Justice McCAFFERY.
The issue presented in this case is whether a municipal ordinance regulating the sale of certain tobacco items and other potential drug paraphernalia is preempted by state law. We conclude that the ordinance is inconsistent with the Controlled
On January 23, 2007, the Philadelphia City Council enacted an ordinance to
City of Philadelphia Bill No. 060345-AAA, as amended on 11/30/06, at 1.
The ordinance was designed "to correct and control a[ ] growing trend among Philadelphia youth and others to purchase cigars, empty the tobacco from those cigars, and substitute marijuana and/or stronger illegal drugs into the cigar wrapping." Memorandum of Law of the City of Philadelphia and Robert Solvibile in Opposition to Plaintiffs' Motion for a Preliminary Injunction, dated 2/21/07, at 2 (hereinafter "2/21/07 City Memorandum of Law"). To this end, the ordinance banned the sale of flavored cigars and other tobacco products that are preferred by illicit drug users as vehicles for smoking marijuana and other illegal drugs, and also banned the sale of cigars and other tobacco products in quantities of less than three. No mens rea provision was included in the above ordinance; hence, the mere sale of the listed items constituted a violation, without regard to the seller's intent or knowledge. In addition, the ordinance prohibited the sale of single or flavored tobacco products or of drug paraphernalia within 500 feet of a school, recreation center, day care center, church, or community center, "regardless of the intent as to use of the item." Philadelphia Code §§ 9-622(5)(a) and 9-629(2); see also 2/21/07 City Memorandum of Law at 2-3. Violators of the ordinance were subject to a fine of up to $2,000, and to revocation of their business privilege license. Philadelphia Code §§ 9-622(6)(f) and 9-629(4).
On January 30, 2007, Holt's Cigar Company and other tobacco retailers, manufacturers, and trade associations (hereinafter collectively "Holt's Cigar") challenged the ordinance by filing a complaint against the City of Philadelphia and Robert D. Solvibile, in his official capacity as acting commissioner of the Department of Licenses and Inspections (hereinafter the "City"). Holt's Cigar sought, inter alia, a preliminary injunction against enforcement of the ordinance and a declaratory judgment that the ordinance was preempted by the drug paraphernalia provisions of the Controlled Substance, Drug, Device and Cosmetic Act (hereinafter the "Act")
The City filed a timely appeal to the Commonwealth Court. On June 23, 2008, a divided Commonwealth Court issued its ruling in a published opinion, affirming in part and reversing in part. Holt's Cigar Company, Inc. v. City of Philadelphia, 952 A.2d 1199 (Pa.Cmwlth.2008) (en banc).
Both parties petitioned this Court for allowance of appeal, and the petitions were granted and consolidated, with the City designated as Appellants and Cross-Appellees, and Holt's Cigar designated as Cross-Appellants and Appellees. The sole issue was rephrased by this Court for clarity as follows:
Holt's Cigar Company, Inc. v. City of Philadelphia, 601 Pa. 572, 975 A.2d 1081 (2009).
This case presents a pure question of law, for which our standard of review is de novo and our scope is plenary. See Nutter v. Dougherty, 595 Pa. 340, 938 A.2d 401, 412 n. 20 (2007). We must first consider the source of authority under which Philadelphia may exercise self-governance.
Municipalities "possess only such powers of government as are expressly granted to them and as are necessary to carry the same into effect." Huntley & Huntley, Inc. v. Borough Council of the Borough of Oakmont, 600 Pa. 207, 964 A.2d 855, 862 (2009) (quoting City of Philadelphia v. Schweiker, 579 Pa. 591, 858 A.2d 75, 84 (2004)). As a city of the first class pursuant to the First Class City Home Rule Act,
Notwithstanding the principle that a home rule municipality's exercise of local authority is not lightly intruded upon, we have recently explained that there are three closely related forms of state preemption of local lawmaking authority. Nutter, supra at 404. In express preemption, "a statute specifically declares it has planted the flag of preemption in a field." Id. (citing Department of Licenses and Inspections, Board of License and Inspection Review v. Weber, 394 Pa. 466, 147 A.2d 326, 327 (1959)). In field preemption, a "statute is silent on supersession, but proclaims a course of regulation and control which brooks no municipal intervention." Id. (citing Weber, supra).
