OPINION OF THE COURT
DEAN V. UNITED STATES
556 U. S. ____ (2009)
SUPREME COURT OF THE UNITED STATES
NO. 08-5274
CHRISTOPHER MICHAEL DEAN, PETITIONER
v.
UNITED STATES
on writ of certiorari to the united states court of
appeals for the eleventh circuit
[April 29, 2009]
Chief Justice Roberts delivered
the opinion of the Court.
Accidents happen. Sometimes they
happen to individuals committing crimes with loaded guns. The
question here is whether extra punishment Congress imposed for the
discharge of a gun during certain crimes applies when the gun goes
off accidentally.
I
Title 18 U. S. C.
§924(c)(1)(A) criminalizes using or carrying a firearm during and
in relation to any violent or drug trafficking crime, or possessing
a firearm in furtherance of such a crime. An individual convicted
of that offense receives a 5-year mandatory minimum sentence, in
addition to the punishment for the underlying crime.
§924(c)(1)(A)(i). The mandatory minimum increases to 7 years “if
the firearm is brandished” and to 10 years “if the firearm is
discharged.” §§924(c)(1)(A)(ii), (iii).
In this case, a masked man
entered a bank, waved a gun, and yelled at everyone to get down. He
then walked behind the teller counter and started removing money
from the teller stations. He grabbed bills with his left hand,
holding the gun in his right. At one point, he reached over a
teller to remove money from her drawer. As he was collecting the
money, the gun discharged, leaving a bullet hole in the partition
between two stations. The robber cursed and dashed out of the bank.
Witnesses later testified that he seemed surprised that the gun had
gone off. No one was hurt. App. 16–19, 24, 27, 47–48, 79.
Police arrested Christopher Michael Dean and
Ricardo Curtis Lopez for the crime. Both defendants were charged
with conspiracy to commit a robbery affecting interstate commerce,
in violation of 18 U. S. C. §1951(a), and aiding and abetting
each other in using, carrying, possessing, and discharging a
firearm during an armed robbery, in violation of §924(c)(1)(A)(iii)
and §2. App. 11–12. At trial, Dean admitted that he had committed
the robbery,
id., at 76–81, and a jury found him guilty on
both the robbery and firearm counts. The District Court sentenced
Dean to a mandatory minimum term of 10 years in prison on the
firearm count, because the firearm “discharged” during the robbery.
§924(c)(1)(A)(iii); App. 136.
Dean appealed, contending that the discharge
was accidental, and that the sentencing enhancement in
§924(c)(1)(A)(iii) requires proof that the defendant intended to
discharge the firearm. The Court of Appeals affirmed, holding that
separate proof of intent was not required. 517 F. 3d 1224,
1229 (CA11 2008). That decision created a conflict among the
Circuits over whether the accidental discharge of a firearm during
the specified crimes gives rise to the 10-year mandatory minimum.
See
United States v
. Brown, 449 F. 3d 154
(CADC 2006) (holding that it does not). We granted certiorari to
resolve that conflict. 555 U. S. ____ (2008).
II
Section 924(c)(1)(A)
provides:
“[A]ny person who, during and in relation to any
crime of violence or drug trafficking crime . . . uses or carries a
firearm, or who, in furtherance of any such crime, possesses a
firearm, shall, in addition to the punishment provided for such
crime of violence or drug trafficking crime—
“(i) be sentenced to a term of imprisonment of
not less than 5 years;
“(ii) if the firearm is brandished, be
sentenced to a term of imprisonment of not less than 7 years;
and
“(iii) if the firearm is discharged, be
sentenced to a term of imprisonment of not less than 10 years.”
The principal paragraph defines a
complete offense and the subsections “explain how defendants are to
‘be sentenced.’ ”
Harris v.
United States,
536 U. S. 545,
552 (2002). Subsection (i) “sets a catchall minimum” sentence of
not less than five years.
Id., at 552–553. Subsections
(ii) and (iii) increase the minimum penalty if the firearm “is
brandished” or “is discharged.” See
id., at 553. The
parties disagree over whether §924(c)(1)(A)(iii) contains a
requirement that the defendant intend to discharge the firearm. We
hold that it does not.
A
“We start, as always, with the
language of the statute.”
Williams v.
Taylor,
529 U. S. 420,
431 (2000). The text of subsection (iii) provides that a defendant
shall be sentenced to a minimum of 10 years “if the firearm is
discharged.” It does not require that the discharge be done
knowingly or intentionally, or otherwise contain words of
limitation. As we explained in
Bates v.
United
States,
522 U.
S. 23 (1997), in declining to infer an “ ‘intent to
defraud’ ” requirement into a statute, “we ordinarily resist
reading words or elements into a statute that do not appear on its
face.”
Id., at 29.
