2 Legality 2 Legality

One of the most fundamental defenses to a criminal prosecution is that of nullum crimen sine lege, nulla poena sine lege (“no crime without law, no punishment without law”). In its simplest translation, this Latin maxim asserts the ex post facto prohibition: that conduct must be criminalized and penalties fixed in advance of any criminal prosecution. More broadly, the maxim is also invoked in connection with corollary legislative and interpretive principles compelling criminal statutes to be drafted with precision (the principle of specificity), to be strictly construed without extension by analogy, and to have ambiguities resolved in favor of the accused (the principle of lenity or in dubio pro reo). Together, these precepts undergird the principle of legality and serve several purposes: ensuring that individuals are capable of obtaining notice of prescribed conduct so they can rationally adjust their behavior to avoid sanction; protecting the citizenry from arbitrary or oppressive state action in the face of ambiguities or gaps in the law; and effectuating the expressive purposes of the law by clearly articulating conduct that is collectively condemned. The principle of nullum crimen sine lege (NCSL) writ large thus embodies “an essential element of the rule of law” by speaking to the very legitimacy of a legal rule, providing a check on the power of all branches of government over individuals, and policing the separation of powers by ensuring legislative primacy in substantive rulemaking. Indeed, Alexander Hamilton recognized violations of the principle as “the favorite and most formidable instruments of tyranny.”


Beth van Schaack, Crimen Sine Lege: Judicial Lawmaking at the Intersection of Law and Morals, 97 Geo. L.J. 119, 119-120 (2008).

2.1 Commonwealth v. Mochan 2.1 Commonwealth v. Mochan

177 Pa. Superior Ct. 454 (1955)

Commonwealth
v.
Mochan, Appellant.

Superior Court of Pennsylvania.

Argued November 8, 1954.
January 14, 1955.

 

[455] Before RHODES, P.J., HIRT, ROSS, GUNTHER, WRIGHT, WOODSIDE and ERVIN, JJ.

Edward A. Schultz, with him H. Turner Frost and Seif, Schultz & Frost, for appellant.

Albert A. Fiok, Assistant District Attorney, with him James F. Malone, Jr., District Attorney, for appellee.

OPINION BY HIRT, J., January 14, 1955:

One indictment (Bill 230), before us in the present appeals, charged that the defendant on May 4, 1953 "devising, contriving and intending the morals and [456] manners of the good citizens of this Commonwealth then and there being, to debauch and corrupt, and further devising and intending to harass, embarrass and villify divers citizens of this Commonwealth, and particularly one Louise Zivkovich and the members of the family of her the said Louise Zivkovich . . . unlawfully, wickedly and maliciously did then and there on the said days and dates aforesaid, make numerous telephone calls to the dwelling house of the said Louise Zivkovich at all times of the day and night, in which said telephone calls and conversations resulting therefrom the said Michael Mochan did wickedly and maliciously refer to the said Louise Zivkovich as a lewd, immoral and lascivious woman of an indecent and lewd character, and other scurrilous approbrious, filthy, disgusting and indecent language and talk and did then and there use in said telephone calls and conversations resulting therefrom, not only with the said Louise Zivkovich as aforesaid but with other members of the family of the said Louise Zivkovich then and there residing and then and there answering said telephone calls aforesaid intending as aforesaid to blacken the character and reputation of the said Louise Zivkovich and to infer that the said Louise Zivkovich was a woman of ill repute and ill fame, and intending as aforesaid to harass, embarrass and villify the said Louise Zivkovich and other members of her household as aforesaid, to the great damage, injury and oppression of the said Louise Zivkovich and other good citizens of this Commonwealth to the evil example of all other in like case offending, and against the peace and dignity of the Commonwealth of Pennsylvania." A second indictment (Bill 231), in the same language, charged a like offense committed by defendant on another date. Defendant was tried before a judge without a jury and was convicted on both charges and was [457] sentenced. He has appealed from the refusal by the court en banc of his motions in arrest of judgment, on the ground advanced by him that the conduct charged in the indictments, concededly not a criminal offense in this State by any statute, does not constitute a misdemeanor at common law. In a number of States and especially in the common law State of Pennsylvania the common law of England, as to crimes, is in force except in so far as it has been abrogated by statute. 11 Am. Jur., Common Law, § 4; 22 C.J.S., Criminal Law, § 19. The indictments in these cases by their language, clearly purported to charge a common law crime not included in our Penal Code or elsewhere in our statutory law.

It is established by the testimony that the defendant over a period of more than one month early in 1953, on numerous occasions and on the specific dates laid in the indictments, telephoned one Louise Zivkovich, a stranger to him and a married woman of the highest character and repute. He called as often as three times each week and at any hour of the day or night. His language on these calls was obscene, lewd and filthy. He not only suggested intercourse with her but talked of sodomy as well, in the loathsome language of that criminal act, on a number of occasions. The calls were coming in from a four-party line. Through cooperation with the telephone company, the defendant was finally located and was arrested by the police at the telephone after the completion of his last call. After his arrest bearing upon the question of his identification as the one who made the calls, Mrs. Zivkovich recognized his voice, in a telephone conversation with him which was set up by the police.

It is of little importance that there is no precedent in our reports which decides the precise question here involved. The test is not whether precedents can be [458] found in the books but whether the alleged crimes could have been prosecuted and the offenders punished under the common law. Commonwealth v. McHale, 97 Pa. 397, 408. In Commonwealth v. Miller, 94 Pa. Superior Ct. 499, 507, the controlling principles are thus stated: "The common law is sufficiently broad to punish as a misdemeanor, although there may be no exact precedent, any act which directly injures or tends to injure the public to such an extent as to require the state to interfere and punish the wrongdoer, as in the case of acts which injuriously affect public morality, or obstruct, or pervert public justice, or the administration of government: 16 Corpus Juris, Sec. 23, page 65, citing Republica v. Teischer, 1 Dallas 335; Com. v. Sharpless, 2 S. & R. 91, and Barker v. Com., 19 Pa. 412." Cf. Com. of Penna. v. DeGrange, 97 Pa. Superior Ct. 181, in which it is said: "`Whatever openly outrages decency and is injurious to public morals is a misdemeanor at common law': Russell on Crimes and Misdemeanors, 8th Ed., Vol. 1, p. 10; 4 Blackstone's Commentaries 65, note." Any act is indictable at common law which from its nature scandalously affects the morals or health of the community. 1 Wharton Criminal Law, 12 Ed., § 23. Thus in Barker et al. v. Commonwealth, 19 Pa. 412, a common law conviction based upon open obscenity was affirmed. Cf. Sadler, Criminal & Penal Proc., § 281. And in Commonwealth v. Glenny, 54 D. & C. 633, in a well considered opinion it was held that an indictment charging that the defendant took indecent liberties tending to debauch the morals of a male victim adequately set forth a common law offense. And as early as Updegraph v. Commonwealth, 11 S. & R. 393, it was held that Christianity is a part of the common law and maliciously to vilify the Christian religion is an indictable offense.

[459] To endeavor merely to persuade a married woman to commit adultery is not indictable. Smith v. Commonwealth, 54 Pa. 209. The present defendant's criminal intent was evidenced by a number of overt acts beyond the mere oral solicitation of adultery. The vile and disgusting suggestions of sodomy alone and the otherwise persistent lewd, immoral and filthy language used by the defendant, take these cases out of the principle of the Smith case. Moreover potentially at least, defendant's acts injuriously affected public morality. The operator or any one on defendant's four-party telephone line could have listened in on the conversations, and at least two other persons in Mrs. Zivkovich's household heard some of defendant's immoral and obscene language over the telephone.

The name "Immoral Practices and Conduct" was ascribed to the offense and was endorsed on the indictments by the District Attorney. Whether the endorsement appropriately or adequately names the offense is unimportant (Com. of Penna. v. DeGrange, supra, p. 185); the factual charges in the body of the indictments identify the offense as a common law misdemeanor and the testimony established the guilt of the defendant.

Judgments and sentences affirmed.

DISSENTING OPINION BY WOODSIDE, J.:

Not unmindful of the reprehensible conduct of the appellant, I nevertheless cannot agree with the majority that what he did was a crime punishable under the laws of this Commonwealth.

The majority is declaring something to be a crime which was never before known to be a crime in this Commonwealth. They have done this by the application [460] of such general principles as "it is a crime to do anything which injures or tends to injure the public to such an extent as to require the state to interfere and punish the wrongdoer;" and "whatever openly outrages decency and is injurious to public morals is a misdemeanor."

Not only have they declared it to be a crime to do an act "injuriously affecting public morality," but they have declared it to be a crime to do any act which has a "potentially" injurious effect on public morality.

Under the division of powers in our constitution it is for the legislature to determine what "injures or tends to injure the public."

One of the most important functions of a legislature is to determine what acts "require the state to interfere and punish the wrongdoer." There is no reason for the legislature to enact any criminal laws if the courts delegate to themselves the power to apply such general principles as are here applied to whatever conduct may seem to the courts to be injurious to the public.

There is no doubt that the common law is a part of the law of this Commonwealth, and we punish many acts under the common law. But after nearly two hundred years of constitutional government in which the legislature and not the courts have been charged by the people with the responsibility of deciding which acts do and which do not injure the public to the extent which requires punishment, it seems to me we are making an unwarranted invasion of the legislative field when we arrogate that responsibility to ourselves by declaring now, for the first time, that certain acts are a crime.

When the legislature invades either the judicial or the executive fields, or the executive invades either the judicial or legislative fields, the courts stand ready to [461] stop them. But in matters of this type there is nothing to prevent our invasion of the legislative field except our own self restraint. There are many examples of how carefully the courts, with admirable self restraint, have fenced themselves in so they would not romp through the fields of the other branches of government. This case is not such an example.

Until the legislature says that what the defendant did is a crime, I think the courts should not declare it to be such.

I would therefore reverse the lower court and discharge the appellant.

GUNTHER, J. joins in this dissent.

2.2 City of Chicago v. Morales 2.2 City of Chicago v. Morales

527 U.S. 41 (1999)

JUSTICE STEVENS announced the judgment of the Court and delivered the opinion of the Court with respect to Parts I, II, and V, and an opinion with respect to Parts III, IV, and VI, in which JUSTICE SOUTER and JUSTICE GINSBURG join.

In 1992, the Chicago City Council enacted the Gang Congregation Ordinance, which prohibits "criminal street gang  [*46]  members" from "loitering" with one another or with other persons in any public place. The question presented is whether the Supreme Court of Illinois correctly held that the ordinance violates the Due Process Clause of the Fourteenth Amendment to the Federal Constitution.

I

Before the ordinance was adopted, the city council's Committee on Police and Fire conducted hearings to explore the problems created by the city's street gangs, and more particularly, the consequences of public loitering by gang members. Witnesses included residents of the neighborhoods where gang members are most active, as well as some of the aldermen who represent those areas. Based on that evidence, the council made a series of findings that are included in the text of the ordinance and explain the reasons for its enactment.

The council found that a continuing increase in criminal street gang activity was largely responsible for the city's rising murder rate, as well as an escalation of violent and drug related crimes. It noted that in many neighborhoods throughout the city, "the burgeoning presence of street gang members in public places has intimidated many law abiding citizens." 177 Ill. 2d 440, 445, 687 N.E.2d 53, 58, 227 Ill. Dec. 130 (1997). Furthermore, the council stated that gang members "establish control over identifiable areas . . . by loitering in those areas and intimidating others from entering those areas; and . . . members of criminal street gangs avoid arrest by committing no offense punishable under existing laws when they know the police are present . . . ." Ibid. It further found that "loitering in public places by  [*47]  criminal street gang members creates a justifiable fear for the safety of persons and property in the area" and that "aggressive action is necessary to preserve the city's streets and other public places so that the public may use such places without fear." Moreover, the council concluded that the city "has an interest in discouraging all persons from loitering in public places [****12]  with criminal gang members." Ibid.

The ordinance creates a criminal offense punishable by a fine of up to $ 500, imprisonment for not more than six months, and a requirement to perform up to 120 hours of community service. Commission of the offense involves four predicates. First, the police officer must reasonably believe that at least one of the two or more persons present in a "public place" is a "criminal street gang member." Second, the persons must be "loitering," which the ordinance defines as "remaining in any one place with no apparent purpose." Third, the officer must then order "all" of the persons to disperse and remove themselves "from the area." Fourth, a person must disobey the officer's order. If any person, whether a gang member or not, disobeys the officer's order, that person is guilty of violating the ordinance. Ibid. [FN2]

Two months after the ordinance  [***75]  was adopted, the Chicago Police Department promulgated General Order 92-4 to provide guidelines to govern its enforcement. That order purported to establish limitations on the enforcement discretion of police officers "to ensure that the anti-gang loitering ordinance is not enforced in an arbitrary or discriminatory way." Chicago Police Department, General Order 92-4, reprinted in App. to Pet. for Cert. 65a. The limitations confine the authority to arrest gang members who violate the ordinance to sworn "members of the Gang Crime Section" and certain other designated officers, and establish detailed criteria for defining street gangs and membership in such gangs. Id. at 66a-67a. In addition, the order directs district commanders to "designate areas in which the presence of gang members has a demonstrable effect on the activities of law abiding persons in the surrounding community," and provides that the ordinance "will be enforced only within the designated areas." Id. at 68a-69a. The city, however, does not release the locations of these "designated areas" to the public.

II

During the three years of its enforcement, the police issued over 89,000 dispersal orders and arrested over 42,000 people for violating the ordinance. In the ensuing enforcement proceedings, two trial judges upheld the constitutionality of the ordinance, but eleven others ruled that it was invalid. In respondent Youkhana's case, the trial judge held that the "ordinance fails to notify individuals what conduct is prohibited, and it encourages arbitrary and capricious enforcement by police."

