Majority — KAGAN J.
I
This case arises from a drug deal gone bad. Vashti Perez arranged to sell a pound of marijuana to Ricardo Gonzales and Coby Painter. She drove to a local park to make the exchange, accompanied by two confederates, Ronald Joseph and petitioner Justus Rosemond. One of those men apparently took the front passenger seat and the other sat in the back, but witnesses dispute who was where. At the designated meeting place, Gonzales climbed into the car's backseat while Painter waited outside. The backseat passenger allowed Gonzales to inspect the marijuana. But rather than handing over money, Gonzales punched that man in the face and fled with the drugs. As Gonzales and Painter ran away, one of the male passengers-but again, which one is contested-exited the car and fired several shots from a semiautomatic handgun. The shooter then re-entered the vehicle, and all three would-be drug dealers gave chase after the buyers-turned-robbers. But before the three could catch
The Government charged Rosemond with, inter alia, violating § 924(c) by using a gun in connection with a drug trafficking crime, or aiding and abetting that offense under § 2 of Title 18. Section 924(c) provides that "any person who, during and in relation to any crime of violence or drug trafficking crime[,] ... uses or carries a firearm," shall receive a five-year mandatory-minimum sentence, with seven- and ten-year minimums applicable, respectively, if the firearm is also brandished or discharged. 18 U.S.C. § 924 (c)(1)(A). Section 2, for its part, is the federal aiding and abetting statute: It provides that "[w]hoever commits an offense against the United States or aids, abets, counsels, commands, induces or procures its commission is punishable as a principal."
Consistent with the indictment, the Government prosecuted the § 924(c) charge on two alternative theories. The Government's primary contention was that Rosemond
1 The Government agreed not to bring charges against the other four participants in the narcotics deal in exchange for their giving truthful testimony against Rosemond. See 2 Record 245, 272, 295-296, 318.
The jury convicted Rosemond of violating § 924(c) (as well as all other offenses charged). The verdict form was general: It did not reveal whether the jury found that Rosemond himself had used the gun or instead had aided and abetted a confederate's use during the marijuana deal. As required by § 924(c), the trial court imposed a consecutive sentence of 120 months of imprisonment for the statute's violation.
The Tenth Circuit affirmed, rejecting Rosemond's argument that the District Court's aiding and abetting instructions were erroneous.[3] The Court of Appeals acknowledged
2 The Court of Appeals stated that it had to address that argument even if the jury could have found that Rosemond himself fired the gun, because "a conviction based on a general verdict is subject to challenge if the jury was instructed on alternative theories of guilt and may have relied on an invalid one." 695 F.3d 1151 , 1154 (2012) (quoting Hedgpeth v. Pulido, 555 U.S. 57 , 58, 129 S.Ct. 530 , 172 L.Ed.2d 388 (2008) ( per curiam )).
3 See, e.g., United States v. Rolon-Ramos, 502 F.3d 750 , 758-759 (C.A.8 2007) ; United States v. Medina-Roman, 376 F.3d 1 , 6 (C.A.1 2004) ; United States v. Bancalari, 110 F.3d 1425 , 1429-1430 (C.A.9 1997).
The questions that the parties dispute, and we here address, concern how those two requirements-affirmative act and intent-apply in a prosecution for aiding and abetting a § 924(c) offense. Those questions arise from the compound nature of that provision. Recall that § 924(c) forbids "us[ing] or carr [ying] a firearm" when engaged in a "crime of violence or drug trafficking crime." See supra, at 1243. The prosecutor must show the use or carriage of a gun; so too he must prove the commission of a predicate (violent or drug trafficking) offense. See Smith v. United States, 508 U.S. 223 , 228, 113 S.Ct. 2050 , 124 L.Ed.2d 138 (1993). For purposes of ascertaining aiding and abetting liability, we therefore must consider: When does a person act to further this double-barreled crime? And when does he intend to facilitate its commission? We address each issue in turn.
