Legal Document

471 U.S. 419 105 S.Ct. 2084 85 L.Ed.2d 434 Frank LIPAROTA, Petitioner,v.UNITED STATES. No. 84-5108. Argued March 19, 1985. Decided May 13, Syllabus The federal statute governing food stamp fraud provides in 7 U.S.C. § 2024(b)(1) that "whoever knowingly uses, transfers, acquires, alters, or possesses coupons authorization cards any manner not authorized by [the statute] the regulations" shall be guilty of a criminal offense. Petitioner was indicted for violation 2024(b)(1). At jury trial Federal District Court, Government proved petitioner on three occasions had purchased stamps from an undercover Department Agriculture agent substantially less than their face value. court refused petitioner's proposed instruction must prove did act law forbids, purposely intending to violate law. Rather, over objection, instructed acquired and possessed regulations he willfully stamps. convicted. Court Appeals affirmed. Held: Absent indication contrary purpose statute's language legislative history, prosecution defendant knew his acquisition possession unauthorized regulations. Pp. 423-434. (a) Criminal offenses requiring no mens rea have generally disfavored status. failure Congress explicitly unambiguously indicate whether is required does signal departure this background assumption our Moreover, interpret dispense with would criminalize broad range apparently innocent conduct. In addition, case keeping established principle ambiguity concerning ambit statutes should resolved favor lenity. 425-428. (b) fact 2024(c), which directed primarily at stores accept program participants, differs wording structure "[w]hoever presents, causes presented, payment redemption . knowing same been received, transferred, used regulations," fails show congressional require proof defendant's knowledge illegality prosecution. Nor has it shown but 2024(b)(1), supported such obvious compelling policy reasons assumed intended make distinction. 428-430. (c) United States v. Yermian, 468 63, 104 2936, 82 53, support interpretation dispensing requirement illegality. offense "public welfare" depends mental element consists only forbidden acts omissions. 431-433. 735 F.2d 1044 (CA 1984), reversed. William Thomas Huyck, Chicago, Ill., petitioner. Charles A. Rothfeld, Washington, D.C., respondent, pro hac vice, special leave Court. Justice BRENNAN delivered opinion 1 subject fine imprisonment. 78 Stat. 708, as amended, 2024(b)(1).1 question presented under provision acting 2 * Liparota co-owner brother Moon's Sandwich Shop Illinois. He acquiring possessing restaurant App. 6-7.2 trial, On first occasion, informed she $195 worth sell. then accepted offer $150 consummated transaction back room brother. A similar occurred one week later, sold $500 $350. Approximately month bought $300. 3 submitting jury, rejected "specific intent" instruction, "the law." Id., 34.3 Concluding "[t]his specific intent crime" rather "knowledge case," id., 31, instead follows: 4 "When word 'knowingly' these instructions, means Defendant realized what doing, aware nature conduct, through ignorance, mistake, accident. Knowledge may conduct all facts circumstances surrounding case." 33. 5 also cash wilfully stamps." Tr. 251. objected find merely stamps; argued construed reach "people who they were unlawfully." 31. judge alter supplement returned verdict guilty. 6 appealed conviction Seventh Circuit, arguing erred refusing instruct arguments. (1984). Because decision conflicted recent decisions other Courts Appeals,4 we granted certiorari. 469 930, 322, 83 260 We reverse. II controversy between parties concerns state, if any, proving acted "in regulations." argues violated According Government, rea, "evil-meaning mind," Morissette States, 342 246, 251, 72 240, 244, 96 L.Ed. 288 (1952), necessary conviction. claims Government's interpretation, dispenses morally blameworthy definition crime. To avoid allegedly untoward result, individual violates knows done so manner.5 Our task determine meaning intended. 8 elements entrusted legislature, particularly crimes, are solely creatures statute. Hudson, Cranch 32, 259 (1812).6 With respect issue case, however, spelled out state required. Although certainly use "knowingly" some crime defined interpretations proffered both accord extent. Beyond this, words themselves provide little guidance. Either ordinary usage.7 history contains nothing clarify point.8 9 statute, believe requires showing regulations.9 "The contention injury can amount when inflicted intention provincial transient notion. It universal persistent mature systems belief freedom human will consequent ability duty normal choose good evil." supra, U.S., 250, S.Ct., 243. Thus, Gypsum Co., 438 422, 438, 98 2864, 2874, 57 854 (1978), noted "[c]ertainly far more simple omission appropriate phrase statutory justify requirement" "generally status." Similarly, 10 This construction where, here, otherwise For instance, declares use, transfer, acquire, alter, possess further "[c]oupons issued eligible households them purchase retail approved participation prices prevailing stores." 