Lead Opinion
BOGGS, J., delivered the opinion of the court, in which SILER and GIBBONS, JJ., joined. GIBBONS, J. (pp. 344-45); delivered a separate concurring opinion.
OPINION
This case presents an important issue of first impression in the federal courts: whether a prohibition on the possession of firearms by a person “who has been committed to a mental institution,” 18 U.S.C. § 922(g)(4), violates the Second Amendment. Twenty-eight years ago, Clifford Charles Tyler was involuntarily committed for less than one month after allegedly undergoing an emotionally devastating divorce. Consequently, he can never possess a firearm. Tyler filed suit in federal court, seeking a declaratory judgment that § 922(g)(4) is unconstitutional as applied to him. The district court dismissed Tyler’s suit for failure to state a claim. Because Tyler’s complaint validly states a violation of the Second Amendment, we reverse and remand.
I. Background
A. Statutory and Regulatory Background
Under federal law, an individual “who has been committed to a mental institution” may not possess a firearm. 18 U.S.C. § 922(g)(4). Specifically, the statute provides:
It shall be unlawful for any person ... who has been adjudicated as a mental defective or who has been committed to a mental institution ... to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any*312 firearm or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce.
Ibid. Section 922(g) imposes the same firearm restrictions on numerous other groups of individuals, including convicted felons, § 922(g)(1); fugitives, § 922(g)(2); and domestic-violence misdemeanants, § 922(g)(9).
Federal law also provides a relief-from-disabilities program whereby individuals prohibited from possessing firearms may “appl[y] to the Attorney General for relief from the disabilities imposed by Federal laws.” § 925(c). The Attorney General may grant this relief if, after reviewing the circumstances regarding the disability and the applicant’s record and reputation, “it is established to his satisfaction ... that the applicant will not be likely to act in a manner dangerous to public safety and that the granting of the relief would not be contrary to the public interest.” Ibid. Judicial review is available to “[a]ny person whose application for relief from disabilities is denied by the Attorney General.” Ibid. A United States district court “may in its discretion admit additional evidence where failure to do so would result in a miscarriage of justice.” Ibid.
The Attorney General has delegated his authority to “[ijnvestigate, administer, and enforce the laws related to ... firearms,” including the relief-from-disabilities program of 18 U.S.C. § 925(c), to the director of the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). 28 C.F.R. § 0.130(a)(1).
ATF regulations prescribe the form and contents of an application for relief from disabilities. See 27 C.F.R. § 478.144. All applications from individuals, for instance, must contain written statements from three references and written authorization for ATF to obtain pertinent background records. § 478.144(e)(l)-(2). Applications from individuals prohibited from firearm possession because of prior commitment to a mental institution must provide: the court order mandating commitment; medical records reflecting diagnosis; and records from any authority showing the applicant’s discharge from commitment, restoration of medical competency, and restoration of rights. See § 478.144(c)(5). The ATF director may not grant relief to an applicant previously committed to a mental institution unless the applicant meets the requirements of 18 U.S..C. § 925(c) and unless “a court, board, commission, or other lawful authority” has subsequently determined the applicant “to have been restored to mental competency, to be no longer suffering from a mental disorder, and to have had all rights restored.” 27 C.F.R. § 478.144(e).
In 1992, however, Congress defunded the relief-from-disabilities program. See Treasury, Postal Service, and General Government Appropriations Act, 1993, Pub.L. No. 102-393, 106 Stat. 1729, 1732. Since that time, Congress has affirmatively retained the bar on funding the relief-from-disabilities program. See Consolidated Appropriations Act, 2014, Pub.L. No. 113-76, 128 Stat. 5, 57; United States v. Bean,
Similar to the federal relief-from-disabilities program, states “shall grant the relief’ if “the circumstances regarding the disabilities ... and the person’s record and reputation, are such that the person will not be likely to act in a manner dangerous to public safety and that the granting of the relief would not be contrary to the public interest.” Ibid. Such state relief satisfies the requirements of § 925(c) for restoration of gun rights. These state programs must permit an individual “whose application for the relief is denied to file a petition with the State court of appropriate jurisdiction for a de novo judicial review of the denial.”
B. Factual Background
1. Tyler’s Involuntary Commitment
Tyler is a seventy-three-year-old resident of Hillsdale County, Michigan. On January 2, 1986, a state probate court committed Tyler to a mental institution. Tyler alleges that he underwent an emotionally devastating divorce in 1985 and that he was involuntarily committed because of a risk that he might be suicidal.
Tyler submitted a 2012 substance-abuse evaluation containing additional information about his 1985 depression. In 1985, when Tyler was forty-five years old, Tyler’s wife of twenty-three years served him divorce papers. Prior to filing for divorce, Tyler’s ex-wife allegedly ran away with
The police transported Tyler to the sheriffs department, where they contacted Tyler’s eighteen-year-old daughter to assist them with the necessary steps to have Tyler receive a psychological evaluation. Probate-court documents indicate that a Dr. Tamara Marie Tyler filed a petition asserting that Tyler required treatment.
Tyler’s 2012 substance-abuse evaluation indicates that Tyler was transported to Ypsilanti Regional Center for a psychological evaluation. He purportedly had bruises on his head and face. He also purportedly had suicidal thoughts, was depressed, sobbing, shaking, and had not been sleeping. Tyler reported that he remained at the Center for two to four weeks. He declined prescribed medications for fear they would alter his “thinking.”