Congress’s use of the passive
voice further indicates that subsection (iii) does not require
proof of intent. The passive voice focuses on an event that occurs
without respect to a specific actor, and therefore without respect
to any actor’s intent or culpability. Cf.
Watson v.
United States, 552 U. S. ___, ___ (2007) (slip op., at 7)
(use of passive voice in statutory phrase “to be used” in 18 U.
S. C. §924(d)(1) reflects “agnosticism … about who does the
using”). It is whether something happened—not how or why it
happened—that matters.
The structure of the statute also suggests
that subsection (iii) is not limited to the intentional discharge
of a firearm. Subsection (ii) provides a 7-year mandatory minimum
sentence if the firearm “is brandished.” Congress expressly
included an intent requirement for that provision, by defining
“brandish” to mean “to display all or part of the firearm, or
otherwise make the presence of the firearm known to another person,
in order to intimidate that person.” §924(c)(4)
(emphasis added). The defendant must have intended to brandish the
firearm, because the brandishing must have been done for a specific
purpose. Congress did not, however, separately define “discharge”
to include an intent requirement. “[W]here Congress includes
particular language in one section of a statute but omits it in
another section of the same Act, it is generally presumed that
Congress acts intentionally and purposely in the disparate
inclusion or exclusion.”
Russello v.
United
States,
464 U.
S. 16, 23 (1983) (internal quotation marks omitted).
Dean argues that the statute is not silent on
the question presented. Congress, he contends, included an intent
element in the opening paragraph of §924(c)(1)(A), and that element
extends to the sentencing enhancements. Section 924(c)(1)(A)
criminalizes using or carrying a firearm “during and in relation
to” any violent or drug trafficking crime. In
Smith v
.
United States,
508 U. S. 223 (1993), we
stated that the phrase “in relation to” means “that the firearm
must have some purpose or effect with respect to the drug
trafficking crime; its presence or involvement cannot be the result
of accident or coincidence.”
Id., at 238. Dean argues that
the adverbial phrase thus necessarily embodies an intent
requirement, and that the phrase modifies all the verbs in the
statute—not only use, carry, and possess, but also brandish and
discharge. Such a reading requires that a perpetrator knowingly
discharge the firearm for the enhancement to apply. If the
discharge is accidental, Dean argues, it is not “in relation to”
the underlying crime.
The most natural reading of the statute,
however, is that “in relation to” modifies only the nearby verbs
“uses” and “carries.” The next verb—“possesses”—is modified by its
own adverbial clause, “in furtherance of.” The last two verbs—“is
brandished” and “is discharged”—appear in separate subsections and
are in a different voice than the verbs in the principal paragraph.
There is no basis for reading “in relation to” to extend all the
way down to modify “is discharged.” The better reading of the
statute is that the adverbial phrases in the opening paragraph—“in
relation to” and “in furtherance of”—modify their respective nearby
verbs, and that neither phrase extends to the sentencing
factors.
But, Dean argues, such a reading will lead to
absurd results. The discharge provision on its face contains no
temporal or causal limitations. In the absence of an intent
requirement, the enhancement would apply “regardless of when the
actions occur, or by whom or for what reason they are taken.” Brief
for Petitioner 11–12. It would, for example, apply if the gun used
during the crime were discharged “weeks (or years) before or after
the crime.” Reply Brief for Petitioner 11.
We do not agree that implying an intent
requirement is necessary to address such concerns. As the
Government recognizes, sentencing factors such as the one here
“often involve . . . special features of the manner in which a
basic crime was carried out.” Brief for United States 29 (quoting
Harris, 536 U. S., at 553; internal quotation marks
omitted). The basic crime here is using or carrying a firearm
during and in relation to a violent or drug trafficking crime, or
possessing a firearm in furtherance of any such crime. Fanciful
hypotheticals testing whether the discharge was a “special
featur[e]” of how the “basic crime was carried out,”
Harris, 536 U. S., at 553 (internal quotation marks
omitted), are best addressed in those terms, not by contorting and
stretching the statutory language to imply an intent
requirement.
B
Dean further argues that even if
the statute is viewed as silent on the intent question, that
silence compels a ruling in his favor. There is, he notes, a
presumption that criminal prohibitions include a requirement that
the Government prove the defendant intended the conduct made
criminal. In light of this presumption, we have “on a number of
occasions read a state-of-mind component into an offense even when
the statutory definition did not in terms so provide.”
United
States v.
United States Gypsum Co.,
438 U. S. 422, 437
(1978). “[S]ome indication of congressional intent, express or
implied, is required to dispense with
mens rea as an
element of a crime.”
Staples v.
United States,
511 U. S. 600,
606 (1994).
