Lead Opinion
Opinion by Judge MCKEOWN; Dissent by Judge PAEZ.
This case of first impression in the Ninth Circuit requires us to consider whether Congress has the authority under the Commerce Clause of the United States Constitution, art. I, § 8, cl. 3, to criminal
In recent years, the Supreme Court has significantly altered the landscape of congressional power under the Commerce Clause. See, e.g., United States v. Morrison,
Background
Cedrick Alderman was arrested in 2005 during a sting operation involving an attempted controlled purchase of cocaine. Officers were aware that Alderman had been previously convicted of felony robbery.
Because Washington state law does not criminalize felon possession of body armor, the matter was referred to the federal authorities. Alderman was indicted under 18 U.S.C. § 931(a), which makes it unlawful for a person convicted of a felony involving a “crime of violence” to possess body armor. See James Guelff and Chris McCurley Body Armor Act of 2002, § 11009(e)(2)(A), 18 U.S.C. § 931 (criminalizing the possession of body armor by felons as of Nov. 2, 2002).
Alderman filed a motion to suppress certain evidence.
Analysis
I. The Statute
“We review a district court’s denial of a motion to dismiss an indictment on constitutional grounds de novo.” United States v. Latu,
Congress enacted § 931 in response to a spate of violent clashes involving heavily armored assailants and comparatively unprotected police officers. The Congressional findings cite as examples:
the murder of San Francisco Police Officer James Guelff by an assailant wearing 2 layers of body armor, a 1997 bank shoot out in north Hollywood, California, between police and 2 heavily armed suspects outfitted in body armor, and the 1997 murder of Captain Chris McCurley of the Etowah County, Alabama Drug Task Force by a drug dealer shielded by protective body armor.
H.R. Rep. 107-193, pt. 1, at 2.
Confronted with the reality that “nationally, police officers and ordinary citizens are facing increased danger as criminals use more deadly weaponry, body armor, and other sophisticated assault gear,” Congress concluded that a “serious threat to community safety [is] posed by criminals who wear body armor during the commission of a violent crime.” Id. Congress further found that “crime at the local level is exacerbated by the interstate movement of body armor and other assault gear” and “existing Federal controls over [interstate] traffic [in body armor] do not adequately enable the States to control this traffic within their own borders.” Id. In other words, as with guns and domestic strife, Congress determined that felons and body armor “are a potentially deadly combination nationwide.” U.S. v. Hayes, — U.S. -,
Alderman argues that Congress exceeded its authority under the Commerce Clause when it enacted this legislation. We disagree. The Supreme Court has cautioned us that “[d]ue respect for the decisions of a coordinate branch of Government demands that we invalidate a congressional enactment only upon a plain showing that Congress has exceeded its constitutional bounds.” Morrison,
II. United States v. Scarborough and Related Circuit Cases
We are guided in our analysis first and foremost by the Supreme Court’s decision in Scarborough. In Scarborough, the Court addressed a jurisdictional element that is nearly identical to the one that limits § 931. Scarborough,
In considering the continuing vitality of Scarborough, we have consistently upheld similar felon-in-possession statutes. See, e.g., United States v. Jones,
We are not alone in adhering to Scarborough. In United States v. Patton, the Tenth Circuit recently considered § 931 in light of Scarborough and the Supreme Court’s post-Lopez Commerce Clause jurisprudence.
Other circuits have similarly endorsed the continuing vitality of Scarborough, albeit sometimes with skepticism, in decisions dealing with a variety of felon firearm statutes. See, e.g., United States v. Lemons,
We decline to create a circuit split on this issue or to deviate from binding precedent. The- congressional findings, the nature of the body armor statute, and the express requirement of a sale in interstate commerce, considered in combination, provide a sufficient nexus to and effect on interstate commerce to uphold § 931.