Tyler subsequently returned home and remained in the workforce for another eighteen to nineteen years. Tyler’s 2012 substance-abuse evaluation determined that Tyler has no substance-abuse problem. It also indicates that Tyler did not report any “past legal involvement.” In 2012, Tyler underwent a psychological evaluation. Tyler informed the psychologist that he had never experienced a “depressive episode” other than his 1985 incident. The psychologist’s report indicated that Tyler has no criminal history. The psychologist contacted Tyler’s physician who also reported that she had not detected evidence of mental illness in Tyler. The psychologist determined that Tyler’s prior involuntary commitment “appeared to be a brief reactive depressive episode in response to his wife divorcing him.” The psychologist determined that there was no evidence of mental illness. In about 1999, Tyler remarried, and he maintains a close relationship with his two daughters from his first marriage.
2. Administrative Process
Tyler has been unable to purchase a firearm because of his prior involuntary commitment. He alleges that on February 7, 2011, he attempted to purchase a firearm. The Hillsdale County Sheriffs Office informed Tyler that he was ineligi
On January 6, 2012, the NICS section wrote Tyler’s counsel to inform him that Tyler’s appeal was denied. The NICS section’s letter explained that the NICS Improvement Amendments Act of 2007 “provides states with the ability to pursue an ATF-approved relief of disability for individuals adjudicated as a mental defective or who have been committed to a mental institution.” The letter further stated: “Until your state has an ATF approved relief from disabilities program in place your federal firearm rights may not be restored.” The letter did not mention that federal law allows Tyler to apply directly to ATF for relief but that Congress denied funding for a federal relief-from-disabilities program.
3. Federal Litigation
On May 21, 2012, Tyler filed suit in federal court, alleging that the enforcement of § 922(g)(4), in light of the lack of any procedure in Michigan for relief from the disability, violates his rights protected by the Federal Constitution. In particular, Tyler alleged that the federal disability scheme constitutes an overbroad infringement on his right to keep and bear arms under the Second Amendment and Fourteenth Amendment and also that the scheme violates equal protection under the Due Process Clause of the Fifth Amendment and under the Fourteenth Amendment. Additionally, Tyler alleged that the government’s failure to afford Tyler notice and opportunity to be heard on the matter, even in a post-deprivation proceeding, violates the Due Process Clause of the Fifth Amendment and the Due Process Clause of the Fourteenth Amendment.
Tyler named various county, state, and federal defendants. The state defendants moved to dismiss because Tyler did not allege that they interfered with his constitutional rights, and the district court granted the motion.
The district court also granted the federal defendants’ motion to dismiss. The court held that the Second Amendment, as historically understood, did not extend to persons in Tyler’s position. The court also determined that even if the Second Amendment did encompass individuals with Tyler’s status, § 922(g)(4) would survive intermediate scrutiny because Congress’s method of keeping firearms from those who have been previously institutionalized is “reasonably related to the government’s stated interest” in preventing firearm violence. Additionally, the district court found that Tyler’s Fifth Amendment claims failed because they were coextensive with Tyler’s Second Amendment claims.- Tyler and the county defendants agreed that the district court’s order as to the federal defendants was dispositive as to the remaining claims, and they stipulated to entry of a final order dismissing Tyler’s complaint as to the county defendants. Only the county and federal defendants are parties on appeal.
II. Standard of Review
We review de novo the district court’s grant of a motion to dismiss for failure to state a claim. Ass’n of Cleve
, III. Analysis
-The Second Amendment provides: “A well regulated Militia, being necessary to the security of a free State, the right of the people to keep and bear Arms, shall not be infringed.” U.S. Const, amend. II. The Supreme Court has determined that this text—with a structure “unique in our Constitution”—confers “an individual right to keep and bear arms.” District of Columbia v. Heller,
In short, Heller did “not undertake an exhaustive historical analysis ... of the full scope of the Second Amendment.” Ibid. Heller determined only that the Second Amendment protects “the right of law-abiding, responsible citizens to use arms in defense of hearth and home.” Id. at 635,
In this case of first impression, we consider not the what, where, when, or why of the Second Amendment’s limitations—but the who.
A. Appropriate Constitutional Test
1. Heller
We begin with the Heller Court’s statements about whom the state may constitutionally restrict from possessing firearms. Most significant is the Court’s statement that “nothing in [its] opinion should be taken to cast doubt on longstanding prohibitions on the possession of firearms by felons and the mentally ill.” Heller,
Although these statements are dicta and not holding, the Court in McDonald v. City of Chicago, Illinois,
The Court’s “assurance” that Heller does not cast doubt on prohibitions on the possession of firearms by the mentally ill does not resolve this case. For § 922(g)(4) prohibits firearm possession not just by the mentally ill but by anyone “who has been committed to a mental institution.” That these two categories are not coextensive is made clear by the very fact that the language of § 922(g)(4) expressly refers to two separate groups. See Circuit City Stores, Inc. v. Adams,
2. Two-Step Approach
To resolve Second Amendment challenges, we have adopted a two-step
There may be a number of reasons to question the soundness of this two-step approach. It derives from the Third Circuit’s decision in United States v. Marzza-rella, which primarily rested on a view that because “Heller itself repeatedly invokes the First Amendment in establishing principles governing the Second Amendment,” that fact “implies the structure of First Amendment doctrine should inform ... analysis of the Second Amendment.”