Dean argues that the presumption
is especially strong in this case, given the structure and purpose
of the statute. In his view, the three subsections are intended to
provide harsher penalties for increasingly culpable conduct: a
5-year minimum for using, carrying, or possessing a firearm; a
7-year minimum for brandishing a firearm; and a 10-year minimum for
discharging a firearm. Incorporating an intent requirement into the
discharge provision is necessary to give effect to that
progression, because an accidental discharge is less culpable than
intentional brandishment. See
Brown, 449 F. 3d, at
156.
It is unusual to impose criminal punishment
for the consequences of purely accidental conduct. But it is not
unusual to punish individuals for the unintended consequences of
their
unlawful acts. See 2 W. LaFave, Substantive Criminal
Law §14.4, pp. 436–437 (2d ed. 2003). The felony-murder rule is a
familiar example: If a defendant commits an unintended homicide
while committing another felony, the defendant can be convicted of
murder. See 18 U. S. C. §1111. The Sentencing Guidelines
reflect the same principle. See United States Sentencing
Commission, Guidelines Manual §2A2.2(b)(3) (Nov. 2008) (USSG)
(increasing offense level for aggravated assault according to the
seriousness of the injury); §2D2.3 (increasing offense level for
operating or directing the operation of a common carrier under the
influence of alcohol or drugs if death or serious bodily injury
results).
Blackstone expressed the idea in the following
terms:
“[I]f any accidental mischief happens to follow
from the performance of a
lawful act, the party stands
excused from all guilt: but if a man be doing any thing
unlawful, and a consequence ensues which he did not
foresee or intend, as the death of a man or the like, his want of
foresight shall be no excuse; for, being guilty of one offence, in
doing antecedently what is in itself unlawful, he is criminally
guilty of whatever consequence may follow the first misbehaviour.”
4 W. Blackstone, Commentaries on the Laws of England 26–27
(1769).
Here the defendant is already guilty of unlawful
conduct twice over: a violent or drug trafficking offense and the
use, carrying, or possession of a firearm in the course of that
offense. That unlawful conduct was not an accident. See
Smith, 508 U. S., at 238.
The fact that the actual discharge of a gun
covered under §924(c)(1)(A)(iii) may be accidental does not mean
that the defendant is blameless. The sentencing enhancement in
subsection (iii) accounts for the risk of harm resulting from the
manner in which the crime is carried out, for which the defendant
is responsible. See
Harris,
supra, at 553. An
individual who brings a loaded weapon to commit a crime runs the
risk that the gun will discharge accidentally. A gunshot in such
circumstances—whether accidental or intended—increases the risk
that others will be injured, that people will panic, or that
violence (with its own danger to those nearby) will be used in
response. Those criminals wishing to avoid the penalty for an
inadvertent discharge can lock or unload the firearm, handle it
with care during the underlying violent or drug trafficking crime,
leave the gun at home, or—best yet—avoid committing the felony in
the first place.
Justice Stevens contends that the statute
should be read to require a showing of intent because harm
resulting from a discharge may be punishable under other
provisions, such as the Sentencing Guidelines (but only if “bodily
injury” results).
Post, at 6 (dissenting opinion) (citing
USSG §2B3.1(b)(3)). But Congress in §924(c)(1)(A)(iii) elected to
impose a mandatory term, without regard to more generally
applicable sentencing provisions. Punishment available under such
provisions therefore does not suggest that the statute at issue
here is limited to intentional discharges.
And although the point is not relevant under
the correct reading of the statute, it is wrong to assert that the
gunshot here “caused no harm.”
Post, at 1. By pure luck,
no one was killed or wounded. But the gunshot plainly added to the
trauma experienced by those held during the armed robbery. See,
e.g., App. 22 (the gunshot “shook us all”);
ibid.
(“Melissa in the lobby popped up and said, ‘oh, my God, has he shot
Nora?’ ”).
C
Dean finally argues that any
doubts about the proper interpretation of the statute should be
resolved in his favor under the rule of lenity. See Brief for
Petitioner 6. “The simple existence of some statutory ambiguity,
however, is not sufficient to warrant application of that rule, for
most statutes are ambiguous to some degree.”
Muscarello v.
United States,
524 U. S. 125, 138
(1998); see also
Smith,
supra, at 239 (“The mere
possibility of articulating a narrower construction, however, does
not by itself make the rule of lenity applicable”). “To invoke the
rule, we must conclude that there is a grievous ambiguity or
uncertainty in the statute.”
Muscarello,
supra,
at 138–139 (internal quotation marks omitted). In this case, the
statutory text and structure convince us that the discharge
provision does not contain an intent requirement. Dean’s contrary
arguments are not enough to render the statute grievously
ambiguous.
* * *
Section 924(c)(1)(A)(iii)
requires no separate proof of intent. The 10-year mandatory minimum
applies if a gun is discharged in the course of a violent or drug
traffick- ing crime, whether on purpose or by accident. The
judgment of the Court of Appeals for the Eleventh Circuit is
affirmed.
It is so ordered.
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