Document: 524 U.S. 184118 S.Ct. 1939141 L.Ed.2d 197 122 F.3d 90, affirmed. SUPREME COURT OF THE UNITED STATESSILLASSE BRYAN, PETITIONERv.UNITED STATES No. 96 8422 [June 15, 1998] ON WRIT CERTIORARI TO APPEALS FORTHE SECOND CIRCUIT Justice Stevens delivered the opinion of Court. 1 Petitioner was convicted "willfully" dealing in firearms without a federal license. The question presented is whether term 18 U.S.C. § 924(a)(1)(D) requires proof that defendant knew his conduct unlawful, or it also he licensing requirement. 2 * In 1968 Congress enacted Omnibus Crime Control and Safe Streets Act. 82 Stat. 239. Title IV Act made findings concerning impact traffic on prevalence lawlessness violent crime United States1 amended Criminal Code to include detailed provisions regulating use sale firearms. As amended, 922 defined number "unlawful acts"; subsection (a)(1) unlawful for any person except licensed dealer engage business firearms.2 Section 923 established program repeated prohibition against license, §924 specified penalties violating "any provision this chapter." Read literally, authorized imposition fine up $5,000 prison sentence not more than five years, "or both," who dealt license even if believed she acting lawfully.3 1968, §922(a)(1) omitted an express scienter requirement therefore arguably imposed strict criminal liability every unlicensed definition "engaged business" though element act prohibited by §922(a)(1). 3 1986 Firearms Owners' Protection (FOPA), part, cure these omissions. statute explained additional legislation necessary protect law-abiding citizens with respect acquisition, possession, lawful purposes.4 FOPA §921 business,"5 add as condition most acts §922. For three categories offenses intent required acted "knowingly"; fourth category, which includes other chapter," "willfully."6 §922(a)(1)(A)7 offense at issue case "other provision" category. II 4 jury having found petitioner guilty, we accept Government's version evidence. That evidence proved did have deal firearms; used so-called "straw purchasers" Ohio acquire pistols could purchased himself; straw purchasers false statements when purchasing guns; assured would file serial numbers off resold guns Brooklyn street corners known drug dealing. unquestionably adequate prove firearms, unlawful.8 There was, however, no aware law prohibits 5 charged conspiracy violate 922(a)(1)(A), willfully engaging substantive violation provision.9 After close evidence, requested trial judge instruct be only requirement,10 but rejected request. Instead, gave explanation "willfully": 6 "A intentionally purposely do something forbids, is, bad purpose disobey disregard law. Now, need specific rule may violating. But must forbids."11 7 guilty both counts. On appeal argued insufficient because there had knowledge requirement, erred failing such essential offense. Court Appeals It concluded instructions were proper Government elicited "ample " willfully. App. 22. 8 Because Eleventh Circuit has held States v. Sanchez-Corcino, 85 549, 553 554 (1996), granted certiorari resolve conflict. III 9 word sometimes said "a many meanings" whose construction often dependent context appears. See, e.g., Spies States, 317 492, 497 (1943). Most obviously differentiates between deliberate unwitting conduct, typically refers culpable state mind. Murdock, 290 389 (1933), variety phrases been describe concept.12 general matter, context, "willful" one undertaken "bad purpose."13 words, order establish statute, "the unlawful." Ratzlaf 510 135, 137 (1994). 10 argues particularized showing two principal reasons. First, fact adverb "knowingly" authorize punishment §922 referred demonstrates shoulder special burden cases like this. This argument persuasive does necessarily reference mind Jackson correctly observed, requisite knowing factual distinguished from law."14 Thus, Bailey, 444 394 (1980), prosecution fulfills its proving escape "if escapee actions result leaving physical confinement permission." Id., 408. And Staples 511 600 (1994), charge defendant's possession unregistered machinegun "that weapon possessed characteristics brought within statutory machinegun." 