In the en banc poll, seven judges voted in favor of rehearing (Judges Jones, Smith, Elrod, Willett, Ho, Duncan, and Engelhardt) and eight judges voted against rehearing (Chief Judge Stewart and Judges Dennis, Owen, Southwick, Haynes, Graves, Higginson, and Costa).
STEPHEN A. HIGGINSON, Circuit Judge, concurring in denial of rehearing en banc:
With respect for colleagues who have been thoughtful sharing reasons why they perceive the panel decision warrants full court review, I offer several reasons why I do not.
Unlike the dissentals, I do not read the panel opinion as demoting the Second Amendment to second-class status or "subject[ing it] to an entirely different body of rules than other Bill of Rights guarantees." McDonald v. City of Chicago ,
Neither the rehearing petition nor the lengthiest dissental takes umbrage with this two-step framework; neither one disputes Congress's compelling interest in
That issue does not warrant en banc review. This is especially so because, rather than neglect Second Amendment rights, the panel opinion gave petitioners the benefit of the doubt at every step of this analysis. At step one, the panel assumed out of an abundance of caution that federal laws governing the time, place, and manner of interstate gun sales are not among the longstanding "conditions and qualifications on the commercial sale of arms" that the Supreme Court has deemed "presumptively lawful." Heller ,
But even were we required to apply strict scrutiny to this interstate commercial obligation-a far cry from the complete handgun ban at issue in Heller -the panel opinion did so carefully and correctly.
The laws at issue are not an overbroad prophylactic ban. To be clear: § 922(a) is not a ban on interstate gun transfers. It does not prоhibit law-abiding individuals in one state from purchasing a gun from another. It simply conditions that the purchase be made through an in-state, federally licensed dealer. The only prohibitions on gun sales are those imposed by state law. Given the diversity and complexity of those laws, Congress reasonably concluded that relying on dealers in one state to ensure compliance with the laws of all 49 other states, the District of Columbia, and the U.S. territories would perpetuate the same under-enforcement and circumvention of state law that § 922(a) was meant to combat.
Nor is the law fatаlly underinclusive. Instead, its focus on handguns highlights how § 922(a) hews closely to its compelling purpose of reducing gun-related crime and violence by preventing circumvention of state law. Contrary to the dissental's assertion, we need not speculate why Congress
And it should not be surprising that constitutional challenges sometimes fail, even under strict scrutiny. "Like most rights, the right secured by the Second Amendment is not unlimited." Heller ,
Neither do I seе a reason for our full court to accept the remaining dissentals' invitation to jettison the uniformly accepted Second Amendment test in favor of a per se invalidity rule that no party in this case has pressed
A decade has passed since the Supreme Court first discovered in the Second Amendment an individual's right to possess a handgun "in defense of hearth and
I concur in our court's decision not to take this case en banc.
JENNIFER WALKER ELROD, Circuit Judge, joined by EDITH H. JONES, JERRY E. SMITH, DON R. WILLETT, JAMES C. HO, STUART KYLE DUNCAN, and KURT D. ENGELHARDT, Circuit Judges, dissenting from denial of rehearing en banc:
I concur in Judge Ho's excellent dissent from denial of rehearing en banc and write separately to address the proper Second Amendment test for assessing gun bans and regulations. Simply put, unless the Supreme Court instructs us otherwise, we should apply a test rooted in the Second Amendment's text and history-as required under Heller and McDonald -rather than a balancing test like strict or intermediate scrutiny.
Many of our sister circuits have recognized that Heller and McDonald require a textual and histоrical approach to the Second Amendment's scope. Most circuits-including our own
Disagreement abounds, however, on a crucial inquiry: What doctrinal test applies to laws burdening the Second Amendment-strict
The panel opinion here assumes without deciding that strict scrutiny applies.
" Heller and McDonald make clear that courts may consider only the text and historical understanding of the Second Amendment when delimiting the Amendment's scope." City of New Orleans ,
Gun bans and gun regulations that are longstanding-or, put another way, sufficiently rooted in text, history, and tradition-are consistent with the Second Amendment individual right. Gun bans and gun regulations that are not longstanding or sufficiently rooted in text, history, and tradition are not consistent with the Second Amendment individual right.