III. Recent Commerce Clause Jurisprudence
Although we consider Scarborough as the defining case, we cannot ignore the Supreme Court’s shifting emphasis in its Commerce Clause jurisprudence over the past decade. Alderman posits that Scarborough has been overruled by the Court’s recent Commerce Clause cases. Our review of those authorities does not support this view — Scarborough has not been discarded. See Hanna,
In Lopez and its progeny, the Supreme Court delineated “three general categories of regulation in which Congress is. authorized to engage under its commerce power,” Gonzales v. Raich,
The “categories. have never been deemed exclusive or mandatory.” United States v. Clark,
To be sure, the first two categories are not particularly applicable here.
Unlike the statutes at issue in Lopez and Morrison, § 931 is limited by an express jurisdictional provision. Specifically, the statute regulates body armor “sold or offered for sale, in interstate or foreign commerce.” Cf. Cortes,
Significantly, the “jurisdictional hook” in this statute is substantially different from the provision we rejected as essentially meaningless in McCoy,
By contrast, § 931 only affects body armor that is itself “sold or offered for sale” in interstate commerce. 18 U.S.C. § 921(a)(35). Thus, for example, homemade body armor or body armor produced intra-state would not be caught within the sweep of the statute. Cf. Polanco,
We recognize that a jurisdictional hook is not always “a talisman that wards off constitutional challenges.” Patton,
[t]he Supreme Court’s decisions in Lopez and Morrison [], reject the view that a jurisdictional element, standing alone, serves to shield a statute from constitutional infirmities under the Commerce Clause. At most, the Court has noted that such an element “may establish that the enactment is in pursuance of Congress’ regulation of interstate commerce,” or that it may “lend support” to this conclusion.
McCoy,
Conclusion
“Any doctrinal inconsistency between Scarborough and the Supreme Court’s more recent decisions is not for this Court to remedy.” Patton,
AFFIRMED.
Notes
. Alderman had been convicted in Washington state court of robbery in the second degree and sentenced to fourteen months in prison. In addition to that charge, Alderman had been convicted of several drug charges, including possession with intent to deliver cocaine and possession of cocaine.
. Although Alderman’s Notice of Appeal includes the district court’s denial of his motion to suppress [see ER 15], Alderman did not raise the issue in his briefs. We agree with the Government that Alderman waived his appeal of the motion to suppress. See Smith v. Marsh,
. Alderman’s Notice of Appeal states that he appeals "from the denial of [the] Motion to Suppress Evidence on June 14, 2006, and from the judgment and sentence entered on May 18, 2007.” [ER 15]. The Notice of Appeal does not specifically mention Alderman’s motion to dismiss. Neither party referenced this oversight; because Alderman’s plea agreement specifically reserves his appeal right, we construe Alderman’s Notice of Appeal as encompassing the denial of the motion to dismiss.
. Neither party seriously contends that § 931 can be justified under either of the first two categories. As the Tenth Circuit explained in Patton, because § 931 "prohibits the stationary and entirely intrastate act of possession” and "is not directed at the movement of body armor through the channels of interstate commerce ... [§ 931] cannot be upheld under Congress’s power to regulate the channels of interstate commerce.” United States v. Patton,
Dissenting Opinion
dissenting:
I respectfully dissent.
In my view, felon-possession of body armor does not have a substantial effect on interstate commerce; its prohibition under 18 U.S.C. § 931 neither regulates commerce or any sort of economic enterprise nor regulates intrastate, non-economic activity that is essential to a comprehensive federal regulatory scheme. We should not overlook these substantial failings and nevertheless affirm Alderman’s conviction under § 931 by enlarging the pre-United States v. Lopez
Because my decision to part company with the majority is .guided by the court’s
* * *
In Lopez, the Court set forth the now-familiar three “broad categories” of activity that Congress may constitutionally regulate:
First, Congress may regulate the use of the channels of interstate commerce. 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. Finally, Congress’ commerce authority includes the power to regulate those activities having a substantial relation to interstate commerce, ie., those activities that substantially affect interstate commerce.
Id. at 558-59,
The Supreme Court developed the third category of authority “to define the extent of Congress’s power over purely mirastate commercial activities that nonetheless have substantial interstate effects.” United States v. Robertson,
1. The possession prong of § 931 does not regulate commerce or economic activity, and any link between possession and commerce is highly attenuated.
