UNITED STATES of America, Plaintiff-Appellant, v. John LATON, Defendant-Appellee.
No. 02-5185.
United States Court of Appeals, Sixth Circuit.
Argued: Aug. 1, 2003. Decided and Filed: Dec. 10, 2003.
352 F.3d 286
I generally agree with the tenor of the analysis with respect to the other two workers, Ashby and Hanks, but I respectfully dissent because I do not think that their activities were “protected concerted activities” with respect to AK Steel.
In my view, what happened here was that the obnoxious behavior of these employees with respect to a customer meant that the same activities that would have been protected had they been directed toward the employer or his officials were not protected when directed at a customer.
By analogy, workers are fully protected in expressing their view that “the boss is a fink.” However, if in the course of making deliveries to a customer, they loudly opine to the same effect with respect to the boss of the customer, or picket the customer‘s establishment during the lunch break, I see nothing in the NLRA that protects those activities from discipline, either in effect, by the customer declaring those persons to be personae non gratae, or by the employer, for the legitimate reason that they have made themselves obnoxious to a customer.
The majority is quite correct that the employer may not throw blame on a customer for actions that would otherwise be unlawful (see pages 17-18), with respect to, for example, such issues as illegal employment discrimination. Similarly, if there were any evidence that the employer were using the alleged customer complaint as a pretext for his own unlawful labor practices, I would have no objection to the majority‘s analysis. Thus, if the workers picketed their own plant with signs “the boss (and Customer X) are finks,” and the boss then solicited the ire of Customer X, the majority‘s analysis would be exactly correct.
However, as I read both the record and the NLRB decision, there is no indication that Rydberg, the manager of AK Steel, needed any encouragement to be legitimately incensed at a supplier‘s employees, who came to his office deliberately bent on giving him “some hell” and complaining about the actions of their own bosses. The record is clear that Rydberg‘s complaint to Bowling (and his edict that he would no longer countenance any dealings with those employees) was completely unsolicited.
Under these circumstances, I respectfully dissent from the portion of the majority opinion requiring the reinstatement and payment of back pay to Ashby and Hanks.
Jennifer L. Webber (argued and briefed), Assistant United States Attorney, Memphis, TN, for Appellant.
Leslie I. Ballin (argued and briefed), Ballin, Ballin & Fishman, Memphis, TN, for Appellee.
MOORE, J., delivered the opinion of the court, in which DAUGHTREY, J., joined. SUTTON, J. (pp. 302-15), delivered a separate dissenting opinion.
OPINION
MOORE, Circuit Judge.
Local and state government institutions provide a wide variety of services ranging from transportation to economic development, which can produce ripples in the broader stream of interstate commerce to varying degrees. The general question presented by the relatively bizarre factual background of this case is whether or not a core function of municipal government—the provision of firefighting services—impacts interstate commerce such that an individual can be indicted under a federal anti-arson statute for destroying a fire station. The more precise question, upon which we dwell, is whether the Henning, Tennessee Fire Station was used in an activity affecting interstate commerce such that the person charged with setting it ablaze can be indicted under
I. BACKGROUND FACTS AND PROCEDURE
Prometheus may have thought twice before handing down the gift of fire to humans had he imagined that those whom the mere mortals chose to steward the precious flame would use it to decimate the very mechanisms employed to control its
Laton subsequently moved to dismiss the indictment in October 2001, contending that the district court lacked subject matter jurisdiction over the prosecution because the HFS was not used in an activity affecting interstate commerce. Both parties agreed upon and submitted to the court a set of stipulations, which established the relevant facts regarding the HFS and the HFD. First, the HFS housed firefighting equipment, including fire trucks, nozzles, uniforms, hoses, and other equipment. Additionally, the HFS contained an office, a kitchen, and meeting spaces for members of the HFD. Second, the HFD purchased most of its firefighting equipment from out-of-state vendors, and the HFD in the past relied upon out-of-state vendors for repairs to this equipment. Third, the HFD is responsible for responding to fire emergencies in Henning, which, like any other town, contains residences, churches, public buildings, and businesses. In the past, the HFD has responded to various emergency calls involving several businesses in Henning, including a market and a laundry facility, the Henning Police Department, and vehicles in distress on U.S. Route 51 and at the U.S. Route 51 rest area. Fourth, when the HFD responds to fire calls outside of the Henning city limits, the HFD charges out-of-state insurance companies $500. Fifth, the volunteer firefighters who compose the HFD are paid wages by the City of Henning based upon the amount of time that they spend at a fire scene. The total wages paid to the firefighters generally does not exceed $1,000 per year. Sixth, the firefighting presence of the HFS and the HFD impacts insurance rates in Henning. Virtually all American insurance companies use the Public Protection Classification (“PPC“) to calculate fire-insurance premiums in a particular area. The PPC is partially based upon the equipment, staffing, training, and geographic distribution of local fire departments. Fire insurance premiums in a community with a “good” PPC are considerably lower than in a community with a “bad” PPC, and insureds in an area that lacks fire services altogether will have the “worst” PPC and the highest premiums.