Illinois Appellate Court affirmed the trial court's ruling in the Youkhanacase, consolidated and affirmed other pending appeals in accordance with Youkhana, and reversed the convictions of respondents Gutierrez, Morales, and others. The Appellate Court was persuaded that the ordinance impaired the freedom of assembly of non-gang members in violation of the First Amendment to the Federal Constitution and Article I of the Illinois Consti- tution, that it was unconstitutionally vague, that it improperly criminalized status rather than conduct, and that it jeopardized rights guaranteed under the Fourth Amendment.

The Illinois Supreme Court affirmed. It held "that the gang loitering ordinance violates due process of law in that it is impermissibly vague on its face and an arbitrary restriction on personal liberties." 177 Ill. 2d at 447, 687 N.E.2d at 59. The court did not reach the contentions that the ordinance "creates a status offense, permits arrests without probable cause or is overbroad." Ibid.

In support of its vagueness holding,  [****17]  the court pointed out that the definition of "loitering" in the ordinance drew no distinction between innocent conduct and conduct calculated  [*51]   [***77]  to cause harm. "Moreover, the definition of 'loiter' provided by the ordinance does not assist in clearly articulating the proscriptions of the ordinance." 177 Ill. 2d at 451-452, 687 N.E.2d at 60-61. Furthermore, it concluded that the ordinance was "not reasonably susceptible to a limiting construction which would affirm its validity."

We granted certiorari, 523 U.S. (1998), and now affirm. Like the Illinois Supreme Court, we conclude that the ordinance enacted by the city of Chicago is unconstitutionally vague.

III

The factual predicate for the city's ordinance is not in dispute. As the city argues in its brief, "the very presence of a large collection of obviously brazen, insistent, and lawless gang members and hangers-on on the public ways intimidates residents, who become afraid even to leave their homes and go about their business. That, in turn, imperils community residents' sense of safety and security, detracts from property values, and can ultimately destabilize entire neighborhoods." The findings in the ordinance explain that it was motivated by these concerns. We have no doubt that a law that directly prohibited such intimidating conduct would be constitutional, but this ordinance broadly covers a significant amount of additional activity. Uncertainty about the scope of that additional coverage provides the basis for respondents' claim that the ordinance is too vague.

We are confronted at the outset with the city's claim that it was improper for the state courts to conclude that the ordinance is invalid on its face. The city correctly points out that imprecise laws can be attacked on their face under two different doctrines. 18Link to the text of the note First, the overbreadth doctrine permits the facial invalidation [****20]  of laws that inhibit the exercise  [***78]  of First Amendment rights if the impermissible applications of the law are substantial when "judged in relation to the statute's plainly legitimate sweep." Broadrick v. Oklahoma, 413 U.S. 601, 612-615, 37 L. Ed. 2d 830, 93 S. Ct. 2908 (1973). Second, even if an enactment does not reach a substantial amount of constitutionally protected conduct, it may be impermissibly vague because it fails to establish standards for the police and public that are sufficient to guard against the arbitrary deprivation of liberty interests. Kolender v. Lawson, 461 U.S. 352, 358, 75 L. Ed. 2d 903, 103 S. Ct. 1855 (1983).

While we, like the Illinois courts, conclude that the ordinance is invalid on its face, we do not rely on the overbreadth doctrine. We agree with the city's submission that the law does not have a sufficiently substantial impact on conduct  [*53]  protected by the First Amendment to render it unconstitutional. The ordinance does not prohibit speech. Because the term "loiter" is defined as remaining in one place [****21]  "with no apparent purpose," it is also clear that it does not prohibit any form of conduct that is apparently intended to convey a message. By its terms, the ordinance is inapplicable to assemblies that are designed to demonstrate a group's support of, or opposition to, a particular point of view. Cf. Clark v. Community for Creative Non-Violence, 468 U.S. 288, 82 L. Ed. 2d 221, 104 S. Ct. 3065 (1984); Gregory v. Chicago, 394 U.S. 111, 22 L. Ed. 2d 134, 89 S. Ct. 946 (1969). Its impact on the social contact between gang members and others does not impair the First Amendment "right of association" that our cases have recognized. See Dallas v. Stanglin, 490 U.S. 19, 23-25, 104 L. Ed. 2d 18, 109 S. Ct. 1591 (1989).

On the other hand, as the United States recognizes, freedom to loiter for innocent purposes is part of the "liberty" protected by the Due Process Clause of the Fourteenth Amendment. We have expressly identified this "right to remove from one place to another according to inclination" as "an attribute of personal liberty" protected by the Constitution. Williams v. Fears, 179 U.S. 270, 274, 45 L. Ed. 186, 21 S. Ct. 128 (1900); see also Papachristou v. Jacksonville, 405 U.S. 156, 164, 31 L. Ed. 2d 110, 92 S. Ct. 839 (1972). 20Link to the text of the note  [*54]  Indeed, it is apparent  [**1858]  that an individual's [***79]  decision to remain in [****22]  a public place of his choice is as much a part of his liberty as the freedom of movement inside frontiers that is "a part of our heritage" Kent v. Dulles, 357 U.S. 116, 126, 2 L. Ed. 2d 1204, 78 S. Ct. 1113 (1958), or the right to move "to whatsoever place one's own inclination may direct" identified in Blackstone's Commentaries. 1 W. Blackstone, Commentaries on the Laws of England 130 (1765). 21Link to the text of the note  [****23]   [****24] 

 [*55]  [****25]  There is no need, however, to decide whether the impact of the Chicago ordinance on constitutionally protected liberty alone would suffice to support a facial challenge under the overbreadth doctrine. Cf. Aptheker v. Secretary of State, 378 U.S. 500, 515-517, 12 L. Ed. 2d 992, 84 S. Ct. 1659 (1964) (right to travel); Planned Parenthood of Central Mo. v. Danforth, 428 U.S. 52, 82-83, 49 L. Ed. 2d 788, 96 S. Ct. 2831 (1976) (abortion); Kolender v. Lawson, 461 U.S. at 358-360, nn. 3, 9. For it is clear that the vagueness of this enactment makes a facial challenge appropriate. This is not an ordinance that "simply regulates business behavior and contains a scienter requirement." See Hoffman Estates v. Flipside, Hoffman Estates, Inc., 455 U.S. 489, 499, 71 L. Ed. 2d 362, 102 S. Ct. 1186 (1982). It is a criminal law that contains no mens rearequirement, see Colautti v. Franklin, 439 U.S. 379, 395, 58 L. Ed. 2d 596, 99 S. Ct. 675 (1979), and infringes on constitutionally protected rights, see id. at 391. When vagueness permeates the text of such a law, it is subject to facial attack.

Vagueness may invalidate a criminal law for either of two independent  [***80] reasons. First, it may fail to provide the kind of notice that will enable ordinary people to understand what conduct it prohibits; second, it may authorize and even encourage arbitrary and discriminatory enforcement. See Kolender v. Lawson, 461 U.S. at 357. Accordingly, we first consider whether the ordinance provides fair notice to the citizen and then discuss its potential for arbitrary enforcement.

IV

It is established that a law fails to meet the requirements of the Due Process Clause if it is so vague and standardless that it leaves the public uncertain as to the conduct it prohibits . . . ." Giaccio v. Pennsylvania, 382 U.S. 399, 402-403, 15 L. Ed. 2d 447, 86 S. Ct. 518 (1966). The Illinois Supreme Court recognized that the term "loiter" may have a common and accepted meaning, 177 Ill. 2d at 451, 687 N.E.2d at 61, but the definition of that term in this ordinance -- "to remain in any one place with no apparent purpose" -- does not. It is difficult to imagine how  [*57]  any citizen of the city of Chicago standing in a public place with a group of people would know if he or she had an "apparent purpose." If she were talking [****27]  to another person, would she have an apparent purpose? If she were frequently checking her watch and looking expectantly down the street, would she have an apparent purpose? 23Link to the text of the note

Since the city cannot conceivably have meant to criminalize each instance a citizen stands in public with a gang member, the vagueness that dooms this ordinance is not the product of uncertainty about the normal meaning of "loitering," but rather  [***81] about what loitering is covered by the ordinance and what is not. The Illinois Supreme Court emphasized the law's failure to distinguish between innocent conduct and conduct threatening [****28]  harm. 24Link to the text of the note Its decision followed the precedent set by a number of state courts that have upheld ordinances that criminalize loitering combined with some other overt act or evidence of criminal intent. 25Link to the text of the note  [**1860] However, state  [*58]  courts have uniformly invalidated laws that do not join the term "loitering" with a second specific element of the crime. 26Link to the text of the note  [****29] 

The city's principal response to this concern about adequate notice is that loiterers are not subject to sanction until after they have failed to comply with an officer's order to disperse. "Whatever problem is created by a law that criminalizes conduct people normally believe to be innocent is solved when persons receive actual notice from a police order of what they are expected to do." 27Link to the text of the note We find this response unpersuasive for at least two reasons.

First, the purpose of the fair notice requirement is to enable the ordinary citizen to conform his or her conduct to the law. "No one may be required at peril of life, liberty or property [****30]  to speculate as to the meaning of penal statutes." Lanzetta v. New Jersey, 306 U.S. 451, 453, 83 L. Ed. 888, 59 S. Ct. 618 (1939). Although it is true that a loiterer is not subject to criminal sanctions unless he or she disobeys a dispersal order, the loitering is the conduct that the ordinance is designed to prohibit. 28Link to the text of the note If the loitering is in fact harmless and innocent, the dispersal order itself is an unjustified impairment of liberty. If the police are able to decide arbitrarily which members of the public they will order to disperse, then the Chicago ordinance becomes indistinguishable from the law we held invalid in Shuttlesworth v. Birmingham,382 U.S. 87, 90, 15 L. Ed. 2d 176, 86 S. Ct.  [***82]  211  [*59]  (1965). 29Link to the text of the note Because an officer may issue an order only after prohibited conduct has already occurred, it cannot provide the kind of advance notice that will protect the putative loiterer from being ordered to disperse. Such an order cannot retroactively give adequate warning of the boundary between the permissible and the impermissible applications of the law.

 [****31]  Second, the terms of the dispersal order compound the inadequacy of the notice afforded by the ordinance. It provides that the officer "shall order all such persons to disperse and remove themselves from the area." App. to Pet. for Cert. 61a. This vague phrasing raises a host of questions. After such an order [****32]  issues, how long must the loiterers remain apart? How far must they move? If each loiterer walks around the block and they meet again at the same location, are they subject to arrest or merely to being ordered to disperse again? As we do here, we have found vagueness in a criminal statute exacerbated by the use of the standards of "neighborhood" and "locality." Connally v. General Constr. Co., 269 U.S. 385, 70 L. Ed. 322, 46 S. Ct. 126 (1926). We remarked in Connally that "both terms are elastic and, dependent upon circumstances, may be equally satisfied by areas measured by rods or by miles." Id. at 395.

Lack of clarity in the description of the loiterer's duty to obey a dispersal order might not render the ordinance  [**1861]  unconstitutionally  [*60]  vague if the definition of the forbidden conduct were clear, but it does buttress our conclusion that the entire ordinance fails to give the ordinary citizen adequate notice of what is forbidden and what is permitted. The Constitution does not permit a legislature to "set a net large enough to catch all possible offenders, and leave it to the courts to step inside and say who could be rightfully detained, and who should be set at large." United Statesv.  [****33]  Reese, 92 U.S. 214, 221, 23 L. Ed. 563 (1876). This ordinance is therefore vague "not in the sense that it requires a person to conform his conduct to an imprecise but comprehensible normative standard, but rather in the sense that no standard of conduct is specified at all." Coates v. Cincinnati, 402 U.S. 611, 614, 29 L. Ed. 2d 214, 91 S. Ct. 1686 (1971).

V

The broad sweep of the ordinance also violates "'the requirement that a legislature establish minimal guidelines to govern law enforcement.'" Kolender v. Lawson, 461 U.S. at 358. There are no such guidelines in the ordinance. In any public place in the city of Chicago, persons who stand or sit in the company of a gang member may be ordered to disperse unless their purpose is apparent. The mandatory language in the enactment directs the police to issue an order without first making any inquiry about their possible purposes. It matters not whether the reason that a gang member and his father, for example, might loiter near Wrigley Field is to rob an unsuspecting fan or just to get a glimpse of Sammy Sosa leaving the ballpark; in either event, if their purpose is not apparent to a nearby police officer, she may -- indeed, she "shall" -- order them to disperse.

Recognizing that the ordinance does reach a substantial amount of innocent conduct, we turn, then, to its language to determine if it "necessarily entrusts lawmaking to the moment-to-moment judgment of the policeman on his beat." Kolender v. Lawson, 461 U.S. at 359 (internal quotation marks omitted). As we discussed in the context of fair notice,  [*61]  see supra, at 12, the principal source of the vast discretion conferred on the police in this case is the definition of loitering as "to remain in any one place with no apparent purpose."

As the Illinois Supreme Court interprets that definition, it "provides absolute discretion to police officers to determine what activities constitute loitering." We have no authority to construe the language of a state statute more narrowly than the construction given by that State's highest court. 31Link to the text of the note "The power to determine the meaning of a statute carries with it the power to prescribe its extent and limitations as well as the method by which they shall be determined." Smiley v. Kansas, 196 U.S. 447, 455, 49 L. Ed. 546, 25 S. Ct. 289 (1905).

Nevertheless, the city disputes the Illinois Supreme Court's interpretation, arguing that the text of the ordinance limits the officer's discretion in three ways. First, it does not permit the officer to issue a dispersal order to anyone who is moving along or who has an apparent purpose. Second, it does not permit an arrest if individuals obey a dispersal order. Third, no order can issue unless the officer reasonably believes that one of the loiterers is a member of a criminal street gang.

