UNITED STATES OF AMERICA,
Plaintiff-Appellant,
versus
TIMOTHY JOE EMERSON,
Defendant-Appellee.
Appeals from the United States District Court
for the Northern District of Texas
October 16, 2001
Before GARWOOD, DeMOSS and PARKER, Circuit Judges.
GARWOOD, Circuit Judge:
The United States appeals the district court’s dismissal of the indictment
of Defendant-Appellee Dr. Timothy Joe Emerson (Emerson) for violating 18
U.S.C. § 922(g)(8)(C)(ii). The district court held that section
922(g)(8)(C)(ii) was unconstitutional on its face under the Second Amendment
and as applied to Emerson under the Due Process Clause of the Fifth Amendment.
We reverse and remand.
Facts and Proceedings Below
On August 28, 1998, Sacha Emerson, Emerson’s wife, filed a petition
for divorce in the 119th District Court of Tom Green County, Texas.
The petition also requested, inter alia, a temporary injunction enjoining
Emerson from engaging in any of twenty-nine enumerated acts. On September
4, 1998, Judge Sutton held a temporary orders evidentiary hearing.
Sacha Emerson was represented by counsel while Emerson appeared pro se.
There is no evidence that Emerson was unable (financially or otherwise)
to retain counsel for the hearing or that he desired representation by
counsel on that occasion. He announced ready at the beginning of
the September 4 hearing. Almost all of Sacha Emerson’s direct testimony
concerned financial matters, but the following relevant exchange took place
on direct examination by her attorney:
Q You are here today asking the Court for temporary orders regarding
yourself and your daughter; is that correct?
A Yes.
Q You have asked in these restraining orders regarding Mr. Emerson in that he not communicate with you in an obscene, vulgar, profane, indecent manner, in a coarse or offensive manner?
A Yes.
Q He has previous to today threatened to kill you; is that correct?
A He hasn’t threatened to kill me. He’s threatened to kill a friend of mine.
Q Okay. And he has threatened – he has made some phone calls to you about that?
A Yes.
Emerson declined an opportunity to cross-examine Sacha and presented
no evidence tending to refute any of her above quoted testimony or to explain
his conduct in that respect. In his testimony he stated in another
connection, among other things, that he was suffering from “anxiety” and
was not “mentally in a good state of mind.”
On September 14, 1998, Judge Sutton issued a temporary order that included
a “Temporary Injunction” which stated that Emerson “is enjoined from” engaging
in any of twenty-two enumerated acts, including the following:
“2. Threatening Petitioner in person, by telephone, or in writing to
take unlawful action against any person.”
“4. Intentionally, knowingly, or recklessly causing bodily injury to
Petitioner or to a child of either party.”
“5. Threatening Petitioner or a child of either party with imminent
bodily injury.”
The order provides that it “shall continue in force until the
signing of the final decree of divorce or until further order of this court.”
The September 14, 1998 order did not include any express finding that Emerson
posed a future danger to Sacha or to his daughter Logan. There
is nothing to indicate that Emerson ever sought to modify or challenge
any of the provisions of the September 14, 1998 order.
On December 8, 1998, the grand jury for the Northern District
of Texas, San Angelo division, returned a five-count indictment against
Emerson. The government moved to dismiss counts 2 through 5, which
motion the district court subsequently granted. Count 1, the
only remaining count and the count here at issue, alleged that Emerson
on November 16, 1998, unlawfully possessed “in and affecting interstate
commerce” a firearm, a Beretta pistol, while subject to the above mentioned
September 14, 1998 order, in violation of 18 U.S.C. § 922(g)(8).
It appears that Emerson had purchased the pistol on October 10, 1997, in
San Angelo, Texas, from a licensed firearms dealer. Emerson does
not claim that the pistol had not previously traveled in interstate or
foreign commerce. It is not disputed that the September 14, 1998
order was in effect at least through November 16, 1998.
Emerson moved pretrial to dismiss the indictment, asserting that section
922(g)(8), facially and as applied to him, violates the Second Amendment
and the Due Process Clause of the Fifth Amendment. He also moved
to dismiss on the basis that section 922(g)(8) was an improper exertion
of federal power under the Commerce Clause and that, in any case, the law
unconstitutionally usurps powers reserved to the states by the Tenth Amendment.
An evidentiary hearing was held on Emerson’s motion to dismiss.
The district court granted Emerson’s motions to dismiss. Subsequently,
the district court issued an amended memorandum opinion reported at 46
F.Supp.2d 598 (N.D. Tex. 1999). The district court held that dismissal
of the indictment was proper on Second or Fifth Amendment grounds, but
rejected Emerson’s Tenth Amendment and Commerce Clause arguments.
The government appealed. Emerson filed a notice of cross-appeal,
which was dismissed by this Court. The government challenges the
district court’s dismissal on Second and Fifth Amendment grounds.
Emerson defends the district court’s dismissal on those grounds and also
urges that dismissal was in any event proper under the Commerce Clause
and on statutory grounds.
Discussion
I. Construction of 18 U.S.C. § 922(g)(8)
18 U.S.C. § 922 provides in relevant part:
“(g) It shall be unlawful for any person–
....
(8) who is subject to a court order that–
(A) was issued after a hearing of which such person received actual
notice, and at which such person had an opportunity to participate;
(B) restrains such person from harassing, stalking, or threatening
an intimate partner of such person or child of such intimate partner or
person, or engaging in other conduct that would place an intimate partner
in reasonable fear of bodily injury to the partner or child; and
(C)(i) includes a finding that such person represents a credible threat
to the physical safety of such intimate partner or child; or
(ii) by its terms explicitly prohibits the use, attempted use, or threatened
use of physical force against such intimate partner or child that would
reasonably be expected to cause bodily injury; or
....
to ship or transport in interstate or foreign commerce, or possess
in or affecting commerce, any firearm or ammunition; or to receive any
firearm or ammunition which has been shipped or transported in interstate
or foreign commerce.”
Emerson argues that section 922(g)(8)(C)(ii) should be construed
to require that the particular predicate court order include an explicit
finding that the person enjoined posed a credible threat of violence to
his spouse or child. Emerson further argues that the statute must
also be read to require that the predicate order be supported by sufficient
evidence before the court entering it to sustain such a finding, so that
the court in the criminal prosecution must examine the record in the proceeding
before the court entering the predicate order and must acquit the defendant
in the criminal case if the evidence before the court entering the predicate
order was not sufficient to sustain such a finding. It is, of course,
our duty to construe a statute so as to avoid any serious constitutional
questions. However, the statute must be susceptible to that construction,
i.e. our construction must be fairly possible; the duty to avoid constitutional
questions is not a license to rewrite the statute. Jones v. United
States, 119 S.Ct. 1215, 1222 (1999); Feltner v. Columbia Pictures Television,
Inc., 118 S.Ct. 1279, 1283 (1998); United States v. Albertini, 105 S.Ct.
2897, 2902 (1985). “If the statutory language is unambiguous, in
the absence of ‘a clearly expressed legislative intent to the contrary,
that language must ordinarily be regarded as conclusive.’” Russello
v. United States, 104 S.Ct. 296, 299 (1983) (quoting United States v. Turkette,
101 S.Ct. 2524, 2527 (1981)). In addition, if uncertainty remains
after an examination of the statute’s text, its legislative history and
the policies it advances, the rule of lenity requires this uncertainty
to be resolved in favor of Emerson. United States v. Prestenbach,
230 F.3d 780, n.23 (5th Cir. 2000).
Turning first to Emerson’s second statutory argument, there is
nothing in the text of the statute to support it. Moreover, it is
contrary to uniform construction of section 922(g) and its predecessors
under which the courts have construed this and other similar subsections
of section 922. See, e.g., Lewis v. United States, 100 S.Ct. 915
(1980); United States v. Chambers, 922 F.2d 228, 232-40 (5th Cir. 1991).
Just as Lewis observed that “nothing [in the statutory text] suggests any
restriction on the scope of the term ‘convicted,’” id. at 918, so also
nothing in section 922(g)(8) suggests that the validity of the particular
predicate court order may be inquired into in the section 922(g)(8) criminal
prosecution. Moreover, this is consistent with the long standing
federal rule that violation of an injunction that is subsequently invalidated
may, at least so long as it cannot be characterized as having only a transparent
or frivolous pretense to validity, be punished as criminal contempt.
See Chambers at 239-40; National Maritime Union v. Aquaslide ‘N’ Drive
Corp., 737 F.2d 1395, 1399-1400 (5th Cir. 1984).
We likewise reject the argument that section 922(g)(8) requires
that the predicate order contain an express judicial finding that the defendant
poses a credible threat to the physical safety of his spouse or child.
If the requirements of 922(g)(8)(A) and (B) are fulfilled, then by its
terms section 922(g)’s firearms disability attaches if either clause (C)(i)
or clause (C)(ii) applies. Although an express judicial finding of
future dangerousness pursuant to section 922(g)(8)(C)(i) is one way section
922(g)(8)’s firearms disability can attach, to construe section 922(g)(8)
as always requiring an express judicial finding would be to substitute
the word “and” for the word “or” that appears at the end of 922(g)(8)(C)(i).
If Congress intended to require an express judicial finding, it would have
arranged the elements as 922(g)(8)(A)-(D) and used the word “and” rather
than “or” to join them.
Notwithstanding the lack of textual ambiguity, Emerson maintains
that we should either imply the express judicial finding requirement into
section 922(g)(8) or at least recognize the lack of an express judicial
finding as an affirmative defense to section 922(g)(8). He argues
that, without the requirement of an express judicial finding, sections
922(g)(8)(B) and (C)(ii) are redundant while section 922(g)(8)(A) is rendered
a nullity. While there is some overlap between section 922(g)(8)(B)
and (C)(ii), each still has some independent scope in the statutory scheme.
Section 922(g)(8)(B) broadly refers to orders that restrain harassing,
stalking or threatening. It is quite possible that an order could
surmount the section 922(g)(8)(B) hurdle and yet only fulfill one of the
section 922(g)(8)(C) criteria. Congress obviously felt that if the
order only “restrains” harassing, stalking, threatening, or otherwise causing
fear of injury, an express judicial finding of a credible threat of violence
was necessary. Section 922(g)(8)(B) and (C)(i). However, if
the order “by its terms explicitly prohibits” the use, attempted use or
threatened use of physical force, no such express finding was necessary.
Section 922(g)(8)(C)(ii). Thus, Congress affirmatively drew a distinction
between orders “explicitly prohibiting” the actual, attempted or threatened
physical attack and those merely “restraining” stalking or harassment.
It is true that both sections embrace orders that proscribe threats, but
this degree of congruence is insufficient to overcome the plain meaning
of the text. Nor do we agree that the absence of a requirement
of an express judicial finding renders section 922(g)(8)(A) a nullity.
Emerson also argues that the word “restrain”, as used in 922(g)(8)(B),
necessarily requires an express judicial finding that the defendant poses
a credible threat of violence to his spouse or child. The argument
is simply that both temporary and permanent injunctions traditionally require,
in addition to notice and hearing, some express judicial finding supporting
the court’s order. While this may be generally true, it is not invariably
the case that injunctions must contain such findings and, more importantly,
the argument made does not overcome the fact that Congress specifically
required notice and hearing in all section 922(g)(8) cases but affirmatively
and specifically required an express finding only in cases governed by
clause (C)(i). The crux of the matter is that we cannot imply in
clause (C)(ii) an express finding requirement that is not stated in it
while being affirmatively and specifically stated in clause (C)(i).
Relying on the legislative history of section 922(g)(8), Emerson and
amicus the State of Alabama contend that all three versions of the bill
(one from the House, two from the Senate) that went to the Conference Committee
required an express judicial finding. They contend that the real
purpose of section 922(g)(8)(C)(ii) is to close a “loophole” in section
922(g)(8) that would have prevented it from applying if the express judicial
finding was not in the order itself, but instead, for example, in an accompanying
memorandum. We find neither argument ultimately persuasive.
Contrary to the assertions of Emerson and the State of Alabama, one of
the Senate versions of the bill that went to the Conference Committee did
authorize a firearms disability without any express judicial finding.
This version resulted from amendment 1179 to S.1607, submitted by Senator
Biden for Senator Wellstone on November 10, 1993. Amendment 1179
provided, in relevant part:
“(8)(A) has been convicted in any court of an offense that-
(i) involves the use, attempted use, or threatened use of physical
force against a person who is a spouse, former spouse, domestic partner,
child, or former child of the person; or
(ii) by its nature, involves a substantial risk that physical force
against a person who is a spouse, former spouse, domestic partner, child,
or former child of the person may be used in the course of committing the
offense; or
(B) is required, pursuant to an order issued by any court in a case
involving a person described in subparagraph (A), to refrain from any contact
with or to maintain a minimum distance from that person, or to refrain
from abuse, harassment, or stalking of that person.”
139 Cong. Rec. S15638-03, *S15650. This language was sent
to the Conference Committee on November 24, 1993, and clearly contemplates
a firearms disability without either a conviction or an express judicial
finding of future dangerousness. 139 Cong. Rec. S17095-03, *S17174.
Emerson’s contention that 922(g)(8)(C)(ii)’s presence in the statute cannot
be explained by anything sent to the Conference Committee is unfounded.
Similarly, there is nothing in the legislative history suggesting that
Congress, or any of its committees or members, ever addressed, considered
or had called to its or their attention the supposed “loophole” in the
statutory scheme now put forth by Emerson.
Because the construction urged by Emerson is not fairly possible, we
must decline his invitation to rewrite section 922(g)(8). Likewise,
because section 922(g)(8) is not ambiguous, the rule of lenity provides
no basis for relief.
II. Due Process Clause of the Fifth Amendment
The district court held that prosecution for violating section
922(g)(8) would deprive Emerson of his Fifth Amendment right to Due Process
because: 1) Dr. Emerson did not know that possession of a firearm while
being subject to the September 14, 1998 order was a crime; 2) section 922(g)(8)
is an “obscure criminal provision” that would be difficult for Emerson
to discover; 3) there is nothing inherently evil about possessing a firearm;
and 4) Emerson had no reason to suspect that being subject to the September
14, 1998 order would criminalize otherwise lawful behavior. United
States v. Emerson, 46 F.Supp.2d 598, 611-13. The district court relied
upon Lambert v. California, 78 S.Ct. 240, 243 (1957), in which the Supreme
Court struck down a Los Angeles law requiring resident felons to register
with the city. The Supreme Court observed that: 1) the defendant
had been prosecuted for passive activity; 2) the defendant was unaware
of the need to register; 3) circumstances that would have prompted an inquiry
into the necessity of registration were lacking; and 4) an average member
of the community would not consider the punished conduct blameworthy.
Id.
At the outset, we note that “[t]he sweep of the Lambert case
has been limited by subsequent decisions of the Supreme Court, lest it
swallow the general rule that ignorance of the law is no excuse.”
United States v. Giles, 640 F.2d 621, 628 (5th Cir. 1981). 18 U.S.C.
§ 924(a)(2) provides that the required mens rea for conviction under
section 922(g) is knowledge (“Whoever knowingly violates subsection . .
. (g) . . . of section 922 . . .”). “Knowingly”–in contrast to at
least some uses of “wilfully”–does not require that the defendant know
that his actions are unlawful, but only that he know he is engaging in
the activity that the legislature has proscribed. Bryan v. United
States, 118 S.Ct. 1939, 1945-47 (1998). Bryan explained that Staples
v. United States, 114 S.Ct. 1793 (1994), exemplifies this distinction.
In Staples, the Supreme Court held that conviction for unlawful possession
of a machine gun did not require knowledge that machine gun possession
was unlawful, but only knowledge that the weapon possessed was a machine
gun. Bryan, 118 S.Ct. at 1946 (under Staples “[i]t was not, however,
necessary, to prove that the defendant knew that his possession was unlawful”).
Here, there is no question that Emerson was aware that on November 16,
1998, he actively possessed a firearm of the kind covered by the statute
while subject to the September 14, 1998 order or that he misapprehended
the actual contents of that order.
Moreover, Emerson filled out and signed BATF Form 4473 when,
on October 10, 1997, he purchased the Beretta semi-automatic pistol referred
to in Count 1. This afforded notice to Emerson that so long as he
was under a court order such as that of September 14, 1998, federal law
prohibited his continued possession of that weapon. In
Giles, we distinguished Lambert on this basis (as well as others), noting
“Giles’ situation, of course, is far different from that of Ms. Lambert,
for he was directly confronted with accurate written notice of the conduct
proscribed by the statute [then § 922(h)(1)] when he filled out and
signed a Form 4473 as part of each firearm purchase.” Giles, 640
F.2d at 628. Finally, we agree with the district court that firearms
ownership is not inherently evil or suspect and that thus a certain mens
rea is required. Staples, 114 S.Ct. at 1799-1801. However,
Bryan and Staples make clear that the necessary mens rea in this context
does not require knowledge of the law but merely of the legally relevant
facts. Giles rejects application of Lambert at least where, as here,
there is the notice provided by the Form 4473. For these reasons,
we hold that Emerson’s case does not merit relief under Lambert, and that
the district court erred when it granted Emerson’s motion to dismiss the
indictment as violating his Fifth Amendment Due Process rights on that
basis.