B. Step One: Scope of the Second Amendment
Greeno’s first step asks “whether the challenged law burdens conduct that
1. Tyler’s Evidence
Both Tyler and the government marshal historical sources and secondary historical scholarship to discuss whether the conduct proscribed by § 922(g)(4)—possession of a firearm by a person previously committed to a mental institution—-fell within the historical scope of the Second Amendment.
Tyler relies on the English Bill of Rights, which provided: “That the subjects which are Protestants may have arms for their defense suitable to their conditions and as allowed by law.” 1 W. & M., c. 2, § 7, in 3 Eng. Stat. at Large 441 (1689); see Heller,
Tyler also relies heavily on legal commentary by William Blackstone, “whose works ... constituted the preeminent authority on English law for the founding generation.” Id. at 593-94,
Other historical sources cited by Tyler are no more helpful. Under the Militia Act of 1662, “any person or persons” who were judged “dangerous to the Peace of the Kingdome” could be disarmed. 13 & 14 Car. 2, c. 3, § 1 (1662) (Eng.). But we already know from Heller that the right to bear arms, both now and as understood in 1791, did not extend to certain classes of people. Tyler also cites ratification history, but Heller explained that the ratification debate over the right to keep and bear arms was not over the nature of the right but “over whether it needed to be codified in the Constitution.” Heller,
2. The Government’s Evidence
Greeno places the burden on the government to establish that regulated conduct falls outside the scope of the Second Amendment as understood in 1791.
The government, also invoking ratification history, relies on “a proposal offered by the Pennsylvania anti-federalist faction at the Pennsylvania Convention.” Appel-lee Br. 17. Heller described this proposal as “highly influential.”
The people have a right to bear arms for the defense of themselves and their own State, or the United States, or for the purpose of killing game; and no law shall be passed for disarming the people or any of them, unless for crimes committed, or real danger of public injury from individuals[.]
The Address and Reasons of Dissent of the Minority of the Convention of the State of Pennsylvania to Their Constituents, 1787, reprinted in 2 Bernard Schwartz, The Bill of Rights, A Documentary History 665 (1971) (emphasis added). This, too, simply raises the question of which individuals presented a “real danger of public injury.” The government also cites Samuel Adams’s proposal at the Massachusetts ratifying convention, which was also discussed in Heller. See Heller,
The government’s brief discussion of historical scholarship is no more helpful. The government asserts that most “scholars of the Second Amendment agree that the right to bear arms was tied to the concept of a’virtuous citizenry.” Appellee Br. 18 (quoting United States v. Yancey,
3. Analysis
Recourse to tradition is not much more helpful, for “legal limits on the possession of firearms by the mentally ill ... are of 20th Century vintage.” United States v. Skoien (Skoien II),
We are not aware of any other historical source that suggests that the right to possess a gun was denied to persons who had ever been committed to a mental institution, regardless of time, circumstance, or present condition.
We need not reinvent the wheel and justify with historical reasoning § 922(g)(4)’s prohibition on possession of firearms by the mentally ill. So much we may take for granted. Heller has already sanctioned the “longstanding prohibitio[n] on the possession of firearms by ... the mentally ill” as permissible.
The problem, as noted, is that the class of individuals constituting those ever previously mentally institutionalized is not identical to the class of individuals presently mentally- ill. Ultimately, the government cannot establish that § 922(g)(4) regulates conduct falling outside the scope of the Second Amendment as it was understood in 1791. We cannot conclude, then, that the regulated activity is “categorically unprotected.” Greeno,
C. Step Two: Applying the Appropriate Level of Scrutiny
Under Greeno, if the government cannot meet its burden of establishing that the regulated conduct fell outside the scope of the Second Amendment as historically understood in 1791, then the court must proceed to a second step.
1. Intermediate Scrutiny or Strict Scrutiny?
Whether courts should apply intermediate scrutiny or strict scrutiny is an open question in this circuit. Greeno itself concerned a Second Amendment challenge to the dangerous-weapon enhancement in § 2D1.1(b)(1) of the ' U.S. Sentencing Guidelines. See id. at 516-21. The Gree-no court concluded that the dangerous-weapon enhancement was consistent with the historical understanding of the Second Amendment because the right to bear arms did not extend to “individuals engaged in criminal activity,” id. at 519, or to “possession of weapons for unlawful purposes,” id. at 520. The court in Greeno decided only the question asked in the first step of its newly announced test. See id. at 520 n. 2. The Greeno court expressly reserved the question of what is “the appropriate level of scrutiny to apply to post-Heller Second Amendment challenges under the second prong.” Ibid.
a
Although we might prefer to avoid a scrutiny-based approach altogether, see Heller,
The traditional levels of scrutiny are rational basis, intermediate scrutiny, and strict scrutiny. See Heller,
First, we recognize that this decision— intermediate or strict?—is likely more important in theory than in practice. We are skeptical of ascribing too much significance to the difference between an “important” or “significant” interest and a “compelling” interest. Justice Blackmun, for example, was never “able fully to appreciate just what a ‘compelling state interest’ is.” Ill. State Bd. of Elections v. Socialist Workers Party,
Second, intermediate and strict scrutiny are not binary poles in the area of heightened scrutiny. These familiar tests can take on many names and versions. “[I]t bears mention that strict scrutiny and intermediate scrutiny can take on different forms in different contexts that are sometimes colloquially referred to as, for example, strict-scrutiny-light or intermediate-scrutiny-plus or the like.” Heller II,
With these cautions in mind, we proceed to determine the appropriate standard.