The district court granted Laton‘s motion to dismiss on the ground that the HFS was not used in interstate commerce. United States v. Laton, 180 F. Supp. 2d 948 (W.D. Tenn. 2002). It focused its analysis on “whether the [HFS] was used in the activities of the [HFD], and whether those activities substantially affect interstate commerce.” Id. at 952. The court thus bifurcated the purposes of the HFS and the HFD, reasoning that it was “not significant that the [HFS] houses the trucks that drive to sites” of fires involving business or other instrumentalities of interstate commerce because “[t]his is too attenuated a series of connections to constitute a building that is used ‘in any activity’ that affects interstate commerce.” Id. The district judge then ruled that the purchase of supplies from out of state, the payment of some wages to the firefighters, the fees billed for out-of-city fires, and the impact upon insurance rates did “not indicate any sort of active employment, but is again evidence of, at the
The government timely appealed the district court‘s ruling. We have jurisdiction to hear such an appeal pursuant to
II. ANALYSIS
A. Erroneous Dismissal for Lack of Subject Matter Jurisdiction
As a preliminary matter, we hold that the district court erred in dismissing the indictment based on the conclusion that it lacked subject matter jurisdiction. In United States v. Rayborn, 312 F.3d 229 (6th Cir. 2002), which we decided after the district court‘s decision in this case, we held that the interstate-commerce requirement “is simply one of the essential elements of
This does not end the appeal. We noted in Rayborn that “this court typically vacates a dismissal order when it determines that a district court has erred in dismissing a case for lack of subject matter jurisdiction....” Rayborn, 312 F.3d at 232. Yet, Rayborn also instructs that when the district court “undertook an evaluation of the merits of the interstate commerce question under the guise of subject matter jurisdiction,” id., we are permitted to determine whether the evidence produced by the government (or in this case stipulated to by both parties) is sufficient to permit a rational jury to find that a particular building was used in an activity that affected interstate commerce such that the indictment can still stand. Id. at 235-36; see also United States v. Latouf, 132 F.3d 320, 325-26 (6th Cir. 1997) (“The relevant inquiry when reviewing claims of insufficient evidence is whether after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.” (internal quotations omitted)).
We follow Rayborn‘s lead and review the merits of the district court‘s determination that the HFS was not used in an activity that affected interstate commerce. Because the inquiry into whether the HFS affects interstate commerce is a mixed question of fact and law, we review the district court‘s determination de novo. United States v. Salvo, 133 F.3d 943, 948 (6th Cir.), cert. denied, 523 U.S. 1122 (1998).
B. Section 844(i) and Its Applicability to Government Buildings and Property
We start with the plain language of the statute. Section 844(i) provides: “Whoever maliciously damages or destroys, or attempts to damage or destroy, by means of fire or an explosive, any building, vehicle, or other real or personal property used in interstate or foreign commerce or in any activity affecting interstate or foreign
Crimes of arson have traditionally been viewed as “paradigmatic common-law state crime[s],” but in 1982 Congress chose to federalize certain arson crimes as an exercise of its Commerce Clause power. Jones v. United States, 529 U.S. 848, 858 (2000).3 In seeking to avoid “render[ing] traditionally local criminal conduct a matter for federal enforcement,” Congress “will not be deemed to have significantly changed the federal-state balance” unless it clearly conveys its purpose. United States v. Bass, 404 U.S. 336, 349-50 (1971) (quoted in Jones, 529 U.S. at 858).4 Additionally, when Congress fails to speak in clear and definite language, “ambiguity concerning the ambit of criminal statutes should be resolved in favor of lenity.” Jones, 529 U.S. at 858 (quoting Rewis v. United States, 401 U.S. 808, 812 (1971)). Had Congress been ambiguous in its formulation of
We are mindful of our duty to construe a statute so as to eschew constitutional questions, and the straightforward application of the jurisdictional element here aids us in avoiding any such entanglements. The prominent issue raised by this appeal is not constitutional in scope, rather it is an exercise in statutory interpretation. In United States v. Lopez, 514 U.S. 549, 562 (1995), the Supreme Court remarked that the Gun-Free School Zones Act of 1990 (formerly
On its face,
Similarly, government institutions not only can affect interstate commerce but also can be direct participants in interstate commerce. The Supreme Court has noted on several occasions the impact that certain federal, state, and local government institutions can have on interstate commerce. See Garcia v. San Antonio Metro. Transit Auth., 469 U.S. 528, 537, 547-48 (1985) (holding that application of Fair Labor Standards Act (“FLSA“) to transportation employees employed by local government does not contravene the Commerce Clause because labor conditions of those employees affect interstate commerce).6 Governments in general, and individual government institutions in particular, can serve in both a sovereign/regulatory capacity and a market capacity, and their actions as either can affect interstate commerce. See Lehman v. City of Shaker Heights, 418 U.S. 298, 303 (1974) (holding that a municipal transit vehicle is not a public forum for First Amendment purposes because “the city is engaged in commerce” and the advertising space in question “although incidental to the provision of public transportation, is part of a commercial venture“); United States v. Kokinda, 497 U.S. 720, 725 (1990) (concluding that federal government acts as proprietor, and not as regulator, for First Amendment purposes when it operates the United States Post Office); Int‘l Soc‘y for Krishna Consciousness, Inc. v. Lee, 505 U.S. 672, 678 (1992) (ruling that local government acts as a proprietor when it owns and operates an airport).