III. Commerce Clause
The district court rejected Emerson’s contention that, in enacting
section 922(g)(8), Congress exceeded its power under the Commerce Clause.
As the district court noted, this Court has held that, because section
922(g)(8) only criminalizes the possession of firearms or ammunition “in
or affecting commerce” and the reception of firearms that have been “shipped
or transported in interstate or foreign commerce”, Congress did not exceed
its Article I, Section 8 powers in enacting it. United States v.
Pierson, 139 F.3d 501, 503 (5th Cir.), cert. denied, 119 S.Ct. 220 (1998).
Accordingly, the district court, as bound by this precedent as we are,
did not err in denying Emerson’s motion to dismiss the indictment on Commerce
Clause grounds.
IV. Tenth Amendment
The district court held that congressional enactment of section 922(g)(8)
did not violate the Tenth Amendment to the Constitution. Finding
no reference to this issue in Emerson’s brief to this Court, we must consider
his Tenth Amendment claim abandoned.
V. Second Amendment
The Second Amendment provides:
“A well regulated Militia, being necessary to the security of a free
State, the right of the people to keep and bear arms, shall not be infringed.”
A. Introduction and Overview of Second Amendment Models
The district court held that the Second Amendment recognizes the right
of individual citizens to own and possess firearms, and declared that section
922(g)(8) was unconstitutional on its face because it requires that a citizen
be disarmed merely because of being subject to a “boilerplate [domestic
relations injunctive] order with no particularized findings.” Emerson,
46 F.Supp.2d at 611. The government opines that stare decisis requires
us to reverse the district court’s embrace of the individual rights model.
Amici for the government argue that even if binding precedent does not
require reversal, the flaws in the district court’s Second Amendment analysis
do.
In the last few decades, courts and commentators have offered
what may fairly be characterized as three different basic interpretations
of the Second Amendment. The first is that the Second Amendment does
not apply to individuals; rather, it merely recognizes the right of a state
to arm its militia. This “states’ rights” or “collective rights”
interpretation of the Second Amendment has been embraced by several of
our sister circuits. The government commended the states’ rights
view of the Second Amendment to the district court, urging that the Second
Amendment does not apply to individual citizens.
Proponents of the next model admit that the Second Amendment
recognizes some limited species of individual right. However, this
supposedly “individual” right to bear arms can only be exercised by members
of a functioning, organized state militia who bear the arms while and as
a part of actively participating in the organized militia’s activities.
The “individual” right to keep arms only applies to members of such a militia,
and then only if the federal and state governments fail to provide the
firearms necessary for such militia service. At present, virtually
the only such organized and actively functioning militia is the National
Guard, and this has been the case for many years. Currently, the
federal government provides the necessary implements of warfare, including
firearms, to the National Guard, and this likewise has long been the case.
Thus, under this model, the Second Amendment poses no obstacle to the wholesale
disarmament of the American people. A number of our sister circuits
have accepted this model, sometimes referred to by commentators as the
sophisticated collective rights model. On appeal the government
has abandoned the states’ rights model and now advocates the sophisticated
collective rights model.
The third model is simply that the Second Amendment recognizes
the right of individuals to keep and bear arms. This is the view
advanced by Emerson and adopted by the district court. None of our
sister circuits has subscribed to this model, known by commentators as
the individual rights model or the standard model. The individual
rights view has enjoyed considerable academic endorsement, especially in
the last two decades.
We now turn to the question of whether the district court erred in
adopting an individual rights or standard model as the basis of its construction
of the Second Amendment.
B. Stare Decisis and United States v. Miller
The government steadfastly maintains that the Supreme Court’s
decision in United States v. Miller, 59 S.Ct. 816 (1939), mandated acceptance
of the collective rights or sophisticated collective rights model, and
rejection of the individual rights or standard model, as a basis for construction
of the Second Amendment. We disagree.
Only in United States v. Miller has the Supreme Court rendered
any holding respecting the Second Amendment as applied to the federal government.
There, the indictment charged the defendants with transporting in interstate
commerce, from Oklahoma to Arkansas, an unregistered “Stevens shotgun having
a barrel less than 18 inches in length” without having the required stamped
written order, contrary to the National Firearms Act. The defendants
filed a demurrer challenging the facial validity of the indictment on the
ground that “[t]he National Firearms Act . . . offends the inhibition of
the Second Amendment,” and “[t]he District Court held that section 11 of
the Act [proscribing interstate transportation of a firearm, as therein
defined, that lacked registration or a stamped order] violates the Second
Amendment. It accordingly sustained the demurrer and quashed the
indictment.” Id. at 817-18. The government appealed, and we
have examined a copy of its brief. The Miller defendants neither
filed any brief nor made any appearance in the Supreme Court.
The government’s Supreme Court brief “[p]reliminarily” points out that:
“. . . the National Firearms Act does not apply to all firearms but
only to a limited class of firearms. The term ‘firearm’ is defined
in Section 1 of the Act. . . to refer only to ‘a shotgun or rifle having
a barrel of less than 18 inches in length, or any other weapon, except
a pistol or revolver, from which a shot is discharged by an explosive if
such weapon is capable of being concealed on the person, or a machine gun,
and includes a muffler or silencer for any firearm whether or not such
firearm is included within the foregoing definition.’” (id. at 6).
In this connection the brief goes on to assert that it is “indisputable
that Congress was striking not at weapons intended for legitimate use but
at weapons which form the arsenal of the gangster and the desperado” (id.
at 7) and that the National Firearms Act restricts interstate transportation
“of only those weapons which are the tools of the criminal” (id. at 8).
The government’s brief thereafter makes essentially two legal arguments.
First, it contends that the right secured by the Second Amendment is
“only one which exists where the arms are borne in the militia or some
other military organization provided for by law and intended for the protection
of the state.” Id. at 15. This, in essence, is the sophisticated
collective rights model.
The second of the government’s two arguments in Miller is reflected
by the following passage from its brief:
“While some courts have said that the right to bear arms includes the
right of the individual to have them for the protection of his person and
property as well as the right of the people to bear them collectively (People
v. Brown, 253 Mich. 537; State v. Duke, 42 Tex. 455), the cases are unanimous
in holding that the term “arms” as used in constitutional provisions refers
only to those weapons which are ordinarily used for military or public
defense purposes and does not relate to those weapons which are commonly
used by criminals. Thus in Aymette v. State [2 Humph., Tenn. 154
(1840)], supra, it was said (p. 158):
‘As the object for which the right to keep and bear arms is secured,
is of general and public nature, to be exercised by the people in a body,
for their common defence, so the arms, the right to keep which is secured,
are such as are usually employed in civilized warfare, and that constitute
the ordinary military equipment. If the citizens have these arms
in their hands, they are prepared in the best possible manner to repel
any encroachments upon their rights by those in authority. They need
not, for such a purpose, the use of those weapons which are usually employed
in private broils, and which are efficient only in the hands of the robber
and the assassin. These weapons would be useless in war. They
could not be employed advantageously in the common defence of the citizens.
The right to keep and bear them, is not, therefore, secured by the constitution.’”
(Id. at 18-19).
The government’s Miller brief then proceeds (at pp. 19-20) to
cite various other state cases, and Robertson v. Baldwin, 17 S.Ct. 326,
329 (1897), in support of its second argument, and states:
“That the foregoing cases conclusively establish that the Second
Amendment has relation only to the right of the people to keep and bear
arms for lawful purposes and does not conceivably relate to weapons of
the type referred to in the National Firearms Act cannot be doubted.
Sawed-off shotguns, sawed-off rifles and machine guns are clearly weapons
which can have no legitimate use in the hands of private individuals.”
Thereafter, the government’s brief in its “conclusion” states:
“. . . we respectfully submit that Section 11 of the National Firearms
Act does not infringe ‘the right of the people to keep and bear arms’ secured
by the Second Amendment.”
Miller reversed the decision of the district court and “remanded for
further proceedings.” Id. at 820. We believe it is entirely
clear that the Supreme Court decided Miller on the basis of the government’s
second argument–that a “shotgun having a barrel of less than eighteen inches
in length” as stated in the National Firearms Act is not (or cannot merely
be assumed to be) one of the “Arms” which the Second Amendment prohibits
infringement of the right of the people to keep and bear–and not on the
basis of the government’s first argument (that the Second Amendment protects
the right of the people to keep and bear no character of “arms” when not
borne in actual, active service in the militia or some other military organization
provided for by law”). Miller expresses its holding, as follows:
“In the absence of any evidence tending to show that possession
or use of a ‘shotgun having a barrel of less than eighteen inches in length’
at this time has some reasonable relationship to the preservation or efficiency
of a well regulated militia, we cannot say that the Second Amendment guarantees
the right to keep and bear such an instrument. Certainly it is not
within judicial notice that this weapon is any part of the ordinary military
equipment or that its use could contribute to the common defense.
Aymette v. State of Tennessee, 2 Humph., Tenn. 154, 158.” Id. at
818 (emphasis added).
Note that the cited page of Aymette (p. 158) is the page from which
the government’s brief quoted in support of its second argument (see text
at call for n.16 supra).
Nowhere in the Court’s Miller opinion is there any reference to the
fact that the indictment does not remotely suggest that either of the two
defendants was ever a member of any organized, active militia, such as
the National Guard, much less that either was engaged (or about to be engaged)
in any actual military service or training of such a militia unit when
transporting the sawed-off shotgun from Oklahoma into Arkansas. Had
the lack of such membership or engagement been a ground of the decision
in Miller, the Court’s opinion would obviously have made mention of it.
But it did not.
Nor do we believe that any other portion of the Miller opinion
supports the sophisticated collective rights model.
Just after the above quoted portion of its opinion, the Miller court
continued in a separate paragraph initially quoting the militia clauses
of article 1, § 8 (clauses 15 and 16) and concluding:
“With obvious purpose to assure the continuation and render possible
the effectiveness of such forces [militia] the declaration and guarantee
of the Second Amendment were made. It must be interpreted and applied
with that end in view.” Id. at 818.
Miller then proceeds to discuss what was meant by the term “militia,”
stating in part:
“The signification attributed to the term Militia appears from the
debates in the Convention, the history and legislation of Colonies and
States, and the writings of approved commentators. These show plainly
enough that the Militia comprised all males physically capable of acting
in concert for the common defense. . . . ordinarily when called for service
these men were expected to appear bearing arms supplied by themselves and
of the kind in common use at the time.
. . .
“The American Colonies In the 17th Century,” Osgood, Vol. 1, ch. XIII,
affirms in reference to the early system of defense in New England–
“In all the colonies, as in England, the militia system was based on
the principle of the assize of arms. This implied the general obligation
of all adult male inhabitants to possess arms, and, with certain exceptions,
to cooperate in the work of defence.’” Id. at 818 (emphasis added).
“The General Court of Massachusetts, January Session 1784 (Laws and
Resolves 1784, c. 55, pp. 140, 142), provided for the organization and
government of the Militia. It directed that the Train Band should
‘contain all able bodied men, from sixteen to forty years of age, and the
Alarm List, all other men under sixty years of age, * * *.’” Id. at 819
(emphasis added).
These passages from Miller suggest that the militia, the assurance of
whose continuation and the rendering possible of whose effectiveness Miller
says were purposes of the Second Amendment, referred to the generality
of the civilian male inhabitants throughout their lives from teenage years
until old age and to their personally keeping their own arms, and not merely
to individuals during the time (if any) they might be actively engaged
in actual military service or only to those who were members of special
or select units.
We conclude that Miller does not support the government’s collective
rights or sophisticated collective rights approach to the Second Amendment.
Indeed, to the extent that Miller sheds light on the matter it cuts against
the government’s position. Nor does the government cite any other
authority binding on this panel which mandates acceptance of its position
in this respect. However, we do not proceed on the assumption
that Miller actually accepted an individual rights, as opposed to a collective
or sophisticated collective rights, interpretation of the Second Amendment.
Thus, Miller itself does not resolve that issue. We turn, therefore,
to an analysis of history and wording of the Second Amendment for guidance.
In undertaking this analysis, we are mindful that almost all of our sister
circuits have rejected any individual rights view of the Second Amendment.
However, it respectfully appears to us that all or almost all of these
opinions seem to have done so either on the erroneous assumption that Miller
resolved that issue or without sufficient articulated examination of the
history and text of the Second Amendment.
C. Text
We begin construing the Second Amendment by examining its text: “[a]
well regulated Militia, being necessary to the security of a free State,
the right of the people to keep and bear Arms, shall not be infringed.”
U.S. CONST. amend. II.
1. Substantive Guarantee
a. “People”
The states rights model requires the word “people” to be read as though
it were “States” or “States respectively.” This would also require
a corresponding change in the balance of the text to something like “to
provide for the militia to keep and bear arms.” That is not only
far removed from the actual wording of the Second Amendment, but also would
be in substantial tension with Art. 1, § 8, Cl. 16 (Congress has the
power “To provide for . . . arming . . . the militia. . .”). For
the sophisticated collective rights model to be viable, the word “people”
must be read as the words “members of a select militia”. The
individual rights model, of course, does not require that any special or
unique meaning be attributed to the word “people.” It gives the same
meaning to the words “the people” as used in the Second Amendment phrase
“the right of the people” as when used in the exact same phrase in the
contemporaneously submitted and ratified First and Fourth Amendments.
There is no evidence in the text of the Second Amendment, or
any other part of the Constitution, that the words “the people” have a
different connotation within the Second Amendment than when employed elsewhere
in the Constitution. In fact, the text of the Constitution, as a
whole, strongly suggests that the words “the people” have precisely the
same meaning within the Second Amendment as without. And, as used
throughout the Constitution, “the people” have “rights” and “powers,” but
federal and state governments only have “powers” or “authority”, never
“rights.” Moreover, the Constitution’s text likewise recognizes
not only the difference between the “militia” and “the people” but also
between the “militia” which has not been “call[ed] forth” and “the militia,
when in actual service.”
Our view of the meaning of “the people,” as used in the Constitution,
is in harmony with the United States Supreme Court’s pronouncement in United
States v. Verdugo-Urquidez, 110 S.Ct. 1056, 1060-61 (1990), that:
“‘[T]he people’ seems to have been a term of art employed in select
parts of the Constitution. The Preamble declares that the Constitution
is ordained and established by ‘the People of the United States.’
The Second Amendment protects ‘the right of the people to keep and bear
Arms,’ and the Ninth and Tenth Amendments provide that certain rights and
powers are retained by
and reserved to ‘the people.’ While this textual exegesis is by
no means conclusive, it suggests that ‘the people’ protected by the Fourth
Amendment, and by the First and Second Amendments, and to whom rights and
powers are reserved in the Ninth and Tenth Amendments, refers to a class
of people who are part of a national community or who have otherwise developed
sufficient connection with this country to be considered part of that community.”
(citations omitted)
Several other Supreme Court opinions speak of the Second Amendment
in a manner plainly indicating that the right which it secures to “the
people” is an individual or personal, not a collective or quasi-collective,
right in the same sense that the rights secured to “the people” in the
First and Fourth Amendments, and the rights secured by the other provisions
of the first eight amendments, are individual or personal, and not collective
or quasi-collective, rights. See, e.g., Planned Parenthood v. Casey,
112 S.Ct. 2791, 2805 (1992); Moore v. City of East Cleveland, 97 S.Ct.
1932, 1937 (1977); Robertson v. Baldwin, supra (see quotation in
note 17 supra); Scott v. Sandford, 60 U.S. (19 How) 393, 417, 450-51, 15
L.Ed. 691, 705, 719 (1856). See also Justice Black’s concurring opinion
in Duncan v. Louisiana, 88 S.Ct. 1444, 1456 (1968).
It appears clear that “the people,” as used in the Constitution,
including the Second Amendment, refers to individual Americans.
b. “Bear Arms”
Proponents of the states’ rights and sophisticated collective rights
models argue that the phrase “bear arms” only applies to a member of the
militia carrying weapons during actual militia service. Champions
of the individual rights model opine that “bear arms” refers to any carrying
of weapons, whether by a soldier or a civilian. There is no question
that the phrase “bear arms” may be used to refer to the carrying of arms
by a soldier or militiaman. The issue is whether “bear arms” was
also commonly used to refer to the carrying of arms by a civilian.
The best evidence that “bear arms” was primarily used to refer
to military situations comes from Aymette v. State, 2 Humph., Tenn. 154
(1840), a prosecution for carrying a concealed bowie knife. The Supreme
Court of Tennessee, in construing section 26 of its declaration of rights,
providing that “the free white men of this State have a right to keep and
bear arms for their common defence,” stated:
“The 28th section of our bill of rights provides ‘that no citizen of
this State shall be compelled to bear arms provided he will pay an equivalent,
to be ascertained by law.’ Here we know that the phrase has a military
sense, and no other; and we must infer that it is used in the same way
in the 26th section, which secures to the citizen the right to bear arms.
A man in pursuit of deer, elk, and buffaloes might carry his rifle every
day for forty years, and yet it would never be said of him that he had
borne arms . . . .”