Finally, pursuant to the doctrine of conflict preemption, which is the only form of preemption at issue in the instant case, a local ordinance that contradicts, contravenes, or is inconsistent with a state statute is invalid. Id.; Mars Emergency Medical Services, Inc. v. Township of Adams, 559 Pa. 309, 740 A.2d 193, 195 (1999) (citing Western Pennsylvania Restaurant Association v. City of Pittsburgh, 366 Pa. 374, 77 A.2d 616, 620 (1951)). For conflict preemption to be applicable, the conflict between the statute and the ordinance must be irreconcilable. City Council of the City of Bethlehem v. Marcincin, 512 Pa. 1, 515 A.2d 1320, 1326 (1986). Further, the ordinance in question must be considered in light of the objectives of the General Assembly and the purposes of the relevant statute. A local ordinance may not stand as an obstacle to the execution of the full purposes and objectives of the Legislature. Huntley, supra at 863. But "it has long been the established general rule, in determining whether a conflict exists between a general and local law, that where the legislature has assumed to regulate a given course of conduct by prohibitory enactments, a municipal corporation with subordinate power to act in the matter may make such additional regulations in aid and furtherance of the purpose of the general law as may seem appropriate to the necessities of the particular locality and which are not in themselves unreasonable." Mars Emergency, supra at 195 (citation omitted).
A relevant example of this Court's invalidation of a local ordinance based on conflict preemption is Mazzo v. Board of Pensions and Retirement of the City of Philadelphia, 531 Pa. 78, 611 A.2d 193 (1992). The issue in Mazzo concerned the denial of pension benefits to public employees who had been charged with criminal misconduct related to public employment. Pursuant to the Public Employee Pension Forfeiture Act (PEPFA),
In other relevant precedents, this Court has held that a local ordinance was not preempted. In Marcincin, supra, the city ordinance at issue limited an incumbent mayor to two terms in office. Although the city had the authority to fix the term and tenure of city officials under the Third Class City Charter Law,
In two other cases, this Court upheld the validity of local ordinances imposing additional business regulations that were in excess of or in addition to the standards required by state law. In Department of Licenses and Inspections v. Weber, 394 Pa. 466, 147 A.2d 326, 327 (1959), the ordinance at issue was a section of the Philadelphia City Health Code that required beauty shops to have a city license and to meet safety and sanitation standards set by the city. A beauty shop owner challenged the ordinance, claiming that it was preempted by the Beauty Culture Act,
Weber, supra at 330.
Thus, because the regulations set forth in the ordinance promoted the protective purpose of and were not inconsistent with the Beauty Culture Act, we held that the ordinance was not preempted.
Weber's holding relied on an earlier, similar case in which the ordinance in question was enacted by the city of Pittsburgh to regulate the operation of restaurants. Western Pennsylvania Restaurant Association v. City of Pittsburgh, 366 Pa. 374, 77 A.2d 616 (1951). The title of the ordinance made clear that it was designed to "carry into effect in the City of Pittsburgh the provisions of the Act of Assembly of 1945, P.L. 926, to safeguard the public health within the [C]ity of Pittsburgh." Restaurant Association, supra at 618 (quoting a portion of the title of the ordinance). The Restaurant Association challenged the ordinance, claiming, inter alia, that it was inconsistent with, and thus was preempted by the Act of 1945, P.L. 926, which had the same purpose and covered the same area as the ordinance. Restaurant Association, supra at 618.
In Restaurant Association, we reiterated the general principle that local municipalities "may regulate certain occupations by imposing restrictions which are in addition to, and not in conflict with, statutory regulations." Id. at 620. We also noted that "sanitary standards and appropriate regulations in the case of restaurants in a large city ... no doubt are [ ] quite different from those applicable to rural communities, in view, among other conditions, of the unusually larger number of patrons and the congestion of buildings with consequent special problems of their construction and ventilation." Id. We held that the ordinance was not preempted, except for some provisions that were contradictory to specific provisions of the statute. For example, we concluded that the statute preempted the following provisions of the ordinance: penal provisions that were more drastic than those in the statute, and provisions that required fines to be paid to the city instead of, as in the statute, to the county. Thus, in Restaurant Association, we upheld the challenged ordinance, except with respect to those provisions that clearly and directly were inconsistent with and contradictory to the statute.
In the instant case, the challenged city ordinance provides as follows:
Philadelphia Code §§ 9-622 and 9-629 (emphasis added).
As previously noted, Sections 9-622(5)(a) and 9-629(2) include no mens rea element. Rather, the sale of certain tobacco products (§ 9-622(5)(a)), or the sale of a whole list of potential drug paraphernalia within 500 feet of a school or a variety of other community buildings (§ 9-629(2)), constitutes a violation of the ordinance regardless of the seller's intent or knowledge.