Even putting to one side our duty to defer to a state court's construction of the scope of a local enactment, we find each of these limitations insufficient. That the ordinance does not apply to people who are moving -- that is, to activity that would not constitute loitering under any possible definition of the term -- does not even address the question of how much discretion the police enjoy in deciding which stationary persons  [*62]  to disperse under the ordinance. 32Link to the text of the noteSimilarly, that the  [**1862]  ordinance does not permit an arrest until after a dispersal order has been disobeyed does not provide any guidance to the officer deciding whether such an order should issue. The "no apparent purpose" standard for [****36] making that decision is inherently subjective because  [***84]  its application depends on whether some purpose is "apparent" to the officer on the scene.

Presumably, an officer would have discretion to treat some purposes -- perhaps a purpose to engage in idle conversation or simply to enjoy a cool breeze on a warm evening -- as too frivolous to be apparent if he suspected a different ulterior motive. Moreover, an officer conscious of the city council's reasons for enacting the ordinance might well ignore its text and issue a dispersal order, even though an illicit purpose is actually apparent.

It is true, as the city argues, that the requirement that the officer [****37]  reasonably believe that a group of loiterers contains a gang member does place a limit on the authority to order dispersal. That limitation would no doubt be sufficient if the ordinance only applied to loitering that had an apparently harmful purpose or effect, 33Link to the text of the note or possibly if it only applied to loitering by persons reasonably believed to be criminal gang members. But this ordinance, for reasons that are not explained in the findings of the city council, requires no harmful purpose and applies to non-gang members as well as suspected gang members. 34Link to the text of the note It applies to everyone in the city  [*63]  who may remain in one place with one suspected gang member as long as their purpose is not apparent to an officer observing them. Friends, relatives, teachers, counselors, or even total strangers might unwittingly engage in forbidden loitering if they happen to engage in idle conversation with a gang member.

Ironically, the definition of loitering in the Chicago ordinance not only extends its scope to encompass harmless conduct, but also has the perverse consequence of excluding from its coverage much of the intimidating conduct that motivated its enactment. As the city council's findings demonstrate, the most harmful gang loitering is motivated either by an apparent purpose to publicize the gang's dominance of certain territory, thereby intimidating nonmembers, or by an equally apparent purpose to conceal ongoing commerce in illegal drugs. As the Illinois Supreme Court has not placed any limiting construction on the language [****39]  in the ordinance, we must assume that the ordinance means what it says and that it has no application to loiterers whose purpose is apparent. The relative importance of its application to harmless loitering is magnified by its inapplicability to loitering that has an obviously threatening or illicit purpose.

Finally, in its opinion striking down the ordinance, the Illinois Supreme Court refused to accept the general order issued by the police department as a sufficient limitation on the "vast amount of discretion" granted to the police in its enforcement. We agree. See Smith v. Goguen, 415 U.S. 566, 575, 39 L. Ed. 2d 605, 94 S. Ct. 1242 (1974). That the police  [***85]  have adopted internal rules limiting their enforcement to certain designated areas in the city would not provide a defense to a loiterer who might be arrested elsewhere. Nor could a person who knowingly loitered with a well-known gang member anywhere in the city  [*64]  safely assume that they would not be ordered to disperse no matter how innocent and harmless their loitering might be.

VI

In our judgment, the Illinois Supreme Court correctly concluded that the ordinance does not provide sufficiently specific limits on the enforcement discretion of the police [****40]  "to meet constitutional standards for definiteness and clarity." 35Link to the text of the note 177 Ill. 2d at 459, 687 N.E.2d at 64. We recognize the serious and difficult problems testified to by the citizens of Chicago that led to the enactment of this ordinance. "We are mindful that the preservation of liberty depends in part on the maintenance of social order." Houston v. Hill, 482 U.S. 451, 471-472, 96 L. Ed. 2d 398, 107 S. Ct. 2502 (1987). However, in this instance the city has enacted an ordinance that affords too much discretion to the police and too little notice to citizens who wish to use the public streets.

Accordingly, the judgment of the Supreme Court of Illinois is affirmed.

FN2: The ordinance states in pertinent part: “(a) Whenever a police officer observes a person whom he reasonably believes to be a criminal street gang member loitering in any public place with one or more other persons, he shall order all such persons to disperse and remove themselves from the area. Any person who does not promptly obey such an order is in violation of this section. “ (b) It shall be an affirmative defense to an alleged violation of this section that no person who was observed loitering was in fact a member of a criminal street gang. “(c) As used in this section: “(1) ‘Loiter’ means to remain in any one place with no apparent purpose. “(2) ‘Criminal street gang’ means any ongoing organization, association in fact or group of three or more persons, whether formal or informal, having as one of its substantial activities the commission of one or more of the criminal acts enumerated in paragraph (3), and whose members individually or collectively engage in or have engaged in a pattern of criminal gang activity. . . . . . “(5) ‘Public place’ means the public way and any other location open to the public, whether publicly or privately owned. “(e) Any person who violates this Section is subject to a fine of not less than $100 and not more than $500 for each offense, or imprisonment for not more than six months, or both. “In addition to or instead of the above penalties, any person who violates this section may be required to perform up to 120 hours of community service pursuant to section 1—4—120 of this Code.” Chicago Municipal Code §8—4—015 (added June 17, 1992), reprinted in App. to Pet. for Cert. 61a—63a. 

2.3 Desertrain v. City of Los Angeles 2.3 Desertrain v. City of Los Angeles

Cheyenne DESERTRAIN; Steve Jacobs-Elstein; Bradford Eckhart; Patricia Warivonchik; Leroy Butler; William Cagle; Chris Taylor, Plaintiffs-Appellants, v. CITY OF LOS ANGELES, a municipal entity; Jon Peters; Randy Yoshioka; Jason Prince; Brianna Gonzales, Defendants-Appellees.

No. 11-56957.

United States Court of Appeals, Ninth Circuit.

Argued and Submitted Dec. 5, 2013.

Filed June 19, 2014.

*1148Carol A. Sobel (argued), Law Office of Carol A. Sobel, Santa Monica, California, for Plaintiffs-Appellants.

Blithe S. Bock (argued), Carmen A. Tru-tanich, Amy Jo Field, Lisa S. Berger, City Attorney’s Office, Los Angeles, California, for Defendants-Appellees.

Before: HARRY PREGERSON, MARSHA S. BERZON, and MORGAN CHRISTEN, Circuit Judges.

*1149OPINION

PREGERSON, Circuit Judge:

This 42 U.S.C. § 1983 case concerns the constitutionality of Los Angeles Municipal Code Section 85.02, which prohibits use of a vehicle “as living quarters either overnight, day-by-day, or otherwise.” Plaintiffs include four homeless individuals who parked their vehicles in the Venice area of Los Angeles and were cited and arrested for violating Section 85.02. Defendants are the City of Los Angeles and individual LAPD officers. Plaintiffs argue that Section 85.02 is unconstitutionally vague on its face because it provides insufficient notice of the conduct it penalizes and promotes arbitrary and discriminatory enforcement. We agree.

FACTUAL BACKGROUND

I. Section 85.02 and the Venice Homelessness Task Force

In 1983, the City of Los Angeles enacted Municipal Code Section 85.02:

USE OF STREETS AND PUBLIC PARKING LOTS FOR HABITATION.
No person shall use a vehicle parked or standing upon any City street, or upon any parking lot owned by the City of Los Angeles and under the control of the City of Los Angeles or under control of the Los Angeles County Department of Beaches and Harbors, as living quarters either overnight, day-by-day, or otherwise.

On September 23, 2010, Los Angeles officials held a “Town Hall on Homelessness” to address complaints of homeless individuals with vehicles living on local streets in Venice. Present at the meeting were a member of the City Council, the Chief of the LAPD, the Chief Deputy to the City Attorney, and the Assistant Director of the Los Angeles Bureau of Sanitation. City officials repeated throughout the meeting that their concern was not homelessness generally, but the illegal dumping of trash and human waste on city streets that was endangering public health. To address this concern, officials announced a renewed commitment to enforcing Section 85.02.

Within the week, the LAPD created the Venice Homelessness Task Force (the “Task Force”). The Task Force’s twenty-one officers were to use Section 85.02 to cite and arrest homeless people using their automobiles as “living quarters,” and were also to distribute to such people information concerning providers of shelter and other social services.

Defendant Captain Jon Peters ran the Task Force, which included Defendant Officers Randy Yoshioka, Jason Prince, and Brianna Gonzales. Task Force officers received informal, verbal training, as well as internal policy memoranda, on how to enforce Section 85.02. Supervisors instructed officers to look for vehicles containing possessions normally found in a home, such as food, bedding, clothing, medicine, and basic necessities. According to those instructions, an individual need not be sleeping or have slept in the vehicle to violate Section 85.02. Supervisors directed officers to issue a warning and to provide information concerning local shelters on the first instance of a violation, to issue a citation on the second instance, and to make an arrest on the third.

II. Enforcement of Section 85.02

Beginning in late 2010, the Task Force began enforcing Section 85.02 against homeless individuals. Four such homeless individuals are Plaintiffs in this case:1

*1150Plaintiff Steve Jaeobs-Elstein ran his own legal temp company for almost ten years before losing his business and his home in the economic downturn of 2007. He subsequently suffered severe anxiety and depression. He was able to keep his car, a small SUV, and pay for insurance, maintenance, and gas with the $200 he collects each month from General Relief. He kept his few possessions—mainly two computers and some clothes—in his car because he could not afford storage fees.

When Jaeobs-Elstein first became homeless, he slept in his car. In mid-2009, an LAPD officer approached Jaeobs-Elstein while parked on a city street, warning him that if he slept in his vehicle at night on public streets he would be arrested. At the time, Jaeobs-Elstein was unaware that such conduct was unlawful. He then looked up Section 85.02 on the Internet and, based on what he read and what the officer told him, understood Section 85.02 to mean that he could not sleep in his car on a public street in Los Ange-les. He began sleeping at motels and on other private property, and soon obtained permission from a Methodist Church in Venice to sleep in his car while it was parked in the church parking lot, provided he leave the lot by 8:00 a.m. each day. He also registered with the People Assisting The Homeless’s “Venice Vehicles to Homes” program, secured a spot on the housing wait lists maintained by the Department of Mental Health and the Los Angeles Housing Authority, and was approved for a Section 8 housing voucher through the Department of Housing and Urban Development.

On the morning of September 13, 2010, Jaeobs-Elstein was waiting in his car on a public street for the First Baptist Church of Venice to open so that he could volunteer to serve at the food distribution program, and also receive a meal. That morning, Defendant Officer Gonzales and her partner ordered Jaeobs-Elstein out of his car, searched his car, and cited him for violating Section 85.02. The officers provided him no shelter or social services information.

A few weeks later, Jaeobs-Elstein was again waiting in his car on a public street for First Baptist to open when Officer Gonzales banged on the driver’s side window and told Jaeobs-Elstein it was illegal to live in his vehicle. Two weeks later, Gonzales and her partner again spotted Jaeobs-Elstein, this time when he was parked legally in the First Baptist parking lot, and yelled at him from across the street that the next time they saw him they would take him to jail.

On the morning of October 31, 2010, Jaeobs-Elstein was exiting his car when Officer Gonzales and her partner detained, handcuffed, and arrested Jaeobs-Elstein for violating Section 85.02. The car contained personal belongings, such as boxes and computer equipment, as well as plastic bottles of urine. Jaeobs-Elstein was in custody for about seven hours before being released, after which he borrowed money to get his car out of impoundment. He had no criminal record before this arrest.

*1151On January 30, 2011, Defendant Officer Yoshioka and his partner cited Jacobs-Elstein again for violating Section 85.02, this time while Jacobs-Elstein was sitting in his car, talking on his cell phone. Jacobs-Elstein had dog food in the car. He told Officer Yoshioka the dog food was from a friend whose dog he would later take to the park. The car also contained salad boxes, water bottles, a portable radio, and bags of clothes. Jacobs-Elstein showed Officer Yoshioka proof that he resided on private property, and thus was not sleeping in his vehicle. Officer Yoshio-ka informed him that he need not sleep in his car to violate Section 85.02.

During this last incident, Officer Yoshio-ka’s partner gave Jacobs-Elstein a “Local Resources Information” pamphlet. This was the first time he was offered any such information. The flyer claimed to provide guidance on how to comply with Section 85.02. Yet Jacobs-Elstein soon discovered that this information was not helpful to him. It provided information only on RV parks, where Jacobs-Elstein could not park his car, and shelters, where he could not keep his belongings during the day.

Plaintiff Chris Taylor sells his artwork at a booth on Venice Beach, where he works every day. In October 2010, Officer Yoshioka issued a warning to Taylor for sleeping in his small two-door car through the night, in violation of Section 85.02. He then began sleeping on the sidewalk, which is legal. Starting December 1, 2010, Taylor began sleeping at Winter Shelter in Culver City. He rented a storage facility to get his excess property out of the ear, though he kept his sleeping bag with him in case he missed the bus to the shelter and had to sleep on the streets.

On the morning of December 18, 2010, Officer Yoshioka and his partner arrested Taylor for violating Section 85.02 and had his car impounded. At the time he was arrested, Taylor was sitting in his car to get out of the rain. The vehicle contained one tin of food, clothing, and a bottle of urine. Taylor informed the officers that he slept at Winter Shelter and not in his car, and that he had an identification card issued by Winter Shelter to prove it. He was arrested nonetheless.

Plaintiff Patricia Warivonchik has lived in Venice for thirty-four years. She is epileptic, and after suffering a significant head injury, is unable to work full time. Because she could no longer afford to pay rent in Venice, but did not want to leave the area, she began living in her RV. Since becoming homeless, Warivonchik has supported herself with part-time jobs and by selling ceramic artwork. She is also a member of a church in Santa Monica where she legally parks her RV at night.

