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This publication supplements Senate Document 108–17, The Constitution of the
United States of America: Analysis and Interpretation—it should be inserted
into the pocket on the inside back cover of that volume
108TH CONGRESS DOCUMENT " SENATE ! 2d Session No. 108–19
THE CONSTITUTION
OF THE
UNITED STATES OF AMERICA
ANALYSIS AND INTERPRETATION
2004 SUPPLEMENT
ANALYSIS OF CASES DECIDED BY THE SUPREME
COURT OF THE UNITED STATES TO JUNE 29, 2004
PREPARED BY THE
CONGRESSIONAL RESEARCH SERVICE
LIBRARY OF CONGRESS
JOHNNY H. KILLIAN
GEORGE A. COSTELLO
KENNETH R. THOMAS
CO-EDITORS
HENRY COHEN
ROBERT MELTZ
CONTRIBUTORS
U.S. GOVERNMENT PRINTING OFFICE
97–081PS WASHINGTON : 2004
For sale by the Superintendent of Documents, U.S. Government Printing Office
Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800
Fax: (202) 512–2250 Mail: Stop SSOP, Washington, DC 20402–0001
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SENEAGLE
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1
1 Sabri v. United States, 124 S. Ct. 1941, 1946 (2004).
2 124 S. Ct. at 1946.
ARTICLE I
Article I, § 8, cl. 1. Power to Tax and Spend
SPENDING FOR THE GENERAL WELFARE
Scope of the Power
[Add new paragraph at end of section:]
As with its other powers, Congress may enact legislation ‘‘necessary
and proper’’ to effectuate its purposes in taxing and spending.
In upholding a law making it a crime to bribe state and local
officials who administer programs that receive federal funds, the
Court declared that Congress has authority ‘‘to see to it that taxpayer
dollars . . . are in fact spent for the general welfare, and not
frittered away in graft or on projects undermined when funds are
siphoned off or corrupt public officers are derelict about demanding
value for dollars.’’ 1 Congress’ failure to require proof of a direct
connection between the bribery and the federal funds was permissible,
the Court concluded, because ‘‘corruption does not have to be
that limited to affect the federal interest. Money is fungible, bribed
officials are untrustworthy stewards of federal funds, and corrupt
contractors do not deliver dollar-for-dollar value.’’ 2
—Conditional Grants in Aid
[P. 165, add to n.603:]
This is not to say that Congress may police the effectiveness of its spending only
by means of attaching conditions to grants; Congress may also rely on criminal
sanctions to penalize graft and corruption that may impede its purposes in spending
programs. Sabri v. United States, 124 S. Ct. 1941 (2004).
Article I, § 8, cl. 3. Commerce Power
POWER TO REGULATE COMMERCE
The Commerce Clause as a Source of National Police Power
—Is There an Intrastate Barrier to Congress’ Commerce Power?
[P. 212, substitute for second paragraph of section:]
Congress’ commerce power has been characterized as having
three, or sometimes four, very interrelated principles of decision,
some old, some of recent vintage. The Court in 1995 described
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2 ARTICLE I—LEGISLATIVE DEPARTMENT
3 United States v. Lopez, 514 U.S. 549, 558–59 (1995) (citations omitted). Illustrative
of the power to legislate to protect the channels and instrumentalities of
interstate commerce is Pierce County v. Guillen, 537 U.S. 129, 147 (2003), in which
the Court upheld a prohibition on the use in state or federal court proceedings of
highway data required to be collected by states on the basis that ‘‘Congress could
reasonably believe that adopting a measure eliminating an unforeseen side effect of
the information-gathering requirement . . . would result in more diligent efforts [by
states] to collect the relevant information.’’