Although these factors are considered together, I first consider whether the statute regulates commerce or any sort of economic enterprise. In my view, it does not. Like the statute struck down in Lopez, § 931 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.” Lopez,
Even where the regulated activity is not commercial, however, the regulation can still be justified as having a substantial and non-attenuated effect on commerce in two ways — either as a means of regulating the interstate market for body armor, as in § 931, see Raich, 545 U.S. at 18,
The Supreme Court’s recent decision in Raich established that “Congress can regulate purely intrastate activity that is not itself ‘commercial,’ in that it is not produced for sale, if it concludes that failure
Accordingly, when a federal statute criminalizes mere intrastate possession, we have considered whether that statute is part of a broader regulatory scheme. Indeed, we have held that Congress could criminalize possession of machine guns where those guns “are regulated by a detailed and comprehensive statutory regime.” Stewart II,
Here, however, there is no evidence that § 931’s prohibition of felon possession of body armor was either itself “a general regulatory statute [that] bears a substantial relation to commerce,” or an “essential part” of some other regulatory scheme. Lopez,
Whereas the statute in Wickard was enacted primarily to control the market price of wheat,
Whether Congress may have been regulating felon possession as a means of controlling uses of body armor that might affect interstate commerce in a way that is “significant,” and not “attenuated,” must also be considered. See Morrison,
Here, even when Lopez’s and Morrison’s instructions are read in the light most favorable to exercise of congressional power, any potential effect on commerce of Alderman’s possession of body armor is both spare and particularly attenuated. The possession subject to regulation under § 931 need not be coupled with possession of a weapon or connected with the commission of a federal crime, circumstances which might fairly be said to substantially affect the national economy. In this case, Alderman’s possession of body armor posed no danger; he was walking down a street, unarmed, his vest invisible beneath his shirt. His conduct had no adverse economic or commercial impact whatsoever and, in the absence of any further, affirmative criminal or other activity, it had no potential for such an impact. Even conceding that Alderman’s possession of body armor might facilitate, criminal conduct nonetheless, Lopez and Morrison patently reject the argument that because an object facilitates crime, possession of that object can be regulated under Congress’s commerce power.
I would conclude, therefore, that felon possession of body armor is not part of a
2. The congressional findings accompanying § 931 do not demonstrate that possession substantially affects interstate commerce.
Congressional findings that address the national impact of the regulated activity in question can assist in determining whether that activity substantially affects interstate commerce. Lopez,
The relevant congressional findings here are limited. There are no preambulatory findings enacted as part of the statute, however the House Report contains findings as follows:
(1) nationally, police officers and ordinary citizens are facing increased danger as criminals use more deadly weaponry, body armor, and other sophisticated assault gear;
(2) crime at the local level is exacerbated by the interstate movement of body armor and other assault gear;
(3) there is a traffic in body armor moving in or otherwise affecting interstate commerce, and existing Federal controls over such traffic do not adequately enable the States to control this traffic within their own borders through the exercise of their police power;
(4) recent incidents, such as the murder of San Francisco Police Officer James Guelff by an assailant wearing 2 layers of body armor, a 1997 bank shoot out in north Hollywood, California, between police and 2 heavily armed suspects outfitted in body armor, and the 1997 murder of Captain Chris McCurley of the Etowah County, Alabama Drug Task Force by a drug dealer shielded by protective body armor, demonstrate the serious threat to community safety posed by criminals who wear body armor during the commission of a violent crime....
H.R. Rep. 107-193, pt. 1, at 2. Whether these findings support a rational basis for the position that possession of body armor substantially affects interstate commerce is not so clear. See Raich,
First, the conclusion that “there is a traffic in body armor moving in or otherwise affecting interstate commerce” is an eminently reasonable one. H.R. Rep. 107-193, pt. 1, at 2. Like the court in Patton, I recognize that Congress found that “existing Federal controls over ... traffic [in body armor] do not adequately enable the States to control this traffic,”
Congress’s conclusion that “crime at the local level is exacerbated by the interstate movement of body armor,” H.R. Rep. 107-193, pt. 1, at 2, is likewise well-taken;
I therefore turn to the remaining Morrison factor: whether there is a jurisdictional element that limits the reach of the possession prong of § 931 to a discrete set of cases that substantially affect interstate commerce. Morrison,
3. Section 931’s jurisdictional element does not serve to render the possession prong of the statute a valid exercise of Congress’s Commerce Clause authority.
