathers were well aware of what the principal dissent calls
"`economic . . . realities.'" See post, at 11-12 (BREYER, J.) (citing North American
Co. v. SEC, 327 U.S. 686, 705 (1946)). Even though the boundary between commerce and
other matters may [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 11] 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 (1824) established that Congress may control all local activities that "significantly
affect interstate commerce," post, at 1. And, "with the exception of one wrong turn
subsequently corrected," this has been the "traditiona[l]" method of interpreting
the Commerce Clause. Post, at 18 (citing Gibbons and United States v. Darby, 312 U.S.
100, 116 -117 (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" pre-empted 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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 12] 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 (1942). See also Perez
v. United States, 402 U.S. 146, 151 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 13] 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 [ UNITED STATES v. LOPEZ, ___
U.S. ___ (1995) , 14] 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 U.S. Const., 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." 5 Gibbons simply cannot be construed as the principal
dissent would have it.
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 (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 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 15] 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. 6
United States v. Dewitt, 9 Wall. 41 (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
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 16] 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 (1867) (Congress cannot interfere with the internal
commerce and business of a State); Trade-Mark Cases, 100 U.S. 82 (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 (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. The Court
also approvingly quoted from Kidd v. Pearson, 128 U.S. 1, 20 (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, 156 U.S., at 14.
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. See also [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 17] Newberry v. United States, 256 U.S. 232,
257 (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 (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 (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. 7 Moreover, there
was no question [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 18] 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 10-11. 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 17-18. 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 (if class of activities is [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 19]
"`within the reach of federal power,'" courts may not excise individual applications
as trivial) (quoting Darby, 312 U.S., at 120 -121).
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. 8 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. 9 [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 20] 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 12-13 (BREYER, J., dissenting) (quoting North American
Co. v. SEC, 327 U.S. 686, 705 (1946)). Such a formulation of federal power is no test
at all: it is a blank check. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 21]
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.
[ Footnote 1 ] All references to The Federalist are to the Jacob E. Cooke 1961 edition.
[ Footnote 2 ] Even to speak of "the Commerce Clause" perhaps obscures the actual
scope of that Clause. As an original matter, Congress did not have authority to regulate
all commerce; Congress could only "regulate Commerce with foreign Nations, and among
the several States, and with the Indian Tribes." U.S. Const., Art. I, 8, cl. 3. Although
the precise line between interstate/foreign commerce and purely intrastate commerce
was hard to draw, the Court attempted to adhere to such a line for the first 150 years
of our Nation. See infra, at ___.
[ Footnote 3 ] There are other powers granted to Congress outside of Art. I, 8 [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 7] that may become wholly superfluous
as well due to our distortion of the Commerce Clause. For instance, Congress has plenary
power over the District of Columbia and the territories. See U.S. Const., Art. I,
8, cl. 15 and Art. IV, 3, cl. 2. The grant of comprehensive legislative power over
certain areas of the Nation, when read in conjunction with the rest of the Constitution,
further confirms that Congress was not ceded plenary authority over the whole Nation.
[ Footnote 4 ] Cf. 3 Debates 40 (E. Pendleton at the Virginia convention) (the proposed
Federal Government "does not intermeddle with the local, particular affairs of the
states. Can Congress legislate for the state of Virginia? Can [it] make a law altering
the form of transferring property, or the rule of descents, in Virginia?"); id., at
553 (J. Marshall at the Virginia convention) (denying that Congress could make "laws
affecting the mode of transferring property, or contracts, or claims, between citizens
of the same state"); The Federalist No. 33, at 206 (A. Hamilton) (denying that Congress
could change laws of descent or could pre-empt a land tax); A Native of Virginia:
Observations upon the Proposed Plan of Federal Government, Apr. 2, 1788, in 9 Documentary
History 692 (States have sole authority over "rules of property").
[ Footnote 5 ] None of the other Commerce Clause opinions during Chief Justice Marshall's
tenure, which concerned the "dormant" Commerce Clause, even suggested that Congress
had authority over all matters substantially affecting commerce. See Brown v. Maryland,
12 Wheat. 419 (1827); Willson v. Black Bird Creek Marsh Co., 2 Pet. 245 (1829).
[ Footnote 6 ] It is worth noting that Congress, in the first federal criminal Act,
did not establish nationwide prohibitions against murder and the like. See Act of
April 30, 1790, ch. 9, 1 Stat. 112. To be sure, Congress outlawed murder, manslaughter,
maiming, and larceny, but only when those acts were either committed on United States
territory not part of a State or on the high seas. Ibid. See U.S. Const., Art. I,
8, cl. 10 (authorizing Congress to outlaw piracy and felonies on high seas); Art.
IV, 3, cl. 2 (plenary authority over United States territory and property). When Congress
did enact nationwide criminal laws, it acted pursuant to direct grants of authority
found in the Constitution. Compare Act of April 30, 1790, supra, 1 and 14 (prohibitions
against treason and the counterfeiting of U.S. securities) with U.S. Const., Art.
I, 8, cl. 6 (counterfeiting); Art. III, 3, cl. 2 (treason). Notwithstanding any substantial
effects that murder, kidnaping, or gun possession might have had on interstate commerce,
Congress understood that it could not establish nationwide prohibitions.
Likewise, there were no laws in the early Congresses that regulated manufacturing
and agriculture. Nor was there any statute which purported to regulate activities
with "substantial effects" on interstate commerce.
[ Footnote 7 ] To be sure, congressional power pursuant to the Commerce Clause was
alternatively described less narrowly or more narrowly during this 150-year period.
Compare United States v. Coombs, 12 Pet. 72, 78 (1838) (commerce power "extends to
such acts, done on land, which interfere with, obstruct, or prevent the due exercise
of the power to regulate [interstate and international] commerce" such as stealing
goods from a beached ship) with United States v. E. C. Knight Co., 156 U.S. 1, 13
(1895) ("Contracts to buy, sell, or exchange goods to be transported among the several
States, the transportation and its instrumentalities . . . may be regulated, but this
is because they form part of interstate trade or commerce"). [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 18] During this period, however, this Court never held that
Congress could regulate everything that substantially affects commerce.
[ Footnote 8 ] Although I might be willing to return to the original understanding,
I recognize that many believe that it is too late in the day to undertake a fundamental
reexamination of the past 60 years. Consideration of stare decisis and reliance interests
may convince us that we cannot wipe the slate clean.
[ Footnote 9 ] Nor can the majority's opinion fairly be compared to Lochner v. New
York, 198 U.S. 45 (1905). See post, at 1-7 (SOUTER, J., dissenting). [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 20] Unlike Lochner and our more recent "substantive
due process" cases, today's decision enforces only the Constitution and not "judicial
policy judgments." See post, at 5. Notwithstanding Justice Souter's discussion, "`commercial'
character'" is not only a natural but an inevitable "ground of Commerce Clause distinction."
See post, at 6 (emphasis added). Our invalidation of the Gun-Free School Zones Act
therefore falls comfortably within our proper role in reviewing federal legislation
to determine if it exceeds congressional authority as defined by the Constitution
itself. As John Marshall put it: "If [Congress] were to make a law not warranted by
any of the powers enumerated, it would be considered by the judges as an infringement
of the Constitution which they are to guard . . . . They would declare it void." 3
Debates 553 (before the Virginia ratifying convention); see also The Federalist No.