On November 13, 2010, Warivonchik was driving her RV through Venice—taking her artwork to a local fair—when she was pulled over by Officer Yoshioka and his partner for failing to turn off her left blinker. She was not cited for the blinker, but was given a written warning for violating Section 85.02 and told that she would be arrested if ever seen again in Venice with her RV.

Plaintiff William Cagle has been a resident of Venice since 1979. He suffers from congestive heart failure, which causes fluid to build up in his legs, preventing him from walking even short distances. His sole source of income is Social Security, which is not enough to pay both for rent and for the medicine he needs that is not covered by his insurance. Cagle became homeless in 1993, but was able to keep his small van.

In the early mornings of October 17, 2010, and November 22, 2010, Officer Yo-shioka and his partner cited and arrested Cagle for violating Section 85.02. Among the items found in Cagle’s van were clothing, bedding, boxed food, bottles of medi*1152cine, and a portable radio. Cagle explained to the officers that he was not sleeping in his vehicle. Officer Yoshioka’s partner responded that sleeping is not the only criteria for violating Section 85.02.

PROCEDURAL HISTORY

I. The Complaint

In their First Amended Complaint, Plaintiffs challenged Section 85.02 under the Fourth, Fifth, and Fourteenth Amendments, various sections of the California Constitution, and several state and federal statutes. Although Plaintiffs alleged that enforcement of Section 85.02 “violates due process,” they did not specifically allege that the statute is unconstitutionally vague.

II. Discovery

The parties proceeded to discovery. Plaintiffs filed a discovery request for “[a]ny and all documents regarding the incident(s) described in the Complaint.” On August 22, 2011—eight days before the discovery cut-off date—Defendants filed their tenth response to Plaintiffs’ discovery request. In their response, Defendants for the first time produced copies of internal memoranda instructing officers on how to enforce Section 85.02.

In one memo from 2008, officers were told that any arrest “report must describe in detail observations ... that establish one of the following—(i) overnight occupancy for more than one night or (ii) day-by-day occupancy of three or more days.” The arrest reports for Plaintiffs Jacobs-Elstein, Taylor, and Cagle, however, contained no such observations. In another memo, from 2010, officers were told to “adhere to the ‘Four C’s’ philosophy: Commander’s Intent, Constitutional Policing, Community Perspective, and Compassion,” with no further details.

On August 26, 2011, Plaintiffs’ attorney deposed the Task Force’s lead officer, Defendant Captain Jon Peters. Plaintiffs’ attorney questioned Captain Peters extensively on whether the Task Force had been given any limiting instructions on how to enforce Section 85.02. Specifically, Plaintiffs’ attorney asked about the 2008 memo directing officers to make an arrest only after observing a suspect occupying a vehicle for more than one night or for three consecutive days, an instruction Defendant Officers had ignored. Captain Peters then stated that he disapproved of this memo because he felt it did not offer Task Force officers enough discretion, and had instead instructed officers to follow the broadly-worded' “Four C’s” policy. Plaintiffs’ attorney asked Captain Peters if he believed a person who slept at a shelter but was found in her vehicle during the day would be in violation of Section 85.02. Captain Peters responded, “I don’t believe that they would be violating the law, in my opinion.”

On August 30, 2011, Plaintiffs’ attorney deposed Defendant Officer Jason Prince. Again, Plaintiffs’ attorney repeatedly asked whether Task Force officers had been given any specific training or guidance on how to enforce Section 85.02, particularly if a suspect did not sleep in the vehicle at night. Officer Prince responded, “The totality of the circumstances is what brings us to the conclusion that they’re in violation of [Section] 85.02, not where they’re sleeping at nighttime.”

After those two depositions revealed conflicting views among the enforcing officers as to what Section 85.02 means, Plaintiffs’ attorney told Defense counsel that Plaintiffs would now be challenging the constitutionality of Section 85.02 on vagueness grounds. On September 13, 2013, Plaintiffs’ attorney emailed Defense counsel confirming that one of Plaintiffs’ “primary arguments [is] vagueness,” then mentioned three Supreme Court cases dis*1153cussing the void-for-vagueness doctrine: Papachristou v. City of Jacksonville, 405 U.S. 156, 92 S.Ct. 839, 31 L.Ed.2d 110 (1972), Kolender v. Lawson, 461 U.S. 352, 103 S.Ct. 1855, 75 L.Ed.2d 903 (1983), and City of Chicago v. Morales, 527 U.S. 41, 119 S.Ct. 1849, 144 L.Ed.2d 67 (1999).

III. Motions for Summary Judgment

On September 14, 2011, the parties filed cross-motions for summary judgment. In their motion, Plaintiffs argued that “ § 85.02 is unconstitutionally vague and criminalizes otherwise innocent behavior with insufficient notice as to what constitutes a violation of the law.... Section 85.02 is totally devoid of any standards or guidelines to limit police discretion in enforcing a vague law.”

On September 26, 2011, Plaintiffs filed their opposition to Defendants’ motion for summary judgment, again raising the argument that Section 85.02 is impermissibly vague.

That same day, Defendants filed their opposition to Plaintiffs’ motion for summary judgment. As to Plaintiffs’ vagueness challenge, Defendants first argued that “Plaintiffs’ allegations and theories of liability are confined to those found in the operative complaint,” and that Defendants were not on notice that vagueness would be at issue during summary judgment. Defendants went on, however, to defend Section 85.02 against Plaintiffs’ vagueness challenge, on the merits.

On October 3, 2011, Plaintiffs filed their reply in support of their motion for summary judgment. In it, Plaintiffs explained to the district court that it was not until eight days before the end of discovery that Defendants disclosed the LAPD’s internal memoranda describing the discretion officers had in enforcing Section 85.02. This was “significant since, when faced with a vagueness challenge to a municipal ordinance, courts are required to consider any possible limiting instructions.... ” Thus, “[Defendants can hardly complain when they only turned over key documents a week before the end of discovery.” Plaintiffs also informed the court that Plaintiffs’ attorney had told Defense counsel on August 30, 2011, that Plaintiffs would now be raising a vagueness challenge, and sent an email confirming this on September 13, 2011.

On October 28, 2011, the district court denied Plaintiffs’ motion for summary judgment and granted Defendants’ motion for summary judgment as to all claims. In a footnote, the district court held that because Plaintiffs failed to raise a vagueness challenge in their First Amended Complaint, “Defendants were not on notice that Plaintiffs would challenge the constitutionality of § 85.02 [on vagueness grounds] and such arguments are inappropriate.”

Plaintiffs timely appeal.2 We have jurisdiction under 28 U.S.C. § 1291.

STANDARD OF REVIEW

We review de novo a grant or denial of summary judgment “to determine whether, viewing the evidence in a light most favorable to the nonmoving party, there are any genuine issues of material fact and whether the district court applied the relevant substantive law.” Tzung v. State Farm Fire & Cas. Co., 873 F.2d 1338, 1339-40 (9th Cir.1989) (internal citation omitted).

*1154DISCUSSION

I. The district court abused its discretion by not addressing Plaintiffs’ vagueness claim on the merits.

The district court refused to consider the merits of Plaintiffs’ vagueness challenge because it was not expressly raised in their First Amended Complaint. That ruling was an abuse of discretion: Plaintiffs should have been granted leave to amend their First Amended Complaint to add their new claim.

Plaintiffs made their vagueness argument both in their motion for summary judgment and in their opposition to Defendants’ motion for summary judgment. Where plaintiffs “fail[] to raise [a claim] properly in their pleadings, ... [if] they raised it in their motion for summary judgment, they should [be] allowed to incorporate it by amendment under Fed.R.Civ.P. 15(b).” Jackson v. Hayakawa, 605 F.2d 1121, 1129 (9th Cir.1979). And “when issues are raised in opposition to a motion to summary judgment that are outside the scope of the complaint, ‘[t]he district court should have construed [the matter raised] as a request pursuant to rule 15(b) of the Federal Rules of Civil Procedure to amend the pleadings out of time.’ ” Apache Survival Coal. v. United States, 21 F.3d 895, 910 (9th Cir.1994) (quoting Johnson v. Mateer, 625 F.2d 240, 242 (9th Cir.1980)).

“[L]eave to amend ‘shall be freely given when justice so requires,’ Fed. R.Civ.P. 15(a), and this policy is to be applied with extreme liberality.” Morongo Band of Mission Indians v. Rose, 893 F.2d 1074, 1079 (9th Cir.1990). “Five factors are taken into account to assess the propriety of a motion for leave to amend: bad faith, undue delay, prejudice to the opposing party, futility of amendment, and whether the plaintiff has previously amended the complaint.” Johnson v. Buckley, 356 F.3d 1067, 1077 (9th Cir.2004). “The denial of a motion to amend a complaint is reviewed for abuse of discretion.” Id.

First, there is no evidence of bad faith. Second, there was no undue delay because Plaintiffs only fully understood Defendants’ enforcement policies late in the discovery period. Defendants made Plaintiffs aware of the LAPD’s 2008 and 2010 internal memoranda—describing the Task Force’s policy of enforcement—eight days before the discovery cut-off. As discussed in.Part II.B below, the vagueness analysis of a statute includes a review of any limiting interpretation adopted by the enforcement agency. These two memoranda alerted Plaintiffs that Task Force officers had either received ambiguous instructions, or had ignored the explicit directives they had been given. Once Plaintiffs received these key documents, they advanced their vagueness argument.

Third, there was no prejudice to Defendants. The district court found that Defendants were not on notice that Plaintiffs would raise a vagueness challenge at summary judgment. Yet the record shows otherwise. After finally receiving Defendants’ 2008 and 2010 internal memoranda, Plaintiffs’ attorney repeatedly asked Defendants during their depositions whether Task Force officers had any criteria to limit their enforcement of Section 85.02, especially when it came to suspects—like Plaintiffs—who did not spend the night in their vehicles. This questioning put Defendants on notice that Plaintiffs were concerned with the vagueness of Section 85.02 and the lack of limiting instructions provided by the LAPD.

Once Plaintiffs fully understood Defendants’ policy of enforcing Section 85.02, Plaintiffs confirmed that they sought to challenge Section 85.02 on vagueness grounds. Plaintiffs’ attorney told Defense counsel weeks before the parties filed *1155cross-motions for summary judgment that Plaintiffs would be raising a vagueness challenge, and repeated this statement by email the day before cross-motions for summary judgment were filed.

By the summary judgment stage, Defendants had ample notice of Plaintiffs’ vagueness challenge, and the issue did not require further discovery. Both parties fully argued the vagueness issue in their respective summary judgment briefings. Thus, any claim of surprise or prejudice by Defendants is unpersuasive. See Howey v. United States, 481 F.2d 1187, 1191 (9th Cir.1973) (finding no undue prejudice when defendant “was fully prepared to litigate” new issues raised in amended complaint).

Fourth, there is no showing that amendment would be futile. And fifth, Plaintiffs only amended their complaint once, long before they received Defendants’ internal memoranda.

The district court should have construed Plaintiffs’ vagueness argument at summary judgment as a motion to amend their First Amended Complaint. And given Defendants’ late disclosures and inability to make a credible claim of surprise or prejudice, the district court abused its discretion by not amending the First Amended Complaint to conform to the evidence and argument, and by not considering the vagueness claim on the merits.

II. Section 85.02 is unconstitutionally vague.

A statute fails under the Due Process Clause of the Fourteenth Amendment “if it is so vague and standardless that it leaves the public uncertain as to the conduct it prohibits.... ” Giaccio v. Pennsylvania, 382 U.S. 399, 402, 86 S.Ct. 518, 15 L.Ed.2d 447 (1966). A statute is vague on its face when “no standard of conduct is specified at all. As a result, men of common intelligence must necessarily guess at its meaning.” Coates v. City of Cincinnati 402 U.S. 611, 614, 91 S.Ct. 1686, 29 L.Ed.2d 214 (1971) (internal quotation marks omitted).

“Vagueness may invalidate a criminal law for either of two independent reasons. First, it may fail to provide the kind of notice that will enable ordinary people to understand what conduct it prohibits; second, it may authorize and even encourage arbitrary and discriminatory enforcement.” Morales, 527 U.S. at 56, 119 S.Ct. 1849 (citation omitted). Section 85.02 fails under both standards.

A. Section 85.02 fails to provide adequate notice of the conduct it criminalizes.

“[T]he purpose of the fair notice requirement is to enable the ordinary citizen to conform his or her conduct to the law.” Id. at 58, 119 S.Ct. 1849. A penal statute cannot require the public to speculate as to its meaning while risking life, liberty, and property in the process. See Lanzetta v. New Jersey, 306 U.S. 451, 453, 59 S.Ct. 618, 83 L.Ed. 888 (1939).

Section 85.02 offers no guidance as to what conduct it prohibits, inducing precisely this type of impermissible speculation and uncertainty. It states that no person shall use a vehicle “as living quarters either overnight, day-by-day, or otherwise.” Yet the statute does not define “living quarters,” or specify how long—or when— is “otherwise.” We know that under Defendants’ enforcement practices sleeping in a vehicle is not required to violate Section 85.02, as Jacobs-Elstein learned, nor is keeping a plethora of belongings required, as Taylor learned. But there is no way to know what is required to violate Section 85.02.

Instead, Plaintiffs are left guessing as to what behavior would subject them to citation and arrest by an officer. Is it impermissible to eat food in a vehicle? Is it *1156illegal to keep a sleeping bag? Canned food? Books? What about speaking on a cell phone? Or staying in the car to get out of the rain? These are all actions Plaintiffs were taking when arrested for violation of the ordinance, all of which are otherwise perfectly legal. And despite Plaintiffs’ repeated' attempts to comply with Section 85.02, there appears to be nothing they can do to avoid violating the statute short of discarding all of their possessions or their vehicles, or leaving Los Angeles entirely. All in all, this broad and cryptic statute criminalizes innocent behavior, making it impossible for citizens to know how to keep their conduct within the pale.

