7 Defenses 7 Defenses

7.1 Justification 7.1 Justification

7.2 New York Penal Law § 35.00 & .05 Justification;  generally 7.2 New York Penal Law § 35.00 & .05 Justification;  generally

§ 35.00 Justification;  a defense

In any prosecution for an offense, justification, as defined in sections 35.05 through 35.30, is a defense.

§ 35.05 Justification;  generally

Unless otherwise limited by the ensuing provisions of this article defining justifiable use of physical force, conduct which would otherwise constitute an offense is justifiable and not criminal when:

1. Such conduct is required or authorized by law or by a judicial decree, or is performed by a public servant in the reasonable exercise of his official powers, duties or functions;  or

2. Such conduct is necessary as an emergency measure to avoid an imminent public or private injury which is about to occur by reason of a situation occasioned or developed through no fault of the actor, and which is of such gravity that, according to ordinary standards of intelligence and morality, the desirability and urgency of avoiding such injury clearly outweigh the desirability of avoiding the injury sought to be prevented by the statute defining the offense in issue.  The necessity and justifiability of such conduct may not rest upon considerations pertaining only to the morality and advisability of the statute, either in its general application or with respect to its application to a particular class of cases arising thereunder.  Whenever evidence relating to the defense of justification under this subdivision is offered by the defendant, the court shall rule as a matter of law whether the claimed facts and circumstances would, if established, constitute a defense.

7.3 New York Penal Law § 35.15 Justification;  use of physical force in defense of a person 7.3 New York Penal Law § 35.15 Justification;  use of physical force in defense of a person

1. A person may, subject to the provisions of subdivision two, use physical force upon another person when and to the extent he or she reasonably believes such to be necessary to defend himself, herself or a third person from what he or she reasonably believes to be the use or imminent use of unlawful physical force by such other person, unless:

(a) The latter's conduct was provoked by the actor with intent to cause physical injury to another person;  or

(b) The actor was the initial aggressor;  except that in such case the use of physical force is nevertheless justifiable if the actor has withdrawn from the encounter and effectively communicated such withdrawal to such other person but the latter persists in continuing the incident by the use or threatened imminent use of unlawful physical force;  or

(c) The physical force involved is the product of a combat by agreement not specifically authorized by law.

2. A person may not use deadly physical force upon another person under circumstances specified in subdivision one unless:

(a) The actor reasonably believes that such other person is using or about to use deadly physical force.  Even in such case, however, the actor may not use deadly physical force if he or she knows that with complete personal safety, to oneself and others he or she may avoid the necessity of so doing by retreating;  except that the actor is under no duty to retreat if he or she is:

(i) in his or her dwelling and not the initial aggressor;  or

(ii) a police officer or peace officer or a person assisting a police officer or a peace officer at the latter's direction, acting pursuant to section 35.30;  or

(b) He or she reasonably believes that such other person is committing or attempting to commit a kidnapping, forcible rape, forcible criminal sexual act or robbery;  or

(c) He or she reasonably believes that such other person is committing or attempting to commit a burglary, and the circumstances are such that the use of deadly physical force is authorized by subdivision three of section 35.20.

7.4 People v. Goetz 7.4 People v. Goetz

68 N.Y.2d 96 (1986)

The People of the State of New York, Appellant,
v.
Bernhard Goetz, Respondent.

Court of Appeals of the State of New York.

Argued May 28, 1986.
Decided July 8, 1986.

 

Robert M. Morgenthau, District Attorney (Robert M. Pitler, Mark Dwyer and Gregory L. Waples of counsel), for appellant.

Mark M. Baker, Barry Ivan Slotnick and Michael Shapiro for respondent.

Judges MEYER, SIMONS, KAYE, ALEXANDER, TITONE and HANCOCK, JR., concur.

[99] Chief Judge WACHTLER.

A Grand Jury has indicted defendant on attempted murder, assault, and other charges for having shot and wounded four youths on a New York City subway train after one or two of the youths approached him and asked for $5. The lower courts, concluding that the prosecutor's charge to the Grand Jury on the defense of justification was erroneous, have dismissed the attempted murder, assault and weapons possession charges. We now reverse and reinstate all counts of the indictment.

I.

 

The precise circumstances of the incident giving rise to the charges against defendant are disputed, and ultimately it will be for a trial jury to determine what occurred. We feel it necessary, however, to provide some factual background to [100] properly frame the legal issues before us. Accordingly, we have summarized the facts as they appear from the evidence before the Grand Jury. We stress, however, that we do not purport to reach any conclusions or holding as to exactly what transpired or whether defendant is blameworthy. The credibility of witnesses and the reasonableness of defendant's conduct are to be resolved by the trial jury.

On Saturday afternoon, December 22, 1984, Troy Canty, Darryl Cabey, James Ramseur, and Barry Allen boarded an IRT express subway train in The Bronx and headed south toward lower Manhattan. The four youths rode together in the rear portion of the seventh car of the train. Two of the four, Ramseur and Cabey, had screwdrivers inside their coats, which they said were to be used to break into the coin boxes of video machines.

Defendant Bernhard Goetz boarded this subway train at 14th Street in Manhattan and sat down on a bench towards the rear section of the same car occupied by the four youths. Goetz was carrying an unlicensed .38 caliber pistol loaded with five rounds of ammunition in a waistband holster. The train left the 14th Street station and headed towards Chambers Street.

It appears from the evidence before the Grand Jury that Canty approached Goetz, possibly with Allen beside him, and stated "give me five dollars". Neither Canty nor any of the other youths displayed a weapon. Goetz responded by standing up, pulling out his handgun and firing four shots in rapid succession. The first shot hit Canty in the chest; the second struck Allen in the back; the third went through Ramseur's arm and into his left side; the fourth was fired at Cabey, who apparently was then standing in the corner of the car, but missed, deflecting instead off of a wall of the conductor's cab. After Goetz briefly surveyed the scene around him, he fired another shot at Cabey, who then was sitting on the end bench of the car. The bullet entered the rear of Cabey's side and severed his spinal cord.

All but two of the other passengers fled the car when, or immediately after, the shots were fired. The conductor, who had been in the next car, heard the shots and instructed the motorman to radio for emergency assistance. The conductor then went into the car where the shooting occurred and saw Goetz sitting on a bench, the injured youths lying on the floor or slumped against a seat, and two women who had apparently [101] taken cover, also lying on the floor. Goetz told the conductor that the four youths had tried to rob him.

While the conductor was aiding the youths, Goetz headed towards the front of the car. The train had stopped just before the Chambers Street station and Goetz went between two of the cars, jumped onto the tracks and fled. Police and ambulance crews arrived at the scene shortly thereafter. Ramseur and Canty, initially listed in critical condition, have fully recovered. Cabey remains paralyzed, and has suffered some degree of brain damage.

On December 31, 1984, Goetz surrendered to police in Concord, New Hampshire, identifying himself as the gunman being sought for the subway shootings in New York nine days earlier. Later that day, after receiving Miranda warnings, he made two lengthy statements, both of which were tape recorded with his permission. In the statements, which are substantially similar, Goetz admitted that he had been illegally carrying a handgun in New York City for three years. He stated that he had first purchased a gun in 1981 after he had been injured in a mugging. Goetz also revealed that twice between 1981 and 1984 he had successfully warded off assailants simply by displaying the pistol.

According to Goetz's statement, the first contact he had with the four youths came when Canty, sitting or lying on the bench across from him, asked "how are you," to which he replied "fine". Shortly thereafter, Canty, followed by one of the other youths, walked over to the defendant and stood to his left, while the other two youths remained to his right, in the corner of the subway car. Canty then said "give me five dollars". Goetz stated that he knew from the smile on Canty's face that they wanted to "play with me". Although he was certain that none of the youths had a gun, he had a fear, based on prior experiences, of being "maimed".

Goetz then established "a pattern of fire," deciding specifically to fire from left to right. His stated intention at that point was to "murder [the four youths], to hurt them, to make them suffer as much as possible". When Canty again requested money, Goetz stood up, drew his weapon, and began firing, aiming for the center of the body of each of the four. Goetz recalled that the first two he shot "tried to run through the crowd [but] they had nowhere to run". Goetz then turned to his right to "go after the other two". One of these two "tried to run through the wall of the train, but * * * he had [102] nowhere to go". The other youth (Cabey) "tried pretending that he wasn't with [the others]" by standing still, holding on to one of the subway hand straps, and not looking at Goetz. Goetz nonetheless fired his fourth shot at him. He then ran back to the first two youths to make sure they had been "taken care of". Seeing that they had both been shot, he spun back to check on the latter two. Goetz noticed that the youth who had been standing still was now sitting on a bench and seemed unhurt. As Goetz told the police, "I said `[y]ou seem to be all right, here's another'", and he then fired the shot which severed Cabey's spinal cord. Goetz added that "if I was a little more under self-control * * * I would have put the barrel against his forehead and fired." He also admitted that "if I had had more [bullets], I would have shot them again, and again, and again."

II.

 

After waiving extradition, Goetz was brought back to New York and arraigned on a felony complaint charging him with attempted murder and criminal possession of a weapon. The matter was presented to a Grand Jury in January 1985, with the prosecutor seeking an indictment for attempted murder, assault, reckless endangerment, and criminal possession of a weapon. Neither the defendant nor any of the wounded youths testified before this Grand Jury. On January 25, 1985, the Grand Jury indicted defendant on one count of criminal possession of a weapon in the third degree (Penal Law § 265.02), for possessing the gun used in the subway shootings, and two counts of criminal possession of a weapon in the fourth degree (Penal Law § 265.01), for possessing two other guns in his apartment building. It dismissed, however, the attempted murder and other charges stemming from the shootings themselves.

Several weeks after the Grand Jury's action, the People, asserting that they had newly available evidence, moved for an order authorizing them to resubmit the dismissed charges to a second Grand Jury (see, CPL 190.75 [3]). Supreme Court, Criminal Term, after conducting an in camera inquiry, granted the motion. Presentation of the case to the second Grand Jury began on March 14, 1985. Two of the four youths, Canty and Ramseur, testified. Among the other witnesses were four passengers from the seventh car of the subway who had seen some portions of the incident. Goetz again chose not to [103] testify, though the tapes of his two statements were played for the grand jurors, as had been done with the first Grand Jury.

On March 27, 1985, the second Grand Jury filed a 10-count indictment, containing four charges of attempted murder (Penal Law §§ 110.00, 125.25 [1]), four charges of assault in the first degree (Penal Law § 120.10 [1]), one charge of reckless endangerment in the first degree (Penal Law § 120.25), and one charge of criminal possession of a weapon in the second degree (Penal Law § 265.03 [possession of loaded firearm with intent to use it unlawfully against another]). Goetz was arraigned on this indictment on March 28, 1985, and it was consolidated with the earlier three-count indictment.[1]

On October 14, 1985, Goetz moved to dismiss the charges contained in the second indictment alleging, among other things, that the evidence before the second Grand Jury was not legally sufficient to establish the offenses charged (see, CPL 210.20 [1] [b]), and that the prosecutor's instructions to that Grand Jury on the defense of justification were erroneous and prejudicial to the defendant so as to render its proceedings defective (see, CPL 210.20 [1] [c]; 210.35 [5]).

On November 25, 1985, while the motion to dismiss was pending before Criminal Term, a column appeared in the New York Daily News containing an interview which the columnist had conducted with Darryl Cabey the previous day in Cabey's hospital room. The columnist claimed that Cabey had told him in this interview that the other three youths had all approached Goetz with the intention of robbing him. The day after the column was published, a New York City police officer informed the prosecutor that he had been one of the first police officers to enter the subway car after the shootings, and that Canty had said to him "we were going to rob [Goetz]". The prosecutor immediately disclosed this information to the court and to defense counsel, adding that this was the first time his office had been told of this alleged statement and that none of the police reports filed on the incident contained any such information. Goetz then orally expanded his motion to [104] dismiss, asserting that resubmission of the charges voted by the second Grand Jury was required under People v Pelchat (62 N.Y.2d 97) because it appeared, from this new information, that Ramseur and Canty had committed perjury.

In an order dated January 21, 1986, Criminal Term granted Goetz's motion to the extent that it dismissed all counts of the second indictment, other than the reckless endangerment charge, with leave to resubmit these charges to a third Grand Jury. The court, after inspection of the Grand Jury minutes, first rejected Goetz's contention that there was not legally sufficient evidence to support the charges. It held, however, that the prosecutor, in a supplemental charge elaborating upon the justification defense, had erroneously introduced an objective element into this defense by instructing the grand jurors to consider whether Goetz's conduct was that of a "reasonable man in [Goetz's] situation". The court, citing prior decisions from both the First and Second Departments (see, e.g., People v Santiago, 110 AD2d 569 [1st Dept]; People v Wagman, 99 AD2d 519 [2d Dept]), concluded that the statutory test for whether the use of deadly force is justified to protect a person should be wholly subjective, focusing entirely on the defendant's state of mind when he used such force. It concluded that dismissal was required for this error because the justification issue was at the heart of the case.[2]

Criminal Term also concluded that dismissal and resubmission of the charges were required under People v Pelchat (supra) because the Daily News column and the statement by the police officer to the prosecution strongly indicated that the testimony of Ramseur and Canty was perjured. Because the additional evidence before the second Grand Jury, as contrasted with that before the first Grand Jury, consisted largely of the testimony of these two youths, the court found that the integrity of the second Grand Jury was "severely undermined" by the apparently perjured testimony.

On appeal by the People, a divided Appellate Division [105] affirmed Criminal Term's dismissal of the charges. The plurality opinion by Justice Kassal, concurred in by Justice Carro, agreed with Criminal Term's reasoning on the justification issue, stating that the grand jurors should have been instructed to consider only the defendant's subjective beliefs as to the need to use deadly force. Justice Kupferman concurred in the result reached by the plurality on the ground that the prosecutor's charge did not adequately apprise the grand jurors of the need to consider Goetz's own background and learning. Neither the plurality nor the concurring opinion discussed Criminal Term's reliance on Pelchat as an alternate ground for dismissal.

Justice Asch, in a dissenting opinion in which Justice Wallach concurred, disagreed with both bases for dismissal relied upon by Criminal Term. On the justification question, he opined that the statute requires consideration of both the defendant's subjective beliefs and whether a reasonable person in defendant's situation would have had such beliefs. Accordingly, he found no error in the prosecutor's introduction of an objective element into the justification defense. On the Pelchat issue, Justice Asch noted the extensive differences between the Grand Jury evidence in that case and the case at bar and concluded that the out-of-court statements attributed to Cabey and Canty did not affect the validity of the indictment. In a separate dissenting opinion, Justice Wallach stressed that the plurality's adoption of a purely subjective test effectively eliminated any reasonableness requirement contained in the statute.

Justice Asch granted the People leave to appeal to this court. We agree with the dissenters that neither the prosecutor's charge to the Grand Jury on justification nor the information which came to light while the motion to dismiss was pending required dismissal of any of the charges in the second indictment.

III.

 

Penal Law article 35 recognizes the defense of justification, which "permits the use of force under certain circumstances" (see, People v McManus, 67 N.Y.2d 541, 545). One such set of circumstances pertains to the use of force in defense of a person, encompassing both self-defense and defense of a third person (Penal Law § 35.15). Penal Law § 35.15 (1) sets forth the general principles governing all such uses of force: "[a] [106] person may * * * use physical force upon another person when and to the extent he reasonably believes such to be necessary to defend himself or a third person from what he reasonably believes to be the use or imminent use of unlawful physical force by such other person" (emphasis added).[3]

Section 35.15 (2) sets forth further limitations on these general principles with respect to the use of "deadly physical force": "A person may not use deadly physical force upon another person under circumstances specified in subdivision one unless (a) He reasonably believes that such other person is using or about to use deadly physical force * * *[4] or (b) He reasonably believes that such other person is committing or attempting to commit a kidnapping, forcible rape, forcible sodomy or robbery" (emphasis added).

Thus, consistent with most justification provisions, Penal Law § 35.15 permits the use of deadly physical force only where requirements as to triggering conditions and the necessity of a particular response are met (see, Robinson, Criminal Law Defenses § 121 [a], at 2). As to the triggering conditions, the statute requires that the actor "reasonably believes" that another person either is using or about to use deadly physical force or is committing or attempting to commit one of certain enumerated felonies, including robbery. As to the need for the use of deadly physical force as a response, the statute requires that the actor "reasonably believes" that such force is necessary to avert the perceived threat.[5]

Because the evidence before the second Grand Jury included statements by Goetz that he acted to protect himself from being maimed or to avert a robbery, the prosecutor correctly chose to charge the justification defense in section 35.15 to the Grand Jury (see, CPL 190.25 [6]; People v Valles, 62 N.Y.2d 36, 38). The prosecutor properly instructed the grand jurors to [107] consider whether the use of deadly physical force was justified to prevent either serious physical injury or a robbery, and, in doing so, to separately analyze the defense with respect to each of the charges. He elaborated upon the prerequisites for the use of deadly physical force essentially by reading or paraphrasing the language in Penal Law § 35.15. The defense does not contend that he committed any error in this portion of the charge.

When the prosecutor had completed his charge, one of the grand jurors asked for clarification of the term "reasonably believes". The prosecutor responded by instructing the grand jurors that they were to consider the circumstances of the incident and determine "whether the defendant's conduct was that of a reasonable man in the defendant's situation". It is this response by the prosecutor — and specifically his use of "a reasonable man" — which is the basis for the dismissal of the charges by the lower courts. As expressed repeatedly in the Appellate Division's plurality opinion, because section 35.15 uses the term "he reasonably believes", the appropriate test, according to that court, is whether a defendant's beliefs and reactions were "reasonable to him". Under that reading of the statute, a jury which believed a defendant's testimony that he felt that his own actions were warranted and were reasonable would have to acquit him, regardless of what anyone else in defendant's situation might have concluded. Such an interpretation defies the ordinary meaning and significance of the term "reasonably" in a statute, and misconstrues the clear intent of the Legislature, in enacting section 35.15, to retain an objective element as part of any provision authorizing the use of deadly physical force.

Penal statutes in New York have long codified the right recognized at common law to use deadly physical force, under appropriate circumstances, in self-defense (see, e.g., 1829 Rev Stat of NY, part IV, ch 1, tit II, § 3; 1881 Penal Code § 205; People v McManus, supra, at p 546). These provisions have never required that an actor's belief as to the intention of another person to inflict serious injury be correct in order for the use of deadly force to be justified, but they have uniformly required that the belief comport with an objective notion of reasonableness. The 1829 statute, using language which was followed almost in its entirety until the 1965 recodification of the Penal Law, provided that the use of deadly force was justified in self-defense or in the defense of specified third persons "when there shall be a reasonable ground to apprehend [108] a design to commit a felony, or to do some great personal injury, and there shall be imminent danger of such design being accomplished".