2016(b) (emphasis added); see CFR 274.10(a) (1985).10 seems use. strict reading knowledge-of-illegality thus render recipient who, example, store that, unknown him, charged higher participants. Such nonrecipient "possessed" because mistakenly sent mail11 due administrative error, "altered" tearing up, "transferred" throwing away. Of course, could made illegal, perhaps understanding prosecutors exercise discretion harsh results. However, given paucity material suggesting intend, reluctant adopt sweeping interpretation. 11 longstanding recognition "ambiguity lenity." Rewis 401 808, 812, 91 1056, 1059, 28 493 (1971). See 437, 2873; Bass, 404 336, 347-348, 92 515, 522-523, 30 488 (1971); Bell 349 81, 83, 75 620, 622, 99 905 (1955); Universal C.I.T. Credit Corp., 344 218, 221-222, 73 227, 229-230, 97 (1952). Application rule lenity ensures fair warning rendered illegal strikes balance prosecutor, defining liability. 348, 523 ("[B]ecause seriousness penalties, punishment usually represents moral condemnation community, legislatures courts define activity"). applied where do conflict implied expressed Congress, time-honored interpretive guideline unclear. instant directly supports convict him 12 argues, comparison its companion, demonstrates Section 2024(c) imprisonment added).12 contrasts placed differently: transfers ." added). Since undeniably illegality, suggested inference difference two sections indicates not. 13 urges distinction sensible one. grocer presenting might criminally liable even customer employees illegally procured transferred without grocer's knowledge. Requiring kind vicarious, non-fault-based, 2024(b)(1)—using, transferring, acquiring, altering, manner—does involve possibility vicarious liability, reason impose section. 14 argument persuasive. too slender reed attempted distinction, accepted, lead demise very said desired. intend while Anyone "present[ed], caus[ed] redemption" manner. person seemingly "use[d], transfer[red], acquir[ed], alter[ed], possess[ed]" similarly manner, follows able prosecute violator well. If 2024(c)—and 2024(b)(1)—required result always cases, simply bringing prosecutions wanted some, all, chose peculiar way so. 15 reasons, arguments plausible equally unpersuasive. Grocers participants benefit extensive informational campaign handling 7-8. Yet prosecuting grocers, burden third well opportunity acquaint rules immediately concerned about imposing liability nonparticipants program. point once again chosen enact along lines, there doubt sides desirable. conclude underlying neither nor assume, absence discussion statute.13 16 advances additional First, contends Court's last Term 53 (1984), Yermian involved false statement 18 1001.14 All agreed least "knowingly willfully" statement. unlike rea.15 centered matter within jurisdiction agency. element, although held actual agency jurisdiction, reserved culpability jurisdictional element. 75, n. 14, 2943, 14. contrast, Finally, found unambiguous respects. 17 Second, offense, 252-253, 244-245, "depend consist omissions." here those welfare offenses" previously recognized. most previous instances, type reasonable know stringent public regulation seriously threaten community's health safety. Freed, 601, 1112, 356 (1971), examined making receive unregistered firearm. holding hand grenades unregistered, "one hardly surprised learn act." 609, 1118. International Minerals & Chemical 402 558, 564-565, 1697, 1701-1702, 29 178 Dotterweich, 320 277, 284, 64 134, 138, 88 48 (1943), corporate officer Food, Drug, Cosmetic Act firm shipped adulterated misbranded drugs, "though consciousness wrongdoing totally wanting." Balint, 258 42 301, 66 604 (1922). distinctions cases clear. compared grenade, selling Dotterweich. III hold regulations.16 put unduly heavy violators unauthorized, need possession. introduce extraordinary evidence conclusively demonstrate mind. reference illegal.17 19 Reversed. 20 POWELL took part consideration case. 21 WHITE, whom THE CHIEF JUSTICE joins, dissenting. 