44, at 305 (James Madison) (asserting that if Congress exercises powers "not warranted
by [the Constitution's] true meaning" the judiciary will defend the Constitution);
id., No. 78, at 526 (A. Hamilton) (asserting that the "courts of justice are to be
considered as the bulwarks of a limited constitution against legislative encroachments").
Where, as here, there is a case or controversy, there can be no "misstep", post, at
13, in enforcing the Constitution. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) ,
1]
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. Tigard, 512 U.S. ___, ___ (1994)
(slip op., at 10-15) (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 [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 2] school-age children is, distressingly, substantial.
* Whether or not the national interest in eliminating that market would have justified
federal legislation in 1789, it surely does today.
[ Footnote * ] Indeed, there is evidence that firearm manufacturers - aided by a
federal grant - are specifically targeting school children as consumers by distributing,
at schools, hunting-related videos styled "educational materials for grades four through
12," Herbert, Reading, Writing, Reloading, N. Y. Times, Dec. 14, 1994, p. A23, col.
1. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 1]
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 (1981); Preseault v. ICC, 494 U.S. 1, 17 (1990); see Maryland v. Wirtz,
392 U.S. 183, 190 (1968), quoting Katzenbach v. McClung, 379 U.S. 294, 303 -304 (1964).
If that congressional determination is within the realm of reason, "the only remaining
question for judicial inquiry is whether `the means chosen by Congress [are] reasonably
adapted to the end permitted by the Constitution.'" Hodel v. Virginia Surface Mining
& Reclamation Assn., Inc., supra, at 276, quoting Heart of Atlanta Motel, Inc. v.
United States, 379 U.S. 241, 262 (1964); see also Preseault v. ICC, supra, at 17.
1
The practice of deferring to rationally based legislative judgments "is a paradigm
of judicial restraint." FCC v. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 2]
Beach Communications, Inc., 508 U.S. ___, ___ (1993) (slip op., at 6). In judicial
review under the Commerce Clause, it reflects our respect for the institutional competence
of the Congress on a subject expressly assigned to it by the Constitution and our
appreciation of the legitimacy that comes from Congress's political accountability
in dealing with matters open to a wide range of possible choices. See id., at ___
(slip op., at 5-8); Hodel v. Virginia Surface Mining & Reclamation Assn., Inc., supra,
at 276; United States v. Carolene Products Co., 304 U.S. 144, 147 , 151-154 (1938);
cf. Williamson v. Lee Optical of Okla., Inc., 348 U.S. 483, 488 (1955).
It was not ever thus, however, as even a brief overview of Commerce Clause history
during the past century reminds us. The modern respect for the competence and primacy
of Congress in matters affecting commerce developed only after one of this Court's
most chastening experiences, when it perforce repudiated an earlier and untenably
expansive conception of judicial review in derogation of congressional commerce power.
A look at history's sequence will serve to show how today's decision tugs the Court
off course, leading it to suggest opportunities for further developments that would
be at odds with the rule of restraint to which the Court still wisely states adherence.
I
Notwithstanding the Court's recognition of a broad commerce power in Gibbons v. Ogden,
9 Wheat. 1, 196-197 (1824) (Marshall, C. J.), Congress saw few occasions to exercise
that power prior to Reconstruction, see generally 2 C. Warren, The Supreme Court in
United States History 729-739 (rev. ed. 1935), and it was really the passage of the
Interstate Commerce Act of 1887 that opened a new age of congressional reliance on
the Commerce Clause for authority to exercise [ UNITED STATES v. LOPEZ, ___ U.S. ___
(1995) , 3] general police powers at the national level, see id., at 729-730. Although
the Court upheld a fair amount of the ensuing legislation as being within the commerce
power, see, e.g., Stafford v. Wallace, 258 U.S. 495 (1922) (upholding an Act regulating
trade practices in the meat packing industry); The Shreveport Rate Cases, 234 U.S.
342 (1914) (upholding ICC order to equalize inter- and intrastate rail rates); see
generally Warren, supra, at 729-739, the period from the turn of the century to 1937
is better noted for a series of cases applying highly formalistic notions of "commerce"
to invalidate federal social and economic legislation, see, e.g., Carter v. Carter
Coal Co., 298 U.S. 238, 303-304 (1936) (striking Act prohibiting unfair labor practices
in coal industry as regulation of "mining" and "production," not "commerce"); A. L.
A. Schechter Poultry Corp. v. United States, 295 U.S. 495, 545-548 (1935) (striking
congressional regulation of activities affecting interstate commerce only "indirectly");
Hammer v. Dagenhart, 247 U.S. 251 (1918) (striking Act prohibiting shipment in interstate
commerce of goods manufactured at factories using child labor because the Act regulated
"manufacturing," not "commerce"); Adair v. United States, 208 U.S. 161 (1908) (striking
protection of labor union membership as outside "commerce").
These restrictive views of commerce subject to congressional power complemented the
Court's activism in limiting the enforceable scope of state economic regulation. It
is most familiar history that during this same period the Court routinely invalidated
state social and economic legislation under an expansive conception of Fourteenth
Amendment substantive due process. See, e.g., Louis K. Liggett Co. v. Baldridge, 278
U.S. 105 (1928) (striking state law requiring pharmacy owners to be licensed as pharmacists);
Coppage v. Kansas, 236 U.S. 1 (1915) (striking state law prohibiting employers from
requiring their employees to agree not to join labor [ UNITED STATES v. LOPEZ, ___
U.S. ___ (1995) , 4] organizations); Lochner v. New York, 198 U.S. 45 (1905) (striking
state law establishing maximum working hours for bakers). See generally L. Tribe,
American Constitutional Law 568-574 (2d ed. 1988). The fulcrums of judicial review
in these cases were the notions of liberty and property characteristic of laissez-faire
economics, whereas the Commerce Clause cases turned on what was ostensibly a structural
limit of federal power, but under each conception of judicial review the Court's character
for the first third of the century showed itself in exacting judicial scrutiny of
a legislature's choice of economic ends and of the legislative means selected to reach
them.
It was not merely coincidental, then, that sea changes in the Court's conceptions
of its authority under the Due Process and Commerce Clauses occurred virtually together,
in 1937, with West Coast Hotel Co. v. Parrish, 300 U.S. 379 and NLRB v. Jones & Laughlin
Steel Corp., 301 U.S. 1 . See Stern, The Commerce Clause and the National Economy,
1933-1946, 59 Harv. L. Rev. 645, 674-682 (1946). In West Coast Hotel, the Court's
rejection of a due process challenge to a state law fixing minimum wages for women
and children marked the abandonment of its expansive protection of contractual freedom.
Two weeks later, Jones & Laughlin affirmed congressional commerce power to authorize
NLRB injunctions against unfair labor practices. The Court's finding that the regulated
activity had a direct enough effect on commerce has since been seen as beginning the
abandonment, for practical purposes, of the formalistic distinction between direct
and indirect effects.