Unlike the Tennessee constitution at issue in Aymette, the Second Amendment
has no “for their common defence” language and the United States Constitution
contains no provision comparable to section 28 of the Tennessee constitution
on which the Aymette court relied.
Amici supporting the government also cite other examples of state constitutional
provisions allowing a conscientious objector to be excused from the duty
of bearing arms if he pays an equivalent so that another can serve in his
place.
However, there are numerous instances of the phrase “bear arms”
being used to describe a civilian’s carrying of arms. Early constitutional
provisions or declarations of rights in at least some ten different states
speak of the right of the “people” [or “citizen” or “citizens”] “to bear
arms in defense of themselves [or “himself”] and the state,” or equivalent
words, thus indisputably reflecting that under common usage “bear arms”
was in no sense restricted to bearing arms in military service.
And such provisions were enforced on the basis that the right to bear arms
was not restricted to bearing arms during actual military service.
See Bliss v. Commonwealth, 13 Am. Dec. 251, 12 Ky. 90 (Ky. 1822).
We also note that a minority of the delegates to the Pennsylvania
ratification convention proposed the following amendment to the Constitution:
“That the people have a right to bear arms for the defense of themselves
and their own state, or the United States, or for the purpose of killing
game; and no law shall be passed for disarming the people or any of them,
unless for crimes committed, or real danger of public injury from individuals;
and as standing armies in the time of peace are dangerous to liberty, they
ought not to be kept up; and that the military shall be kept under strict
subordination to and be governed by the civil powers.”
2 DOCUMENTARY HISTORY OF THE RATIFICATION OF THE CONSTITUTION 623-24
(Merill Jensen ed., 1976). This is yet another example of “bear arms”
being used to refer to the carrying of arms by civilians for non-military
purposes. Also revealing is a bill drafted by Thomas Jefferson and
proposed to the Virginia legislature by James Madison (the author of the
Second Amendment) on October 31, 1785, that would impose penalties upon
those who violated hunting laws if they “shall bear a gun out of his [the
violator’s] inclosed ground, unless whilst performing military duty.”
2 THE PAPERS OF THOMAS JEFFERSON 443-44 (J.P. Boyd, ed. 1950). A
similar indication that “bear arms” was a general description of the carrying
of arms by anyone is found in the 1828 edition of Webster’s American Dictionary
of the English Language; where the third definition of bear reads: “[t]o
wear; to bear as a mark of authority or distinction, as, to bear a sword,
a badge, a name; to bear arms in a coat.”
We conclude that the phrase “bear arms” refers generally to
the carrying or wearing of arms. It is certainly proper to use the
phrase in reference to the carrying or wearing of arms by a soldier or
militiaman; thus, the context in which “bear arms” appears may indicate
that it refers to a military situation, e.g. the conscientious objector
clauses cited by amici supporting the government. However, amici’s
argument that “bear arms” was exclusively, or even usually, used to only
refer to the carrying or wearing of arms by a soldier or militiaman must
be rejected. The appearance of “bear Arms” in the Second Amendment
accords fully with the plain meaning of the subject of the substantive
guarantee, “the people,” and offers no support for the proposition that
the Second Amendment applies only during periods of actual military service
or only to those who are members of a select militia. Finally, our
view of “bear arms” as used in the Second Amendment appears to be the same
as that expressed in the dissenting opinion of Justice Ginsburg (joined
by the Chief Justice and Justices Scalia and Souter) in Muscarello v. United
States, 118 S.Ct. 1911, 1921 (1998); viz:
“Surely a most familiar meaning [of carrying a firearm] is, as the
Constitution’s Second Amendment (“keep and bear Arms”) (emphasis added)
and Black’s Law Dictionary, at 214, indicate: “wear, bear, or carry . .
. upon the person or in the clothing or in a pocket, for the purpose .
. . of being armed and ready for offensive or defensive action in a case
of conflict with another person.”
c. “Keep . . . Arms”
Neither the government nor amici argue that “keep . . . Arms”
commands a military connotation. The plain meaning of the right
of the people to keep arms is that it is an individual, rather than a collective,
right and is not limited to keeping arms while engaged in active military
service or as a member of a select militia such as the National Guard.
d. Substantive Guarantee as a Whole
Taken as a whole, the text of the Second Amendment’s substantive
guarantee is not suggestive of a collective rights or sophisticated collective
rights interpretation, and the implausibility of either such interpretation
is enhanced by consideration of the guarantee’s placement within the Bill
of Rights and the wording of the other articles thereof and of the original
Constitution as a whole.
2. Effect of Preamble
We turn now to the Second Amendment’s preamble: “A well-regulated Militia,
being necessary to the security of a free State.” And, we ask ourselves
whether this preamble suffices to mandate what would be an otherwise implausible
collective rights or sophisticated collective rights interpretation of
the amendment. We conclude that it does not.
Certainly, the preamble implies that the substantive guarantee
is one which tends to enable, promote or further the existence, continuation
or effectiveness that “well-regulated Militia” which is “necessary to the
security of a free State.” As the Court said in Miller, immediately
after quoting the militia clauses of Article 1, § 8 (cl. 15 and 16),
“[w]ith obvious purpose to assure the continuation and render possible
the effectiveness of such forces the declaration and guarantee of the Second
Amendment were made.” Id., 59 S.Ct. at 818. We conclude that
the Second Amendment’s substantive guarantee, read as guaranteeing individual
rights, may as so read reasonably be understood as being a guarantee which
tends to enable, promote or further the existence, continuation or effectiveness
of that “well-regulated Militia” which is “necessary to the security of
a free State.” Accordingly, the preamble does not support an interpretation
of the amendment’s substantive guarantee in accordance with the collective
rights or sophisticated collective rights model, as such an interpretation
is contrary to the plain meaning of the text of the guarantee, its placement
within the Bill of Rights and the wording of the other articles thereof
and of the original Constitution as a whole.
As observed in Miller, “the Militia comprised
all males physically capable of acting in concert for the common defense”
and “that ordinarily when called for service these men were expected
to appear bearing arms supplied by themselves.” Id., 59 S.Ct. at
818. Miller further notes that “‘[i]n all the colonies . . . the
militia systems . . . implied the general obligation of all adult male
inhabitants to possess arms.’” Id. (citation omitted). There
are frequent contemporaneous references to “a well-regulated militia” being
“composed of the body of the people, trained in arms.”
Plainly, then, “a well-regulated Militia” refers not to a special or select
subset or group taken out of the militia as a whole but rather to the condition
of the militia as a whole, namely being well disciplined and trained.
And, “Militia,” just like “well-regulated Militia,” likewise was understood
to be composed of the people generally possessed of arms which they knew
how to use, rather than to refer to some formal military group separate
and distinct from the people at large. Madison also plainly
shared these views, as is reflected in his Federalist No. 46 where he argued
that power of Congress under the proposed constitution “[t]o raise and
support Armies” (art. 1, § 8, cl.12) posed no threat to liberty because
any such army, if misused, “would be opposed [by] a militia amounting to
near half a million of citizens with arms in their hands” and then noting
“the advantage of being armed, which the Americans possess over the people
of almost every other nation,” in contrast to “the several kingdoms of
Europe” where “the governments are afraid to trust the people with arms.”
The Federalist Papers at 299 (Rossiter, New American Library). Plainly,
Madison saw an armed people as a foundation of the militia which would
provide security for a “free” state, one which, like America but unlike
the “kingdoms of Europe,” was not afraid to trust its people to have their
own arms. The militia consisted of the people bearing their
own arms when called to active service, arms which they kept and hence
knew how to use. If the people were disarmed there could be no militia
(well-regulated or otherwise) as it was then understood. That expresses
the proper understanding of the relationship between the Second Amendment’s
preamble and its substantive guarantee. As stated in Kates, Handgun
Prohibition and the Original Meaning of the Second Amendment, supra n.12,
“the [second] amendment’s wording, so opaque to us, made perfect sense
to the Framers: believing that a militia (composed of the entire people
possessed of their individually owned arms) was necessary for the protection
of a free state, they guaranteed the people’s right to possess those arms.”
Id. at 217-18. Similarly, Cooley, GENERAL PRINCIPLES OF CONSTITUTIONAL
LAW (Little, Brown, 1880; 1981 Rothman & Co. reprint) rejects, as “not
warranted by the intent,” an interpretation of the Second Amendment “that
the right to keep and bear arms was only guaranteed to the Militia,” and
states “[t]he meaning of the provision undoubtedly is, that the people,
from whom the militia must be taken, shall have the right to keep and bear
arms; and they need no permission or regulation of law for the purpose.
But this enables the government to have a well-regulated militia; for to
bear arms implies something more than the mere keeping; it implies the
learning to handle and use them in a way that makes those who keep them
ready for their efficient use.” Id. at 271. Much the same thought
was expressed more than one hundred years later in the following passage
from Tribe, AMERICAN CONSTITUTIONAL LAW (3d ed. 2000):
“Perhaps the most accurate conclusion one can reach with any
confidence is that the core meaning of the Second Amendment is a populist/republican/federalism
one: Its central object is to arm “We the People” so that ordinary citizens
can participate in the collective defense of their community and their
state. But it does so not through directly protecting a right on
the part of states or other collectivities, assertable by them against
the federal government, to arm the populace as they see fit. Rather,
the amendment achieves its central purpose by assuring that the federal
government may not disarm individual citizens without some unusually strong
justification consistent with the authority of the states to organize their
own militias. That assurance in turn is provided through recognizing
a right (admittedly of uncertain scope) on the part of individuals to possess
and use firearms in the defense of themselves and their homes . . . a right
that directly limits action by Congress or by the Executive Branch . .
.” Id., Vol. 1, n.221 at 902.
In sum, to give the Second Amendment’s preamble its full and proper
due there is no need to torture the meaning of its substantive guarantee
into the collective rights or sophisticated collective rights model which
is so plainly inconsistent with the substantive guarantee’s text, its placement
within the bill of rights and the wording of the other articles thereof
and of the original constitution as a whole.
D. History
1. Introduction
Turning to the history of the Second Amendment’s adoption, we find
nothing inconsistent with the conclusion that as ultimately proposed by
Congress and ratified by the states it was understood and intended in accordance
with the individual rights model as set out above.
On May 25, 1787, the Federal Convention began meeting in Philadelphia
to craft what would become the United States Constitution. The primary
shortcoming of the Articles of Confederation was that the central government
it provided for was too weak. It was generally recognized that, although
a stronger central government was needed, the central government was to
remain one of limited and enumerated powers only, lest the cure be worse
than the disease. Thus, the challenge was to design a federal government
strong enough to deal effectively with that particular range of issues
requiring federal control, without enabling the federal government to become
an instrument of tyranny. Not surprisingly, political leaders of
that day differed as to the proper balance of these concerns. The
Federalists favored a strong federal government. The Anti-Federalists
were much more suspicious and fearful of a strong federal government and
wanted numerous safeguards in place to protect the people and the states
from being tyrannized and oppressed by the federal government. The
Federal Convention was dominated by the Federalists. On September
17, 1787, the Convention completed its work and forwarded the Constitution
to the Confederation Congress.
2. The Anti-Federalists’ Fears
The Constitution alarmed Anti-Federalists for three reasons relevant
to the debate over the meaning of the Second Amendment.
First, although the proposed federal government appeared to be one
of limited and enumerated powers, the Anti-Federalists feared that it would
someday attempt to infringe one or more of the people’s fundamental rights.
To help prevent this, the Anti-Federalists wanted the United States Constitution,
like most of the state Constitutions, to contain a Bill of Rights.
Second, the Constitution gave the federal government large powers over
the militia, allowing the Congress:
“To provide for calling forth the Militia to execute the Laws
of the Union, suppress Insurrections and repel Invasions;
To provide for organizing, arming, and disciplining, the Militia, and
for governing such Part of them as may be employed in the Service of the
United States, reserving to the States respectively, the Appointment of
the Officers, and the Authority of training the Militia according to the
discipline prescribed by Congress;”.
U.S. CONST. art. 1, § 8, cl. 15, 16. Congress was also given
the power “To raise and support Armies.” Id. art. 1 § 8, cl.
12. The states were also forbidden to keep troops without the consent
of Congress. Id. art. 1, § 10, cl. 3.
The Anti-Federalists feared that the federal government
would act or fail to act so as to destroy the militia, e.g. failure to
arm the militia, disarmament of the militia , failure to prescribe
training for the militia , creation of a select militia or making
militia service so unpleasant that the people would demand a standing army
or select militia. These concerns over the militia were exacerbated
by the third issue: the federal government’s power to maintain a standing
army (art. 1, § 8, cl.12). The Anti-Federalists feared that
the federal government’s standing army could be used to tyrannize and oppress
the American people. Without a militia to defend against the
federal government’s standing army, the states and their citizens would
be defenseless.
Thus, the Anti-Federalists wanted the Constitution amended in
three ways prior to ratification: 1) addition of a Bill of Rights; 2) recognition
of the power of the states to arm and train their militias; and 3)
curtailment of the federal government’s power to maintain a standing army.
3. The Federalist Response
The Federalists, of course, wanted the Constitution to be ratified.
Because the Constitution could only be ratified unchanged, this forced
the Federalists to oppose all attempts to alter it prior to ratification.
The Federalists argued that no bill of rights was needed for three reasons:
1) it was beyond the purview of the federal government, intended to be
one of limited and enumerated powers, to infringe upon fundamental rights;
2) any enumeration of fundamental rights might imply that the federal government
had power to infringe upon those not mentioned; and 3) the American
people were used to being free–they would not allow their rights to be
infringed.
Realizing that the Anti-Federalists’ two other concerns
(federal control of arming and training of the militia and maintenance
of a standing army) boiled down to a fear that the federal government’s
standing army would oppress a defenseless people, the Federalists’ responded
that: 1) the American people are armed and hence could successfully resist
an oppressive standing army; and 2) federal militia powers obviated
the need for, or minimized the likelihood of, a large standing army being
kept in existence.
The Federalists also responded to the militia issue by arguing that
the states had concurrent power to arm the militia, but this position was
undermined when the Anti-Federalists invited the Federalists to put that
state power in writing and that would have necessitated the return to the
drawing board in another Constitutional convention that the Federalists
were committed to avoiding.
The Federalist position as to the militia and standing army issues
depended upon the people being armed notwithstanding that the Constitution
did not guarantee the right of the people to be armed.
4. State Ratifications
Congress forwarded the Constitution to the states on September 28,
1787. State conventions began considering the Constitution later
that year. By April 28, 1788, Delaware, New Jersey, Georgia, Connecticut
and Maryland had ratified the Constitution without proposing any additions
or changes to it. The first sign of trouble in a state convention
was in Pennsylvania in December of 1787.
a. Pennsylvania
In the Pennsylvania convention, the Federalists outnumbered the
Anti-Federalists about two to one. Not surprisingly, then, on December
12, 1787, the Pennsylvania convention ratified the Constitution by a vote
of 46 to 23. The convention did not propose any changes to the Constitution.
However, the disenchanted Anti-Federalists, known as the Pennsylvania Minority,
explained that they would have agreed to the Constitution if it had been
amended to reflect fourteen principles, among which were the following:
“7. That the people have a right to bear arms for the defense of themselves
and their own state, or the United States, or for the purpose of killing
game; and no law shall be passed for disarming the people or any of them,
unless for crimes committed, or real danger of public injury from individuals;
and as standing armies in the time of peace are dangerous to liberty, they
ought not to be kept up; and that the military shall be kept under strict
subordination to and be governed by the civil power.
....
11. That the power of organizing, arming, and disciplining the militia
(the manner of disciplining the militia to be prescribed by Congress) remain
with the individual states, and that Congress shall not have authority
to call or march any of the militia out of their own state, without the
consent of such state and for such length of time only as such state shall
agree.”
2 THE DOCUMENTARY HISTORY OF THE RATIFICATION OF THE CONSTITUTION 623-24
(Merrill Jensen, ed. 1976). Note that “bear arms” clearly pertains
to private, civilian wearing or carrying of arms and the power of the state
to organize, arm and discipline the militia is in a separate section, indicating
that the Anti-Federalists viewed these issues as distinct.
b. Massachusetts
Massachusetts ratified the Constitution on February 7, 1788, by a vote
of 187 to 168. Although the convention proposed nine amendments,
none of them has relevance to the issues with which we are concerned.
However, during the Massachusetts convention, Samuel Adams proposed the
following amendments:
“And that the said Constitution be never construed to authorize
Congress to infringe the just liberty of the press, or the rights of conscience;
or to prevent the people of the United States, who are peaceable citizens,
from keeping their own arms; or to raise standing armies, unless when necessary
for the defense of the United States, or of some one or more of them; or
to prevent the people from petitioning, in a peaceable and orderly manner,
the federal legislature, for a redress of grievances; or to subject the
people to unreasonable searches and seizures of their persons, papers or
possessions.”