A
Consider first Rosemond's account of his conduct (divorced from any issues of intent). Rosemond actively participated
That principle continues to govern aiding and abetting law under § 2 : As almost every court of appeals has held, "[a] defendant can be convicted as an aider and abettor without proof that he participated in each and every element of the offense." United States v. Sigalow, 812 F.2d 783 , 785 (C.A.2 1987).[6] In proscribing aiding and abetting, Congress used language that "comprehends all assistance rendered by words, acts, encouragement, support, or presence,"
5 See also United States v. Ali, 718 F.3d 929 , 939 (C.A.D.C.2013) ("[P]roving a defendant guilty of aiding and abetting does not ordinarily require the government to establish participation in each ... element of the underlying offense"); United States v. Arias-Izquierdo, 449 F.3d 1168 , 1176 (C.A.11 2006) ("The government was not required to prove that [the defendant] participated in each element of the substantive offense in order to hold him liable as an aider and abettor"); United States v. Woods, 148 F.3d 843 , 850 (C.A.7 1998) ("[T]he government need not prove assistance related to every element of the underlying offense"). And so forth and so on.
Under that established approach, Rosemond's participation in the drug deal here satisfies the affirmative-act requirement for aiding and abetting a § 924(c) violation. As we have previously described, the commission of a drug trafficking (or violent) crime is-no less than the use of a firearm-an "essential conduct element of the § 924(c) offense." United States v. Rodriguez-Moreno, 526 U.S. 275 , 280, 119 S.Ct. 1239 , 143 L.Ed.2d 388 (1999) ; see supra, at 1245 - 1246. In enacting the statute, "Congress proscribed both the use of the firearm and the commission of acts that constitute" a drug trafficking crime. Rodriguez-Moreno, 526 U.S., at 281 , 119 S.Ct. 1239 . Rosemond therefore could assist in § 924(c)'s violation by facilitating either the drug transaction or the firearm use (or of course both). In helping to bring about one part of the offense (whether trafficking drugs or using a gun), he necessarily helped to complete the whole. And that ends the analysis as to his conduct. It is inconsequential, as courts applying both the common law and § 2 have held, that his acts did not advance
6 Consider a hypothetical similar to Johnson and Pereira (and a modern variant of the Wharton treatise's, see n. 4, supra ). Suppose that as part of a kidnapping scheme, one accomplice lures the victim into a car under false pretenses; another drives the vehicle; a third allows the use of her house to hold the victim captive; and still a fourth keeps watch outside to divert potential witnesses. None would have personally completed, or even assisted with, all elements of the offense. See, e.g., United States v. Cervantes-Blanco, 504 F.3d 576 , 580 (C.A.5 2007) (listing elements). But (if they had the requisite intent) all would be liable under § 2.
Rosemond argues, to the contrary, that the requisite act here "must be directed at the use of the firearm," because that element is § 924(c)'s most essential feature. Brief for Petitioner 33 (arguing that "it is the firearm crime" he was really charged with aiding and abetting, "not the drug trafficking crime"). But Rosemond can provide no authority for demanding that an affirmative act go toward an element considered peculiarly significant; rather, as just noted, courts have never thought relevant the importance of the aid rendered. See supra, at 1246 - 1247. And in any event, we reject Rosemond's premise that § 924(c) is somehow more about using guns than selling narcotics. It is true enough, as Rosemond says in support of that theory, that § 924(c)"establishes a separate, freestanding offense that is 'distinct from the underlying [drug trafficking
B
Begin with (or return to) some basics about aiding and abetting law's intent requirement, which no party here disputes. As previously explained, a person aids and abets a crime when (in addition to taking the requisite act) he intends to facilitate that offense's commission. See supra, at 1245 - 1246. An intent to advance some different or lesser offense is not, or at least not usually, sufficient: Instead, the intent must go to the specific and entire crime charged-so here, to the full scope (predicate crime plus gun use) of § 924(c). See, e.g., 2 LaFave § 13.2(c); W. Clark & W. Marshall, Law of Crimes, § 187, pp. 251-253 (2d ed. 1905); ALI, Model Penal Code § 2.06 Comment, p. 306 (1985).[8] And the canonical formulation of that needed state of mind-later appropriated by this Court and oft-quoted in both parties' briefs-is Judge Learned Hand's: To aid and abet a crime, a defendant must not just "in some sort associate himself with the venture," but also "participate in it as in something that he wishes to bring about" and "seek by his action to make it succeed." Nye & Nissen v. United States, 336 U.S. 613 , 619, 69 S.Ct. 766 , 93 L.Ed. 919 (1949)
7 Some authorities suggest an exception to the general rule when another crime is the "natural and probable consequence" of the crime the defendant intended to abet. See, e.g., 2 LaFave § 13.3(b), at 356 (citing cases); but see id., § 13.3 ("Under the better view, one is not an accomplice to a crime merely because ... that crime was a natural and probable consequence of another offense as to which he is an accomplice"). That question is not implicated here, because no one contends that a § 924(c) violation is a natural and probable consequence of simple drug trafficking. We therefore express no view on the issue.