602. not, unlawful. See Rogers 522 ___, ___ (1998) (plurality opinion) (slip op., 3). unless text dictates different result,15 merely facts constitute 11 With are punishable performed "knowingly," background presumption citizen knows makes unnecessary adduce "an evil-meaning mind" directed "evil-doing hand."16 More required, category done "willfully." find mind, say, 12 next read §924(a)(1)(D) require our interpretation contexts. certain involving willful violations tax laws, code Cheek 498 192, 201 (1991).17 Similarly, satisfy Ratzlaf, structuring cash transactions avoid reporting U.S., 138, 149. Those cases, readily distinguishable. Both cases18 Ratzlaf19 involved highly technical statutes danger ensnaring individuals engaged apparently innocent conduct.20 result, "carv[e] out exception traditional rule" ignorance excuse21 law.22 convicting activity motivated decisions present here unlawful.23 13 willfulness carve excuse; all required. 14 advances arguments based reading congressional intent. first points legislative history FOPA, too ambiguous offer much assistance. Petitioner's main support lies opponents bill.24 stated, "[t]he fears doubts opposition authoritative guide legislation." Schwegmann Brothers Calvert Distillers Corp., 341 384, (1951). "In their zeal defeat bill, they understandably tend overstate reach." NLRB Fruit Packers, 377 58, 66 (1964).25 15 that, time passed, "willfulness" requirements subsections §§923(d)(1)(C) (D) uniformly interpreted lower courts law; intended should same meaning §924(a)(1)(D). initial come agreement. While some stated §923(d)(1) satisfied legal obligation,26 variously refer "purposeful, intentional conduct,"27 "indifferen[ce] law,"28 "conscious, intentional, deliberate, voluntary decision."29 Moreover, each obligation sufficient willfulness, perfectly clear record licensee law30; thus, while notion violation, way stand proposition required.31 16 Finally, §922(b)(3), governed §924(a)(1)(D)'s standard, indicates Subsection 922(b)(3) licensees selling reasonable cause believe reside licensee's State, where, inter alia, transaction fully complies laws seller's buyer's State. further states "shall presumed, absence contrary, actual State published ordinances States."32 Although §922(b)(3) covered §924(a)(1)(D), mistaken. noted above, certainly nothing contradicts basic distinction.33 V 17 One court's jury, itself, contained misstatement portion given after correct statement already quoted, stated: case, government nor breaking law." 19 (emphasis added). If added words license," accurate, not. Nevertheless, error provide basis reversal four object sentence, insofar instructed Second, entire instructions, seems unlikely misled. Park, 421 658, 674 675 (1975). Third, failed raise Appeals. grant limited narrow Accordingly, judgment Souter, concurring 20 I join Court's caveat raised preserved objection erroneous see Part V, ante, 16, vote vacate conviction. Scalia, J., dissenting 21 whom Chief Ginsburg join, dissenting. 22 Sillasse Bryan dealers. found, clearly shows, aspect n. 8. illegality enough sustain conviction, specifically lacked point my view, genuinely ambiguous. 23 devoted confirming half ambiguity refuting Bryan's various Ante, 15. offers real justification implicit conclusion either (1) unambiguously illegality, (2) ambiguously requiring enough. curiously falls back excuse" conclude "knowledge required." 11. calls application canon familiar 'where resolved favor defendant.' Adamo Wrecking Co. 434 275, 284 285 (1978), quoting Bass, 404 336, 348 (1971). 24 922(a)(1)(A) enforced criminally through imposes whoever "willfully violates wide range meanings, 'its [is] . influenced context.' 141 contexts connotes knowing, voluntary, accidental." 389, (1933). inasmuch preceding subparagraphs specify mens rea offenses, §§924(a)(1)(A) (C), under mental mere perform forbidden act. concedes (and agrees) Brief 9; ("The unlawful"). 25 concession takes beyond useful maxim excuse. Everyone agrees law? answer or, put another way, ignorant violated course textual notoriously malleable itself. fall (apparently derived excuse) where excuse, excuse construed narrowly language permits. 26 approach sense enacted. quarrel assertion "general" able recite chapter verse Code. enough, generally actus reus punished illegal. willing so entirely divorced punish. turns into strange creature. if, example, never heard using filing pistols. 5, limit (for rational limit) universe relevant statutes. "act[ing] mind," hence presumably street-corner New York City's sales ordinances. (For ought suffice car sold illegally double-parked, meet appointed sale, Pennsylvania's speed drive gun purchase Ohio.) Once stop focusing actually (i.e., license), principled determine what conscious Lewis 523 3) (Scalia, judgment) (pointing similar interpretive problem potentially Assimilative Crimes Act). 