In the years following these decisions, deference to legislative policy judgments
on commercial regulation became the powerful theme under both the Due Process and
Commerce Clauses, see United States v. Carolene Products Co., 304 U.S., at 147 -148,
152; United States v. Darby, 312 U.S. 100, 119 -121 (1941); United States [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 5] v. Wrightwood Dairy Co., 315 U.S. 110, 118
-119 (1942), and in due course that deference became articulate in the standard of
rationality review. In due process litigation, the Court's statement of a rational
basis test came quickly. See United States v. Carolene Products Co., supra, at 152;
see also Williamson v. Lee Optical Co., 348 U.S., at 489 -490. The parallel formulation
of the Commerce Clause test came later, only because complete elimination of the direct/indirect
effects dichotomy and acceptance of the cumulative effects doctrine, Wickard v. Filburn,
317 U.S. 111, 125 , 127-129 (1942); United States v. Wrightwood Dairy Co., supra,
at 124-126, so far settled the pressing issues of congressional power over commerce
as to leave the Court for years without any need to phrase a test explicitly deferring
to rational legislative judgments. The moment came, however, with the challenge to
congressional Commerce Clause authority to prohibit racial discrimination in places
of public accommodation, when the Court simply made explicit what the earlier cases
had implied: "where we find that the legislators, in light of the facts and testimony
before them, have a rational basis for finding a chosen regulatory scheme necessary
to the protection of commerce, our investigation is at an end." Katzenbach v. McClung,
379 U.S. 294, 303 -304 (1964), discussing United States v. Darby, supra; see Heart
of Atlanta Motel, Inc. v. United States, 379 U.S. 241, 258 -259 (1964). Thus, under
commerce, as under due process, adoption of rational basis review expressed the recognition
that the Court had no sustainable basis for subjecting economic regulation as such
to judicial policy judgments, and for the past half-century the Court has no more
turned back in the direction of formalistic Commerce Clause review (as in deciding
whether regulation of commerce was sufficiently direct) than it has inclined toward
reasserting the substantive authority of Lochner due process (as in the inflated protection
of [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 6] contractual autonomy). See,
e.g., Maryland v. Wirtz, 392 U.S., at 190 , 198; Perez v. United States, 402 U.S.
146, 151 -157 (1971); Hodel v. Virginia Surface Mining & Reclamation Assn., Inc.,
452 U.S., at 276 , 277.
II
There is today, however, a backward glance at both the old pitfalls, as the Court
treats deference under the rationality rule as subject to gradation according to the
commercial or noncommercial nature of the immediate subject of the challenged regulation.
See ante, at 10-13. The distinction between what is patently commercial and what is
not looks much like the old distinction between what directly affects commerce and
what touches it only indirectly. And the act of calibrating the level of deference
by drawing a line between what is patently commercial and what is less purely so will
probably resemble the process of deciding how much interference with contractual freedom
was fatal. Thus, it seems fair to ask whether the step taken by the Court today does
anything but portend a return to the untenable jurisprudence from which the Court
extricated itself almost 60 years ago. The answer is not reassuring. To be sure, the
occasion for today's decision reflects the century's end, not its beginning. But if
it seems anomalous that the Congress of the United States has taken to regulating
school yards, the act in question is still probably no more remarkable than state
regulation of bake shops 90 years ago. In any event, there is no reason to hope that
the Court's qualification of rational basis review will be any more successful than
the efforts at substantive economic review made by our predecessors as the century
began. Taking the Court's opinion on its own terms, JUSTICE BREYER has explained both
the hopeless porosity of "commercial" character as a ground of Commerce Clause distinction
in America's highly connected economy, and the inconsistency of this [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 7] categorization with our rational basis precedents
from the last 50 years.
Further glosses on rationality review, moreover, may be in the offing. Although this
case turns on commercial character, the Court gestures toward two other considerations
that it might sometime entertain in applying rational basis scrutiny (apart from a
statutory obligation to supply independent proof of a jurisdictional element): does
the congressional statute deal with subjects of traditional state regulation, and
does the statute contain explicit factual findings supporting the otherwise implicit
determination that the regulated activity substantially affects interstate commerce?
Once again, any appeal these considerations may have depends on ignoring the painful
lesson learned in 1937, for neither of the Court's suggestions would square with rational
basis scrutiny.
A
The Court observes that the Gun-Free School Zones Act operates in two areas traditionally
subject to legislation by the States, education and enforcement of criminal law. The
suggestion is either that a connection between commerce and these subjects is remote,
or that the commerce power is simply weaker when it touches subjects on which the
States have historically been the primary legislators. Neither suggestion is tenable.
As for remoteness, it may or may not be wise for the National Government to deal with
education, but JUSTICE BREYER has surely demonstrated that the commercial prospects
of an illiterate State or Nation are not rosy, and no argument should be needed to
show that hijacking interstate shipments of cigarettes can affect commerce substantially,
even though the States have traditionally prosecuted robbery. And as for the notion
that the commerce power diminishes the closer it gets to customary state concerns,
that idea has been [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 8] flatly rejected,
and not long ago. The commerce power, we have often observed, is plenary. Hodel v.
Virginia Surface Mining & Reclamation Assn., Inc., 312 U.S., at 276 ; United States
v. Darby, supra, at 114; see Garcia v. San Antonio Metropolitan Transit Authority,
469 U.S. 528, 549 -550 (1985); Gibbons v. Ogden, 9 Wheat., at 196-197. Justice Harlan
put it this way in speaking for the Court in Maryland v. Wirtz:
"There is no general doctrine implied in the Federal Constitution that the two governments,
national and state, are each to exercise its powers so as not to interfere with the
free and full exercise of the powers of the other. . . . [I]t is clear that the Federal
Government, when acting within a delegated power, may override countervailing state
interests . . . . As long ago as 1925., the Court put to rest the contention that
state concerns might constitutionally `outweigh' the importance of an otherwise valid
federal statute regulating commerce." 392 U.S., at 195 -196 (citations and internal
quotation marks omitted).
See also United States v. Darby, supra, at 114; Gregory v. Ashcroft, 501 U.S. 452,
460 (1991); United States v. Carolene Products Co., 304 U.S., at 147 .
Nor is there any contrary authority in the reasoning of our cases imposing clear
statement rules in some instances of legislation that would significantly alter the
state-national balance. In the absence of a clear statement of congressional design,
for example, we have refused to interpret ambiguous federal statutes to limit fundamental
state legislative prerogatives, Gregory v. Ashcroft, supra, at 460-464, our understanding
being that such prerogatives, through which "a State defines itself as a sovereign,"
are "powers with which Congress does not readily interfere," 501 U.S., at 460 , 461.
Likewise, when faced with two plausible interpretations of a [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 9] federal criminal statute, we generally will take the alternative
that does not force us to impute an intention to Congress to use its full commerce
power to regulate conduct traditionally and ably regulated by the States. See United
States v. Enmons, 410 U.S. 396, 411 -412 (1973); United States v. Bass, 404 U.S. 336,
349 -350 (1971); Rewis v. United States, 401 U.S. 808, 812 (1971).
These clear statement rules, however, are merely rules of statutory interpretation,
to be relied upon only when the terms of a statute allow, United States v. Culbert,
435 U.S. 371, 379 -380 (1978); see Gregory v. Ashcroft, supra, at 470; United States
v. Bass, supra, at 346-347, and in cases implicating Congress's historical reluctance
to trench on state legislative prerogatives or to enter into spheres already occupied
by the States, Gregory v. Ashcroft, supra, at 461; United States v. Bass, supra, at
349; see Rewis v. United States, supra, at 811-812. They are rules for determining
intent when legislation leaves intent subject to question. But our hesitance to presume
that Congress has acted to alter the state-federal status quo (when presented with
a plausible alternative) has no relevance whatever to the enquiry whether it has the
commerce power to do so or to the standard of judicial review when Congress has definitely
meant to exercise that power. Indeed, to allow our hesitance to affect the standard
of review would inevitably degenerate into the sort of substantive policy review that
the Court found indefensible 60 years ago. The Court does not assert (and could not
plausibly maintain) that the commerce power is wholly devoid of congressional authority
to speak on any subject of traditional state concern; but if congressional action
is not forbidden absolutely when it touches such a subject, it will stand or fall
depending on the Court's view of the strength of the legislation's commercial justification.