b
The government maintains that intermediate scrutiny is the appropriate level of scrutiny to apply. It offers two reasons. First, it argues that a “more demanding standard would be inconsistent with Heller’s recognition that ‘longstanding prohibitions on the possession of firearms by felons and the mentally ill’ are ‘presumptively lawful.’ ” Appellee Br. 19 (quoting Heller,
i
The government’s first argument is that Heller’s exceptions are inconsistent with strict scrutiny. Heller describes the prohibition on firearm possession by the mentally ill as “presumptively lawful.” Heller,
First, the government reads Heller’s language to mean that courts, when analyzing the constitutionality of Heller’s exceptions, must begin their analysis by presuming that such exceptions are lawful. This cannot be correct because if that were the case, then courts would apply something akin to rational basis—an option that Heller forecloses. Heller,
ii
The strongest argument in favor of intermediate scrutiny is that other circuits have adopted it as their test of choice. The government correctly notes that circuits have generally applied intermediate scrutiny in Second Amendment challenges. A closer look, however, reveals that the circuits’ actual approaches are less neat— and far less consistent—than that.
The First Circuit applied a form of intermediate scrutiny to a “categorical ban on gun ownership by a class of individuals,” which required a “strong showing, necessitating a substantial relationship between the restriction and an important governmental object.” United States v. Booker,
The Second Circuit adopted “some form of heightened scrutiny ... less than strict scrutiny” to laws not burdening the “ ‘core’ protection of self-defense in the home.” Kachalsky,
The Third Circuit has applied intermediate scrutiny when the “burden imposed by the law does not severely limit the possession of firearms,” but recognized that the “Second Amendment can trigger more than one particular standard of scrutiny.” Marzzarella,
The Fourth Circuit employs a hybrid approach, applying intermediate scrutiny to laws burdening the right to bear arms
The Fifth Circuit has also adopted a multi-tiered approach in which “the appropriate level of scrutiny depends on the nature of the conduct being regulated and the degree to which the challenged law burdens the right.” NRA v. ATF (NRA I),
The Seventh Circuit has followed a number of different approaches, depending on the panel. Recently, it applied “a more rigorous showing than [intermediate scrutiny], if not quite ‘strict scrutiny.’ ” Ezell v. City of Chicago,
The Ninth Circuit has also followed various approaches. In a 2013 case, the court held that intermediate scrutiny applies to a Second Amendment challenge to a law burdening “conduct falling within the scope of the Second Amendment’s guarantee.” United States v. Chovan,
The Tenth Circuit applied intermediate scrutiny to a federal firearm restriction that applied “only to a narrow class of
The District of Columbia Circuit applied intermediate scrutiny to gun-registration laws, but held that “a regulation that imposes a substantial burden upon the core right of self-defense protected by the Second Amendment must have a strong justification, whereas a regulation that imposes a less substantial burden should be proportionately easier to justify.” Heller II,
This tour of the circuits confirms several points. The appropriate level of scrutiny that courts should apply in Second Amendment cases (assuming a scrutiny-based approach is appropriate at all) remains a difficult, highly contested question. “[0]ur sister circuits have grappled with varying sliding-scale and tiered-scrutiny approaches.” Peruta,
What this also reveals is that our circuit is one of the few that has not entered this debate. Although we must “applfy] the appropriate level of scrutiny,” ibid., we also must decide whether that is intermediate scrutiny or strict scrutiny. “A choice must be made.” Ezell,
C
There are strong reasons for preferring strict scrutiny over intermediate scrutiny. First, the Supreme Court has by now been clear and emphatic that the “right to keep and bear arms” is a “fundamental righ[t] necessary to our system of ordered liberty.” McDonald,
Although it is true that strict scrutiny is not always implicated when a fundamental
Second, another way of thinking about the above point—and another reason for preferring strict scrutiny—is that the courts of appeals originally adapted the levels of scrutiny of Second Amendment jurisprudence by looking to First Amendment doctrine but that First Amendment doctrine reflects a preference for strict scrutiny more often than for intermediate scrutiny.
