United States v. JohnsonUnited States v. Johnson
- Reporters:
- , , ,
- Before:
- Benavides, Garwood, Barksdale
Robert Earl Johnson (“Johnson“) appeals from his criminal conviction for arson, raising an as-applied constitutional challenge to
I
Johnson was indicted for the December 1996 arson of the Hopewell United Methodist Church (“Hopewell“) in violation of
To support Johnson‘s plea, the Government offered a written Factual Basis, detailing Johnson‘s offense. This Factual Basis contained the following information.1 In December 1996, an arson fire destroyed the Hopewell United Methodist Church and its contents. Johnson, who lived next door to the church, admitted that he had set the fire at the church in an effort to cover up past burglaries of Hopewell. Church Mutual Insurance Company, located in Merrill, Wisconsin, insured the church building and its contents. As a result of the fire, Church Mutual Insurance Company paid a claim of over $89,000 to Hopewell. Before the December 1996 blaze, Hopewell was a member of the Texas Annual Conference of the United Methodist Church (“Texas Annual Conference“). As a member church, Hopewell contributed approximately sixteen percent of the money that it collected from its congregation to the Texas Annual Conference. The Texas Annual Conference forwards the majority of its contributions to the United Methodist Church‘s General Counsel on Finance and
II
A
As a general rule, a valid guilty plea waives all non-jurisdictional defects in the proceedings against a defendant. See United States v. Andrade, 83 F.3d 729, 731 (5th Cir. 1996) (per curiam). A defendant, however, may preserve a claim for appellate review by entering a conditional plea under
To establish a violation under the arson statute,
B
A trial court cannot enter judgment on a plea of guilty unless it is satisfied that there is a factual basis for the plea. See
We generally regard a district court‘s acceptance of a guilty plea as a factual finding to be reviewed under the clearly erroneous standard. See United States v. Rivas, 85 F.3d 193, 194 (5th Cir. 1996). Johnson, however, does not contest the findings of fact or other
C
Johnson argues that the Hopewell United Methodist Church was not a building used in any activity substantially affecting interstate
Johnson miscontrues the proper standard to be applied in assessing the sufficiency of the interstate commerce nexus. Johnson‘s individual act of arson need not have a substantial impact on interstate commerce, so long as arsons of property used in interstate commerce or in activities affecting interstate commerce, in the aggregate, substantially impact interstate commerce. See Lopez, 514 U.S. at 561 (“[O]ur cases uphold[] regulations of activities that arise out of or are connected with a commercial transaction, which viewed in the aggregate, substantially affect[] interstate commerce.“); Maryland v. Wirtz, 392 U.S. 183, 196 n.27 (1968), overruled on unrelated grounds by, National League of Cities v. Usery, 426 U.S. 833, 854 (1976), overruled by, Garcia v. San Antonio Metro. Transit Auth., 469 U.S. 528, 547 (1985) (“[W]here a general regulatory statute bears a substantial relation to commerce, the de minimis character of individual instances arising under that statute is of no consequence.“). In United States v. Robinson, we considered the constitutionality of the Hobbs Act,
Since Robinson, we have not specifically addressed the question of whether proof of a slight effect on interstate commerce suffices in the context of
“Congress has the power to protect interstate commerce from intolerable or even undesirable burdens.” Quill Corp. v. North Dakota, 504 U.S. 298, 318 (1992) (quoting Commonwealth Edison Co. v. Montana, 453 U.S. 609, 637 (1981) (White, J., concurring); see also United States v. Green, 350 U.S. 415, 420 (1956) (upholding the Hobbs Act because “the legislation is directed at the protection of interstate commerce against injury[.]“); Prudential Ins. Co. v. Benjamin, 328 U.S. 408, 434 (1946) (“[The Commerce Clause‘s] scope enables Congress not only to promote but also to prohibit interstate commerce[.]“). Thus the power of Congress to protect or promote individual markets derives from its power likewise to foster and encourage interstate commerce generally.
This does not mean, however, that aggregation obliterates, or even circumscribes materially, our federal system. In order to aggregate, the government must show that the arson has “an explicit connection with or effect on interstate commerce.” Lopez, 514 U.S. at 562. A “speculative” or “attenuated” connection, however, will not suffice to demonstrate the nexus with interstate commerce. United States v. Collins, 40 F.3d 95, 99, 101 (5th Cir. 1994); see also United States v. Corona, 108 F.3d 565, 570 (5th Cir. 1997) (rejecting “speculative” effects on interstate commerce as insufficient).
Here, the Government identifies four facts that it contends support a determination that the Hopewell Church was a building used in or affecting interstate commerce or used in any activity affecting interstate commerce: (1) Hopewell‘s membership in the Texas Annual Conference, to which Hopewell annually contributed funds raised from its members and other sources; (2) the Conference‘s forwarding of the majority of those funds to the United Methodist
The Government failed to present to the district court any information clarifying the nature of the relationship between Hopewell and the Texas Annual Conference or between Hopewell and the national United Methodist Church. In particular, the record contains no information from which we can discern that Hopewell was an integral part of a national body with activities explicitly connected to or affecting interstate commerce. Merely being a dues-paying member of an organization that funds a national body does not satisfy
The out-of-state insurer‘s payment of the $89,000 claim also
III
For the aforementioned reasons, we conclude that the district court committed plain error in accepting Johnson‘s plea of guilty. Because the factual basis presented to the district court fails to establish the interstate commerce element of
Application of
While I concur in the result here, and agree with Judge Benavides’ factual analysis reflecting that it was plain error for the district court to conclude that the factual basis for the plea reflected a constitutionally adequate relation to interstate commerce, I disagree with the aggregation analysis in Judge Benavides’ opinion.