In their operations as a sovereign or as a regulator, governments may engage in interstate commerce or in activities that affect interstate commerce, even though the impetus for their actions is noncommercial because it is motivated by public service. See Garcia, 469 U.S. at 539 (“The constitutional distinction between licensing drivers and regulating traffic ... or between operating a highway authority and operating a mental health
The reality that the core functions of government are not exclusive of interstate commerce does not only hold true when a government operates a commercial enterprise, such as a post office, lottery, or liquor store. Government institutions also can affect interstate commerce when they provide core public services, such as police protection and emergency services.7 See Prickett v. DeKalb County, 92 F. Supp. 2d 1357, 1362-63 (N.D. Ga. 2000) (determining that labor practices of county fire department impact interstate commerce such that the FLSA applies to its employees); Persons v. City of Gresham, 704 F. Supp. 191, 193 (D. Or. 1988) (applying FLSA to municipal firefighters because the fire department responded to emergencies that involved instrumentalities of interstate commerce and protected businesses engaged in interstate commerce); Conway v. Takoma Park Volunteer Fire Dep‘t, 666 F. Supp. 786, 791 (D. Md. 1987) (same). One can imagine dozens of state and local government institutions that could be used in activities affecting interstate commerce, including but not limited to airports, seaports, convention centers, police departments auctioning off seized and forfeited property, health care centers, and departments of property management, economic development, and waste collection. Accordingly, Section
The link between government and commerce described above merely establishes that state and local government buildings and property are neither inherently disconnected from nor innately intertwined with interstate commerce. Each piece of real or personal property, taking into account its function, must be assessed individually to determine the extent to which it impacts interstate commerce. There can be no uniform and inflexible rule that
C. The Supreme Court‘s Analysis of 18 U.S.C. § 844(i)
The Supreme Court has had two opportunities to analyze
The question that Russell hinted at—whether or not
This two-part inquiry must be conducted in every federal arson case to determine whether the jurisdictional element of
D. The Application of Jones to Laton‘s Indictment
We now turn to the application of Jones‘s two-part analysis to the destruction of the HFS.11 The first step is to identify the function of the HFS and the equipment that the building housed. A building and the personal property within that building can have multiple functions. See Jones, 529 U.S. at 856 (distinguishing the private home at issue from a residence that was also used as a home office or for a commercial enterprise). Accordingly, a “building‘s function is not limited to its primary use.” Rayborn, 312 F.3d at 233. Churches, for example, primarily serve a religious function, but churches can also have secondary and important economic purposes. Terry, 257 F.3d at 369 (holding that a church “can have both a religious aspect and an economic one” when the church operated a daycare center); United States v. Grassie, 237 F.3d 1199, 1209-10 (10th Cir. 2001) (acknowledging that a church‘s activities can be both religious and commercial); United States v. Odom, 252 F.3d 1289, 1294 (11th Cir. 2001) (“Churches are not commonly considered a business enterprise; nonetheless, churches can and do engage in commerce.“).
Similarly, the HFS performed one ancillary function and one main function. It fulfilled an ancillary function of assuring the homeowners and businesses of Henning that their property was safe. The HFS was a municipally owned building that stood alongside the police department and the city hall as a public institution and a visible public safety shield for the citizens of Henning. More significantly, the HFS made the HFD possible; fire departments cannot exist without fire stations. The HFS facilitated the provision of fire protection services necessary for the economic development and prosperity of Henning because the station and the equipment in the building provided the HFD with the implements necessary to combat fires. The function of the building and the trucks, hoses, boots, hats, and communication devices was to permit the HFD to battle ably any conflagration within the jurisdiction of the HFD, whether it be a small brush fire or a major truck or automobile accident on U.S. Route 51.