4 Reliance could not be placed on Executive statements, the Court explained,
since ‘‘the Constitution expressly grants Congress, not the President, the power to
‘‘three broad categories of activities that Congress may regulate
under its commerce power. First, Congress may regulate the use of
the channels of interstate commerce. Second, Congress is empowered
to regulate and protect the instrumentalities of interstate
commerce, or persons or things in interstate commerce, even
though the threat may come only from intrastate activities. Finally,
Congress’ commerce authority includes the power to regulate those
activities having a substantial relation to interstate commerce, i.e.,
those activities that substantially affect interstate commerce.’’ 3
[P. 217, add to n.883:]
Lopez did not ‘‘purport to announce a new rule governing Congress’ Commerce
Clause power over concededly economic activity.’’ Citizens Bank v. Alafabco, Inc.,
539 U.S. 52, 58 (2003).
The Commerce Clause as a Restraint on State Powers
—Congressional Authorization of Impermissible State Action
[P. 231, add to n.957 after initial cite:]
See also Hillside Dairy, Inc. v. Lyons, 539 U.S. 59 (2003) (authorization of state laws
regulating milk solids does not authorize milk pricing and pooling laws).
State Taxation and Regulation: The Modern Law
—Regulation
[P. 249, add to n.1051:]
But cf. Pharmaceutical Research and Mfrs. of America v. Walsh, 538 U.S. 644 (2003)
(state prescription drug program providing rebates to participating companies does
not regulate prices of out-of-state transactions and does not favor in-state over outof-
state companies).
Foreign Commerce and State Powers
[P. 256, substitute for last two sentences of first full paragraph:]
The tax, it was found, did not impair federal uniformity or prevent
the Federal Government from speaking with one voice in international
trade, in view of the fact that Congress had rejected proposals
that would have preempted California’s practice.4 The result
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ARTICLE I—LEGISLATIVE DEPARTMENT 3
‘regulate Commerce with foreign Nations.’ ’’ 512 U.S. at 329. ‘‘Executive Branch communications
that express federal policy but lack the force of law cannot render unconstitutional
California’s otherwise valid, congressionally condoned, use of worldwide
combined reporting.’’ Id. at 330. Dissenting Justice Scalia noted that, although
the Court’s ruling correctly restored preemptive power to Congress, ‘‘it permits the
authority to be exercised by silence.’’ Id. at 332.
5 The Supreme Court, Leading Cases, 1993 Term, 108 HARV. L. REV. 139, 139–
49 (1993).
of the case, perhaps intended, is that foreign corporations have less
protection under the negative commerce clause.5
Concurrent Federal and State Jurisdiction
—The Standards Applied
[P. 262, add to end of n.1109:]
Aetna Health, Inc. v. Davila, 124 S. Ct. 2488 (2004) (suit brought against HMO
under state health care liability act for failure to exercise ordinary care when denying
benefits is preempted).
[P. 265, add to n.1118:]
But cf. Sprietsma v. Mercury Marine, 537 U.S. 51 (2002) (interpreting preemption
language and saving clause in Federal Boat Safety Act as not precluding a state
common law tort action).
COMMERCE WITH INDIAN TRIBES
[P. 278, add to end of n.1189:]
United States v. Lara, 124 S. Ct. 1628, 1633 (2004).
[P. 281, add to end of n.1206:]
Congress may also remove restrictions on tribal sovereignty. The Court has held
that, absent authority from federal statute or treaty, tribes possess no criminal authority
over non-Indians. Oliphant v. Suquamish Indian Tribe, 435 U.S. 191 (1978).
The Court also held, in Duro v. Reina, 495 U.S. 676 (1990), that a tribe has no
criminal jurisdiction over non-tribal Indians who commit crimes on the reservation;
jurisdiction over members rests on consent of the self-governed, and absence of consent
defeats jurisdiction. Congress, however, quickly enacted a statute recognizing
inherent authority of tribal governments to exercise criminal jurisdiction over nonmember
Indians, and the Court upheld congressional authority to do so in United
States v. Lara, 124 S. Ct. 1628 (2004).
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4 ARTICLE I—LEGISLATIVE DEPARTMENT
6 Graham v. John Deere Co., 383 U.S. 1, 5, 9 (1966).
7 Eldred v. Ashcroft, 537 U.S. 186, 205 (2003) (quoting Sony Corp. of America
v. Universal City Studios, 464 U.S. 417, 429 (1984)).