In United States v. Lopez, 115 S.Ct. 1624 (1995), the Supreme Court set out “three broad categories of activity that Congress may regulate under its commerce power,” as follows:
“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. . . . [Third] Finally, Congress’ commerce authority includes the power to regulate those activities having a substantial relation to interstate commerce, Jones & Lauglin Steel, 301 U.S. at 37, 57 S.Ct. at 624, i.e., those activities that substantially affect interstate commerce. Wirtz, supra at 196, n.27, 88 S.Ct. at 2024, n.27.” Lopez at 1629-30.
It is evident that we are here dealing with the third Lopez category, the only category as to which the “substantially affect interstate commerce” requirement and the concept of aggregation are
I agree with the position taken by Judge Higginbotham, joined in by seven other judges of this Court, in United States v. Hickman, 179 F.3d 230 (5th Cir. 1999) (en banc; evenly divided court), stating that for purposes of Lopez‘s third category:
“. . . substantial effects upon interstate commerce may not be achieved by aggregating diverse, separate individual instances of intrastate activity where there is no rational basis for finding sufficient connections among them. Of course, Congress may protect, enhance, or restrict some particular interstate economic market, such as those in wheat, credit, minority travel, abortion service, illegal drugs, and the like, and Congress may regulate intrastate activity as part of a broader scheme.” Id. at 231.
In Lopez this Court refused to countenance the government‘s attempt to salvage the Gun Free School Zones Act (
“The government seeks to rely on the rule that ‘[w]here the class of activities is regulated and that class is within the reach of the federal power, the courts have no power “to excise as trivial, individual instances” of the class.’ This theory has generally been applied to the regulation of a class of activities the individual
instances of which have an interactive effect, usually because of market or competitive forces, on each other and on interstate commerce. A given local transaction in credit, or use of wheat, because of national market forces, has an effect on the cost of credit or price of wheat nationwide. Some such limiting principles must apply to the ‘class of activities’ rule, else the reach of the Commerce Clause would be unlimited, for virtually all legislation is ‘class based’ in some sense of the term.” Lopez, 2 F.3d at 1367 (quoting Perez, 402 U.S. at 153-54, 91 S.Ct. at 1361; Wirtz, 392 U.S. at 192-94, 88 S.Ct. at 2022).
The Supreme Court in Lopez likewise rejected the government‘s aggregation argument, stating, in language fully applicable to
”
Section 922(q) is not an essential part of a larger regulation of economic activity, in which the regulatory scheme could be undercut unless the intrastate activity were regulated. It cannot, therefore, be sustained under our cases upholding regulations of activities that arise out of or are connected with a commercial transaction, which viewed in the aggregate, substantially affects interstate commerce.” Id., 115 S.Ct. at 1631 (emphasis added).
In United States v. Bird, 124 F.3d 667 (5th Cir. 1997), this Court quoted with approval the above set out passage from our Lopez opinion (124 F.3d at 676-77) and went on to say:
“Unless there is something that relevantly ties the separate incidents and their effects on interstate commerce together, aside from the desire to justify congressional regulation, the government‘s ‘class of activities’ interpretation would transform Justice Breyer‘s Lopez dissent into the constitutional rule.” Bird at 677.
Arsons under
Application of the aggregation principle to this case, which involves no effort to regulate any interstate market nor any related regulatory scheme, in effect gives Congress the Commerce Clause power to regulate all arsons, a result not supported by the language of the Constitution or the intent of its framers. Judge Benavides’ approach
Judge Benavides would slightly soften this blow by holding that instances of local activity may not be aggregated for purposes of the substantial affect requirement of Lopez‘s third category unless their individual affect on interstate commerce is more than “speculative” or “attenuated,” notwithstanding that if aggregated their total interstate affect would be substantial. No explanation is given of why aggregation is improper in such instances – notwithstanding a substantial affect if aggregated – but nevertheless is proper in
I recognize that language in this Court‘s opinion in United States v. Robinson, 119 F.3d 1205 (1997), supports the position taken
Accordingly, although I concur in the result I am unable to entirely join Judge Benavides’ opinion.
Notes
However, we also observe that Judge Higginbotham‘s dissent on behalf of half of the equally divided en banc court in United States v. Hickman, 179 F.3d 230, 242 (5th Cir. 1999) argues in dicta that the government could use aggregation–albeit under the dissent‘s more narrow theory of aggregation–to satisfy the jurisdictional element of a nexus with interstate commerce in typical prosecutions under
“Certainly when Congress is regulating inter state commercial activity, its reason for doing so is immaterial. But where, as here, Congress is regulating purely intra state, noncommercial activity because of its substantial affect on interstate commerce, the purpose must in fact be to regulate interstate commerce. ‘Let the end be legitimate, let it be within the scope of the constitution, and all means which are appropriate, which are plainly adapted to that end, which are not prohibited, but consist with the letter and spirit of the constitution, are constitutional.’ M‘Culloch v. Maryland, 17 U.S. (4 Wheat.) 316, 421, 4 L.Ed. 579 (1819) (emphasis added). See also id. at 423 (‘should Congress, under the pretext of executing its powers, pass laws for the accomplishment of objects not entrusted to the government,’ Supreme Court would be bound to hold law invalid).”