DEBATES OF THE MASSACHUSETTS CONVENTION OF 1788 86-87, 266 (Boston,
1856). This is another indication that the Anti-Federalists desired
protection for the right of all peaceful citizens to keep arms as well
as a limitation on the power of the federal government to maintain a large
standing army.
c. South Carolina
The South Carolina Convention ratified the Constitution on May 23,
1788, stating two understandings and proposing two amendments, none
of which are relevant to the issues before us.
d. New Hampshire
After adjourning on February 22, 1788, to avoid rejection of the Constitution,
New Hampshire ratified the Constitution on June 21, 1788, by a vote of
57 to 47. The New Hampshire convention proposed twelve amendments,
the first nine of which are identical to Massachusetts’. New Hampshire’s
proposed Amendments 10 and 12 were as follows:
“X. That no standing army shall be kept up in time of peace, unless
with the consent of three-fourths of the members of each branch of Congress;
nor shall soldiers, in time of peace, be quartered upon private houses,
without the consent of the owners.
....
XII. Congress shall never disarm any citizen, unless such as
are or have been in actual rebellion.”
1 JONATHAN ELLIOT, THE DEBATES IN THE SEVERAL STATE CONVENTIONS ON THE
ADOPTION OF THE FEDERAL CONSTITUTION 326 (2d ed., 1836). New Hampshire
sought to protect the individual right of all citizens to have arms and,
separately, to limit the power of the federal government to maintain a
large standing army.
e. Virginia
On June 25, 1788, the Virginia convention ratified the Constitution
by a vote of 89 to 79. The convention proposed a bill of rights containing
twenty separate provisions and, in a separate section, proposed twenty
amendments to the Constitution. The seventeenth part of Virginia’s
proposed Bill of Rights and the ninth and eleventh parts of its proposed
amendments to the Constitution were as follows:
[Bill of Rights section.]
17th. That the people have a right to keep and bear arms; that a well-regulated
militia, composed of the body of the people trained to arms, is the proper,
natural, and safe defence of a free state; that standing armies, in time
of peace, are dangerous to liberty, and therefore ought to be avoided,
as far as the circumstances and protection of the community will admit;
and that, in all cases, the military should be under strict subordination
to, and governed by, the civil power.
[Amendments to the Constitution section.]
9th. That no standing army, or regular troops, shall be raised, or
kept up, in time of peace, without the consent of two thirds of the members
present, in both houses.
11th. That each state respectively shall have the power to provide for organizing, arming, and disciplining its own militia, whensoever Congress shall omit or neglect to provide for the same. That the militia shall not be subject to martial law, except when in actual service, in time of war, invasion, or rebellion; and when not in the actual service of the United States, shall be subject only to such fines, penalties, and punishments, as shall be directed or inflicted by the laws of its own state.
3 JONATHAN ELLIOT, THE DEBATES IN THE SEVERAL STATE CONVENTIONS ON THE
ADOPTION OF THE FEDERAL CONSTITUTION 658, 660 (2d ed., 1836). The
bill of rights provision, after stating “[t]hat the people have a right
to keep and bear arms,” goes on to make general, philosophical observations
about the militia and standing armies. However, these general, philosophical
observations are given their legal effectuation through separate, specific
provisions apart from the Bill of Rights. The Virginia convention
realized that statements in the proposed Bill of Rights that militias are
good and standing armies are bad fell short of adding to the power of the
states or subtracting from the power of the federal government. In
the separate and distinct amendments section, the states were explicitly
given militia powers and the federal government was forbidden to maintain
a standing army unless other specific criteria were satisfied.
f. New York
On July 26, 1788, New York ratified the Constitution by a vote of 30
to 27. New York incorporated an extensive Declaration of Rights and
thirty-three proposed amendments to the Constitution into its ratification.
The relevant portions of each are:
[Declaration of Rights section.]
“That the people have a right to keep and bear arms; that a well-regulated
militia, including the body of the people capable of bearing arms, is the
proper, natural, and safe defence of a free state.
...
That standing armies, in time of peace, are dangerous to liberty, and
ought not to be kept up, except in cases of necessity; and that at all
times the military should be under strict subordination to the civil power.
[Amendments to the Constitution section.]
That no standing army or regular troops shall be raised, or kept up,
in time of peace, without the consent of two thirds of the senators and
representatives present in each house.”
1 JONATHAN ELLIOT, THE DEBATES IN THE SEVERAL STATE CONVENTIONS ON THE
ADOPTION OF THE FEDERAL CONSTITUTION 328, 330 (2d ed., 1836). Note
that: 1) the philosophical declaration concerning the preferability of
a militia, which follows the statement “[t]hat the people have a right
to keep and bear arms,” is not effectuated in the amendments section by
a grant of power to the states to maintain a militia; and 2) there is a
separate clause in the Declaration of Rights section regarding standing
armies which is effectuated by a separate proposed amendment to the Constitution.
This is another example that philosophical declarations alone were considered
insufficient to subtract from the federal government’s power or to add
to the states’ power.
g. North Carolina
On August 1, 1788, North Carolina refused to ratify the Constitution
until a bill of rights and other amendments were added. The North
Carolina convention demanded the same Bill of Rights and amendments as
proposed by Virginia. It was not until November 21, 1789, after the
Bill of Rights was forwarded by the First Congress to the states, that
North Carolina finally ratified the Constitution by a vote of 194-77.
h. Rhode Island
Rhode Island did not ratify the Constitution until May 29, 1790, and
then by a vote of 34-32. Rhode Island incorporated a bill of rights
into its ratification and proposed twenty-one amendments to the Constitution.
The apposite portions of each are:
[Declaration of Rights section.]
“XVII. That the people have a right to keep and bear arms; that a well-regulated
militia, including the body of the people capable of bearing arms, is the
proper, natural, and safe defence of a free state; that the militia shall
not be subject to martial law, except in time of war, rebellion, or insurrection;
that standing armies, in time of peace, are dangerous to liberty, and ought
not to be kept up, except in cases of necessity; and that, at all times,
the military should be under strict subordination to the civil power; that,
in time of peace, no soldier ought to be quartered in any house without
the consent of the owner, and in time of war only by the civil magistrates,
in such manner as the law directs.
[Amendments to the Constitution section.]
XII. As standing armies, in time of peace, are dangerous to liberty,
and ought not to be kept up, except in cases of necessity, and as, at all
times, the military should be under strict subordination to the civil power,
that, therefore, no standing army or regular troops shall be raised or
kept up in time of peace.”
Id. at 335-36. Note how even the amendment regarding standing
armies contains two philosophical declarations before getting to the substantive
restriction on federal power, namely that no army shall be maintained during
peacetime.
5. Proposal of Second Amendment
By mid 1788, the required nine states had ratified the Constitution,
and it was clear the Federalists had won a major victory. But by
the spring of 1789, the Anti-Federalists had succeeded in persuading many
that a bill of rights was absolutely necessary. Some Anti-Federalists
did continue to argue for additional, structural changes to the Constitution,
but most were primarily concerned with a bill of rights. At the same
time, while some Federalists continued to reject any changes to the Constitution,
most softened their opposition to a bill of rights, mindful of the strong
public support for it and aware that a bill of rights would not materially
affect the plan of government they had worked so diligently to implement.
See President George Washington, Inaugural Address, April 30, 1789 (excerpt
reprinted in Young, supra note 34, at 642) (“I assure myself that whilst
you carefully avoid every alteration which might endanger the benefits
of an united and effective government, or which ought to await the future
lessons of experience; a reverence for the characteristic rights of freemen,
and a regard for the public harmony, will sufficiently influence your deliberations
on the question how far the former can be more impregnably fortified, or
the latter be safely and advantageously promoted.”); Letter from Charles
Smith to Tench Coxe (October 18, 1788) (excerpt reprinted in Young, supra
note 34, at 542) (“It seems, therefore, to be the wish of the moderate
and reasonable men of all parties that some necessary explanations should
take place, in order to quiet the minds of our dissenting fellow citizens,
and to introduce union and harmony throughout the state. Attention
to this subject ought to be considered as a duty incumbent upon our first
federal Representatives.”). Thus, as there sometimes is after a hard-fought
political struggle, most of the combatants, for the good of the country,
sought middle ground.
Federalist James Madison ran for a seat in the First Congress, and
because of the strong public support for a bill of rights clarified his
own support for it:
“The offer of my services to the district, rests on the following grounds:–That
although I always conceived the constitution might be improved, yet I never
could see in it, as it stands, the dangers which have alarmed many respectable
citizens; that I held it my duty therefore, whilst the constitution remained
unratified, and it was necessary to unite the various opinions, interests
and prejudices of the different states, in some one plan, to oppose every
previous amendment, as opening a door for endless and dangerous contentions
among the states, and giving an opportunity to the secret enemies of the
union to promote its dissolution:–That the change of circumstances produced
by the secure establishment of the plan proposed, leaves me free to espouse
such amendments as will, in the most satisfactory manner, guard essential
rights, and will render certain vexatious abuses of power impossible .
. .”
James Madison, Extract of a letter from the Hon. JAMES MADISON,
jun. to his friend in this county, Fredericksburg VIRGINIA HERALD, January
29, 1788 (reprinted in Young, supra note 34, at 609). The Federalists
ended up with a majority in both the House and the Senate. But as
the eventual adoption of a bill of rights shows, many Federalists were
as open to a bill of rights as James Madison himself was. See Letter
from James Madison to Edmund Pendleton (April 8, 1789) (excerpt reprinted
in Young, supra note 34, at 640) (“The subject of amendments has not yet
been touched–From appearances there will be no great difficulty in obtaining
reasonable ones. It will depend however entirely on the temper of
the federalists, who predominate as much in both branches, as could be
wished. Even in this State [Virginia], notwithstanding the violence
of its antifederal symptoms, three of its six representatives at least
will be zealous friends to the Constitution, and it is not improbable that
a fourth will be of the same description.”). The Anti-Federalists
sensed that although the tide had turned their way as to alterations that
would secure individual liberty, the prospects for other changes to the
Constitution were dim. See Letter from Richard Henry Lee to Patrick
Henry (May 28, 1789) (excerpt reprinted in Young, supra note 34,
at 644)(“I think, from what I hear and see, that many of our amendments
will not succeed, but my hopes are strong that such as may effectually
secure civil liberty will not be refused.”).
a. Legislative History
On June 8, 1789, Virginia Congressman James Madison proposed
several alterations to the Constitution in the First Congress. In
his address to the House, Madison explained his rationale in proposing
the changes:
“I wish, among other reasons why something should be done, that those
who have been friendly to the adoption of this constitution may have the
opportunity of proving to those who were opposed to it that they were as
sincerely devoted to liberty and a Republican Government, as those who
charged them with wishing the adoption of this constitution in order to
lay the foundation of an aristocracy or despotism. It will be a desirable
thing to extinguish from the bosom of every member of the community, any
apprehension that there are those among his countrymen who wish to deprive
them of the liberty for which they valiantly fought and honorably bled.
And if there are amendments desired of such a nature as will not injure
the constitution, and they can be ingrafted so as to give satisfaction
to the doubting part of our fellow-citizens, the friends of the Federal
Government will evince that spirit of deference and concession for which
they have hitherto been distinguished.
....
I should be unwilling to see a door opened for a re-consideration of
the whole structure of the Government–for a re-consideration of the principles
and the substance of the powers given; because I doubt, if such a door
were opened, we should be very likely to stop at that point which would
be safe to the Government itself. But I do wish to see a door opened
to consider, so far as to incorporate those provisions for the security
of rights, against which I believe no serious objection has been made by
any class of our constituents: such as would be likely to meet with the
concurrence of two-thirds of both Houses, and with the approbation of three-fourths
of the State Legislatures.”
James Madison, House of Representatives, June 8, 1789 (excerpt reprinted
in Young, supra note 34, at 651-53). Madison proposed to insert,
in Article 1, Section 9, between its Clauses 3 and 4, the following clause
(among others):
“The right of the people to keep and bear arms shall not be infringed;
a well armed and well regulated militia being the best security of a free
country; but no person religiously scrupulous of bearing arms shall be
compelled to render military service in person.”
Id. at 654-55. Article 1, Section 9 contains nothing but restrictions
upon the power of the federal government; and its Clauses 2 and 3 relate
only to individual rights (habeas corpus, bill of attainder and ex post
facto).
Madison’s proposal was eventually submitted to a House committee of
eleven members, of which Madison was one. That committee issued its
report on July 28, 1789. The clause that would become the Second
Amendment then read:
“A well regulated militia, composed of the body of the people, being
the best security of a free state, the right of the people to keep and
bear arms shall not be infringed, but no person religiously scrupulous
shall be compelled to bear arms.” House of Representatives, Proceedings
on Amendments, July 28, 1789 (reprinted in Young, supra note 34, at 680-82).
Thus, the philosophical declaration was moved to precede the substantive
guarantee and “composed of the body of the people” was added just after
“militia.”
The House began its consideration of what would become the Second Amendment
on August 17, 1789. Congressman Gerry moved to strike the religiously
scrupulous exemption. See House of Representatives, Debate, August
17, 1789 (excerpt reprinted in Young, supra note 34, at 695-99).
This motion was defeated by a vote of 24-22; however, this language would
later be dropped by the Senate. Opponents of the individual rights
model find hope in the initial appearance of the religiously scrupulous
exemption and comments made by Congressman Gerry in attempting to excise
it. They argue that because “bear arms” has a military connotation
in the religiously scrupulous clause, it necessarily carries the same meaning
in the substantive guarantee. This construction is supported, we
are told, by Gerry’s objection. Gerry feared that the federal government
would use the clause to destroy the militia by declaring a large number
of people religiously scrupulous and, therefore, ineligible for militia
service. This would pave the way for oppression by the federal government’s
standing army.
“This declaration of rights, I take it, is intended to secure the people
against the mal-administration of the Government; if we could suppose that,
in all cases, the rights of the people would be attended to, the occasion
for guards of this kind would be removed. Now, I am apprehensive,
sir, that this clause would give an opportunity to the people in power
to destroy the constitution itself. They can declare who are those
religiously scrupulous, and prevent them from bearing arms.
What, sir, is the use of a militia? It is to prevent the
establishment of a standing army, the bane of liberty. Now, it must
be evident, that, under this provision, together with their other powers,
Congress could take such measures, with respect to a militia, as to make
a standing army necessary. Whenever governments mean to invade the
rights and liberties of the people, they always attempt to destroy the
militia, in order to raise an army upon their ruins.”
Id. at 695-96. Gerry concluded by proclaiming, “[n]ow, if
we give a discretionary power to exclude those from militia duty who have
religious scruples, we may as well make no provision on this head.”
The inference urged is that the only purpose of the substantive guarantee
was to secure the right of militia members to bear arms in a military context.
This interpretation of Gerry’s statements appears somewhat strained.
We think that Gerry’s comments manifested his opinion that: 1) it takes
a well regulated militia, not the mere private possession of firearms,
to obviate the need for a standing army; and 2) an armed populace offers
much less protection against a standing army than a well regulated militia.
If Gerry saw any conflict between the amendment’s substantive guarantee
and the destruction of the militia which was supposedly enabled by the
religiously scrupulous clause, he did not say so. In fact, Gerry’s
objection assumes that the amendment does not increase state power over
the militia and that the preamble is but a philosophical declaration as
to the necessity of a well regulated militia that does nothing to disturb
Art. 1, § 8, cl. 16, to which Gerry must be referring to as the source
of the power of the federal government to destroy the militia. Gerry’s
concern was directed to the creation of a standing army; he does not express
any worry that the feared purging of the rolls of the militia would enable
the federal government to confiscate privately owned firearms, no doubt
because the substantive guarantee applies to all the people, not just those
that at a given time might comprise the militia. Properly understood,
Gerry’s remarks are not inconsistent with the individual rights view of
the Second Amendment.
Gerry was not the only member of the First Congress to express concern
over the religiously scrupulous clause. Three days later, on August
20, 1789, Congressman Scott complained of it as well.
“Mr. Scott objected to the clause in the sixth amendment, ‘No person
religiously scrupulous shall be compelled to bear arms.’ He observed
that if this becomes part of the constitution, such persons can neither
be called upon for their services, nor can an equivalent be demanded; it
is also attended with still further difficulties, for a militia can never
be depended upon. This would lead to the violation of another article
in the constitution, which secures to the people the right of keeping arms,
and in this case recourse must be had to a standing army.”
House of Representatives, Debates, August 20, 1789 (excerpt
reprinted in Young, supra note 34, at 703). Congressman Boudinot
opposed striking the clause, in part because such action would imply the
federal government is going to “compel all its citizens to bear arms.”
Id. The House ended up adding “in person” to the end of the clause.
Id. We find no meaningful support, in Congressman Scott’s statement,
for either the states’ rights or the sophisticated collective rights models.
Scott was not concerned, as Gerry was, that the federal government would
use the religiously scrupulous clause as a ruse to exclude everyone from
militia service. Scott was worried that too many individual Americans
would avail themselves of the clause’s protection and that this would cause
the militia to be so weakened that the federal government would have no
choice but to maintain a standing army. It is not exactly clear where
Scott found violation of the people’s right to keep arms. The lack
of a dependable militia both leads to Scott’s hypothetical violation and
necessitates recourse to a standing army. It is possible that Scott
found, in the amendment’s philosophical declaration, some sort of right
of the people to be free from a standing army. In any case,
this cryptic passage does not plainly lend support to any of the Second
Amendment models. The only change that resulted from this discussion
was the addition of the words “in person” at the end of the amendment and,
as mentioned, the entire religiously scrupulous clause was later deleted
by the Senate.