22 Forsaking reliance either majority bases explicit rejection general actus reus, rea. my view, below ignored principles 23 views problem being how down sentence term travels. ante, 424-425, 7. Accepting moment extend manner" today's correct—a position I take gets far. separated litany verbs connected intervening nouns. considered identically phrased predecessor provided: " '[W]hoever fraudulent statements representations department fined.' 69, 6, 2940, (quoting June 18, 1934, ch. 587, 996). "most natural reading" jurisdiction. 6. By token, modifies attached.1 24 event, think premise approach mistaken. Even accepting sentence, read does, mean says does. relevant aspects particular coupled forbidden, establish defense ignorance creates mistake fact. Knowingly something doing 25 demonstrated hypothetical referred majority, punishes sells security permit." "without permit," permit, though permit required, 26 identical except detailing various legal requirements, incorporates proscribing authorized" shorthand drafting transform into As written, substantively different broken collection provisions crimes improper uses. cannot tobacco. §§ 271.2, 274.10(a), 278.2(a) (1985). said, inter alia, anyone "who uses cigarettes" commits Under acquitted cigarettes "eligible food." But fact, exactly say; just write longhand. 27 another illustration point: someone groceries inflated realizing overcharged.2 agree convicted, majority. purchaser proscribed unaware illegal. company rationale overcharging prohibited. actions, therefore "knowing." satisfies holding, understand it, convicted illegal.3 Much 2024(c). like below, 1044, 1047-1048 express subsection (b)(1) intentional. While disagree majority's refutation argument,4 view beside point. me Subsection much forbid receipt sale stolen goods. See, e.g., 641, 2313. Just goods stolen, past impropriety. receipt-of-stolen-goods itself plainly present improperly past. inconceivable coupons—again, buying goods—would above-board despite preceding belief, however sincere, defense. short, prosecuted create ignorance-of-the-law defense.5 draw inference. nonetheless fruitfully compared. What matters difference, similarity. Neither [is] offense." ALI, Model Penal Code 2.02, Comment 11, p. 131 (Tent.Draft 4, 1955). provision. 31 wants include so, consider example. Other familiarity offense—indeed, places analysis, entirely superfluous. E.g., 79z-3, 80a-48. Code, 139. easily included Cf. Turkette, 452 576, 580-581, 101 2524, 2527-2528, 69 246 (1981). 32 lower court's consistent history. points out, go on. Significantly, brief discussions Reports mention contrary, Food Stamp rewritten 1977, House Report "[a]ny acquisition, alteration, under" H.R.Rep. 95-464, 376 (1977), U.S.Code Cong. Admin.News 2305 33 easy live this. application reasoning benign. basic prohibition manufacture distribution controlled substances. Title 841(a) provides: 34 "Except subchapter, unlawful intentionally— 35 "(1) manufacture, distribute, dispense, distribute substance. 36 am sure Members defend ground realize substance controlled. hand, thought was. think, heard say argue stretch awareness authority provisions. 37 These distinguished placements "except clauses sentences. relevant. Indeed, logic law" "unlawfully." suspect arises future unacceptable, manage distinguish decision. interested 38 relying "background 426, ignores founded excuse. conventional existence, determining 130. 39 prior "knowing violation" supersede principle. Interstate Commerce Commission promulgate regarding transportation corrosive liquids, violat[e] regulation." 834(f) (1970 ed.). Viewing "regulations" "a designation omissions Act," 562, 1700, adhered traditional "knowing" transporting liquids not, water. 563-564, 1700-1701. violating regulation. by" incorporation variety requirements. 40 Boyce Motor Lines, Inc. 337, 329, 367 punished violates" trucks dangerous items congested areas possible. rejecting vagueness challenge, driver regulation, 345, 333 (Jackson, J., dissenting), safer alternative route available. Likewise, construing 1461, mails mailing anything declared section 3001(e) nonmailable," known materials nonmailable. Hamling 418 87, 120-124, 94 2887, 2909-2911, 41 590 (1974). "To status claiming brushed up law," 123-124, 2910-2911. Accord, Rosen 161 29, 434, 606 (1896). 612-615, 1119-1121 (BRENNAN, concurring judgment). each lent adopted today readily 2024(b)(1).6 statutes, one's rendering abandon assumption" creating strict-liability offense,7 important IV wholly "[t]he notion." 243, (1952); 425. inconsistent Petitioner's intentional; "realized accident." (trial instructions). Whether part: "[W]hoever chapter pursuant shall, value $100 more, felony upon thereof, fined $10,000 imprisoned five years, both, and, second subsequent six months years or, $100, misdemeanor, $1,000 year, year $1,000. addition misdemeanor suspended period eighteen consecutive suspension mandated 2015(b)(1) title." provided meet certain need-related criteria. 