basic elements of criminality

TABLE OF CONTENTS

Preface xxxiAcknowledgments xxxiii

PART I

BASIC ELEMENTS OF CRIMINALITY 1

CHAPTER 1

INTRODUCTION TO THE CRIMINAL PROCESS 3

A. Doctrine 3

1. Criminal Complaint and Investigation 3

2. Arrest 4

3. Indictment and Preliminary Hearings 5

4. Trial 5

5. Sentencing 6

6. Appeal 7

B. Application 7

1. The Presumption of Innocence 7

Owens v. State 7

Notes & Questions on the Presumption of Innocence 11

2. Jury Nullification 12

State v. Ragland 12

Notes & Questions on Jury Nullification 17

C. How to Read a Penal Statute 20

Material elements of the offense 20

Canons of interpretation 22

xiii

CHAPTER 2

PUNISHMENT 25

A. Doctrine 25

1. Deterrence, Incapacitation, and Rehabilitation 25

2. Retributivism or ‘‘Just Deserts’’ 26

3. Expressivism 27

B. Application 27

1. Deterrence 27

United States v. Brewer 27

Notes & Questions on Deterrence 31

2. Retributivism 35

United States v. Madoff 35

Notes & Questions on Retributivism 39

3. Shaming Penalties 41

United States v. Gementera 41

Notes & Questions on Shaming Penalties 49

C. Practice & Policy 50

Appealing to emotion 50

The guilt paradox 50

Victim impact statements 51

Sentencing guidelines 52

Consistency in punishment 53

International crimes 53

Consecutive versus concurrent sentences 54

CHAPTER 3

THE DEATH PENALTY 55

A. Doctrine 55

1. Who Can Be Executed 55

2. Which Crimes Apply 56

3. Racial Disparities 56

4. Methods of Execution 56

B. Application 57

1. Mental Disability 57

Atkins v. Virginia 57

2. The Juvenile Death Penalty 61

Roper v. Simmons 62

Notes & Questions on Atkins and Roper 66

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3. Capital Punishment for Rape 67

Kennedy v. Louisiana 67

Notes & Questions on Offense Restrictions 73

4. Racial Disparities 74

McCleskey v. Kemp 75

5. Methods of Execution 79

Glossip v. Gross 79

Notes & Questions on Execution Methods 84


Bargaining in the shadow of death 86

Return to guided discretion 87

Strategy in bifurcated trials 88

Ariel Castro case redux 88

CHAPTER 4

FUNDAMENTAL PRINCIPLES OF CRIMINAL LAW 89

A. Doctrine 89

1. The Written Statute Requirement 90

2. Retroactivity 90

3. Interpreting Statutes and the Common Law 90

4. Vagueness 91

5. The Rule of Lenity 91

B. Application 92

1. The Written Statute Requirement 92

Street v. State 92

Notes & Questions on Written Statutes 95

2. Retroactivity 96

Rogers v. Tennessee 96

Notes & Questions on Retroactivity 101

3. Statutory Construction and the Common Law 102

Lewis v. Superior Court 102

Notes & Questions on Statutory Construction 106

4. Vagueness 107

City of Chicago v. Morales 107

Notes & Questions on Vagueness 112

5. The Rule of Lenity 113

Bell v. United States 114

Notes & Questions on Lenity 115

Table of Contents xv


Disorderly conduct 117

Endangering the welfare of a child 117

CHAPTER 5

ACT REQUIREMENT 119

A. Doctrine 119

1. Voluntary Acts 119

2. Omissions 120

3. Bystanders 121

B. Application 121

1. Voluntary Acts 121

State v. Utter 122

Notes & Questions on Voluntariness 124

2. Omissions 128

Commonwealth v. Pestinikas 128

Notes & Questions on Omissions 131

3. Bystanders 134

State v. Davis 134

Notes & Questions on Bystander Liability 136


The omission strategy 139

Sleepwalking redux 140

CHAPTER 6

MENTAL STATES 141

A. Doctrine 141

1. Malice 142

2. Acting Purposely 143

3. Acting Knowingly 144

4. Recklessness and Negligence 145

5. Strict Liability Offenses 146

B. Application 146

1. Malice 146

Young v. State 146

Notes & Questions on Malice 150

2. Acting Purposely 150

United States v. Bailey 150

Notes & Questions on Purpose and Intent 155

3. Knowledge and the Problem of ‘‘Willful Blindness’’ 156

United States v. Jewell 157

Notes & Questions on Willful Blindness 162

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4. Recklessness Versus Negligence 163