City of New Orleans ,
I respectfully dissent.
DON R. WILLETT, Circuit Judge, joined by EDITH H. JONES, JERRY E. SMITH, JENNIFER WALKER ELROD, JAMES C. HO, STUART KYLE DUNCAN, and KURT D. ENGELHARDT, Circuit Judges, dissenting from denial of rehearing en banc:
The Second Amendment is neither second class, nor second rate, nor second tier. The "right of the people to keep and bear Arms"
The core issue in this case is undeniably weighty: Does the federal criminalization of interstate handgun sales offend We the People's "inherent right of self-defense?"
My colleagues' dissents today are well written and well taken. And they themselves underscore the need for en banc resolution, not just of the ultimate "who wins?" question but of the prefatory "which test?" question.
• The panel assumed, "without deciding, that the strict, rather than intermediate, standard of scrutiny"4 applies and concluded the ban survives.
• Several colleagues respectfully disagree and believe that, under strict scrutiny, the ban is unconstitutional.
• More fundamentally, though, these colleagues reject the application of strict scrutiny altogether and suggest that, rather than tiers of scrutiny, our constitutional inquiry should assesswhether a regulation squares with "text, history, and tradition."
As Judge Jones explained five years ago, "there is currently a debate about how to assess the level of scrutiny courts apply to regulations that infringe on gun ownership."
In sum, this case hits the en banc bull's-eye, posing "question[s] of exceptional importance."
Such questions en tête deserve answers en banc.
JAMES C. HO, Circuit Judge, joined by EDITH H. JONES, JERRY E. SMITH, JENNIFER WALKER ELROD, DON R. WILLETT, STUART KYLE DUNCAN, and KURT D. ENGELHARDT, Circuit Judges, dissenting from denial of rehearing en banc:
The Second Amendment guarantees the right of the people to keep and bear arms. For decades, the Supreme Court has referred to the Second Amendment as a fundamental civil right, comparable to other provisions of the Bill of Rights. See , e.g. , Johnson v. Eisentrager ,
Yet the Second Amendment continues to be treated as a "second-class" right-as at least three Justices have noted in recent years.
This case warrants en banc reviеw. It involves a question of exceptional importance-the proper scope of the Second Amendment. In fact, this is the second time in recent memory where a single vote prevented this Court from rehearing a Second Amendment case en banc. See NRA v. ATF ,
I.
Federal law criminalizes all interstate handgun sales, and requires anyone who wants a handgun to obtain it from an in-state dealer.
The ban on interstate handgun sales demonstrably burdens the ability of countless law-abiding citizens like the Hansons to obtain a handgun.
To begin with, the ban imposes a de facto waiting period on interstate handgun sales. Courts have recognized that waiting periods pose a burden on constitutional rights that must be justified by a sufficient government interest. See, e.g. , Silvester ,
The ban also imposes a de facto tax on interstate handgun sales, in the form of shipping costs and transfer fees. For example, in this case, the record establishes that the only dealer with a federal firearms license (FFL) in the District of Columbia imposes a $125 transfer fee. See , e.g. , Minneapolis Star & Tribune Co. v. Minn. Comm'r of Revenue ,
The Second Circuit discounted these burdens and concluded that the ban on interstate handgun sales "does not substantially burden [the] right to keep and bear arms." United States v. Decastro ,
On appeal, a panel of this Court reversed. Notably, the panel did not dispute that the ban demonstrably burdens Second Amendment rights. Instead, the panel assumed that, under Fifth Circuit precedent, the ban on interstate handgun sales is subject to strict scrutiny. See NRA v. ATF ,
II.
Under strict scrutiny, the Government must establish that the challenged law is narrowly tailored to serve a compelling government interest. See, e.g., Ashcroft v. ACLU ,
A.
To start off with, the Government does not purport to have an interest in banning all interstate handgun sales. Rather, it asserts a more limited interest-preventing only the fraction of interstate handgun sales that would violate a legitimate state handgun law.