The delivery, which includes the sale, of drug paraphernalia has also been prohibited by the General Assembly through enactment of the Controlled Substance, Drug, Device and Cosmetic Act. However, in contrast to the ordinance challenged in this appeal, the Act expressly and unmistakably sets forth a mens rea element, as follows:
35 P.S. § 780-113(a)(33) (emphasis added).
The statutory definition of "drug paraphernalia" is as follows:
35 P.S. § 780-102 (emphases in second paragraph added).
Thus, whether an item is drug paraphernalia for purposes of the Act is a determination for the court, which should consider all relevant factors, including legitimate uses for the item; the intent of and statements by the item's owner; how the item is displayed for sale; and whether the owner is a legitimate supplier, such as a licensed distributor or dealer of tobacco products.
Finally, by the inclusion of an explicit savings clause, the Act makes clear that it does not preempt all local enactments; it preempts only those that are inconsistent:
35 P.S. § 780-141.1 (emphasis added).
Thus, the General Assembly's intent was not to occupy the entire field with the Act; rather, it was to allow
The presence of a mens rea element in the statute and the absence of a mens rea element in the ordinance for the same proscribed conduct, i.e., selling certain dual-use items, constitute an irreconcilable conflict between the two enactments. Although the ordinance does not stand as an obstacle to the primary purpose of the Act, i.e., to decrease the unauthorized use of controlled substances, the ordinance does contradict an implied objective of the Act to protect those who sell dual-use items for legitimate purposes.
The City argues that there is no conflict between the Act and the ordinance because the former provides for criminal penalties and the latter is a civil statute. We do not agree. Our focus is directed toward the particular conduct proscribed by the Act and by the ordinance; the nature or severity of the penalties imposed is not determinative and does not eliminate the conflict arising from the discrepancy with respect to mens rea for a particular course of proscribed conduct.
The City further suggests that the General Assembly was simply silent as to the possible imposition of per se liability for the delivery of dual-use items. The City argues that, pursuant to Nutter, supra, such silence should not be interpreted as a legislative intent to prohibit local regulation of the sale of dual-use items in a manner free of a scienter requirement. See Nutter, supra at 403, 409-10 & n. 19, 413-14, 416 (declining to conclude that local regulation of campaign contributions to candidates for municipal office was preempted by the Election Code,
Thus, in sum, we affirm the Commonwealth Court's holding insofar as it concluded that Section 9-622(5)(a) was preempted by the Controlled Substances Act; however, we reverse the Commonwealth Court's holding with regard to Section 9-629(2). Our conflict preemption analysis applies equally to Sections 9-622(5)(a) and 9-629(2), and both are preempted under the same rationale.
Based on the foregoing analysis, the Order of the Commonwealth Court is affirmed in part and reversed in part.
Justices EAKIN and BAER join the opinion.
Justice SAYLOR files a concurring opinion.
Chief Justice CASTILLE files a dissenting opinion in which Justices TODD and ORIE MELVIN join.
Justice SAYLOR, concurring.
I join the majority opinion, subject only to the following, modest comments and
In the present circumstances, I find that the local regulation of cigar sales in Philadelphia simply goes too far in impinging on legitimate enterprises which I believe the General Assembly did seek to protect as an apparent, subsidiary purpose, and therein lies the impermissible conflict.
Finally, I agree with Judge Friedman's position that an inconsistent zoning and/or nuisance regulation is preempted by the Act just as are other types of regulations, see Holt's Cigar Co. v. City of Phila., 952 A.2d 1199, 1212 (Pa.Cmwlth.2008) (Friedman, J., concurring and dissenting), albeit I do not fully share her views concerning the potential efficacy of local regulation restricting easy access to low-cost dual-use products in school zones, were it allowed, in affording some benefit. See id. at 1211, quoted in Majority Opinion, at 913 n. 11. Moreover, I might be more sympathetic to the City's efforts had there been a greater attempt to balance or accommodate the legitimate interests which I believe were a subject of the General Assembly's concern, for example, by grandfathering existing specialty business premises within the designated zones subject to enhanced regulation. In the absence of any sort of accommodation along these lines, I find it preferable to leave it to the General Assembly to be explicit should it wish to sanction stricter local regulation of tobacco products with potentially serious economic consequences to established business enterprises operating in Pennsylvania.
Chief Justice CASTILLE, dissenting.
In my view, Sections 622(5)(a)(.1), (.4), and 629(2) of the City's January 2007 ordinance ("Ordinance"), which amended Chapter 9-600 of the Philadelphia Code, are not preempted by the Pennsylvania Controlled Substance, Drug, Device and Cosmetic Act ("Act").
The state Act is a penal statute that, in relevant part here, imposes criminal penalties on persons who knowingly deliver, possess with intent to deliver, or manufacture with intent to deliver drug paraphernalia, as that term is defined therein. 35 P.S. §§ 780-113(a)(33) (prohibited acts); 780-113(h) (criminal penalties); 780-102 (drug paraphernalia defined).