We have previously found that intent requirement satisfied when a person actively participates in a criminal venture with full knowledge of the circumstances
For all that to be true, though, the § 924(c) defendant's knowledge of a firearm must be advance knowledge-or otherwise said, knowledge that enables him to make the relevant legal (and indeed, moral) choice. When an accomplice knows beforehand of a confederate's design to carry a gun, he can attempt to alter that plan or, if unsuccessful, withdraw from the enterprise; it is deciding instead to go ahead with his role in the venture that shows his intent to aid an armed offense. But when an accomplice knows nothing of a gun until it appears at the scene, he may already have completed his acts of assistance; or even if not, he may at that late point have no realistic opportunity to quit the crime. And when that is so, the defendant has not shown the requisite intent to assist a crime involving a gun. As even the Government concedes, an unarmed accomplice cannot aid and abet a § 924(c) violation unless he has "foreknowledge that his confederate will commit the offense with a firearm." Brief for United States 38; see also infra, at 1250 - 1252. For the reasons just given, we think that means knowledge at a time the accomplice
We think not. What matters for purposes of gauging intent, and so what jury instructions should convey, is that the defendant has chosen, with full knowledge, to participate in the illegal scheme-not that, if all had been left to him, he would have planned the identical crime. Consider a variant of Rosemond's example: The driver of a getaway car wants to help rob a convenience store (and argues passionately for that plan), but eventually accedes when his confederates decide instead to hold up a national bank. Whatever his original misgivings, he has the requisite intent to aid and abet bank robbery; after all, he put aside those doubts and knowingly took part in that more dangerous crime. The same is true of an accomplice who knowingly joins in an armed drug transaction-regardless whether he was formerly indifferent or even resistant to using firearms. The law does not, nor
A final, metaphorical way of making the point: By virtue of § 924(c), using a firearm at a drug deal ups the ante. A would-be accomplice might decide to play at those perilous stakes. Or he might grasp that the better course is to fold his hand. What he should not expect is the capacity to hedge his bets, joining in a dangerous criminal scheme but evading its penalties by leaving use of the gun to someone else. Aiding and abetting law prevents that outcome, so long as the player knew the heightened stakes when he decided to stay in the game.
The Government, for its part, thinks we take too strict a view of when a defendant charged with abetting a § 924(c) violation must acquire that knowledge. As noted above, the Government recognizes that the accused accomplice must have "foreknowledge" of a gun's presence. Brief for United States 38; see supra, at 1249 - 1250. But the Government views that standard as met whenever the accomplice, having learned of the firearm, continues any act of assisting the drug transaction. See Brief
III
Under these principles, the District Court erred in instructing the jury, because it did not explain that Rosemond needed advance knowledge of a firearm's presence. Recall
10 Contrary to the dissent's view, see post, at 1253 - 1255, nothing in this holding changes the way the defenses of duress and necessity operate. Neither does our decision remotely deny that the "intent to undertake some act is ... perfectly consistent with the motive of avoiding adverse consequences which would otherwise occur." Post, at 1255. Our holding is grounded in the distinctive intent standard for aiding and abetting someone else's act-in the words of Judge Hand, that a defendant must not just "in some sort associate himself with the venture" (as seems to be good enough for the dissent), but also "participate in it as in something that he wishes to bring about" and "seek by his action to make it succeed." Nye & Nissen v. United States, 336 U.S. 613 , 619, 69 S.Ct. 766 , 93 L.Ed. 919 (1949) (quoting Peoni, 100 F.2d, at 402 ). For the reasons just given, see supra, at 1249 - 1250, 1250 - 1251, we think that intent standard cannot be satisfied if a defendant charged with aiding and abetting a § 924(c) offense learns of a gun only after he can realistically walk away- i.e., when he has no opportunity to decide whether "he wishes to bring about" (or make succeed) an armed drug transaction, rather than a simple drug crime. And because a defendant's prior knowledge is part of the intent required to aid and abet a § 924(c) offense, the burden to prove it resides with the Government.