In other words, the federal interstate handgun ban is a prophylactic rule: To prevent interstate sales that would violate state law, Congress has simply prohibited interstate sales altogether.
But prophylactic laws are inherently suspect under strict scrutiny. See, e.g. , FEC v. Wisc. Right to Life, Inc. ,
To take a simple example: Imagine that, to help states enforce their anti-obscenity laws, Congress outlawed the interstate sale of books. No court would uphold such a law. After all, laws that impose broad, categorical bans-rather than narrow, precise restrictions-are by definition not narrowly tailored. And that is so whether the Government bans books or handguns. See, e.g. , Sable Commc's of Cal., Inc. v. FCC ,
So the Government has an uphill battle to defend the prophylactic ban on interstate handgun sales.
B.
To overcome this burden, the Government presents one core argument: A prophylactic ban is necessary, it says, because handgun laws are complex. Under its view, the Government can reasonably expect dealers to learn the laws of their own state-but not the laws of other states. The only way to ensure compliance with all state handgun laws, then, is to forbid all interstate handgun sales, and allow only in-state handgun salеs.
Tellingly, however, the Government does not cite a single case in which regulatory complexity justifies a prophylactic rule under strict scrutiny. To the contrary, courts have generally rejected the notion that citizens are incapable of learning the laws of other states-or that such inability would justify otherwise unconstitutional laws. See, e.g. , Supreme Court v. Piper ,
The ban nevertheless forbids Texas dealers from serving Oklahomans. And for what reason? The Government does not contend (nor could it) that a dealer is fully capable of complying with the laws of one state, but incapable of complying with the laws of two. This alone demonstrates that a categorical ban on all interstate handgun sales is over-inclusive-it prohibits a significant number of transactions that fully comply with state law.
Moreover, this is not the only flaw in the Government's regulatory complexity theory. The Government presents no evidence that gun dealers cannot comply with the laws of multiple states. For example, the panel points to the fact that minimum age requirements vary by state. But that does not justify a categorical ban-the Government could easily provide, and dealers could easily follow, a one-page index of each state's minimum age requirement.
To be sure, there are more complex state laws than minimum age requirements-such as state laws defining prohibited purchasers in terms of mental illness or criminal history. But if in-state dealers are capable of complying with their own state's handgun laws, the Government has not explained why out-of-state dealers are incapable of doing so-for еxample, why Texans are uniquely capable of complying with Texas law, but uniquely incapable of complying with Oklahoma law.
To borrow from Judge Owen's concurrence: "The Government has not explained how or why a state would be able to provide information such as mental health information for purposes of a transfer of a handgun by an in-state FFL but could not provide that information to an out-of-state FFL."
So there are plenty of less restrictive alternatives that further the Government's interest in ensuring compliance with state handgun laws, short of a categorical ban. For example, nothing prevents a state from imposing the same licensing or other requirements on out-of-state dealers that it already imposes on in-state dealers.
In addition, some states require their residents to obtain a police pre-approval certification before buying a handgun. See, e.g. ,
Similarly, Congress has established the National Instant Criminal Background Check System ("NICS") to ensure that prospective gun buyers are legally eligible. The district court found that NICS is sufficient to ensure compliance with state and federal law, rendering an interstate handgun sales ban unnecessary.
The panel disagreed, noting that "current federal laws ... do not require all information regarding compliance with the various state and local gun control laws to be included in databases accessible by FFLs nationwide."
But 36 states think that relying on NICS adequately vindicates their interests. According to an FBI report cited by the Govеrnment, 36 states-including every state in this circuit, as well as the District of Columbia-rely solely on NICS to run background checks. See FBI Criminal Justice Information Services, National Instant Criminal Background Check System (NICS) Operations 3 (2014), available at https://www.fbi.gov/about-us/cjis/nics/reports/2014-operations-report.