In this respect, Section 85.02 presents the same vagueness concerns as the anti-loitering ordinance held unconstitutional in Morales, 527 U.S. 41, 119 S.Ct. 1849. There, the Supreme Court found that a Chicago law prohibiting “loitering,” which it defined as “remainfing] in any one place with no apparent purpose,” lacked fair notice, as it was “difficult to imagine how any citizen ... standing in a public place with a group of people would know if he or she had an ‘apparent purpose.’ ” Id. at 56-57, 119 S.Ct. 1849.

So too here. It is difficult to imagine how anyone loading up his or her car with personal belongings, perhaps to go on a camping trip or to donate household wares to the Salvation Army, and parking briefly on a Los Angeles street, would know if he or she was violating the statute. What’s worse, even avoiding parking does not seem to be sufficient; Plaintiff Warivon-chik was not even parked—she was driving her RV through Venice when she was pulled over and issued a warning. So, under the Task Force’s expansive reading of this already amorphous statute, any vacationer who drives through Los Angeles in an RV may be violating Section 85.02. As “the [C]ity cannot conceivably have meant to criminalize each instance a citizen” uses a vehicle to store personal property, vagueness about what is covered and what is not “dooms this ordinance.” Id. at 57, 119 S.Ct. 1849.

Because Section 85.02 fails to draw a clear line between innocent and criminal conduct, it is void for vagueness.

B. Section 85.02 promotes arbitrary enforcement that targets the homeless.

A statute is also unconstitutionally vague if it encourages arbitrary or discriminatory enforcement. See Papachristou, 405 U.S. at 162, 92 S.Ct. 839. If a statute provides “no standards governing the exercise of ... discretion,” it becomes “a convenient tool for harsh and discriminatory enforcement by local prosecuting officials, against particular groups deemed to merit their displeasure.” Id. at 170, 92 S.Ct. 839 (internal quotation marks omitted).

Arbitrary and discriminatory enforcement is exactly what has occurred here. As noted, Section 85.02 is broad enough to cover any driver in Los Angeles who eats food or transports personal belongings in his or her vehicle. Yet it appears to be applied only to the homeless. The vagueness doctrine is designed specifically to prevent this type of selective enforcement, in which a “ ‘net [can] be cast at large, to enable men to be caught who are vaguely undesirable in the eyes of the police and prosecution, although not chargeable in any particular offense.’” Id. at 166, 92 S.Ct. 839 (quoting Winters v. New York, 333 U.S. 507, 540, 68 S.Ct. 665, 92 L.Ed. 840 (1948) (Frankfurter, J., dissenting)).

Section 85.02 raises the same concerns of discriminatory enforcement as the ordinance in Papachristou, 405 U.S. 156, 92 S.Ct. 839. There, the Supreme Court held that a city ordinance prohibiting “vagran*1157cy”—which was applied to “loitering,” “prowling,” and “nightwalking,” among other conduct—was unconstitutionally vague. Id. at 158, 163, 92 S.Ct. 839. The Court viewed the ordinance in its historical context as the descendant of English feudal poor laws designed to prevent the physical movement and economic ascension of the lower class. Id. at 161-62, 92 S.Ct. 839. In America, such laws had been used to “roundup ... so-called undesirea-bles,” and resulted “in a regime in which the poor and the unpopular [we]re permitted to stand on a public sidewalk ... only at the whim of any police officer.” Id. at 170, 171, 92 S.Ct. 839 (internal quotation marks omitted). The Court concluded that “the rule of law implies equality and justice in its application. Vagrancy laws ... teach that the scales of justice are so tipped that even-handed administration of the law is not possible. The rule of law, evenly applied to minorities as well as majorities, to the poor as well as the rich, is the great mucilage that holds society together.” Id. at 171, 92 S.Ct. 839.

The City argues that its enforcement goals were motivated by legitimate health and safety concerns. It notes that some of the plaintiffs were arrested while in cars with garbage, pets, and their personal belongings, and that it was unsafe for plaintiffs to occupy their cars under these circumstances. We do not question the legitimacy of these public health and safety issues, but the record plainly shows that some of the conduct plaintiffs were engaged in when arrested—eating, talking on the phone, or escaping the rain in their vehicles—mimics the everyday conduct of many Los Angeles residents. The health and safety concerns cited by the City do not excuse the basic infirmity of the ordinance: It is so vague that it fails to give notice of the conduct it actually prohibits. As shown by the City’s own documents, the different ways the ordinance was interpreted by members of the police department make it incompatible with the concept of an even-handed administration of the law to the poor and to the rich that is fundamental to a democratic society.

Defendants correctly note that they can bring clarity to an otherwise vague statute “through limiting constructions given ... by the ... enforcement agency.” Hess v. Bd. of Parole & Post-Prison Supervision, 514 F.3d 909, 914 (9th Cir.2008). Defendants point to their 2008 internal memorandum instructing officers making an arrest to first “establish one of the following—(i) overnight occupancy for more than one night or (ii) day-by-day occupancy of three or more days.” This memo is irrelevant. First, Defendant Captain Peters, who heads the Task Force, admitted that he disfavored these instructions, and instead advised his officers to adhere to the “Four C’s” philosophy, which gave Task Force officers no more guidance than the statute itself. Second, even if Task Force officers had been given the 2008 memo, they did not follow it. Officers did not observe Plaintiffs in their vehicles overnight or for three consecutive days before arresting them.

In sum, Section 85.02 has paved the way for law enforcement to target the homeless and is therefore unconstitutionally vague.

CONCLUSION

Section 85.02 provides inadequate notice of the unlawful conduct it proscribes, and opens the door to discriminatory enforcement against the homeless and.the poor. Accordingly, Section 85.02 violates the Due Process Clause of the Fourteenth Amendment as an unconstitutionally vague statute.

For many homeless persons, their automobile may be their last major possession—the means by which they can look for work and seek social services. The *1158City of Los Angeles has many options at its disposal to alleviate the plight and suffering of its homeless citizens. Selectively preventing the homeless and the poor from using their vehicles for activities many other citizens also conduct in their cars should not be one of those options.

REVERSED.

2.4 Muscarello v. United States 2.4 Muscarello v. United States

524 U.S. 125 (1998)

MUSCARELLO
v.
UNITED STATES

No. 96-1654.

United States Supreme Court.

Argued March 23, 1998.
Decided June 8, 1998.[1]

CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIFTH CIRCUIT

[126] Breyer, J., delivered the opinion of the Court, in which Stevens, O'Connor, Kennedy, and Thomas, JJ., joined. Ginsburg, J., filed a dissenting opinion, in which Rehnquist, C. J., and Scalia and Souter, JJ., joined, post, p. 139.

Robert H. Klonoff argued the cause for petitioner in No. 96-1654. With him on the briefs were Gregory A. Castanias, Paul R. Reichert, and Ron S. Macaluso. Norman S. Zalkind, by appointment of the Court, 522 U. S. 1074, argued the cause for petitioners in No. 96-8837. With him on the briefs were Elizabeth A. Lunt, David Duncan, and John H. Cunha, Jr., by appointment of the Court, 522 U. S. 1074.

James A. Feldman argued the cause for the United States in both cases. With him on the brief were Solicitor General Waxman, Acting Assistant Attorney General Keeney, and Deputy Solicitor General Dreeben.[2]

Justice Breyer, delivered the opinion of the Court.

A provision in the firearms chapter of the federal criminal code imposes a 5-year mandatory prison term upon a person who "uses or carries a firearm" "during and in relation to" a "drug trafficking crime." 18 U. S. C. § 924(c)(1). The question before us is whether the phrase "carries a firearm" is limited to the carrying of firearms on the person. We hold that it is not so limited. Rather, it also applies to a person [127] who knowingly possesses and conveys firearms in a vehicle, including in the locked glove compartment or trunk of a car, which the person accompanies.

I

The question arises in two cases, which we have consolidated for argument. Petitioner in the first case, Frank J. Muscarello, unlawfully sold marijuana, which he carried in his truck to the place of sale. Police officers found a handgun locked in the truck's glove compartment. During plea proceedings, Muscarello admitted that he had "carried" the gun "for protection in relation" to the drug offense, App. in No. 96-1654, p. 12, though he later claimed to the contrary, and added that, in any event, his "carr[ying]" of the gun in the glove compartment did not fall within the scope of the statutory word "carries." App. to Pet. for Cert. in No. 96-1654, p. 10a.

Petitioners in the second case, Donald Cleveland and Enrique Gray-Santana, placed several guns in a bag, put the bag in the trunk of a car, and then traveled by car to a proposed drug-sale point, where they intended to steal drugs from the sellers. Federal agents at the scene stopped them, searched the cars, found the guns and drugs, and arrested them.

In both cases the Courts of Appeals found that petitioners had "carrie[d]" the guns during and in relation to a drug trafficking offense. 106 F. 3d 636, 639 (CA5 1997); 106 F. 3d 1056, 1068 (CA1 1997). We granted certiorari to determine whether the fact that the guns were found in the locked glove compartment, or the trunk, of a car precludes application of § 924(c)(1). We conclude that it does not.

II

A

We begin with the statute's language. The parties vigorously contest the ordinary English meaning of the phrase [128] "carries a firearm." Because they essentially agree that Congress intended the phrase to convey its ordinary, and not some special legal, meaning, and because they argue the linguistic point at length, we too have looked into the matter in more than usual depth. Although the word "carry" has many different meanings, only two are relevant here. When one uses the word in the first, or primary, meaning, one can, as a matter of ordinary English, "carry firearms" in a wagon, car, truck, or other vehicle that one accompanies. When one uses the word in a different, rather special, way, to mean, for example, "bearing" or (in slang) "packing" (as in "packing a gun"), the matter is less clear. But, for reasons we shall set out below, we believe Congress intended to use the word in its primary sense and not in this latter, special way.

Consider first the word's primary meaning. The Oxford English Dictionary gives as its first definition "convey, originally by cart or wagon, hence in any vehicle, by ship, on horseback, etc." 2 Oxford English Dictionary 919 (2d ed. 1989); see also Webster's Third New International Dictionary 343 (1986) (first definition: "move while supporting (as in a vehicle or in one's hands or arms)"); Random House Dictionary of the English Language Unabridged 319 (2d ed. 1987) (first definition: "to take or support from one place to another; convey; transport").

The origin of the word "carries" explains why the first, or basic, meaning of the word "carry" includes conveyance in a vehicle. See Barnhart Dictionary of Etymology 146 (1988) (tracing the word from Latin "carum," which means "car" or "cart"); 2 Oxford English Dictionary, supra, at 919 (tracing the word from Old French "carier" and the late Latin "carricare," which meant to "convey in a car"); Oxford Dictionary of English Etymology 148 (C. Onions ed. 1966) (same); Barnhart Dictionary of Etymology, supra, at 143 (explaining that the term "car" has been used to refer to the automobile since 1896).

[129] The greatest of writers have used the word with this meaning. See, e. g., The King James Bible, 2 Kings 9:28 ("[H]is servants carried him in a chariot to Jerusalem"); id., Isaiah 30:6 ("[T]hey will carry their riches upon the shoulders of young asses"). Robinson Crusoe says, "[w]ith my boat, I carry'd away every Thing." D. Defoe, Robinson Crusoe 174 (J. Crowley ed. 1972). And the owners of Queequeg's ship, Melville writes, "had lent him a [wheelbarrow], in which to carry his heavy chest to his boarding-house." H. Melville, Moby Dick 43 (U. Chicago 1952). This Court, too, has spoken of the "carrying" of drugs in a car or in its "trunk." California v. Acevedo, 500 U. S. 565, 572-573 (1991); Florida v. Jimeno, 500 U. S. 248, 249 (1991).

These examples do not speak directly about carrying guns. But there is nothing linguistically special about the fact that weapons, rather than drugs, are being carried. Robinson Crusoe might have carried a gun in his boat; Queequeg might have borrowed a wheelbarrow in which to carry not a chest but a harpoon. And, to make certain that there is no special ordinary English restriction (unmentioned in dictionaries) upon the use of "carry" in respect to guns, we have surveyed modern press usage, albeit crudely, by searching computerized newspaper data bases—both the New York Times data base in Lexis/Nexis, and the "US News" data base in Westlaw. We looked for sentences in which the words "carry," "vehicle," and "weapon" (or variations thereof) all appear. We found thousands of such sentences, and random sampling suggests that many, perhaps more than one-third, are sentences used to convey the meaning at issue here, i. e., the carrying of guns in a car.

The New York Times, for example, writes about "an ex-con" who "arrives home driving a stolen car and carrying a load of handguns," Mar. 21, 1992, section 1, p. 18, col. 1, and an "official peace officer who carries a shotgun in his boat," June 19, 1988, section 12WC, p. 2, col. 1; cf. The New York [130] Times Manual of Style and Usage, a Desk Book of Guidelines for Writers and Editors, foreword (L. Jordan rev. ed. 1976) (restricting Times journalists and editors to the use of proper English). The Boston Globe refers to the arrest of a professional baseball player "for carrying a semiloaded automatic weapon in his car." Dec. 10, 1994, p. 75, col. 5. The Colorado Springs Gazette Telegraph speaks of one "Russell" who "carries a gun hidden in his car." May 2,1993, p. B1, col. 2. The Arkansas Gazette refers to a "house" that was "searched" in an effort to find "items that could be carried in a car, such as . . . guns."Mar. 10, 1991, p. A1, col. 2. The San Diego Union-Tribune asks, "What, do they carry guns aboard these boats now?" Feb. 18, 1992, p.D2, col. 5.