State v. Olsen 163

Notes & Questions on Recklessness and Negligence 166

5. Strict Liability 168

Staples v. United States 168

Questions on Strict Liability 175


Prosecutorial strategy 177

Strategic charging 178

Mental states as sorting mechanisms 178

Mental states in foreign jurisdictions 179

CHAPTER 7

MISTAKES 181

A. Doctrine 181

1. Mistakes of Fact 181

2. Mistakes of Law 182

B. Application 183

1. Mistakes of Fact 183

People v. Navarro 183

State v. Sexton 185

Notes & Questions on Mistakes of Fact 192

2. Mistakes of Law 194

People v. Weiss 195

People v. Marrero 198

Notes & Questions on Mistakes of Law 203


The dangers of relying on mistake arguments 206

Charging a jury on mistakes 206

Reasonableness redux 207

CHAPTER 8

CAUSATION 209

A. Doctrine 209

1. Cause in Fact 209

2. Proximate Cause 210

B. Application 211

1. Cause in Fact 211

Oxendine v. State 211

People v. Jennings 215

Notes & Questions on But-For Causation 219

Table of Contents xvii

2. Proximate Cause 221

State v. Smith 221

Notes & Questions on Proximate Cause 226


Establishing causation at trial 230

Arguing proximate cause to a jury 231

The Model Penal Code approach 232

PART II

OFFENSES 233

CHAPTER 9

INTENTIONAL MURDER 235

A. Doctrine 235

1. Express Malice Murder 235

2. First-Degree or Aggravated Murder 236

3. Defining Premeditation and Deliberation 237

B. Application 238

1. Express Malice Murder 238

Taylor v. State 238

Notes & Questions on Malice 239

2. Premeditation 240

State v. Guthrie 240

Notes & Questions on Premeditation and Deliberation 244

3. Instantaneous Premeditation 246

Commonwealth v. Carroll 246

Notes & Questions on Instantaneous Premeditation 249


Proving premeditation 250

Hierarchy of blameworthiness 251

CHAPTER 10

VOLUNTARY MANSLAUGHTER 253

A. Doctrine 253

1. Provocation 253

2. Extreme Emotional Disturbance 254

B. Application 255

1. Provocation 255

Girouard v. State 255

State v. Castagna 260

Notes & Questions on Provocation 264

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2. Extreme Emotional Disturbance 267