In Shorter v People (2 N.Y. 193), we emphasized that deadly force could be justified under the statute even if the actor's beliefs as to the intentions of another turned out to be wrong, but noted there had to be a reasonable basis, viewed objectively, for the beliefs. We explicitly rejected the position that the defendant's own belief that the use of deadly force was necessary sufficed to justify such force regardless of the reasonableness of the beliefs (id., at pp 200-201).

In 1881, New York reexamined the many criminal provisions set forth in the revised statutes and enacted, for the first time, a separate Penal Code (see generally, 1937 Report of NY Law Rev Commn, Communication to Legislature Relating to Homicide, at 525, 529 [hereafter cited as Communication Relating to Homicide]). The provision in the 1881 Penal Code for the use of deadly force in self-defense or to defend a third person was virtually a reenactment of the language in the 1829 statutes,[6] and the "reasonable ground" requirement was maintained.

The 1909 Penal Law replaced the 1881 Penal Code. The language of section 205 of the 1881 code pertaining to the use of deadly force in self-defense or in defense of a third person was reenacted, verbatim, as part of section 1055 of the new Penal Law. Several cases from this court interpreting the 1909 provision demonstrate unmistakably that an objective element of reasonableness was a vital part of any claim of self-defense. In People v Lumsden (201 N.Y. 264, 268), we approved a charge to the jury which instructed it to consider whether the circumstances facing defendant were such "as would lead a reasonable man to believe that [an assailant] is about to kill or to do great bodily injury" (see also, People v Ligouri, 284 N.Y. 309, 316, 317). We emphatically rejected the position that any belief by an actor as to the intention of another to cause severe injury was a sufficient basis for his use of deadly force, and stated specifically that a belief based upon "mere fear or fancy or remote hearsay information or a delusion pure and simple" would not satisfy the requirements of the statute (201 NY, at p 269). In People v Tomlins (213 N.Y. 240, 244), [109] we set forth the governing test as being whether "the situation justified the defendant as a reasonable man in believing that he was about to be murderously attacked."

Accordingly, the Law Revision Commission, in a 1937 Report to the Legislature on the Law of Homicide in New York, summarized the self-defense statute as requiring a "reasonable belief in the imminence of danger", and stated that the standard to be followed by a jury in determining whether a belief was reasonable "is that of a man of ordinary courage in the circumstances surrounding the defendant at the time of the killing" (Communication Relating to Homicide, op. cit., at 814). The Report added that New York did not follow the view, adopted in a few States, that "the jury is required to adopt the subjective view and judge from the standpoint of the very defendant concerned" (id., at 814).

In 1961 the Legislature established a Commission to undertake a complete revision of the Penal Law and the Criminal Code. The impetus for the decision to update the Penal Law came in part from the drafting of the Model Penal Code by the American Law Institute, as well as from the fact that the existing law was poorly organized and in many aspects antiquated (see, e.g., Criminal Law Revision Through A Legislative Commission: The New York Experience, 18 Buff L Rev 213; Note, Proposed Penal Law of New York, 64 Colum L Rev 1469). Following the submission by the Commission of several reports and proposals, the Legislature approved the present Penal Law in 1965 (L 1965, ch 1030), and it became effective on September 1, 1967. The drafting of the general provisions of the new Penal Law (see, Penal Law part I), including the article on justification (id., art 35), was particularly influenced by the Model Penal Code (see, Denzer, Drafting a New York Penal Law for New York, 18 Buff L Rev 251, 252; Wechsler, Codification of Criminal Law in the United States: The Model Penal Code, 68 Colum L Rev 1425, 1428). While using the Model Penal Code provisions on justification as general guidelines, however, the drafters of the new Penal Law did not simply adopt them verbatim.

The provisions of the Model Penal Code with respect to the use of deadly force in self-defense reflect the position of its drafters that any culpability which arises from a mistaken belief in the need to use such force should be no greater than the culpability such a mistake would give rise to if it were made with respect to an element of a crime (see, ALI, Model [110] Penal Code and Commentaries, part I, at 32, 34 [hereafter cited as MPC Commentaries]; Robinson, Criminal Law Defenses, op. cit., at 410). Accordingly, under Model Penal Code § 3.04 (2) (b), a defendant charged with murder (or attempted murder) need only show that he "believe[d] that [the use of deadly force] was necessary to protect himself against death, serious bodily injury, kidnapping or [forcible] sexual intercourse" to prevail on a self-defense claim (emphasis added). If the defendant's belief was wrong, and was recklessly, or negligently formed, however, he may be convicted of the type of homicide charge requiring only a reckless or negligent, as the case may be, criminal intent (see, Model Penal Code § 3.09 [2]; MPC Commentaries, op. cit., part I, at 32, 150).

The drafters of the Model Penal Code recognized that the wholly subjective test set forth in section 3.04 differed from the existing law in most States by its omission of any requirement of reasonableness (see, MPC Commentaries, op. cit., part I, at 35; LaFave & Scott, Criminal Law § 53, at 393-394). The drafters were also keenly aware that requiring that the actor have a "reasonable belief" rather than just a "belief" would alter the wholly subjective test (MPC Commentaries, op. cit., part I, at 35-36). This basic distinction was recognized years earlier by the New York Law Revision Commission and continues to be noted by the commentators (Communication Relating to Homicide, op. cit., at 814; Robinson, Criminal Law Defenses, op. cit.; Note, Justification: The Impact of the Model Penal Code on Statutory Reform, 75 Colum L Rev 914, 918-920).

New York did not follow the Model Penal Code's equation of a mistake as to the need to use deadly force with a mistake negating an element of a crime, choosing instead to use a single statutory section which would provide either a complete defense or no defense at all to a defendant charged with any crime involving the use of deadly force. The drafters of the new Penal Law adopted in large part the structure and content of Model Penal Code § 3.04, but, crucially, inserted the word "reasonably" before "believes".

The plurality below agreed with defendant's argument that the change in the statutory language from "reasonable ground," used prior to 1965, to "he reasonably believes" in Penal Law § 35.15 evinced a legislative intent to conform to the subjective standard contained in Model Penal Code § 3.04. This argument, however, ignores the plain significance of the [111] insertion of "reasonably". Had the drafters of section 35.15 wanted to adopt a subjective standard, they could have simply used the language of section 3.04. "Believes" by itself requires an honest or genuine belief by a defendant as to the need to use deadly force (see, e.g., Robinson, Criminal Law Defenses, op. cit. § 184 (b), at 399-400). Interpreting the statute to require only that the defendant's belief was "reasonable to him," as done by the plurality below, would hardly be different from requiring only a genuine belief; in either case, the defendant's own perceptions could completely exonerate him from any criminal liability.

We cannot lightly impute to the Legislature an intent to fundamentally alter the principles of justification to allow the perpetrator of a serious crime to go free simply because that person believed his actions were reasonable and necessary to prevent some perceived harm. To completely exonerate such an individual, no matter how aberrational or bizarre his thought patterns, would allow citizens to set their own standards for the permissible use of force. It would also allow a legally competent defendant suffering from delusions to kill or perform acts of violence with impunity, contrary to fundamental principles of justice and criminal law.

We can only conclude that the Legislature retained a reasonableness requirement to avoid giving a license for such actions. The plurality's interpretation, as the dissenters below recognized, excises the impact of the word "reasonably". This same conclusion was recently reached in Justice Levine's decision for a unanimous Third Department in People v Astle (117 AD2d 382), in which that court declined to follow the First Department's decision in this case (see also, People v Hamel, 96 AD2d 644 [3d Dept]).

The change from "reasonable ground" to "reasonably believes" is better explained by the fact that the drafters of section 35.15 were proposing a single section which, for the first time, would govern both the use of ordinary force and deadly force in self-defense or defense of another. Under the 1909 Penal Law and its predecessors, the use of ordinary force was governed by separate sections which, at least by their literal terms, required that the defendant was in fact responding to an unlawful assault, and not just that he had a reasonable ground for believing that such an assault was occurring (see, 1909 Penal Law §§ 42, 246 [3]; People v Young, 11 N.Y.2d 274; 7 Zett, New York Criminal Practice ¶ 65.3). [112] Following the example of the Model Penal Code, the drafters of section 35.15 eliminated this sharp dichotomy between the use of ordinary force and deadly force in defense of a person. Not surprisingly then, the integrated section reflects the wording of Model Penal Code § 3.04, with the addition of "reasonably" to incorporate the long-standing requirement of "reasonable ground" for the use of deadly force and apply it to the use of ordinary force as well (see, Zett, New York Criminal Practice, § 65.3 [1], [2]; Note, Proposed Penal Law of New York, 64 Colum L Rev 1469, 1500).

The conclusion that section 35.15 retains an objective element to justify the use of deadly force is buttressed by the statements of its drafters. The executive director and counsel to the Commission which revised the Penal Law have stated that the provisions of the statute with respect to the use of deadly physical force largely conformed with the prior law, with the only changes they noted not being relevant here (Denzer & McQuillan, Practice Commentary, McKinney's Cons Laws of NY, Book 39, Penal Law § 35.15, p 63 [1967]). Nowhere in the legislative history is there any indication that "reasonably believes" was designed to change the law on the use of deadly force or establish a subjective standard. To the contrary, the Commission, in the staff comment governing arrests by police officers, specifically equated "[he] reasonably believes" with having a reasonable ground for believing (Penal Law § 35.30; Fourth Interim Report of the Temporary State Commission on Revision of the Penal Law and Criminal Code at 17-18, 1965 NY Legis Doc No. 25).

Statutes or rules of law requiring a person to act "reasonably" or to have a "reasonable belief" uniformly prescribe conduct meeting an objective standard measured with reference to how "a reasonable person" could have acted (see, e.g., People v Cantor, 36 N.Y.2d 106; Donovan v Kaszycki & Sons Contrs., 599 F Supp 860, 871; Klotter, Criminal Law, at 312; Fletcher, The Right and the Reasonable, 98 Harv L Rev 949; 57 Am Jur 2d, Negligence, §§ 67, 68). In People v Cantor (supra), we had before us a provision of the Criminal Procedure Law authorizing a police officer to stop a person "when he reasonably suspects that such person is committing, has committed or is about to commit [a crime]" (CPL 140.50 [1]; emphasis added). We held that this section authorized "stops" only when the police officer had "the quantum of knowledge sufficient to induce an ordinarily prudent and cautious man [113] under the circumstances to believe criminal activity is at hand" (People v Cantor, 36 NY2d, at pp 112-113, supra).

In People v Collice (41 N.Y.2d 906), we rejected the position that section 35.15 contains a wholly subjective standard. The defendant in Collice asserted, on appeal, that the trial court had erred in refusing to charge the justification defense. We upheld the trial court's action because we concluded that, even if the defendant had actually believed that he was threatened with the imminent use of deadly physical force, the evidence clearly indicated that "his reactions were not those of a reasonable man acting in self-defense" (id., at p 907). Numerous decisions from other States interpreting "reasonably believes" in justification statutes enacted subsequent to the drafting of the Model Penal Code are consistent with Collice, as they hold that such language refers to what a reasonable person could have believed under the same circumstances (see, e.g., State v Kelly, 97 NJ 178, 478 A2d 364, 373-374; Weston v State, 682 P2d 1119, 1121 [Alaska]).

The defense contends that our memorandum in Collice is inconsistent with our prior opinion in People v Miller (39 N.Y.2d 543). In Miller, we held that a defendant charged with homicide could introduce, in support of a claim of self-defense, evidence of prior acts of violence committed by the deceased of which the defendant had knowledge. The defense, as well as the plurality below, place great emphasis on the statement in Miller that "the crucial fact at issue [is] the state of mind of the defendant" (id., at p 551). This language, however, in no way indicates that a wholly subjective test is appropriate. To begin, it is undisputed that section 35.15 does contain a subjective element, namely that the defendant believed that deadly force was necessary to avert the imminent use of deadly force or the commission of certain felonies. Evidence that the defendant knew of prior acts of violence by the deceased could help establish his requisite beliefs. Moreover, such knowledge would also be relevant on the issue of reasonableness, as the jury must consider the circumstances a defendant found himself in, which would include any relevant knowledge of the nature of persons confronting him (see, e.g., People v Taylor, 177 N.Y. 237, 245; Communication Relating to Homicide, op. cit., at 816). Finally, in Miller, we specifically recognized that there had to be "reasonable grounds" for the defendant's belief.

Goetz's reliance on People v Rodawald (177 N.Y. 408) is [114] similarly misplaced. In Rodawald, decided under the 1881 Penal Code, we held that a defendant who claimed that he had acted in self-defense could introduce evidence as to the general reputation of the deceased as a violent person if this reputation was known to the defendant when he acted. We stated, as emphasized by Goetz, that such evidence, "when known to the accused, enables him to judge of the danger and aids the jury in deciding whether he acted in good faith and upon the honest belief that his life was in peril. It shows the state of his mind as to the necessity of defending himself" (177 NY, at p 423). Again, such language is explained by the fact that the threshold question, before the reasonableness issue is addressed, is the subjective beliefs of the defendant. Nowhere in Rodawald did we hold that the only test, as urged by Goetz, is whether the defendant honestly and in good faith believed himself to be in danger. Rather, we recognized that there was also the separate question of whether the accused had "reasonable ground" for his belief, and we upheld the trial court's refusal to charge the jury that the defendant's honest belief was sufficient to establish self-defense (177 NY, at pp 423, 426-427).

Goetz also argues that the introduction of an objective element will preclude a jury from considering factors such as the prior experiences of a given actor and thus, require it to make a determination of "reasonableness" without regard to the actual circumstances of a particular incident. This argument, however, falsely presupposes that an objective standard means that the background and other relevant characteristics of a particular actor must be ignored. To the contrary, we have frequently noted that a determination of reasonableness must be based on the "circumstances" facing a defendant or his "situation" (see, e.g., People v Ligouri, 284 N.Y. 309, 316, supra; People v Lumsden, 201 N.Y. 264, 268, supra). Such terms encompass more than the physical movements of the potential assailant. As just discussed, these terms include any relevant knowledge the defendant had about that person. They also necessarily bring in the physical attributes of all persons involved, including the defendant. Furthermore, the defendant's circumstances encompass any prior experiences he had which could provide a reasonable basis for a belief that another person's intentions were to injure or rob him or that the use of deadly force was necessary under the circumstances.

Accordingly, a jury should be instructed to consider this [115] type of evidence in weighing the defendant's actions. The jury must first determine whether the defendant had the requisite beliefs under section 35.15, that is, whether he believed deadly force was necessary to avert the imminent use of deadly force or the commission of one of the felonies enumerated therein. If the People do not prove beyond a reasonable doubt that he did not have such beliefs, then the jury must also consider whether these beliefs were reasonable. The jury would have to determine, in light of all the "circumstances", as explicated above, if a reasonable person could have had these beliefs.

The prosecutor's instruction to the second Grand Jury that it had to determine whether, under the circumstances, Goetz's conduct was that of a reasonable man in his situation was thus essentially an accurate charge. It is true that the prosecutor did not elaborate on the meaning of "circumstances" or "situation" and inform the grand jurors that they could consider, for example, the prior experiences Goetz related in his statement to the police. We have held, however, that a Grand Jury need not be instructed on the law with the same degree of precision as the petit jury (see, People v Valles, 62 N.Y.2d 36, 38; People v Calbud, Inc., 49 N.Y.2d 389, 394; compare, CPL 190.25 [6], with CPL 300.10 [2]). This lesser standard is premised upon the different functions of the Grand Jury and the petit jury: the former determines whether sufficient evidence exists to accuse a person of a crime and thereby subject him to criminal prosecution; the latter ultimately determines the guilt or innocence of the accused, and may convict only where the People have proven his guilt beyond a reasonable doubt (see, People v Calbud, Inc., 49 NY2d, at p 394, supra).

In People v Calbud, Inc. (supra, at pp 394-395), we stated that the prosecutor simply had to "provid[e] the Grand Jury with enough information to enable it intelligently to decide whether a crime has been committed and to determine whether there exists legally sufficient evidence to establish the material elements of the crime". Of course, as noted above, where the evidence suggests that a complete defense such as justification may be present, the prosecutor must charge the grand jurors on that defense, providing enough information to enable them to determine whether the defense, in light of the evidence, should preclude the criminal prosecution. The prosecutor more than adequately fulfilled this obligation here. His instructions were not as complete as the court's charge on justification should be, but they sufficiently apprised the [116] Grand Jury of the existence and requirements of that defense to allow it to intelligently decide that there is sufficient evidence tending to disprove justification and necessitating a trial. The Grand Jury has indicted Goetz. It will now be for the petit jury to decide whether the prosecutor can prove beyond a reasonable doubt that Goetz's reactions were unreasonable and therefore excessive.

IV.

 

Criminal Term's second ground for dismissal of the charges, premised upon the Daily News column and the police officer's statement to the prosecutor, can be rejected more summarily. The court relied upon People v Pelchat (62 N.Y.2d 97, supra), the facts of which, however, are markedly different from those here. In Pelchat, the defendant was one of 21 persons arrested in a house to which police officers had seen marihuana delivered. The only evidence before the Grand Jury showing that defendant had anything to do with the marihuana was the testimony of a police officer listing defendant as one of 21 persons he had observed transporting the drug. After defendant was indicted, this same police officer told the prosecutor that he had misunderstood his question when testifying before the Grand Jury and that he had not seen defendant engage in any criminal activity. Although the prosecutor knew that there was no other evidence before the Grand Jury to establish the defendant's guilt, he did not disclose the police officer's admission, and instead, accepted a guilty plea from the defendant. We reversed the conviction and dismissed the indictment, holding that the prosecutor should not have allowed the proceedings against defendant to continue when he knew that the only evidence against him before the Grand Jury was false, and thus, knew that there was not legally sufficient evidence to support the indictment.