We reject the district court‘s conclusion that the functions of the HFS can be separated from the functions of the HFD, such that the HFD‘s firefighting efforts affected interstate commerce, but the HFS, an edifice containing firefighting equipment, did not. The district court wrote that “most of the facts to which the parties stipulate involve the purposes of the Henning Fire Department, not the Henning Fire Station” and ruled that “[i]t is not significant that the Henning Fire Station houses the trucks that drive to the sites that require service, even though those sites are sometimes businesses that are involved in activities that themselves affect interstate commerce.” Laton, 180 F. Supp. 2d at 951-52. This analysis too finely atomizes the roles of the HFS and the HFD and ignores the inseparability of their functions. Neither the HFD nor any other fire department in the country can operate without trucks, hoses, axes, flashlights, fire-retardant uniforms, meeting spaces, and communication systems. To hold that the HFD could affect interstate commerce by putting out fires at businesses in Henning or along U.S. Route 51, but that the HFS could not
The second step of the Jones analysis involves determining whether the function of the HFS affects interstate commerce. We must analyze whether the HFS, in its role as a municipal building that enables firefighting, is “used” in an activity that affects interstate commerce: does it enjoy “active employment for commercial purposes” rather than “a passive, passing, or past connection to commerce“? Jones, 529 U.S. at 855. A single relationship to interstate commerce or the conjunction of several different ties to interstate commercial activity can support a finding that a building was actively employed in commerce. For example, in Rayborn we affirmed a conviction under
The Supreme Court‘s decision in Jones made clear that the mere receipt of inputs or services from an out-of-state vendor is not a sufficient connection to interstate commerce to support an indictment under
When it crafted
We conclude that a rational juror could find beyond a reasonable doubt that the HFS was used in an activity that affected interstate commerce because its role in fighting fires constituted an active, rather than a passive, employment in interstate commerce. See Latouf, 132 F.3d at 325. Six aspects of the HFS demonstrate this connection. First, the HFS housed firefighting equipment, including trucks, hoses, nozzles, and uniforms, which the HFD purchased from out of state, which the HFD sent for repairs out of state, and which perished in the fire. The precise dollar amount of this equipment is not known, but given that the equipment destroyed included at least one fire vehicle, it was not trivial. Second, the HFD charged $500 to out-of-state insurance companies for fighting fires outside of the Henning city limits, although it only did so a few times annually. Third, the HFD paid its volunteers wages based on the amount of time spent on a fire scene, although these wages generally have not exceeded $1000 annually.
On their own, these first three factors may not form an adequate nexus to interstate commerce under Jones. If the purchase of equipment from out-of-state were the only link between the HFS and interstate commerce, the dissent might be right that this case is easier than, or at least as easy as, Jones given that the acquisition of a mortgage, natural gas, and insurance from out-of-state providers was the extent of the interstate commerce connection in Jones. The dissent‘s belief that this is an easier case than Jones sidesteps fundamental differences between Jones and this case, for much more than the mere purchase of supplies from out of state ties the HFS into the web of interstate commerce. As demonstrated below by the final three links to interstate commerce, we find it persuasively clear that the HFS was used in an activity affecting interstate commerce.
Fourth, the HFD is charged with responding to fire emergencies within the Henning city limits. In the past, the HFD has responded to emergency calls from several businesses in Henning, including a market and a laundry facility. In the future, it is certain that the HFD will be called upon to fight fires at other businesses in Henning.13 Preventing the destruction of commercial establishments strikingly affects interstate commerce by preserving entities directly engaged in interstate commerce.
