Lead Opinion
MOORE, J., delivered the opinion of the court, in which CONTIE, J., joined. BATCHELDER, J. (pp. 129-37), delivered a separate dissenting opinion.
This appeal presents us with another in a continuing series of challenges to Congress’s authority, after United States v. Lopez, — U.S. -,
I. BACKGROUND
Defendant Ellis McHenry was convicted after a jury trial on three counts of carjacking, three counts of using or carrying a firearm in relation to a crime of violence, 18 U.S.C. § 924(c), and one count of possession of a firearm as an illegal alien, 18 U.S.C. § 922(g)(5). The carjacking convictions are the only ones at issue here. In a prior appeal, this court rejected McHenry’s argument that punishment under both 18 U.S.C. § 2119 and § 924(c) violated double jeopardy. See United States v. McHenry, Nos. 93-3935, 93-4041,
II. DISCUSSION
We begin by noting that the carjacking statute has already been upheld in this circuit as a valid exercise of Congress’s commerce power. See United States v. Johnson,
A. Instrumentalities of Interstate ■ Commerce
In Lopez, the Supreme Court held that the Gun-Free School Zones Act of 1990, 18 U.S.C. § 922(q)(1)(A) (1988 ed. Supp. V), which criminalized possession of a firearm within 1,000 feet of a school, exceeded Congress’s authority “[t]o regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes.” U.S. Const. art. I, § 8, cl. 3. See — U.S. at -,
The carjacking statute, by contrast, is explicitly designed to regulate and protect an “instrumentality” of interstate commerce, placing it within the second category of legitimate congressional action (“Category Two”).
In describing Congress’s power over in-strumentalities, “or persons or things in interstate commerce,” the Lopez Court noted that regulation and protection are permissible “even though the threat may come only from intrastate activities.” — U.S. at -,
As a result, although it has been argued that congressional authority under Category Two should be limited to regulating cars and other instrumentalities “actually engaged in interstate commerce” or “integrally related to an interstate commerce network,” Bishop,
B. A Substantial Effect on Interstate Commerce
Section 2119 may also be sustained under Category Three, if Congress had a rational basis for concluding that carjacking itself “substantially affects” interstate commerce. We believe that it did. The statute addresses “economic evils of an interstate nature,” even though each instance of the evil activity may not necessarily cross state lines. United States v. Oliver,
Congress could rationally have believed that the forcible taking of ears, viewed in the aggregate, has a substantial effect on interstate commerce. Indeed, Congress conducted extensive investigations and made specific findings regarding the impact of the “auto theft problem.” H.R.Rep. No. 851, 102d Cong., 2d Sess. 14-16 (1992), reprinted in 1992 U.S.C.C.A.N. 2829, 2830-32. Congress found that carjacking constituted an increasingly prominent type of auto theft, and that auto theft as a whole had profound effects on national and international commerce. Id. According to the House Report, stolen cars represented “over 50% of the value of property lost to crime” in 1991, and auto theft “ha[d] become a very large and lucrative business” involving various illicit schemes: taking cars to “chop shops,” where they are “dismantled and sold for replacement parts”; falsely retitling vehicles for resale under the apparent endorsement of another state; and sealing stolen cars in international shipping containers for export. Id. Indeed, because
This contrasts sharply with the mere possession of a gun in a school zone, which in Lopez was found to have “nothing to do with ‘commerce’ or any sort of economic enterprise.” — U.S. at -,
increased the fines and prison terms for importation and exportation of stolen vehicles (section 102) and interstate transportation or possession of such vehicles (section 103), ... criminalized the operation of chop shops for dismantling stolen vehicles (section 105)[,] ... provided grants for the development of local “anti car theft committees” (section[s] 130-133), mandated the development of a federal/state task force for addressing certain issues related to auto theft and fraud (section 140), developed a national system for combatting automobile title fraud (sections 201-04), expanded the coverage of federal law mandating the marking of automobile parts and requiring automobile repair shops to use the markings to avoid the use of stolen parts (sections 301-06), and mandated stricter Custom Service inspections in order to prevent exportation of stolen automobiles (section 401).