8 537 U.S. at 204.
9 The Court in Eldred upheld extension of the term of existing copyrights from
life of the author plus 50 years to life of the author plus 70 years. While the more
general issue was not raised, the Court opined that this length of time, extendable
by Congress, was ‘‘clearly’’ not a regime of ‘‘perpetual’’ copyrights. The only two dissenting
Justices, Stevens and Breyer, challenged this assertion.
10 Evans v. Jordan, 13 U.S. (9 Cr.) 199 (1815); Bloomer v. McQuewan, 55 U.S.
(14 How.) 539, 548 (1852); Bloomer v. Millinger, 68 U.S. (1 Wall.) 340, 350 (1864);
Eunson v. Dodge, 85 U.S. (18 Wall.) 414, 416 (1873).
Clause 8. Copyrights and Patents
COPYRIGHTS AND PATENTS
Origins and Scope of the Power
[P. 312, delete sentence ending with n.1421 and substitute the following:]
These English statutes curtailed the royal prerogative in the creation
and bestowal of monopolistic privileges, and the Copyright
and Patent Clause similarly curtails congressional power with regard
both to subject matter and to the purpose and duration of the
rights granted.6
[P. 313, delete final sentence of paragraph]
[P. 313, add new paragraph to end of section:]
The constitutional limits, however, do not prevent the Court
from being highly deferential to congressional exercise of its power.
‘‘It is Congress that has been assigned the task of defining the
scope of the limited monopoly that should be granted to authors,’’
the Court has said.7 ‘‘Satisfied’’ in Eldred v. Ashcroft that the Copyright
Term Extension Act did not violate the ‘‘limited times’’ prescription,
the Court saw the only remaining question as whether
the enactment was ‘‘a rational exercise of the legislative authority
conferred by the Copyright Clause.’’ 8 The Act, the Court concluded,
‘‘reflects judgments of a kind Congress typically makes, judgments
we cannot dismiss as outside the Legislature’s domain.’’ Moreover,
the limitation on the duration of copyrights and patents is largely
unenforceable. The protection period may extend well beyond the
life of the author or inventor.9 Congress may extend the duration
of existing copyrights and patents, and in so doing may protect the
rights of purchasers and assignees.10
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ARTICLE I—LEGISLATIVE DEPARTMENT 5
11 17 U.S. (4 Wheat.) 316 (1819).
12 Jinks v. Richland County, 538 U.S. 456 (2003).
13 538 U.S. 84 (2003).
Clause 18. Necessary and Proper Clause
NECESSARY AND PROPER CLAUSE
Scope of Incidental Powers
[P. 357, substitute for first sentence of section:]
The Necessary and Proper Clause, sometimes called the ‘‘coefficient’’
or ‘‘elastic’’ clause, is an enlargement, not a constriction, of
the powers expressly granted to Congress. Chief Justice Marshall’s
classic opinion in McCulloch v. Maryland 11 set the standard in
words that reverberate to this day.
Operation of Clause
[P. 358, add to n.1734:]
Congress may also legislate to protect its spending power. Sabri v. United States,
124 S. Ct. 1941 (2004) (upholding imposition of criminal penalties for bribery of
state and local officials administering programs receiving federal funds).
—Courts and Judicial Proceedings
[P. 361, add clause following n.1759:]
may require the tolling of a state statute of limitations while a
state cause of action that is supplemental to a federal claim is
pending in federal court,12
Section 10—Powers Denied to States
Clause 1.
EX POST FACTO LAWS
—Scope of the Provision
[P. 382, add to text following n.1912:]
Distinguishing between civil and penal laws was at the heart
of the Court’s decision in Smith v. Doe13 upholding application of
Alaska’s ‘‘Megan’s Law’’ to sex offenders who were convicted before
the law’s enactment. The Alaska law requires released sex offenders
to register with local police and also provides for public notification
via the Internet. The Court accords ‘‘considerable deference’’ to
legislative intent; if the legislature’s purpose was to enact a civil
regulatory scheme, then the law can be ex post facto only if there
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6 ARTICLE I—LEGISLATIVE DEPARTMENT
14 538 U.S. at 92.