The City Ordinance prohibits the following: Section 622(5)(a)(.1), the sale by retailers of tobacco products, like cigarettes and cigars, in quantities of three or less ("loosies"); Section 622(5)(a)(.4), the sale by retailers of flavored tobacco products, including cigarettes and cigars, but excluding loose, dipping, or pipe tobacco ("flavored
At issue in this case is the conflict preemption claim of several tobacco product retailers ("appellants"), who argue that the local Ordinance supplants and is irreconcilably inconsistent with the statewide Act. Appellants claim that the Act and the Ordinance are in direct conflict because criminal conviction pursuant to the Act requires proof of the seller's knowledge, or scienter, that an item will be used to ingest illegal drugs, but sanction pursuant to the Ordinance is based simply on the sale of a dual-use item, without proof of knowledge. Additionally, appellants claim that the Ordinance is in conflict with the Act's supposed purpose of protecting legitimate sellers of dual-use items because the Ordinance bans otherwise legal sales of dual-use items. Appellants submit that the Ordinance "stands to destroy the cigar industry in Philadelphia and cause substantial harms to law-abiding businesses and citizens," in violation of protections afforded to legitimate sellers of dual-use items that they perceive in the statewide Act.
The City responds that the Act expressly addresses and invites consistent local regulation of drug paraphernalia sales. See 35 P.S. § 780-141.1 ("Nothing in this act relating to drug paraphernalia shall be deemed to supersede or invalidate any consistent local ordinance . . . relating to the possession, sale or use of drug paraphernalia."). The City counters that the state and local enactments simply address different aspects of such sales, with the Act defining what constitutes criminal conduct and the Ordinance banning only localized sales in Philadelphia of dual-use items commonly used as drug paraphernalia. According to the City, the Act and the Ordinance work together in deterring the use, manufacture, and sale of illegal drugs. Moreover, the Ordinance is tailored to a Philadelphia-specific concern that flavored cigarettes and cigars sold in small quantities promote illegal drug use because they are popular with illegal drug users and are readily available throughout the City at tobacco shops, gas stations, and convenience stores. The City also disputes appellants' belief that the Act speaks to, or protects by implication, the economic interests of appellants in selling the items listed in Sections 622(5)(a)(.1), (.4), and 629(2).
The Majority sustains appellants' position and declares the Ordinance invalid. The Majority reasons that the Act recognizes that items commonly used as drug paraphernalia also have legitimate uses, and the General Assembly chose not to prohibit or penalize persons from selling dual-use items for such legitimate purposes.
The doctrine of conflict preemption is well established: a local ordinance is invalid to the extent it contradicts or is inconsistent with a state statute. Mars Emergency Med. Servs., Inc. v. Twp. of Adams, 559 Pa. 309, 740 A.2d 193, 195 (1999) ("Mars EMS"). But unless the conflict between the ordinance and the statute is irreconcilable, "the will of the municipality as expressed through [the] ordinance will be respected." City Council v. Marcincin,
Prevailing caselaw dictates that "local legislation cannot permit what a state statute... forbids or prohibit what state enactments allow." Huntley & Huntley, Inc. v. Borough Council, 600 Pa. 207, 964 A.2d 855, 862 (2009) ("Huntley"). Additionally, the local enactment may "not stand as an obstacle to the execution of the full purposes and objectives of the [General Assembly]." Id. at 863. But, "where the [General Assembly] has assumed to regulate a given course of conduct by prohibitory enactments, a municipal corporation with subordinate power to act in the matter may make such additional regulations in aid and furtherance of the purpose of the general law as may seem appropriate to the necessities of the particular locality and which are not in themselves unreasonable." Mars EMS, 740 A.2d at 195.
The proper questions before the Court are whether the Act and the Ordinance are irreconcilable, and whether the Ordinance stands as an obstacle to the execution of the full purposes and objectives of the General Assembly. A careful review of our cases reveals that the challenged Ordinance provisions are not irreconcilable with the Act, nor do they interfere with the objectives of the General Assembly. Indeed, I believe that the provisions of the local enactment are in harmony with the state statute, and further the Act's purpose and the General Assembly's intent.
The first point of dispute is whether the Act and the Ordinance are in direct conflict, as appellants claim, or whether they are in harmony, as the City argues. Generally, an irreconcilable conflict exists where simultaneous compliance with both the local and state enactments is impossible. See Council 13, Am. Fed'n of State, County & Mun. Employees v. Rendell, 604 Pa. 352, 986 A.2d 63, 81 (2009) ("Council 13"); Mazzo, 611 A.2d at 195-97. Conversely, an ordinance that collaterally touches upon a given course of conduct regulated by a state statute, but does not confront affected persons with a choice of obeying one enactment over the other, is not directly in conflict with a state enactment. See Nutter v. Dougherty, 595 Pa. 340, 938 A.2d 401 (2007); Mars EMS, 740 A.2d 193; Marcincin, 515 A.2d 1320, Dep't of Licenses & Inspections v. Weber, 394 Pa. 466, 147 A.2d 326 (1959) ("Weber").