Bishop,
Lopez recognizes that determinations as to the extent of Congress’s commerce power will often be “one of degree.” — U.S. at -,
Because we have determined from the outset that the carjacking statute is directed at regulating economic activity, we do not need to address the separate question of whether the statute’s jurisdictional element also renders it constitutional as another species of Category Three regulation. See United States v. Wall,
III. CONCLUSION
We agree with the district court that the carjacking statute remains constitutional after Lopez, for two reasons: (1) the statute is designed to regulate and protect instrumen-talities of interstate commerce; and (2) the statute regulates economic activity that Congress could rationally have concluded has a substantial effect on interstate commerce. We reaffirm our holding in United States v. Johnson,
Notes
. For a fuller exposition, see the prior panel opinion,
. At the time of McHenry's offenses, the statute stated: “Whoever, possessing a firearm as defined in section 921 of this title, takes a motor vehicle that has been transported, shipped, or received in interstate or foreign commerce from the person or presence of another by force and violence or by intimidation, or attempts to do so, shall — (1) be fined under this title or imprisoned not more than 15 years, or both, (2) if serious bodily injury (as defined in section 1365 of this title) results, be .fined under this title or imprisoned not more than 25 years, or both, and (3) if death results, be fined under this title or imprisoned for any number of years up to life, or both.” 18 U.S.C. § 2119 (1992). Since 1992, § 2119 has been amended in areas not relevant to this appeal. See 18 U.S.C. § 2119 (1994).
. Although we do not reach this issue, we recognize in passing that the Third Circuit did so in Bishop, holding “that the jurisdictional element in section 2119 independently refutes appellants’ arguments that the statute is constitutionally infirm.”
Dissenting Opinion
dissenting.
The majority opinion begins its discussion by noting that in United States v. Johnson,
I. The Interstate Commerce Clause.
A.
We start with first principles. The Constitution creates a Federal Government of enumerated powers. See U.S. Const., Art. I, § 8. As James Madison wrote, “[t]he powers delegated by the proposed Constitution to the federal government are few and defined. Those which are to remain in the State governments are numerous and indefinite.” The Federalist No. 45, pp. 292-293 (C. Rossiter ed. 1961). This constitutionally mandated division of authority “was adopted by the Framers to ensure protection of our fundamental liberties.” Gregory v. Ashcroft,
Lopez, 514 U.S. at -,
The Constitution enumerates the powers of Congress in Article I, Section 8.
This “checklist” begins, “The Congress shall have the Power To ...,” and then sets forth eighteen clauses of discrete powers allocated to Congress. This affirmative grant of power has a negative corollary: those powers not listed in Article I, Section 8 do not belong to Congress. Had the drafters of the Constitution not intended Congress’s powers to be limited, a discrete enumeration of powers would have been unnecessary.
Michigan Protection & Advocacy Serv., Inc. v. Babin,
The authority of Congress is limited to those powers which the Constitution enumerates. See McCulloch v. Maryland,
B.
In 1937, the Supreme Court expanded the interstate-commerce power but held that its scope
must be considered in the light of our dual system of government and may not be extended so as to embrace effects upon interstate commerce so indirect and remote that to embrace them, in view of our complex society, would effectually obliterate the distinction between what is national and what is local and create a completely centralized government.
National Labor Relations Bd. v. Jones & Laughlin Steel Corp.,
While Congress may conclude that it has authority under the Interstate Commerce Clause, that “does not necessarily make it so.” Hodel,
C.
Whether it would be wise for the federal government to take a particular action is beyond the point if the federal government does not have the constitutional authority to act. See, e.g., Seminole Tribe v. Florida, 517 U.S. -, -,
Extraordinary conditions may call for extraordinary remedies. But the argument necessarily stops short of an attempt to justify action which lies outside the sphere of constitutional authority. Extraordinary conditions do not create or enlarge constitutional power. The Constitution established a national government with powers deemed to be adequate, as they have proved to be both in war and peace, but these powers of the national government are limited by the constitutional grants. Those who act under these grants are not at liberty to transcend the imposed limits because they believe that more or different power is necessary. Such assertions of extra-constitutional authority were anticipated and precluded by the explicit terms of the Tenth Amendment — “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.”
A.L.A. Schechter Poultry Corp. v. United States,
While there is no question that Congress’s constitutional exercise of its authority under the Interstate Commerce Clause does not violate the Tenth Amendment, see, e.g., Hodel,
*132 The authority of the federal government may not be pushed to such an extreme as to destroy the distinction, which the commerce clause itself establishes, between commerce “among the several States” and the internal concerns of a State. That distinction between what is national and what is local in the activities of commerce is vital to the maintenance of our federal system.
Jones & Laughlin,
D.