Congressman Burke repeatedly proposed that a clause be added
to the amendment that would have required the consent of two-thirds of
both houses of Congress to maintain a standing army in time of peace.
This proposal was defeated by a margin of almost two to one. House
of Representatives, Debates, August 17, 1789 (excerpt reprinted in
Young, supra note 34, at 697-98).
On August 24, 1789, the House completed its work on the proposed amendments
and forwarded them to the Senate. At this time, the amendment read:
“A well regulated militia, composed of the body of the people, being
the best security of a free state, the right of the people to keep and
bear arms, shall not be infringed, but no one religiously scrupulous of
bearing arms, shall be compelled to render military service in person.”
House of Representatives, Proceedings, August 24, 1789 (excerpt reprinted
in Young, supra note 34, at 707).
The Senate, which had the House action before it from
August 25 through September 9, 1789, made three changes: 1) the words “composed
of the body of the people” were stricken; 2) the words “the best” were
replaced by “necessary to the”; and 3) the entire religiously scrupulous
clause was stricken. See THE COMPLETE BILL OF RIGHTS 173-76 (Neil
H. Cogan, ed., 1997). The Senate debates were conducted in secret,
so there is no direct evidence of why these changes were made. The
Senate rejected a proposed amendment to add the words “for the common defense”
just after “the right of the people to keep and bear arms”. Id.
Like the House, the Senate rejected a proposed amendment that would have
required the consent of two-thirds of both houses of Congress to maintain
a standing army in time of peace. Id. The Senate on September 8,
1789 also refused to adopt an amendment that would have given the states
power to arm and train their militias.
The most significant Senate action is the rejection of the amendment
that would have granted the power of the states to arm and train their
own militias. This is, of course, the precise effect the states’
rights model attributes to the Second Amendment. Proponents of that
model argue that the rejection of that amendment simply indicates that
this concern was already addressed, i.e. that the rejected amendment would
have been mere surplusage. This is highly implausible, particularly
given the Second Amendment’s placement within the Bill of Rights, its “the
right of the people” language identical to that of the First and Fourth
Amendments, and its lack of any reference to the power or rights of the
states, all as contrasted to the direct and explicit state power language
of the rejected amendment. Moreover, this surplusage explanation
also ignores that in the state conventions the right to keep and bear arms
was always in the Bill of Rights section of proposed changes, while the
state power to arm and train the militia was always in a separate section
or at least a separate article.
Not surprisingly, the significance of the Senate’s other alterations
or rejections is open to question. It could be argued that the striking
of the words “composed of the body of the people” supports the sophisticated
collective rights view that “militia” in the Second Amendment really means
“select militia” and, therefore, pertains only to our modern national guard.
However, there is an abundance of historical evidence that indicates the
Anti-Federalists abhorred the idea of a select militia every bit as much
as a standing army. Clearly, if the Anti-Federalists believed
the amendment offered any support for the formation of a select militia,
or only recognized the right of members of the select militia to keep and
bear arms while on active duty, they would have vociferously opposed it.
It must be remembered that the entire goal of submitting amendments was
to pacify, not infuriate, the Anti-Federalists. This suggests that
the words “composed of the body of the people” were stricken as unnecessary
surplusage.
The replacement of “best” with “necessary to the” strengthens the philosophical
declaration’s support for a militia. As the rejection of standing
army amendments in the House and Senate, as well as subsequent history,
show, even this bolder statement did not serve to limit the power of the
federal government to maintain a large standing army. Probably the
only bearing this change has on the task before this Court is that it makes
the sophisticated collective rights model’s contention that “militia” really
means national guard or “select militia” even more questionable.
Anti-Federalists would never have accepted that a select militia was the
best security (or anything but a threat to) “a free state,” much less necessary
to the security of “a free state.”
Opponents of the individual rights model claim the Senate refused
to add “for the common defense” after the amendment’s substantive guarantee
because those words were unnecessary surplusage. Given the amendment’s
text and history, which, almost without exception, support the individual
rights view, we believe it much more likely that the Senate rejected this
language because it potentially posed the risk of an interpretation contracting
the substantive guarantee.
Finally, perhaps the least relevant Senate change is the deletion of
the religiously scrupulous clause. This may well have been because
the Senate felt that the clause was not sufficiently germane to an amendment
whose core purpose was to state the affirmative rights of individuals as
opposed to limitations on their potential obligations, or, relatedly, that
the clause dealt with a relatively minor, collateral matter which was not
worth the controversy and/or confusion it had generated or could generate.
Or, the Senate might simply have felt (as did Congressman Benson, see note
55 supra) this would be better left to the wisdom and discretion of a future
Congress.
The House approved the Senate version of the amendment, and Congress
forwarded it to the states along with the rest of the Bill of Rights on
September 26, 1789.
b. Political Discourse
At the same time the above legislative history was being made, prominent
Americans were writing in the newspapers and to each other. These
writings provide some insight into the nature (individual or collective)
of the Second Amendment.
Anti-Federalist William Grayson expressed concern to fellow Anti-Federalist
Patrick Henry that the only amendments that would be approved are those,
like Madison’s, that recognize individual rights:
“I am exceedingly sorry it is out of my power to hold out to you any
flattering expectations on the score of amendments; it appears to me that
both houses are almost wholly composed of federalists; those who call themselves
Antis are so extremely lukewarm as scarcely to deserve the appellation:
Some gentlemen here from motives of policy have it in contemplation to
effect amendments which shall effect personal liberty alone, leaving the
great points of the judiciary, direct taxation &c, to stand as they
are . . . . Last Monday a string of amendments were presented to
the lower House; these altogether respected personal liberty . . . .”
Letter from William Grayson to Patrick Henry (June 12, 1789) (excerpt
reprinted in Young, supra note 34, at 668-69).
Federalist Fisher Ames was pleased that Madison’s amendments primarily
concerned noncontroversial individual rights.
“Mr. Madison has inserted, in his amendments, the increase of
representatives, each State having two at least. The rights of conscience,
of bearing arms, of changing the government, are declared to be inherent
in the people. Freedom of the press, too. There is a prodigious
great dose of medicine. But it will stimulate the stomach as little
as hasty-pudding. It is rather food than physic. Am [sic] immense
mass of sweet and other herbs and roots for a diet drink.”
Letter from Fisher Ames to George Richards Minot (June 12, 1789) (excerpt
reprinted in Young, supra note 34, at 668).
Federalist Tench Coxe, in a widely republished article, described what
would become the Second Amendment this way:
“As civil rulers, not having their duty to the people, duly before
them, may attempt to tyrannize, and as the military forces which shall
be occasionally raised to defend our country, might pervert their power
to the injury of their fellow-citizens, the people are confirmed by the
next article in their right to keep and bear their private arms.”
A Pennsylvanian [Federalist Tench Coxe], REMARKS on the first part of
the AMENDMENTS to the FEDERAL CONSTITUTION, moved on the 8th instant in
the House of Representatives, Philadelphia FEDERAL GAZETTE, June 18, 1789
(excerpt reprinted in Young, supra note 34, at 671). That same
day, Coxe wrote to Madison, discussing public reaction to Madison’s proposed
amendments and his own comments thereon which appeared in the Federal Gazette.
See Young, supra note 34, at 672. Madison responded:
“Accept my acknowledgments for your favor of the 18th. instant.
The printed remarks inclosed in it are already I find in the Gazettes here.
It is much to be wished that the discon[ten]ted part of our fellow Citizens
could be reconciled to the Government they have opposed, and by means as
little as possible unacceptable to those who approve the Constitution in
its present form. The amendments proposed in the H. of Reps. had
this twofold object in view; besides the third one of avoiding all controvertible
points which might endanger the assent of 2/3 of each branch of Congs and
3/4 of the State Legislatures. How far the experiment may succeed
in any of these respects, is wholly uncertain. It will however be
greatly favored by explanatory strictures of a healing tendency, and is
therefore already indebted to the co-operation of your pen.”
Letter from James Madison to Tench Coxe (June 24, 1789) (excerpt reprinted
in Young, supra note 34, at 673-74). Thus, consistent with his other
statements, Madison seems to have endorsed Coxe’s individual rights explanation
of what would become the Second Amendment. Note that Coxe made no
mention of the philosophical declaration regarding a well regulated militia,
but only referred to the provision’s substantive guarantee and also that
Coxe’s reference to “private arms” is essentially inconsistent with both
the states’ rights and sophisticated collective rights models.
Opponents of the individual rights view dispute that Madison’s letter
was an endorsement of Coxe’s explanation of the amendments, claiming that
Madison disagreed with Coxe’s explanation of the right of conscience.
In other words, they say that Madison was just being polite to Coxe for
his attempt to explain the amendments and may not have agreed with all
of the positions Coxe took. Two problems with this view are that
there is no evidence that anybody disagreed with Coxe’s explanation of
the Second Amendment and that Madison’s notes for his speech supporting
the amendments indicate that they “relate 1st to private rights”.
James Madison, Notes for speech in Congress supporting Amendments (June
8, 1789) (reprinted in Young, supra note 34, at 645).
Joseph Jones, in a letter to James Madison, wrote:
“I thank you for the copy of the amendments proposed to the constitution
which you lately inclosed to me–they are calculated to secure the personal
rights of the people so far as declarations on paper can effect the purpose,
leaving unimpaired the great Powers of the government–they are of such
a nature as to be generally acceptable and of course more likely to obtain
the assent of Congress that wod. any proposition tending to separate the
powers or lessen them in either branch.”
Letter from Joseph Jones to James Madison (June 24, 1789) (excerpt reprinted
in Young, supra note 34, at 673). Surely Mr. Jones would have distinguished
an amendment that did not secure “personal rights.”
Anti-Federalist Samuel Nasson recognized that the amendment guaranteed
the right of individuals to keep arms for any lawful purpose.
“I find that Amendments are once again on the Carpet. I hope
that such may take place as will be for the Best Interest of the whole[.]
A Bill of rights well secured that we the people may know how far we may
Proceade in Every Department[,] then their [sic] will be no Dispute between
the people and rulers[.] [I]n that may be secured the right to keep arms
for Common and Extraordinary Occations such as to secure ourselves against
the wild Beast and also to amuse us by fowling and for our Defence against
a Common Enemy[.] [Y]ou know to learn the Use of arms is all that can Save
us from a forighn foe that may attempt to subdue us[,] for if we keep up
the Use of arms and become well acquainted with them we Shall allway be
able to look them in the face that arise up against us[,] for it is impossible
to Support a Standing armey large Enough to Guard our Lengthy Sea Coast[.]”
Letter from Samuel Nasson to George Thatcher (July 9, 1789) (excerpt
reprinted in Young, supra note 34, at 796-97) (emphasis added).
While Congressman Fisher Ames, a very strong Federalist, was
pleased that Madison’s amendments seemed unlikely to cause discord, he
also expressed chagrin that the amendments were so focused on protecting
the rights of the rabble that they did not belong in the Constitution.
“We have had the amendments on the tapis, and referred them to a committee
of one from a State. I hope much debate will be avoided by this mode,
and that the amendments will be more rational, and less ad populum, than
Madison’s. It is necessary to conciliate, and I would have amendments.
But they should not be trash, such as would dishonor the Constitution,
without pleasing its enemies. Should we propose them, North Carolina
would accede. It is doubtful, in case we should not.”
Letter from Fisher Ames to George Richards Minot (July 23, 1789) (excerpt
reprinted in Young, supra note 34, at 679).
Congressman William L. Smith viewed the Bill of Rights as recognizing
individual rights, not the structure of government.
“The Committee on amendmts. have reported some, which are thought inoffensive
to federalists & may do some good on the other side: N. Car[olin]a.
only wants some pretext to come into the Union, & we may afford that
pretext by recommending a few amendments.
There appears to be a disposition in our house to agree to some, which
will more effectually secure private rights, without affecting the structure
of Govt.”
Letter from William L. Smith to Edward Rutledge (August 9, 1789) (excerpt
reprinted in Young, supra note 34, at 798) (emphasis added).
Pennsylvania Congressman Frederick A. Muhlenberg believed the Bill
of Rights would placate “our Minority in Pennsylvania.”
“Altho’ I am sorry that so much Time has been spent in this Business
[the Bill of Rights], and would much rather have had it postponed to the
next Session, yet as it now is done I hope it will be satisfactory to our
State, and as it takes in the principal Amendments which our Minority had
so much at Heart, I hope it may restore Harmony & unanimity amongst
our fellow Citizens . . . .”
Letter from Frederick A. Muhlenberg to Benjamin Rush (August 18, 1789)
(excerpt reprinted in Young, supra note 34, at 799) (emphasis added).
Recall that the Pennsylvania Minority proposed what was indisputably an
individual right to keep and bear arms.
Some Anti-Federalists were upset that Federalist James Madison was
getting all the credit for proposing the Bill of Rights. They believed
much of this credit was due Samuel Adams. Recall that Adams unsuccessfully
proposed his own set of amendments to the Massachusetts Convention (and
was much criticized for making the attempt).
“It may well be remembered that the following ‘amendments’ to
the new constitution for these United States, were introduced to the convention
of this commonwealth by its present Lieutenant Governor, that venerable
patriot, SAMUEL ADAMS.–It was his misfortune to have been misconceived,
and the proposition was accordingly withdrawn–lest the business of the
convention (the session of which was then drawing to a period) might be
unexpectedly protracted. His enemies triumphed exceedingly, and affected
to represent his proposal as not only an artful attempt to prevent the
constitution being adopted in this state, but as an unnecessary and improper
alteration of a system, which did not admit of improvements. To the
honor of this gentlemen’s penetration, and of his just way of thinking
on this important subject, every one of his intended alterations, but one,
have been already reported by the committee of the House of Representatives
in Congress, and most probably will be adopted by the federal legislature.
In justice therefore to that long tried Republican, and his numerous friends,
you gentlemen, are requested to re-publish his intended alterations, in
the same paper that exhibits to the public, the amendments which the committee
have adopted, in order that they may be compared together.”
Letter from Mssrs. Adams & Nourse to the Editor of the Boston Independent
Chronicle, Philadelphia INDEPENDENT GAZETTEER, August 20, 1789 (reprinted
in Young, supra note 34, at 701-702). This is significant because
Adams’ amendments prohibited the constitution from ever being construed
to “prevent the people of the United States who are peaceable citizens,
from keeping their own arms.” Id. This language is not at all
susceptible to the states’ rights or sophisticated collective rights views.
Many Anti-Federalists supported the Bill of Rights, notwithstanding
that it fell far short of delivering what they had fought for in the state
conventions. But at least one famous Anti-Federalist was enraged
that the amendments did not alter the balance of power between the federal
and state governments, particularly as to control over the militia.
“What would be your opinion of the man who, living where thieves were
so numerous and vigilant as to improve every opportunity of plunder, should
go to sleep at night in thoughtless security, with his doors wide open
. . .
Similar would be the conduct of the people of the United States,
if they rest the security of their invaluable privileges upon the partial
amendments making by Congress to the new constitution: for although many
of these amendments are very proper and necessary, yet whilst the constitution
is suffered to retain powers that may not only defeat their salutary operation,
but may, and incontrovertibly will be so decisively injurious as to sweep
away every vestige of liberty; it is an insult upon the understanding and
discernment of the people to flatter them with the secure enjoyment of
privileges, that are held by so precarious and transient a tenure.
Besides, some of these limited, insecure amendments, which, to a superficial
observer, seem to contain useful provisions, when examined with attention,
are found to be delusive and inoperative. I will instance two or
three of them.
....
Article 5th of the proposed amendments–‘A well regulated militia, composed
of the body of the people, being the best security of a free state, the
right of the people to keep and bear arms, shall not be infringed, &c.’
It is remarkable that this article only makes the observation, ‘that a
well regulated militia, composed of the body of the people, is the best
security of a free state;’ it does not ordain, or constitutionally provide
for, the establishment of such a one. The absolute command vested
by other sections in Congress over the militia, are not in the least abridged
by this amendment. The militia may still be subjected to martial
law and all its concomitant severities, and disgraceful punishments, may
still be marched from state to state and made the unwilling instruments
of crushing the last efforts of expiring liberty.”
Centinel, Revived, No. XXIX, Philadelphia INDEPENDENT GAZETTEER,
September 9, 1789 (excerpt reprinted in Young, supra note 34, at 711-12).
Extreme Anti-Federalists like the Centinel would not be placated by mere
recognition of a right about which the Federalists and Anti-Federalists
were in agreement: the right of the people to keep and bear arms.
In the Centinel’s view, as long as the federal government had such extensive
power over the militia, the people’s liberties were not safe. The
Centinel simply rejected the Federalists repeated argument that there was
no need to worry about a standing army as long as individuals were armed.