27 free, course, make turn another, encourage compliance collection efforts, judges juries kind gymnastics described above. results, lightly assume depend heavily upon vagaries local particularly completely unrelated subjects. one, think presume defense pro-hibition, ordinarily means unlawful-ness prohibition. 28 149 ("To convict charged, unlawful"); (1991) ("[T]he standard willfullness 'voluntary, duty.' [T]he duty purportedly regulation accused violating"). explains ground "highly conduct." 10-11. all. complexity currency explain why awareness opposed 394. 29 justifies distinction seeks draw today conceivably To pure heart, forgive someone surreptitious laundering money violates, unbeknownst him, statute. There, here, regardless how "complex" be, "with mind." 30 me likely offense-specific issue. Another section Act, Pub. L. 99 308, 100 449, dealers out-of-state residents comply States. 922(b)(3). goes purposes subparagraph, States." Ibid. Like dealer-licensing committed quite doubt particular prohibitions violated: (attributed knowledge) those will demonstrate conclusively sufficient. demonstrate, suggests. say criminal, existence fairly reflects, think, violated. 31 choose, therefore, opposite applies reasonable. decide common simply ambiguous, silent, precise contours face ambiguity, invoke 'ambiguity ambit lenity,' 347, Rewis 401 808, 812 32 "The penal strictly, perhaps, less old founded tenderness rights individuals; plain principle power vested legislative, judicial department." Wiltberger, Wheat. 76, 95 (1820). 33 era multiplying new crimes, reason ever give ancient consistent application: fostering uniformity statutes, reduce occasions produce havoc resolving defendants' circuit conflict regarding elements crime, see, Bousley (1998). 34 respectfully dissent. Notes 35 1. "Sec. 901. (a) hereby finds declares "(1) awidespread moving otherwise affecting interstate foreign commerce, existing Federal controls over adequately enable control own borders exercise police power; "(2) ease can rifle shotgun (including criminals, juveniles consent parents guardians, narcotics addicts, defectives, armed groups supplant functions duly constituted public authorities, others weapons similarly contrary interest) significant factor States; "(3) commerce weapons, persons businesses importing, manufacturing, them, grave properly with, effective possible ." 225. 36 2. 228. current provision, substantially version, codified 922(a)(1)(A). states: "(a) shall "(A) importer, manufacturer, dealer, ship, transport, receive firearm commerce." 37 3. "§924. Penalties Whoever fined imprisoned both." 233. 38 4. "(b)(2) reaffirm Congress, expressed 101 Gun 'it title place undue restrictions burdens appropriate hunting, trapshooting, target shooting, personal protection, activity, discourage eliminate private ownership purposes.' 449. 39 5. "Section 921 18, Code, "(21) 'engaged business' "(C) applied 921(a)(11)(A), devotes time, attention, labor regular trade objective livelihood profit repetitive resale occasional sales, exchanges, purchases enhancement hobby, sells part 449 450. 40 6. 924(a)(1) currently provides: "Except provided subsection, (b), (c), (f) section, 929, knowingly representation information kept records applying exemption relief disability chapter; "(B) (a)(4), (f), (k), (r), (v), (w) 922; imports brings thereof ammunition 922(l); "(D) chapter, title, 41 7. 2, supra. 42 Why else assure them shave guns? corner good-faith belief legality enterprise. 43 9. set forth §922, supra, sanction §924(a)(1), 6, 44 10. "KNOWLEDGE LAW Statute Defendant allegedly [sic], You accordingly find, doubt, times distribu tion lawfully legally permissible transferee purchaser. "[Y]ou persuaded them." (citing 135 (1994)). 19. 45 12. denotes accidental. (Felton 699; Potter 155 438; Spurr 174 728); justifiable supra; Williams People, Colo. 272; 57 Pac. 701; People Jewell, 138 Mich 620; N. W. 835; St. Louis, I. M. & S. Ry. Batesville Tel. Co., 80 Ark. 499; 97 660; Clay 52 Tex. Cr. 555; 107 1129); stubbornly, obstinately, perversely, Wales Miner, 89 Ind. 118, 127; Lynch Commonwealth, 131 Va. 762; 109 E. 427; Claus Chicago Gt. 136 Iowa 7; 111 15; Harwell, 129 C. 550; 48. employed characterize thing believing (Roby Newton, 121 Ga. 679; 49 694), marked careless right act, Philadelphia R. 223 Fed. 207, 210; Savre, 122; 105 387; Morgan, 628; 48 670." 