The majority upholds the federal carjacking statute at issue in this case, 18 U.S.C. § 2119, under two of the three Lopez categories, see 514 U.S. at -,
II. Instrumentalities of Interstate Commerce.
The majority opinion begins by reiterating the indisputable fact that Congress may regulate and protect the instrumentalities of interstate commerce. See Maj. Op. at 126 (quoting Lopez, 514 U.S. at -,
[E]ven if a particular activity involving an instrumentality might not, through repetition elsewhere, substantially affect interstate commerce during the moment of regulation, the activity still falls within [Congress’s power to regulate and protect the instrumentalities of interstate commerce] because the object of regulation contains the unique capacity to affect commerce at some future point in time. In the case of carjackings, for instance, the inherent mobility of cars leads to a substantial likelihood that commerce will be affected — if not in the act of carjacking itself, then in subsequent use of the car by whoever eventually possesses it.
Id. at 127. This conclusion is wholly unsupported by any authority and far afield from the “narrow mission” the majority promises to undertake.
The notion that cars are “instrumentalities” of interstate commerce, and therefore, regulable under Congress’s Interstate Commerce Clause authority, has a certain appeal, since ears can be used for commercial purposes. It does not follow, however, that, because cars have the “inherent potential to affect commerce,” id., they are, without exception, “instrumentalities” of interstate commerce, and that federal statutes designed to regulate or protect them are within Congress’s power to regulate commerce among the several states.
First, many things, and for that matter, most people, “retain the inherent potential to
Although cars can be the instrumentalities of interstate commerce, the federal carjacking statute does not regulate or otherwise protect ears as instrumentalities of interstate commerce. Instead, § 2119 criminalizes carjacking regardless of whether a ear that is or has been carjacked was at that time functioning as an instrumentality of interstate commerce. As Judge Becker has well observed:
The fact that automobiles can be used as instrumentalities of interstate commerce does not grant to Congress plenary authority to regulate the use and operation of every individual’s automobile. Such an approach would constitute a dramatic encroachment on the regulation of automobiles, a traditional area of state concern, and would permit Congress to pass federal laws requiring individuals to wear seat-belts (as opposed to requiring that cars be manufactured with seatbelts) or banning motorists from making a right turn at a red light.
Bishop,
The majority disagrees that Congress has the authority to make carjacking illegal only in those instances in which the carjacked car was “actually engaged in interstate commerce[,]”
Because § 2119 does not regulate or otherwise protect cars as instrumentalities of interstate commerce, but protects cars as cars, the majority, in order to uphold the statute, effectively expands the definition of an “instrumentality” of interstate commerce to include all cars. In other words, the majority extends Congress’s power to regulate things when they are instrumentalities of interstate commerce into the power to regulate such things under all circumstances. Following this approach, the question of whether a car was an instrumentality of interstate com
In enacting § 2119, Congress may well have assumed it has authority under the Interstate Commerce Clause to criminalize any carjacking, regardless of how the car is used. But we cannot resolve this case by blindly deferring to Congress’s judgment. We have an independent duty to measure Congress’s judgment against the constitutional source of Congress’s authority to act. See Marbury,
III. Activities Substantially Affecting Interstate Commerce.
The majority opinion’s second ground for concluding that § 2119 is a valid exercise of Congress’s interstate-commerce powers is that Congress had a rational basis
To begin with, the majority gives scant serious scrutiny to the rationales it offers in support of § 2119. After rehearsing the costs of carjacking and auto theft, the majority gives its imprimatur to Congress’s finding “that carjacking constituted an increasingly prominent type of auto theft, and that auto theft as a whole had profound effects on national and international commerce.” Id. at 6 (citation omitted).
In Lopez, the Supreme Court held that a similar eosts-of-erime rationale supporting the prohibition on possession of firearms in school zones was an inadequate justification for regulating that sort of firearms possession. 514 U.S. at -,
In an interesting passage of its opinion, the majority bolsters its conclusion by theorizing that:
[Bjeeause carjacking involves dispossessing a victim of an item deemed by Congress to be a significant “investment,” Congress could have made the reasonable determination that replacement costs alone were sufficient to justify regulation. Congress could have concluded that victims of carjacking will in many cases need to replace or repair their cars, and that carjacking consequently injects many of its victims back into the ear-buying, car-leasing, or car-repair market. Such transactions have a substantial effect on interstate commerce.
Maj. Op. at 128. If such an approach amply justifies a federal law criminalizing carjacking, it follows that it would also support making any automobile theft a federal crime. It would even support making the theft, more generally, of other “significant investments,” federal crimes. Surely, stereos and compact-disk players, personal computers and “dry goods,” such as refrigerators, microwaves, and washers and dryers, are “significant investments.” Would the theft of these items similarly be within the scope of Congress’s authority to criminalize under the Interstate Commerce Clause? As I read the majority opinion, they would be.