15 The law’s requirements do not closely resemble punishments of public disgrace
imposed in colonial times; the stigma of Megan’s Law results not from public
shaming but from the dissemination of information about a criminal record, most
of which is already public. 538 U.S. at 98.
16 538 U.S. at 102.
17 Excessiveness was alleged to stem both from the law’s duration (15 years of
notification by those convicted of less serious offenses; lifetime registration by serious
offenders) and in terms of the widespread (Internet) distribution of the information.
18 538 U.S. at 105. Unlike involuntary civil commitment, where the ‘‘magnitude
of restraint [makes] individual assessment appropriate,’’ the state may make ‘‘reasonable
categorical judgments,’’ and need not provide individualized determinations
of dangerousness. Id. at 103.
19 3 U.S. (3 Dall.) 386, 389 (1798).
is ‘‘the clearest proof’’ of punitive effect.14 Here, the Court determined,
the legislative intent was civil and non-punitive—to promote
public safety by ‘‘protecting the public from sex offenders.’’
The Court then identified several ‘‘useful guideposts’’ to aid analysis
of whether a law intended to be non-punitive nonetheless has
punitive effect. Registration and public notification of sex offenders
are of recent origin, and are not viewed as a ‘‘traditional means of
punishment.’’ 15 The Act does not subject the registrants to an ‘‘affirmative
disability or restraint’’; there is no physical restraint or
occupational disbarment, and there is no restraint or supervision of
living conditions, as there can be under conditions of probation.
The fact that the law might deter future crimes does not make it
punitive. All that is required, the Court explained, is a rational
connection to a non-punitive purpose, and the statute need not be
narrowly tailored to that end.16 Nor is the act ‘‘excessive’’ in relation
to its regulatory purpose.17 Rather, ‘‘the means chosen are
‘reasonable’ in light of the [state’s] non-punitive objective’’ of promoting
public safety by giving its citizens information about former
sex offenders, who, as a group, have an alarmingly high rate of recidivism.
18
—Changes in Punishment
[P. 383, add as substitute for first sentence of section:]
Justice Chase in Calder v. Bull gave an alternative description
of the four categories of ex post facto laws, two of which related to
punishment. One such category was laws that inflict punishment
‘‘where the party was not, by law, liable to any punishment’’; the
other was laws that inflict greater punishment than was authorized
when the crime was committed.19
Illustrative of the first of these punishment categories is ‘‘a law
enacted after expiration of a previously applicable statute of limitations
period [as] applied to revive a previously time-barred prosecu-
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ARTICLE I—LEGISLATIVE DEPARTMENT 7
20 539 U.S. 607, 632–33 (2003) (invalidating application of California’s law to revive
child abuse charges 22 years after the limitations period had run for the alleged
crimes).
21 Lindsey v. Washington, 301 U.S. 397 (1937). But note the limitation of
Lindsey in Dobbert v. Florida, 432 U.S. 282, 298–301 (1977).
22 Holden v. Minnesota, 137 U.S. 483, 491 (1890).
23 Medley, Petitioner, 134 U.S. 160, 171 (1890).
tion.’’ Such a law, the Court ruled in Stogner v. California,20 is prohibited
as ex post facto. Courts that had upheld extension of unexpired
statutes of limitation had been careful to distinguish situations
in which the limitations periods have expired. The Court
viewed revival of criminal liability after the law had granted a person
‘‘effective amnesty’’ as being ‘‘unfair’’ in the sense addressed by
the Ex Post Facto Clause.