Here, in contrast, Canty and Ramseur have not recanted any of their Grand Jury testimony or told the prosecutor that they misunderstood any questions. Instead, all that has come to light is hearsay evidence that conflicts with part of Canty's testimony. There is no statute or controlling case law requiring dismissal of an indictment merely because, months later, the prosecutor becomes aware of some information which may lead to the defendant's acquittal. There was no basis for the Criminal Term Justice to speculate as to whether Canty's and Ramseur's testimony was perjurious (see, CPL 190.25 [5]), and [117] his conclusion that the testimony "strongly appeared" to be perjured is particularly inappropriate given the nature of the "evidence" he relied upon to reach such a conclusion and that he was not in the Grand Jury room when the two youths testified.

Moreover, unlike Pelchat, the testimony of Canty and Ramseur was not the only evidence before the Grand Jury establishing that the offenses submitted to that body were committed by Goetz. Goetz's own statements, together with the testimony of the passengers, clearly support the elements of the crimes charged, and provide ample basis for concluding that a trial of this matter is needed to determine whether Goetz could have reasonably believed that he was about to be robbed or seriously injured and whether it was reasonably necessary for him to shoot four youths to avert any such threat.

Accordingly, the order of the Appellate Division should be reversed, and the dismissed counts of the indictment reinstated.

Order reversed, etc.

[1] On May 14, 1985, Goetz commenced an article 78 proceeding in the Appellate Division seeking to prohibit a trial on the charges contained in the second indictment on the ground that the order allowing resubmission of the charges was an abuse of discretion. The Appellate Division dismissed the proceeding on the ground that prohibition did not lie to review the type of error alleged by Goetz (111 AD2d 729, 730), and this court denied a motion for leave to appeal from the Appellate Division order (65 N.Y.2d 609). The propriety of the resubmission order is not before us on this appeal.

[2] The court did not dismiss the reckless endangerment charge because, relying on the Appellate Division decision in People v McManus (108 AD2d 474), it held that justification was not a defense to a crime containing, as an element, "depraved indifference to human life." As our reversal of the Appellate Division in McManus holds, justification is a defense to such a crime (People v McManus, 67 N.Y.2d 541). Accordingly, had the prosecutor's instructions on justification actually rendered the Grand Jury proceedings defective, dismissal of the reckless endangerment count would have been required as well.

[3] Subdivision (1) contains certain exceptions to this general authorization to use force, such as where the actor himself was the initial aggressor.

[4] Section 35.15 (2) (a) further provides, however, that even under these circumstances a person ordinarily must retreat "if he knows that he can with complete safety as to himself and others avoid the necessity of [using deadly physical force] by retreating".

[5] While the portion of section 35.15 (2) (b) pertaining to the use of deadly physical force to avert a felony such as robbery does not contain a separate "retreat" requirement, it is clear from reading subdivisions (1) and (2) of section 35.15 together, as the statute requires, that the general "necessity" requirement in subdivision (1) applies to all uses of force under section 35.15, including the use of deadly physical force under subdivision (2) (b).

[6] The 1881 provision expanded the class of third persons for whose defense an actor could employ deadly force from certain specified persons to any other person in the actor's presence.

7.5 Ristroph, Notes on Goetz 7.5 Ristroph, Notes on Goetz

From Alice Ristroph, Criminal Law: An Integrated Approach

Goetz was charged with attempted murder. . . The state relied on the portion of the New York second degree murder statute that criminalized an intentional killing: “A person is guilty of murder in the second degree when "… [w]ith intent to cause the death of another person, he causes the death of such person….” Notice that Goetz did not contest that he tried to cause the death of his victims, or that he had intent to kill them. Indeed, he testified that his intent was to “murder” them. That claim of intent illustrates the distinctive nature of an affirmative defense. Goetz could concede that his conduct and mental state met the definition of attempted murder in New York, but he argued that even so he should not be pun- ished because his actions—which did violate the terms of the murder statute—were justified.

After the New York Court of Appeals reinstated the charges (in the opinion you’ve just read), this case went to trial, and the jury acquitted Goetz of all charges except weapons possession. He spent eight months in jail. The case and trial captured national attention; Goetz was called “the subway vigilante” and embraced by many who saw his actions as a necessary response to prevalent urban crime. The court’s opinion does not mention the races of the persons involved (Goetz was white, the four young men he shot were Black), but by one observer’s account, racialized imagery and fears loomed large in the trial. Professor George Fletcher observed the trial and later reported that neither the prosecution or defense explicitly mentioned race, but Goetz’s defense referred to the Black youths as “savages,” “predators,” and “vultures.” According to Fletcher,

“The covert appeal to racial bias came out most dramatically in [a re-enactment] of the shooting… The nominal purpose of the demonstration was to show the way in which the bullet entered the body of each victim. The defense’s real purpose, however, was to recreate for the jury … the scene that Goetz encoun- tered when four black passengers began to surround him. [Goetz’s attorney] asked the Guardian Angels [a volunteer crime patrol organization] to send him … four young black men to act as the props in the demonstration. In came the four young black Guardian Angels, fit and muscular, dressed in T-shirts, to play the parts…” George P. Fletcher, A Crime of Self-Defense: Bernhard Goetz and the Law on Trial 206-207 (1988).

. . . Some scholars have argued that the racial identity of parties operates (impermissibly, but unavoidably) as a kind of character evidence, because jurors are likely to draw conclusions about the parties on the basis of their racial identities. See Jasmine B. Gonzales Rose, Toward A Critical Race Theory of Evi- dence, 101 Minn. L. Rev. 2243, 2261-2268 (2017).

Darrell Cabey, who was shot in the spine and left paralyzed, sued Goetz in civil court and won a $43 million judgment in 1996. Goetz declared bankruptcy, however, and Cabey was unable to collect the judgment. As one newspaper reported,

“The jury’s decision was a stunning reversal for Goetz, 48, who was acquitted of attempted murder nine years ago in the same shooting and become a national symbol of urban rage and frustration.

But this time around—in a civil as opposed to a criminal trial, before a largely black jury in the Bronx instead of a largely white one in Manhattan, and at a time when crime here is on the downswing as opposed to the upswing—the six-person jury ruled against Goetz in about five hours.

It found that Goetz acted “recklessly” and “outrageously” in his attack on Darrell Cabey, now 30, who was left brain damaged and paralyzed from the chest down by one of Goetz’s bullets.”

Malcolm Gladwell, Goetz Told to Pay $43 Million, But Plaintiff to Get Little of That, South Florida Sun-Sentinel, April 24, 1996.

 

 

7.6 The Trial of Bernhard Goetz: Goetz's Videotaped Confession 7.6 The Trial of Bernhard Goetz: Goetz's Videotaped Confession

The following excerpt from the interview is included in The Trial of Bernhard Goetz (Aae Films, 1988).

On December 31, 1984, after turning himself in to Concord, New Hampshire police, Bernhard Goetz was subjected to two lengthy interviews. The first was an audiotaped interviewed with Concord police detectives and the second was a more contentious two-hour videotaped interview with three New York City police detectives, Susan Braver, Michael Clark, and Dan Hattendorf....This excerpt from what is commonly called Goetz's "confession," reveals Goetz to be--at least at the time of the interview--in a highly disturbed state of mind.

Braver: Mr. Goetz, I am assistant district attorney, Susan Braver from the New York county town of Manhattan district attorney’s office, this gentlemen are Mr. Hattendorf of the transit police squad and Detective Clark of the New York Police Department...Now, you indicated earlier to us that you. You indicated earlier to the detective here that you would to speak with us about this incident.

Goetz: Oh God, when I hear Manhattener’s speak, I didn’t want to.

Braver: Mr. Goetz, this is all on video tape.

Goetz: Sure, sure.

Braver: Nothing that is said in this room is off the video tape.

Goetz: That’s..that’s that’s….

Braver: For your protection and for ours.

Goetz: That’s fine. I don’t, I don’t want to be rude but I just don’t want to speak to you. I have nothing to say.

Clark: Bernard.

Goetz: You don’t understand.

Clark: Bernard

Clark: Could I talk to you?

Goetz: Sure.

Braver: Before they do that....I want to be sure you understand that you have all your rights in connection with speaking to us.

Goetz: Okay.

Braver: Okay?

Goetz: Okay.

Braver: If you will let Detective Clark….please let Detective Clark tell it to you, okay

Clark: Bernard, could I just explain some things to you....Sit back..first of all I would like for you to just try and relax a little bit, okay?...Sit back…just sit back.

Goetz: Nothing I’ve got to say is going to make sense.

Goetz: In order for…I know, in order I…I…I… you want this to end huh?

Clark: I know you want this to be over. I know you came in voluntarily. This thing must be weighing heavily on your mind.

Goetz: That’s not important. That’s not important. Get to the point, get to the point.

Braver: The point…the point. The point is Mr. Goetz right off the bat, I 'm going to tell you I want to be sure you understand exactly what it is we’re doing here, okay? Now, you have the right to remain silent--do you know that?

Goetz: Okay, okay

Braver: Do you understand?

Goetz: I…I… just don’t know what to say to you.

Braver: Do you understand that you don’t have to talk to us?

Goetz: Yes, okay…My, my...I .. I don’t want to talk to you. I don’t want to talk to you. All right, all right, all right. I can’t, I can’t believe I’m saying this, I... I... I... I apologize for it but I... I... I... just, I just I don’t want to talk to you.

Braver: Would you like a cup of coffee or something?

Goetz: No, I’d like to get out of here.

Braver: Are you cold?

Goetz: No, I’m not. I just, I would just like to get out of this room.

Braver: We would like to resolve this.

Goetz: Okay, good you would like to resolve it. I know you would like to.

Braver: And I know you would.

Goetz: Oh yeah, yeah, yeah isn’t that great? I apologize I know, I know I’m not being civil because for you this is all business that’s, that’s, that’s what this is for you, all business, you know. I... I... I don’t, I don’t, I don’t, I don’t want to be rude to you, I’m, I’m, I’m sorry, I just, I just, I just, I just you, you, you, say I have the right to remain silent?

Braver: Yes.

Goetz: That’s what I prefer to do, that’s, that’s what I prefer, I'm sorry. I don’t, I don’t, I don’t, I’m not hiding behind this thing but, but, just when I hear I... I... I... I don’t know how I can explain this to you as individuals, but just when I hear people from the Manhattan business world talk and, and, and their tone of voice, Manhattan.

Braver: We all live in Manhattan

Goetz: Yes and its, its, its, its, its, it makes, I.., I.., I.., I.., I.., I can’t stand it, just, just, just the sound. It’s, it’s, it’s it’s it’s, it’s all, you know how, how if, if, if, if, if you, if you want the information I’m I’m giving you all the information and, and, and if you want to know something the worst that was said about me is true. For a period of time I was a cold-blooded murderer. Now, they didn’t, I mean that may not even come to pass but that’s what I really really was, okay. Now, now all those things there I’ll, I’ll sign it. You have, you have all the facts and and what you want to do with it but but hearing people saying all the time what is right and and and what is wrong and and people don’t people they don’t even know, they, they, they don’t even know. Is this what they typed? Is this what they typed?

Braver: This is what I was handed here in New Hampshire.

Goetz: Okay, I’ll sign it. Sure yeah, this is it. This is, this is it.

Braver: Um…if you want us to take this as your statement I have to know what it says, it’s what you said.

Goetz: What, what, ah, oh, oh, okay, sure, sure, sure, ah that’s, ah that’s true. Ah that’s true.

Braver: Sir, I’d like you to careful and and and look at it.

Goetz: That’s true.

Goetz: What is this "yah, yah"? I never said "yah yah." I said yes. I might of said "yeah yeah, the train was moving," I never said "yah yah." Yah, yah....Maybe um..um..well somebody else said...

Clark: Maybe in New Hampshire a New York "yeah "is a New Hampshire "yah"-- a "yeah" in New York is a New Hampshire "yah."

Braver: Are you um, um are you looking at that?

Goetz: Yes, I am.

Braver: You can read that quickly?

Goetz: Well no, I’m not reading every line but these are ah these are these are all phrases every I.. I.. I.. I just spot things and I … this is true, this is true.

Braver: Would it really be a hardship for you to read that every line?

Goetz: If you insist.

Braver: It’s important to you.

Goetz: If you insist.

Braver: It’s better, you could, um, talk to me or you could read every line if you say this you talking to me.

Goetz: That’s that’s that’s so important for the technicalities isn’t it?

Braver: No.

Goetz: Oh yes it’s...It’s for you....All of this has be formalities and and by the rules...

Braver: No, it’s for you.

Goetz: Oh yes, yes, for my protection.

Braver: It’s for your protection.

Goetz: Do you know how sick your legal system makes me Miss? Miss, I.. I.. I just don’t want to talk to you again. New York city is a system that knows so much and is so good you decide what you decide what is right and wrong.

Braver: The people will.

Goetz: Oh you’re so competent the people will...God, the people will the people will.

Braver: This has to go the grand jury, Mr. Goetz.

Goetz: This has to go to the grand jury. Isn't that wonderful? It’s it’s a part of your system. It’s just great, it’s just great. I.. I.. I tell you the government in the city is--it’s a disgrace and if you don’t now look I may be the biggest piece of bleep in the world and you can drag me through the dirt, I don’t care, but there is a bigger issue and that is the government of New York city is a disgrace. I’ve heard things said about me--that I am uncivilized, okay or I acted in an uncivilized way, in the most, if you think this is vicious, if you know what is in my mind is the most vicious thing that I can think of is that person who said that, I.. I wish they were sitting there in that seat instead of me, that would have been beautiful. I mean, I wish I was never there and they were there--that would of been great. People talk about law and order and, you know, and and... and lawlessness, you talk you talk about lawlessness. This city doesn’t care about lawlessness. You talk about anarchy that’s what there is now. I don’t care what you do to me--it doesn’t matter. You see I’m not hiding anything but but all this is it’s it’s like a dam and water is building up behind the dam and eventually and this is just a crack in the dam or a little hole that’s in the dam and eventually something. What I did down there was, let’s say it’s wrong, that doesn’t bother me, but what this did is it showed the system as being a sham. That’s why the city so vehemently attacked the Guardian Angels--because...because...because the sham showed the city for it is. It showed the legal system for what it is. It is a sham.

Braver: How does it show the legal system for what it is?

Goetz: Because because people who are violent are just like let back out on the street again and again and they’re charged with nothing. Do you do you understand that? If, if..if..if...if...if a person has to be reduced to this kind of animal to survive in the city--I mean if you take a rat, okay, I was vicious, I don’t deny it, if, if, if, if you take a rat and you corner it and you, ah let’s say just one time you start poking it with red hot needles and the rat, the rat, doesn’t know how to react when do you this okay and you wind up doing it again or you know perhaps again and if once in awhile the rat turns viciously on you and becomes a...a...a...a...a totally vicious killer--which is which is really what I was--then don’t don’t go passing statements of morality saying "ah, well this was not warranted" or "this was ah or you know he should have done this or all he had to do was show the gun." I’ve been situations where I’ve shown the gun. What happened here is I snapped, show them the gun at one point would ah…

Braver: How come you didn’t show the gun the other times and this time you did? Was there anything that that...

Goetz: You don’t, you don’t, you...you...you weren’t there, you weren’t there--what okay I’m going to give give you an honest answer, you don’t you don’t understand. The threat, when I was surrounded at at that point showing the gun would have been enough but when I saw this one fellow, when I saw the gleam in his eye and and the smile on his face and and and they say it’s a joke and lot of them say it’s a joke…

Clark: Was he the one that ask for the money?

Goetz: What?

Clark: Was he the one that asked for the money?

Goetz: [Sighing]..I don’t care about the technicality. Asking for the money is bullshit. The guy--his his exact words were "Give me five dollars"--that’s bullshit. The robbery had nothing to do it. When I saw, when I saw his smile and the look in his eye and and you...you can’t understand this how can people like you be familiar with violence? If okay--if...if you have a skull with a glass globe in the center, people can come up to that skull and break the teeth and and break the jaw and whatever right and ah. What the city will do is they will help you wire up the jaw together and and put the teeth in and and patch up and and the glass globe inside is is shattered still and on the outside everything everything is fine so as long as things on the surface are patched up the city says fine everything is okay and it’s not like that. If...if...if the city doesn’t change eventually the city is going to reap it’s...it’s...it’s...it’s going to reap the harvest that it sowed, okay? And and and sign

Braver: Mr. Goetz why these four? Why these four?

Goetz: Oh...oh...oh isn’t that beautiful? You you ask the question in in in an intellectual way: "Why these four?"

Braver: Why these four?

Goetz: I didn’t pick out these four. I never met those guys. I told you guys in here I...I never met them.

Braver: But why these four though, I mean…

Goetz: Because, because, because I saw what they were intending to do with me, Miss. They were intending, they were intending to play with me like a cat plays with a mouse. Now, you’re not familiar with violence ah [sighs]. There, there are so many details. It’s all, it’s all in here. There so many things that happen afterwards it would it would take it would take 10 minutes, 20 minutes to describe I’ve been through it and it’s so painful to go through it again and again.

Clark: I know but we’re just trying to verify that what you did is what you said you did....But, but but what about the five shots did that come out the newspaper? Well which victim did you...

Goetz: Victim! Victim! You call him the victim? Okay...okay...I...I...I accept, I...I...I accept. I...I accept that, I accept that they are the victims. I’m not going to contest anything, I’m not going to contest anything.

Clark: Bernard which one was he in the sequence of the shooting?

Goetz: Okay, okay he would have been, he would have been ah...ah...ah...um...the...the...the...ah...the sequence is um...um...um...not, not a simple sequence...

Clark: Okay, as best you can just tell me which one would have been up...

Goetz: In my mind I what what frightens me is either I missed somebody once, and that means I shouldn’t have been shooting at all. That doesn’t bother me. I, ah...Let me say I wanted to I told those guys here already. I wanted to kill those guys. I wanted to maim those guys. I wanted to make those them suffer in every way I could--and you can't understand this because it’s a realm of reality that you’re not familiar with. If I had more bullets I would have shot them all again and again. My problem was I ran out of bullets. Do I have to go this route? Do do do you want to hear it one more time?

Braver: What?

Goetz:The whole story?

Braver: We’d love to this way we could satisfy...

Goetz: Okay, I just want to give a little background about me and violence.

Braver: Sure.

