UNITED STATES v. BASS
No. 70-71
Supreme Court of the United States
December 20, 1971
404 U.S. 336
Argued October 18, 1971
MR. JUSTICE MARSHALL delivered the opinion of the Court.
Respondent was convicted in the Southern District of New York of possessing firearms in violation of Title VII of the Omnibus Crime Control and Safe Streets Act of 1968,
“Any person who-
“(1) has been convicted by a court of the United States or of a State or any political subdivision thereof of a felony . . . and who receives, possesses, or transports in commerce or affecting commerce . . . any firearm shall be fined not more than $10,000 or imprisoned for not more than two years, or both.”1
The evidence showed that respondent, who had previously been convicted of a felony in New York State, possessed
After his conviction,2 respondent unsuccessfully moved for arrest of judgment on two primary grounds: that the statute did not reach possession of a firearm not shown to have been “in commerce or affecting commerce,” and that, if it did, Congress had overstepped its constitutional powers under the Commerce Clause. 308 F. Supp. 1385. The Court of Appeals reversed the conviction, being of the view that if the Government‘s construction of the statute were accepted, there would be substantial doubt about the statute‘s constitutionality. 434 F. 2d 1296. We granted certiorari to resolve a conflict among lower courts over the proper reach of the statute.3 We affirm the judgment of the court below,
I
Not wishing “to give point to the quip that only when legislative history is doubtful do you go to the statute,”5 we begin by looking to the text itself. The critical textual question is whether the statutory phrase “in commerce or affecting commerce” applies to “possesses” and “receives” as well as to “transports.” If it does, then the Government must prove as an essential element of the offense that a possession, receipt, or transportation was “in commerce or affecting commerce“-a burden not undertaken in this prosecution for possession.
While the statute does not read well under either view, “the natural construction of the language” suggests that the clause “in commerce or affecting commerce” qualifies all three antecedents in the list. Porto Rico Railway, Light & Power Co. v. Mor, 253 U. S. 345, 348 (1920). Since “in commerce or affecting commerce” undeniably
In a more significant respect, however, the language of the statute does provide support for respondent‘s reading. Undeniably, the phrase “in commerce or affecting commerce” is part of the “transports” offense. But if that phrase applies only to “transports,” the statute would have a curious reach. While permitting transportation of a firearm unless it is transported “in commerce or affecting commerce,” the statute would prohibit all possessions of firearms, and both interstate and intrastate receipts. Since virtually all transportations, whether interstate or intrastate, involve an accompanying possession or receipt, it is odd indeed to argue that on the one hand the statute reaches all possessions and
Nevertheless, the Government argues that its reading is to be preferred because the defendant‘s narrower interpretation would make Title VII redundant with Title IV of the same Act. Title IV, inter alia, makes it a
In addition, whatever reading is adopted, Title VII and Title IV are, in part, redundant. The interstate commerce requirement in Title VII minimally applies to transportation. Since Title IV also prohibits convicted criminals from transporting firearms in interstate commerce, the two Titles overlap under both readings. The Government‘s broader reading of Title VII does not eliminate the redundancy, but simply creates a larger area in which there is no overlap. While the Government would be on stronger ground if its reading were necessary to give Title VII some unique and independent thrust, this is not the case here. In any event, circumstances surrounding the passage of Title VII make plain that Title VII was not carefully molded to complement Title
Other aspects of the meager legislative history, however, do provide some significant support for the Government‘s interpretation. On the Senate floor, Senator Long, who introduced
In short, “the legislative history of [the] Act hardly speaks with that clarity of purpose which Congress supposedly furnishes courts in order to enable them to enforce its true will.” Universal Camera Corp. v. NLRB, 340 U. S. 474, 483 (1951). Here, as in other cases, the various remarks by legislators “are sufficiently ambiguous insofar as this narrow issue is concerned . . . to invite mutually destructive dialectic,” and not much more.
II
Given this ambiguity, we adopt the narrower reading: the phrase “in commerce or affecting commerce” is part of all three offenses, and the present conviction must be set aside because the Government has failed to show the requisite nexus with interstate commerce. This result is dictated by two wise principles this Court has long followed.
First, as we have recently reaffirmed, “ambiguity concerning the ambit of criminal statutes should be resolved in favor of lenity.” Rewis v. United States, 401 U. S. 808, 812 (1971). See also Ladner v. United States, 358 U. S. 169, 177 (1958); Bell v. United States, 349 U. S. 81 (1955); United States v. Five Gambling Devices, 346 U. S. 441 (1953) (plurality opinion for affirmance). In various ways over the years, we have stated that “when choice has to be made between two readings of what conduct Congress has made a crime, it is appropriate, before we choose the harsher alternative, to require that Congress should have spoken in language that is clear and definite.” United States v. Universal C. I. T. Credit Corp., 344 U. S. 218, 221-222 (1952).
III
Having concluded that the commerce requirement in
The judgment is
Affirmed.