Now consider a different, somewhat special meaning of the word "carry"—a meaning upon which the linguistic arguments of petitioners and the dissent must rest. The Oxford English Dictionary's twenty-sixth definition of "carry" is "bear, wear, hold up, or sustain, as one moves about; habitually to bear about with one." 2 Oxford English Dictionary, at 921. Webster's defines "carry" as "to move while supporting," not just in a vehicle, but also "in one's hands or arms." Webster's Third New International Dictionary, supra, at 343. And Black's Law Dictionary defines the entire phrase "carry arms or weapons" as

"To wear, bear or carry them upon the person or in the clothing or in a pocket, for the purpose of use, or for the purpose of being armed and ready for offensive or defensive action in case of a conflict with another person." Black's Law Dictionary 214 (6th ed. 1990).

These special definitions, however, do not purport to limit the "carrying of arms" to the circumstances they describe. No one doubts that one who bears arms on his person "carries a weapon." But to say that is not to deny that one may also "carry a weapon" tied to the saddle of a horse or placed in a bag in a car.

[131] Nor is there any linguistic reason to think that Congress intended to limit the word "carries" in the statute to any of these special definitions. To the contrary, all these special definitions embody a form of an important, but secondary, meaning of "carry," a meaning that suggests support rather than movement or transportation, as when, for example, a column "carries" the weight of an arch. 2 Oxford English Dictionary, at 919, 921. In this sense a gangster might "carry" a gun (in colloquial language, he might "pack a gun") even though he does not move from his chair. It is difficult to believe, however, that Congress intended to limit the statutory word to this definition—imposing special punishment upon the comatose gangster while ignoring drug lords who drive to a sale carrying an arsenal of weapons in their van.

We recognize, as the dissent emphasizes, that the word "carry" has other meanings as well. But those other meanings (e. g., "carry all he knew," "carries no colours"), see post, at 143-144, are not relevant here. And the fact that speakers often do not add to the phrase "carry a gun" the words "in a car" is of no greater relevance here than the fact that millions of Americans did not see Muscarello carry a gun in his truck. The relevant linguistic facts are that the word "carry" in its ordinary sense includes carrying in a car and that the word, used in its ordinary sense, keeps the same meaning whether one carries a gun, a suitcase, or a banana.

Given the ordinary meaning of the word "carry," it is not surprising to find that the Federal Courts of Appeals have unanimously concluded that "carry" is not limited to the carrying of weapons directly on the person but can include their carriage in a car. United States v. Toms, 136 F. 3d 176, 181 (CADC 1998); United States v. Foster, 133 F. 3d 704, 708 (CA9 1998); United States v. Eyer, 113 F. 3d 470, 476 (CA3 1997); 106 F. 3d, at 1066 (case below); 106 F. 3d, at 639 (case below); United States v. Malcuit, 104 F. 3d 880, 885, rehearing en banc granted, 116 F. 3d 163 (CA6 1997); United States v. Mitchell, 104 F. 3d 649, 653-654 (CA4 1997); United [132] States v. Molina, 102 F. 3d 928, 932 (CA7 1996); United States v. Willis, 89 F. 3d 1371, 1379 (CA8 1996); United States v. Miller, 84 F. 3d 1244, 1259-1260 (1996), overruled on other grounds, United States v. Holland, 116 F. 3d 1353 (CA10 1997); United States v. Giraldo, 80 F. 3d 667, 676-677 (CA2 1996); United States v. Farris, 77 F. 3d 391, 395-396 (CA11 1996).

B

We now explore more deeply the purely legal question of whether Congress intended to use the word "carry" in its ordinary sense, or whether it intended to limit the scope of the phrase to instances in which a gun is carried "on the person." We conclude that neither the statute's basic purpose nor its legislative history support circumscribing the scope of the word "carry" by applying an "on the person" limitation.

This Court has described the statute's basic purpose broadly, as an effort to combat the "dangerous combination" of "drugs and guns." Smith v. United States, 508 U. S. 223, 240 (1993). And the provision's chief legislative sponsor has said that the provision seeks "to persuade the man who is tempted to commit a Federal felony to leave his gun at home." 114 Cong. Rec. 22231 (1968) (Rep. Poff); see Busic v. United States, 446 U. S. 398, 405 (1980) (describing Poff's comments as "crucial material" in interpreting the purpose of § 924(c)); Simpson v. United States, 435 U. S. 6, 13-14 (1978) (concluding that Poff's comments are "clearly probative" and "certainly entitled to weight"); see also 114 Cong. Rec. 22243-22244 (statutes would apply to "the man who goes out taking a gun to commit a crime") (Rep. Hunt); id., at 22244 ("Of course, what we are trying to do by these penalties is to persuade the criminal to leave his gun at home") (Rep. Randall); id. , at 22236 ("We are concerned . . . with having the criminal leave his gun at home") (Rep. Meskill).

From the perspective of any such purpose (persuading a criminal "to leave his gun at home"), what sense would it [133] make for this statute to penalize one who walks with a gun in a bag to the site of a drug sale, but to ignore a similar individual who, like defendant Gray-Santana, travels to a similar site with a similar gun in a similar bag, but instead of walking, drives there with the gun in his car? How persuasive is a punishment that is without effect until a drug dealer who has brought his gun to a sale (indeed has it available for use) actually takes it from the trunk (or unlocks the glove compartment) of his car? It is difficult to say that, considered as a class, those who prepare, say, to sell drugs by placing guns in their cars are less dangerous, or less deserving of punishment, than those who carry handguns on their person.

We have found no significant indication elsewhere in the legislative history of any more narrowly focused relevant purpose. We have found an instance in which a legislator referred to the statute as applicable when an individual "has a firearm on his person," ibid. (Rep. Meskill); an instance in which a legislator speaks of "a criminal who takes a gun in his hand," id. , at 22239 (Rep. Pucinski); and a reference in the Senate Report to a "gun carried in a pocket," S. Rep. No. 98-225, p. 314, n. 10 (1983); see also 114 Cong. Rec. 21788, 21789 (1968) (references to gun "carrying" without more). But in these instances no one purports to define the scope of the term "carries"; and the examples of guns carried on the person are not used to illustrate the reach of the term "carries" but to illustrate, or to criticize, a different aspect of the statute.

Regardless, in other instances, legislators suggest that the word "carries" has a broader scope. One legislator indicates that the statute responds in part to the concerns of law enforcement personnel, who had urged that "carrying short firearms in motor vehicles be classified as carrying such weapons concealed." Id., at 22242 (Rep. May). Another criticizes a version of the proposed statute by suggesting it might apply to drunken driving, and gives as an example a [134] drunken driver who has a "gun in his car." Id., at 21792 (Rep. Yates). Others describe the statute as criminalizing gun "possession"—a term that could stretch beyond both the "use" of a gun and the carrying of a gun on the person. See id., at 21793 (Rep. Casey); id., at 22236 (Rep. Meskill); id., at 30584 (Rep. Collier); id., at 30585 (Rep. Skubitz).

C

We are not convinced by petitioners' remaining arguments to the contrary. First, they say that our definition of "carry" makes it the equivalent of "transport." Yet, Congress elsewhere in related statutes used the word "transport" deliberately to signify a different, and broader, statutory coverage. The immediately preceding statutory subsection, for example, imposes a different set of penalties on one who, with an intent to commit a crime, "ships, transports, or receives a firearm" in interstate commerce. 18 U. S. C. § 924(b). Moreover, § 926A specifically "entitle[s]" a person "not otherwise prohibited . . . from transporting, shipping, or receiving a firearm" to "transport a firearm . . . from any place where he may lawfully possess and carry" it to "any other place" where he may do so. Why, petitioners ask, would Congress have used the word "transport," or used both "carry" and "transport" in the same provision, if it had intended to obliterate the distinction between the two?

The short answer is that our definition does not equate "carry" and "transport." "Carry" implies personal agency and some degree of possession, whereas "transport" does not have such a limited connotation and, in addition, implies the movement of goods in bulk over great distances. See Webster's Third New International Dictionary, at 343 (noting that "carry" means "moving to a location some distance away while supporting or maintaining off the ground" and "is a natural word to use in ref. to cargoes and loads on trucks, wagons, planes, ships, or even beasts of burden," while "transport refers to carriage in bulk or number over an appreciable [135] distance and, typically, by a customary or usual carrier agency"); see also Webster's Dictionary of Synonyms 141 (1942). If Smith, for example, calls a parcel delivery service, which sends a truck to Smith's house to pick up Smith's package and take it to Los Angeles, one might say that Smith has shipped the package and the parcel delivery service has transported the package. But only the truck driver has "carried" the package in the sense of "carry" that we believe Congress intended. Therefore, "transport" is a broader category that includes "carry" but also encompasses other activity.

The dissent refers to § 926A and to another statute where Congress used the word "transport" rather than "carry" to describe the movement of firearms. 18 U. S. C. § 925(a) (2)(B); post, at 146-147. According to the dissent, had Congress intended "carry" to have the meaning we give it, Congress would not have needed to use a different word in these provisions. But as we have discussed above, we believe the word "transport" is broader than the word "carry."

And, if Congress intended "carry" to have the limited definition the dissent contends, it would have been quite unnecessary to add the proviso in § 926A requiring a person, to be exempt from penalties, to store her firearm in a locked container not immediately accessible. See § 926A (quoted in full, post, at 146) (exempting from criminal penalties one who transports a firearm from a place where "he may lawfully possess and carry such firearm" but not exempting the "transportation" of a firearm if it is "readily accessible or is directly accessible from the passenger compartment of such transporting vehicle"). The statute simply could have said that such a person may not "carry" a firearm. But, of course, Congress did not say this because that is not what "carry" means.

As we interpret the statutory scheme, it makes sense. Congress has imposed a variable penalty with no mandatory minimum sentence upon a person who "transports" (or [136] "ships" or "receives") a firearm knowing it will be used to commit any "offense punishable by imprisonment for [more than] one year," § 924(b), and it has imposed a 5-year mandatory minimum sentence upon one who "carries" a firearm "during and in relation to" a "drug trafficking crime," § 924(c). The first subsection imposes a less strict sentencing regime upon one who, say, ships firearms by mail for use in a crime elsewhere; the latter subsection imposes a mandatory sentence upon one who, say, brings a weapon with him (on his person or in his car) to the site of a drug sale.

Second, petitioners point out that, in Bailey v. United States, 516 U. S. 137 (1995), we considered the related phrase "uses . . . a firearm" found in the same statutory provision now before us. See 18 U. S. C. § 924(c)(1) ("uses or carries a firearm"). We construed the term "use" narrowly, limiting its application to the "active employment" of a firearm. Bailey, 516 U. S., at 144. Petitioners argue that it would be anomalous to construe broadly the word "carries," its statutory next-door neighbor.

In Bailey, however, we limited "use" of a firearm to "active employment" in part because we assumed "that Congress. . . intended each term to have a particular, nonsuperfluous meaning." Id. , at 146. A broader interpretation of "use," we said, would have swallowed up the term "carry." Ibid. But "carry" as we interpret that word does not swallow up the term "use." "Use" retains the same independent meaning we found for it in Bailey, where we provided examples involving the displaying or the bartering of a gun. Ibid. "Carry" also retains an independent meaning, for, under Bailey, carrying a gun in a car does not necessarily involve the gun's "active employment." More importantly, having construed "use" narrowly in Bailey, we cannot also construe "carry" narrowly without undercutting the statute's basic objective. For the narrow interpretation would remove the act of carrying a gun in a car entirely from the statute's [137] reach, leaving a gap in coverage that we do not believe Congress intended.

Third, petitioners say that our reading of the statute would extend its coverage to passengers on buses, trains, or ships, who have placed a firearm, say, in checked luggage. To extend this statute so far, they argue, is unfair, going well beyond what Congress likely would have thought possible. They add that some lower courts, thinking approximately the same, have limited the scope of "carries" to instances where a gun in a car is immediately accessible, thereby most likely excluding from coverage a gun carried in a car's trunk or locked glove compartment. See, e. g. , Foster, 133 F. 3d, at 708 (concluding that person "carries" a firearm in a car only if the firearm is immediately accessible); Giraldo, 80 F. 3d, at 676 (same).

In our view, this argument does not take adequate account of other limiting words in the statute—words that make the statute applicable only where a defendant "carries" a gun both "during and in relation to" a drug crime. § 924(c)(1) (emphasis added). Congress added these words in part to prevent prosecution where guns "played" no part in the crime. See S. Rep. No. 98-225, at 314, n. 10; cf. United States v. Stewart, 779 F. 2d 538, 539 (CA9 1985) (Kennedy, J.) (observing that "`in relation to' " was "added to allay explicitly the concern that a person could be prosecuted . . . for committing an entirely unrelated crime while in possession of a firearm"), overruled in part on other grounds, United States v. Hernandez, 80 F. 3d 1253, 1257 (CA9 1996).

Once one takes account of the words "during" and "in relation to," it no longer seems beyond Congress' likely intent, or otherwise unfair, to interpret the statute as we have done. If one carries a gun in a car "during" and "in relation to" a drug sale, for example, the fact that the gun is carried in the car's trunk or locked glove compartment seems not only logically difficult to distinguish from the immediately accessible gun, but also beside the point.

[138] At the same time, the narrow interpretation creates its own anomalies. The statute, for example, defines "firearm" to include a "bomb," "grenade," "rocket having a propellant charge of more than four ounces," or "missile having an explosive or incendiary charge of more than one-quarter ounce," where such device is "explosive," "incendiary," or delivers "poison gas." 18 U. S. C. § 921(a)(4)(A). On petitioners' reading, the "carry" provision would not apply to instances where drug lords, engaged in a major transaction, took with them "firearms" such as these, which most likely could not be carried on the person.