Goetz: Okay, start with I’m...I’m no nice guy you’re going to be able to drag me through the dirt, I don’t care about that. I’ve got plenty of faults,...Several years ago I got, ah, I got jumped about 2:30 on Canal Street--2:30 in the afternoon during the week. I was jumped by three guys, now. They deliberately went after my knee and they got it. Like, ah, like I got kicked in the knee and then, and then, and what hurts you is that they didn’t have weapons and people you don’t have to maimed with a weapon what what really, what really, hurts you is is the sidewalk. They tried to push me through a plate glass door and I’m in good physical shape--I... I can do, you know, push-ups standing on my hands. I pushed as hard as I could and when I hit that door I still hit that door so hard, that door with my hands, I still hit that door so hard--the glass. the glass hard--the glass didn’t break, thank God, you know because that that that would have been it, but the, but the, handle--yeah, yeah, yeah, the handle--it it hit my chest and and afterwards now I...I...I was a wreck. I was hyper in...in...in hyperactivity for about four days after that. I went up to Connecticut to work and everything and four days later I check into a emergency room and my chest was messed up. It took about six months to heal and I had a bad knee--a permanent bad knee from that. Since then, since then, prior to this incident I was, I was, attacked, I was attacked. The next day I was carrying I was carrying a gun. Now this particular incident I...I was in the middle of a project. I got disgusted with it. I was working on a piece of equipment. I said well I better take a break. I...I went downtown. I got on the train. When,when, the first, the fellow, one of the fellows who was lying down there were four fellows in there. He lied down, and he and he was lying down and, ah, he looked at me and said, “How are you doing?”

Clark: What were you feeling when he said how were you doing? What were you thinking then? What was your impression of how are you doing? What, what were you feeling?

Goetz: These were just kids kidding around.

Clark: Okay....

Goetz: That’s...that’s...that’s...that’s all. It could have just been kids kidding around but but it’s just a possible warning, just a possible warning. It...it is wasn’t even a possible warning, it was a prime but then two of them stood up--okay--and they walked over to my left, okay. Now there were two of them to my right and and and two on my left. Now, I...I...I knew at that point I would have to pull the gun. I’m, going say this. At that time I was going to pull the gun. But I wasn’t going to kill them. And that’s what I wound--what I wound up trying to do, but I had no intention of killing them at that time.

Clark: Well, what was your intention?

Goetz: Listen, listen, listen, listen, listen. What my intention was at that time was just to follow the situation as closely as I could. The one on my left, he asked me, he didn’t ask me...What he according to the papers he asked me, “Give me five dollars”--and he said it with a smile and his eyes were bright. I knew I had to pull the gun, but it was the look. And now you cannot understand this. It was, it was, it was, his eyes were shiney. He had a smile on his face. I saw the smile on his face and and and the shine, the shine is his eyes, that he was enjoying this. I knew what they were going to do. Do you understand? Okay, do you understand now? At that point, now. For combat you have to be cold blooded and I was. And it was at that point I decided to kill them after all, murder them all, do anything.

Braver: What did you think they were going to do?

Goetz: Laughing…How can you ask a question like that? What what what they were going to do is they were going to they were going to have fun with me with me, Miss.

Brabver: What do you mean by that?

Goetz: What do you mean?

Braver: What is your interpretation of that? I can’t get inside your head.

Goetz: Beat the shit out of you. What they were going to do was is is enjoy me for awhile. They were going to beat the fucking shit out of me, okay.

Clark: Did you feel trapped?

Goetz: Did I feel? What do you think? Oh no, no, no, no, no, no, I felt free, I felt free. You know I was enjoying Fun City.

Clark: I see what you were felt at the time.

Goetz: I was just whistling Dixie, okay? I was in fear. And that’s good, because that helps that helps you think. That helps you think. But when I saw his eyes, up to that point my state of mind changed and you go through a different state of mind where reality totally totally changes. So I had my pattern of flight laid out. It was obvious and what you do is is is you don’t think. You just, you don’t think, just act. Speed is everything, speed is everything. You just think of speed and the count. You don’t need verification. When he said, “Give me five dollars,” I pulled out the piece I just started firing. Now its...its...its on point to look at what your firing at. You just target images in your mind. You aim for the center of the mass, you keep moving. All you have to do is be ah...ah faster than they are. Now, perhaps they’re, you don’t know what is happening on your right hand side, but it doesn’t matter. You do what you have do as quickly as possible. You don’t think. You live you live for the fraction of the moment to the fraction...fraction of the moment. The ah...the ah...the ah...the the you just react, you just react, you forget everything that happened the instant before and you site. You don’t understand: I’m explaining what happened. You site, listen, listen, listen, listen you site your target. That was number one, I got rid of number one. Got number two.

Got rid of number two. They say I shot him in the back. That doesn’t even matter. I wasn’t even aiming for the back. You aim for the center. One of the fellows looked like he was trying...I...I...I...I don’t know. I don’t know if he was facing from the front or the back, whatever. But it seemed as if he was trying to get through the steel wall of the subway car. But he couldn’t. I let him have it and I let of the other guys have it. The one who that was pretending he wasn’t with them, and I ran up to the first two to check them. Who were on the ground. The first two that I had shot and they were taken care of. It was all very cold-blooded, Miss. And this is going to offend everyone. And I went back to the other two to check on them. I wanted to know if I had missed and I, but I...I...I...I went to them a second time and I looked at him and--he can’t verify this because he was probably out of it by then, if I shot him or not, I don’t know--and I said, “You seem to be doing all right, here’s another.”

People are looking for a hero or they are looking for a villain. And neither is…neither is nothing is the truth. What you have here...here...what you have here is nothing more…What you have here is nothing more than a vicious rat. That’s all it is is. It’s not Clint Eastwood. It’s not…its not taking the law in your own hands. You can label that. It’s not being judge, judge, jury and executioner.

Clark: Bernard, can we get back…

Goetz: What this is--what this is, what this is--listen, I'm going to tell you what this is, and you won't understand. This is--this is, this is--survival instinct, okay? And...and...and you can condemn it all you want. I...I...I...I...I...I...just don't care anymore....

 

7.7 Florida Statute on Justifiable Use of Force 7.7 Florida Statute on Justifiable Use of Force

CHAPTER 776

JUSTIFIABLE USE OF FORCE

776.012 Use or threatened use of force in defense of person.—

(1) A person is justified in using or threatening to use force, except deadly force, against another when and to the extent that the person reasonably believes that such conduct is necessary to defend himself or herself or another against the other’s imminent use of unlawful force. A person who uses or threatens to use force in accordance with this subsection does not have a duty to retreat before using or threatening to use such force.

(2) A person is justified in using or threatening to use deadly force if he or she reasonably believes that using or threatening to use such force is necessary to prevent imminent death or great bodily harm to himself or herself or another or to prevent the imminent commission of a forcible felony. A person who uses or threatens to use deadly force in accordance with this subsection does not have a duty to retreat and has the right to stand his or her ground if the person using or threatening to use the deadly force is not engaged in a criminal activity and is in a place where he or she has a right to be.

7.8 Markovitz on George Zimmerman & Bernie Goetz 7.8 Markovitz on George Zimmerman & Bernie Goetz

Excerpts from Jonathan Markovitz, "A Spectacle of Slavery Unwilling to Die": Curbing Reliance on Racial Stereotyping in Self-Defense Cases, 5 UC Irvine L. Rev. 873, 877–82 (2015)

In the early evening of February 26, 2012, George Zimmerman, a volunteer neighborhood watch captain, noticed a Black teenager walking in a gated community in Sanford, Florida. Seventeen-year-old Trayvon Martin, who was in town to visit his father and had just purchased candy and iced tea at a nearby convenience store, was in the middle of a cell phone conversation when he aroused Zimmerman's interest. Zimmerman called the Sanford Police Department, relayed his suspicions, said that Martin was running, and was advised not to follow him. This was the fifth time that Zimmerman had called the police to report Black men travelling on foot in the neighborhood in recent days. Within minutes, a neighbor called the police to report hearing screams. Screaming could be heard in the background of the 911 call, followed by the sound of a gunshot.

When the paramedics arrived, they pronounced Trayvon Martin dead at the scene. Martin was killed by a single gunshot to the chest. George Zimmerman, who had suffered head injuries at some point before the arrival of the police, told the police that he and Martin had been involved in a physical altercation, and that he shot Martin in self-defense. He was taken into custody and released approximately five hours later, without being arrested. The lead homicide investigator in the case recommended charging Zimmerman, but was overruled by the state's attorney general who explained that there was insufficient evidence to convict. Martin's father was not informed of the death until 9:20 a.m. the following morning.

The case lent urgency to a national debate about racial profiling, which was already in the media spotlight because of a series of dramatic protests surrounding  the New York City Police Department's “stop and frisk” policies. Martin was shot while wearing a hooded sweatshirt (a “hoodie”), and after Geraldo Rivera used his platform on Fox News to indict Martin's “thug wear,” suggesting that Martin's sartorial choices were responsible for his death, hoodies became a symbol of national protest. There were “million hoodie marches” involving thousands of participants throughout the spring of 2012. In late March, Democratic Congressman (and former Black Panther) Bobby Rush of Chicago was ejected from the House floor for wearing a hoodie during a floor speech. A YouTube video of the ejection received more than 600,000 views. Several days later, members of the Black, Latino, and Asian Pacific Islander Caucuses wore hoodies during a session of the California legislature, while protesting the killing and calling on the federal government to intervene in the investigation.

But in the weeks that followed Martin's death, it was not the killing alone, but also the decision not to arrest or prosecute Zimmerman that aroused national outrage and elevated the case to the status of a cause célèbre. Media attention to the case prompted Democratic members of the U.S. House of Representatives to hold a forum on racial profiling and hate crime prosecution, while more than 2 million people signed a petition on the website change.org calling for Zimmerman's prosecution. The call was eventually answered. On March 20, 2012, the U.S. Department of Justice announced an investigation into the case, and on March 22, the Sanford chief of police stepped aside as the Florida Governor appointed a special prosecutor. The following day, President Obama responded to a question about the case by discussing the urgent need to “get to the bottom of exactly what happened,” and saying “[i]f I had a son, he'd look like Trayvon.” On April 11, 2012, George Zimmerman was charged with second-degree murder and turned himself in.

Zimmerman's trial began on June 24, 2013. The case once again attracted national and international attention, placing issues of race and self-defense under the media spotlight throughout the trial's three-week duration. While Zimmerman was initially charged only with second-degree murder, jurors were also given instructions on manslaughter at the trial's conclusion. Zimmerman was acquitted on July 13, 2013. The acquittal sparked another round of protests around the country.  . . . On February 24, 2015, the Justice Department announced that it would not prosecute Zimmerman, citing “insufficient evidence.”

the most important way that stand your ground laws change self-defense requirements is that they expand the protections given to potential self-defense defendants. Under most stand your ground laws, self-defense is not simply an affirmative defense to be argued at trial, but can instead become a bar to prosecution. The Florida statute grants immunity from criminal prosecution or civil liability to anyone using deadly force under the law. This immunity applies even if the person using deadly force was the initial aggressor, as long as that person is responding to force that “is so great that the person reasonably believes that he or she is in imminent danger of death or great bodily harm and . . . has exhausted every reasonable means” to escape that danger or has withdrawn from physical contact with the assailant and has indicated a desire to withdraw and terminate the use of force.

The immunity provisions in the Florida statute take effect from the moment that the police become involved in a case. Immunity from prosecution “includes arresting, detaining in custody, and charging or prosecuting the defendant.” Moreover, the statute specifies that a suspect cannot be arrested unless there is probable cause that the use of force was unlawful. This is true in any self-defense case, since it is a basic Fourth Amendment requirement that there can be no arrest without probable cause. But making this explicit in the law, when it is generally not explicit in other criminal statutes, suggests that violent crimes committed in the name of self-defense are to be treated differently than other crimes. The exact nature of the difference is, however, open to debate.

Ultimately, the Trayvon Martin case aroused national ire because, at crucial moments, key actors within the criminal justice system appeared all too willing to accept that George Zimmerman had reasonable fear coupled with a reasonable belief that it was necessary to use lethal force against an unarmed seventeen-year-old boy. To many observers, there seemed to be three different ways that racial bias had entered into the proceedings. First, Zimmerman's personal fears appeared to have been steeped in racial stereotypes of African American men, rather than based on a reasonable assessment of the situation. His fear, endorsed by some prominent pundits, seemed not to have been reasonable at all. Nor did his actions, which included pursuing Martin after being advised not to by a 911 dispatcher. In short, the killing appeared to have been the result of an ill-advised and semivigilante form of racial profiling. Second, and arguably more importantly, the initial decision not to arrest or prosecute Zimmerman was understood to mean that the legal system was sanctioning his fears and actions, thereby endorsing the very stereotypes that Zimmerman relied upon and sending a message that devalued Black life. Finally, as Zimmerman's defense team worked to convince an almost all-white jury that Zimmerman's actions were borne out of reasonable fear, it relied upon a series of well-worn racial tropes to present a seventeen-year-old boy as a monstrously brutal thug. The central issues in the case, therefore, were not about stand-your-ground legislation itself. Instead, the case raised the questions of what it means to allow a suspect to claim self-defense when his or her fear or actions may have been shaped by racist stereotypes, and of how racial bias may affect the self-defense determinations of a range of legal actors.

[W]hen [Bernie Goetz’s] case finally went to the jury, media coverage consistently suggested that race had played no role in the trial. And it is true that race was never explicitly discussed during the proceedings. However, it is possible to rely upon racial stereotypes without using the language of race, and Goetz's legal team took full advantage of racially charged imagery and code words.

Barry Slotnick, Goetz's attorney, regularly portrayed Goetz's victims in animalistic terms, referring to them as “vultures” and “predators,” while suggesting that Goetz had acted in defense not only of self, but also of civilization itself, taking aim not at a group of teenagers, but at the “savages” whose potential for violence needed no explanation. More dramatically, Slotnick staged a reenactment of the events leading up to the shooting, and relied on human props to highlight the sense of danger that Goetz claimed to have felt. . . . Slotnick had “four young black Guardian Angels, fit and muscular, dressed in T-shirts” stand in for Goetz's victims. . . . The absence of any open discussion of race may have made Slotnick's theatrical display more effective, since it meant that there was never any debate about the racial underpinnings of the staging. Additionally, it is possible that jurors who may have recoiled at explicit verbal invocations of racist stereotypes were instead quietly swayed by more covert and unacknowledged reliance upon the same types of racist imagery that were ubiquitous outside the courtroom walls, in popular culture and even within daily news coverage of the trial.

Nearly thirty years later, similar dynamics were at play as defense attorney Mark O'Mara presented his closing arguments in the murder trial of George Zimmerman. In an attempt to portray Trayvon Martin as a powerful threat, O'Mara displayed a shirtless photograph of Martin, directing the jury's gaze toward Martin's  physique. O'Mara explained that while the jury had already seen Martin's body in autopsy photographs, such photographs are presented to juries for emotional appeal. They are

“horrific, and they're meant to have negative impact. I did it when I was a prosecutor. Prosecutors do it all the time. A dead person on a slab has an impact on you. . . . The other thing about autopsy photographs is that there's no muscle tone because there's no nerves, there's no movement . . . on that picture that we have of him on the medical examiner's table, yeah, he does look emaciated. But here's him three months before that night. So it's in evidence, take a look at it. Because this is the person . . . who George Zimmerman encountered that night. This is the person who . . . attacked George Zimmerman, who broke his nose or something close to it, and battered him on something.”

O'Mara then displayed a photograph illustrating how dark it was on the night of Martin's death. He told the jury that “it was out of this darkness that Trayvon Martin decided to stalk, I guess, plan, pounce, I don't know, all I know is that when George Zimmerman was walking back to his car, out of the darkness, be it bushes or darkness or left or behind or somewhere, Trayvon Martin came towards George Zimmerman. Out of this [O'Mara shakes photo of dark area] and we know what happened. The big picture is what happened.

As with the use of the Guardian Angels in the trial of Bernhard Goetz, there is nothing about the use of the shirtless photograph of Trayvon Martin that is explicitly racialized. Certainly, O'Mara said nothing about race as he displayed the photograph. On the other hand, O'Mara's decision to highlight and then cast away images of Martin's vulnerability while lingering on his musculature fits into a long history of racialized narratives and imagery that entail reducing Black men to nothing more than brute physicality.

Self-defense cases represent only one small area of the law in which determinations of what counts as reasonable fear, suspicion, or force can be shaped by reliance on racist belief systems. 

7.9 People v. Brown 7.9 People v. Brown

68 A.D.2d 503 (1979)

The People of the State of New York, Respondent,
v.
Henry Brown, Appellant

Appellate Division of the Supreme Court of the State of New York, Second Department.

June 18, 1979

James S. Carroll, III (Gregory Traverse Crawford of counsel), for appellant.

Eugene Gold, District Attorney (Laurie Stein Hershey of counsel), for respondent.

COHALAN and MARGETT, JJ., concur with HOPKINS, J. P.; SUOZZI, J., dissents and votes to reverse the judgment and order a new trial, with an opinion.

[504] HOPKINS, J. P.

The defendant has been convicted of escape in the second degree. He claims that Criminal Term erroneously excluded evidence which he was prepared to submit in the form of testimony which would have substantiated his defenses of justification and duress. In short, the defendant argues that his evidence would have shown the escape was motivated because of threats on his life made by prison guards and other inmates, and because conditions in the prison were intolerable, thus vitiating the criminal intent which is an essential ingredient of the crime of escape in the second degree.

We affirm. The evidence tendered by the defendant would not have met the statutory standards established for the maintenance of the defenses of justification and duress, and Criminal Term was therefore correct in rejecting the proof.

I

On April 18, 1973 the defendant was committed to the Brooklyn House of Detention under an indictment charging him with murder. He had been brought to New York from Missouri where he had been serving a sentence of imprisonment for a term of 25 years for a conviction of assault with intent to kill. On September 27, 1973 the defendant was sent under guard to the Kings County Hospital for treatment of a possible ulcer. At the hospital the defendant was escorted to the X-ray department in the out-patient building.

The defendant's handcuffs were removed and the defendant undressed, donned a hospital gown and was X-rayed. He was then returned to the dressing booth. Hearing the door slam, the guards opened the booth to find the defendant gone. The guards were told that the defendant had been seen outside the building and gave chase. The pursuit was unsuccessful. The defendant was not apprehended until October 3, 1973.

The defendant was thereafter indicted for escape in the second degree.