Illustrative of the second punishment category are statutes
that changed an indeterminate sentence law to require a judge to
impose the maximum sentence,21 that required solitary confinement
for prisoners previously sentenced to death,22 and that allowed
a warden to fix, within limits of one week, and keep secret
the time of execution.23
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9
1 Pub. L. 107–40, 115 Stat. 224 (2001).
2 Hamdi v. Rumsfeld, 124 S. Ct. 2633 (2004). There was no opinion of the Court.
Justice O’Connor, joined by Chief Justice Rehnquist, Justice Kennedy and Justice
Breyer, avoided ruling on the Executive Branch argument that such detentions
could be authorized by its Article II powers alone, and relied instead on the ‘‘Authorization
for Use of Military Force’’ passed by Congress. Justice Thomas also found
that the Executive Branch had the power to detain the petitioner, although his dissenting
opinion found that such detentions were authorized by Article II. Justice
Souter, joined by Justice Ginsberg, rejected the argument that the Congress had authorized
such detentions, while Justice Scalia, joined with Justice Stevens, denied
that such congressional authorization was possible without a suspension of the writ
of habeas corpus.
3 At a minimum, the petitioner must be given notice of the asserted factual
basis for holding him, must be given a fair chance to rebut that evidence before a
neutral decision maker, and must be allowed to consult an attorney. 124 S. Ct. at
2648, 2652 (2004).
ARTICLE II
Section 2. Powers and Duties of the President
Clause 1. Commander-in-Chiefship; Presidential Advisers; Pardons
COMMANDER-IN-CHIEF
[P. 483, add new section following ‘‘Articles of War: World War II
Crimes’’:]
—Articles of War: Response to the Attacks of September 11, 2001
In response to the September 11, 2001 terrorist attacks on
New York City’s World Trade Center and the Pentagon in Washington,
D.C., Congress passed the Authorization for Use of Military
Force,1 which provided that the President may use ‘‘all necessary
and appropriate force against those nations, organizations, or persons
he determines planned, authorized, committed or aided the
terrorist attacks [or] harbored such organizations or persons.’’ During
a miliary action in Afghanistan pursuant to this authorization,
a United States citizen, Yaser Hamdi, was taken prisoner. The Executive
Branch argued that it had plenary authority under Article
II to hold such an ‘‘enemy combatant’’ for the duration of hostilities,
and to deny him meaningful recourse to the federal courts.
In Hamdi v. Rumsfeld, the Court agreed that the President was
authorized to detain a United States citizen seized in Afghanistan,
although a majority of the Court appeared to reject the notion that
such power was inherent in the Presidency, relying instead on statutory
grounds.2 However, the Court did find that the Government
may not detain the petitioner indefinitely for purposes of interrogation,
without giving him the opportunity to offer evidence that he
is not an enemy combatant.3
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10 ARTICLE II—EXECUTIVE DEPARTMENT
4 124 S. Ct. 2686 (2004).
5 Johnson v. Eisentrager, 339 U.S. 763, 789 (1950).
6 The petitioners were Australians and Kuwaitis.
7 124 S. Ct. at 2983 (2004).
8 The Court found that 28 U.S.C. § 2241, which had previously been construed
to require the presence of a petitioner in a district court’s jurisdiction, was now satisfied
by the presence of a jailor-custodian. See Braden v. 30th Judicial Circuit
Court of Ky., 410 U.S. 484 (1973). Another ‘‘enemy combatant’’ case, this one involving
an American citizen arrested on American soil, was remanded after the Court
found that a federal court’s habeas jurisdiction under 28 U.S.C. § 2241 was limited
to jurisdiction over the immediate custodian of a petitioner. Rumsfeld v. Padilla, 124
S. Ct. 2711 (2004) (federal court’s jurisdiction over Secretary of Defense Rumsfeld
was not sufficient to satisfy the presence requirement under 28 U.S.C. § 2241).
9 E.g., United States v. One Bag of Paradise Feathers, 256 F. 301, 306 (2d Cir.
1919); 1 W. WILLOUGHBY, supra, at 589. The State Department held the same view.