State v. White 267

Notes & Questions on Extreme Emotional Disturbance 274


Provocation as partial justification 276

Provocation as partial excuse 276

Arguing provocation to the jury 277

Domestic violence and adultery 277

Abolishing provocation 278

CHAPTER 11

RECKLESS KILLINGS 279

A. Doctrine 279

1. Involuntary Manslaughter 279

2. Implied Malice and Extreme Indifference Murder 280

3. Misdemeanor Manslaughter Rule 281

B. Application 281

1. Involuntary Manslaughter 281

People v. Kolzow 281

Notes & Questions on Involuntary Manslaughter 285

2. Implied Malice and Extreme Indifference Murder 287

People v. Knoller 287

People v. Snyder 291

Notes on Implied Malice and Depraved Indifference 295

3. Misdemeanor Manslaughter Rule 297

State v. Biechele 297

Notes & Questions on Misdemeanor Manslaughter 302


Murder and mens rea 304

Murder and sentencing 304

Compromise verdicts 304

New York courts respond 305

CHAPTER 12

FELONY MURDER 307

A. Doctrine 307

1. Independent Felony or ‘‘Merger’’ Limitation 308

2. Inherently Dangerous Felony Limitation 309

3. In Furtherance of the Felony Limitation 309

B. Application 310

1. Independent Felony or ‘‘Merger’’ Limitation 310

People v. Sarun Chun 310

Notes & Questions on the Merger Limitation 314

Table of Contents xix

2. Inherently Dangerous Felony Limitation 315

People v. Howard 315

State v. Stewart 319

Notes & Questions on Inherent Dangerousness 322

3. In Furtherance of the Felony Limitation 324

People v. Hernandez 324

State v. Sophophone 329

Notes & Questions on ‘‘In Furtherance’’ 331


The Model Penal Code approach 334

Felony murder in the United States 335

Normative foundation 335

CHAPTER 13

NEGLIGENT HOMICIDE 339

A. Doctrine 339

1. Ordinary Negligence 339

2. Gross Negligence 340

B. Application 340

1. Ordinary Negligence 340

People v. Traughber 341

Notes & Questions on Ordinary Negligence 345

2. Gross Negligence 346

State v. Small 346

Notes & Questions on Gross Negligence 350


Model Penal Code approach 353

The in-between standard 354

Subjective or objective 354

Criminal prosecutions for medical negligence 355

CHAPTER 14

RAPE 357

A. Doctrine 357

1. Force 358

2. Threats of Force 359

3. Consent 359

4. Rape by Fraud 360

5. Statutory Rape and Lack of Capacity 360

B. Application 361

1. Force 361

State v. Jones 361

xx Table of Contents

Notes & Questions on Force 368

2. Threats of Force 369

Rusk v. State, 43 Md. App. 476 (1979) 370

Rusk v. State, 289 Md. 230 (1981) 374

Notes & Questions on Threats of Force 375

3. Consent 376

Commonwealth v. Lopez 376

People v. Newton 381

Notes & Questions on Consent 383

4. Rape by Fraud 385

Boro v. Superior Court 386

Notes & Questions on Fraud 388

5. Statutory Rape and Legal Barriers to Consent 390

State v. Hirschfelder 391

Notes & Questions on Barriers to Consent 393


Affirmative consent 396

Campus judicial codes 398

The Model Penal Code responds 398

Prosecutorial strategy 399

CHAPTER 15

OTHER OFFENSES AGAINST THE PERSON 401

A. Introduction 401

1. Physical Battery 402

2. Assault 403

3. Kidnapping 403

B. Application 404

1. Physical Battery 404

People v. Peck 405

Notes & Questions on Physical Battery 406

2. Assault 408

State v. Birthmark 408

State v. Boodoosingh 410

Notes & Questions on Assault 412

3. Kidnapping 414

Goolsby v. State 414

Notes & Questions on Kidnapping 418


Anti-stalking statutes 419

Reasonable apprehension and vagueness 420

Custodial interference 421

Table of Contents xxi

CHAPTER 16

THEFT 423

A. Introduction 423

1. Unlawful Taking 425

2. Fraud, Extortion, Blackmail, and Embezzlement 425

3. Property 426

4. Intent to Deprive 426

5. Robbery 427

B. Application 427

1. Unlawful Taking 427

State v. Carswell 428

Notes & Questions on Takings 430

2. Fraud, Extortion, Blackmail, and Embezzlement 432

United States v. Villalobos 432

Notes & Questions on Fraud and Extortion 436

3. Property 438

Penley v. Commonwealth 438

Notes & Questions on Property 440

4. Intent to Deprive Permanently 441

Marsh v. Commonwealth 441

Notes & Questions on Intent to Deprive 444


Securities fraud 446

Insider trading 447

PART III

INCHOATE OFFENSES 449

CHAPTER 17

ATTEMPT 451

A. Doctrine 451

1. Specific Intent or Purpose 451

2. Distinguishing Attempts from Mere Preparation 452