In those areas of constitutional law where the Supreme Court favors intermediate scrutiny, the Court has expressly indicated a reason for downgrading from strict scrutiny. With commercial speech, the Court applies intermediate scrutiny because it has decided that “[t]he Constitution ... accords a lesser protection to commercial speech than to other constitutionally guaranteed expression.” Cent. Hudson,
Third, strict scrutiny is preferable because this is a doctrinal area in which the Court has not simply refrained from suggesting that lesser review is called for but one in which it has strongly indicated that intermediate’ scrutiny should not be employed. Justice Breyer’s dissent in Heller explicitly advocated a form of interest-balancing intermediate scrutiny based in part on Turner Broadcasting System, Inc. v. FCC (Turner II),
Fourth, and perhaps most importantly, we reject intermediate scrutiny here because it has no basis in the Constitution. Both the Court and the academy have said as much. The Heller Court’s reasons for explicitly rejecting rational-basis scrutiny apply equally to intermediate scrutiny. The Court rejected rational-basis scrutiny for Second Amendment challenges because it “is a mode of analysis we have used when evaluating laws under constitutional commands that are themselves prohibitions on irrational laws,” citing Engquist v. Oregon Department of Agriculture,
Given the above, we prefer strict scrutiny over intermediate scrutiny. In choosing strict scrutiny, we join a significant,. increasingly emergent though, as yet, minority view that concludes that as between intermediate scrutiny and strict serutiny-the choice that Greeno requires—
d
Because applying strict scrutiny puts us on a different course than that taken by other circuits, we offer one final precautionary note. The courts of appeals’ post-Heller jurisprudence does not suggest that the decision to apply intermediate scrutiny over strict scrutiny was generally the crucial keystone that won the government’s case. See, e.g., Reese,
First, as discussed above, there is not just one model of strict scrutiny; there are different forms, such as strict-scrutiny-light. See Heller II,
Second, even when using the same form of strict scrutiny, “individual Justices”— and judges, it is fair to say-also “tend to vary their applications of strict scrutiny based on their personal assessments of the importance of the right in question.” Fallon, supra, at 1271 (emphasis added). Strict scrutiny is not a plaster mold that consistently produces identical results. For instance, the Court applied “the most rigid scrutiny”—using language later “cited to support the modern form of strict scrutiny review,” id. at 1277—in upholding a military order excluding all persons of Japanese descent from areas of the West Coast. Korematsu v. United States,
Third, strict scrutiny, although having the benefit of greater fidelity to Heller and McDonald, is not so different a construct than intermediate scrutiny. Strict scrutiny demands government interests that are “compelling” and not “merely” “important.” “That’s unlikely to be relevant to gun controls, since virtually every gun control law is aimed at serving interests that would usually be seen as compelling—preventing violent crime, injury, and death.” Eugene Volokh, Implementing the Right
We conclude our explanation of choosing strict scrutiny with a reminder of intermediate scrutiny’s shaky foundation in Second Amendment law. The Seventh Circuit was the first court of appeals to apply intermediate scrutiny to a Second Amendment challenge in United States v. Skoien (Skoien I), 587 F.3d 803 (7th Cir.2009). That opinion was vacated, United States v. Skoien, No. 08-3770,
2. Applying Strict Scrutiny
With our analytic structure in place, we turn finally to the law at issue here. A challenged law satisfies strict scrutiny if it “furthers a compelling interest and is narrowly tailored to achieve that interest.” Citizens United,
We have no trouble concluding that § 922(g)(4), which prohibits possession of firearms by individuals “adjudicated as a mental defective” or who have “been committed to a mental institution,” furthers compelling interests. Tyler concedes that § 922(g)(4), facially, serves at least “important” interests. The government advances two interests: “protecting the community from crime” and “preventing suicide.” Although the government suggests applying intermediate scrutiny, it asserts that these interests are not just important but in fact “compelling.” Indeed they are. Schall v. Martin,
b
For § 922(g)(4) to withstand strict scrutiny, however, the government must also establish that the law is narrowly tailored to achieve its interests. That is, “[r]eal scrutiny is different from parroting the government’s legislative intentions.” NRA II,
Central to narrow tailoring is the fit between the government’s objective and its means. A regulation flunks narrow tailoring by being “overbroad” if “[the proffered] interests could be achieved by narrower ordinances that burde[n] [the right] to a far lesser degree.” Church of the Lukumi Babalu Aye, Inc. v. City of Hialeah,
We use Heller’s and McDonald’s “assurances” as a reference point to consider how narrow tailoring is applied in the Second Amendment context. See Jamal Greene, Heller High Water? The Future of Originalism, 3 Hakv. L. & Pol’y Rev. 325, 336 (2009) (“[T]he dozens of lower court opinions ... have reasoned largely by analogy to Justice Scalia’s list of permissible regulations [in Heller ].”). Congress probably can regulate firearms at schools, see Heller,
Based on Heller, a law forbidding possession of firearms by “the mentally ill” is most likely constitutional and satisfies narrow tailoring. See McDonald,
At issue here is only § 922(g)(4)’s prohibition on possession by persons previously committed to a mental institution. Not all previously institutionalized persons are mentally ill at a later time, so the law is, at least somewhat, overbroad. But is it im-permissibly so? Congress, in its efforts to keep firearms away from the mentally ill, may cast a wider net than is necessary to perfectly remove the harm. A'“prophylactic approach thus obviate[s] the necessity for large numbers of individualized determinations.” Weinberger v. Salfi,
It is a difficult question but one that we need not answer in the first instance. Congress has already determined that the class of individuals previously committed to a mental institution is not so dangerous that all members must be permanently deprived of firearms. Congress created a relief-from-disabilities program in which individuals subject to a § 922 prohibition can regain their firearm rights by showing that they are unlikely to present a threat. See § 925(c). Because this program extends eligibility to all persons subject to any § 922 prohibition, it alone might be insufficient evidence of Congress’s determination that the previously institutionalized are not per se dangerous; at any rate, Congress has chosen not to fund the program since 1992.
In 2008, following a campus shooting at the Virginia Polytechnic Institute and State University that killed and wounded dozens of students and faculty members, the president signed the NICS Improvement Amendments Act. See Pub.L. No. 110-180, § 2(9) (Findings), 122 Stat. 2559, 2560. The gunman had “a proven history of mental illness” but was able “to purchase the two firearms used in the shooting,” ibid., apparently notwithstanding § 922(g)(4)’s adjudicated-as-a-mental-defective prohibition. According to Congress’s findings in the 2008 law, the tragedy “renewed the need to improve information-sharing that would enable Federal and State [authorities]” to screen “potential firearms purchasers.” Ibid. Congress found that “[ijmproved coordination between State and Federal authorities could have ensured that the shooter’s disqualifying mental health information was available to [the FBI].” Ibid.