MR. JUSTICE BRENNAN joins the judgment of the Court and the opinion except for Part III. No question of the quantum of evidence necessary to establish the Government‘s prima facie case is before the Court and he would await a case properly presenting that question before deciding it.
MR. JUSTICE BLACKMUN, with whom THE CHIEF JUSTICE joins, dissenting.
I cannot join the Court‘s opinion and judgment. Five of the six United States courts of appeals that have passed upon the issue presented by this case have decided it adversely to the position urged by the respondent here. United States v. Cabbler, 429 F. 2d 577 (CA4 1970), cert. denied, 400 U. S. 901; United States v. Mullins, 432 F. 2d 1003 (CA4 1970); United States v. Donofrio, 450 F. 2d 1054 (CA5 1971); Stevens v. United States, 440 F. 2d 144 (CA6 1971) (one judge dissenting); United States v. Synnes, 438 F. 2d 764 (CA8 1971); United States v. Wiley, 438 F. 2d 773 (CA8 1971); United States v. Taylor, 438 F. 2d 774 (CA8 1971); United States v. Daniels, 431 F. 2d 697 (CA9 1970); United States v. Crow, 439 F. 2d 1193 (CA9 1971). Only the Second Circuit stands opposed.1
1. The statute,
2. The meaning the Court implants on the statute is justified only by the addition and interposition of a comma after the word “transports.” I perceive no warrant for this judicial transfiguration.
4. The specific finding in
5. Senator Long‘s explanatory comments reveal clearly the purpose, the intent, and the extent of the legislation:
“I have prepared an amendment which I will offer at an appropriate time, simply setting forth the fact that anybody who has been convicted of a felony . . . is not permitted to possess a firearm . . . .”
“It might be well to analyze, for a moment, the logic involved. When a man has been convicted of a felony, unless-as this bill sets forth-he has been expressly pardoned by the President and the pardon states that the person is to be permitted to possess firearms in the future, that man would have no right
to possess firearms. He would be punished criminally if he is found in possession of them.” 114 Cong. Rec. 13868 (emphasis supplied). “So Congress simply finds that the possession of these weapons by the wrong kind of people is either a burden on commerce or a threat that affects the free flow of commerce.
“You cannot do business in an area, and you certainly cannot do as much of it and do it as well as you would like, if in order to do business you have to go through a street where there are burglars, murderers, and arsonists armed to the teeth against innocent citizens. So the threat certainly affects the free flow of commerce.” 114 Cong. Rec. 13869 (emphasis supplied).
“What the amendment seeks to do is to make it unlawful for a firearm-be it a handgun, a machinegun, a long-range rifle, or any kind of firearm-to be in the possession of a convicted felon who has not been pardoned and who has therefore lost his right to possess firearms. . . . It also relates to the transportation of firearms.
. . . .
“Clauses 1-5 describe persons who, by their actions, have demonstrated that they are dangerous, or that they may become dangerous. Stated simply, they may not be trusted to possess a firearm without becoming a threat to society. This title would apply both to hand guns and to long guns.
“All of these murderers had shown violent tendencies before they committed the crime for which they are most infamous. They should not have been permitted to possess a gun. Yet, there is no Federal law which would deny possession to these undesirables.
“The killer of Medgar Evers, the murderer of the three civil rights workers in Mississippi, the defendants who shot Captain Lemuel Penn (on a highway while he was driving back to Washington after completion of reserve Military duty) would all be free under present Federal law to acquire another gun and repeat those same sorts of crimes in the future. “So, under Title VII, every citizen could possess a gun until the commission of his first felony. Upon his conviction, however, Title VII would deny every assassin, murderer, thief and burglar of the right to possess a firearm in the future except where he has been pardoned by the President or a State Governor and has been expressly authorized by his pardon to possess a firearm.
“It has been said that Congress lacks the power to outlaw mere possession of weapons. . . .
“. . . The important point is that this legislation demonstrates that possession of a deadly weapon by the wrong people can be controlled by Congress, without regard to where the police power resides under the Constitution.
“Without question, the Federal Government does have power to control possession of weapons where such possession could become a threat to interstate commerce . . . .
“State gun control laws where they exist have proven inadequate to bar possession of firearms from those most likely to use them for unlawful purposes. . . .
“Nor would Title VII impinge upon the rights of citizens generally to possess firearms for legitimate and lawful purposes. It deals solely with those
who have demonstrated that they cannot be trusted to possess a firearm-those whose prior acts-mostly voluntary-have placed them outside of our society. . . . “. . . I am convinced that we have enough constitutional power to prohibit these categories of people from possessing, receiving, or transporting a firearm. . . .
“This amendment would provide that a convicted felon who participates in one of these marches and is carrying a firearm would be violating the law. . . .” 114 Cong. Rec. 14773-14774 (emphasis supplied).
One cannot detect in these remarks any purpose to restrict or limit the type of possession that was being considered for proscription.