These questions are not merely rhetorical. Under our federal system of government, the “States possess primary authority for defining and enforcing the criminal law.” Engle v. Isaac,
As I have explained elsewhere, see United States v. Chesney,
The only rationale that I can perceive in the majority opinion to justify the conclusion that carjacking is commercial or economic activity, is that the cost of this particular form of crime has an effect on interstate commerce. But the fact that criminal activity has an economic or social cost does not make that activity “commercial” or “economic.”
Because carjacking is not commercial or economic activity, see Bishop,
. Lopez did not quote the next sentence in the Hodel concurrence, which states, “Congress’ findings must be supported by a ‘rational basis' and are reviewable by the courts." Hodel,
. Compare, e.g., U.S. Const. amend. XIV, § 1 (forbidding states from denying persons within their jurisdictions the equal protection of the laws) with Plessy v. Ferguson,
. Similarly, the Gibbons statement that the interstate-commerce power,
like all others vested in Congress, is complete in itself, may be exercised to its utmost extent, and acknowledges no limitations, other than are prescribed in the constitution.... If, as has always been understood, the sovereignty of Congress, though limited to specified objects, is plenary as to those objects, the power over commerce with foreign nations, and among the several States, is vested in Congress as absolutely as it would be in a single government, having in its constitution the same restrictions on the exercise of the power as are found in the constitution of the United Stales [,]
. Congressional regulation of an instrumentality is valid even if the threat comes from purely intrastate activity. See Lopez, 514 U.S. at -,
. I am aware of no case in which the Supreme Court has held that trains and airplanes are always instrumentalities of interstate commerce.
. And people, like cars, are "mobile” and have “the unique capacity to affect commerce at some future point in time.”
. The majority opinion also quotes Judge Becker to the effect that Congress may regulate objects which are "integrally related to an interstate commerce network....” Maj. Op. at 5 (quoting Bishop,
. The “rational-basis" test has frequently deferred to the findings of Congress, see, e.g., Lopez, 514 U.S. at -,
. Under the aggregation/class-of-activities analysis, one question for a court has been whether the class Congress sought to regulate was “within the reach of the federal power.” Maryland v. Wirtz,
While the aggregation/class-of-activities analysis remains, we do know that the interstate-commerce power is limited, in addition to the ways already discussed, at least to this extent: The class of activities must be within the reach of the federal power, and the class must be rationally defined. See id. at 192,
. Whatever its accuracy with regard to “auto thieves" in general, the facts of this case at least call into question the accuracy of Congress's finding as it relates to carjackings. Officers with the Cleveland Police Department — not the "feds” — arrested McHenry for the three carjackings he committed. See United States v. McHenry, Nos. 93-3935, 93-4041,
. Any doubt about the existence of this restriction is put to rest by the Supreme Court's repeated use of these terms, see, e.g., Lopez, 514 U.S. at -,
.I do not necessarily embrace Judge Becker's view that, because it is not consensual, carjacking is not "commercial activity.” See Bishop,
Similarly, “economics" is generally defined as "the science that deals with the production, distribution, and consumption of wealth, and with the various related problems of labor, finance, taxation, etc.;” and “economic” as “of or having to do with the management of the income, expenditures, etc. of a household, private business, community, or government ... of or having to do with the production distribution, and consumption of wealth ... of or having to do with economics.... ” Webster's New World Dictionary of the American Language 442. The fact that criminal activity has economic costs does not elevate the criminal activity into economic activity-
. Even if carjacking were "commercial” or "economic” activity, that would not necessarily mean § 2119 is a valid exercise of Congress’s authority to regulate commercial or economic activities substantially affecting interstate commerce. See United States v. Wall,
. In addition, the intimation in the majority opinion that the presence of a jurisdictional element in the federal carjacking statute bespeaks its constitutionality, see Maj. Op. at 129 n. 3 (citation omitted), is misplaced. The mere presence of a jurisdictional element in § 2119 cannot render it a constitutional exercise of Congress’s authority to regulate activities substantially affecting interstate commerce where there is no sustainable argument that the activities are themselves “commercial” or “economic” or that the statute is "an essential part of a larger regulation of economic activity, in which the regulatory scheme could be undercut unless the intrastate activity were regulated.” See Chesney,