In reaching its conclusion that the Ordinance is preempted, the Majority refers to Mazzo as a "relevant" example of conflict preemption. But, Mazzo is distinguishable and inapposite. The statute at issue there, the Public Employee Pension Forfeiture Act ("PEPFA"), set forth a clear mandate that a public employee charged with criminal misconduct and discharged from his position, but who was later acquitted of the criminal charge, "shall be entitled to all" pension fund benefits he had earned while employed. 611 A.2d at 195. Philadelphia's ordinance in that case, however, required not only acquittal but also reinstatement to employment before the former employee could recover his pension benefits. This Court concluded that the additional requirement of reinstatement was in direct conflict with the General Assembly's mandate that benefits "shall be" restored upon acquittal, and acquittal only. Id.
Accordingly, the Mazzo Court held that Philadelphia's ordinance was preempted by PEPFA. The Court stated that the municipality had no authority to impose the additional conditions for the payment of pension benefits: "Given the legislature's directive that benefits
In contrast, where the local ordinance merely adds conditions—not foreclosed by the state statute—on the conduct regulated by the General Assembly, the municipal enactment has generally been deemed valid. For example, in Marcincin, the state and local enactments both governed eligibility for reelection to mayoral office. The municipality enacted a term limit ordinance and the Court upheld it as a restriction on reelection not foreclosed by the plain language of the Election Code. 515 A.2d at 1321-26.
The relevant Election Code provision stated that a city's elected officers "shall be eligible [for] reelection." Id. at 1321 n. 1 (quoting from P.L. 932 of June 23, 1931, art. VII, § 703, 53 P.S. § 35701). The City of Bethlehem passed an ordinance directing that the mayor "shall be eligible to succeed himself for only one additional term." Id. The incumbent mayor, whose entitlement to office after election to a third term was being challenged, argued that the statewide enactment required unrestricted perpetual reelection rights, and
Marcincin is instructive because the local and state enactments therein both addressed a rather narrow issue, mayoral reelection, and the local ordinance did not track the language of the Election Code. The Court, however, did not invalidate the ordinance on that basis but looked for indicia that the General Assembly had intended to foreclose local regulation of the even narrower sub-issue of term limits, which was the precise subject of the local enactment. Unlike in Mazzo, compliance with the local regulation in Marcincin did not make compliance with the state statute impossible, and the ordinance was upheld.
Similarly, and of far more relevance here than Mazzo, is a case such as Weber, supra. In Weber, this Court upheld the validity of a Philadelphia ordinance which required "beauty salons" to obtain, as a prerequisite to operation, a local business license in addition to the mandatory state license. 147 A.2d at 327. To obtain the local license, salons were required to comply with greater cleanliness standards than were set forth in the state statute, the Beauty Culture Act (the "BCA"). For example: while the BCA prohibited use of any beauty shop for residential purposes, the Philadelphia ordinance went farther and required a solid partition between the shop and any room used for habitation; also, the BCA generally required tools to be sterilized, but the Philadelphia ordinance specified the sterilization temperature and chemicals to be used; and, the Philadelphia ordinance prohibited beauty shop operators from smoking on the job, while the BCA did not address the issue. Id. at 330-31.
Certainly, the stricter standards in Philadelphia increased the operating costs and erected additional barriers to entry into the beauty salon market. The Court, however, did not factor economic concerns of beauty salon owners into its analysis of whether the local ordinance was preempted; nor did the Court suggest that the outer contours of the BCA acted as a protective shield against greater local regulation of a business. Rather, the primary focus was on whether the Philadelphia ordinance followed "the broad outlines of the mother legislation" and whether the enactment promoted the General Assembly's objectives as expressed in the BCA. Id. at 329. The Court held that the local regulation met these conditions and stated that "stricter and more rigid" regulation of beauty salons in large cities was to be expected because of the special challenges posed by having to ensure "the health, safety, welfare, and comfort of dwellers in urban centers" compared to the state as a whole. Id. (citing 37 Am.Jur. Mun. Corps., § 276 at 898-99). According to the Court, the stricter local enactment strengthened and added to "the straws of the statutory broom," and promoted the General Assembly's purpose of safeguarding the health of the public. Id. at 330. The Weber Court thus found that no direct conflict existed between the local and state enactments even though Philadelphia had added stricter licensing conditions than the state. The opponents of the Weber ordinance argued,
Essentially, the Weber ordinance devised local licensing requirements that were parallel to those of the state. Local licensing was based on stricter standards justified by local conditions. Additionally, like the Marcincin ordinance, the Weber enactment did not track the state statute, but was nonetheless deemed valid based on a nuanced consideration of the state statutory scheme and the goals of the General Assembly.