[505] II

At the trial the defendant made several offers of proof. First, the defendant stated that Pedro Monges, a fellow prisoner, would testify that he had first met the defendant in the Brooklyn House of Detention and had heard the defendant's life threatened by prison guards on numerous occasions; that he knew that the defendant had gone to the hospital for medical treatment; and that the defendant had complained about pains in his chest caused by the threats.[1]

Second, the defendant stated that Paul Gulielmetti, a lawyer, would testify that he had acted as attorney for the plaintiffs in litigation involving conditions in the Brooklyn House of Detention, in which certain improvements had been directed by the court.[2]

[506] Third, the defendant stated that Stephen Lapimer,[3] a lawyer, would testify that he also had conducted litigation challenging conditions in the Brooklyn House of Detention, and that he had heard the Judge officiating in the litigation say that conditions in the prison were such as to lead to attempts to escape.[4]

Fourth, the defendant stated that Dan Pachoda, a lawyer, would testify that he had been associated with Mr. Gulielmetti in litigation relating to the Brooklyn House of Detention, some of which actions had been successful.[5]

Fifth, the defendant stated that Melvin Haywood, a lawyer, would testify that he had visited the Brooklyn House of Detention and was familiar with the actions in which conditions there had been challenged.[6]

Sixth, the defendant stated that Doctor Michael Smith, a psychiatrist, would testify that the effect of threats against an individual would result in personal stress, lowering the "individual's voluntariness with respect to his actions."[7]

[507] The Criminal Term sustained the prosecution's objections to the offer of proof, holding that the proof was irrelevant to the issue of guilt. In effect, the court ruled that neither fear arising from threats nor intolerable prison conditions constituted defenses to the crime of escape.

The defendant, however, was permitted to introduce evidence through a doctor's testimony that the defendant was suffering from chronic gastritis and had suffered from peptic ulcers. The doctor further testified that stress was a contributing factor in the development of an ulcer. The defendant himself testified that in 1971 he had been treated for stomach ailments and had complained of an ulcer in 1972 while in prison in Missouri. He further testified that as a result of his complaints in New York he had seen the prison doctor and finally had been sent to Kings County Hospital for X-ray examination. He admitted that he had escaped from custody during the time of that medical procedure.

Criminal Term refused to admit testimony of the defendant under an offer of proof to the effect that the police officer assigned to bring the defendant from Missouri to New York had pointed his revolver at him on several occasions and told him that he did not deserve to live.[8]

The defendant excepted to the failure of the court to charge [508] justification as a defense and specifically to the failure to charge that if the jury found that the defendant's escape was an effort to protect himself from imminent personal harm, then the jury should find that the defendant did not possess the criminal intent to commit the crime of escape.

III

Section 35.05 of the Penal Law, so far as pertinent, reads:

"Unless otherwise limited by the ensuing provisions of this article defining justifiable use of physical force, conduct which would otherwise constitute an offense is justifiable and not criminal when: * * *

"2. Such conduct is necessary as an emergency measure to avoid an imminent public or private injury which is about to occur by reason of a situation occasioned or developed through no fault of the actor, and which is of such gravity that, according to ordinary standards of intelligence and morality, the desirability and urgency of avoiding such injury clearly outweigh the desirability of avoiding the injury sought to be prevented by the statute defining the offense in issue. The necessity and justifiability of such conduct may not rest upon considerations pertaining only to the morality and advisability of the statute, either in its general application or with respect to its application to a particular class of cases arising thereunder. Whenever evidence relating to the defense of justification under this subdivision is offered by the defendant, the court shall rule as a matter of law whether the claimed facts and circumstances would, if established, constitute a defense."

This provision was derived from section 3.02 of the Model Penal Code and enters an area of criminal behavior not previously the subject of legislation in the law of New York. It is, as a commentator has said, a doctrine in substance recognizing and weighing a "choice of evils" presented by unusual situations "in which some compelling circumstance or `emergency' warrants deviation from the general rule that transgression of the criminal law will not be tolerated" (Hechtman, Practice Commentaries, McKinney's Cons Laws of NY, Book 39, Penal Law, § 35.05, p 83). To put it more concretely, the statute authorizes the defense of justification — or necessity, as it sometimes is called — in a limited number of cases where conduct otherwise condemned is found necessary as an emergency measure to avoid an imminent public or private injury about to occur through no fault of the actor, and the impending [509] injury is of such gravity that the desirability and urgency of avoiding the injury clearly outweigh the objectives of the statute condemning the conduct (cf. People v Bieniek, 60 AD2d 777; People v Brown, 70 Misc 2d 224, 227-228 [BIRNS, J.]).

Whether conditions in a prison may ever justify a defense to the crime of escape is a question expressly left open by the Court of Appeals in People v Barkman (34 N.Y.2d 624, 626). In Barkman the issue was not reached because the defendants had not made an offer of proof following a colloquy in which the trial court had said that it would not admit proof of conditions of the jail in support of a defense of justification. However, the Court of Appeals noted that the defendants had referred to the conditions only in general terms, without giving details or particulars concerning the conditions claimed to underlie and support the defense. Hence, the Court of Appeals held that "[w]ithout at least such a tender of proof we do not reach the question whether conditions or treatment in a correctional facility can ever constitute proof of justification as a defense to the crime of escape" (People v Barkman, supra, p 626).

IV

The existence and content of a defense of justification to the crime of escape have been discussed with varying conclusions in a steadily increasing incidence of cases. Certain States have held that intolerable prison conditions do not justify escape (State v Palmer, 45 Del 308; State v Cahill, 196 Iowa 486; State v Alberigo, 109 Ariz 294; Coley v State, 135 Ga App 810; State v Boleyn, 328 So 2d 95 [La]; State v Green, 470 SW2d 565 [Mo], cert den 405 US 1073). Other States have allowed the defense (Cantrell v State, 21 Ala App 558; People v Lovercamp, 43 Cal App 3d 823; People v Unger, 33 Ill App 3d 770, affd 66 Ill 2d 333; People v Luther, 394 Mich 619). Some States have not sanctioned the defense if mere threats on the life of the defendant are the basis of the claim, holding that the threats must be accompanied by immediate or imminent danger (State v Milum, 213 Kan 581; Pittman v Commonwealth, 512 SW2d 488 [Ky]; State v Fitzgerald, 14 Ore App 361; State v Pearson, 15 Utah 2d 353). Few Federal courts have considered the question, and most have not sustained the defense in the context of the circumstances presented in the particular case (see United States v Boomer, 571 F.2d 543, cert den sub nom. Heft v United States, 436 US 911; [510] United States v Michelson, 559 F.2d 567; United States v Woodring, 464 F.2d 1248; United States v Dempsey, 283 F.2d 934; but, see, United States v Bailey, 585 F.2d 1087).

In People v Lovercamp (supra) the California Court of Appeals addressed the question at length. There the defendants offered proof that over a period of two and one-half months they had been sexually threatened, that a fight had ensued, and that after the fight the defendants had been told that their assailants would see them again. The defendants escaped from prison, but were promptly captured. The California court held that the defense must show the existence of these elements (People v Lovercamp, supra, pp 831-832):

"(1) The prisoner is faced with a specific threat of death, forcible sexual attack or substantial bodily injury in the immediate future;

"(2) There is no time for a complaint to the authorities or there exists a history of futile complaints which make any result from such complaints illusory;

"(3) There is no time or opportunity to resort to the courts;

"(4) There is no evidence of force or violence used towards prison personnel or other `innocent' persons in the escape; and

"(5) The prisoner immediately reports to the proper authorities when he has attained a position of safety from the immediate threat." (Emphasis supplied.)

The California court found that the offer of proof satisfied these conditions. In United States v Michelson (559 F.2d 567, 569, 570, supra) the Court of Appeals for the Ninth Circuit did not adopt the principles of Lovercamp. Instead, the court focused on the necessity of the prisoner to return promptly to the custody of the law enforcement authorities, reasoning that even if imminent personal danger excuses escape, once the danger is remote, continued absence cannot be excused. In United States v Bailey (585 F.2d 1087, supra) the Court of Appeals for the District of Columbia, by a divided vote, sustained the defense, even where the prisoner did not return to custody promptly.

V

Whatever the merits of the Lovercamp analysis — and they appear to be considerable — our statute must be the final bench mark in assessing the defendant's conduct and his offer of [511] proof. In addressing the ultimate question of the validity of the defense of justification, we confront initially, whether, as broached under People v Barkman (34 N.Y.2d 624, supra), section 35.05 of the Penal Law ever authorizes the defense in a prosecution for the crime of escape. Second, assuming that inquiry is answered affirmatively, we must then consider whether the defendant's offer of proof fell within the statute.

In examining the statute vis-à-vis the crime of escape, we observe at once that it is not limited in scope to particular criminal conduct, for the statute reads generally that "conduct which would otherwise constitute an offense is justifiable * * * when" (Penal Law, § 35.05). The thrust of the statute is rather directed toward a situation occurring through no fault of the defendant, and the desirability and urgency of avoiding an imminent public or private injury overbalance the desirability of avoiding the injury which is contemplated by a violation of the statute for which the defendant is being prosecuted. In a broad sense, then, we think that a defendant prosecuted for escape from a penal institution can raise the defense of justification if in fact the escape was compelled by the existence of conditions posing an imminent danger of personal injury to the prisoner, which cannot be avoided by the defendant through resort to the authorities or other legal means.

We entertain no doubt that a convict, punished by imprisonment for the commission of a crime, is under a continuing duty to serve his sentence without resort to disorder or surreptitious attempts to escape; and under our system of justice it is socially desirable that a person found guilty of a crime be incarcerated for the period of time set by law as a form of punishment for his misdeed. At the same time, our system recognizes that if the imprisonment imposed on the convict suffers the existence of conditions beyond the bounds of the law, so that the convict is subjected to brutal and intolerable measures or to the danger of imminent personal injury, either from the prison guards or from other inmates, without hope of relief after reasonable appeals to the authorities, then the prisoner may claim justification for an escape if he thereafter surrenders to custody within a reasonably prompt time, and the defendant's proof must be submitted to the jury. Brutality in the treatment of a prisoner is not sanctioned simply because the prisoner was sentenced to imprisonment for the commission of a crime.

[512] Nonetheless, there are prescriptions in the statute which must be emphasized. It provides that imminent personal injury must be present before justification may be pleaded as a defense to a criminal act. Conditions in a prison may be crowded or unsanitary and yet not pose imminent danger to those confined. Relief from these conditions may be sought by the prisoner through appropriate legal action in the courts (see, e.g., Wilkinson v Skinner, 34 N.Y.2d 53, 59; Matter of Brabson v Wilkins, 45 Misc 2d 286, mod 25 AD2d 610, affd 19 N.Y.2d 433; Commonwealth ex rel. Bryant v Hendrick, 444 Pa 83; Coffin v Reichard, 143 F.2d 443; cf. Woodhous v Virginia, 487 F.2d 889; Perez v Turner, 462 F.2d 1056, cert den 410 US 944; see, generally, Turner, When Prisoners Sue: A Study of Prisoner Section 1983 Suits in the Federal Courts, 92 Harv L Rev 610). Indeed, the offer of proof made by the defendant included references to pending court proceedings concerning conditions in the institution where the defendant was confined. If, in contrast to the existence of unhealthful conditions generally in the prison, the prisoner's personal safety is threatened to the point of imminent injury and no other means of relief is reasonably available, the prisoner's escape to avoid the injury would constitute justification under the statute. Even in this extreme case, however, the prisoner should, as soon as possible, make known his presence and surrender to the law enforcement authorities (United States v Michelson, 559 F.2d 567, 570, supra).

Having determined in the affirmative the initial query whether an escape under any circumstances may be justified, we turn to the second query whether the defendant's offer of proof in this case was sufficient. We think that it was not. In the first place, the defendant remained at liberty from September 27, 1973, the date of his escape, to October 3, 1973, when he was apprehended, without any endeavor by him to return to custody. Moreover, his escape was not from the prison but from a hospital where he was undergoing treatment for an ailment; at the time it is clear that he was not under any imminent danger of personal injury. Beyond this, his offer of proof of threats in prison by prison guards was not specific as to individuals making the threats or time; and the proof that a detective bringing him to New York had threatened his life did not establish imminent danger, as the threat allegedly occurred in April, 1973 and the escape occurred some five months later. The offer of proof relating to the [513] existence of litigation challenging the conditions in Brooklyn House of Detention could not serve as a ground justifying escape, since in itself such legal proceedings did not establish imminent danger to the defendant, but rather proved the existence and use of remedies to correct such conditions. Finally, the offer of proof of psychiatric testimony concerning pressure on an individual confined under unhealthful prison conditions to escape from prison in our judgment does not satisfy the tests which the defense of justification demands. It is the presence of intolerable conditions and threats of imminent danger which establishes the defense, and the defense of justification implies stress on the prisoner arising from those conditions, without the need of psychiatric testimony.

We find, therefore, that the defendant's offer of proof was properly excluded.

VI

The defendant also urges that his escape was excused by duress. Our statute permits the defense of duress in the following language (Penal Law, § 40.00): "1. In any prosecution for an offense, it is an affirmative defense that the defendant engaged in the proscribed conduct because he was coerced to do so by the use or threatened imminent use of unlawful physical force upon him or a third person, which force or threatened force a person of reasonable firmness in his situation would have been unable to resist."

We do not think that the circumstances of this case, even viewed in the light of the testimony offered to be proved, give rise to the defense of duress under the statute.[9] There was no physical force exercised on the defendant at the time of the escape, nor was there a threat of imminent use of physical force on the defendant at the time of the escape. The defendant fled from a hospital where he had gone to receive treatment. Duress in the sense of the statute means immediate physical force or immediate threat of physical force. It may not be used as a defense when the force or threat is incapable of immediate exercise of realization.

[514] VII

Consequently, we hold that the defendant's conviction must stand, and that Criminal Term was not in error in excluding the defendant's offer of proof.

SUOZZI, J. (dissenting).

I vote to reverse the judgment of conviction and grant defendant a new trial.

I agree with so much of the majority opinion as holds that "a defendant prosecuted for escape from a penal institution can raise the defense of justification if in fact the escape was compelled by the existence of conditions posing an imminent danger of personal injury to the prisoner, which cannot be avoided by the defendant through resort to the authorities or other legal means."

However, I disagree with the majority's conclusion that defendant's offer of proof on the defense of justification was properly excluded as being insufficient as a matter of law.

As part of his offer of proof, defense counsel indicated that he would introduce testimony from a fellow inmate who was present when numerous threats were made on defendant's life by prison guards during the period commencing April 18, 1973, when defendant was committed to the Brooklyn House of Detention under an indictment charging him with murder, and September 27, 1973, when defendant was sent to Kings County Hospital (due to a possible ulcer), from whence he escaped on that very date.

In view of the fact, as the majority itself concedes, that an escape from prison may be justified in certain situations, it is clear that the defendant's offer of proof was of sufficient particularity to raise a genuine factual issue with regard to the defense of justification which could only be resolved upon submission to the jury.

Judgment of the Supreme Court, Kings County, rendered May 30, 1975, affirmed.

[1] The offer of proof was as follows: "Mr. Monges will testify to the fact that there were numerous threats made against Mr. Brown's life; that Mr. Monges first met Mr. Brown at around the time he was received into the Brooklyn House of Detention, around April 18th or thereabouts; that he was present while Correction Officers made numerous threats against Mr. Brown's life; that these threats continued up and until September 27th, 1973; that he had noted that Mr. Brown had gone to the hospital — or rather, I should say had gone for medical treatment on several occasions and that this was occasioned by the fact that Mr. Brown said he had pains in his chest and he complained about the — stating that these pains in the chest were caused by the numerous threats that were made. That's essentially what Mr. Monges will testify to. And of course, again, Your Honor, this goes to the whole issue of intent, which we have been trying to get the Court to — excuse me, to agree with. In other words, to agree with our position on the requisite intent in a criminal escape."

[2] The offer of proof was as follows: "Your Honor, Mr. Gulielmetti is a member of a law firm. He's a practicing attorney. He's been practicing the law since his admission to the bar in 1973. He's presently a member of a firm. Mr. Gulielmetti had previously worked with legal services. He was one of the attorneys who brought the suit Wilson (phonetic) v Beam (phonetic). And he has been involved extensively in prison rights litigation. Mr. Gulielmetti particularly has been involved in the litigation with respect to the conditions in the Brooklyn House of Detention. The suit, Wilson v. Beame, deals with the conditions on the 10th floor of the Brooklyn House of Detention, where Mr. Brown is presently housed. And that suit was started back in 1973. Mr. Gulielmetti can also testify, and I was going to ask that he be qualified as an expert witness, that he can also testify to the fact that there are numerous law suits going on at this time, challenging the conditions in the Brooklyn House of Detention. Many of them have been successful. One particular lawsuit, Jenkins (phonetic), I forget — Jenkins case, I forget who the defendant was. On that particular case, in this Jenkins case, it was found that the conditions were unconstitutional and they deprived the defendant's standing — all ready to stand trial several constitutional rights. And an order was entered which was stated that the conditions are so bad that the Court ordered that inmates be housed one cell, rather than several to a cell, as they were previously housed. That's basically the essence of the testimony."

[3] The trial transcript indicated that the name was spelled "Lapimer"; the defendant's brief spells the name "Latimer".

[4] The offer of proof reads as follows: "Mr. Lapimer's testimony is somewhat similar to Mr. Gulielmetti's. Mr. Lapimer is also a lawyer. He's been practicing law since 1968. He's presently working with Bronx Legal Services. Mr. Lapimer is or was the spear head in a suit which was commenced in 1972; also challenging conditions in the Brooklyn House of Detention. That suit was in the Federal Court and I think it was assigned to Judge Weinstein (phonetic). Mr. Lapimer can also testify to the fact that he has gone through the Brooklyn House of Detention on several occasions, with the Court, and that during the course of that lawsuit Judge Weinstein stated the conditions were so eronerous [sic] that they would in fact lead to escape, rather than discourage escape attempts. That's the essence of what Mr. Lapimer will testify to."

[5] The offer of proof reads as follows: "The other witnesses' names, Dan Pachoda. Mr. Pachoda works at the Legal Aid Society, Prison Rights project. And Mr. Pachoda has also been involved in a lawsuit, Wilson v. Beame, along with Mr. Gulielmetti. He presently is spear head in that particular lawsuit. Mr. Gulielmetti is basically concerned in his private practice, at this point. And Mr. Pachoda has taken over that lawsuit. Mr. Pachoda could also testify to the conditions in the Brooklyn House of Detention and he can testify to several lawsuits that have been brought challenging the conditions in the Brooklyn House of Detention; some of them successful."