Fifth, the HFD serves to protect both the channels of commerce and the instrumentalities of commerce because it is the primary emergency services provider for the stretch of U.S. Route 51 going through Henning. The HFD has responded (and will respond in the future) to incidents and accidents both on U.S. Route 51 and at the U.S. Route 51 rest area. The HFD‘s role in extinguishing fires, saving lives, and keeping U.S. Route 51 clear impacts interstate commerce. The HFD protects passenger vehicles carrying tourists and travelers voyaging through western Tennessee, it safeguards the interstate shipments of goods, and it permits the freeflow of trucks and buses through the area.14 The HFD‘s firefight-
Sixth, and finally, the presence of the HFS and the HFD impacts insurance rates in Henning. The absence of the HFS, and the impact on the HFD‘s competency that is wrought by the loss of the HFS, directly alters the PPC, which helps insurance companies calculate fire insurance premiums. As a result of the fire, Henning will have a worse PPC, and insurance premiums will rise. The presence of an active fire department in Henning thus significantly impacts the insurance rates of all the businesses (and homes) in Henning, which in turn influences the commercial transactions of those businesses, both in the sense of their relationships to their insurers and their profit margins.15
Any of these last three factors by itself demonstrates sufficiently that the HFS was used in an activity that affected interstate commerce, because its connection to commerce was more than passive or passing. Taken together, along with the first three factors, they show that the connection of the HFS to interstate commerce resembles the links between interstate commerce and the church in Rayborn, the dormitory in Sherlin, and the police car in Belflower. The HFS and the HFD have a definite impact upon the economy of Henning that is no less significant than a church purchasing radio time or a nonprofit college attracting students from other states. The HFS permits local businesses to operate, enables the free flow of goods and passengers through the state of Tennessee, lowers the costs of doing business by decreasing fire insurance premiums, and directly engages in commercial transactions, in a more minor way, through the purchase of supplies and the billing of insurance companies. Accordingly, any rational juror could conclude beyond a reasonable doubt that the jurisdictional element was met here because the HFS is actively used in an activity that affects interstate commerce.
III. CONCLUSION
Because we conclude that both parts of the Jones test have been satisfied, we hold that there is sufficient evidence to support the indictment as the HFS was used in an activity affecting interstate commerce. We thus REVERSE the judgment of the district court and REMAND for further proceedings under
DISSENT
SUTTON, Circuit Judge, dissenting.
“Some say the world will end in fire, Some say in ice.” Robert Frost, Fire and Ice, in The Poetry of Robert Frost 220
Yet the incompatibility of this crime with this alleged criminal merely serves as a prelude to other oddities of this case. Consider what happened after the fire chief set fire to the Henning Fire Station. While arson is a state-law felony in Tennessee, as in all States, neither the local prosecutors nor the Attorney General of Tennessee indicted this defendant. While the federal crime of arson applies just to property “used in” interstate commerce,
This case, however, is not just unusual as a matter of fact, law, or history; it is also unusual as a matter of precedent. Three Terms ago, in a 9-0 decision, the United States Supreme Court held that
I.
On March 3, 2000, John Laton allegedly set fire to the Henning, Tennessee Fire Station. At the time, Laton served as the Chief of the Henning Volunteer Fire Department, a city government position. Henning, Tenn. Mun.Code §§ 7-301, 7-305. Under Tennessee law and the Henning Municipal Code, Laton‘s job qualified him as a state officer, specifically an assistant to the state fire marshal, subject to all of the duties and obligations imposed on state officers under Tennessee‘s fire-prevention laws.
Henning is a small rural town located in western Tennessee. It has a population of 970 and sits in Lauderdale County (population 27,101). U.S. Census Bureau, Census 2000, Table DP-1. Henning lies about fifty miles north of Memphis and can be found at the crossroads of State Routes 87 and 209. (The author Alex Haley grew up in Henning.)
On September 18, 2001, a federal grand jury indicted Laton for arson in violation of
The stipulation contains few surprises. The parties agree, for example, that the function of the Fire Station building is to “house[] the fire fighting equipment including trucks, as well as the office, kitchen and meeting spaces for the Henning Volunteer Fire Department.” The Henning Municipal Code adds that “[a]ll [such] apparatus, equipment, and supplies” must be “purchased by or through the town” and “remain the property of the town.” Henning, Tenn. Mun.Code § 7-301.
The parties agree that the Fire Department responds to firefighting calls in a rural area of Tennessee that includes numerous residences, churches, public buildings, several businesses and one U.S. highway. In some instances, the Fire Department has provided emergency services to vehicles on fire and/or involved in accidents on the highway.
The parties agree that the Fire Department has occasional connections to three types of economic transactions. First, the Department has purchased equipment from, and had equipment repaired by, out-of-state vendors. Second, the Department charges a fee when it responds to calls outside the city limits, which it does on average no more than three times a year. According to the Henning Municipal Code, the Fire Department responds to such calls only when a fire outside the city limits threatens property within the city limits or when the mayor and aldermen grant the Fire Department permission to respond to the call. Henning, Tenn. Mun. Code § 7-307. City employees working at City Hall bill these fees, which amounted to $300 per call in March 2000, and have on occasion billed these fees directly to out-of-state insurance companies. The total amount billed in a year, the parties agree, does not exceed $1,000. Third, the City of Henning pays wages to the “volunteer” fire fighters based on the amount of time they spend at the scene of a fire. Total wages paid by the City in a typical year do not exceed $1,000. According to the Municipal Code, the mayor and aldermen determine the compensation for Fire Department personnel. Henning, Tenn. Mun.Code § 7-305.