These same considerations come into play where the municipality regulates a course of conduct tangentially related to, but not specifically addressed by, the state statute. The complexity of the analysis in these circumstances is evident from a recent case, Nutter, 938 A.2d 401. In Nutter, a candidate for Philadelphia Mayor sought to enforce a local ordinance regulating campaign spending against his opponents and the opponents responded by challenging the ordinance on grounds of conflict preemption and field preemption.
Id. at 416. Although the Nutter Court construed the opponents' argument as regarding field preemption, the Court's decision is clear that silence of a statewide enactment on a given course of conduct is not a form of tacit disapproval by the General Assembly of future and further local regulation of the same conduct. Accord Mars EMS, 740 A.2d at 196 (comprehensive state statute addressing emergency medical services did not preempt local ordinance designating one primary provider of emergency medical services in township, where such designation was not prohibited or addressed by state enactment).
In my view, Weber, Marcincin, and Nutter are more directly relevant than Mazzo and those cases should control the outcome of this case. The caselaw obviously disfavors the simple, mechanical comparison of the local and state enactments and the automatic rejection of local regulatory schemes that are not identical to statewide statutes. Indeed, such an approach leaves little room for legislating to account for local variations. Instead, until today, our conflict preemption jurisprudence has followed settled principles and counsels in favor of a restrained, nuanced, and common sense approach. The essential question in the analysis of an alleged direct conflict is the practical one of whether it is possible for affected persons to comply with both the state and local regulations. If the answer is no, then the local enactment is preempted and invalid. If the answer is yes, then the next inquiry is whether the ordinance stands as an obstacle to fulfilling the purposes of the state law. In my view, the Majority's analysis of the relevant questions is superficial, conclusory, and unpersuasive.
With respect to the Act and the Ordinance in the case sub judice, the answer to the question above plainly is yes, for the following reasons. The Act prohibits knowing delivery, possession and manufacture of drug paraphernalia. It is a penal statute that, inter alia, defines what constitutes criminal behavior in relation to drug paraphernalia and thus provides fair notice of the prohibited activities before a citizen may face criminal sanctions. See Village of Hoffman Estates, Inc. v. Flipside, 455 U.S. 489, 499, 102 S.Ct. 1186, 71 L.Ed.2d 362 (1982) ("scienter requirement may mitigate a law's vagueness, especially with respect to the adequacy of notice"); Commonwealth v. McCoy, 599 Pa. 599, 962 A.2d 1160, 1169 n. 11 (2009) (failure of statute defining criminal conduct to give fair notice of conduct deemed criminal raises due process concerns); Commonwealth v. Teeter, 961 A.2d 890, 897 (Pa.Super.2008) (penal statute defines criminal offenses and specifies corresponding fines and punishment). The City's Ordinance, on the other hand, is legislation that merely bans the sale in Philadelphia of certain items, like loosies, flavored tobacco, and dual-use items. The Ordinance is enforced via civil penalties, such as fines and suspension of a retailer's City-issued business license. See Plowman v. Commonwealth, 535 Pa. 314, 635 A.2d 124, 127-28 (1993) (suspension of driver's license pursuant to Crimes Code, following guilty plea to drug possession unrelated to operation of vehicle, is not criminal punishment but "civil
As in Weber (separate local and state business licensing) and Nutter (separate local and state campaign finance rules), the local and state enactments here act in parallel and target different, albeit related, courses of conduct: the Act sets out the statewide prerequisites necessary for criminal conviction for drug paraphernalia-related crimes; the Ordinance, on the other hand, sets out a sales ban in Philadelphia on certain tobacco products and dual-use items, enforced with separate civil penalties. Of course, the course of conduct targeted by the provisions entails the same physical act—the sale of a dual-use item— and, thus, they are related. But, the targeted conduct manifestly is different, for purposes of a principled conflict preemption analysis, because the Act criminally punishes the sale of drug paraphernalia (i.e., the sale of a dual-use item with knowledge that it will be used to propagate use of illegal drugs), while the Ordinance burdens, and thereby discourages, the sale of dual-use items via civil penalties. To answer the Majority simply, the conduct criminally proscribed by the Act is the sale of drug paraphernalia, while the conduct burdened and penalized by the Ordinance is the sale of dual-use items.