3. Impossibility 453

4. Abandonment 454

B. Application 454


People v. Gentry 454

Notes & Questions on Specific Intent and Purpose 458

2. Distinguishing Attempts from Mere Preparation 461

People v. Rizzo 461

xxii Table of Contents

Notes & Questions on Dangerous Proximity 463

State v. Reeves 464

Notes & Questions on Substantial Step 470

3. Impossibility 471

People v. Dlugash 472

State v. Smith 475

Notes & Questions on Impossibility 476

4. Abandonment 478

Ross v. Mississippi 479

Notes & Questions on Abandonment 481


Punishing attempts: why and how much 484

Assault and battery 485

CHAPTER 18

INCHOATE CONSPIRACY 487

A. Doctrine 487

1. Agreement to Commit Unlawful Act 487


3. The Overt Act Requirement 488

4. Renunciation 489

5. Merger 490

B. Application 490

1. Agreement to Commit Unlawful Act 490

State v. Pacheco 490

Notes & Questions on Conspiratorial Agreements 495


United States v. Valle 496

Notes & Questions on Specific Intent and Purpose 500

3. Overt Act in Furtherance of the Conspiracy 501

United States v. Shabani 502

United States v. Abu Ghayth 503

Notes & Questions on Overt Acts 505

4. Renunciation 507

Commonwealth v. Nee 507

Notes & Questions on Renunciation 511


Common law origins 512

Conspiracy and international law 512

Distinguishing inchoate conspiracy from attempt 514

Table of Contents xxiii

CHAPTER 19

SOLICITATION 515

A. Doctrine 515

1. Distinguishing Solicitation from Conspiracy 516

2. Distinguishing Solicitation from Attempts 516

3. Merger and Renunciation 517

B. Application 517

1. Distinguishing Solicitation from Conspiracy 517

People v. Breton 518

Notes & Questions on Solicitation Versus Conspiracy 521

2. Distinguishing Solicitation from Attempts 524

People v. Superior Court (Decker) 524

Notes & Questions on Solicitation Versus Attempts 529


Undercover agents and defense arguments 531

The inherent dangerousness of solicitations 531

PART IV

MODES OF LIABILITY 533

CHAPTER 20

ACCOMPLICES 535

A. Doctrine 535

1. Assistance or Support 536

2. Purpose Versus Knowledge 536

3. Natural and Probable Consequences Doctrine 537

4. Innocent Instrumentality Rule 538

5. Defenses 538

B. Application 539

1. Assisting the Principal Perpetrator 539

State v. V.T. 539

Notes & Questions on the Act Requirement 542

2. Purpose Versus Knowledge 545

Rosemond v. United States 545

Notes & Questions on Purpose Versus Knowledge 550

3. The Natural and Probable Consequences Doctrine 553

Waddington v. Sarausad 553

People v. Prettyman 557

Notes & Questions on Natural and Probable Consequences 561

xxiv Table of Contents

4. Innocent Instrumentality Rule 564

Bailey v. Commonwealth 564

Notes & Questions on Innocent Instrumentalities 567

5. Defenses 568

Standefer v. United States 568

Notes & Questions on Defenses 572


Constitutional constraints on punishing accomplices 575

Victims as accomplices 576

Purpose versus knowledge in human rights 577

CHAPTER 21

CONSPIRACY LIABILITY 579

A. Doctrine 579

1. Pinkerton Liability 579

2. Scope of the Conspiracy 580

3. Withdrawing from a Conspiracy 580

B. Application 581

1. Pinkerton Liability 581

United States v. Alvarez 581

Notes & Questions on Pinkerton Liability 586

2. Scope of the Conspiracy 589

People v. Bruno 590

Kotteakos v. United States 591

Notes & Questions on Conspiratorial Scope 596

3. Withdrawal 598

United States v. Schweihs 599

Notes & Questions on Withdrawal 601


Conspiracy as procedure and substance 602

Joint Criminal Enterprise 603

CHAPTER 22

CORPORATE CRIME 605

A. Doctrine 605

1. Prosecuting Corporations 605

2. Punishing Corporations 606

3. Prosecuting Corporate Officers 607

B. Application 607

1. Prosecuting Corporations 607

State v. Far West Water & Sewer Inc. 607

Notes & Questions on Corporate Liability 611

Table of Contents xxv

2. Punishing Corporations 614

Principles of Federal Prosecution of Business Organizations 614

Notes & Questions on Corporate Punishment 628

3. Prosecuting Corporate Officers 630

United States v. Park 630

Notes & Questions on Responsible Officers 634


State prosecutions 635

Deferred prosecution agreements 635

Waiving attorney-client privilege 637

PART V

JUSTIFICATIONS & EXCUSES 639

CHAPTER 23

SELF-DEFENSE 641

A. Doctrine 641