The Centinel also correctly observed that the amendment’s preamble did
nothing to alter the balance (or imbalance) of power between the state
and federal governments as to the militia.
6. 19th Century Commentary
The great Constitutional scholars of the 19th Century recognized that
the Second Amendment guarantees the right of individual Americans to possess
and carry firearms. We list their contributions in the order in which
they were made. First, St. George Tucker:
“8. A well regulated militia being necessary to the security of a free
state, the right of the people to keep and bear arms, shall not be infringed.
Amendments to C.U.S. Art. 4.
This may be considered as the true palladium of liberty. . . . The
right of self defence is the first law of nature: in most governments it
has been the study of rulers to confine this right within the narrowest
limits possible. Wherever standing armies are kept up, and the right
of the people to keep and bear arms is, under any colour or pretext whatsoever,
prohibited, liberty, if not already annihilated, is on the brink of destruction.
In England, the people have been disarmed, generally, under the specious
pretext of preserving the game: a never failing lure to bring over the
landed aristocracy to support any measure, under that mask, though calculated
for very different purposes. True it is, their bill of rights seems
at first view to counteract this policy: but the right of bearing arms
is confined to protestants, and the words suitable to their condition and
degree, have been interpreted to authorise the prohibition of keeping a
gun or other engine for the destruction of game, to any farmer, or inferior
tradesman, or other person not qualified to kill game. So that not
one man in five hundred can keep a gun in his house without being subject
to a penalty.”
1 ST. GEORGE TUCKER, BLACKSTONE’S COMMENTARIES: WITH NOTES OF
REFERENCE, TO THE CONSTITUTION AND LAWS, OF THE FEDERAL GOVERNMENT OF THE
UNITED STATES; AND OF THE COMMONWEALTH OF VIRGINIA, 300 (1803) (ellipsis
in original). Note how the fact that the Second Amendment applies
to Americans generally is sharply contrasted with, and favorably compared
to, the relevant part of the English Bill of Rights, which only pertained
to Protestants and even for those only as “suitable to their condition
and degree.” The Amendment is said to facilitate the right of self
defense. Having individuals armed is particularly necessary when
standing armies are kept up, as the combination of a standing army and
a disarmed populace threatens the destruction of liberty.
Second, William Rawle:
“In the second article, it is declared, that a well regulated militia
is necessary to the security of a free state; a proposition from which
few will dissent. Although in actual war, the services of regular
troops are confessedly more valuable; yet, while peace prevails, and in
the commencement of a war before a regular force can be raised, the militia
form the palladium of the country. They are ready to repel invasion,
to suppress insurrection, and preserve the good order and peace of government.
That they should be well regulated, is judiciously added. A disorderly
militia is disgraceful to itself, and dangerous not to the enemy, but to
its own country. The duty of the state government is, to adopt such
regulations as will tend to make good soldiers with the least interruptions
of the ordinary and useful occupations of civil life. In this all
the Union has a strong and visible interest.
The corollary, from the first position, is, that the right of the people
to keep and bear arms shall not be infringed.
The prohibition is general. No clause in the Constitution could
by any rule of construction be conceived to give to congress a power to
disarm the people. Such a flagitious attempt could only be made under
some general pretence by a state legislature. But if in any blind
pursuit of inordinate power, either should attempt it, this amendment may
be appealed to as a restraint on both.
In most of the countries of Europe, this right does not seem
to be denied, although it is allowed more or less sparingly, according
to circumstances. In England, a country which boasts so much of its
freedom, the right was secured to protestant subjects only, on the revolution
of 1688; and it is cautiously described to be that of bearing arms for
their defence, ‘suitable to their conditions, and as allowed by law.’
An arbitrary code for the preservation of game in that country has long
disgraced them. A very small proportion of the people being permitted
to kill it, though for their own subsistence; a gun or other instrument,
used for that purpose by an unqualified person, may be seized and forfeited.
Blackstone, in whom we regret that we cannot always trace the expanded
principles of rational liberty, observes however, on this subject, that
the prevention of popular insurrections and resistence to government by
disarming the people, is oftener meant than avowed, by the makers of forest
and game laws.
This right ought not, however, in any government, to be abused to the
disturbance of the public peace.
An assemblage of persons with arms, for an unlawful purpose, is an
indictable offence, and even the carrying of arms abroad by a single individual,
attended with circumstances giving just reason to fear that he purposes
to make an unlawful use of them, would be sufficient cause to require him
to give surety of the peace. If he refused he would be liable to
imprisonment.”
WILLIAM RAWLE, A VIEW OF THE CONSTITUTION OF THE UNITED STATES
OF AMERICA 125-26 (Da Capo Press 1970) (2d ed. 1829) (footnotes omitted).
This explanation recognizes that the preamble is a declaration, a “proposition,”
setting forth the desirability of reliance upon a militia during peacetime.
A well-regulated militia is the opposite of a disorderly, disgraceful militia.
Rawle also observes that the Amendment’s substantive guarantee applies
to all Americans –“[t]he prohibition is general.” He likewise makes
plain that it precludes legislation “to disarm the people.” Rawle,
like St. George Tucker, makes clear that the Second Amendment does not
suffer from the infirmities of the corresponding part of the English Bill
of Rights.
Next, Justice Joseph Story:
“§ 1000. The next amendment is: “A well regulated militia being
necessary to the security of a free state, the right of the people to keep
and bear arms shall not be infringed.
§ 1001. The importance of this article will
scarcely be doubted by any persons, who have duly reflected upon the
subject. The militia is the natural defence of a free country against
sudden foreign invasions, domestic insurrections, and domestic usurpations
of power by rulers. It is against sound policy for a free people
to keep up large military establishments and standing armies in time of
peace, both from the enormous expenses, with which they are attended, and
the facile means, which they afford to ambitious and unprincipled rulers,
to subvert the government, or trample upon the rights of the people.
The right of the citizens to keep, and bear arms has justly been considered,
as the palladium of the liberties of a republic; since it offers a strong
moral check against the usurpation and arbitrary power of rulers; and will
generally, even if these are successful in the first instance, enable the
people to resist, and triumph over them. And yet, though this truth
would seem so clear, and the importance of a well regulated militia would
seem so undeniable, it cannot be disguised, that among the American people
there is a growing indifference to any system of militia discipline, and
a strong disposition, from a sense of its burthens, to be rid of all regulations.
How it is practicable to keep the people duly armed without some organization,
it is difficult to see. There is certainly no small danger, that
indifference may lead to disgust, and disgust to contempt; and thus gradually
undermine all the protection intended by this clause of our national bill
of rights.”
JOSEPH STORY, COMMENTARIES ON THE CONSTITUTION OF THE UNITED STATES
708-709 (Carolina Academic Press 1987) (1833) (emphasis added). Justice
Story calls the right of “citizens” to keep and bear arms the “palladium”
of our liberties. He viewed the private ownership of firearms as
reducing the need for the maintenance of large standing armies by promoting
the vitality of the militia, and laments that militia participation is
on the decline, fearing this will result in fewer Americans being armed.
And finally, Thomas Cooley:
“SECTION IV.—THE RIGHT TO KEEP AND BEAR ARMS
The Constitution.—By the second amendment to the Constitution it is
declared that, ‘a well-regulated militia being necessary to the security
of a free state, the right of the people to keep and bear arms shall not
be infringed.’
The amendment, like most other provisions in the Constitutions, has
a history. It was adopted with some modification and enlargement
from the English Bill of Rights of 1688, where it stood as a protest against
arbitrary action of the overturned dynasty in disarming the people, and
as a pledge of the new rulers that this tyrannical action should cease.
The right declared was meant to be a strong moral check against the usurpation
and arbitrary power of rulers, and as a necessary and efficient means of
regaining rights when temporarily overturned by usurpation.
The Right is General.—It might be supposed from the phraseology
of this provision that the right to keep and bear arms was only guaranteed
to the militia; but this would be an interpretation not warranted by the
intent. The militia, as has been elsewhere explained, consists of
those persons who, under the law, are liable to the performance of military
duty, and are officered and enrolled for service when called upon.
But the law may make provision for the enrolment of all who are fit to
perform military duty, or of a small number only, or it may wholly omit
to make any provision at all; and if the right were limited to those enrolled,
the purpose of this guaranty might be defeated altogether by the action
or neglect to act of the government it was meant to hold in check.
The meaning of the provision undoubtedly is, that the people, from whom
the militia must be taken, shall have the right to keep and bear arms;
and they need no permission or regulation of law for the purpose.
But this enables the government to have a well-regulated militia; for to
bear arms implies something more than the mere keeping; it implies the
learning to handle and use them in a way that makes those who keep them
ready for their efficient use; in other words, it implies the right to
meet for voluntary discipline in arms, observing in doing so the laws of
public order.
Standing Army.—A further purpose of this amendment is, to preclude
any necessity or reasonable excuse for keeping up a standing army.
A standing army is condemned by the traditions and sentiments of the people,
as being as dangerous to the liberties of the people as the general preparation
of the people for the defence of their institutions with arms is preservative
of them.
What Arms may be kept.—The arms intended by the Constitution are such
as are suitable for the general defence of the community against invasion
or oppression, and the secret carrying of those suited merely to deadly
individual encounters may be prohibited.”
THOMAS M. COOLEY, THE GENERAL PRINCIPLES OF CONSTITUTIONAL LAW IN THE
UNITED STATES OF AMERICA 270-72 (Rothman & Co. 1981) (original ed.
1880) (footnotes omitted) (emphasis added).
7. Analysis
The history we have recounted largely speaks for itself. We briefly
summarize. The Anti-Federalists desired a bill of rights, express
provision for increased state power over the militia, and a meaningful
express limitation of the power of the federal government to maintain a
standing army. These issues were somewhat interrelated. The
prospect of federal power to render the militia useless and to maintain
a large standing army combined with the absence of any specific guarantees
of individual liberty frightened Anti-Federalists. But the Anti-Federalist
complaint that resonated best with the people at large was the lack of
a bill of rights.
In mid-1788 the Constitution was ratified unchanged and in the
spring of 1789 the Federalists gained control of both houses of the First
Congress. Hard core Anti-Federalists persisted in all three demands,
but more moderate Anti-Federalists and the people at large were primarily
focused on securing a bill of rights. Most Federalists were not really
averse to a bill of rights, but, like James Madison himself, had been forced
to oppose any modifications to the Constitution since it could only be
ratified unchanged. The Federalists wanted to please the Anti-Federalists
as much as possible without fundamentally altering the balance of federal-state
power. James Madison plainly stated this goal when he submitted his
proposed amendments to the House.
Given the political dynamic of the day, the wording of the Second
Amendment is exactly what would have been expected. The Federalists
had no qualms with recognizing the individual right of all Americans to
keep and bear arms. In fact, as we have documented, one of the Federalists’
favorite 1787-88 talking points on the standing army and federal power
over the militia issues was to remind the Anti-Federalists that the American
people were armed and hence could not possibly be placed in danger by a
federal standing army or federal control over the militia. The Second
Amendment’s preamble represents a successful attempt, by the Federalists,
to further pacify moderate Anti-Federalists without actually conceding
any additional ground, i.e. without limiting the power of the federal government
to maintain a standing army or increasing the power of the states over
the militia.
This is not to say that the Second Amendment’s preamble was not appropriate
or is in any way marginal or lacking in true significance. Quite
the contrary. Absent a citizenry generally keeping and bearing their
own private arms, a militia as it was then thought of could not meaningfully
exist. As pointed out by Thomas Cooley, the right of individual Americans
to keep, carry, and acquaint themselves with firearms does indeed promote
a well-regulated militia by fostering the development of a pool of firearms-familiar
citizens that could be called upon to serve in the militia. While
standing armies are not mentioned in the preamble, history shows that the
reason a well-regulated militia was declared necessary to the security
of a free state was because such a militia would greatly reduce the need
for a standing army. Thus, the Second Amendment dealt directly with
one of the Anti-Federalists’ concerns and indirectly addressed the other
two. While the hard core Anti-Federalists recognized that the Second
Amendment did not assure a well-regulated militia or curtail the federal
government’s power to maintain a large standing army, they did not control
either branch of Congress (or the presidency) and had to be content with
the right of individuals to keep and bear arms.
Finally, the many newspaper articles and personal letters cited
indicate that, at the time, Americans viewed the Second Amendment as applying
to individuals. This is confirmed by the First Congress’s rejection
of amendments that would have directly and explicitly addressed the Anti-Federalists’
standing army and power over the militia concerns.
We have found no historical evidence that the Second Amendment was
intended to convey militia power to the states, limit the federal government’s
power to maintain a standing army, or applies only to members of a select
militia while on active duty. All of the evidence indicates
that the Second Amendment, like other parts of the Bill of Rights, applies
to and protects individual Americans.
We find that the history of the Second Amendment reinforces the plain
meaning of its text, namely that it protects individual Americans in their
right to keep and bear arms whether or not they are a member of a select
militia or performing active military service or training.
E. Second Amendment protects individual rights
We reject the collective rights and sophisticated collective
rights models for interpreting the Second Amendment. We hold, consistent
with Miller, that it protects the right of individuals, including those
not then actually a member of any militia or engaged in active military
service or training, to privately possess and bear their own firearms,
such as the pistol involved here, that are suitable as personal, individual
weapons and are not of the general kind or type excluded by Miller.
However, because of our holding that section 922(g)(8), as applied to Emerson,
does not infringe his individual rights under the Second Amendment we will
not now further elaborate as to the exact scope of all Second Amendment
rights.
VI. Application to Emerson
The district court held that section 922(g)(8) was unconstitutionally
overbroad because it allows second amendment rights to be infringed absent
any express judicial finding that the person subject to the order posed
a future danger. In other words, the section 922(g)(8) threshold
for deprivation of the fundamental right to keep and bear arms is too low.
Although, as we have held, the Second Amendment does protect
individual rights, that does not mean that those rights may never be made
subject to any limited, narrowly tailored specific exceptions or restrictions
for particular cases that are reasonable and not inconsistent with the
right of Americans generally to individually keep and bear their private
arms as historically understood in this country. Indeed, Emerson
does not contend, and the district court did not hold, otherwise.
As we have previously noted, it is clear that felons, infants and those
of unsound mind may be prohibited from possessing firearms. See note
21, supra. Emerson’s argument that his Second Amendment rights
have been violated is grounded on the propositions that the September 14,
1998 order contains no express finding that he represents a credible threat
to the physical safety of his wife (or child), that the evidence before
the court issuing the order would not sustain such a finding and that the
provisions of the order bringing it within clause (C)(ii) of section 922(g)(8)
were no more than uncontested boiler-plate. In essence, Emerson,
and the district court, concede that had the order contained an express
finding, on the basis of adequate evidence, that Emerson actually posed
a credible threat to the physical safety of his wife, and had that been
a genuinely contested matter at the hearing, with the parties and the court
aware of section 922(g)(8), then Emerson could, consistent with the Second
Amendment, be precluded from possessing a firearm while he remained subject
to the order.
Though we are concerned with the lack of express findings in
the order, and with the absence of any requirement for same in clause (C)(ii)
of section 922(g)(8), we are ultimately unpersuaded by Emerson’s argument.
Section 922(g)(8)(A) requires an actual hearing with prior notice and an
opportunity to participate, and section 922(g)(8)(C)(ii) requires that
the order “explicitly” prohibit the use (actual, threatened or attempted)
of physical force that would reasonably be expected to cause bodily injury.
Congress legislated against the background of the almost universal rule
of American law that for a temporary injunction to issue:
“There must be a likelihood that irreparable harm will occur.
Speculative injury is not sufficient; there must be more than an unfounded
fear on the part of the applicant. Thus, a preliminary injunction
will not be issued simply to prevent the possibility of some remote future
injury. A presently existing actual threat must be shown. However,
the injury need not have been inflicted when application is made or be
certain to occur; a strong threat of irreparable injury before trial is
an adequate basis.” 9 WRIGHT, MILLER & KANE, FEDERAL PRACTICE
AND PROCEDURE: CIVIL 2D § 2948.1 at 153-56 (footnotes omitted; emphasis
added).
We conclude that Congress in enacting section 922(g)(8)(C)(ii)
proceeded on the assumption that the laws of the several states were such
that court orders, issued after notice and hearing, should not embrace
the prohibitions of paragraph (C)(ii) unless such either were not contested
or evidence credited by the court reflected a real threat or danger of
injury to the protected party by the party enjoined. We do not imply
that Congress intended to authorize collateral review of the particular
state court predicate order in section 922(g)(8)(C)(ii) prosecutions to
determine whether in that individual case the state court adequately followed
state law in issuing the order. What we do suggest is that Congress
did not have in mind orders issued under a legal system whose rules did
not approximate the above stated general minimum standards for the issuance
of contested injunctive orders after notice and hearing.
In any event, it is clear to us that Texas law meets these general
minimum standards. See, e.g., Texas Indus. Gas v. Phoenix Metallurgical,
828 S.W.2d 529, 532 (Tex. App.-Hou. [1st Dist.] 1992):
“A trial court may not issue a temporary injunction except to prevent
a threatened injury. . . . The commission of the act to be enjoined must
be more than just speculative, and the injury that flows from the act must
be more than just conjectural. . . . The trial court will abuse its discretion
if it grants a temporary injunction when the evidence does not clearly
establish that the applicant is threatened with an actual, irreparable
injury.”