[6] The offer of proof reads as follows: "Doctor Melvin Haywood is an attorney. He has a Doctorate of Jurisprudence. He works with a private law firm. Now he teaches law at Staten Island Community College and at Brooklyn College. He formerly was the head of the Community Defender at 1230 Fulton Street, which is a branch of the Legal Aid Society located in the Bedford-Stuyvesant area. He would have testified to his numerous visits to the Brooklyn House of Detention. He would have testified to his experience in the Court and he would have testified as to suits that have been brought challenging the jail conditions at the Brooklyn House of Detention."

[7] The offer of proof reads as follows:

"Doctor Michael Smith was our second witness. He's a Psychiatrist. He's presently from private practice. Doctor Smith would have testified as the effect of threats against an individual in terms of stress caused — personal stress caused in the individual and the lowering of the individual's voluntariness with respect to his actions.

"Those are the two witnesses that we had today. I was going to ask Doctor Smith a hypothetical question about threats made against Mr. Brown and what effect he feels that such threats might have had on Mr. Brown's volition in terms of his actions."

[8] The offer of proof reads as follows: "Mr. Artason is a member of the Major Case Squad. I think Mr. Spadaro at least knows of him. He's been a central key figure in most of Mr. Brown's cases. Mr. Artason picked Mr. Brown up in St. Louis around April, I think, of 1973, escorted him from St. Louis to New York, first by car and then he took Mr. Brown on a plane. He was handcuffed to Mr. Brown on the way back from St. Louis to New York. On several occasions during that trip, Mr. Artason took his revolver out, pointed it at Mr. Brown's head, stated on several occasions that he was a cop killer and didn't deserve to live. On one occasion, when they were driving in St. Louis with several other officers in the car, an automobile came alongside of the car. Mr. Artason and the other officers thought that the automobile was in some way related to Mr. Brown. All of the officers withdrew their pistols, put their pistols next to Mr. Brown's head and again stated that he didn't deserve to live. When it turned out that the automobile was not in any way related to Mr. Brown, they put their pistols back in. Mr. Artason followed Mr. Brown's murder case and was transported back around April of 1973 from St. Louis. The murder trial, I think, took place, either the latter part of 1973 or the first part of 1974."

[9] Some confusion arises in differentiating between the defense of duress and the defense of justification with respect to the crime of escape. Helpful discussions on this point appear in United States v Michelson (559 F.2d 567, 570-571, supra) and in United States v Bailey (585 F.2d 1087, 1096-1100, supra).

7.10 Tennessee v. Garner 7.10 Tennessee v. Garner

TENNESSEE v. GARNER et al.

No. 83-1035.

Argued October 30, 1984

Decided March 27, 1985*

*2White, J., delivered the opinion of the Court, in which Brennan, Marshall, Blackmun, Powell, and Stevens, JJ., joined. O’Connor, J., filed a dissenting opinion, in which Burger, C. J., and Rehnquist, J., joined, post, p. 22.

Henry L. Klein argued the cause for petitioners in No. 83-1070. With him on the briefs were Clifford D. Pierce, Jr., Charles V. Holmes, and Paul F. Goodman. W. J. Michael Cody, Attorney General of Tennessee, argued the cause for appellant in No. 83-1035. With him on the briefs were William M. Leech, Jr., former Attorney General, and Jerry L. Smith, Assistant Attorney General.

*3Steven L. Winter argued the cause for appellee-respondent Garner. With him on the brief was Walter L. Bailey, Jr.

Justice White

This case requires us to determine the constitutionality of the use of deadly force to prevent the escape of an apparently unarmed suspected felon. We conclude that such force may not be used unless it is necessary to prevent the escape and the officer has probable cause to believe that the suspect poses a significant threat of death or serious physical injury to the officer or others.

I

At about 10:45 p. m. on October 3, 1974, Memphis Police Officers Elton Hymon and Leslie Wright were dispatched to answer a “prowler inside call.” Upon arriving at the scene they saw a woman standing on her porch and gesturing toward the adjacent house.1 She told them she had heard glass breaking and that “they” or “someone” was breaking in next door. While Wright radioed the dispatcher to say that they were on the scene, Hymon went behind the house. He heard a door slam and saw someone run across the backyard. The fleeing suspect, who was appellee-respondent’s decedent, Edward Garner, stopped at a 6-feet-high chain link fence at the edge of the yard. With the aid of a flashlight, Hymon was able to see Garner’s face and hands. He saw no sign of a weapon, and, though not certain, was “reasonably sure” and “figured” that Garner was unarmed. App. 41, 56; Record 219. He thought Garner was 17 or 18 years old and *4about 5' 5" or 5' 7" tall.2 While Garner was crouched at the base of the fence, Hymon called out “police, halt” and took a few steps toward him. Garner then began to climb over the fence. Convinced that if Garner made it over the fence he would elude capture,3 Hymon shot him. The bullet hit Garner in the back of the head. Garner was taken by ambulance to a hospital, where he died on the operating table. Ten dollars and a purse taken from the house were found on his body.4

In using deadly force to prevent the escape, Hymon was acting under the authority of a Tennessee statute and pursuant to Police Department policy. The statute provides that “[i]f, after notice of the intention to arrest the defendant, he either flee or forcibly resist, the officer may use all the necessary means to effect the arrest.” Tenn. Code Ann. *5§40-7-108 (1982).5 The Department policy was slightly more restrictive than the statute, but still allowed the use of deadly force in cases of burglary. App. 140-144. The incident was reviewed by the Memphis Police Firearm’s Review Board and presented to a grand jury. Neither took any action. Id., at 57.

Garner’s father then brought this action in the Federal District Court for the Western District of Tennessee, seeking damages under 42 U. S. C. § 1983 for asserted violations of Garner’s constitutional rights. The complaint alleged that the shooting violated the Fourth, Fifth, Sixth, Eighth, and Fourteenth Amendments of the United States Constitution. It named as defendants Officer Hymon, the Police Department, its Director, and the Mayor and city of Memphis. After a 3-day bench trial, the District Court entered judgment for all defendants. It dismissed the claims against the Mayor and the Director for lack of evidence. It then concluded that Hymon’s actions were authorized by the Tennessee statute, which in turn was constitutional. Hymon had employed the only reasonable and practicable means of preventing Garner’s escape. Garner had “recklessly and heedlessly attempted to vault over the fence to escape, thereby assuming the risk of being fired upon.” App. to Pet. for Cert. A10.

The Court of Appeals for the Sixth Circuit affirmed with regard to Hymon, finding that he had acted in good-faith reliance on the Tennessee statute and was therefore within the scope of his qualified immunity. 600 F. 2d 52 (1979). It remanded for reconsideration of the possible liability of the city, however, in light of Monell v. New York City Dept. of Social Services, 436 U. S. 658 (1978), which had come down after the District Court’s decision. The District Court was *6directed to consider whether a city enjoyed a qualified immunity, whether the use of deadly force and hollow point bullets in these circumstances was constitutional, and whether any unconstitutional municipal conduct flowed from a “policy or custom” as required for liability under Monell. 600 F. 2d, at 54-55.

The District Court concluded that Monell did not affect its decision. While acknowledging some doubt as to the possible immunity of the city, it found that the statute, and Hymon’s actions, were constitutional. Given this conclusion, it declined to consider the “policy or custom” question. App. to Pet. for Cert. A37-A39.

The Court of Appeals reversed and remanded. 710 F. 2d 240 (1983). It reasoned that the killing of a fleeing suspect is a “seizure” under the Fourth Amendment,6 and is therefore constitutional only if “reasonable.” The Tennessee statute failed as applied to this case because it did not adequately limit the use of deadly force by distinguishing between felonies of different magnitudes — “the facts, as found, did not justify the use of deadly force under the Fourth Amendment.” Id., at 246. Officers cannot resort to deadly force unless they “have probable cause ... to believe that the suspect [has committed a felony and] poses a threat to the safety of the officers or a danger to the community if left at large.” Ibid.7

*7The State of Tennessee, which had intervened to defend the statute, see 28 U. S. C. § 2403(b), appealed to this Court. The city filed a petition for certiorari. We noted probable jurisdiction in the appeal and granted the petition. 465 U. S. 1098 (1984).

II

Whenever an officer restrains the freedom of a person to walk away, he has seized that person. United States v. Brignoni-Ponce, 422 U. S. 873, 878 (1975). While it is not always clear just when minimal police interference becomes a seizure, see United States v. Mendenhall, 446 U. S. 544 (1980), there can be no question that apprehension by the use of deadly force is a seizure subject to the reasonableness requirement of the Fourth Amendment.

A

A police officer may arrest a person if he has probable cause to believe that person committed a crime. E. g., United States v. Watson, 423 U. S. 411 (1976). Petitioners and appellant argue that if this requirement is satisfied the Fourth Amendment has nothing to say about how that seizure is made. This submission ignores the many cases in which this Court, by balancing the extent of the intrusion against the need for it, has examined the reasonableness of *8the manner in which a search or seizure is conducted. To determine the constitutionality of a seizure “[w]e must balance the nature and quality of the intrusion on the individual’s Fourth Amendment interests against the importance of the governmental interests alleged to justify the intrusion.” United States v. Place, 462 U. S. 696, 703 (1983); see Delaware v. Prouse, 440 U. S. 648, 654 (1979); United States v. Martinez-Fuerte, 428 U. S. 543, 555 (1976). We have described “the balancing of competing interests” as “the key principle of the Fourth Amendment.” Michigan v. Summers, 452 U. S. 692, 700, n. 12 (1981). See also Camara v. Municipal Court, 387 U. S. 523, 536-537 (1967). Because one of the factors is the extent of the intrusion, it is plain that reasonableness depends on not only when a seizure is made, but also how it is carried out. United States v. Ortiz, 422 U. S. 891, 895 (1975); Terry v. Ohio, 392 U. S. 1, 28-29 (1968).

Applying these principles to particular facts, the Court has held that governmental interests did not support a lengthy detention of luggage, United States v. Place, supra, an airport seizure not “carefully tailored to its underlying justification,” Florida v. Royer, 460 U. S. 491, 500 (1983) (plurality-opinion), surgery under general anesthesia to obtain evidence, Winston v. Lee, 470 U. S. 753 (1985), or detention for fingerprinting without probable cause, Davis v. Mississippi, 394 U. S. 721 (1969); Hayes v. Florida, 470 U. S. 811 (1985). On the other hand, under the same approach it has upheld the taking of fingernail scrapings from a suspect, Cupp v. Murphy, 412 U. S. 291 (1973), an unannounced entry into a home to prevent the destruction of evidence, Ker v. California, 374 U. S. 23 (1963), administrative housing inspections without probable cause to believe that a code violation will be found, Camara v. Municipal Court, supra, and a blood test of a drunken-driving suspect, Schmerber v. California, 384 U. S. 757 (1966). In each of these cases, the question was whether *9the totality of the circumstances justified a particular sort of search or seizure.

B

The same balancing process applied in the cases cited above demonstrates that, notwithstanding probable cause to seize a suspect, an officer may not always do so by killing him. The intrusiveness of a seizure by means of deadly force is unmatched. The suspect’s fundamental interest in his own life need not be elaborated upon. The use of deadly force also frustrates the interest of the individual, and of society, in judicial determination of guilt and punishment. Against these interests are ranged governmental interests in effective law enforcement.8 It is argued that overall violence will be reduced by encouraging the peaceful submission of suspects who know that they may be shot if they flee. Effectiveness in making arrests requires the resort to deadly *10force, or at least the meaningful threat thereof. “Being able to arrest such individuals is a condition precedent to the state’s entire system of law enforcement.” Brief for Petitioners 14.

Without in any way disparaging the importance of these goals, we are not convinced that the use of deadly force is a sufficiently productive means of accomplishing them to justify the killing of nonviolent suspects. Cf. Delaware v. Prouse, supra, at 659. The use of deadly force is a self-defeating way of apprehending a suspect and so setting the criminal justice mechanism in motion. If successful, it guarantees that that mechanism will not be set in motion. And while the meaningful threat of deadly force might be thought to lead to the arrest of more live suspects by discouraging escape attempts,9 the presently available evidence does not support this thesis.10 The fact is that a majority of police de*11partments in this country have forbidden the use of deadly force against nonviolent suspects. See infra, at 18-19. If those charged with the enforcement of the criminal law have abjured the use of deadly force in arresting nondangerous felons, there is a substantial basis for doubting that the use of such force is an essential attribute of the arrest power in all felony cases. See Schumann v. McGinn, 307 Minn. 446, 472, 240 N. W. 2d 525, 540 (1976) (Rogosheske, J., dissenting in part). Petitioners and appellant have not persuaded us that shooting nondangerous fleeing suspects is so vital as to outweigh the suspect’s interest in his own life.

The use of deadly force to prevent the escape of all felony suspects, whatever the circumstances, is constitutionally unreasonable. It is not better that all felony suspects die than that they escape. Where the suspect poses no immediate threat to the officer and no threat to others, the harm resulting from failing to apprehend him does not justify the use of deadly force to do so. It is no doubt unfortunate when a suspect who is in sight escapes, but the fact that the police arrive a little late or are a little slower afoot does not always justify killing the suspect. A police officer may not seize an unarmed, nondangerous suspect by shooting him dead. The Tennessee statute is unconstitutional insofar as it authorizes the use of deadly force against such fleeing suspects.

It is not, however, unconstitutional on its face. Where the officer has probable cause to believe that the suspect poses a threat of serious physical harm, either to the officer or to others, it is not constitutionally unreasonable to prevent escape by using deadly force. Thus, if the suspect threatens the officer with a weapon or there is probable cause to believe that he has committed a crime involving the infliction or threatened infliction of serious physical harm, deadly force may be used if necessary to prevent escape, and if, where *12feasible, some warning has been given. As applied in such circumstances, the Tennessee statute would pass constitutional muster.

Ill

A

It is insisted that the Fourth Amendment must be construed in light of the common-law rule, which allowed the use of whatever force was necessary to effect the arrest of a fleeing felon, though not a misdemeanant. As stated in Hale’s posthumously published Pleas of the Crown:

“[I]f persons that are pursued by these officers for felony or the just suspicion thereof . . . shall not yield themselves to these officers, but shall either resist or fly before they are apprehended or being apprehended shall rescue themselves and resist or fly, so that they cannot be otherwise apprehended, and are upon necessity slain therein, because they cannot be otherwise taken, it is no felony.” 2 M. Hale, Historia Placitorum Coronae 85 (1736).

See also 4 W. Blackstone, Commentaries *289. Most American jurisdictions also imposed a flat prohibition against the use of deadly force to stop a fleeing misdemeanant, coupled with a general privilege to use such force to stop a fleeing felon. E. g., Holloway v. Moser, 193 N. C. 185, 136 S. E. 375 (1927); State v. Smith, 127 Iowa 534, 535, 103 N. W. 944, 945 (1905); Reneau v. State, 70 Tenn. 720 (1879); Brooks v. Commonwealth, 61 Pa. 352 (1869); Roberts v. State, 14 Mo. 138 (1851); see generally R. Perkins & R. Boyce, Criminal Law 1098-1102 (3d ed. 1982); Day, Shooting the Fleeing Felon: State of the Law, 14 Crim. L. Bull. 285, 286-287 (1978); Wilgus, Arrest Without a Warrant, 22 Mich. L. Rev. 798, 807-816 (1924). But see Storey v. State, 71 Ala. 329 (1882); State v. Bryant, 65 N. C. 327, 328 (1871); Caldwell v. State, 41 Tex. 86 (1874).

*13The State and city argue that because this was the prevailing rule at the time of the adoption of the Fourth Amendment and for some time thereafter, and is still in force in some States, use of deadly force against a fleeing felon must be “reasonable.” It is true that this Court has often looked to the common law in evaluating the reasonableness, for Fourth Amendment purposes, of police activity. See, e. g., United States v. Watson, 423 U. S. 411, 418-419 (1976); Gerstein v. Pugh, 420 U. S. 103, 111, 114 (1975); Carroll v. United States, 267 U. S. 132, 149-153 (1925). On the other hand, it “has not simply frozen into constitutional law those law enforcement practices that existed at the time of the Fourth Amendment’s passage.” Payton v. New York, 445 U. S. 573, 591, n. 33 (1980). Because of sweeping change in the legal and technological context, reliance on the common-law rule in this case would be a mistaken literalism that ignores the purposes of a historical inquiry.

B

It has been pointed out many times that the common-law rule is best understood in light of the fact that it arose at a time when virtually all felonies were punishable by death.11 “Though effected without the protections and formalities of an orderly trial and conviction, the killing of a resisting or *14fleeing felon resulted in no greater consequences than those authorized for punishment of the felony of which the individual was charged or suspected.” American Law Institute, Model Penal Code §3.07, Comment 3, p. 56 (Tentative Draft No. 8, 1958) (hereinafter Model Penal Code Comment). Courts have also justified the common-law rule by emphasizing the relative dangerousness of felons. See, e. g., Schumann v. McGinn, 307 Minn., at 458, 240 N. W. 2d, at 533; Holloway v. Moser, supra, at 187, 136 S. E., at 376 (1927).

Neither of these justifications makes sense today. Almost all crimes formerly punishable by death no longer are or can be. See, e. g., Enmund v. Florida, 458 U. S. 782 (1982); Coker v. Georgia, 433 U. S. 584 (1977). And while in earlier times “the gulf between the felonies and the minor offences was broad and deep,” 2 Pollock & Maitland 467, n. 3; Carroll v. United States, supra, at 158, today the distinction is minor and often arbitrary. Many crimes classified as misdemeanors, or nonexistent, at common law are now felonies. Wilgus, 22 Mich. L. Rev., at 572-573. These changes have undermined the concept, which was questionable to begin with, that use of deadly force against a fleeing felon is merely a speedier execution of someone who has already forfeited his life. They have also made the assumption that a “felon” is more dangerous than a misdemeanant untenable. Indeed, numerous misdemeanors involve conduct more dangerous than many felonies.12

There is an additional reason why the common-law rule cannot be directly translated to the present day. The common-law rule developed at a time when weapons were rudimentary. Deadly force could be inflicted almost solely in a hand-to-hand struggle during which, necessarily, the safety *15of the arresting officer was at risk. Handguns were not carried by police officers until the latter half of the last century. L. Kennett & J. Anderson, The Gun in America 150-151 (1975). Only then did it become possible to use deadly force from a distance as a means of apprehension. As a practical matter, the use of deadly force under the standard articulation of the common-law rule has an altogether different meaning — and harsher consequences — now than in past centuries. See Wechsler & Michael, A Rationale for the Law of Homicide: I, 37 Colum. L. Rev. 701, 741 (1937).13

One other aspect of the common-law rule bears emphasis. It forbids the use of deadly force to apprehend a misde-meanant, condemning such action as disproportionately severe. See Holloway v. Moser, 193 N. C., at 187, 136 S. E., at 376; State v. Smith, 127 Iowa, at 535, 103 N. W., at 945. See generally Annot., 83 A. L. R. 3d 238 (1978).