And here once again history raises its objections that the Court's [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 10] previous essays in overriding congressional policy
choices under the Commerce Clause were ultimately seen to suffer two fatal weaknesses:
when dealing with Acts of Congress (as distinct from state legislation subject to
review under the theory of dormant commerce power) nothing in the Clause compelled
the judicial activism, and nothing about the judiciary as an institution made it a
superior source of policy on the subject Congress dealt with. There is no reason to
expect the lesson would be different another time.
B
There remain questions about legislative findings. The Court of Appeals expressed
the view, 2 F.3d 1342, 1363-1368 (1993), that the result in this case might well have
been different if Congress had made explicit findings that guns in schools have a
substantial effect on interstate commerce, and the Court today does not repudiate
that position, see ante, at 13-14. Might a court aided by such findings have subjected
this legislation to less exacting scrutiny (or, put another way, should a court have
deferred to such findings if Congress had made them)? 2 The answer to either question
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 11] must be no, although as a general
matter findings are important and to be hoped for in the difficult cases.
It is only natural to look for help with a hard job, and reviewing a claim that Congress
has exceeded the commerce power is much harder in some cases than in others. A challenge
to congressional regulation of interstate garbage hauling would be easy to resolve;
review of congressional regulation of gun possession in school yards is more difficult,
both because the link to interstate commerce is less obvious and because of our initial
ignorance of the relevant facts. In a case comparable to this one, we may have to
dig hard to make a responsible judgment about what Congress could reasonably find,
because the case may be close, and because judges tend not to be familiar with the
facts that may or may not make it close. But while the ease of review may vary from
case to case, it does not follow that the standard of review should vary, much less
that explicit findings of fact would even directly address the standard.
The question for the courts, as all agree, is not whether as a predicate to legislation
Congress in fact found that a particular activity substantially affects interstate
commerce. The legislation implies such a finding, and there is no reason to entertain
claims that Congress acted ultra vires intentionally. Nor is the question whether
Congress was correct in so finding. The only question is whether the legislative judgment
is within the realm of reason. See Hodel v. Virginia Surface Mining & Reclamation
Assn., Inc., 452 U.S., at 276 -277; Katzenbach v. McClung, 379 U.S., at 303 -304;
Railroad Retirement Bd. v. Alton R. Co., 295 U.S. 330, 391-392 (1935) (Hughes, C.
J., dissenting); cf. FCC v. [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 12] Beach
Communications, 508 U.S., at ___ (slip op., at 7) (in the equal protection context,
"those attacking the rationality of the legislative classification have the burden
to negative every conceivable basis which might support it; . . . it is entirely irrelevant
for constitutional purposes whether the conceived reason for the challenged distinction
actually motivated the legislature") (citations and internal quotation marks omitted);
Ferguson v. Skrupa, 372 U.S. 726, 731 -733 (1963); Williamson v. Lee Optical Co.,
348 U.S., at 487 . Congressional findings do not, however, directly address the question
of reasonableness; they tell us what Congress actually has found, not what it could
rationally find. If, indeed, the Court were to make the existence of explicit congressional
findings dispositive in some close or difficult cases something other than rationality
review would be afoot. The resulting congressional obligation to justify its policy
choices on the merits would imply either a judicial authority to review the justification
(and, hence, the wisdom) of those choices, or authority to require Congress to act
with some high degree of deliberateness, of which express findings would be evidence.
But review for congressional wisdom would just be the old judicial pretension discredited
and abandoned in 1937, and review for deliberateness would be as patently unconstitutional
as an Act of Congress mandating long opinions from this Court. Such a legislative
process requirement would function merely as an excuse for covert review of the merits
of legislation under standards never expressed and more or less arbitrarily applied.
Under such a regime, in any case, the rationality standard of review would be a thing
of the past.
On the other hand, to say that courts applying the rationality standard may not defer
to findings is not, of course, to say that findings are pointless. They may, in fact,
have great value in telling courts what to look for, [ UNITED STATES v. LOPEZ, ___
U.S. ___ (1995) , 13] in establishing at least one frame of reference for review,
and in citing to factual authority. The research underlying JUSTICE BREYER'S dissent
was necessarily a major undertaking; help is welcome, and it not incidentally shrinks
the risk that judicial research will miss material scattered across the public domain
or buried under pounds of legislative record. Congressional findings on a more particular
plane than this record illustrates would accordingly have earned judicial thanks.
But thanks do not carry the day as long as rational possibility is the touchstone,
and I would not allow for the possibility, as the Court's opinion may, ante, at 14,
that the addition of congressional findings could in principle have affected the fate
of the statute here.
III
Because JUSTICE BREYER'S opinion demonstrates beyond any doubt that the Act in question
passes the rationality review that the Court continues to espouse, today's decision
may be seen as only a misstep, its reasoning and its suggestions not quite in gear
with the prevailing standard, but hardly an epochal case. I would not argue otherwise,
but I would raise a caveat. Not every epochal case has come in epochal trappings.
Jones & Laughlin did not reject the direct-indirect standard in so many words; it
just said the relation of the regulated subject matter to commerce was direct enough.
301 U.S., at 41 -43. But we know what happened.
I respectfully dissent.
[ Footnote 1 ] In this case, no question has been raised about means and ends; the
only issue is about the effect of school zone guns on commerce.
[ Footnote 2 ] Unlike the Court, (perhaps), I would see no reason not to consider
Congress's findings, insofar as they might be helpful in reviewing the challenge to
this statute, even though adopted in later legislation. See the Violent Crime Control
and Law Enforcement Act of 1994, Pub. L. 103-322, 320904, 108 Stat. 2125 ("[T]he occurrence
of violent crime in school zones has resulted in a decline in the quality of education
in our country; . . . this decline . . . has an adverse impact on interstate commerce
and the foreign commerce of the United States; . . . Congress has power, under the
interstate commerce clause and other provisions of the Constitution, to enact measures
to ensure the integrity and safety of the Nation's schools by enactment of this subsection").
The findings, however, go no further than expressing what is obviously implicit in
the substantive legislation, at such a conclusory level of generality as to add virtually
nothing to the record. The Solicitor General certainly exercised [ UNITED STATES v.
LOPEZ, ___ U.S. ___ (1995) , 11] sound judgment in placing no significant reliance
on these particular afterthoughts. Tr. of Oral Arg. 24-25. [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 1]
JUSTICE BREYER, with whom JUSTICE STEVENS, JUSTICE SOUTER, and JUSTICE GINSBURG join,
dissenting.
The issue in this case is whether the Commerce Clause authorizes Congress to enact
a statute that makes it a crime to possess a gun in, or near, a school. 18 U.S.C.
922(q)(1)(A) (1988 ed., Supp. V). In my view, the statute falls well within the scope
of the commerce power as this Court has understood that power over the last half-century.
I
In reaching this conclusion, I apply three basic principles of Commerce Clause interpretation.
First, the power to "regulate Commerce . . . among the several States," U.S. Const.,
Art. I, 8, cl. 3, encompasses the power to regulate local activities insofar as they
significantly affect interstate commerce. See, e.g., Gibbons v. Ogden, 9 Wheat. 1,
194-195 (1824) (Marshall, C. J.); Wickard v. Filburn, 317 U.S. 111, 125 (1942). As
the majority points out, ante, at 10, the Court, in describing how much of an effect
the Clause requires, sometimes has used the word "substantial" and sometimes has not.