A jurisdictional element, as the term has been used in and after Lopez, refers to a provision in a federal statute that requires the government to establish specific facts justifying the exercise of federal jurisdiction in connection with an individual application of the statute. Lopez,
Here, the majority and the government point to § 931’s jurisdictional element and conclude that because the government must show that the body armor at issue in a particular case was sold or offered for sale in interstate commerce alone is sufficient to bring the regulated possession within the scope of Congress’s authority. In particular, the majority holds that Scarborough — which preceded Lopez by two decades — controls the result in this case. As the majority explains, in Scarborough, the Court interpreted the predecessor statute to § 922(g) to require only that a firearm had previously traveled in interstate commerce in order to satisfy the nexus between possession and commerce. I do not believe that Scarborough controls the result here, and such a conclusion, in my view, is contrary to our precedent.
As we have explained,
The Supreme Court’s decisions in Lopez and Morrison ..., reject the view that a jurisdictional element, standing alone, serves to shield a statute from constitutional infirmities under the Commerce Clause. At most, the Court has noted that such an element “may establish that the enactment is in pursuance of Congress’ regulation of interstate commerce,” or that it may “lend support” to this conclusion. Morrison,529 U.S. at 612, 613 ,120 S.Ct. 1740 ,146 L.Ed.2d 658 (emphasis added). Thus, the “jurisdictional element” must be considered along with the other factors listed in Morrison.
McCoy,
In light of this precedent, I agree with the Tenth Circuit’s observation in Patton that § 931’s jurisdictional element, which “limits the definition of ‘body armor’ to any product sold or offered for sale, in interstate or foreign commerce, as personal protective body covering” “does not seriously limit the reach of the statute.”
Nearly all body armor will meet that test. More important, there is no reason to think that possession of body armor that satisfies the jurisdictional hook has any greater effect on interstate commerce than possession of any other body armor....
Where Congress has chosen to allow production, distribution, and sale of body armor in interstate commerce ... it is hard to understand why possession of armor that meets that description is more objectionable than any other.
Id. Or, put slightly differently, as in McCoy, the connection between the activity regulated and the jurisdictional element is attenuated — the jurisdictional element does not provide adequate support for the government’s assertion of federal jurisdiction. This is the case here even though “the ‘jurisdictional hook’ in the statute and the item which affects interstate commerce are one and the same,” McCoy,
To the contrary, virtually every possession will fall within the sweep of the statute. The Supreme Court avoided precisely this result in Jones,
Here, it is impossible to narrowly interpret § 931’s jurisdictional element, as the Court did in Jones, so that only possessions substantially affecting interstate commerce may be prosecuted. Congress specified that it intended to regulate the possession of “any product sold or offered for sale, in interstate or foreign commerce, as personal protective body covering.” 18 U.S.C. § 921(a)(35). No plausible interpretation of § 931 cabins the statute’s reach to a discrete set of cases. This is problematic, however, because as we have noted, “virtually all criminal [conduct] involved the use of some object that has passed through interstate commerce.” McCoy
In particular, § 931’s jurisdictional element does nothing to prevent Congress from claiming the general police power that the Constitution “denied the National Government and reposed in the States.” Morrison,
Our decision in Cories amply demonstrates this point. There, we conducted a substantial effects test under Morrison and found that “the carjacking statute was enacted as ‘an essential part of a larger regulation of economic activity,’ ” id. at 1035 (quoting Lopez), and that because “carjacking does substantially affect interstate commerce,” the fact that “a particular instance of carjacking may have a de minimis effect on interstate commerce is of no consequence.” Id. at 1036. Turning only then to the jurisdictional element, we rejected Cortes’s argument that the element was so broad as to invalidate the statute, reasoning that where “carjackings targeted by 18 U.S.C. § 2119 substantially affect interstate commerce” a minimal nexus “provides the necessary connection between each instance of carjacking covered by the statute and interstate commerce.” Id. at 1037. In other words, the presence of the jurisdictional element was a factor in the analysis that followed a substantially affects determination — it was not the sole reason for that determination.