Unable to mandate the states’ cooperation in matters of gun control,
In this case, the regulatory scheme that Congress has created has placed Tyler in a catch-22.. Tyler may not possess a firearm because he was previously committed to a mental institution. See § 922(g)(4). Tyler applied to the federal government-for relief, but this was unavailing because the federal program is unfunded. Congress’s failure to fund the federal program precludes the judicial review under § 925(c) that would otherwise be available if the government denied his application on the merits. Bean,
Under this scheme, whether Tyler may exercise his right to bear arms depends on whether his state of residence has chosen to accept the carrot of federal grant money and has implemented a relief program. His right thus would turn on whether his state has taken Congress’s inducement to cooperate with federal authorities in order to avoid losing anti-crime funding. An individual’s ability to exercise a “fundamental righ[t] necessary to our system of ordered liberty,” McDonald,
IV. Post -Heller Jurisprudential Landscape
It may be true that no other appeals court has sustained a Second Amendment challenge to a federal firearms regulation since Heller was decided. See, e.g., United States v. Mahin,
Only a few opinions have touched on § 922(g)(4) since Heller was decided, and none in any depth relevant here. For example, two courts, in unpublished opinions, summarily rejected § 922(g)(4) challenges, only one involving the mental-com
We have reviewed scores of opinions presenting post-Heller Second Amendment challenges, and we do not believe that any other court of appeals in a reasoned opinion has reviewed a firearm restriction as severe as this one—one that forever deprives a law-abiding, non-violent, non-felon of his Second Amendment rights.
A. Other § 922 “Who” Prohibitions
At any rate, a close reading of the case law indicates both that the cases are not as contrary to our position as it might initially appear and, moreover, that the cases in fact affirmatively support the result we now reach. The case law supports several principles about the many federal firearms restrictions in § 922. First, in light of Heller’s statement about “longstanding prohibitions on the possession of firearms by felons,”
1. § 922(g)(5)(A): Illegal Aliens
Several courts of appeals have upheld § 922(g)(5)(A), forbidding possession of firearms by illegal aliens. In light of Heller’s characterization of the right at issue as one of “law-abiding, responsible citizens” and case law permitting Congress to distinguish among citizens, aliens, and illegal aliens, these holdings are not difficult.
2. § 922(g)(9): Domestic-Violence Misdemeanants
Domestic-violence misdemeanants, banned from firearm possession by § 922(g)(9), present a tougher case. The four criteria offered above as potential limiting principles suggest this prohibition is permissible. Domestic-violence misde-meanants, by definition, are violent and non-law-abiding, and the prohibition targets volitional conduct. And the ban is not necessarily permanent because of the possibility of pardon or expungement.
At least six circuits have upheld § 922(g)(9) against challenges. See United States v. Booker,
The first panel to consider a § 922(g)(9) challenge concluded that the government failed to meet its burden to defend the law’s constitutionality, even when applying intermediate scrutiny’s lesser substantially-related requirement. See Skoien I,
Similarly, when the government did not meet its burden of justifying § 922(g)(9) in a Fourth Circuit case, that court, in two separate opinions, remanded to demand a greater showing. Even when remanding for essentially de novo consideration of the entire Second Amendment claim because of a complete lack of a record, the court did concede one point: the defendant “was not law-abiding, and is therefore at least one step removed from the core constitutional right.” United States v. Chester (Chester I),
Other courts, in upholding § 922(g)(9), have also emphasized the same limiting principle: that it applies only to persons who are, by definition, violent. See White,
The Ninth Circuit has focused on the lack of permanence of the ban in upholding § 922(g)(9). It identified as a “provision limiting [§ 922(g)(9)’s] applicability” the fact that it “exempts those with expunged, pardoned, or set-aside convictions, or those who have had their civil rights restored.” Chovan,
3. § 922’s Age-Based Restrictions
Section 922’s age-based restrictions, though temporary in nature, are perhaps a more challenging case because they target conduct by law-abiding individuals who are not per se violent as a class. See NRA I,
4. § 922(g)(8): Persons Subject to Domestic-Restraining Orders
The prohibition in § 922(g)(8) targets presumptively violent, albeit law-abiding, individuals. But it is temporary, only applying so long as a person is “subject to a court order.” At least three circuits have upheld the law on this basis. See United States v. Chapman,
The Eighth and Fifth Circuit cases bear out the same point: § 922(g)(8) is permissible in part because it is a temporary restriction on a constitutional right. The Eighth Circuit, emphasizing that it was considering “only a facial challenge” to § 922(g)(8), which fails if even one application of the statute is lawful, upheld the law on the ground that “[t]he prohibition ... need not apply in perpetuity, but only so long as a person is ‘subject to’ a qualifying court order.” Bena,
5. § 922(g)(3): Unlawful Drug Users and Drug Addicts
Section 922(g)(3)’s prohibition is most similar to the one at issue here. Like § 922(g)(4), it encompasses two distinct prohibitions: possession of firearms by “unlawful” users of controlled substances and by drug addicts. As with § 922(g)(4), a person subject to a § 922(g)(3) prohibition might be an entirely non-violent, law-abiding citizen. On the one hand, both § 922(g)(3) prohibitions apply to potentially non-violent persons. The first prohibition targets, by definition, only non-law-abiding individuals—“unlawful” drug
These limiting principles have led at least five circuits to uphold § 922(g)(3), one of which after initially remanding to require the government to produce more substantial evidence to justify the law. See United States v. Carter (Carter II),
The Seventh and Ninth Circuits, in affirming § 922(g)(3) convictions, heavily stressed the temporary nature of the ban. As the Seventh Circuit said: “[Ujnlike those who have been ... committed to a mental institution and so face a lifetime ban, an unlawful drug user ... [may] regain his right to possess a firearm simply by ending his drug abuse.” Yancey,
In Carter I,
B. § 922(g)(4)
Section 922(g)(4) goes further than any of the prohibitions discussed above. The statutory prohibition is permanent. It targets a class that is potentially non-violent and law-abiding. The prohibition, by definition, targets the non-volitional act of being committed.