5 G. HACKWORTH, DIGEST OF INTERNATIONAL LAW 426 (1944).
In Rasul v. Bush,4 the Court rejected an Executive Branch argument
that foreign prisoners being held at Guantanamo Bay,
Cuba were outside of federal court jurisdiction. The Court distinguished
earlier case law arising during World War II which denied
habeas corpus petitions from German citizens who had been captured
and tried overseas by United States military tribunals.5 In
Rasul, the Court noted that the Guantanamo petitioners were not
citizens of a country at war with the United States,6 had not been
afforded any form of tribunal, and were being held in a territory
over which the United States exercised exclusive jurisdiction and
control.7 In addition, the Court found that statutory grounds existed
for the extension of habeas corpus to these prisoners.8
Clause 2. Treaties and Appointment of Officers
INTERNATIONAL AGREEMENTS WITHOUT SENATE
APPROVAL
The Domestic Obligation of Executive Agreements
[P. 527, substitute for first sentence of first full paragraph on page:]
Initially, it was the view of most judges and scholars that executive
agreements based solely on presidential power did not become
the ‘‘law of the land’’ pursuant to the Supremacy Clause because
such agreements are not ‘‘treaties’’ ratified by the Senate.9 The Supreme
Court, however, found another basis for holding state laws
to be preempted by executive agreements, ultimately relying on the
Constitution’s vesting of foreign relations power in the national
government.
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ARTICLE II—EXECUTIVE DEPARTMENT 11
10 539 U.S. 396 (2003). The Court’s opinion in Dames & Moore v. Regan, 453
U.S. 654 (1981), was rich in learning on many topics involving executive agreements,
but the preemptive force of agreements resting solely on presidential power
was not at issue, the Court concluding that Congress had either authorized various
presidential actions or had long acquiesced in others.
11 539 U.S. at 416.
12 539 U.S. at 413.
13 539 U.S. at 420.
14 Holmes v. Jennison, 39 U.S. (14 Pet.) 540, 575–76 (1840). See also United
States v. Belmont, 301 U.S. 324, 331 (1937) (‘‘The external powers of the United
States are to be exercised without regard to state laws or policies. . . . [I]n respect
of our foreign relations generally, state lines disappear’’); The Chinese Exclusion
Case, 130 U.S. 581, 606 (1889) (‘‘For local interests the several States of the Union
exist; but for national purposes, embracing our relations with foreign nations, we
[P. 529, substitute for last paragraph of section:]
Belmont and Pink were reinforced in American Insurance Association
v. Garamendi.10 In holding that California’s Holocaust Victim
Insurance Relief Act was preempted as interfering with the
Federal Government’s conduct of foreign relations, as expressed in
executive agreements, the Court reiterated that ‘‘valid executive
agreements are fit to preempt state law, just as treaties are.’’ 11
The preemptive reach of executive agreements stems from ‘‘the
Constitution’s allocation of the foreign relations power to the National
Government.’’ 12 Because there was a ‘‘clear conflict’’ between
the California law and policies adopted through the valid exercise
of federal executive authority (settlement of Holocaust-era insurance
claims being ‘‘well within the Executive’s responsibility for
foreign affairs’’), the state law was preempted.13
[P. 529, add new section following ‘‘The Domestic Obligation of Executive
Agreements’’:]
State Laws Affecting Foreign Relations—Dormant Federal Power
and Preemption
If the foreign relations power is truly an exclusive federal
power, with no role for the states, a logical consequence is that
some state laws impinging on foreign relations are invalid even in
the absence of already-established federal policy. The Supreme
Court has so stated and so held. There is, in effect, a ‘‘dormant’’
foreign relations power. The scope of this power remains undefined,
however, and its constitutional basis is debated by scholars.
The exclusive nature of the federal foreign relations power has
long been asserted by the Supreme Court. In 1840, for example, the
Court declared that ‘‘it was one of the main objects of the constitution
to make us, so far as regarded our foreign relations, one people,
and one nation; and to cut off all communications between foreign
governments, and the several state authorities.’’ 14 A hundred
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12 ARTICLE II—EXECUTIVE DEPARTMENT
are but one people, one nation, one power’’); Hines v. Davidowitz, 312 U.S. 52, 63
(1941) (‘‘Our system of government . . . requires that federal power in the field affecting
foreign relations be left entirely free from local interference’’).
15 United St
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