Fourth, petitioners argue that we should construe the word "carry" to mean "immediately accessible." And, as we have said, they point out that several Courts of Appeals have limited the statute's scope in this way. See, e. g. , Foster, supra, at 708; Giraldo, supra, at 676. That interpretation, however, is difficult to square with the statute's language, for one "carries" a gun in the glove compartment whether or not that glove compartment is locked. Nothing in the statute's history suggests that Congress intended that limitation. And, for reasons pointed out above, see supra, at 137, we believe that the words "during" and "in relation to" will limit the statute's application to the harms that Congress foresaw.

Finally, petitioners and the dissent invoke the "rule of lenity." 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. Cf. Smith, 508 U. S., at 239 ("The mere possibility of articulating a narrower construction . . . does not by itself make the rule of lenity applicable"). "`The rule of lenity applies only if, "after seizing everything from which aid can be derived," . . . we can make "no more than a guess as to what Congress intended."` " United States v. Wells, 519 U. S. 482, 499 (1997) (quoting Reno v. Koray, 515 U. S. 50, 65 (1995), in turn quoting Smith, supra, at 239, and Ladner v. United States, 358 U. S. 169, 178 (1958)). To invoke the rule, we must conclude [139] that there is a "` "grievous ambiguity or uncertainty"` in the statute." Staples v. United States, 511 U. S. 600, 619, n. 17 (1994) (quoting Chapman v. United States, 500 U. S. 453, 463 (1991)). Certainly, our decision today is based on much more than a "guess as to what Congress intended," and there is no "grievous ambiguity" here. The problem of statutory interpretation in these cases is indeed no different from that in many of the criminal cases that confront us. Yet, this Court has never held that the rule of lenity automatically permits a defendant to win.

In sum, the "generally accepted contemporary meaning" of the word "carry" includes the carrying of a firearm in a vehicle. The purpose of this statute warrants its application in such circumstances. The limiting phrase "during and in relation to" should prevent misuse of the statute to penalize those whose conduct does not create the risks of harm at which the statute aims.

For these reasons, we conclude that petitioners' conduct falls within the scope of the phrase "carries a firearm." The judgments of the Courts of Appeals are affirmed.

It is so ordered.

Justice Ginsburg, with whom The Chief Justice, Justice Scalia, and Justice Souter join, dissenting.

Section 924(c)(1) of Title 18, United States Code, is a punishment-enhancing provision; it imposes a mandatory five-year prison term when the defendant "during and in relation to any crime of violence or drug trafficking .. . uses or carries a firearm." In Bailey v. United States, 516 U. S. 137 (1995), this Court held that the term "uses," in the context of § 924(c)(1), means "active employment" of the firearm. In today's cases we confront a related question: What does the term "carries" mean in the context of § 924(c)(1), the enhanced punishment prescription again at issue.

It is uncontested that § 924(c)(1) applies when the defendant bears a firearm, i. e., carries the weapon on or about his [140] person "for the purpose of being armed and ready for offensive or defensive action in case of a conflict." Black's Law Dictionary 214 (6th ed. 1990) (defining the phrase "carry arms or weapons"); see ante, at 130. The Court holds that, in addition, "carries a firearm," in the context of § 924(c)(1), means personally transporting, possessing, or keeping a firearm in a vehicle, anyplace in a vehicle.

Without doubt, "carries" is a word of many meanings, definable to mean or include carting about in a vehicle. But that encompassing definition is not a ubiquitously necessary one. Nor, in my judgment, is it a proper construction of "carries" as the term appears in § 924(c)(1). In line with Bailey and the principle of lenity the Court has long followed, I would confine "carries a firearm," for § 924(c)(1) purposes, to the undoubted meaning of that expression in the relevant context. I would read the words to indicate not merely keeping arms on one's premises or in one's vehicle, but bearing them in such manner as to be ready for use as a weapon.

I

A

I note first what is at stake for petitioners. The question before the Court "is not whether possession of a gun [on the drug offender's premises or in his car, during and in relation to commission of the offense,] means a longer sentence for a convicted drug dealer. It most certainly does. . . . Rather, the question concerns which sentencing statute governs the precise length of the extra term of punishment," § 924(c)(1)'s "blunt `mandatory minimum' " five-year sentence, or the more finely tuned "sentencing guideline statutes, under which extra punishment for drug-related gun possession varies with the seriousness of the drug crime." United States v. McFadden, 13 F. 3d 463, 466 (CA1 1994) (Breyer, C. J., dissenting).

Accordingly, there would be no "gap," see ante, at 137, no relevant conduct "ignore[d]," see ante, at 133, were the Court to reject the Government's broad reading of § 924(c)(1). To [141] be more specific, as cogently explained on another day by today's opinion writer:

"The special `mandatory minimum' sentencing statute says that anyone who `uses or carries' a gun `during and in relation to any . . . drug trafficking crime' must receive a mandatory five-year prison term added on to his drug crime sentence. 18 U. S. C. § 924(c). At the same time, the Sentencing Guidelines, promulgated under the authority of a different statute, 28 U. S. C. § 994, provide for a two-level (i. e., a 30% to 40%) sentence enhancement where a `firearm . . . was possessed' by a drug offender, U. S. S. G. § 2D1.1(b)(1), unless the possession clearly was not `connected with the [drug] offense.' " McFadden, 13 F. 3d, at 467 (Breyer, C. J., dissenting).

In Muscarello's case, for example, the underlying drug crimes involved the distribution of 3.6 kilograms of marijuana, and therefore carried a base offense level of 12. See United States Sentencing Commission, Guidelines Manual § 2D1.1(a)(3) (Nov. 1995). After adjusting for Muscarello's acceptance of responsibility, see id., § 3E1.1(a), his final offense level was 10, placing him in the 6-to-12 month sentencing range. See id., ch. 5, pt. A. The two-level enhancement for possessing a firearm, id., § 2D1.1(b)(1), would have increased his final offense level to 12 (a sentencing range of 10 to 16 months). In other words, the less rigid (tailored to "the seriousness of the drug crime," McFadden, 13 F. 3d, at 466) Guidelines regime would have added four months to Muscarello's prison time, in contrast to the five-year minimum addition the Court's reading of § 924(c)(1) mandates.[3]

[142] In sum, drug traffickers will receive significantly longer sentences if they are caught traveling in vehicles in which they have placed firearms. The question that divides the Court concerns the proper reference for enhancement in the cases at hand, the Guidelines or § 924(c)(1).

B

Unlike the Court, I do not think dictionaries,[4] surveys of press reports,[5] or the Bible[6] tell us, dispositively, what "carries" [143] means embedded in § 924(c)(1). On definitions, "carry" in legal formulations could mean, inter alia, transport, possess, have in stock, prolong (carry over), be infectious, or wear or bear on one's person.[7] At issue here is not "carries" at large but "carries a firearm." The Court's computer search of newspapers is revealing in this light. Carrying guns in a car showed up as the meaning "perhaps more than one-third" of the time. Ante, at 129. One is left to wonder what meaning showed up some two-thirds of the time. Surely a most familiar meaning is, as the Constitution's Second Amendment ("keep and bear Arms") (emphasis added) and Black's Law Dictionary, at 214, indicate: "wear, bear, or carry . . .upon the person or in the clothing or in a pocket, for the purpose .. . of being armed and ready for offensive or defensive action in a case of conflict with another person."

On lessons from literature, a scan of Bartlett's and other quotation collections shows how highly selective the Court's choices are. See ante, at 129. If "[t]he greatest of writers" have used "carry" to mean convey or transport in a vehicle, so have they used the hydra-headed word to mean, inter alia, carry in one's hand, arms, head, heart, or soul, sans vehicle. Consider, among countless examples:

"[H]e shall gather the lambs with his arm, and carry them in his bosom." The King James Bible, Isaiah 40:11.

"And still they gaz'd, and still the wonder grew,

[144] That one small head could carry all he knew." O. Goldsmith, The Deserted Village, ll. 215-216, in The Poetical Works of Oliver Goldsmith 30 (A. Dobson ed. 1949).

"There's a Legion that never was `listed, That carries no colours or crest." R. Kipling, The Lost Legion, st. 1, in Rudyard Kipling's Verse, 1885-1918, p. 222 (1920).

"There is a homely adage which runs, `Speak softly and carry a big stick; you will go far.' " T. Roosevelt, Speech at Minnesota State Fair, Sept. 2, 1901, in J. Bartlett, Familiar Quotations 575:16 (J. Kaplan ed. 1992).[8]

These and the Court's lexicological sources demonstrate vividly that "carry" is a word commonly used to convey various messages. Such references, given their variety, are not reliable indicators of what Congress meant, in § 924(c)(1), by "carries a firearm."

C

Noting the paradoxical statement, "`I use a gun to protect my house, but I've never had to use it,' " the Court in Bailey, 516 U. S., at 143, emphasized the importance of context— the statutory context. Just as "uses" was read to mean not simply "possession," but "active employment," so "carries," correspondingly, is properly read to signal the most dangerous [145] cases—the gun at hand, ready for use as a weapon.[9] It is reasonable to comprehend Congress as having provided mandatory minimums for the most life-jeopardizing gunconnection cases (guns in or at the defendant's hand when committing an offense), leaving other, less imminently threatening, situations for the more flexible Guidelines regime.[10] As the Ninth Circuit suggested, it is not apparent why possession of a gun in a drug dealer's moving vehicle would be thought more dangerous than gun possession on premises where drugs are sold: "A drug dealer who packs heat is more likely to hurt someone or provoke someone else to violence. A gun in a bag under a tarp in a truck bed [or in a bedroom closet] poses substantially less risk." United States v. Foster, 133 F. 3d 704, 707 (1998) (en banc).[11]

For indicators from Congress itself, it is appropriate to consider word usage in other provisions of Title 18's chapter on "Firearms." See Bailey, 516 U. S., at 143, 146 (interpreting § 924(c)(1) in light of 18 U. S. C. §§ 922(g), 922(j), 922(k), 922(o )(1), 924(d)(1), 930(a), 930(b)). The Court, however, [146] does not derive from the statutory complex at issue its thesis that "`[c]arry' implies personal agency and some degree of possession, whereas `transport' does not have such a limited connotation and, in addition, implies the movement of goods in bulk over great distances." Ante, at 134. Looking to provisions Congress enacted, one finds that the Legislature did not acknowledge or routinely adhere to the distinction the Court advances today; instead, Congress sometimes employed "transports" when, according to the Court, "carries" was the right word to use.

Section 925(a)(2)(B), for example, provides that no criminal sanction shall attend "the transportation of [a] firearm or ammunition carried out to enable a person, who lawfully received such firearm or ammunition from the Secretary of the Army, to engage in military training or in competitions." The full text of § 926A, rather than the truncated version the Court presents, see ibid., is also telling:

"Notwithstanding any other provision of any law or any rule or regulation of a State or any political subdivision thereof, any person who is not otherwise prohibited by this chapter from transporting, shipping, or receiving a firearm shall be entitled to transport a firearm for any lawful purpose from any place where he may lawfully possess and carry such firearm to any other place where he may lawfully possess and carry such firearm if, during such transportation the firearm is unloaded, and neither the firearm nor any ammunition being transported is readily accessible or is directly accessible from the passenger compartment of such transporting vehicle: Provided, That in the case of a vehicle without a compartment separate from the driver's compartment the firearm or ammunition shall be contained in a locked container other than the glove compartment or console."

In describing when and how a person may travel in a vehicle that contains his firearm without violating the law, [147] §§ 925(a)(2)(B) and 926A use "transport," not "carry," to "impl[y] personal agency and some degree of possession." Ibid.[12]

Reading "carries" in § 924(c)(1) to mean "on or about [one's] person" is fully compatible with these and other "Firearms" statutes.[13] For example, under § 925(a)(2)(B), one could carry his gun to a car, transport it to the shooting competition, and use it to shoot targets. Under the conditions of § 926A, one could transport her gun in a car, but under no circumstances could the gun be readily accessible while she travels in the car. "[C]ourts normally try to read language in different, but related, statutes, so as best to reconcile [148] those statutes, in light of their purposes and of common sense." McFadden, 13 F. 3d, at 467 (Breyer, C. J., dissenting). So reading the "Firearms" statutes, I would not extend the word "carries" in § 924(c)(1) to mean transports out of hand's reach in a vehicle.[14]

II

Section 924(c)(1), as the foregoing discussion details, is not decisively clear one way or another. The sharp division in the Court on the proper reading of the measure confirms, "[a]t the very least, . . . that the issue is subject to some doubt. Under these circumstances, we adhere to the familiar rule that, `where there is ambiguity in a criminal statute, doubts are resolved in favor of the defendant.' " Adamo Wrecking Co. v. United States, 434 U. S. 275, 284-285 (1978) (citation omitted); see United States v. Granderson, 511 U. S. 39, 54 (1994) ("[W]here text, structure, and history fail to establish that the Government's position is unambiguously correct—we apply the rule of lenity and resolve the ambiguity in [the defendant's] favor."). "Carry" bears many meanings, [149] as the Court and the "Firearms" statutes demonstrate.[15] The narrower "on or about [one's] person" interpretation is hardly implausible nor at odds with an accepted meaning of "carries a firearm."