Compare, e.g., Wickard, supra, at 125 ("substantial economic effect"), with Hodel
v. Virginia Surface Mining and Reclamation Assn., Inc., 452 U.S. 264, 276 (1981) [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 2] ("affects interstate commerce");
see also Maryland v. Wirtz, 392 U.S. 183, 196 , n. 27 (1968) (cumulative effect must
not be "trivial"); NLRB v. Jones & Laughlin Steel Corp., 301 U.S. 1, 37 (1937) (speaking
of "close and substantial relation" between activity and commerce, not of "substantial
effect") (emphasis added); Gibbons, supra, at 194 (words of Commerce Clause do not
"comprehend . . . commerce, which is completely internal . . . and which does not
. . . affect other States"). And, as the majority also recognizes in quoting Justice
Cardozo, the question of degree (how much effect) requires an estimate of the "size"
of the effect that no verbal formulation can capture with precision. See ante, at
18. I use the word "significant" because the word "substantial" implies a somewhat
narrower power than recent precedent suggests. See, e.g., Perez v. United States,
402 U.S. 146, 154 (1971); Daniel v. Paul, 395 U.S. 298, 308 (1969). But, to speak
of "substantial effect" rather than "significant effect" would make no difference
in this case.
Second, in determining whether a local activity will likely have a significant effect
upon interstate commerce, a court must consider, not the effect of an individual act
(a single instance of gun possession), but rather the cumulative effect of all similar
instances (i.e., the effect of all guns possessed in or near schools). See, e.g.,
Wickard, supra, at 127-128. As this Court put the matter almost 50 years ago:
"[I]t is enough that the individual activity when multiplied into a general practice
. . . contains a threat to the interstate economy that requires preventative regulation."
Mandeville Island Farms, Inc. v. American Crystal Sugar Co., 334 U.S. 219, 236 (1948)
(citations omitted).
Third, the Constitution requires us to judge the connection between a regulated activity
and interstate commerce, not directly, but at one remove. Courts must [ UNITED STATES
v. LOPEZ, ___ U.S. ___ (1995) , 3] give Congress a degree of leeway in determining
the existence of a significant factual connection between the regulated activity and
interstate commerce - both because the Constitution delegates the commerce power directly
to Congress and because the determination requires an empirical judgment of a kind
that a legislature is more likely than a court to make with accuracy. The traditional
words "rational basis" capture this leeway. See Hodel, supra, at 276-277. Thus, the
specific question before us, as the Court recognizes, is not whether the "regulated
activity sufficiently affected interstate commerce," but, rather, whether Congress
could have had "a rational basis" for so concluding. Ante, at 8 (emphasis added).
I recognize that we must judge this matter independently. "[S]imply because Congress
may conclude that a particular activity substantially affects interstate commerce
does not necessarily make it so." Hodel, supra, at 311 (REHNQUIST, J., concurring
in judgment). And, I also recognize that Congress did not write specific "interstate
commerce" findings into the law under which Lopez was convicted. Nonetheless, as I
have already noted, the matter that we review independently (i.e., whether there is
a "rational basis") already has considerable leeway built into it. And, the absence
of findings, at most, deprives a statute of the benefit of some extra leeway. This
extra deference, in principle, might change the result in a close case, though, in
practice, it has not made a critical legal difference. See, e.g., Katzenbach v. McClung,
379 U.S. 294, 299 (1964) (noting that "no formal findings were made, which of course
are not necessary"); Perez, supra, at 156-157; cf. Turner Broadcasting System, Inc.
v. FCC, 512 U.S. ___, ___ (1994) (opinion of KENNEDY, J.) (slip op., at 42) ("Congress
is not obligated, when enacting its statutes, to make a record of the type that an
administrative agency or court does to accommodate judicial review"); Fullilove v.
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 4] Klutznick, 448 U.S. 448, 503 (1980)
(Powell, J., concurring) ("After Congress has legislated repeatedly in an area of
national concern, its Members gain experience that may reduce the need for fresh hearings
or prolonged debate . . ."). And, it would seem particularly unfortunate to make the
validity of the statute at hand turn on the presence or absence of findings. Because
Congress did make findings (though not until after Lopez was prosecuted), doing so
would appear to elevate form over substance. See Pub. L. 103-322, 320904(2)(F), (G),
108 Stat. 2125, 18 U.S.C.A. 922(q)(1)(F), (G) (Nov. 1994 Supp.).
In addition, despite the Court of Appeals' suggestion to the contrary, see 2 F.3d
1342, 1365 (CA5 1993), there is no special need here for a clear indication of Congress'
rationale. The statute does not interfere with the exercise of state or local authority.
Cf., e.g., Dellmuth v. Muth, 491 U.S. 223, 227 -228 (1989) (requiring clear statement
for abrogation of Eleventh Amendment immunity). Moreover, any clear statement rule
would apply only to determine Congress' intended result, not to clarify the source
of its authority or measure the level of consideration that went into its decision,
and here there is no doubt as to which activities Congress intended to regulate. See
ibid.; id., at 233 (SCALIA, J., concurring) (to subject States to suits for money
damages, Congress need only make that intent clear, and need not refer explicitly
to the Eleventh Amendment); EEOC v. Wyoming, 460 U.S. 226, 243 , n. 18 (1983) (Congress
need not recite the constitutional provision that authorizes its action).
II
Applying these principles to the case at hand, we must ask whether Congress could
have had a rational basis for finding a significant (or substantial) connection between
gun-related school violence and interstate [ UNITED STATES v. LOPEZ, ___ U.S. ___
(1995) , 5] commerce. Or, to put the question in the language of the explicit finding
that Congress made when it amended this law in 1994: Could Congress rationally have
found that "violent crime in school zones," through its effect on the "quality of
education," significantly (or substantially) affects "interstate" or "foreign commerce"?
18 U.S.C.A. 922(q)(1)(F), (G) (Nov. 1994 Supp.). As long as one views the commerce
connection, not as a "technical legal conception," but as "a practical one," Swift
& Co. v. United States, 196 U.S. 375, 398 (1905) (Holmes, J.), the answer to this
question must be yes. Numerous reports and studies - generated both inside and outside
government - make clear that Congress could reasonably have found the empirical connection
that its law, implicitly or explicitly, asserts. (See Appendix, infra at 19, for a
sample of the documentation, as well as for complete citations to the sources referenced
below.)
For one thing, reports, hearings, and other readily available literature make clear
that the problem of guns in and around schools is widespread and extremely serious.
These materials report, for example, that four percent of American high school students
(and six percent of inner-city high school students) carry a gun to school at least
occasionally, Centers for Disease Control 2342; Sheley, McGee, & Wright 679; that
12 percent of urban high school students have had guns fired at them, ibid.; that
20 percent of those students have been threatened with guns, ibid.; and that, in any
6-month period, several hundred thousand school-children are victims of violent crimes
in or near their schools, U.S. Dept. of Justice 1 (1989); House Select Committee Hearing
15 (1989). And, they report that this widespread violence in schools throughout the
Nation significantly interferes with the quality of education in those schools. See,
e.g., House Judiciary Committee Hearing 44 (1990) (linking school violence to dropout
[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 6] rate); U.S. Dept. of Health 118-119
(1978) (school-violence victims suffer academically); compare U.S. Dept. of Justice
1 (1991) (gun violence worst in inner city schools), with National Center 47 (dropout
rates highest in inner cities). Based on reports such as these, Congress obviously
could have thought that guns and learning are mutually exclusive. Senate Labor and
Human Resources Committee Hearing 39 (1993); U.S. Dept. of Health 118, 123-124 (1978).