The parties lastly agree about the general economic impact of the loss of a fire station. In calculating property-insurance premiums, virtually all insurers of homes and businesses use a designation made by the Insurance Services Office called the Public Protection Classification (PPC). A community‘s PPC depends on the ability of fire departments to respond to calls. Property owners in areas with no fire service receive the highest PPC, and they accordingly pay substantially higher premiums than those paid by similarly-situated property owners who live in areas with a lower PPC.
The district court granted Laton‘s motion to dismiss the indictment. In doing so, the court concluded that the Henning Fire Station is not “used in” interstate commerce or in “an activity affecting interstate commerce,” but is used for the non-commercial purpose of housing the City‘s Fire Department. To the extent that the activities of the Fire Department have any effects on commerce—through responding to fires, purchasing fire equipment, paying wages, receiving fees or affecting insurance rates—the district court added that they are merely “incidental” and “passive, at best.” That attenuated connection to interstate commerce, the court concluded, did not suffice to bring this arson within the compass of
II.
The text of the statute does not provide a natural home for this prosecution. Section 844(i) provides in pertinent part: “Whoever maliciously damages or destroys, or attempts to damage or destroy, by means of fire or an explosive, any building, vehicle, or other real or personal property used in interstate or foreign commerce or in any activity affecting interstate or foreign commerce shall be imprisoned....”
By its terms,
As commonly understood, these words do not cover the arson of a rural fire station by a local fire chief. Fire stations are not naturally referred to as property used in interstate commerce or in commerce-affecting activity. By everyday standards of language, common sense and tradition, local governments build fire stations to put out fires and save lives, activities that serve distinctly intrastate public-safety objectives, not interstate commercial ends.
III.
Precedent reinforces this conclusion. Three years ago, Jones v. United States, 529 U.S. 848 (2000), construed the same statute and determined that it does not apply to a typical private residence. Id. at 850-51.
The Court initially explained that Congress did not “invoke its full authority under the Commerce Clause” in enacting
In determining whether an alleged arson fits within the terms of the statute, Jones instructs lower courts to ask (and answer) two questions. First, a court must determine “‘the function of the building itself.‘” Id. at 854 (quoting United States v. Ryan, 9 F.3d 660, 675 (8th Cir. 1993) (Arnold, C.J., concurring in part and dissenting in part)). Second, a court must “determin[e] whether that function affects interstate commerce,” id., mindful that this requires “active employment for commercial purposes, and not merely a passive, passing, or past connection to commerce,” id. at 855 (emphasis added).
The burning of the Henning Fire Station does not satisfy these requirements. Viewed from any angle, the Fire Station served sovereign rather than commercial ends. The Fire Station constitutes municipal real property (a building and land), used to store municipal personal property (firefighting equipment), deployed by a municipal entity (the Fire Department), to perform a uniquely municipal function (firefighting). Local governments simply
That the Fire Station served sovereign rather than commercial objectives should be dispositive here. For while
IV.
A.
Other interpretive guidelines, each of which Jones endorsed in construing
Jones likewise teaches that federal courts should not casually read a statute in a way that alters the federal-state balance. When the National Legislature wishes to regulate an area traditionally regulated exclusively by the States, it must “convey[] its purpose clearly.” Jones, 529 U.S. at 858 (citation and quotation omitted). In Jones, a unanimous Court held that Congress had not clearly conveyed a desire to criminalize the arson of a private dwelling. Id. Not long after Jones, Cleveland v. United States, 531 U.S. 12 (2000), reached a similar conclusion in construing the mail-fraud statute. There, the Court (again unanimously) declined to “approve a sweeping expansion of federal criminal jurisdiction in the absence of a clear statement by Congress” and refused to extend the statute to cover “a wide range of conduct traditionally regulated by state and local authorities.” Id. at 24. See id. at 27 (“Absent clear statement by Congress, we will not read the mail fraud statute to place under federal superintendence a vast array of conduct traditionally policed by the States.“). See also Gregory v. Ashcroft, 501 U.S. 452, 467 (1991) (“We will not read the ADEA to cover state judges unless Congress made it clear that judges are included.“).
Jones finally explains that these rules have special application in the context of criminal statutes. “[W]hen choice has to be made between two readings of what conduct Congress has made a crime,” courts should not “choose the harsher alternative ... [unless] Congress [has] spoken in language that is clear and definite,” and, accordingly, any “ambiguity ... should be resolved in favor of lenity.” Jones, 529 U.S. at 858; see Cleveland, 531 U.S. at 25 (“[W]e decline to attribute to [the mail-fraud statute] a purpose so encompassing where Congress has not made such a design clear.“); id. at 25 (“[T]o the extent that the word ‘property’ is ambiguous ..., we have instructed that ‘ambiguity concerning the ambit of criminal statutes should be resolved in favor of lenity.‘“) (quoting Rewis v. United States, 401 U.S. 808, 812 (1971)); Bass, 404 U.S. at 348 (“This policy embodies ‘the instinctive distastes against men languishing in prison unless the lawmaker has clearly said they should.‘“) (quoting H. Friendly, Mr. Justice Frankfurter and the Reading of Statutes, in Benchmarks 196, 209 (1967)).