Moreover, the state and local enactments act in parallel, as the fines and business license consequences of violating the Ordinance are in addition to, not in lieu of, the Act's criminal penalties; they are civil consequences of behavior that, in circumstances described by the Act, may also be punished criminally. See Plowman, supra, 635 A.2d at 127-28. The Ordinance does not purport to remove—and does not even address—the mens rea or actus reus requirements for criminal conviction under the Act; it merely describes what amounts to a violation of a local Ordinance, with attendant civil consequences.
It is not impossible for an individual to comply with both the state and the local regulation. Because the two enactments target different conduct with different consequences, the Majority's conclusion that the Ordinance is preempted because of a supposed "discrepancy with respect to mens rea for a particular course of proscribed conduct" describes an ephemeral tension. See Majority Op. at 913. As noted, the Ordinance is a sales ban aimed at particular, locally-relevant dual-use items. A review of the Act shows that economic or commercial interests of dual-use items retailers, which the Ordinance regulates, are never specifically addressed. The Act specifically addresses only the criminal activity of all persons, including retailers of dual-use items, relating to knowing delivery of drug paraphernalia, but it does not address or purport to shield their economic or commercial interests relating to sales of dual-use items. Compare Mazzo (statute specifically addressed prerequisites for pension reinstatement with mandatory language, and ordinance modified these prerequisites; ordinance was preempted) with Marcincin (statute created reelection right but did not specify number of terms, and local ordinance set term limits; ordinance was valid). To the extent the same conduct constitutes violation of both enactments, the two provisions create no Hobson's Choice for dual-use item purveyors and are therefore in harmony.
Appellants attempt to overcome this conclusion by arguing that the Act's failure to criminalize the scienter-free sale of dual-use items for lawful purposes reflects the General Assembly's deliberate intention to allow such sales without restriction and presumably protect the commercial interests of retailers throughout the state.
That is the extent of the protections explicitly afforded by the Act. Simply because the Act criminalizes only knowing delivery of drug paraphernalia dual-use items, it is not logical to conclude that, as a corollary, the Act affirmatively "protects" all commercial interests of retailers in sales of dual-use items—whether those retailers are wholly innocent or strategically blind to the uses. And, notably, given that the statute specifically describes in no uncertain terms that "[n]othing in this act relating to drug paraphernalia shall be deemed to supersede or invalidate any consistent local ordinance... relating to the possession, sale or use of drug paraphernalia," 35 P.S. § 780-141.1, the Majority's reliance on the Act's silence as conveying a fixed and global intention to affirmatively shield the commercial conduct of all dual-use purveyors is misplaced. Indeed, if the General Assembly truly had intended to provide the non-nuanced commercial protection described by appellants, it could easily have said so explicitly rather than implicitly embedding such an important shield against local regulation into a criminal statute. Nutter, 938 A.2d at 416 (when a statute comprehensively deals with certain subjects yet fails materially to address itself to others, "especially where that omission is not identified as a function of legislative design to leave unfettered all such matters—it all but compels the inference that the legislature, in fact, intended not to foreclose local regulation").
The Majority fails to engage the multiple facets of this Court's decisions in Weber, Marcincin, or Nutter, and instead relies primarily on Mazzo to conclude that the Ordinance and the Act are in direct
The Act and the Ordinance do not overlap in application and have no conflicting effect comparable to the enactments in Mazzo. Instead, Weber, Marcincin, and Nutter offer more apt comparisons. In all three cases, the local enactment changed the legal regime at the municipal level in a complementary manner, either by creating more detailed and stricter standards of conduct, or by regulating courses of conduct not addressed by comprehensive state statutes. Similarly, here, Philadelphia regulated a course of conduct left unregulated by the state: the economic consequences for retailers and other persons selling loosies, flavored tobacco, and other dual-use items, which are commonly put to use in the drug trade in Philadelphia. See Weber, supra (e.g., standards for sterilization, smoking in beauty shops); Nutter, supra (e.g., campaign contribution limits in local elections). The Act, a penal statute, did not foreclose such complementary regulation and, in fact, invited it through its savings clause. See 35 P.S. § 780-141.1.
As I would find that no direct conflict exists between the Ordinance and the Act, I now address the second consideration in conflict preemption analysis: whether the local enactment stands "as an obstacle to the execution of the full purposes and objectives of the [General Assembly]." Huntley, 964 A.2d at 863. Here, the Act's apparent purpose is, inter alia, to control the use and distribution of illegal drugs. See id. at 864 (unless statute provides otherwise, its purpose may be gleaned from its substantive provisions). The Majority concedes that this is the "primary purpose of the Act," but insists that the state statute has an additional, implied purpose, to "protect" purveyors of dual-use items for "legitimate" purposes from "any penalty," criminal or otherwise. Majority Op. at 913-14.