And, Congress could therefore have found a substantial educational problem - teachers
unable to teach, students unable to learn - and concluded that guns near schools contribute
substantially to the size and scope of that problem.
Having found that guns in schools significantly undermine the quality of education
in our Nation's classrooms, Congress could also have found, given the effect of education
upon interstate and foreign commerce, that gun-related violence in and around schools
is a commercial, as well as a human, problem. Education, although far more than a
matter of economics, has long been inextricably intertwined with the Nation's economy.
When this Nation began, most workers received their education in the workplace, typically
(like Benjamin Franklin) as apprentices. See generally Seybolt; Rorabaugh; U.S. Dept.
of Labor (1950). As late as the 1920's, many workers still received general education
directly from their employers - from large corporations, such as General Electric,
Ford, and Goodyear, which created schools within their firms to help both the worker
and the firm. See Bolino 15-25. (Throughout most of the 19th century fewer than one
percent of all Americans received secondary education through attending a high school.
See id., at 11.) As public school enrollment grew in the early 20th century, see Becker
218 (1993), the need for industry to teach basic educational skills diminished. But,
the direct economic link between basic education and industrial productivity [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 7] remained. Scholars estimate that nearly
a quarter of America's economic growth in the early years of this century is traceable
directly to increased schooling, see Denison 243; that investment in "human capital"
(through spending on education) exceeded investment in "physical capital" by a ratio
of almost two to one, see Schultz 26 (1961); and that the economic returns to this
investment in education exceeded the returns to conventional capital investment, see,
e.g., Davis & Morrall 48-49.
In recent years the link between secondary education and business has strengthened,
becoming both more direct and more important. Scholars on the subject report that
technological changes and innovations in management techniques have altered the nature
of the workplace so that more jobs now demand greater educational skills. See, e.g.,
MIT 32 (only about one-third of hand-tool company's 1,000 workers were qualified to
work with a new process that requires high-school-level reading and mathematical skills);
Cyert & Mowery 68 (gap between wages of high school dropouts and better trained workers
increasing); U.S. Dept. of Labor 41 (1981) (job openings for dropouts declining over
time). There is evidence that "service, manufacturing or construction jobs are being
displaced by technology that requires a better-educated worker or, more likely, are
being exported overseas," Gordon, Ponticell, & Morgan 26; that "workers with truly
few skills by the year 2000 will find that only one job out of ten will remain," ibid.;
and that
"[o]ver the long haul the best way to encourage the growth of high-wage jobs is to
upgrade the skills of the work force. . . . [B]etter-trained workers become more productive
workers, enabling a company to become more competitive and expand." Henkoff 60. [
UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 8]
Increasing global competition also has made primary and secondary education economically
more important. The portion of the American economy attributable to international
trade nearly tripled between 1950 and 1980, and more than 70 percent of American-made
goods now compete with imports. Marshall 205; Marshall & Tucker 33. Yet, lagging worker
productivity has contributed to negative trade balances and to real hourly compensation
that has fallen below wages in 10 other industrialized nations. See National Center
57; Handbook of Labor Statistics 561, 576 (1989); Neef & Kask 28, 31. At least some
significant part of this serious productivity problem is attributable to students
who emerge from classrooms without the reading or mathematical skills necessary to
compete with their European or Asian counterparts, see, e.g., MIT 28, and, presumably,
to high school dropout rates of 20 to 25 percent (up to 50 percent in inner cities),
see, e.g., National Center 47; Chubb & Hanushek 215. Indeed, Congress has said, when
writing other statutes, that "functionally or technologically illiterate" Americans
in the work force "erod[e]" our economic "standing in the international marketplace,"
Pub. L. 100-418, 6002(a)(3), 102 Stat. 1469, and that "our Nation is . . . paying
the price of scientific and technological illiteracy, with our productivity declining,
our industrial base ailing, and our global competitiveness dwindling." H. R. Rep.
No. 98-6, pt. 1, p. 19 (1983).
Finally, there is evidence that, today more than ever, many firms base their location
decisions upon the presence, or absence, of a work force with a basic education. See
MacCormack, Newman, & Rosenfield 73; Coffee 296. Scholars on the subject report, for
example, that today, "[h]igh speed communication and transportation make it possible
to produce most products and services anywhere in the world," National Center 38;
that "[m]odern machinery and production methods can [ UNITED STATES v. LOPEZ, ___
U.S. ___ (1995) , 9] therefore be combined with low wage workers to drive costs down,"
ibid.; that managers can perform "`back office functions anywhere in the world now,'"
and say that if they "`can't get enough skilled workers here'" they will "`move the
skilled jobs out of the country,'" id., at 41; with the consequence that "rich countries
need better education and retraining, to reduce the supply of unskilled workers and
to equip them with the skills they require for tomorrow's jobs," Survey of Global
Economy 37. In light of this increased importance of education to individual firms,
it is no surprise that half of the Nation's manufacturers have become involved with
setting standards and shaping curricula for local schools, Maturi 65-68, that 88 percent
think this kind of involvement is important, id., at 68, that more than 20 States
have recently passed educational reforms to attract new business, Overman 61-62, and
that business magazines have begun to rank cities according to the quality of their
schools, see Boyle 24.
The economic links I have just sketched seem fairly obvious. Why then is it not equally
obvious, in light of those links, that a widespread, serious, and substantial physical
threat to teaching and learning also substantially threatens the commerce to which
that teaching and learning is inextricably tied? That is to say, guns in the hands
of six percent of inner-city high school students and gun-related violence throughout
a city's schools must threaten the trade and commerce that those schools support.
The only question, then, is whether the latter threat is (to use the majority's terminology)
"substantial." And, the evidence of (1) the extent of the gun-related violence problem,
see supra, at 5, (2) the extent of the resulting negative effect on classroom learning,
see supra, at 5-6, and (3) the extent of the consequent negative commercial effects,
see supra, at 6-9, when taken together, indicate a threat to trade and commerce that
is "substantial." At the very least, Congress could [ UNITED STATES v. LOPEZ, ___
U.S. ___ (1995) , 10] rationally have concluded that the links are "substantial."
Specifically, Congress could have found that gun-related violence near the classroom
poses a serious economic threat (1) to consequently inadequately educated workers
who must endure low paying jobs, see, e.g., National Center 29, and (2) to communities
and businesses that might (in today's "information society") otherwise gain, from
a well-educated work force, an important commercial advantage, see, e.g., Becker 10
(1992), of a kind that location near a railhead or harbor provided in the past. Congress
might also have found these threats to be no different in kind from other threats
that this Court has found within the commerce power, such as the threat that loan
sharking poses to the "funds" of "numerous localities," Perez v. United States, 402
U.S., at 157 , and that unfair labor practices pose to instrumentalities of commerce,
see Consolidated Edison Co. v. NLRB, 305 U.S. 197, 221 -222 (1938). As I have pointed
out, supra, at 4, Congress has written that "the occurrence of violent crime in school
zones" has brought about a "decline in the quality of education" that "has an adverse
impact on interstate commerce and the foreign commerce of the United States." 18 U.S.C.A.