Overlooking that there will be an enhanced sentence for the gun-possessing drug dealer in any event, see supra, at 140-142, the Court asks rhetorically: "How persuasive is a punishment that is without effect until a drug dealer who has brought his gun to a sale (indeed has it available for use) actually takes it from the trunk (or unlocks the glove compartment) of his car?" Ante, at 133. Correspondingly, the Court defines "carries a firearm" to cover "a person who knowingly possesses and conveys firearms [anyplace] in a vehicle . . . which the person accompanies." Ante, at 126-127. Congress, however, hardly lacks competence to select the words "possesses" or "conveys" when that is what the Legislature means.[16] Notably in view of the Legislature's capacity to speak plainly, and of overriding concern, the Court's inquiry [150] pays scant attention to a core reason for the rule of lenity: "[B]ecause of the seriousness of criminal penalties, and because criminal punishment usually represents the moral condemnation of the community, legislatures and not courts should define criminal activity. This policy embodies `the instinctive distaste against men languishing in prison unless the lawmaker has clearly said they should.' " United States v. Bass, 404 U. S. 336, 348 (1971) (quoting H. Friendly, Mr. Justice Frankfurter and the Reading of Statutes, in Benchmarks 196, 209 (1967)).

* * *

The narrower "on or about [one's] person" construction of "carries a firearm" is consistent with the Court's construction of "uses" in Bailey to entail an immediacy element. It respects the Guidelines system by resisting overbroad readings of statutes that deviate from that system. See McFadden, 13 F. 3d, at 468 (Breyer, C. J., dissenting). It fits plausibly with other provisions of the "Firearms" chapter, and it adheres to the principle that, given two readings of a penal provision, both consistent with the statutory text, we do not choose the harsher construction. The Court, in my view, should leave it to Congress to speak "`in language that is clear and definite' " if the Legislature wishes to impose the sterner penalty. Bass, 404 U. S., at 347 (quoting United States v. Universal C. I. T. Credit Corp., 344 U. S. 218, 222 (1952)). Accordingly, I would reverse the judgments of the First and Fifth Circuits.

[1] Together with No. 96-8837, Cleveland et al. v. United States, on certiorari to the United States Court of Appeals for the First Circuit.

[2] Daniel Kanstroom, David Porter, and Kyle O'Dowd filed a brief for the National Association of Criminal Defense Lawyers et al. as amici curiae urging reversal.

[3] The Sentencing Guidelines carry out "a major congressional effort to create a fairly sophisticated . . . system that distinguishes among different kinds of criminal behavior and punishes accordingly." United States v. McFadden, 13 F. 3d, at 467-468 (Breyer, C. J., dissenting). A "mandatory minimum" statute deviates from the general regime Congress installed. "Given the importance (to Congress) of the Guidelines system, . . . courts should take care not to interpret [with unnecessary breadth] . . . deviations from the basic congressionally-directed effort to rationalize sentencing." Id., at 468.

[4] I note, however, that the only legal dictionary the Court cites, Black's Law Dictionary, defines "carry arms or weapons" restrictively. See ante, at 130; supra, at 139-140.

[5] Many newspapers, the New York Times among them, have published stories using "transport," rather than "carry," to describe gun placements resembling petitioners'. See, e. g., Atlanta Constitution, Feb. 27, 1998, p. 9D, col. 2 ("House members last week expanded gun laws by allowing weapons to be carried into restaurants or transported anywhere in cars. "); Chicago Tribune, June 12, 1997, sports section, p. 13 ("Disabled hunters with permission to hunt from a standing vehicle would be able to transport a shotgun in an all-terrain vehicle as long as the gun is unloaded and the breech is open."); Colorado Springs Gazette Telegraph, Aug. 4, 1996, p. C10 (British gun laws require "locked steel cases bolted onto a car for transporting guns from home to shooting range. "); Detroit News, Oct. 26, 1997, p. D14 ("It is unlawful to carry afield or transport a rifle . . . or shotgun if you have buckshot, slug, ball loads, or cut shells in possession except while traveling directly to deer camp or target range with firearm not readily available to vehicle occupants."); N. Y. Times, July 4, 1993, p. A21, col. 2 ("[T]he gun is supposed to be transported unloaded, in a locked box in the trunk."); Santa Rosa Press Democrat, Sept. 28, 1996, p. B1 ("Police and volunteers ask that participants . . . transport [their guns] to the fairgrounds in the trunks of their cars."); Worcester Telegram & Gazette, July 16, 1996, p. B3 ("Only one gun can be turned in per person. Guns transported in a vehicle should be locked in the trunk.") (emphasis added in all quotations).

[6] The translator of the Good Book, it appears, bore responsibility for determining whether the servants of Ahaziah "carried" his corpse to Jerusalem. Compare ante, at 129, with, e. g., The New English Bible, 2 Kings 9:28 ("His servants conveyed his body to Jerusalem."); Saint Joseph Edition of the New American Bible ("His servants brought him in a chariot to Jerusalem."); Tanakh: The Holy Scriptures ("His servants conveyed him in a chariot to Jerusalem."); see also id., Isaiah 30:6 ("They convey their wealth on the backs of asses."); The New Jerusalem Bible ("[T]hey bear their riches on donkeys' backs.") (emphasis added in all quotations).

[7] The dictionary to which this Court referred in Bailey v. United States, 516 U. S. 137, 145 (1995), contains 32 discrete definitions of "carry," including "[t]o make good or valid," "to bear the aspect of," and even "[t]o bear (a hawk) on the fist." See Webster's New International Dictionary 412 (2d ed. 1949).

[8] Popular films and television productions provide corroborative illustrations. In "The Magnificent Seven," for example, O'Reilly (played by Charles Bronson) says: "You think I am brave because I carry a gun; well, your fathers are much braver because they carry responsibility, for you, your brothers, your sisters, and your mothers." See http://us.imdb.com/ M/search_quotes?for=carry. And in the television series "M*A*S*H," Hawkeye Pierce (played by Alan Alda) presciently proclaims: "I will not carry a gun. .. .I'llcarry your books, I'llcarry a torch, I'llcarry a tune, I'll carry on, carry over, carry forward, Cary Grant, cash and carry, carry me back to Old Virginia, I'lleven `hari-kari' if you show me how, but I will not carry a gun!" See http://www.geocities.com/Hollywood/8915/ mashquotes.html.

[9] In my view, the Government would carry its burden by proving a firearm was kept so close to the person as to approximate placement in a pocket or holster, e. g., guns carried at one's side in a briefcase or handbag, or strapped to the saddle of a horse. See ante, at 130.

[10] The Court reports that the Courts of Appeals "have unanimously concluded that `carry' is not limited to the carrying of weapons directly on the person." Ante, at 131. In Bailey, however, the Government's argument based on a similar observation did not carry the day. See Brief for United States in Bailey v. United States, O. T. 1995, Nos. 94-7448 and 94-7492, p. 16, n. 4. No Court of Appeals had previously adopted an "active employment" construction of "uses . . . a firearm" in § 924(c)(1), yet this Court did exactly that. See 516 U. S., at 144.

[11] The "Firearms" statutes indicate that Congress, unlike the Court, ante, at 132-133, recognizes that a gun in the hand is indeed more dangerous than a gun in the trunk. See, e. g., 18 U. S. C. § 926A (permitting the transportation of firearms in a vehicle, but only if "neither the firearm nor any ammunition being transported is readily accessible or is directly accessible from the passenger compartment of such transporting vehicle"); see infra, at 146-147.

[12] The Court asserts that "`transport' is a broader category that includes `carry' but also encompasses other activity." Ante, at 135. "Carry," however, is not merely a subset of "transport." A person seated at a desk with a gun in hand or pocket is carrying the gun, but is not transporting it. Yes, the words "carry" and "transport" often can be employed interchangeably, as can the words "carry" and "use." But in Bailey, this Court settled on constructions that gave "carry" and "use" independent meanings. See 516 U. S., at 145-146. Without doubt, Congress is alert to the discrete meanings of "transport" and "carry" in the context of vehicles, as the Legislature's placement of each word in § 926A illustrates. The narrower reading of "carry" preserves discrete meanings for the two words, while in the context of vehicles the Court's interpretation of "carry" is altogether synonymous with "transport." Tellingly, when referring to firearms traveling in vehicles, the "Firearms" statutes routinely use a form of "transport"; they never use a form of "carry."

[13] See infra, at 149, nn. 13, 14. The Government points to numerous federal statutes that authorize law enforcement officers to "carry firearms" and notes that, in those authorizing provisions, "carry" of course means "both on the person and in a vehicle." Brief for United States 31-32, and n. 18. Quite right. But as viewers of "Sesame Street" will quickly recognize, "one of these things [a statute authorizing conduct] is not like the other [a statute criminalizing conduct]." The authorizing statutes in question are properly accorded a construction compatible with the clear purpose of the legislation to aid federal law enforcers in the performance of their official duties. It is fundamental, however, that a penal statute is not to be construed generously in the Government's favor. See, e. g., United States v. Bass, 404 U. S. 336, 348 (1971).

[14] The Court places undue reliance on Representative Poff's statement that § 924(c)(1) seeks "`to persuade the man who is tempted to commit a Federal felony to leave his gun at home.' " Ante, at 132 (quoting 114 Cong. Rec. 22231 (1968)). As the Government argued in its brief to this Court in Bailey: "In making that statement, Representative Poff was not referring to the `carries' prong of the original Section 924(c). As originally enacted, the `carries' prong of the statute prohibited only the `unlawful' carrying of a firearm while committing an offense. The statute would thus not have applied to an individual who, for instance, had a permit for carrying a gun and carried it with him when committing an offense, and it would have had no force in `persuading' such an individual `to leave his gun at home.' Instead, Representative Poff was referring to the `uses' prong of the original Section 924(c)." Brief for United States in Bailey v. United States, O. T. 1995, Nos. 94-7448 and 94-7492, p. 28. Representative Poff's next sentence confirms that he was speaking of "uses," not "carries": "Any person should understand that if he uses his gun and is caught and convicted, he is going to jail." 114 Cong. Rec., at 22231 (emphasis added).

[15] Any doubt on that score is dispelled by examining the provisions in the "Firearms" chapter, in addition to § 924(c)(1), that include a form of the word "carry": 18 U. S. C. § 922(a)(5) ("carry out a bequest"); §§ 922(s)(6)(B)(ii), (iii) ("carry out this subsection"); § 922(u) ("carry away [a firearm]"); 18 U. S. C. § 924(a)(6)(B)(ii) (1994 ed., Supp. II) ("carry or otherwise possess or discharge or otherwise use [a] handgun"); 18 U. S. C. § 924(e)(2)(B) ("carrying of a firearm"); § 925(a)(2) ("carried out to enable a person"); § 926(a) ("carry out the provisions of this chapter"); § 926A ("lawfully possess and carry such firearm to any other place where he may lawfully possess and carry such firearm"); § 929(a)(1) ("uses or carries a firearm and is in possession of armor piercing ammunition"); § 930(d)(3) ("lawful carrying of firearms . . . in a Federal facility incident to hunting or other lawful purposes") (emphasis added in all quotations).

[16] See, e. g., 18 U. S. C. § 924(a)(6)(B)(ii) (1994 ed., Supp. II) ("if the person sold . . . a handgun . . . to a juvenile knowing . . . that the juvenile intended to carry or otherwise possess . . . the handgun . . . in the commission of a crime of violence"); 18 U. S. C. § 926A ("may lawfully possess and carry such firearm to any other place where he may lawfully possess and carry such firearm"); § 929(a)(1) ("uses or carries a firearm and is in possession of armor piercing ammunition"); § 2277 ("brings, carries, or possesses any dangerous weapon") (emphasis added in all quotations).

2.5 Notes and Questions for Muscarello v. United States 2.5 Notes and Questions for Muscarello v. United States

  1. What are the methods courts used to determine the meaning of statutory language in the preceding cases? Are they consistent? 
  2. If it is true that we not only argue about the meaning of statutory language, but about the methods by which we can determine the meaning of statutory language, then what does that do to our ideas about deterrence and notice? About the idea of statutory language serving as a limitation on governmental power?
  3. Which of the methods used in these cases do you find most persuasive—or does it depend on the case? On the facts?
  4. How do the methods used for statutory interpretation relate to the purposes of punishment? If our goal were to promote deterrence, would a dictionary definition be preferable to a definition from caselaw? Would your answer be the same if you wanted to promote the purpose of incapacitation? Of the condemnation by the community of certain actions?
  5. What is the proper unit of analysis for statutory interpretation, according to the majority in Muscarello? What about according to the dissent? Which do you find more persuasive—individual words or phrases?
  6. Should legislative intent govern our interpretation of statutes? Should it simply play a role? Do we adopt the intent of legislators when they pass statutory language? What if some legislators who vote in favor of a statute have a different interpretation than other supporters?
  7. Assume that there is a statute that criminalizes "any act which directly injures or tends to injure the public to such an extent as to require the state to interfere and punish the wrongdoer, as in the case of acts which injuriously affect public morality, or obstruct, or pervert public justice, or the administration of government." D is accused of making phone calls to V where D, using language that would be beeped on television, expresses interest in having sex with V. D and V do not know each other, and D's comments leave V flustered and disturbed. What arguments could D's attorney make about vagueness, and on what grounds? Would your analysis change if the above rule were derived from caselaw and not a statute? See case 2.1, Commonwealth v. Mochan, 177 Pa. Superior Ct. 454 (1955).
  8. Is public morality a clear concept? On what basis might it be unclear? Is it possible for us to agree what the words mean but not to agree on which actions might "injuriously affect" them? 
  9. Is there a difference between a statute that is vague on its face and one which is vague in application? Which kind of vagueness is exhibited in Morales? In Desertrain? Is there vagueness in Muscarello?
  10. What is the relationship between morality and criminality? Does everything wrong need to be criminalized? Is everything that is criminalized necessarily wrong?
  11. What do you make of the power of the principle of lenity? Based on these cases, is it likely to be dispositive in any individual case?
  12. Is the problem with “vague” statutes the fact that people can’t understand what is criminal, or that police have too much leeway in deciding which provisions of a statute to enforce and against whom?