It is certain that there is a non-zero chance that a previously institutionalized person will commit gun violence in the future, but that is true of all classes of persons. Although the government presents two examples of persons adjudicated as mentally ill who committed gun violence and cites one study in support of the claim that a prior suicide attempt is a “risk facto[r]” for suicide,
The joint federal-state regulatory scheme that Congress created to administer § 922(g)(4) goes beyond merely leaving decisions of state law to the state. Congress established criteria that state programs must meet, see Pub.L. No. 110-180, § 105, 122 Stat. 2559, 2569-60, and the government must “certify, to the satisfaction of the Attorney General,” that the state programs meet the federal criteria, § 103(c),
Y. Conclusion
It may be true that “[n]o Second Amendment challenge since Heller to any of [§ 922’s ‘who’] provisions has succeeded” in the courts of appeals. Huitron-Guizar,
The Second Amendment’s individual right to bear arms, identified in Heller, has “boundaries [that] are defined by the Constitution. They are not defined by Congress.” Chovan,
Nineteenth-century constitutional-law scholar Thomas M. Cooley—like Tyler, a Michigander—could not say “how far it may be in the power of the legislature to regulate the right [to bear arms].” Thomas M. Cooley, A Treatise on Constitutional Limitations 429 (5th ed. 1883). “Happily,” Cooley said, “there neither has been, nor, we may hope is likely to be, much occasion for an examination of that question by the courts.” Ibid. But the occasion has now arrived.
Tyler’s complaint validly states a claim for a violation of the Second Amendment. The government’s interest in keeping firearms out of the hands of the mentally ill is not sufficiently related to depriving the mentally healthy, who had a distant episode of commitment, of their constitutional rights.
Notes
. Other classes of people denied gun-possession rights are: unlawful users of controlled substances, § 922(g)(3); drug addicts, § 922(g)(3); illegal aliens, § 922(g)(5)(A); non-immigrant aliens, § 922(g)(5)(B); those dishonorably discharged from the Armed Forces, § 922(g)(6); renouncers of U.S. citizenship, § 922(g)(7); and persons subject to certain domestic-restraining orders, § 922(g)(8).
. These state relief-from-disability programs appear to differ from the federal analogue in 18 U.S.C. § 925(c) in two significant ways. First, § 925(c)’s relief program applies to all persons subjected to "disabilities imposed by Federal laws,” whereas the state programs afford potential relief only to individuals prohibited from firearm possession because of a mental defect or a prior commitment to a mental institution.
The second important difference concerns the scope of judicial review. Under the state programs, judicial review is de novo. In the federal program, section 925(c) does not specify the scope or nature of judicial review, but "in the absence of a statutorily defined standard of review for action under § 925(c), the [Administrative Procedure Act] supplies the applicable standard.” Bean,
. The exact number of states with certified programs is unclear. The government put the figure at twenty-four states at the time it filed its brief. Appellee Br. 8. The Department of Justice website, in contrast, indicates that fifteen states received grant funding in FY 2013 and seventeen states received grant funding in FY 2014, and that twenty-six states overall have received funding since 2009. Bureau of Justice Statistics, The NICS Improvement Amendments Act of 2007, http://www.bjs.gov/ index.cfm?ty=tp&tid=491#promising (last visited December 12, 2014).
. There is no indication that this individual, though sharing the plaintiffs last name, has any relation to the plaintiff.
. In Michigan, "[a] judge or jury shall not find that an individual is a person requiring treatment unless that fact has been established by clear and convincing evidence.” Mich. Comp. Laws § 330.1465.
. See, e.g., United States v. Chovan,
. The Ninth Circuit has used a different two-step approach, which asks "first, whether” the relevant conduct "amount[s] to 'keeping and bearing Arms’ within the meaning of the Second Amendment and, next, whether the challenged laws, if they indeed d[o] burden constitutionally protected conduct, ‘infring[e]’ the right.” Peruta,
. See, e.g., Heller v. District of Columbia (Heller II),
. The government argues otherwise. See Ap-pellee Br. 18. ("Historical sources further show that the colonial public did not view persons with a history of mental disturbance as being among those who could bear arms....”). For this claim, the government relies on United States v. Emerson,
The portion of Cooley’s 1903 treatise cited by Dowlut does not address firearms at all but refers only to "[c]ertain classes [that] have been almost universally excluded” from "the elective franchise." Ibid, (emphasis added). Other courts, like the government, have mistakenly relied on the Dowlut article for the proposition that eighteenth-century America excluded "lunatics” from possessing firearms. See, e.g., State v. Jorgenson,
. Mental institutions did not even exist in colonial America until the late eighteenth century. According to one source, ”[T]he first asylum for the exclusive reception of the insane was opened [in 1772,] two decades later” than when "the first general hospital [was] established.” Albert Deutsch, The Mentally Ill in America: A History of their Care and Treatment from Colonial Times 40 (2d ed.1940).