922(q)(1)(F), (G) (Nov. 1994 Supp.). The violence-related facts, the educational facts,
and the economic facts, taken together, make this conclusion rational. And, because
under our case law, see supra, at 1-2; infra, at 15, the sufficiency of the constitutionally
necessary Commerce Clause link between a crime of violence and interstate commerce
turns simply upon size or degree, those same facts make the statute constitutional.
To hold this statute constitutional is not to "obliterate" the "distinction of what
is national and what is local," ante, at 18 (citation omitted; internal quotation
marks omitted); nor is it to hold that the Commerce Clause [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 11] permits the Federal Government to "regulate any activity
that it found was related to the economic productivity of individual citizens," to
regulate "marriage, divorce, and child custody," or to regulate any and all aspects
of education. Ante, at 15-16. For one thing, this statute is aimed at curbing a particularly
acute threat to the educational process - the possession (and use) of life-threatening
firearms in, or near, the classroom. The empirical evidence that I have discussed
above unmistakably documents the special way in which guns and education are incompatible.
See supra, at 5-6. This Court has previously recognized the singularly disruptive
potential on interstate commerce that acts of violence may have. See Perez, supra,
at 156-157. For another thing, the immediacy of the connection between education and
the national economic well-being is documented by scholars and accepted by society
at large in a way and to a degree that may not hold true for other social institutions.
It must surely be the rare case, then, that a statute strikes at conduct that (when
considered in the abstract) seems so removed from commerce, but which (practically
speaking) has so significant an impact upon commerce.
In sum, a holding that the particular statute before us falls within the commerce
power would not expand the scope of that Clause. Rather, it simply would apply pre-existing
law to changing economic circumstances. See Heart of Atlanta Motel, Inc. v. United
States, 379 U.S. 241, 251 (1964). It would recognize that, in today's economic world,
gun-related violence near the classroom makes a significant difference to our economic,
as well as our social, well-being. In accordance with well-accepted precedent, such
a holding would permit Congress "to act in terms of economic . . . realities," would
interpret the commerce power as "an affirmative power commensurate with the national
needs," and would acknowledge that the "commerce clause does not operate [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 12] so as to render the nation powerless to
defend itself against economic forces that Congress decrees inimical or destructive
of the national economy." North American Co. v. SEC, 327 U.S. 686, 705 (1946) (citing
Swift & Co. v. United States, 196 U.S., at 398 (Holmes, J.)).
III
The majority's holding - that 922 falls outside the scope of the Commerce Clause
- creates three serious legal problems. First, the majority's holding runs contrary
to modern Supreme Court cases that have upheld congressional actions despite connections
to interstate or foreign commerce that are less significant than the effect of school
violence. In Perez v. United States, supra, the Court held that the Commerce Clause
authorized a federal statute that makes it a crime to engage in loan sharking ("[e]xtortionate
credit transactions") at a local level. The Court said that Congress may judge that
such transactions, "though purely intrastate, . . . affect interstate commerce." 402
U.S., at 154 (emphasis added). Presumably, Congress reasoned that threatening or using
force, say with a gun on a street corner, to collect a debt occurs sufficiently often
so that the activity (by helping organized crime) affects commerce among the States.
But, why then cannot Congress also reason that the threat or use of force - the frequent
consequence of possessing a gun - in or near a school occurs sufficiently often so
that such activity (by inhibiting basic education) affects commerce among the States?
The negative impact upon the national economy of an inability to teach basic skills
seems no smaller (nor less significant) than that of organized crime.
In Katzenbach v. McClung, 379 U.S. 294 (1964), this Court upheld, as within the commerce
power, a statute prohibiting racial discrimination at local restaurants, in part because
that discrimination discouraged travel by African Americans and in part because that
discrimination [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 13] affected purchases
of food and restaurant supplies from other States. See id., at 300; Heart of Atlanta
Motel, supra, at 274 (Black, J., concurring in McClung and in Heart of Atlanta). In
Daniel v. Paul, 395 U.S. 298 (1969), this Court found an effect on commerce caused
by an amusement park located several miles down a country road in the middle of Alabama
- because some customers (the Court assumed), some food, 15 paddleboats, and a juke
box had come from out of State. See id., at 304-305, 308. In both of these cases,
the Court understood that the specific instance of discrimination (at a local place
of accommodation) was part of a general practice that, considered as a whole, caused
not only the most serious human and social harm, but had nationally significant economic
dimensions as well. See McClung, supra, at 301; Daniel, supra, at 307, n. 10. It is
difficult to distinguish the case before us, for the same critical elements are present.
Businesses are less likely to locate in communities where violence plagues the classroom.
Families will hesitate to move to neighborhoods where students carry guns instead
of books. (Congress expressly found in 1994 that "parents may decline to send their
children to school" in certain areas "due to concern about violent crime and gun violence."
18 U.S.C.A. 922(q)(1)(E) (Nov. 1994 Supp.)). And (to look at the matter in the most
narrowly commercial manner), interstate publishers therefore will sell fewer books
and other firms will sell fewer school supplies where the threat of violence disrupts
learning. Most importantly, like the local racial discrimination at issue in McClung
and Daniel, the local instances here, taken together and considered as a whole, create
a problem that causes serious human and social harm, but also has nationally significant
economic dimensions.
In Wickard v. Filburn, 317 U.S. 111 (1942), this Court sustained the application
of the Agricultural [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 14] Adjustment
Act of 1938 to wheat that Filburn grew and consumed on his own local farm because,
considered in its totality, (1) home-grown wheat may be "induced by rising prices"
to "flow into the market and check price increases," and (2) even if it never actually
enters the market, home-grown wheat nonetheless "supplies a need of the man who grew
it which would otherwise be reflected by purchases in the open market" and, in that
sense, "competes with wheat in commerce." Id., at 128. To find both of these effects
on commerce significant in amount, the Court had to give Congress the benefit of the
doubt. Why would the Court, to find a significant (or "substantial") effect here,
have to give Congress any greater leeway? See also United States v. Women's Sportswear
Manufacturers Assn., 336 U.S. 460, 464 (1949) ("If it is interstate commerce that
feels the pinch, it does not matter how local the operation which applies the squeeze");
Mandeville Island Farms, Inc. v. American Crystal Sugar Co., 334 U.S., at 236 ("[I]t
is enough that the individual activity when multiplied into a general practice . .
. contains a threat to the interstate economy that requires preventative regulation").
The second legal problem the Court creates comes from its apparent belief that it
can reconcile its holding with earlier cases by making a critical distinction between
"commercial" and noncommercial "transaction[s]." Ante, at 12-13. That is to say, the
Court believes the Constitution would distinguish between two local activities, each
of which has an identical effect upon interstate commerce, if one, but not the other,
is "commercial" in nature. As a general matter, this approach fails to heed this Court's
earlier warning not to turn "questions of the power of Congress" upon "formula[s]"
that would give
"controlling force to nomenclature such as `production' and `indirect' and foreclose
consideration [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 15] of the actual effects
of the activity in question upon interstate commerce." Wickard, supra, at 120.
See also United States v. Darby, 312 U.S. 100, 116 -117 (1941) (overturning the Court's
distinction between "production" and "commerce" in the child labor case, Hammer v.