We send this case back to the Tenth Circuit to consider the appropriate consequence, if any, of the District Court's error. The Government makes two arguments relevant to that inquiry. First, it contends that Rosemond failed to object specifically to the part of the trial court's instructions we have found wanting; thus, the Government asserts, a plain-error standard should apply to his claim. See Fed. Rule Crim. Proc. 52(b) ; Johnson v. United States, 520 U.S. 461 , 465-467, 117 S.Ct. 1544 , 137 L.Ed.2d 718 (1997). Second, the Government argues that any error in the court's aiding and abetting instruction was harmless, because the jury must have found (based on another part of its verdict, not discussed here) that Rosemond himself fired the gun. Those claims were not raised or addressed below, and we see no special reason to decide them in the first instance. See Travelers Casualty & Surety Co. of America v. Pacific Gas & Elec. Co., 549 U.S. 443 , 455, 127 S.Ct. 1199 , 167 L.Ed.2d 178 (2007). Accordingly, we vacate the judgment below and remand the case for further proceedings consistent with this opinion.
It is so ordered.
Justice ALITO, with whom Justice THOMAS joins, concurring in part and dissenting in part.
Beginning on pages 1249 - 1250, however, the Court veers off in a new and, to my mind, most unfortunate direction. The Court imagines the following situation:
"[A]n accomplice agrees to participate in a drug sale on the express condition that no one brings a gun to the place of exchange. But just as the parties are making the trade, the accomplice notices that one of his confederates has a (poorly) concealed firearm in his jacket." Ante, at 1251.
If the accomplice, despite spotting the gun, continues to assist in the completion of the drug sale, has the accomplice aided and abetted the commission of a violation of § 924(c) ?
The Court's answer is "it depends." Walking away, the Court observes, "might increase the risk of gun violence-to the accomplice himself, other participants, or bystanders; and conversely, finishing the sale might be the best or only way to avoid the danger." Ante, at 1251. Moreover-and this is where the seriously misguided step occurs-the Court says that if the risk of walking away exceeds (by some unspecified degree) the risk created by completing the sale and if the alleged aider
That the Court has taken a radical step can be seen by comparing what the Court now holds with the traditional defense of necessity. That defense excuses a violation of law if "the harm which will result from compliance with the law is greater than that which will result from violation of it." 2 W. LaFave, Substantive Criminal Law § 10.1, p. 116 (2003) (hereinafter LaFave).[13] This is almost exactly the balance-of-risks calculus adopted by the Court, but under the traditional approach necessity is an affirmative defense. See, e.g., United States v. Bailey, 444 U.S. 394 , 416, 100 S.Ct. 624 , 62 L.Ed.2d 575 (1980). Necessity and the closely related defense of duress are affirmative defenses because they almost invariably do not negate the mens rea necessary to incur criminal liability. See 2 LaFave § 10.1(a), at 118 ("The rationale of the necessity defense is not that a person, when faced with the pressure of circumstances of nature, lacks the mental element which the crime in question requires"); id., § 9.7(a), at 73 (same for duress).
This Court has made clear that, except in narrow circumstances, necessity and duress do not negate the mens rea required for conviction. In Dixon v. United States, 548 U.S. 1 , 126 S.Ct. 2437 , 165 L.Ed.2d 299 (2006), the defendant was charged with "knowingly" and "willfully" committing certain criminal acts, but she claimed that she committed the acts only because her boyfriend had threatened to kill her or hurt her daughters if she did not do so. Id., at 4 , 126 S.Ct. 2437 . She contended that she could not "have
2 Traditionally, the defense of necessity was employed when natural forces created the situation justifying non-compliance; when the situation was the product of human action, duress was the appropriate defense. 2 LaFave § 10.1(a), at 116. But "[m]odern cases have tended to blur the distinction between" these two defenses, United States v. Bailey, 444 U.S. 394 , 410, 100 S.Ct. 624 , 62 L.Ed.2d 575 (1980), and "it would doubtless be possible to treat [duress] as a branch of the law of necessity," 2 LaFave § 10.1(b), at 121.