1. Imminent Threat 641

2. Necessity and the Duty to Retreat 642

3. Reasonable Belief 643

4. Imperfect Self-Defense 644

B. Application 644

1. Imminence 644

State v. Norman 645

Notes & Questions on Imminence 657

2. Necessity and the Duty to Retreat 658

United States v. Peterson 658

People v. Riddle 663

Notes & Questions on Duty to Retreat 668

3. Reasonable Belief 670

People v. Goetz 670

Notes & Questions on Reasonable Beliefs 677

4. Imperfect Self-Defense 680

People v. Elmore 680

Notes & Questions on Imperfect Self-Defense 684


Stand Your Ground laws 687

Procedural immunity 689

Battered Nation Syndrome 689

Imminence in targeted killing 690

xxvi Table of Contents

CHAPTER 24

DEFENSIVE FORCE BY POLICE OFFICERS 693

A. Doctrine 693

1. Constitutional Limits 693

2. Civil Rights Violations 694

3. State Statutes Governing Police Use of Force 695

B. Application 696

1. Constitutional Limits 696

Scott v. Harris 696

Notes & Questions on Immediate Danger 701

2. Civil Rights Violations 702

Report Regarding the Criminal Investigation into theShooting Death of Michael Brown by Ferguson,Missouri Police Officer Darren Wilson 703

Notes & Questions on Objective Reasonableness 712


Abandoning pursuit 714

Body cameras 715

CHAPTER 25

NECESSITY 717

A. Doctrine 717

1. Utilitarian Balancing and ‘‘Choice of Evils’’ 717

2. Defense to Murder 719

3. Necessity and Prison Breaks 719

4. Necessity and Civil Disobedience 720

B. Application 720

1. Utilitarian Balancing and ‘‘Choice of Evils’’ 720

United States v. Ridner 720

Notes & Questions on Utilitarian Balancing 724


The Queen v. Dudley & Stephens 725

Notes & Questions on Necessity and Murder 730

3. Necessity and Prison Breaks 730

United States v. Bailey 731

Notes & Questions on Prison Breaks 736

4. Necessity and Civil Disobedience 737

United States v. Schoon 737

Notes & Questions on Civil Disobedience 742

Table of Contents xxvii


Torture and terrorism 743

Torture and human dignity 744

Hijacked airliners and human dignity 746

CHAPTER 26

DURESS 747

A. Doctrine 747

1. Threats That Vitiate Autonomy 747

2. The Severity of the Threat 748


4. Recklessness in Creating the Threat 749

B. Application 750

1. Threats That Vitiate Autonomy 750

Dixon v. United States 750

United States v. Contento-Pachon 753

Notes & Questions on Duress and Autonomy 756

2. The Severity of the Threat 757

Commonwealth v. DeMarco 757

Notes & Questions on Reasonable Firmness 763


People v. Anderson 766

Notes & Questions on Duress and Murder 774


Duress and atrocity 776

CHAPTER 27

INTOXICATION 781

A. Doctrine 781

1. Negating Mens Rea 781

2. Eliminating the Defense of Voluntary Intoxication 783

3. Involuntary Intoxication 783

B. Application 784

1. Negating Mens Rea 784

State v. Brown 785

Notes & Questions on Negating Mens Rea 791

2. Eliminating the Intoxication Defense 793

Montana v. Egelhoff 793

Notes & Questions on Eliminating the Defense 798

3. Involuntary Intoxication 800

People v. Garcia 800

Notes & Questions on Involuntary Intoxication 806

xxviii Table of Contents


Grand schemers 808

The ‘‘separate offense’’ solution 809

Strategic charging and trial decisions 809

CHAPTER 28

INSANITY 811

A. Doctrine 811

1. The Cognitive Test 811

2. The Irresistible Impulse Test 812

3. The Model Penal Code Substantial Capacity Test 812

4. The Definition of Wrongfulness 813

5. Diminished Capacity 813

B. Application 814

1. The Cognitive Test 814

Sanders v. State 814

Notes & Questions on the Cognitive Test 821

2. Irresistible Impulse Test 821

Pollard v. United States 821

Notes & Questions on Irresistible Impulses 827

3. The Model Penal Code Substantial Capacity Test 829

United States v. Freeman 830

Notes & Questions on Substantial Capacity 834

4. The Definition of Wrongfulness 835

State v. Crenshaw 836

Notes & Questions on Wrongfulness 841

5. Diminished Capacity 842

Clark v. Arizona 843

Notes & Questions on Diminished Capacity 852


Separate insanity phase 853

Guilty but mentally ill (GBMI) plea 854

Too crazy to plead insanity 855

The medical model to criminal insanity 856

Appendix: Model Penal Code 859

Table of Cases 921

Index 927

Table of Contents xxix

basic elements of criminality

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