Respectfully, for the reasons I have already stated, I disagree that the legislative silence conveys such a loud, clear, unambiguous, and non-nuanced signal—especially in an area, like this one, where there are many gradations of conduct shy of the overtly criminal. The General Assembly has never indicated, by plain language or necessary implication, any intention to extend protection to such sellers beyond what is required by due process for criminal conviction under the Act. See McCoy, supra. Moreover, the broad protection against "any penalty" that the Majority discerns in the legislative silence may have unintended consequences, such as inviting a preemption challenge to local taxation of dual-use items. The Majority's rule suggests that every local ordinance regulating, or burdening the sale of, dual-use items such as cigars and other tobacco products, is automatically in conflict with the Act which, via the Majority's approach to conflict preemption, now occupies the field.
Here, the goal of the Philadelphia Ordinance is fully congruent with the Act's purpose. The Ordinance targets dual-use items often used locally as drug paraphernalia, and seeks to provide disincentives for their distribution in the form of civil penalties. The items identified by the City as being closely related to drug use name a broad array of dual-use items, and include loosies and flavored tobacco in addition to the items specifically listed by the Act. The more expansive and locally-tailored reach of the Ordinance, however, is not a basis upon which to conclude that the municipality acted contrary to the General Assembly's intent. Nutter, supra (legislative silence not indicator that local legislation is foreclosed). In Weber, we recognized the salutary effect of specifically tailored local legislation which promotes the larger purpose of the statewide enactment. Philadelphia's Ordinance is this type of local enactment. According to the City, the local Ordinance addresses the peculiar local problems of (1) criminal enforcement of the Act when retail establishments that sell dual-use items are pervasive in a large city with an overburdened police force; and (2) readily available, cheap, loose and flavored tobacco products being used to ingest a controlled substance. In this sense, the Ordinance provisions regarding loosies and flavored tobacco further the Act's purpose by making it more difficult to obtain those specific items and discouraging a specific kind of illicit drug use. It is not our task to evaluate the wisdom of the Ordinance, but simply to determine whether the General Assembly contemplated a role for local government in adopting such a measure, in its own judgment. In my judgment, the General Assembly did so contemplate.
In my view, Sections 622(5)(a)(.1), (.4), and 629(2) of the Ordinance are not preempted by the Act. The Ordinance is a permissible, consistent local enactment addressing the problem of drug paraphernalia propagation. Consistency between state and local laws does not require that the General Assembly and the municipality enact an identical scheme. It is sufficient that the local and state enactments address different courses of conduct harmoniously and may be enforced simultaneously. Further, the Ordinance advances the Act's purpose by making it more difficult to obtain certain drug paraphernalia and thus discourages illicit drug use, particularly with respect to a type of drug use apparently prevalent in the City.
Justices TODD and ORIE MELVIN join this opinion.
The scienter element of the relevant provision of the Act is "
Judge Friedman dissented from this portion of the Commonwealth Court's holding, based, inter alia, on the following rationale:
Holt's Cigar, 952 A.2d at 1211 (Concurring and Dissenting Opinion, Friedman, J.) (quotation marks and footnote omitted; emphasis in original). We agree with Judge Friedman. The challenged ordinance amended the Service Businesses portion of the Philadelphia Code, and its sole stated purpose was to prohibit the sale by certain retail establishments of specified items that, although legal, are commonly used in the illegal drug trade. See City of Philadelphia Bill No. 060345-AAA, as amended on 11/30/06, at 1. The ordinance does not concern land use, the province of zoning, as it does not purport to regulate where the retail establishments at issue may be located. Rather, the ordinance purports to regulate what the retailers may sell, e.g., no flavored cigars, or how they may sell their wares, e.g., no single cigars. Contrary to the Commonwealth Court's conclusion, such regulation of the business activities of retail establishments simply does not fit within the concept of zoning, and Section 9-629(2) cannot be classified as a zoning ordinance.
Council 13, Am. Fed'n of State, County & Mun. Employees v. Rendell, 604 Pa. 352, 986 A.2d 63, 81 (2009) (citing Hillsborough County v. Automated Med. Labs., 471 U.S. 707, 713, 105 S.Ct. 2371, 85 L.Ed.2d 714 (1985)); see Dooner v. DiDonato, 601 Pa. 209, 971 A.2d 1187, 1198 (2009) (citing English v. Gen. Elec. Co., 496 U.S. 72, 79, 110 S.Ct. 2270, 110 L.Ed.2d 65 (1990) and Barnett Bank v. Nelson, 517 U.S. 25, 31, 116 S.Ct. 1103, 134 L.Ed.2d 237 (1996)).