The Court justifies its holding on the ground that the mens rea standard articulated in Nye & Nissen also falls within an exception to the general rule that proof of necessity or duress does not negate mens rea . Ante, at 1251, n. 10. But the Court, having refrained on pages 1248 - 1249 of its opinion from deciding whether aiding and abetting requires purposeful, as opposed to knowing, conduct, quickly and without explanation jettisons the "knowing"
The Court confuses two fundamentally distinct concepts: intent and motive. It seems to assume that, if a defendant's motive in aiding a criminal venture is to avoid some greater evil, he does not have the intent that the venture succeed. But the intent to undertake some act is of course perfectly consistent with the motive of avoiding adverse consequences which would otherwise occur. We can all testify to this from our daily experience. People wake up, go to work, balance their checkbooks, shop for groceries-and yes, commit crimes-because they believe something bad will happen if they do not do these things, not because the deepest desire of their heart is to do them. A person may only go to work in the morning to keep his or her family from destitution; that does not mean he or she does not intend to put in a full day's work. In the same way, the fact that a defendant carries out a crime because he feels he must do so on pain of terrible consequences does not mean he does not intend to carry out the crime. When Jean Valjean stole a loaf of bread to feed his starving family, he certainly intended to commit theft; the fact that, had he been living in America today, he may have pleaded necessity as a defense does not change that fact. See V. Hugo, Les Misérables 54 (Fall River Press ed. 2012).
Common-law commentators recognized this elementary distinction between intent and motive. As Sir James FitzJames Stephen explains, if "A puts a loaded pistol to B's temple and shoots B through the head deliberately, .... [i]t is obvious that in every such case the intention of A must be to kill B." 2 A History of the Criminal Law of England 110-111 (1883). This fact "throws no light whatever on A's motives for killing B. They may have been infinitely various.... The motive may have been a desire for revenge, or a desire for plunder, or a wish on A's part to defend himself
Unsurprisingly, our cases have recognized that a lawful motive (such as necessity, duress, or self-defense) is consistent with the mens rea necessary to satisfy a requirement of intent. In Martin v. Ohio, 480 U.S. 228 , 107 S.Ct. 1098 , 94 L.Ed.2d 267 (1987), we considered whether due process permitted the State of Ohio to place the burden of proving self-defense on a defendant charged with aggravated murder.
That principle plays out in a wide variety of cases. United States v. Leal-Cruz, 431 F.3d 667 (C.A.9 2005), provides a good example. There, the Ninth Circuit had to decide whether a defendant could constitutionally be required to bear the burden of proving duress as a defense to conviction under 8 U.S.C. § 1326 for attempted illegal reentry into the United States. Leal-Cruz pleaded duress, testifying that he entered the United States only to escape the deadly threat posed by abusive Mexican police officers who were chasing him. 431 F.3d, at 669 . The Ninth Circuit had earlier held that the mens rea required for conviction for attempted illegal reentry was "purpose, i.e., conscious desire, to reenter the United States." Id., at 671 . The Court of Appeals nevertheless found that the Constitution permitted imposition of the burden of proving duress on Leal-Cruz, because proving duress did not require him to prove that he had not purposely entered the United States. As the Ninth Circuit explained, duress and the mens rea requirement of intent did not overlap because Leal-Cruz "had the 'conscious desire' to enter the country, even if the act of crossing the border was done to escape harm." Id., at 673 .
Thus, it seems inarguable to me that the existence of the purpose or intent to carry out a crime is perfectly compatible with facts giving rise to a necessity or duress defense. Once that proposition is established, the Court's error is readily apparent. The Court requires the Government to prove that a defendant in Rosemond's situation could have walked away without risking harm greater than he would cause by continuing with the crime-circumstances that traditionally would support a necessity or duress defense. It imposes this requirement on the Government despite the fact that such dangerous circumstances simply do not bear on whether the defendant intends the § 924(c) offense to succeed, as (on
The usual rule that a defendant bears the burden of proving affirmative defenses is justified by a compelling, commonsense intuition: "[W]here the facts with regard to an issue lie peculiarly in the knowledge of a party, that party is best situated to
The District Judge accordingly instructed the jury on aiding and abetting law. He first explained, in a way challenged by neither party, the rudiments of § 2. Under that statute, the judge stated, "[a] person who aids or abets another to commit an offense is just as guilty of that offense as if he committed it himself." App. 195. And in order to aid or abet, the defendant must "willfully and knowingly associate[ ] himself in some way with the crime, and ... seek[ ] by some act to help make the crime succeed." Id ., at 196. The
We granted certiorari, 569 U.S. ----, 133 S.Ct. 2734 , 186 L.Ed.2d 191 (2013), to resolve the Circuit conflict over what it takes to aid and abet a § 924(c) offense. Although we disagree with Rosemond's principal arguments, we find that the trial court erred in instructing the jury. We therefore vacate the judgment below.