In short, though the common-law pedigree of Tennessee’s rule is pure on its face, changes in the legal and technological context mean the rule is distorted almost beyond recognition when literally applied.

C

In evaluating the reasonableness of police procedures under the Fourth Amendment, we have also looked to pre*16vailing rules in individual jurisdictions. See, e. g., United States v. Watson, 423 U. S., at 421-422. The rules in the States are varied. See generally Comment, 18 Ga. L. Rev. 137, 140-144 (1983). Some 19 States have codified the common-law rule,14 though in two of these the courts have significantly limited the statute.15 Four States, though without a relevant statute, apparently retain the common-law rule.16 Two States have adopted the Model Penal Code’s *17provision verbatim.17 Eighteen others allow, in slightly varying language, the use of deadly force only if the suspect has committed a felony involving the use or threat of physical or deadly force, or is escaping with a deadly weapon, or is likely to endanger life or inflict serious physical injury if not arrested.18 Louisiana and Vermont, though without statutes or case law on point, do forbid the use of deadly force to prevent any but violent felonies.19 The remaining States either have no relevant statute or case law, or have positions that are unclear.20

*18It cannot be said that there is a constant or overwhelming trend away from the common-law rule. In recent years, some States have reviewed their laws and expressly rejected abandonment of the common-law rule.21 Nonetheless, the long-term movement has been away from the rule that deadly force may be used against any fleeing felon, and that remains the rule in less than half the States.

This trend is more evident and impressive when viewed in light of the policies adopted by the police departments themselves. Overwhelmingly, these are more restrictive than the common-law rule. C. Milton, J. Halleck, J. Lardner, & G. Abrecht, Police Use of Deadly Force 45-46 (1977). The Federal Bureau of Investigation and the New York City Police Department, for example, both forbid the use of firearms except when necessary to prevent death or grievous bodily harm. Id., at 40-41; App. 88. For accreditation by the Commission on Accreditation for Law Enforcement Agencies, a department must restrict the use of deadly force to situations where “the officer reasonably believes that the action is in defense of human life ... or in defense of any person in immediate danger of serious physical injury.” Commission on Accreditation for Law Enforcement Agencies, Inc., Standards for Law Enforcement Agencies 1-2 (1983) (italics deleted). A 1974 study reported that the police department regulations in a majority of the large cities of the United States allowed the firing of a weapon only when a *19felon presented a threat of death or serious bodily harm. Boston Police Department, Planning & Research Division, The Use of Deadly Force by Boston Police Personnel (1974), cited in Mattis v. Schnarr, 547 F. 2d 1007, 1016, n. 19 (CA8 1976), vacated as moot sub nom. Ashcroft v. Mattis, 431 U. S. 171 (1977). Overall, only 7.5% of departmental and municipal policies explicitly permit the use of deadly force against any felon; 86.8% explicitly do not. K. Matulia, A Balance of Forces: A Report of the International Association of Chiefs of Police 161 (1982) (table). See also Record 1108-1368 (written policies of 44 departments). See generally W. Geller & K. Karales, Split-Second Decisions 33-42 (1981); Brief for Police Foundation et al. as Amici Curiae. In light of the rules adopted by those who must actually administer them, the older and fading common-law view is a dubious indicium of the constitutionality of the Tennessee statute now before us.

D

Actual departmental policies are important for an additional reason. We would hesitate to declare a police practice of long standing “unreasonable” if doing so would severely hamper effective law enforcement. But the indications are to the contrary. There has been no suggestion that crime has worsened in any way in jurisdictions that have adopted, by legislation or departmental policy, rules similar to that announced today. Amici note that “[a]fter extensive research and consideration, [they] have concluded that laws permitting police officers to use deadly force to apprehend unarmed, non-violent fleeing felony suspects actually do not protect citizens or law enforcement officers, do not deter crime or alleviate problems caused by crime, and do not improve the crime-fighting ability of law enforcement agencies.” Id., at 11. The submission is that the obvious state interests in apprehension are not sufficiently served to warrant the use of lethal weapons against all fleeing felons. See supra, at 10-11, and n. 10.

*20Nor do we agree with petitioners and appellant that the rule we have adopted requires the police to make impossible, split-second evaluations of unknowable facts. See Brief for Petitioners 25; Brief for Appellant 11. We do not deny the practical difficulties of attempting to assess the suspect’s dangerousness. However, similarly difficult judgments must be made by the police in equally uncertain circumstances. See, e. g., Terry v. Ohio, 392 U. S., at 20, 27. Nor is there any indication that in States that allow the use of deadly force only against dangerous suspects, see nn. 15, 17-19, supra, the standard has been difficult to apply or has led to a rash of litigation involving inappropriate second-guessing of police officers’ split-second decisions. Moreover, the highly technical felony/misdemeanor distinction is equally, if not more, difficult to apply in the field. An officer is in no position to know, for example, the precise value of property stolen, or whether the crime was a first or second offense. Finally, as noted above, this claim must be viewed with suspicion in light of the similar self-imposed limitations of so many police departments.

IV

The District Court concluded that Hymon was justified in shooting Garner because state law allows, and the Federal Constitution does not forbid, the use of deadly force to prevent the escape of a fleeing felony suspect if no alternative means of apprehension is available. See App. to Pet. for Cert. A9-A11, A38. This conclusion made a determination of Garner’s apparent dangerousness unnecessary. The court did find, however, that Garner appeared to be unarmed, though Hymon could not be certain that was the case. Id., at A4, A23. See also App. 41, 56; Record 219. Restated in Fourth Amendment terms, this means Hymon had no articu-lable basis to think Garner was armed.

In reversing, the Court of Appeals accepted the District Court’s factual conclusions and held that “the facts, as found, did not justify the use of deadly force.” 710 F. 2d, at 246. *21We agree. Officer Hymon could not reasonably have believed that Garner — young, slight, and unarmed — posed any threat. Indeed, Hymon never attempted to justify his actions on any basis other than the need to prevent an escape. The District Court stated in passing that “[t]he facts of this case did not indicate to Officer Hymon that Garner was ‘non-danger ous.’ ” App. to Pet. for Cert. A34. This conclusion is not explained, and seems to be based solely on the fact that Garner had broken into a house at night. However, the fact that Garner was a suspected burglar could not, without regard to the other circumstances, automatically justify the use of deadly force. Hymon did not have probable cause to believe that Garner, whom he correctly believed to be unarmed, posed any physical danger to himself or others.

The dissent argues that the shooting was justified by the fact that Officer Hymon had probable cause to believe that Garner had committed a nighttime burglary. Post, at 29, 32. While we agree that burglary is a serious crime, we cannot agree that it is so dangerous as automatically to justify the use of deadly force. The FBI classifies burglary as a “property” rather than a “violent” crime. See Federal Bureau of Investigation, Uniform Crime Reports, Crime in the United States 1 (1984).22 Although the armed burglar would present a different situation, the fact that an unarmed suspect has broken into a dwelling at night does not automatically mean he is physically dangerous. This case demonstrates as much. See also Solem v. Helm, 463 U. S. 277, 296-297, and nn. 22-23 (1983). In fact, the available statistics demonstrate that burglaries only rarely involve physical violence. During the 10-year period from 1973-1982, only 3.8% of all burglaries involved violent crime. Bureau of Justice Statistics, House*22hold Burglary 4 (1985).23 See also T. Reppetto, Residential Crime 17, 105 (1974); Conklin & Bittner, Burglary in a Suburb, 11 Criminology 208, 214 (1973).

V

We wish to make clear what our holding means in the context of this case. The complaint has been dismissed as to all the individual defendants. The State is a party only by virtue of 28 U. S. C. § 2403(b) and is not subject to liability. The possible liability of the remaining defendants — the Police Department and the city of Memphis — hinges on Monell v. New York City Dept. of Social Services, 436 U. S. 658 (1978), and is left for remand. We hold that the statute is invalid insofar as it purported to give Hymon the authority to act as he did. As for the policy of the Police Department, the absence of any discussion of this issue by the courts below, and the uncertain state of the record, preclude any consideration of its validity.

The judgment of the Court of Appeals is affirmed, and the case is remanded for further proceedings consistent with this opinion.

So ordered.

Justice O’Connor,

with whom The Chief Justice and Justice Rehnquist join, dissenting.

The Court today holds that the Fourth Amendment prohibits a police officer from using deadly force as a last resort to *23apprehend a criminal suspect who refuses to halt when fleeing the scene of a nighttime burglary. This conclusion rests on the majority’s balancing of the interests of the suspect and the public interest in effective law enforcement. Ante, at 8. Notwithstanding the venerable common-law rule authorizing the use of deadly force if necessary to apprehend a fleeing felon, and continued acceptance of this rule by nearly half the States, ante, at 14, 16-17, the majority concludes that Tennessee’s statute is unconstitutional inasmuch as it allows the use of such force to apprehend a burglary suspect who is not obviously armed or otherwise dangerous. Although the circumstances of this case are unquestionably tragic and unfortunate, our constitutional holdings must be sensitive both to the history of the Fourth Amendment and to the general implications of the Court’s reasoning. By disregarding the serious and dangerous nature of residential burglaries and the longstanding practice of many States, the Court effectively creates a Fourth Amendment right allowing a burglary suspect to flee unimpeded from a police officer who has probable cause to arrest, who has ordered the suspect to halt, and who has no means short of firing his weapon to prevent escape. I do not believe that the Fourth Amendment supports such a right, and I accordingly dissent.

I-H

The facts below warrant brief review because they highlight the difficult, split-second decisions police officers must make in these circumstances. Memphis Police Officers Elton Hymon and Leslie Wright responded to a late-night call that a burglary was in progress at a private residence. When the officers arrived at the scene, the callér said that “they” were breaking into the house next door. App. in No. 81-5605 (CA6), p. 207. The officers found the residence had been forcibly entered through a window and saw lights *24on inside the house. Officer Hymon testified that when he saw the broken window he realized “that something was wrong inside,” id., at 656, but that he could not determine whether anyone — either a burglar or a member of the household — was within the residence. Id., at 209. As Officer Hymon walked behind the house, he heard a door slam. He saw Edward Eugene Garner run away from the house through the dark and cluttered backyard. Garner crouched next to a 6-foot-high fence. Officer Hymon thought Garner was an adult and was unsure whether Garner was armed because Hymon “had no idea what was in the hand [that he could not see] or what he might have had on his person.” Id., at 658-659. In fact, Garner was 15 years old and unarmed. Hymon also did not know whether accomplices remained inside the house. Id., at 657. The officer identified himself as a police officer and ordered Garner to halt. Garner paused briefly and then sprang to the top of the fence. Believing that Garner would escape if he climbed over the fence, Hymon fired his revolver and mortally wounded the suspected burglar.

Appellee-respondent, the deceased’s father, filed a 42 U. S. C. § 1983 action in federal court against Hymon, the city of Memphis, and other defendants, for asserted violations of Garner’s constitutional rights. The District Court for the Western District of Tennessee held that Officer Hymon’s actions were justified by a Tennessee statute that authorizes a police officer to “use all the necessary means to effect the arrest,” if “after notice of the intention to arrest the defendant, he either flee or forcibly resist.” Tenn. Code Ann. §40-7-108 (1982). As construed by the Tennessee courts, this statute allows the use of deadly force only if a police officer has probable cause to believe that a person has committed a felony, the officer warns the person that he intends to arrest him, and the officer reasonably believes that no means less than such force will prevent the escape. See, e. g., Johnson v. State, 173 Tenn. 134, 114 S. W. 2d 819 *25(1938). The District Court held that the Tennessee statute is constitutional and that Hymon’s actions as authorized by that statute did not violate Garner’s constitutional rights. The Court of Appeals for the Sixth Circuit reversed on the grounds that the Tennessee statute “authorizing the killing of an unarmed, nonviolent fleeing felon by police in order to prevent escape” violates the Fourth Amendment and the Due Process Clause of the Fourteenth Amendment. 710 F. 2d 240, 244 (1983).

The Court affirms on the ground that application of the Tennessee statute to authorize Officer Hymon’s use of deadly force constituted an unreasonable seizure in violation of the Fourth Amendment. The precise issue before the Court deserves emphasis, because both the decision below and the majority obscure what must be decided in this case. The issue is not the constitutional validity of the Tennessee statute on its face or as applied to some hypothetical set of facts. Instead, the issue is whether the use of deadly force by Officer Hymon under the circumstances of this case violated Garner’s constitutional rights. Thus, the majority’s assertion that a police officer who has probable cause to seize a suspect “may not always do so by killing him,” ante, at 9, is unexceptionable but also of little relevance to the question presented here. The same is true of the rhetorically stirring statement that “[t]he use of deadly force to prevent the escape of all felony suspects, whatever the circumstances, is constitutionally unreasonable.” Ante, at 11. The question we must address is whether the Constitution allows the use of such force to apprehend a suspect who resists arrest by attempting to flee the scene of a nighttime burglary of a residence.

II

For purposes of Fourth Amendment analysis, I agree with the Court that Officer Hymon “seized” Garner by shooting him. Whether that seizure was reasonable and therefore permitted by the Fourth Amendment requires a careful bal*26ancing of the important public interest in crime prevention and detection and the nature and quality of the intrusion upon legitimate interests of the individual. United States v. Place, 462 U. S. 696, 703 (1983). In striking this balance here, it is crucial to acknowledge that police use of deadly force to apprehend a fleeing criminal suspect falls within the “rubric of police conduct . . . necessarily [involving] swift action predicated upon the on-the-spot observations of the officer on the beat.” Terry v. Ohio, 392 U. S. 1, 20 (1968). The clarity of hindsight cannot provide the standard for judging the reasonableness of police decisions made in uncertain and often dangerous circumstances. Moreover, I am far more reluctant than is the Court to conclude that the Fourth Amendment proscribes a police practice that was accepted at the time of the adoption of the Bill of Rights and has continued to receive the support of many state legislatures. Although the Court has recognized that the requirements of the Fourth Amendment must respond to the reality of social and technological change, fidelity to the notion of constitutional— as opposed to purely judicial — limits on governmental action requires us to impose a heavy burden on those who claim that practices accepted when the Fourth Amendment was adopted are now constitutionally impermissible. See, e. g., United States v. Watson, 423 U. S. 411, 416-421 (1976); Carroll v. United States, 267 U. S. 132, 149-153 (1925). Cf. United States v. Villamonte-Marquez, 462 U. S. 579, 585 (1983) (noting “impressive historical pedigree” of statute challenged under Fourth Amendment).

The public interest involved in the use of deadly force as a last resort to apprehend a fleeing burglary suspect relates primarily to the serious nature of the crime. Household burglaries not only represent the illegal entry into a person’s home, but also “pos[e] real risk of serious harm to others.” Solem v. Helm, 463 U. S. 277, 315-316 (1983) (Burger, C. J., dissenting). According to recent Department of Justice statistics, “[t]hree-fifths of all rapes in the home, *27three-fifths of all home robberies, and about a third of home aggravated and simple assaults are committed by burglars.” Bureau of Justice Statistics Bulletin, Household Burglary 1 (January 1985). During the period 1973-1982, 2.8 million such violent crimes were committed in the course of burglaries. Ibid. Victims of a forcible intrusion into their home by a nighttime prowler will find little consolation in the majority’s confident assertion that “burglaries only rarely involve physical violence.” Ante, at 21. Moreover, even if a particular burglary, when viewed in retrospect, does not involve physical harm to others, the “harsh potentialities for violence” inherent in the forced entry into a home preclude characterization of the crime as “innocuous, inconsequential, minor, or ‘nonviolent.’” Solem v. Helm, supra, at 316 (Burger, C. J., dissenting). See also Restatement of Torts §131, Comment g (1934) (burglary is among felonies that normally cause or threaten death or serious bodily harm); R. Perkins & R. Boyce, Criminal Law 1110 (3d ed. 1982) (burglary is dangerous felony that creates unreasonable risk of great personal harm).

Because burglary is a serious and dangerous felony, the public interest in the prevention and detection of the crime is of compelling importance. Where a police officer has probable cause to arrest a suspected burglar, the use of deadly force as a last resort might well be the only means of apprehending the suspect. With respect to a particular burglary, subsequent investigation simply cannot represent a substitute for immediate apprehension of the criminal suspect at the scene. See President’s Commission on Law Enforcement and Administration of Justice, Task Force Report: The Challenge of Crime in a Free Society 97 (1967). Indeed, the Captain of the Memphis Police Department testified that in his city, if apprehension is not immediate, it is likely that the suspect will not be caught. App. in No. 81-5605 (CA6), p. 334. Although some law enforcement agencies may choose to assume the risk that a criminal will remain at large, the *28Tennessee statute reflects a legislative determination that the use of deadly force in prescribed circumstances will serve generally to protect the public. Such statutes assist the police in apprehending suspected perpetrators of serious crimes and provide notice that a lawful police order to stop and submit to arrest may not be ignored with impunity. See, e. g., Wiley v. Memphis Police Department, 548 F. 2d 1247, 1252-1253 (CA6), cert. denied, 434 U. S. 822 (1977); Jones v. Marshall, 528 F. 2d 132, 142 (CA2 1975).

The Court unconvincingly dismisses the general deterrence effects by stating that “the presently available evidence does not support [the] thesis” that the threat of force discourages escape and that “there is a substantial basis for doubting that the use of such force is an essential attribute to the arrest power in all felony cases.” Ante, at 10, 11. There is no question that the effectiveness of police use of deadly force is arguable and that many States or individual police departments have decided not to authorize it in circumstances similar to those presented here. But it should go without saying that the effectiveness or popularity of a particular police practice does not determine its constitutionality. Cf. Spaziano v. Florida, 468 U. S. 447, 464 (1984) (“The Eighth Amendment is not violated every time a State reaches a conclusion different from a majority of its sisters over how best to administer its criminal laws”). Moreover, the fact that police conduct pursuant to a state statute is challenged on constitutional grounds does not impose a burden on the State to produce social science statistics or to dispel any possible doubts about the necessity of the conduct. This observation, I believe, has particular force where the challenged practice both predates enactment of the Bill of Rights and continues to be accepted by a substantial number of the States.