2014(a), 2014(c). They stores. 2016(b). receives proper Agriculture, meals here. 6-7. drawn E. Devitt C. Blackmar, Jury Practice Instructions 14.03 (1977). reads entirety: serious before Specific intent, implies, commit act. government determined Pollard, 724 1438 (CA6 1984); Marvin, 687 1221 (CA8 1982), cert. denied, 460 1081, 103 1768, 76 (1983); Faltico, 273 1088, 1783, 353 O'Brien, 686 850 (CA10 1982). course Bailey, 444 394, 405-406, 100 624, 631-633, 62 575 (1980); 612-614, 1119-1121, (1971) Robinson Grall, Element Analysis Defining Liability: Beyond, Stan.L.Rev. 681 (1983). recognized encompasses possibilities "specific" "general" intent. 403-407, 631-633; 444-445, 2877-2878, (1978); 613, 1120 recognizes four states purpose, knowledge, recklessness, negligence. 2.02 (Prop.Off.Draft 1962). issue, applicable constitutional constraints offenses. allegation unconstitutional One treatise aptly summed analogous situation: "Still difficulty frequently exists phrases modify. What, modify 'blue sky' punishing 'knowingly permit' securities commissioner? seller constitutes sale, thing security, sell sells? grammar ambiguous; clear travel—whether 'sells,' 'sells security,' permit.' W. LaFave Scott, Law (1972). 12, infra. dissent repeatedly "mistake Post, 436, 439, 441. unlawful. post, 436. stolen; "use, acquisition," etc. charge is, unauthorized. (Tent. Draft 1955); 614-615, 1120-1121 (1952) (holding converting" property conversion). Committee Representatives essentially current form enacted, "makes regular price 1228, 88th Cong., 2d Sess., (1964). S.Rep. 1124, (1964), 1964, pp. 3275, 3289. Agriculture's agencies administering mail State coupon allotments mail." 274.3(a) full: "Whoever chapter, $10,000, noting penalties virtually 1, supra. Notwithstanding position. originally enacted Pub.L. 88-525, 708. accompanying bill described together: "This makes present, cause 3291. believes description single emphasizes them. fail parrots terms offers enlightenment mean. 1977 revised explained of" 1704, 2305. continued "under [§ ] prescribed whoever presents (for redemption) implementing Act." Ibid. Presumably Sections 2024(b) visible fully scope former Brief 20. devoted attention today; likely Committee, problem, discuss needed indicate, anything, odds urged today. "Whoever, falsifies, conceals, covers trick, scheme, device false, fictitious representations, writing document contain entry, both." 435 (WHITE, dissenting). mind" tendered, 3, criticized potentially misleading, Arambasich, 597 613 (CA7 1979). useful relate specifically eschew difficult concepts "general intent." introduced substantial discount conducted presence patrons. asserts stamped "nontransferable." 34. inferred efforts unavailing. there, falsehood. Ante, 431-432. elsewhere, 423-424, 5, apply irrelevant regard second. There differently. "unambiguous." 432. identical, notes, ibid., decide "should known" agency's passing undertake. evidenced regulations, (1985), "coupons household household." mentioned applies participating stores: "Coupons foods conditions purchases store." 278.2(b). purposes illustration, overcharging, overcharged, prosecutorial target situation purchaser. every prosecutor country agree. academic. unmoved specter mailed throws 426-427, guide proceed mind run-of-the-mill situation, bizarre mutation. Arguments presume wildly unreasonable officials unconvincing, harm good. 284-285, 138-139, (1943). No rule, including today, immune contrived defects. meaningless necessarily "present[ing], caus[ing] 429. forbids presentation offender perfectly proper; sense tainted transaction. check-out clerk accepts ineligible items, thereby employer collects business, seem latter if, clerk's wrongdoing. (b)(1); absent (c), valid theft legally belonged incorrect. aspect attendant circumstances, culpability. offense; characterizes 1120-1121, distinguishes offense" involving inherently articles commerce whose users 432-433. 612, 1119 Apart assume heavily regulated exchange, related holdings cases. concurrence Freed consideration. And references dangerousness possible process challenges convictions notice criminality. 1701-1702. acknowledges, 424, defect below. example recently forbidding hunting birds "baited" field scienter requirement, baited, baited. Catlett 1074, 2153, 509 (1985) dissenting denial certiorari). taken allow it.

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