These principles assuredly apply here. “[A]rson,” Jones reminds us, “is a paradigmatic common-law state crime.” 529 U.S. at 858. It is a felony in all States, and that has been true since colonial days. See John Panneton, Federalizing Fires: The Evolving Federal Response
Indeed, this case appears to be not just an awkward exercise of federal power, but a nearly unprecedented one. At oral argument, counsel for the Federal Government could not identify a single other federal prosecution for arson of a governmental building under this provision. The majority cites a single unpublished decision, United States v. Woodward, No. 93-3123, 1993 WL 498178 (10th Cir. Dec. 2, 1993), decided before Jones, to counter this admission. But Woodward, which concerned an arson arising from a botched robbery, does not address any of the issues raised here or in Jones. Even the most charitable reading of Woodward, at any rate, suggests that it is a solitary and unexplained exception to the traditional rule that the Federal Government does not construe
In contrast to the minimal federal interests in this case, the state interests would seem to be at their apex. Surely the commission of “a paradigmatic common-law” crime (Jones, 529 U.S. at 858) by a Henning official involving Henning property is a matter traditionally taken up, if not in Henning, at least in Nashville. Tennessee imposes criminal sanctions on state fire officials (such as the Chief) who fail in their official duties.
The Federal Government‘s own prior guidance in this area to United States Attorneys shows respect for many of these concerns. The Department of Justice recognizes that Congress intended “Restraint in [the] Exercise of Federal Jurisdiction” under this statute. 9 United States Attorneys’ Manual § 63.902 (Mar. 2001). When Congress enacted the federal explosives
In view of this guidance, the Federal Government‘s decision to prosecute here is difficult to understand. No one has questioned the ability of local prosecutors to enforce state law in this area. No one has questioned Tennessee‘s ability adequately to investigate and prosecute a local arsonist at the state level, if for some reason it cannot be done at the local level. See
B.
Because the National Government seeks to apply
First, the arson of a local fire station does not naturally—or plainly—cover a building “used in interstate commerce” or commerce-affecting activity.
Second, Congress does not generally regulate governmental entities in such an opaque manner. Instead of casting a wide net of regulation, indirectly picking up local governmental activities that happen to be involved in interstate commerce while leaving out those that happen not to be, Congress generally regulates its sovereign sisters with much greater specificity—either by regulating them by name or by referring directly to entities that receive federal funds. Several other statutes (too many, in fact, to list) demonstrate that when Congress wishes to regulate sovereign activities or property, it tends to say so far more explicitly. See, e.g., Fair Labor Standards Act,
Third,
All of this goes to prove one point. If it is true that federal regulation of the arson of a private home implicates these three expectations of clarity (constitutional avoidance, alteration of the federal-state balance, and the rule of lenity), as Jones holds, then assuredly the torching of the local fire station does so as well. For here we have not just a matter of traditional local concern (arson), but two other factors as well—property uniquely amenable to local regulation (a city building) and an actor (the fire chief) uniquely at the beck and call of the local citizenry. Jones, in short, was the harder case. And if Jones applied each of these ambiguity default principles, then I would do so as well. In this instance, the application of those principles all points in one direction: A federal arson statute that does not mention public buildings by name, that is juxtaposed with a provision that does mention public buildings by name, and that requires the public property to be actively used for commercial purposes does not unambiguously cover the burning of a local fire station by the local fire chief.
V.
In the face of these considerations, the United States counters that at least some activities that take place at the Henning
The Fire Department‘s purchases and repairs do not advance the United States’ position. A fire station is no more “used” in the “activity” of purchasing interstate fire equipment than a residence is used in the activity of purchasing interstate natural gas, mortgages, or insurance—all activities that the Court rejected as jurisdictional hooks in Jones. See 529 U.S. at 856.
Neither does the fee occasionally charged by the Fire Department support this prosecution. The size of the fee ($300) and the infrequency with which it is charged (one to three times per year, when the Department responds to fires outside town limits) hardly suggest active employment for commercial purposes—which is what Jones requires. If de minimis activity of this sort transformed every governmental building into one used for commercial purposes, then all public property in this country would be one bake sale away from federal jurisdiction. No fair reading of the statute suggests that this is what Congress meant to do.