The federal aiding and abetting statute, 18 U.S.C. § 2 , states that a person who furthers-more specifically, who "aids, abets, counsels, commands, induces or procures"-the commission of a federal offense "is punishable as a principal." That provision derives from (though simplifies) common-law standards for accomplice liability. See, e.g., Standefer v. United States, 447 U.S. 10 , 14-19, 100 S.Ct. 1999 , 64 L.Ed.2d 689 (1980) ; United States v. Peoni, 100 F.2d 401 , 402 (C.A.2 1938) (L. Hand, J.) ("The substance of [ § 2' s] formula goes back a long way"). And in so doing, § 2 reflects a centuries-old view of culpability: that a person may be responsible for a crime he has not personally carried out if he helps another to complete its commission. See J. Hawley & M. McGregor, Criminal Law 81 (1899).
The common law imposed aiding and abetting liability on a person (possessing the requisite intent) who facilitated any part-even though not every part-of a criminal venture. As a leading treatise, published around the time of § 2's enactment, put the point: Accomplice liability attached upon proof of " [a]ny participation in a general felonious plan" carried out by confederates. 1 F. Wharton, Criminal Law § 251, p. 322 (11th ed. 1912) (hereinafter Wharton) (emphasis added). Or in the words of another standard reference: If a person was "present abetting while any act necessary to constitute the offense [was] being performed through another," he could be charged as a principal-even "though [that act was] not the whole thing necessary ." 1 J. Bishop, Commentaries on the Criminal Law § 649, p. 392 (7th ed. 1882) (emphasis added). And so "[w]here several acts constitute[d] together one crime, if each [was] separately performed by a different individual[,] ... all [were] principals as to the whole." Id ., § 650, at 392.[5] Indeed, as yet a third
4 The Wharton treatise gave the following example of how multiple confederates could perform different roles in carrying out a crime. Assume, Wharton hypothesized, that several persons "act in concert to steal a man's goods." Wharton § 251, at 322. The victim is "induced by fraud to trust one of them[,] in the presence of [the] others[,] with the [goods'] possession." Ibid. Afterward, "another of the party entice[s] the owner away so that he who has the goods may carry them off." Id ., at 322-323. Wharton concludes: "[A]ll are guilty as principals." Id., at 323.
Rosemond's related argument that our approach would conflate two distinct offenses-allowing a conviction for abetting a § 924(c) violation whenever the prosecution shows that the defendant abetted the underlying drug trafficking crime-fares no better. See Brief for Petitioner 38. That is because, as we will describe, an aiding and abetting conviction requires not just an act facilitating one or another element
The same principle holds here: An active participant in a drug transaction has the intent needed to aid and abet a § 924(c) violation when he knows that one of his confederates will carry a gun. In such a case, the accomplice has decided to join in the criminal venture, and share in its benefits, with full awareness of its scope-that the plan calls not just for a
8 We did not deal in these cases, nor do we here, with defendants who incidentally facilitate a criminal venture rather than actively participate in it. A hypothetical case is the owner of a gun store who sells a firearm to a criminal, knowing but not caring how the gun will be used. We express no view about what sort of facts, if any, would suffice to show that such a third party has the intent necessary to be convicted of aiding and abetting.
9 Of course, if a defendant continues to participate in a crime after a gun was displayed or used by a confederate, the jury can permissibly infer from his failure to object or withdraw that he had such knowledge. In any criminal case, after all, the factfinder can draw inferences about a defendant's intent based on all the facts and circumstances of a crime's commission.
But that approach, we think, would diminish too far the requirement that a defendant in a § 924(c) prosecution must intend to further an armed drug deal. Assume, for example, that an accomplice agrees to participate in a drug sale on the express condition that no one brings a gun to the place of exchange. But just as the parties are making the trade, the accomplice notices that one of his confederates has a (poorly) concealed firearm in his jacket. The Government would convict the accomplice of aiding and abetting a § 924(c) offense if he assists in completing the deal without incident,
The Government contends that this problematic instruction looks more accurate when viewed in context. In particular, the Government points to the District Court's prefatory "umbrella instruction" that to aid or abet a crime, a defendant must "willfully and knowingly seek[ ] by some act to help make the crime succeed." App. 196; Brief for United States 49. That statement, the Government rightly notes, "mirrors" Judge Hand's classic formulation. Tr. of Oral Arg. 33; see supra, at 1248 - 1249. But the statement is also pitched at a high level of generality. Immediately afterward, the District
To explain my disagreement with the Court's analysis, I begin with our case law on the mens rea required to establish aiding and abetting. There is some tension in our cases on this point. Specifically, some of our cases suggest that an aider and abettor must act purposefully or with intent. Prominent among these cases is Nye & Nissen v. United States, 336 U.S. 613 , 69 S.Ct. 766 , 93 L.Ed. 919 (1949), which the Court quotes. See ante, at 1251, n. 10. In that case, the Court, quoting Judge Learned Hand's formulation in United States v. Peoni, 100 F.2d 401 (C.A.2 1938), said that an aider and abettor must " 'participate in [the crime] as in something that he wishes to bring about, [and] seek by his action to make it succeed.' " 336 U.S., at 619 , 69 S.Ct. 766 .