Dagenhart, 247 U.S. 251, 271-272 (1918)); Swift & Co. v. United States, 196 U.S.,
at 398 (Holmes, J.) ("[C]ommerce among the States is not a technical legal conception,
but a practical one, drawn from the course of business"). Moreover, the majority's
test is not consistent with what the Court saw as the point of the cases that the
majority now characterizes. Although the majority today attempts to categorize Perez,
McClung, and Wickard as involving intrastate "economic activity," ante, at 10-11,
the Courts that decided each of those cases did not focus upon the economic nature
of the activity regulated. Rather, they focused upon whether that activity affected
interstate or foreign commerce. In fact, the Wickard Court expressly held that Wickard's
consumption of home grown wheat, "though it may not be regarded as commerce," could
nevertheless be regulated "whatever its nature" - so long as "it exerts a substantial
economic effect on interstate commerce." Wickard, supra, at 125 (emphasis added).
More importantly, if a distinction between commercial and noncommercial activities
is to be made, this is not the case in which to make it. The majority clearly cannot
intend such a distinction to focus narrowly on an act of gun possession standing by
itself, for such a reading could not be reconciled with either the civil rights cases
(McClung and Daniel) or Perez in each of those cases the specific transaction (the
race-based exclusion, the use of force) was not itself "commercial." And, if the majority
instead means to distinguish generally among broad categories of activities, differentiating
what is educational from what is commercial, then, as a practical matter, the line
becomes almost impossible [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 16] to draw.
Schools that teach reading, writing, mathematics, and related basic skills serve both
social and commercial purposes, and one cannot easily separate the one from the other.
American industry itself has been, and is again, involved in teaching. See supra,
at 6, 9. When, and to what extent, does its involvement make education commercial?
Does the number of vocational classes that train students directly for jobs make a
difference? Does it matter if the school is public or private, nonprofit or profit-seeking?
Does it matter if a city or State adopts a voucher plan that pays private firms to
run a school? Even if one were to ignore these practical questions, why should there
be a theoretical distinction between education, when it significantly benefits commerce,
and environmental pollution, when it causes economic harm? See Hodel v. Virginia Surface
Mining & Reclamation Assn., Inc., 452 U.S. 264 (1981).
Regardless, if there is a principled distinction that could work both here and in
future cases, Congress (even in the absence of vocational classes, industry involvement,
and private management) could rationally conclude that schools fall on the commercial
side of the line. In 1990, the year Congress enacted the statute before us, primary
and secondary schools spent $230 billion - that is, nearly a quarter of a trillion
dollars which accounts for a significant portion of our $5.5 trillion Gross Domestic
Product for that year. See Statistical Abstract 147, 442 (1993). The business of schooling
requires expenditure of these funds on student transportation, food and custodial
services, books, and teachers' salaries. See U.S. Dept. of Education 4, 7 (1993).
And, these expenditures enable schools to provide a valuable service - namely, to
equip students with the skills they need to survive in life and, more specifically,
in the workplace. Certainly, Congress has often analyzed school expenditure as if
it were a commercial investment, closely analyzing whether [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 17] schools are efficient, whether they justify the significant
resources they spend, and whether they can be restructured to achieve greater returns.
See, e.g., S. Rep. No. 100-222, p. 2 (1987) (federal school assistance is "a prudent
investment"); Senate Appropriations Committee Hearing (1994) (private sector management
of public schools); cf. Chubb & Moe 185-229 (school choice); Hanushek 85-122 (performance
based incentives for educators); Gibbs (decision in Hartford, Conn., to contract out
public school system). Why could Congress, for Commerce Clause purposes, not consider
schools as roughly analogous to commercial investments from which the Nation derives
the benefit of an educated work force?
The third legal problem created by the Court's holding is that it threatens legal
uncertainty in an area of law that, until this case, seemed reasonably well settled.
Congress has enacted many statutes (more than 100 sections of the United States Code),
including criminal statutes (at least 25 sections), that use the words "affecting
commerce" to define their scope, see, e.g., 18 U.S.C. 844(i) (destruction of buildings
used in activity affecting interstate commerce), and other statutes that contain no
jurisdictional language at all, see, e.g., 18 U.S.C. 922(o)(1) (possession of machine
guns). Do these, or similar, statutes regulate noncommercial activities? If so, would
that alter the meaning of "affecting commerce" in a jurisdictional element? Cf. United
States v. Staszcuk, 517 F.2d 53, 57-58 (CA7 1975) (en banc) (Stevens, J.) (evaluation
of Congress' intent "requires more than a consideration of the consequences of the
particular transaction"). More importantly, in the absence of a jurisdictional element,
are the courts nevertheless to take Wickard, 317 U.S., at 127 -128, (and later similar
cases) as inapplicable, and to judge the effect of a single noncommercial activity
on interstate commerce without considering similar instances [ UNITED STATES v. LOPEZ,
___ U.S. ___ (1995) , 18] of the forbidden conduct? However these questions are eventually
resolved, the legal uncertainty now created will restrict Congress' ability to enact
criminal laws aimed at criminal behavior that, considered problem by problem rather
than instance by instance, seriously threatens the economic, as well as social, well-being
of Americans.
IV
In sum, to find this legislation within the scope of the Commerce Clause would permit
"Congress . . . to act in terms of economic . . . realities." North American Co. v.
SEC, 327 U.S., at 705 (citing Swift & Co. v. United States, 196 U.S., at 398 (Holmes,
J.)). It would interpret the Clause as this Court has traditionally interpreted it,
with the exception of one wrong turn subsequently corrected. See Gibbons v. Ogden,
9 Wheat., at 195 (holding that the commerce power extends "to all the external concerns
of the nation, and to those internal concerns which affect the States generally");
United States v. Darby, 312 U.S., at 116 -117 ("The conclusion is inescapable that
Hammer v. Dagenhart [the child labor case], was a departure from the principles which
have prevailed in the interpretation of the Commerce Clause both before and since
the decision . . . . It should be and now is overruled"). Upholding this legislation
would do no more than simply recognize that Congress had a "rational basis" for finding
a significant connection between guns in or near schools and (through their effect
on education) the interstate and foreign commerce they threaten. For these reasons,
I would reverse the judgment of the Court of Appeals. Respectfully, I dissent. [ UNITED
STATES v. LOPEZ, ___ U.S. ___ (1995) , 19]
APPENDIX
Congressional Materials (in reverse chronological order)
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Health and Human Services, and Education and Related Agencies of the Senate Committee
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(1994)).
Children and Gun Violence, Hearings before the Subcommittee on Juvenile Justice of
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Committee Hearing (1993)).
Keeping Every Child Safe: Curbing the Epidemic of Violence, Joint Hearing before
the Subcommittee on Children, Family, Drugs and Alcoholism of the Senate Committee
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Families, 103d Cong., 1st Sess. (1993).
Recess from Violence: Making our Schools Safe, Hearing before the Subcommittee on
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Preparing for the Economy of the 21st Century, Hearings before the Subcommittee on
Children, Family, Drugs and Alcoholism of the Senate Committee on Labor and Human
Resources, 102d Cong., 2d Sess. (1992). [ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995)
, 20]
Children Carrying Weapons: Why the Recent Increase, Hearing before the Senate Committee
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Youth Violence Prevention, Hearing before the Senate Committee on Governmental Affairs,
102d Cong., 2d Sess. (1992).
School Dropout Prevention and Basic Skills Improvement Act of 1990, Pub. L. 101-600,
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Excellence in Mathematics, Science and Engineering Education Act of 1990, 104 Stat.
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Oversight Hearing on Education Reform and American Business and the Implementation
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Restoring American Productivity: The Role of Education and Human Resources, Hearing
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[ UNITED STATES v. LOPEZ, ___ U.S. ___ (1995) , 21]
Children and Guns, Hearing before the House Select Committee on Children, Youth,
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(1995) , 22]
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