Contrary to the majority’s view, neither the Supreme Court’s decision in Scarborough nor our court’s treatment of Scarborough alters this analysis. Scarborough decided only a question of statutory interpretation about the predecessor statute to § 922(g). Scarborough held that — on a fair reading of that statute — only a minimal nexus with commerce was required to demonstrate that felon-possession of a firearm substantially affected commerce.
After Lopez, we noted that Scarborough had not been overturned and rejected challenges to the constitutionality of § 922, holding that Lopez did not “alter [the] analysis,” under Scarborough, and that “[s]ection 922(g)’s requirement that the firearm have been, at some time, in interstate commerce [remains] sufficient to establish its constitutionality.” United States v. Hanna,
Further, I acknowledge that absent en banc or Supreme Court review, we must view § 922(g) as having a sufficient nexus to interstate commerce. See United States v. Latu,
Such a regulatory scheme is not, however, what is at issue here. The plain differences in these various statutes confirm that the constitutionality of the prohibition on felon possession of firearms, as evidenced by Scarborough, is context-specific. That a minimal nexus was sufficient in one context does not make it sufficient in every other context. Were it otherwise, Morrison’s framework, Jones, and our non § 922(g) precedent would be either superfluous or incoherent. Scarborough may have the appearance of a trump, as the majority essentially holds, but a careful reading of post-Scarborough precedent and the Supreme Court’s instructions in Lopez and its progeny clearly foreclose the notion that a statute is constitutional merely because a jurisdictional element or “hook” is present. Indeed, as Lopez makes plain, a jurisdictional element is a subsidiary element of the substantial effects analysis — it ensures that the government establishes specific facts justifying the exercise of federal jurisdiction in connection with any particular application of a statute like § 931. Lopez,
Although the majority here, like the Tenth Circuit in Patton, declares itself bound by Scarborough, this result is not compelled. Only where Supreme Court precedent has “direct application” in a case or “directly controls” should we “follow the case [and leave] to the Court the prerogative of overruling its own decisions.” United States v. Grisel,
Notably, every court that has considered the constitutionality of § 931 has simply declared that body armor is “analogous” to, United States v. Harkness,
In sum, where felon possession of body armor is intrastate, not an essential part of a comprehensive regulatory scheme, and not connected to criminal activity that might affect interstate commerce, there is “no rational basis for concluding that the possession of body armor prohibited by section 931 substantially affects interstate commerce.” Id. at 634.
Section 931 did not require the government to show that Alderman’s possession of body armor involved a commercial transaction, interstate travel, the commission of a crime, the possession of a firearm, or any other factor which would demonstrate that his possession substantially affected interstate commerce. Scarborough neither controls nor cures this deficiency. Congress’s Commerce Clause powers are broad, but as the Supreme Court has specifically instructed us, they do have limits. In my view, the possession prong of § 931 exceeds those limits. Accordingly, I would reverse Alderman’s conviction.
.
. In United States v. Patton,
. McCoy, may be in tension with Raich, but because I cite McCoy for its application of Morrison, and not its holding, there is no need to address this tension here.
. See also Andrew St. Laurent, Reconstituting United States v. Lopez: Another Look at Federal Criminal Law, 31 Colum. J.L. & Soc. Probs. 61, 113 (1998) ("A purely nominal jurisdictional requirement, that some entity or object involved in the crime be drawn from interstate commerce, does nothing to prevent the shifting of [the federal/state] balance in favor of the federal government. As has been amply demonstrated, virtually all criminal actions in the United States involve the use of some object that has passed through interstate commerce.”).
. Indeed, in Cortes, reference to Scarborough served only to "reinforce[ ] [the court’s] conviction” that the sheer breadth of the jurisdictional element did not undermine its conelusion, on the basis of the other Morrison factors, that carjacking substantially affected interstate commerce.