On the other hand, there are cases to which the Court also refers, ante, at 1249, that appear to hold that the requisite
1 I am also concerned that the Court's use, without clarification, of the phrase "advance knowledge" will lead readers astray. E.g., ante, at 1243. Viewed by itself, the phrase most naturally means knowledge acquired in advance of the commission of the drug trafficking offense, but this is not what the Court means. Rather, "advance knowledge," as used by the Court, may include knowledge acquired while the drug trafficking offense is in progress. Specifically, a defendant has such knowledge, the Court says, if he or she first learns of the gun while the drug offense is in progress and at that time "realistically could have opted out of the crime." Ante, at 1251.
What the Court has done is to convert what has up to now been an affirmative defense into a part of the required mens rea, and this step has very important conceptual and practical consequences. It fundamentally alters the prior understanding
But even accepting the Nye & Nissen standard as the exclusive means of proving the required mens rea, the Court's analysis is still quite wrong. Under the Nye & Nissen standard, the Government must simply prove that a defendant had as his conscious object that the hypothetical drug sale (which, as the defendant knew, included the carrying of a gun by one of the participants) go forward to completion. See Nye & Nissen, 336 U.S., at 619 , 69 S.Ct. 766 . Such intent is perfectly consistent with facts supporting a necessity or duress defense. A person can certainly intend the success of a criminal
The Court's rule breaks with the common-law tradition and our case law. It also makes no sense. I respectfully
Footnotes
- ** * Justice SCALIA joins all but footnotes 7 and 8 of this opinion.
Cases cited
- 695 F.3d 1151 695 F.3d 1151 p. 70
- 172 F.3d 1196 172 F.3d 1196 p. 70
- Central Bank of Denver, N. A. v. First Interstate Bank of Denver, N. A. 511 U.S. 164 p. 71
- Hicks v. United States 150 U.S. 442 p. 71
- Smith v. United States 508 U.S. 223 p. 71
- 812 F.2d 783 812 F.2d 783 at 515 p. 73, p. 74
- United States v. Johnson 63 S.Ct. 1233 at 518 p. 74, p. 1247
- Pereira v. United States 347 U.S. 1 at 12 p. 74, p. 85, p. 1249
- United States v. Rodriguez-Moreno 526 U.S. 275 at 281 p. 74
- Nye & Nissen v. United States 336 U.S. 613 at 619 p. 76, p. 78, p. 1253, p. 1255
- Johnson v. United States 520 U.S. 461 p. 83
- Travelers Casualty & Surety Co. of America v. Pacific Gas & Electric Co. 549 U.S. 443 p. 83
- Bozza v. United States 330 U.S. 160 p. 85, p. 1249
- United States v. Bailey 444 U.S. 394 p. 86
- Dixon v. United States 548 U.S. 1 at 9 p. 86, p. 87, p. 89, p. 1257
- Martin v. Ohio 480 U.S. 228 p. 89, p. 1256
- 431 F.3d 667 431 F.3d 667 at 671, at 673 p. 90
- 133 S.Ct. 2734 133 S.Ct. 2734 p. 1245
- Standefer v. United States 447 U.S. 10 p. 1245
- 100 F.2d 401 100 F.2d 401 p. 1245, p. 1253
- Reves v. Ernst 507 U.S. 170 p. 1247
- Simpson v. United States 435 U.S. 6 p. 1248
- Muscarello v. United States 524 U.S. 125 p. 1248
- 701 F.3d 883 701 F.3d 883 p. 1249
- 66 F.3d 1018 66 F.3d 1018 p. 1249
- 93 L.Ed. 919 93 L.Ed. 919 p. 1253
- Smith v. United States 133 S.Ct. 714 p. 1257