See also State v. Morales, 869 S.W.2d 941, 946 (Tex. 1994) (“An injunction
will not issue unless it is shown that the respondent will engage in the
activity enjoined”); Armendariz v. Mora, 526 S.W.2d 542, 543 (Tex. 1975)
(reversing temporary injunction where no “evidence establishing probable
injury”); Dallas General Drivers v. Wamix, 295 S.W.2d 873, 879 (Tex. 1956);
In re Marriage of Spiegel, 6 S.W.3d 643, 645 (Tex. App.-Amarillo 1999).
We conclude that essentially the same standards are applicable
to orders, such as the September 14, 1998 order here, issued under Texas
Family Code § 6.502, which provides that in a pending divorce proceeding
“after notice and hearing, the court may render an appropriate order, including
the granting of a temporary injunction for . . . protection of the parties
as deemed necessary . . . including an order directed to one or both parties
. . . prohibiting an act described by Section 6.501(a).” Section
6.501(a), dealing with temporary restraining orders in divorce proceedings,
authorizes orders “prohibiting one or both parties from: . . . (2) threatening
the other, by telephone or in writing, to take unlawful action against
any person, intending by this action to annoy or alarm the other; . . .
(4) intentionally, knowingly, or recklessly causing bodily injury to the
other or to a child of either party; (5) threatening the other or a child
of either party with imminent bodily injury; . . .” The predecessor statute
to section 6.502 has been construed as requiring a showing of “reasonable
necessity” for the temporary injunction, including a showing of “a probable
injury.” See Florence v. Florence, 388 S.W.2d 220, 223-24 (Tex. Civ.
App.-Tyler 1965)
We are also somewhat troubled by the unavailability of review
by direct appeal of interlocutory orders under section 6.502. See
Texas Family Code § 6.507. However, appellate court review is
available by mandamus under an “abuse of discretion” standard. Wallace
v. Briggs, 348 S.W.2d 523, 527 (Tex. 1961). There are a number of
reported appellate court decisions granting such relief from orders under
the predecessors to section 6.502. See, e.g., Wallace; Little v.
Daggett, 858 S.W.2d 368 (Tex. 1993); Dancy v. Daggett, 815 S.W.2d 548 (Tex.
1991); Post v. Garza, 867 S.W.2d 88 (Tex. App.-Corpus Christi 1993).
We also note that it has more generally been said that a “trial court will
abuse its discretion if it grants a temporary injunction when the evidence
does not clearly establish that the applicant is threatened with an actual,
irreparable injury,” Texas Indus. Gas, supra, 828 S.W.2d at 532 (emphasis
added), and that, with reference to ruling on a temporary injunction application,
“[a]n abuse of discretion arises when the trial court acts without reference
to applicable guiding principles . . .; acts arbitrarily; . . . or misinterprets
or misapplies the law. . . .” In Re Marriage of Spiegel, 6 S.W.3d
643, 645 (Tex. App.-Amarillo 1999) (emphasis added; citations omitted).
We also note in this connection that orders such as that here of September
14, 1998, expire on the final decree of divorce (and are subject to modification
by the trial court prior thereto; if incorporated into the final divorce
decree they are then subject to review on direct appeal).
In light of the foregoing, we cannot say that section 922(g)(8)(C)(ii)’s
lack of a requirement for an explicit, express credible threat finding
by the court issuing the order–of itself or together with appellate court
review being available (prior to final judgment) only by mandamus–renders
that section infirm under the Second Amendment. The presence of such
an explicit finding would likely furnish some additional indication that
the issuing court properly considered the matter, but such findings can
be as much “boilerplate” or in error as any other part of such an order.
As to Emerson’s contention that the evidence before the court issuing
the September 14, 1998 order was insufficient to show that he posed a credible
threat to the physical safety of his wife or child, we conclude that under
these circumstances Lewis v. United States, 100 S.Ct. 915 (1980) and our
decision in United States v. Chambers, 922 F.2d 228 (5th Cir. 1991), each
discussed in part I hereof above, necessarily preclude the court in the
section 922(g)(8) prosecution from that sort of collateral review of the
validity of the particular section 922(g)(8) predicate order, at least
where, as we hold to be the case here, the order is not so “transparently
invalid” as to have “only a frivolous pretense to validity.” See
Chambers at 239.
With respect to temporary injunctions and similar orders to be
issued only after notice and hearing, the Texas rule of law, as we have
noted, is that such an order, at least to the extent contested and explicitly
prohibiting acts such as are covered by section 922(g)(8)(C)(ii), may not
properly issue unless the issuing court concludes, based on adequate evidence
at the hearing, that the party restrained would otherwise pose a realistic
threat of imminent physical injury to the protected party, and this is
so regardless of whether or not Texas law requires the issuing court to
make on the record express or explicit findings to that effect. Moreover,
such orders are subject to being set aside by the issuing court as well
as being subject to some review by an appellate court. In such a
case, we conclude that the nexus between firearm possession by the party
so enjoined and the threat of lawless violence, is sufficient, though likely
barely so, to support the deprivation, while the order remains in effect,
of the enjoined party’s Second Amendment right to keep and bear arms, and
that this is so even though the party enjoined may not collaterally attack
the particular predicate order in the section 922(g)(8) prosecution, at
least so long as the order, as here, is not so transparently invalid as
to have only a frivolous pretense to validity.
VII. Conclusion
Error has not been demonstrated in the district court’s refusal to
dismiss the indictment on commerce clause grounds.
For the reasons stated, we reverse the district court’s order
granting the motion to dismiss the indictment under the Fifth Amendment.
We agree with the district court that the Second Amendment protects
the right of individuals to privately keep and bear their own firearms
that are suitable as individual, personal weapons and are not of the general
kind or type excluded by Miller, regardless of whether the particular individual
is then actually a member of a militia. However, for the reasons
stated, we also conclude that the predicate order in question here is sufficient,
albeit likely minimally so, to support the deprivation, while it remains
in effect, of the defendant’s Second Amendment rights. Accordingly,
we reverse the district court’s dismissal of the indictment on Second Amendment
grounds.
We remand the cause for further proceedings not inconsistent herewith.
REVERSED and REMANDED
Appendix
The material in this appendix comes largely from Young, “The Origin of the Second Amendment” (2d Ed. 1995) (Golden Oaks Books), herein after cited as Young (all emphasis in original unless otherwise noted).
1. Anti-Federalists want a Bill of Rights.
Letter from Richard Henry Lee to William Shippen, Jr. (October 2, 1787) (reprinted in Young, at 31)(“I have considered the new Constitution . . . & I find it impossible for me to doubt, that in its present State, unamended, the adoption of it will put Civil Liberty and the happiness of the people at the mercy of Rulers who may possess the great unguarded powers given . . . The necessary alterations will by no means interfere with the general nature of the plan, or limit the power of doing good; but they will restrain from oppression the wicked & Tyrannic . . . .”); Letter from George Mason to George Washington (October 7, 1787) (reprinted in Young, at 34-35) (“Objections to the Constitution of Government formed by the Convention. There is no Declaration of Rights, and the Laws of the general Government being paramount to the Laws & Constitutions of the several States, the Declarations of Rights in the separate States are no Security.”); An Old Whig II, PHILADELPHIA INDEPENDENT GAZETTEER, October 17, 1787 (excerpts reprinted in Young, at 49-51) (“[T]he future Congress will be fully authorized to assume all such powers as they in their wisdom or wickedness, according as the one or the other may happen to prevail, shall from time to time think proper to assume. . . . [I]t is not of a farthing consequence whether they really are of opinion that the law is necessary and proper, or only pretend to think so; for who can overrule their pretensions?–No one, unless we had a bill of rights to which we might appeal . . . In giving such immense, such unlimited powers, was there no necessity of a bill of rights to secure to the people their liberties?”); Letter from Elbridge Gerry to the Massachusetts General Court (October 18, 1787) (excerpt reprinted in Young, at 51) (“My principal objections to the plan, are . . . that the system is without the security of a bill of rights.”); An Old Whig III, PHILADELPHIA INDEPENDENT GAZETTEER, October 20, 1787 (excerpt reprinted in Young, at 51) (“[T]here ought to be a bill of rights firmly established, which neither treaties nor acts of the legislature can alter.”); Letter from Louis Guillaume Otto to Comte de Montmorin (October 21, 1787) (excerpt reprinted in Young, at 56) (“He [Anti-Federalist Richard Henry Lee] disapproves especially that the government might have been accorded immense powers without preceding the Constitution with a bill of rights, which has always been regarded as the palladium of a free people.”); A Confederationalist, PHILADELPHIA PENNSYLVANIA HERALD, October 27, 1787 (excerpt reprinted in Young, at 66) (“[A] declaration of those inherent and political rights ought to be made in a BILL OF RIGHTS, that the people may never lose their liberties by construction.”); Letter from George Lee Turberville to Arthur Lee (October 28, 1787) (excerpt reprinted in Young, at 71) (“[T]his points out to me the absolute necessity of a bill of rights–and that a very full & explanatory one too–where not only the Liberty of the press, the trial by jury of the vicinage & all those great points–but even every the most trivial privilege that Citizens have a right to possess–shou’d be expressly stipulated and reserved–& the violation of them most scrupulously and Jealously guarded against–Of what consequence is the federal guarantee of republican governments to the individual states, when the power of the Militia’s even is rested in the president . . . .”); Letter from Arthur Lee to Edward Rutledge (October 29, 1787) (excerpt reprinted in Young, at 72) (“I do not like it [the Constitution]. The want of a promised declaration of rights, when by some exceptions in the Body of it, things, in which no power is expressly given, implies that every thing not excepted is given; is a very material defect.); R.S., PHILADELPHIA PENNSYLVANIA HERALD, November 10, 1787 (excerpt reprinted in Young, at 101) (“The most repeated, and certainly the most substantial, charge against the proposed constitution, is the want of a bill of rights.”); Brutus III, NEW YORK JOURNAL, November 15, 1787 (excerpt reprinted in Young, at 104) (“[T]he plan [the Constitution] is radically defective in a fundamental principle, which ought to be found in every free government; to wit, a declaration of rights.”); Robert Whitehill, Pennsylvania Convention, November 28, 1787 (excerpt reprinted in Young, at 117) (“If indeed the Constitution itself so well defined the powers of government that no mistake could arise, and we were well assured that our governors would always act right, then we might be satisfied without an explicit reservation of those rights with which the people ought not, and mean not to part. But, sir, we know that it is the nature of power to seek its own augmentation, and thus the loss of liberty is the necessary consequence of a loose or extravagant delegation of authority. National freedom has been, and will be the sacrifice of ambition and power, and it is our duty to employ the present opportunity in stipulating such restrictions as are best calculated to protect us from oppression and slavery.”); A FEDERAL REPUBLICAN, A REVIEW OF THE CONSTITUTION (November 28, 1787) (excerpt reprinted in Young, at 119) (“Hitherto we have been considering the blemishes of the Constitution as they statedly exist–other objects are derived from omission. Among these the grand one, upon which is indeed suspended every other, is the omission of a bill of rights.”); Letter from Thomas Jefferson to James Madison (December 20, 1787) (excerpt reprinted in Young, at 177) (“[A] bill of rights is what the people are entitled to against every government on earth, general or particular, & what no just government should refuse, or rest on inference.”); Letter from Thomas B. Waite to George Thatcher, January 8, 1788 (excerpt reprinted in Young, at 194) (“There is a certain darkness, duplicity and studied ambiguity of expression running thro’ the whole Constitution which renders a Bill of Rights peculiarly necessary.–As it now stands but very few individuals do, or ever will understand it.–Consequently, Congress will be its own interpreter . . . .”); Samuel, Boston INDEPENDENT CHRONICLE, January 10, 1788 (excerpt reprinted in Young, at 202) (“The most complaints, that I have heard made about the proposed Constitution, are that there is no declaration of rights.”); Hugh Henry Brackenridge, PITTSBURGH GAZETTE, March 1, 1788 (excerpt reprinted in Young, at 291) (“The want of a bill of rights is the great evil.”); Luther Martin, Baltimore MARYLAND JOURNAL, March 21, 1788 (excerpts reprinted in Young, at 306) (“But the proposed constitution being intended and empowered to act not only on states, but also immediately on individuals, it renders a recognition and a stipulation in favour of the rights both of states and of men, not only proper, but in my opinion, absolutely necessary.”); Patrick Henry, Virginia Convention, June 16, 1788 (excerpt reprinted in Young, at 436) (“[T]he necessity of a bill of rights appears to me to be greater in this government than ever it was in any government before.”).
And, there were moderates who sought to make peace between the Federalists and Anti-Federalists and recognized the necessity of a Bill of Rights. See A True Friend, Broadside: Richmond, December 6, 1787 (reprinted in Young, at 143) (“Let us then insert in the first page of this constitution, as a preamble to it, a declaration of our rights, or an enumeration of our prerogatives, as a sovereign people; that they may never hereafter be unknown, forgotten or contradicted by our representatives, our delegates, our servants in Congress . . . .”).
2. Federalists say bill of rights not needed because federal government given no power to infringe fundamental rights.
One of the People, PHILADELPHIA PENNSYLVANIA GAZETTE, October
17, 1787 (excerpt reprinted in Young, at 45) (“The freedom of the press
and trials by jury are not infringed on. The Constitution is silent,
and with propriety too, on these and every other subject relative to the
internal government of the states. These are secured by the different
state constitutions. I repeat again, that the Federal Constitution
does not interfere with these matters. Their power is defined and
limited by the 8th section of the first Article of the Constitution, and
they have not power to take away the freedom of the press, nor can they
interfere in the smallest degree with the judiciary of any of the states.”);
A Citizen, CARLISLE GAZETTE, October 24, 1787 (excerpt reprinted in Young,
at 57) (“The consideration of the nature and object of this general government
will also shew you how weak it is to talk of a bill of rights in it.
It is a government of states; not of individuals. The constitution
of each state has a bill of rights for its own citizens; and the proposed
plan guaranties to every state a republican form of government for ever.
But it would be a novelty indeed to form a bill of rights for states.”);
James Wilson, Pennsylvania Convention, November 28, 1787 (excerpt reprinted
in Young, at 114) (“[A] bill of rights is by no means a necessary measure.
In a government possessed of enumerated powers, such a measure would be
not only unnecessary, but preposterous and dangerous.”); Brutus, Alexandria
VIRGINIA JOURNAL, December 6, 1787 (excerpt reprinted in Young, at 144)
(“The powers which the people delegate to their rulers are completely defined,
and if they should assume more than is there warranted they would soon
find that there is a power in the United States of America paramount to
their own, which would bring upon them the just resentment of an injured
people.”); Cassius XI, Boston MASSACHUSETTS GAZETTE, December 25, 1787
(excerpt reprinted in Young, at 179) (“[O]f what use would be a bill of
rights, in the present case? . . . It can only be to resort to when
it is supposed that Congress have infringed the unalienble rights of the
people: but would it not be much easier to resort to the federal constitution,
to see if therein power is given to Congress to make the law in question?
If such power is not given, the law is in fact a nullity, and the people
will not be bound thereby. For let it be remembered that such laws,
and such only, as are founded on this constitution, are to be the supreme
laws of the land.”); General Charles Pinckney, South Carolina Convention,
January 18, 1788, (excerpt reprinted in Young, at 217) (“The general government
has no powers but what are expressly granted to it; it therefore has no
power to take away the liberty of the press. . . . [T]o have mentioned
it in our general Constitution would perhaps furnish an argument, hereafter,
that the general government had a right to exercise powers not expressly
delegated to it. For the same reason, we had no bill of rights inserted
in our Constitution; for, as we might perhaps have omitted the enumeration
of some of our rights, it might hereafter be said we had delegated to the
general government a power to take away such of our rights as we had not
enumerated . . . .”); Aristides [Alexander Contee Hanson], REMARKS ON THE
PROPOSED PLAN OF A FEDERAL GOVERNMENT, ADDRESSED TO THE CITIZENS OF THE
UNITED STATES OF AMERICA, AND PARTICULARLY TO THE PEOPLE OF MARYLAND, January
31, 1788 (excerpts reprinted in Young, at 239-42) (“[W]hen the compact
[the Constitution] ascertains and defines the power delegated to the federal
head, then cannot this government, without manifest usurpation, exert any
power not expressly, or by necessary implication, conferred by the compact.
This doctrine is so obvious and plain, that I am amazed any good man should
deplore the omission of a bill of rights.”); Alexander White, Winchester
VIRGINIA GAZETTE, February 22, 1788 (excerpts reprinted in Young, at 281)
(“There are other things [in the Pennsylvania Minority’s proposed Declaration
of Rights] so clearly out of the power of Congress, that the bare recital
of them is sufficient, I mean the ‘rights of conscience, or religious liberty–the
rights of bearing arms for defence, or for killing game–the liberty of
fowling, hunting and fishing–the right of altering the laws of descents
and distribution of the effects of deceased persons and titles of lands
and goods, and the regulation of contracts in the individual States.’