395. 46 13. Heikkinen 355 273, 279 (1958) ("There failure deportee, §20(c), apply to, identify, country him 'bad purpose' '[non-]justifiable excuse,' [I]t cannot 'willfully' i.e., 'justifiable excuse' "); (1933) ("[W]hen statue [willfully] purpose"); Felton 699, 702 (1878) ("Doing omitting wilfully, implies thing, determination omit doing it. 'The "wilfully," ' says Shaw, 'in ordinary "voluntarily," purpose.' Pick. (Mass.) 220. 'It frequently understood,' Bishop, 'as signifying evil excuse.' Crim. Law, vol. i. sect. 428"); Sand, J. Siffert, Loughlin, Reiss, Modern Jury Instructions ¶3A.01, p. 3A (1997) (" 'Willfully' one's law"). 47 14. decision upholding constitutionality authorizing Interstate Commerce regulation, wrote: "It suggested protected indefiniteness conviction violations. Screws 325 91, rests very basis, suppose intends suggest defense." Boyce Motor Lines, Inc. 342 337, 345 (1952) (dissenting opinion). Liparota 471 419 (1985), case. We "knowing" §2024(c) §2024(b)(1) literally well ofthe facts. id., 428 430. 16. Jackson's translation terms Morissette 246, 251 (1952). 50 17. Even always heightened rea. Pomponio, 429 (1976) (per curiam), [the] approved instruction, concluding willfulness." 51 18. 199 200 (1991), proliferation regulations difficult average know comprehend extent duties obligations laws. softened common-law making offenses. almost 60 years ago carving [that presumed law]. treatment largely due laws." Bates 7, 6) (noting Ratzlaf's holding "particular structuring"); (Court's contex[t]" statute). 53 20. 144 145 ("[C]urrency inevitably nefarious Nor structures invariably desire keep dark"; criminalize activity); Cheek, 205 ("[I]n 'our complex system, uncertainty arises among taxpayers earnestly wish follow law,' "[i]t penalize frank difference errors despite care." 412 346, 360 361 (1973) (quoting 496 (1943))"); 396 ("Congress intend person, bona fide misunderstanding tax, return, adequacy maintained, become measure prescribed conduct"). 21. 200; "venerable charge," 54 before decided, then Judge Breyer specificity inapplicable He "I prosecutions 'currency law' violations, sort resemble Compare 6050I, 7203 5322 5324. sets technical; strike immoral lead unfair prosecuting subjectively honestly criminally. 192 issue, results." Aversa, 984 F.2d 493, 502 (CA1 1993) (concurring "same standards both" Ratzlaf. F.2d, 503. 55 23. might inadvertently 4, Andrade, 104, 108 1998). 56 24. Representative Hughes, staunch opponent "make impossible dealers, acquiring show personally detail law, 132 Cong. Rec. 6875 (1986). petitioner's amicus acknowledges "undoubtedly exaggeration." National Association Defense Lawyers Amicus Curiae 25. F.3d, 109. 58 26. Perri Department Treasury, 637 1332, 1336 (CA9 1981); Stein's Blumenthal, 649 463, 467 468 (CA7 1980). 59 27. Rich 383 F. Supp. 797, 800 (SD 1974). 28. Lewin 590 268, 269 (CA8 1979); Fin Feather Sport Shop Treasury Department, 481 800, 807 (Neb. 1979). 61 29. Prino Simon, 606 451 (CA4 1979) (internal quotation marks omitted); Stein's, ("[I]f 1) prohibited,-irrespective motive reliance advice, 2) requirements, willful" omitted)). 62 30. Perri, district court strawman Act"); shows plaintiff's agents acknowledged understanding Secretary's regulations. warnings Secretary, continued occur" (footnote omitted)); Powers Bureau Alcohol, Tobacco Firearms, 505 695, 698 (ND Fla. 1980) ("Bureau representatives inspected August 31, 1976. They pointed copy regulations, thoroughly obligations, pamphlet explaining obligations. date obligations"); Shyda Director, 448 409, 415 (MD Pa. 1977) ("[A]t formal administrative hearing admitted oath issue"); Mayesh Schultz, D. 537, 540 Ill. 1973) uncontroverted plaintiff above period requirements. Mr. previously advised Illinois them"); McLemore 1077, 1078 1970) (finding owner pawnshop, employees, law). 63 31. Mayesh, Since material undisputed, matter , hence, 922(b)(2). consider action 'wilful' disputed connection. justify refusal renewal." D., 540. also, (stating understands fails indifferent "is established," satisfied); ("Evidence law's willfulness" added)); McLemore, Supp., 1079. 64 32. 65 33. chapter" attach possesses "provision[s] International Minerals Chemical 402 558 (in phrase "knowingly regulation"), response same: "We 'regulations' [or 'any chapter'] shorthand designation omissions viewed, signal 562.

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