6. The Court‘s construction of
I thus conclude that
Notes
“Any person who-
“(1) has been convicted by a court of the United States or of a State or any political subdivision thereof of a felony, or
“(2) has been discharged from the Armed Forces under dishonorable conditions, or
“(3) has been adjudged by a court of the United States or of a State or any political subdivision thereof of being mentally incompetent, or
“(4) having been a citizen of the United States has renounced his citizenship, or
“(5) being an alien is illegally or unlawfully in the United States, and who receives, possesses, or transports in commerce or affecting commerce, after the date of enactment of this Act, any firearm shall be fined not more than $10,000 or imprisoned for not more than two years, or both.” Unappealed district court decisions are in conflict. Those upholding the Government‘s position include United States v. Davis, 314 F. Supp. 1161 (ND Miss. 1970); United States v. Vicary, No. CR 44,205 (ED Mich., June 29, 1970) (en banc); United States v. Childress, No. 8039-R (ED Va., Jan. 6, 1969); United States v. Boggs, No. 8138 (Wyo., June 17, 1970). Those opposed include United States v. Harbin, 313 F. Supp. 50 (ND Ind. 1970); United States v. Steed, No. CR 70-57 (WD Tenn., May 11, 1970); United States v. Phelps, No. CR 14,465 (MD Tenn., Feb. 10, 1970); United States v. Francis, No. CR 12,684 (ED Tenn., Dec. 12, 1969).
“The Congress hereby finds and declares that the receipt, possession, or transportation of a firearm by felons . . . constitutes-
“(1) a burden on commerce or threat affecting the free flow of commerce . . . .”
The Government, noting that there is no comma after “transports,” argues that the punctuation indicates a congressional intent to limit the qualifying phrase to the last antecedent. But many leading grammarians, while sometimes noting that commas at the end of series can avoid ambiguity, concede that use of such commas is discretionary. See, e. g., B. Evans & C. Evans, A Dictionary of Contemporary American Usage 103 (1957); M. Nicholson, A Dictionary of American-English Usage 94 (1957); R. Copperud, A Dictionary of Usage and Style 94-95 (1964); cf. W. Strunk & E. White, The Elements of Style 1-2 (1959). When grammarians are divided, and surely where they are cheerfully tolerant, we will not attach significance to an omitted comma. It is enough to say that the statute‘s punctuation is fully consistent with the respondent‘s interpretation, and that in this case grammatical expertise will not help to clarify the statute‘s meaning.
Title IV reaches persons “under indictment for, or . . . convicted in any court of, a crime punishable by imprisonment for a term exceeding one year“; fugitives from justice; users or addicts of various drugs; persons adjudicated as “mental defective[s] or committed” to a mental institution.
“[T]he Act is confined to the receipt of firearms or ammunition as a part of interstate transportation and does not extend to the receipt, in an intrastate transaction, of such articles which, at some prior time, have been transported interstate.” Id., at 466.
While the reach of Title IV itself is a question to be decided finally some other day, the Government has presented here no learning or other evidence indicating that the 1968 Act changed the prior approach to the “receipt” offense. See, e. g., S. Rep. No. 1097, 90th Cong., 2d Sess., 115 (1968).
On May 17, 1968, Senator Long introduced on the floor his amendment to S. 917, which he designated Title VII. His introductory remarks set forth the purpose of the amendment. 114 Cong. Rec. 13867-13869. About a week later he explained his amendment once again. There was a brief debate; the reaction was favorable but cautious, with “further thought” and “study” being suggested by several favorably inclined Senators who observed some problems with the bill as drafted. Unexpectedly, however, there was a call for a vote and Title VII passed without modification. See 114 Cong. Rec. 14772-14775. The amendment received only passing mention in the House discussion of the bill, 114 Cong. Rec. 16286, 16298, and never received committee consideration or study in the House either.
“I have prepared an amendment which I will offer at an appropriate time, simply setting forth the fact that anybody who has been convicted of a felony [or comes within certain other categories] . . . is not permitted to possess a firearm . . . .” 114 Cong. Rec. 13868.
“The Congress hereby finds and declares that the receipt, possession, or transportation of a firearm by felons, veterans who are discharged under dishonorable conditions, mental incompetents, aliens who are illegally in the country, and former citizens who have renounced their citizenship, constitutes-
“(1) a burden on commerce or threat affecting the free flow of commerce,
“(2) a threat to the safety of the President of the United States and Vice President of the United States,
“(3) an impediment or a threat to the exercise of free speech and the free exercise of a religion guaranteed by the first amendment to the Constitution of the United States, and
“(4) a threat to the continued and effective operation of the Government of the United States and of the government of each State guaranteed by article IV of the Constitution.”
The Government argues that these findings would have been “wholly unnecessary” unless Congress intended to prohibit all receipts and possessions of firearms by felons. But these findings of “burdens” and “threats” simply state Congress’ view of the constitutional basis for its power to act; the findings do not tell us how much of Congress’ perceived power was in fact invoked. That the findings in fact support a statute broader than the one actually passed is suggested by the fact that “in commerce or affecting commerce” does not appear at all in the introductory clause to the “findings,” even though § 1202 (a) contains the phrase and concededly reaches only transportation “in commerce or affecting commerce.”