These things seem to have been inserted among their objections, merely
to induce the ignorant to believe that Congress would have a power over
such objects and to infer from their being refused a place in the Constitution,
their intention to exercise that power to the oppression of the people.
But if they had been admitted as reservations out of the powers granted
to Congress, it would have opened a large field indeed for legal construction:
I know not an object of legislation which by a parity of reason, might
not be fairly determined within the jurisdiction of Congress.”) (emphasis
added).
3. Federalists argue that bill of rights may imply federal
government has power to infringe those rights not mentioned.
James Wilson, Pennsylvania Convention, November 28, 1787 (excerpt
reprinted in Young, at 116) (“In all societies, there are many powers and
rights, which cannot be particularly enumerated. A bill of rights
annexed to a constitution is an enumeration of the powers reserved.
If we attempt an enumeration, every thing that is not enumerated is presumed
to be given. The consequence is, that an imperfect enumeration would
throw all implied power into the scale of the government; and the rights
of the people would be rendered incomplete.”); Jasper Yeates, Pennsylvania
Convention, November 30, 1787 (excerpt reprinted in Young, at 125-26) (“I
agree with those gentlemen who conceive that a bill of rights, according
to the ideas of the opposition, would be accompanied with considerable
difficulty and danger; for, it might be argued at a future day by the persons
then in power–you undertook to enumerate the rights which you meant to
reserve, the pretension which you now make is not comprised in that enumeration,
and, consequently, our jurisdiction is not circumscribed.”); Brutus, Alexandria
VIRGINIA JOURNAL, December 6, 1787 (excerpt reprinted in Young, at 144)
(“[I]t would therefore have been not only absurd but even dangerous to
have inserted a bill of rights; because, if, in the enumeration of rights
and privileges to be reserved, any had been omitted or forgotten, and the
people, at a future period, should assume those so omitted, the rulers
might with propriety dispute their right to exercise them, as they were
not specified in the bill of rights . . . .”).
4. Federalists argue bill of rights not needed as Americans, used to freedom, would not allow infringement of rights.
Letter from William Pierce to St. George Tucker (September 28,
1787) (reprinted in Young, at 29 (“I set this down as a truth founded in
nature, that a nation habituated to freedom will never remain quiet under
an invasion of its liberties.”); A CITIZEN OF PHILADELPHIA [Pelatiah Webster],
THE WEAKNESS OF BRUTUS EXPOSED, November 8, 1787 (reprinted in Young, at
85) (“[S]hould they [Congress] assume tyrannical powers, and make incroachments
on liberty without the consent of the people, they would soon attone for
their temerity, with shame and disgrace, and probably with their heads.”);
The State Soldier, Richmond VIRGINIA INDEPENDENT CHRONICLE, January 16,
1788 (excerpt reprinted in Young, at 209) (“[T]here is nothing in this
constitution itself that particularly bargains for a surrender of your
liberties, it must be your own faults if you become enslaved. Men
in power may usurp authorities under any constitution–and those they govern
may oppose their tyranny.”); Marcus, NORFOLK AND PORTSMOUTH JOURNAL, March
12, 1788 (excerpt reprinted in Young, at 297-98) (“It is in the power of
the Parliament if they dare to exercise it, to abolish the trial by jury
altogether–but woe be to the man who should dare to attempt it–it would
undoubtedly produce an insurrection that would hurl every tyrant to the
ground who attempted to destroy that great and just favorite of the English
nation. We certainly shall be always sure of this guard at least,
upon any such act of folly or insanity in our Representatives: They soon
would be taught the consequence of sporting with the feelings of a free
people.”); Publius [Alexander Hamilton], The Federalist, No. 8, THE NEW
YORK PACKET, November 20, 1787 (excerpt reprinted in Young, at 105-06)
(footnote omitted) (“The smallness of the army renders the natural strength
of the community an overmatch for it; and the citizens, not habituated
to look up to the military power for [protection], or to submit to its
oppressions, neither love nor fear the soldiery: They view them with a
spirit of jealous acquiescence in a necessary evil, and stand ready to
resist a power which they suppose may be exerted to the prejudice of their
rights. The army under such circumstances, may usefully aid the magistrate
to suppress a small faction, or an occasional mob, or insurrection; but
it will be unable to enforce encroachments against the united efforts of
the great body of the people.”)
5. Federalists argue that federal power to maintain a standing army should not be feared because the American people are armed and hence could resist an oppressive standing army.
A CITIZEN OF AMERICA [Federalist Noah Webster], AN EXAMINATION INTO THE LEADING PRINCIPLES OF THE FEDERAL CONSTITUTION (October 10, 1787) (reprinted in Young, at 40) (“Before a standing army can rule, the people must be disarmed; as they are in almost every kingdom in Europe. The supreme power in America cannot enforce unjust laws by the sword; because the whole body of the people are armed, and constitute a force superior to any band of regular troops that can be, on any pretense, raised in the United States.”); Essay on Federal Sentiments, PHILADELPHIA INDEPENDENT GAZETTEER, October 23, 1787 (excerpt reprinted in Young, at 57) (“If the president and the whole senate should happen to be the boldest wealthiest, most artful men in the union, supported by the most powerful connexions, and unanimous in the design of subduing the nation; and if by the concurrence of the representatives they obtained money and troops for the purpose; yet the whole personal influence of Congress, and their parricide army could never prevail over an hundred thousand men armed and disciplined, owners of the country, animated not only with a spirit of liberty, but ardent resentment against base treacherous tyrants.”); Mr. Sedgwick, Massachusetts Convention, January 24, 1788 (excerpt reprinted in Young, at 230-31) (“It was, he said, a chimerical idea to suppose that a country like this could ever be enslaved. How is an army for that purpose to be obtained from the freemen of the United States? They certainly, said he, will know to what object it is to be applied. Is it possible, he asked, that an army could be raised for the purpose of enslaving themselves and their brethren? [O]r if raised, whether they could subdue a nation of freemen, who know how to prize liberty, and who have arms in their hands?”); Aristides [Alexander Contee Hanson], REMARKS ON THE PROPOSED PLAN OF A FEDERAL GOVERNMENT, ADDRESSED TO THE CITIZENS OF THE UNITED STATES OF AMERICA, AND PARTICULARLY TO THE PEOPLE OF MARYLAND, January 31, 1788 (excerpt reprinted in Young, at 240) (“If indeed it be possible in the nature of things, that congress shall, at any future period, alarm us by an improper augmentation of troops, could we not, in that case, depend on the militia, which is ourselves.”); A Pennsylvanian III [Tench Coxe], Philadelphia PENNSYLVANIA GAZETTE, February 20, 1788 (excerpt reprinted in Young, at 275-76) (“The power of the sword, say the minority of Pennsylvania is in the hands of Congress. My friends and countrymen, it is not so, for THE POWERS OF THE SWORD ARE IN THE HANDS OF THE YEOMANRY OF AMERICA FROM SIXTEEN TO SIXTY. The militia of these free commonwealths, entitled and accustomed to their arms, when compared to any possible army must be tremendous and irresistable. Who are these militia? [A]re they not our selves. Is it feared, then, that we shall turn our arms each man against his own bosom. Congress have no power to disarm the militia. Their swords, and every other terrible implement of the soldier, are the birthright of an American. What clause in the state or foedral constitution hath given away that important right. . . . I do not hesitate to affirm, that the unlimited power of the sword is not in the hands of either the foedral or state governments, but, where I trust in God it will ever remain, in the hands of the people.”); Foreign Spectator, REMARKS on the Amendments to the federal Constitution, proposed by the Conventions of Massachusetts, New-Hampshire, New-York, Virginia, South and North-Carolina, with the minorities of Pennsylvania and Maryland, by a FOREIGN SPECTATOR, Number VI, Philadelphia FEDERAL GAZETTE, November 7, 1788 (excerpt reprinted in Young, at 556) (“We proceed to consider the amendments that regard the military power of the federal government. . . . While the people have property, arms in their hands, and only a spark of a noble spirit, the most corrupt congress must be mad to form any project of tyranny.”); The Republican, Hartford CONNECTICUT COURANT, January 7, 1788 (excerpts reprinted in Young, at 188-91) (“it is a capital circumstance in favor of our liberty that the people themselves are the military power of our country. In countries under arbitrary government, the people oppressed and dispirited neither possess arms nor know how to use them. Tyrants never feel secure until they have disarmed the people. They can rely upon nothing but standing armies of mercenary troops for the support of their power. But the people of this country have arms in their hands; they are not destitute of military knowledge; every citizen is required by law to be a soldier; we are all marshaled into companies, regiments, and brigades, for the defense of our country. This is a circumstance which increases the power and consequence of the people; and enables them to defend their rights and privileges against every invader. . . . The spirit of the people would oppose every open and direct attempt to enslave them.”).
Madison expresses largely the same thought in Federalist No. 46,
as follows: “Extravagant as the supposition is, let it, however,
be made. Let a regular army, fully equal to the resources of the
country, be formed; and let it be entirely at the devotion of the federal
government; still it would not be going too far to say that the State governments
with the people on their side would be able to repel the danger.
The highest number to which, according to the best computation, a standing
army can be carried in any country does not exceed one hundredth part of
the whole number of souls; or one twenty-fifth part of the number able
to bear arms. This proportion would not yield, in the United States,
and army of more than twenty-five or thirty thousand men. To these
would be opposed a militia amounting to near half a million citizens with
arms in their hands, officered by men chosen from among themselves, fighting
for their common liberties and united and conducted by governments possessing
their affections and confidence. It may well be doubted, whether
a militia thus circumstanced could ever be conquered by such a proportion
of regular troops. Those who are best acquainted with the last successful
resistance of this country against the British arms will be most inclined
to deny the possibility of it. Besides the advantage of being armed,
which the Americans possess over the people of almost every other nation,
the existence of subordinate governments, to which the people are attached
and by which the militia officers are appointed, forms a barrier against
the enterprises of ambition, more insurmountable than any which a simple
government of any form can admit of. Notwithstanding the military
establishments in the several kingdoms of Europe, which are carried as
far as the public resources will bear, the governments are afraid to trust
the people with arms. . . . Let us not insult the free and gallant citizens
of America with the suspicion, that they would be less able to defend the
rights of which they would be in actual possession, than the debased subjects
of arbitrary power [Europeans] would be to rescue theirs from the hands
of their oppressors.” (The Federalist Papers, Rossiter, New American
Library, at 299-300; emphasis added.)
6. Federalist argue that federal militia powers obviated the need for and minimized the likelihood of their being a large standing army.
In Federalist No. 29 Hamilton states: “If a well-regulated militia be the most natural defense of a free country, it ought certainly to be under the regulation and at the disposal of that body which is constituted the guardian of national security. If standing armies are dangerous to liberty, an efficacious power over the militia in the same body ought, as far as possible, to take away the inducement and the pretext to such unfriendly institutions. If the federal government can command the aid of the militia in those emergencies which call for the military arm in support of the civil magistrate, it can better dispense with the employment of a different kind of force. If it cannot avail itself of the former, it will be obliged to recur to the latter. To render an army unnecessary will be a more certain method of preventing its existence than a thousand prohibitions upon paper.” (The Federalist Papers, Rossiter, New American Library, at 183). See also James Madison, Virginia Convention, June 14, 1788 (excerpt reprinted in Young, at 400, 402, 404): “If insurrections should arise, or invasions should take place, the people ought unquestionably to be employed, to suppress and repel them, rather than a standing army. The best way to do these things was to put the militia on a good and sure footing, and enable the government to make use of their services when necessary. . . . [After a response by George Mason] The most effectual way to guard against a standing army, is to render it unnecessary. The most effectual way to render it unnecessary, is to give the general government full power to call forth the militia, and exert the whole natural strength of the Union, when necessary. . . . If you limit their [the federal government’s] power over the militia, you give them a pretext for substituting a standing army.”
ROBERT M. PARKER, Circuit Judge, specially concurring:
I concur in the opinion except for Section V. I choose not to
join Section V, which concludes that the right to keep and bear arms under
the Second Amendment is an individual right, because it is dicta and is
therefore not binding on us or on any other court. The determination
whether the rights bestowed by the Second Amendment are collective or individual
is entirely unnecessary to resolve this case and has no bearing on the
judgment we dictate by this opinion. The fact that the 84 pages of
dicta contained in Section V are interesting, scholarly, and well written
does not change the fact that they are dicta and amount to at best an advisory
treatise on this long-running debate.
As federal judges it is our special charge to avoid constitutional
questions when the outcome of the case does not turn on how we answer.
See Spector Motor Service, Inc. v. McLaughlin, 323 U.S. 101, 105 (1944)(“If
there is one doctrine more deeply rooted than any other in the process
of constitutional adjudication, it is that we ought not to pass on questions
of constitutionality . . . unless such adjudication is unavoidable.”);
Walton v. Alexander, 20 F.3d 1350, 1356 (5th Cir. 1994)(Garwood, J., concurring
specially)(“It is settled that courts have a strong duty to avoid constitutional
issues that need not be resolved in order to determine the rights of the
parties to the case under consideration.”)(internal quotations omitted).
Following this cardinal rule, we will not, for example, pick and choose
among dueling constitutional theories when under any construction the challenged
provision is invalid. See Hooper v. Bernalillo County Assessor, 472
U.S. 612, 621 n.11 (1985). Nor will we decide a constitutional question
when under any construction the challenged provision must be sustained.
See O’Connor v. Nevada, 27 F.3d 357, 361 (9th Cir. 1994); Bullock v. Minnesota,
611 F.2d 258, 260 (8th Cir. 1979). Furthermore, the fact that a trial
court passed on a novel question of constitutional law does not require
us to do likewise. Appellate courts are supposed to review judgments,
not opinions. See Texas v. Hopwood, 518 U.S. 1033, 1033 (1996).
Here, whether “the district court erred in adopting an individual rights
or standard model as the basis for its construction of the Second Amendment,”
Maj. Op. at 23, is not a question that affects the outcome of this case
no matter how it is answered. In holding that § 922(g)(8) is
not infirm as to Emerson, and at the same time finding an individual right
to gunownership, the majority today departs from these sound precepts of
judicial restraint.
No doubt the special interests and academics on both sides of
this debate will take great interest in the fact that at long last some
court has determined (albeit in dicta) that the Second Amendment bestows
an individual right. The real issue, however, is the fact that whatever
the nature or parameters of the Second Amendment right, be it collective
or individual, it is a right subject to reasonable regulation. The
debate, therefore, over the nature of the right is misplaced. In
the final analysis, whether the right to keep and bear arms is collective
or individual is of no legal consequence. It is, as duly noted by
the majority opinion, a right subject to reasonable regulation. If
determining that Emerson had an individual Second Amendment right that
could have been successfully asserted as a defense against the charge of
violating § 922(g)(8), then the issue would be cloaked with legal
significance. As it stands, it makes no difference. Section
922(g)(8) is simply another example of a reasonable restriction on whatever
right is contained in the Second Amendment.
And whatever the scope of the claimed Second Amendment right,
no responsible individual or organization would suggest that it would protect
Emerson’s possession of the other guns found in his military-style arsenal
the day the federal indictment was handed down. In addition to the
Beretta nine millimeter pistol at issue here, Emerson had a second Beretta
like the first, a semi-automatic M-1 carbine, an SKS assault rifle with
bayonet, and a semi-automatic M-14 assault rifle. Nor would anyone
suggest that Emerson’s claimed right to keep and bear arms supercedes that
of his wife, their daughter, and of others to be free from bodily harm
or threats of harm. Though I see no mention of it in the majority’s
opinion, the evidence shows that Emerson pointed the Beretta at his wife
and daughter when the two went to his office to retrieve an insurance payment.
When his wife moved to retrieve her shoes, Emerson cocked the hammer and
made ready to fire. Emerson’s instability and threatening conduct
also manifested itself in comments to his office staff and the police.
Emerson told an employee that he had an AK-47 and in the same breath that
he planned to pay a visit to his wife’s boyfriend. To a police officer
he said that if any of his wife’s friends were to set foot on his property
they would “be found dead in the parking lot.”
If the majority was only filling the Federal Reporter with page
after page of non-binding dicta there would be no need for me to write
separately. As I have said, nothing in this case turns on the original
meaning of the Second Amendment, so no court need follow what the majority
has said in that regard. Unfortunately, however, the majority’s exposition
pertains to one of the most hotly-contested issues of the day. By
overreaching in the area of Second Amendment law, the majority stirs this
controversy without necessity when prudence and respect for stare decisis
calls for it to say nothing at all. See CASS R. SUNSTEIN, ONE CASE
AT A TIME: JUDICIAL MINIMALISM AND THE SUPREME COURT 5 (1999)(“[A] minimalist
path usually--not always, but usually--makes a good deal of sense when
the Court is dealing with a constitutional issue of high complexity about
which many people feel deeply and on which the nation is divided (on moral
or other grounds).”) (italics in original). Indeed, in the end, the
majority today may have done more harm than good for those who embrace
a right to gunownership.