Against the strong public interests justifying the conduct at issue here must be weighed the individual interests implicated in the use of deadly force by police officers. The *29majority declares that “[t]he suspect’s fundamental interest in his own life need not be elaborated upon.” Ante, at 9. This blithe assertion hardly provides an adequate substitute for the majority’s failure to acknowledge the distinctive manner in which the suspect’s interest in his life is even exposed to risk. For purposes of this case, we must recall that the police officer, in the course of investigating a nighttime burglary, had reasonable cause to arrest the suspect and ordered him to halt. The officer’s use of force resulted because the suspected burglar refused to heed this command and the officer reasonably believed that there was no means short of firing his weapon to apprehend the suspect. Without questioning the importance of a person’s interest in his life, I do not think this interest encompasses a right to flee unimpeded from the scene of a burglary. Cf. Payton v. New York, 445 U. S. 573, 617, n. 14 (1980) (White, J., dissenting) (“[T]he policeman’s hands should not be tied merely because of the possibility that the suspect will fail to cooperate with legitimate actions by law enforcement personnel”). The legitimate interests of the suspect in these circumstances are adequately accommodated by the Tennessee statute: to avoid the use of deadly force and the consequent risk to his life, the suspect need merely obey the valid order to halt.

A proper balancing of the interests involved suggests that use of deadly force as a last resort to apprehend a criminal suspect fleeing from the scene of a nighttime burglary is not unreasonable within the meaning of the Fourth Amendment. Admittedly, the events giving rise to this case are in retrospect deeply regrettable. No one can view the death of an unarmed and apparently nonviolent 15-year-old without sorrow, much less disapproval. Nonetheless, the reasonableness of Officer Hymon’s conduct for purposes of the Fourth Amendment cannot be evaluated by what later appears to have been a preferable course of police action. The officer pursued a suspect in the darkened backyard of a house that from all indications had just been burglarized. The *30police officer was not certain whether the suspect was alone or unarmed; nor did he know what had transpired inside the house. He ordered the suspect to halt, and when the suspect refused to obey and attempted to flee into the night, the officer fired his weapon to prevent escape. The reasonableness of this action for purposes of the Fourth Amendment is not determined by the unfortunate nature of this particular case; instead, the question is whether it is constitutionally impermissible for police officers, as a last resort, to shoot a burglary suspect fleeing the scene of the crime.

Because I reject the Fourth Amendment reasoning of the majority and the Court of Appeals, I briefly note that no other constitutional provision supports the decision below. In addition to his Fourth Amendment claim, appellee-respondent also alleged violations of due process, the Sixth Amendment right to trial by jury, and the Eighth Amendment proscription of cruel and unusual punishment. These arguments were rejected by the District Court and, except for the due process claim, not addressed by the Court of Appeals. With respect to due process, the Court of Appeals reasoned that statutes affecting the fundamental interest in life must be “narrowly drawn to express only the legitimate state interests at stake.” 710 F. 2d, at 245. The Court of Appeals concluded that a statute allowing police use of deadly force is narrowly drawn and therefore constitutional only if the use of such force is limited to situations in which the suspect poses an immediate threat to others. Id., at 246-247. Whatever the validity of Tennessee’s statute in other contexts, I cannot agree that its application in this case resulted in a deprivation “without due process of law.” Cf. Baker v. McCollan, 443 U. S. 137, 144-145 (1979). Nor do I believe that a criminal suspect who is shot while trying to avoid apprehension has a cognizable claim of a deprivation of his Sixth Amendment right to trial by jury. See Cunningham v. Ellington, 323 F. Supp. 1072, 1075-1076 (WD Tenn. 1971) (three-judge court). Finally, because there is no indication that the use *31of deadly force was intended to punish rather than to capture the suspect, there is no valid claim under the Eighth Amendment. See Bell v. Wolfish, 441 U. S. 520, 538-539 (1979). Accordingly, I conclude that the District Court properly entered judgment against appellee-respondent, and I would reverse the decision of the Court of Appeals.

III

Even if I agreed that the Fourth Amendment was violated under the circumstances of this case, I would be unable to join the Court’s opinion. The Court holds that deadly force may be used only if the suspect “threatens the officer with a weapon or there is probable cause to believe that he has committed a crime involving the infliction or threatened infliction of serious physical harm.” Ante, at 11. The Court ignores the more general implications of its reasoning. Relying on the Fourth Amendment, the majority asserts that it is constitutionally unreasonable to use deadly force against fleeing criminal suspects who do not appear to pose a threat of serious physical harm to others. Ibid. By declining to limit its holding to the use of firearms, the Court unnecessarily implies that the Fourth Amendment constrains the use of any police practice that is potentially lethal, no matter how remote the risk. Cf. Los Angeles v. Lyons, 461 U. S. 95 (1983).

Although it is unclear from the language of the opinion, I assume that the majority intends the word “use” to include only those circumstances in which the suspect is actually apprehended. Absent apprehension of the suspect, there is no “seizure” for Fourth Amendment purposes. I doubt that the Court intends to allow criminal suspects who successfully escape to return later with §1983 claims against officers who used, albeit unsuccessfully, deadly force in their futile attempt to capture the fleeing suspect. The Court’s opinion, despite its broad language, actually decides only that the *32shooting of a fleeing burglary suspect who was in fact neither armed nor dangerous can support a § 1983 action.

The Court’s silence on critical factors in the decision to use deadly force simply invites second-guessing of difficult police decisions that must be made quickly in the most trying of circumstances. Cf. Payton v. New York, 445 U. S., at 619 (White, J., dissenting). Police are given no guidance for determining which objects, among an array of potentially lethal weapons ranging from guns to knives to baseball bats to rope, will justify the use of deadly force. The Court also declines to outline the additional factors necessary to provide “probable cause” for believing that a suspect “poses a significant threat of death or serious physical injury,” ante, at 3, when the officer has probable cause to arrest and the suspect refuses to obey an order to halt. But even if it were appropriate in this case to limit the use of deadly force to that ambiguous class of suspects, I believe the class should include nighttime residential burglars who resist arrest by attempting to flee the scene of the crime. We can expect an escalating volume of litigation as the lower courts struggle to determine if a police officer’s split-second decision to shoot was justified by the danger posed by a particular object and other facts related to the crime. Thus, the majority opinion portends a burgeoning area of Fourth Amendment doctrine concerning the circumstances in which police officers can reasonably employ deadly force.

IV

The Court’s opinion sweeps broadly to adopt an entirely new standard for the constitutionality of the use of deadly force to apprehend fleeing felons. Thus, the Court “lightly brushe[s] aside,” Payton v. New York, supra, at 600, a longstanding police practice that predates the Fourth Amendment and continues to receive the approval of nearly half of the state legislatures. I cannot accept the majority’s creation of a constitutional right to flight for burglary sus*33pects seeking to avoid capture at the scene of the crime. Whatever the constitutional limits on police use of deadly force in order to apprehend a fleeing felon, I do not believe they are exceeded in a case in which a police officer has probable cause to arrest a suspect at the scene of a residential burglary, orders the suspect to halt, and then fires his weapon as a last resort to prevent the suspect’s escape into the night. I respectfully dissent.

7.11 Entrapment 7.11 Entrapment

7.12 New York Penal Law § 40.05 Entrapment 7.12 New York Penal Law § 40.05 Entrapment

In any prosecution for an offense, it is an affirmative defense that the defendant engaged in the proscribed conduct because he was induced or encouraged to do so by a public servant, or by a person acting in cooperation with a public servant, seeking to obtain evidence against him for purpose of criminal prosecution, and when the methods used to obtain such evidence were such as to create a substantial risk that the offense would be committed by a person not otherwise disposed to commit it.  Inducement or encouragement to commit an offense means active inducement or encouragement.  Conduct merely affording a person an opportunity to commit an offense does not constitute entrapment.

 

7.13 People v. Hunt 7.13 People v. Hunt

The People of the State of New York, Respondent, v Harold A. Hunt, Appellant.

[855 NYS2d 736]

Stein, J.

Appeal from a judgment of the County Court of Saratoga County (Scarano, J.), rendered January 26, 2007, upon a verdict convicting defendant of the crimes of criminal sale of a controlled substance in the third degree, criminal possession of a controlled substance in the third degree and criminal possession of a controlled substance in the fourth degree.

Defendant was arrested for the sale of cocaine to a confidential *1247informant. Thereafter, defendant was charged in a three-count indictment with the crimes of criminal sale of a controlled substance in the third degree, criminal possession of a controlled substance in the third degree and criminal possession of a controlled substance in the fourth degree. Defendant sought to have the defenses of entrapment and agency presented to the jury. County Court granted defendant’s request only to the extent of instructing the jury to consider the entrapment defense with respect to counts one and two. The jury returned verdicts of guilty on all counts and defendant was sentenced to an aggregate prison term of six years. Defendant now appeals.

Defendant did not demonstrate a prima facie showing of discrimination when he raised his Batson objection. Defendant must show that “ ‘the prosecution exercised its peremptory challenges to remove one or more members of a cognizable racial group from the venire and that there exist facts and other relevant circumstances sufficient to raise an inference that the prosecution used its peremptory challenges to exclude potential jurors because of their race’ ” (People v Jenkins, 84 NY2d 1001, 1002 [1994], quoting People v Childress, 81 NY2d 263, 266 [1993]; see People v Williams, 306 AD2d 691 [2003], lv denied 1 NY3d 582 [2003]). “It is not until that prima facie showing has been made that the burden shifts to the prosecution to come forward with a race-neutral explanation for its peremptory challenges” (People v Jenkins, 84 NY2d at 1002-1003 [citation omitted]).

Here, defendant’s Batson challenge was based solely on the prosecution’s use of a peremptory challenge to remove the only African American from the jury pool. Defendant raised no other facts or relevant circumstances to support a finding that the use of the peremptory challenge was racially motivated. Thus, County Court properly denied defendant’s Batson challenge (see People v Brown, 97 NY2d 500, 507 [2002]; People v Jenkins, 84 NY2d at 1003; People v Bolling, 79 NY2d 317, 325 [1992]; People v Williams, 306 AD2d at 691; People v King, 277 AD2d 708, 708-709 [2000], lv denied 96 NY2d 802 [2001]).

County Court’s refusal to charge the jury regarding an agency defense was also proper. “An agency defense must be submitted to the jury if any reasonable view of the evidence, considered in the light most favorable to the defendant, supports the conclusion that the defendant, in selling narcotics, was acting ‘solely on behalf of the buyer such as to be a mere extension or instrumentality of the buyer’ ” (People v Magee, 263 AD2d 763, 765 [1999], quoting People v Ortiz, 76 NY2d 446, 449 [1990]). “[Wlhether a particular defendant has acted only as an agent *1248for the buyer is a factual question for the jury, which may consider such factors as ‘the nature and extent of the relationship between the defendant and the buyer, [which person] suggested the purchase, whether the defendant has had other drug dealings with this or other buyers or sellers and . . . whether the defendant profited, or stood to profit, from the transaction’ ” (People v Ortiz, 76 NY2d at 449, quoting People v Lam Lek Chong, 45 NY2d 64, 75 [1978], cert denied 439 US 935 [1978]; see People v Magee, 263 AD2d at 765).

Here, defendant made a profit on, and benefitted from, the transaction. Thus, even viewing the other testimony in the light most favorable to defendant, we conclude that there is no reasonable view of the evidence which would support the conclusion that defendant was acting merely as an extension or instrumentality of the buyer (see People v Ortiz, 76 NY2d at 449). At best, he was an intermediary and, thus, the agency defense was not implicated (see People v Magee, 263 AD2d at 765).

Likewise, in order to establish entitlement to an entrapment defense, defendant must demonstrate that the evidence adduced at trial reasonably and sufficiently supports an inference that “(1) he was actively induced or encouraged to commit the offense by a public official; and (2) such inducement or encouragement created a ‘substantial risk’ that the offense would be committed by defendant who was not otherwise disposed to commit it” (People v Brown, 82 NY2d 869, 871 [1993], quoting Penal Law § 40.05). No reasonable view of the evidence presented here supports entitlement to the defense for the charge of criminal possession of a controlled substance in the fourth degree.* Defendant was admittedly a cocaine addict and regularly possessed cocaine and, therefore, was otherwise disposed to commit the offense. Accordingly, County Court did not err in refusing to give the charge (see People v Butts, 72 NY2d 746, 751 [1988]).

Defendant failed to preserve for review any objection to the reading of his grand jury testimony into evidence at his trial (see CPL 470.05 [2]). Defendant also failed to demonstrate how he was prejudiced by the damaged Rosario material in light of the testimony that there was nothing recorded on the audiotape in question. Therefore, County Court was not required to fashion a sanction (see People v Wallace, 76 NY2d 953, 954 [1990]; People v Brockway, 277 AD2d 482, 485-486 [2000]).

We have examined the other issues raised by defendant and conclude that they are meritless.

*1249Cardona, P.J., Mercure, Spain and Malone Jr., JJ., concur. Ordered that the judgment is affirmed.

7.14 Lucky Bag articles 7.14 Lucky Bag articles

Please read these two news articles about the NYPD's "Operation Lucky Bag," one from 2006 and one from 2019. How do you imagine an Entrapment defense might play out in these cases?

(1) 2006:

NEW YORK POST

CROOKS ‘CARTED’ OFF TO PRISON – NYPD’S BAIT SNAGS THIEVES

By Dan Mangan

Published Feb. 27, 2006, 5:00 a.m. ET

The bait is a cheap handcart (carrying groceries and $5 in a purse left on a subway platform.

Cops watch nearby, waiting for a would-be thief to snag the items.

It’s a crafty ploy that netted 14 people in its first setup two weeks ago. But while authorities crow that among those nabbed are many serial criminals – including one man previously busted 57 times – critics blast it as everything from entrapment to a costly example of wasted police manpower.

Officials said those busted in Operation Lucky Bag face raps of petit larceny and possession of stolen property, both misdemeanors. They already had a total of 146 prior busts on their criminal records, including grand larcenies, robberies and the attempted murder of a cop, authorities said.

One man, 39-year-old Keith Myers of Brooklyn, previously was arrested 57 times for crimes including bank robbery and grand larceny. He also has a pending drug rap against him.

When Myers was nabbed Feb. 16 outside a Jamaica subway station with his “loot,” he allegedly also was carrying hypodermic needles and spat in the face of the arresting cop, Lt. Gary Abrahall.

“It has been a very successful program,” said police spokesman Chief Michael Collins. “The type of people we find who commit the larceny of removing this bag we leave out are the type of people who are committing all kinds of crimes.”

But prominent criminal lawyer Gerald Lefcourt said the U.S. Supreme Court has ruled that police cannot induce someone to commit a crime unless they have prior knowledge that that person is likely to commit a crime.

“I don’t think the government ought to be spending taxpayers’ money to induce citizens to commit crimes. There’s plenty of things for them to do without doing that,” Lefcourt said.

One police source disgruntled with the program also blasted it a waste of manpower.

The source said there were 10 cops – one sergeant and nine officers – involved in the Jamaica sting that nailed Myers and no other perps during a three-hour surveillance.

The source suggested that Lucky Bag was cooked up by recently promoted police Transit Chief James Hall to boost his division’s arrest numbers. “You don’t get promoted through the ranks unless your numbers are better than the other guy’s,” the source said.

An NYPD spokesman denied the claim.

 

(2) 2019:

The NYPD Is Locking People Up for Crimes It Created Out of Thin Air

Operation Lucky Bag targets people whose actions hurt absolutely no one.

By Joe Setyon, REASON, 2.4.2019

The New York City Police Department (NYPD) is still trying to lure unsuspecting residents into committing petty theft so it can lock them up.

Operation Lucky Bag began in 2006, supposedly as a way for police to put away people with existing rap sheets. Undercover officers would plant a bag, usually with money or other valuables inside, in a public place. They'd wait for someone to "steal" the planted property then make an arrest.

In other words, they were creating crimes out of thin air. If, indeed, they were crimes at all. Under state law, people who find property worth more than $20 have 10 days to either return it to the owner or give it up to police.

Unsurprisingly, the practice drew controversy. In 2013, several people adversely affected by Operation Lucky Bag filed a class-action lawsuit against the NYPD. The following September, the two sides reached a settlement. The police clarified that "a person picking up property that they find cannot be charged with larceny simply because they fail to return property to a police officer who is located near the site at the time the property was found," according to a January 2015 operations order provided to Reason by an NYPD spokesperson. Arrests can only be made if there is "a separation of any valuables from the rest of the property" (i.e., if a person takes cash out of a planted bag and discards the bag), if "a larceny by trespassory taking has occurred" (i.e., if someone grabs a bag hanging from a stroller), or if "an individual has taken property but denies seeing or possessing the property when approached by" police.

But police are still able to fabricate crimes—crimes that hurt no one—just so they can lock people up. Two recent cases illustrate the absurdity of this tactic.

On December 14, police planted a backpack outside a Macy's department store in Manhattan. The bag's contents included a laptop, an iPad, and a wallet with $40 in it, according to the New York Daily News. A pedestrian, Tamarit Orquidea, noticed the bag and picked it up. "I would have taken it to the precinct down the street from my house," she told the Manhattan Times last month. Instead, she got arrested.

Police claim that Orquidea walked by a uniformed traffic cop while carrying the bag and that she put the $40 in her pocket. Whatever Orquidea's true intentions were, she was not hurting anyone. Police had no way of knowing what she was going to do with what she found, and arresting her did nothing to help keep the streets safe.

The same can be said of Cinque Brown, who police entrapped using the same bag roughly 30 minutes earlier. Brown picked the bag up and failed to give it to a nearby traffic cop. He apparently decided not to and was arrested as a result. Neither Orquidea nor Brown represented a menace to society, but both were still charged, Orquidea with petty larceny and Brown with petty larceny and possession of stolen property.

"I just don't understand why this is still going on in this city—I really don't," Manhattan Criminal Court Judge Melissa Crane said during Brown's December 15 arraignment hearing.

Two nonprofit legal defense organizations—New York County Defender Services (NYCDS) and the Legal Aid Society—tell the Daily News they've represented at least nine people entrapped by Operation Lucky Bag in recent days.

I don't have the relevant data for the latest wave of arrests, but of the first 220 people arrested after the program's implementation in February 2006, more than half did not have a prior criminal record. The alleged point of Operation Lucky Bag, you may recall, was to catch repeat offenders.