What's more, the fact that nearly three-quarters of states rely entirely on NICS, and not on their own databases, further demonstrates why the interstate sales ban serves little purpose: If a D.C. resident wishes to buy a handgun, the dealer will run the same NICS background check, regardless of whether the dealer is based in D.C., Texas, or most other states.
And in any event, even assuming the panel is correct that better information sharing would make the system more effective, that only furthers the point here: There are less restrictive alternatives to ensure compliance with state handgun laws.
Indeed, a majority of the Senate has voted to repeal the federal ban on interstate handgun sales, in favor of other regulations believed to be more effective at ensuring compliance with state handgun laws, including better information sharing-reflecting their view that the ban is not necessary to enforce those laws. See Public Safety and Second Amendment Rights Protection Act of 2013 § 124, S. Amend. 715 to Safe Communities, Safe Schools Act of 2013, S. 649, 113th Cong., 1st Sess. (2013), 159 Cong. Rec. S2598, S2616 (daily ed. Apr. 11, 2013) (text of bill); see also 159 Cong. Rec. S2729, S2740 (daily ed. Apr. 17, 2013) (S. Amend. 715 roll call vote).
Finally, the ban on interstate handgun sales is not only over-inclusive-it is under-inclusive as well: the ban does not apply to either rifles or shotguns. See
The Government contends that there is nothing wrong with underinclusiveness, citing Williams-Yulee v. Florida Bar, --- U.S. ----,
Moreover, Williams-Yulee has been criticized for departing from established precedent, and instead applying a weakened version of narrow tailoring. See , e.g. , The Florida Star v. B.J.F. ,
For example, four Justices dissented in Williams-Yulee for this reason. See
The Government's heavy reliance on Williams-Yulee thus reinforсes the concern that it is treating the Second Amendment as a second-class right. See, e.g. ,
* * *
No one disputes that the Government has a compelling interest in preventing dangerous individuals from purchasing handguns. But as the district court held, and the panel properly assumed, handgun restrictions must be narrowly tailored to serve that interest. Law-abiding Americans should not be conflated with dangerous criminals. Constitutional rights must not give way to hoplophobia.
The ban on interstate handgun sales fails strict scrutiny. After all, a categorical ban is precisely the opposite of a narrowly tailored regulation. It applies to all citizens, not just dangerous persons. Instead of requiring citizens to comply with state law, it forbids them from even trying. Nor has the Government demonstrated why it needs a categorical ban to ensure compliance with state handgun laws. Put simply, the way to require compliance with state handgun laws is to require compliance with state handgun laws.
The Government's defense of the federal ban-that state handgun laws are too complex to obey-is not just wrong under established precedent, it is troubling for a more fundamental reason. If handgun laws are too complex for law-abiding citizens to follow, the answer is not to impose even more restrictive rules on the American people. The answer is to make the laws easier for all to understand and follow. The Government's proposed prophylaxis-to protеct against the violations of the few, we must burden the constitutional rights of the many-turns the Second Amendment on its head. Our Founders crafted a Constitution to promote the liberty of the individual, not the convenience of the Government.
I would affirm the district court. I respectfully dissent.
Notes
See also Kolbe v. Hogan ,
For example, while many states prohibit gun ownership based on mental-health status, "some states report that state privacy laws bar them from providing information to the [National Instant Criminal Background Check System] that would demonstrate a mental health prohibitor for one of its citizens." The Fix Gun Checks Act: Hearing before the Subcomm. On Crime & Terrorism of the S. Comm. of the Judiciary , 112th Cong. (2011) (statement of David Cuthbertson, Assistant Director, Criminal Justice Information Services Division, Fed. Bureau of Investigation).
See Omnibus Crime Control and Safe Streets Act of 1968, Pub. L. No. 90-351, § 901(a)(5),
I also disagree with the dissental's contention that "reliance on Williams-Yulee "-a First Amendment case that we have no power to change-"reinforces the concern" that the Second Amendment is second-class. Applying the same law in the same way to two rights does not subordinate one to the other, just as upholding a law under strict scrutiny does not demote the burdened right.
See Brief for Appellee at 19,
See supra note 1. Indeed, the dissentals support this argument with only other dissents.