More importantly, a State does not engage in traditional commercial activities every time it receives a sum of money in exchange for something or for that matter any time it imposes a tax. See Cleveland, 531 U.S. at 23 (“Louisiana does not ‘sell’ video poker licenses in the ordinary commercial sense.“). That is especially true when the revenue arrives, as here, after the fact. See id. at 22 (“The State receives the lion‘s share of its expected revenue ... only after [the licenses] have been issued to licensees.“). No one suggests that the Fire Department would decline to extinguish a fire until and unless the fee was paid. Firefighters do not haggle over fees. In this instance, in fact, they are not even the ones who charge the fee; it is billed by City Hall.
At all events, this argument proves too much. Were the collection of revenue sufficient to trigger
The Federal Government‘s reliance on the fact that the Henning Fire Department occasionally “pays wages” to its “volunteer” firefighters fails for much the same reason. Congress, to be sure, may as a matter of power regulate the wages paid to firefighters, which is itself an economic transaction. See Garcia v. San Antonio Metro. Transit Auth., 469 U.S. 528, 555-56 (1985). But that does not mean Congress sought in this instance to regulate criminal conduct with respect to the buildings that
Nor, for similar reasons, does it make any difference that fire stations house fire trucks, which (like police cars) may be used in interstate commerce and indeed are instrumentalities of interstate commerce. See Belflower, 129 F.3d at 1462 (concluding that
Also unavailing is the United States’ reliance on the economic impact of a fire station‘s destruction—specifically, the lower PPC ratings, the higher insurance costs, or the inability to extinguish fires affecting local businesses or (occasionally) burning cars on the highways. Accepting this position would rewrite the statute to say something that it does not net. As Jones indicates, Congress did not “define the crime ... as the [destruction] of a building whose damage or destruction might affect interstate commerce,” but instead required “that the damaged or destroyed property ... itself have been used in commerce or in an activity affecting commerce.” 529 U.S. at 854 (citation and quotation omitted); cf. Lopez, 514 U.S. at 564 (rejecting a “costs of crime” rationale for connecting federal legislation banning guns near schools to interstate commerce). Two of Jones’ overriding lessons—that
But, perhaps most critically, this argument has no logical stopping point. All governmental services affect commerce at some level, whether those services are legislative, executive or judicial. Asked at oral argument to identify a single governmental building beyond the reach of
Neither may one overcome these objections by suggesting that, in the world of case-by-case determinations, the outcome here will be a ticket good for one train and one train only. Until now, there have been no other trains in the station, so it is not clear what the concession concedes. More to the point, it still remains to be seen what government buildings analytically would not be covered by this type of analysis—as the United States seems to recognize.
One last point deserves mention. The United States also seeks refuge in the legislative history, relying on an unenacted forerunner to
This argument fails for three reasons. First, when clarity in the text of a law is required, legislative history by definition cannot supply it. See United States v. Nordic Village, 503 U.S. 30, 37 (1992) (“[L]egislative history has no bearing on the ambiguity point [because] ... the ‘unequivocal expression’ of elimination of [the United States‘] sovereign immunity that we insist upon is an expression in statutory text.“); Dellmuth v. Muth, 491 U.S. 223, 230 (1989) (“[E]vidence of congressional intent must be both unequivocal and textual” to provide the clarity necessary to abrogate a State‘s Eleventh Amendment immunity; “[l]egislative history generally will be irrelevant.“) (emphasis added); Gregory, 501 U.S. at 470 (equating the clear-statement rule applied in the sovereign immunity context with the clear-statement rule applied in the context of Commerce Clause legislation that would alter the federal-state balance); see also Cleveland, 531 U.S. at 24, 27 (requiring a “clear statement” to extend “federal criminal jurisdiction” to an area “traditionally policed by the States“).
Second, the use of legislative history to broaden the reach of a law seems particularly inappropriate in a setting like this one—where we have not just the risk of
Third, the inference the Federal Government seeks to draw from the unenacted version of
All of this perhaps explains why Jones mentions the very same legislative history that the United States cites here, see Jones, 529 U.S. at 853 n. 5,
Because in the end the unbargained-for service of fighting fires is the antithesis of an activity engaged in for an “active ... commercial purpose[ ]” and because Jones has charted a course that in my view controls us here, I would affirm the district court‘s judgment. That being a minority view, I respectfully dissent.
UNITED STATES of America, Plaintiff-Appellee, v. Joshua BERRYHILL, Defendant-Appellant.
No. 02-5783.
United States Court of Appeals, Sixth Circuit.
Argued: Sept. 18, 2003. Decided and Filed: Dec. 11, 2003.
352 F.3d 315