Thus, asking whether firearm possession by persons previously committed to a mental institution fell within the historical scope of the Second Amendment may simply be a futile question. Mental institutions, for the most part, did not emerge in America until after the adoption of the Second Amendment.
. On this point, we agree with the district court: "The [cjourt agrees that the historical evidence cited by Heller and Defendants does not directly support the proposition that persons who were once committed due to mental illness are forever ineligible to regain their Second Amendment rights.” Tyler v. Holder, No. 1:12-CV-523,
. Other courts have recognized that Heller's “presumptively lawful’’ language is simply ambiguous. See NRA v. ATF (NRA I),
. Accord Chester II, 628 F.3d at 682 (“Our task ... is to select between strict scrutiny and intermediate scrutiny.'").
. The now prominent practice of looking to First Amendment doctrine “for guidance in evaluating Second Amendment challenges” appears to have originated in footnote 4 of the Third Circuit's recent, post-Heller decision in Marzzarella,
. The term dissental has been adopted as shorthand for "dissenting from the denial of rehearing en banc.” See Alex Kozinski & James Burnham, I Say Dissental, You Say Concurral, 121 Yale L.J. Online 601 (2012).
. Skoien II refers to the government’s position as a "concession” in the context of a choice between rational-basis review and "some form of strong showing,” like intermediate scrutiny.
. It bears noting that prior to Skoien II and Marzzarella’s planting the tiers-of-scrutiny seed, the courts of appeals had no trouble reviewing Second Amendment challenges without relying on the tiers of scrutiny. See e.g., United States v. Vongxay,
.As noted above, supra pp. 328-29, a sizable minority of jurists disagree.
. But see Playboy Entm't,
. But see Williams,
. United States v. Rehlander,
. This case involved rational-basis review of a Social Security regulation that denied bene
. See Printz v. United States,
. As indicated above, supra note 3, the exact number of states that the government has certified that meet the criteria for funding is unclear.
. We accept the facts as alleged in the complaint as true.
. In a recent decision, the Eastern District of Pennsylvania permitted to proceed an as-ap
Applying Barton, the district court "placed the burden on ... the party challenging the constitutionality of § 922(g)(1) ... to present facts demonstrating the unconstitutionality of § 922(g)(1) as applied to him.” Binderup,
. Courts have also addressed other § 922 prohibitions, but these provisions have received the most extensive treatment.
. We review the case law addressing other § 922 prohibitions strictly for illustrative purposes. We make no determination as to any provision other than § 922(g)(4). Nothing here should be construed otherwise.
. On the second appeal, the Chester panel determined that Staten was controlling precedent. See Chester III,
. Also relevant in Chovan was that the government affirmatively provided "evidence that
. Interestingly, Judge Bea also noted that "[t]he frequency of such expungements ... seem[s] to have risen in many states since the enactment of § 922(g)(9).” Chovan,
. Indeed, the burden was so temporaiy that the claims of two of the challengers became moot before oral argument because they had turned twenty-one. NRA I,
. The court also highlighted that the laws at issue did not present a "total prohibition” on firearm possession and use by 18-to-20-year-olds, as the laws allowed such individuals to “possess and use handguns for self-defense, hunting, or any other lawful purpose; ... acquire handguns from responsible parents or guardians; and ... possess, use, and purchase long-guns.” NRA I,
. The Fifth Circuit’s per curiam order denying the petition for rehearing indicates the vote of each judge of the en banc court. See NRA II,
. Being a drug addict is not a crime. Robinson v. California,
. "[N]arcotic addiction is an illness ... which may be contracted innocently or involuntarily.'' Robinson,
. The prohibition excludes persons voluntarily committed. See 27 C.F.R. § 478.11 (ATF Regulations) (The term "Committed to a mental institution ... does not include a voluntary admission to a mental institution.”); cf. McIlwain,
. See Robinson,
. As noted above, see supra note 26, the Eastern District of Pennsylvania recently permitted to proceed an as-applied challenge to § 922(g)(l)’s felon-in-possession ban because the ban unconstitutionally prevented an individual with no violent history or tendencies, only a sixteen-year-old conviction for a nonviolent. crime, from purchasing a firearm. Binderup,
. There is also no evidence in the record that Tyler attempted suicide.
. Compare Skoien II,
. This process is subject to state law and due-process principles. § 105,
. Cf. Binderup,
. See Moore,
Concurrence Opinion
concurring.
I concur in the result in this case and agree with much of the majority opinion’s analysis. I write separately to express my view that we should avoid extensive discussion of the degree of scrutiny to be applied and the ultimate application of strict scrutiny. While I have substantial doubts as to whether strict scrutiny applies in this particular context—especially considering the general trend of our sister circuits
There is no indication in this record of the continued risk presented by people who were involuntarily committed twenty-eight years ago and who have no history of mental illness, criminal activity, or substance abuse. Indeed, Congress seems to have focused on the risk presented by those who are mentally ill, rather than the continued risk of those who were long ago found to be mentally ill. Moreover, as the majority opinion notes, Congress explicitly recognized that there were instances in which the ban of § 922(g) should not continue to apply through creation of the now unfunded relief-from-disabilities mechanism.
The record is therefore inadequate for this court to confidently hold that § 922(g)(4) mental-commitment prohibition’s application is narrowly tailored to the government’s interests in public safety and suicide prevention. Accordingly, the majority opinion’s ultimate conclusion—to reverse and remand to the district court— is correct.
. The majority concedes that most of the other circuits have applied intermediate scrutiny in Second Amendment challenges. (Op. 23, 26.)