See also Eric Ruben & Joseph Blocher, From Theory to Doctrine: An Empirical Analysis of the Right to Keep and Bear Arms After Heller,
Though not without dissent-see generally National Rifle Ass'n, Inc. v. Bureau of Alcohol, Tobacco, Firearms, & Explosives ,
Judge Ho's dissent from denial of rehearing en banc adeptly shows why the panel opinion errs even assuming, arguendo , that strict scrutiny applies.
Mance and amici , the National Rifle Association and National Shooting Sports Foundation, have argued that the regulations at issue cannot be characterized as longstanding. The panel opinion assumеs, without deciding, that the regulations at issue are "not 'longstanding regulatory measures.' " Mance v. Sessions ,
Robert J. Cottrol, Taking Second Amendment Rights Seriously , 26 Hum. Rts. 5, 5 (Fall 1999) ("[T]he Second Amendment has become the Rodney Dangerfield of the Bill of Rights...."); see Sanford Levinson, The Embarrassing Second Amendment ,
U.S. Const. amend. II.
District of Columbia v. Heller ,
Mance v. Sessions ,
Nat'l Rifle Ass'n of Am., Inc. v. Bureau of Alcohol, Tobacco, Firearms & Explosives ,
Silvester v. Becerra , --- U.S. ----,
Fed. R. App. P. 35(a)(2).
See
In May of last year, we heard en banc a case involving a grant of summary judgment on qualified immunity, in anticipation that the plaintiff might have a Fourth Amendment claim. Melton v. Phillips ,
This seems particularly true given the varying analytical approaches taken by other circuits that have examined this law. See, e.g. , Lane v. Holder ,
For an amendment that is 227 years old, contour-setting litigation over the scope of the individual right to keep and bear arms is of relatively recent vintage. Heller was decided barely ten years ago, and as the Court made clear, the right is not unlimited: "It is not a right to keep and carry any weapon whatsoever in any manner whatsoever and for whatever purpose." Heller ,
See , e.g. , Silvester v. Becerra , --- U.S. ----,
To illustrate his point, Justice Thomas cited, inter alia , a Sixth Circuit decision holding invalid "a 24-hour waiting period for abortions,"
As Judges Elrod and Willett note in their separate dissents, the Supreme Court in Heller and McDonald signaled that handgun laws must be tested against "text, history, and tradition," and "not by a balancing test such as strict or intermediate scrutiny." Heller v. District of Columbia ,
On en banc rehearing, we could have considered replacing the strict scrutiny standard that the panel assumed applied under our precedents (NRA ,
But the result here is the same either way: Judge Owen acknowledges that the ban on interstate handgun sales is not rooted in text, history, or tradition.
Similarly, a panel of the Sixth Circuit held a federal law unconstitutional under the Second Amendment due to over-inclusiveness, and the en banc court reached the same result on different grounds. See Tyler v. Hillsdale Cty. Sheriff's Dep't ,
More broadly, courts routinely reject the argument that administrative difficulties render less restrictive alternatives infeasible. See , e.g. , Gratz v. Bollinger ,
Consider, for example, what the Supreme Court has said about state alcohol regulations-namely, that states have various tools to ensure compliance with their laws by out-of-state wineries, such as licensing and other requirements. See, e.g. , Granholm v. Heald ,
Neither the panel nor the Government claims that better information sharing between the states and the federal government would conflict with Printz v. United States ,
And for good reason. To begin with, Printz involved "the forced participation of the States' executive in the actual administration of a federal program"-not the mere "provision of information to the Federal Government," and certainly not merely providing information to the federal Government to further compliance with state law, as is the case here.
Finally, there is an even more fundamental reason why there is no conflict with Printz : None of these proposed less restrictive alternatives forces a state to do anything. The point here is simply that a state could strengthen compliance with its laws by sharing more information with the federal Government. That a state might be unwilling to do so is up to that state. But a state's unwillingness to undertake a suggested less restrictive alternative is not so much a defense to strict scrutiny, as it is a violation of it.
