1 Introduction 1 Introduction

1.1 Course Materials 1.1 Course Materials

1.1.1 Syllabus 1.1.1 Syllabus

Criminal Law Section B

Spring 2021—Dean Michael Simons

 

Syllabus

 

Welcome to your (final!) pandemic semester. I am looking forward to making our way through the semester together, learning Criminal Law, continuing your training as lawyers, and generally getting to know each other. I am acutely aware of how difficult this pandemic has been on everyone, and I will approach this semester with deep reserves of understanding and empathy for the various challenges that you are facing. At the same time, I’m also determined to keep your training on track so that you will be ready to graduate, take the bar exam, and join the legal profession on schedule in 2023. We will get through this together!

 

The remainder of this page lays out the basic information for the “syllabus.” Please read this in conjunction with two other important pages:

  • Introduction to the Course
  • Class Assignments

Class Meetings

  • Tuesdays and Thursdays, 9:30 a.m. – 10:55 a.m.
  •  Moot Courtroom (B1) and Room 1-15 (B2)

My Contact Information

Office Hours

Teaching Fellows

Four Teaching Fellows will be assisting us in the course. Their responsibilities will include managing WebEx during class, giving feedback on practice exams and other assignments, and being available for one-on-one tutoring and other academic support. They are:

Course Description

An introductory study of the law of crimes and the administration of criminal justice, including general principles of criminal liability and defenses. Topics considered include the criminal act and mental elements in crime, causation, mistake, excuse and justification defenses, the law of homicide, and the inchoate offenses such as attempt and solicitation. These topics are examined under the common law, the Model Penal Code, and the New York Penal Law to give the student a historical as well as modern perspective on the criminal law and its objectives. (A more detailed description of the course appears in the “Introduction to the Course” below).

Course Goals

My primary goals for the course are to help you develop:

  • Knowledge of basic criminal law doctrine;
  • Skill in analyzing complex criminal law problems, with a particular focus on the elements of crimes and defenses;
  • Skill in reading statutes, especially comprehensive codes like the New York Penal Law;
  • Knowledge of the theoretical principles underlying criminal law doctrine and policy;
  • Skill in articulating persuasive arguments for and against particular doctrines, policies, and results; and
  • Skill in thinking critically about criminal law and justice, including how the substantive criminal law has been shaped by and continues to intersect with race, gender, and class.

There are also a number of secondary course goals, which are summarized in the “Introduction to the Course.”

Textbooks

  • Required: Simons & Haghighi, Criminal Law (2021). This opensource casebook is available at: https://opencasebook.org/casebooks/2259-criminal-law-simons/.
    • Why an open source casebook?: For the past 22 years, I have been teaching out of Prof. Joshua Dressler’s popular casebook. When I started with the Second Edition in 1999, the book cost about $50. Now in its Eighth Edition, the book costs almost $300; the Ninth Edition, due out soon, will cost even more. So my primary motivation for switching to an open source casebook is simply to save you money. My secondary motivation is to make better use of a variety of digital tools to enhance your learning. The book is a work in progress, and we’ll all need to be patient as we work out the kinks. While I expect there will be some bumps in the road with the new book, I’m excited to take this foray into the future of course materials.
    • Optional/Recommended: Dressler, Understanding Criminal Law (LexisNexis, 8th ed. 2018) ISBN: 978151007928 [I encourage you to use an older edition, which you can find on the used-book market. The changes are minor.]

Assessment

Your grade will be based on the following: class participation (10%); in-semester assignments (10%); and a final exam (80%).

  • Final Exam: The final exam will be an open-book, limited-time, take-home exam. The final is scheduled for Thursday, May 6.
  • Practice exams and other assignments: You will have several in-semester assignments, which will help you prepare for the final exam, give you incentive to review regularly, and allow us to gauge whether we are meeting the course goals. These assignments, some of which will involve group work, will be graded on a credit/no credit basis. Each assignment will be worth two points. If you complete an assignment by the due date, you will receive full credit. If you complete an assignment late (but before April 30), you will receive half credit.
  • Class Participation & Quizzes: Class participation includes coming to class, being prepared when you are cold-called, volunteering during class discussion, and participating in the in-class polls and quizzes. More details about my approach to class participation are in the “Introduction to the Course.”

Remote Classes

For the first two weeks of the semester, we will be conducting class online through WebEx. For those classes (and for any other classes that we have to do online, please keep the following in mind:

  • We will use the same link for each of the first four classes. Here it is: https://sju.webex.com/sju/j.php?MTID=m7e2b782c49de6f25e4b4a055de211ca3. The password is CrimSectionB.
  • Even though they are remote, our online classes are shared and collaborative learning experience. So, live attendance at the synchronous class session is still required. Although the online classes will be recorded, watching the recording does not count as attendance without special permission.
  • For the same reasons, please keep your cameras on as much as possible during the online classes. I recognize that connection issues may make that difficult, but the learning experience will be better for everyone if we can all see each other.

Attendance in a Pandemic

In-person attendance is an important part of our shared enterprise this semester—we will be learning together. Of course, if you are sick, have any COVID symptoms, or have any reason to quarantine, you should not come to class in person. All COVID-related absences are excused. So are absences for job interviews, other professional appointments, unavoidable family obligations, and the like. School policy permits four unexcused absences—but I really don’t expect anyone to miss class without an excuse. (If you are absent without excuse for more than four classes, you will not be able to sit for the final exam without my permission.) If you do need to miss an in-person class, please let me know by email—before class if possible. I view each class meeting as a professional appointment. And so, if you are not able to keep that appointment, please let me know.

Classroom Recordings

All classes will be recorded on WebEx. You will be able to access the recordings via Canvas. As noted above, watching the recording does not count as attendance without special permission. That being said, if you do need to miss class, you should certainly be sure to watch the recording.

Laptops and Note Taking

Although I have taught in a laptop-free classroom for many years, our switch to an electronic casebook makes that impractical. But I strongly encourage you to take notes in class by hand. There is much empirical evidence supporting the pedagogical benefits of handwritten notes, but the basic idea is this: it encourages active learning. (For more on my philosophy of active learning, see “Getting the Most out of This Course” in the Course Introduction.)

Social Media and Class Discussion

I will, on occasion, use Twitter to call your attention to items in the news that are relevant to our study of Criminal Law. (I also use Twitter to publicize news about the Law School.) I encourage you to follow me on Twitter (@DeanMikeSimons) and to participate in the conversation using #CrimSectionB.

1.1.2 Introduction to the Course 1.1.2 Introduction to the Course

Criminal Law Section B
Spring 2021—Dean Michael Simons
 
Introduction to the Course


 
I.  WHAT THIS COURSE IS ALL ABOUT

A.  Crime and Punishment


Consider the following scenarios: Are these people guilty of crimes? If so, of what crimes are they guilty? How severely should they be punished?
 
A mental patient pushes a woman in front of an onrushing subway train. A wife shoots her abusive husband while he is sleeping. A police officer shoots and kills a boy that he mistakenly believed was armed. A mother does nothing while her boyfriend beats her child to death. A 21-year-old woman has consensual sex with a 16-year-old boy. An epileptic has a seizure while driving and strikes and kills a mother and her two small children. A man punches his pregnant wife in the abdomen, killing her unborn child. A man on the subway shoots and seriously wounds four unarmed youths because he thought they were going to rob him. Sailors on a rickety lifeboat throw several passengers overboard to prevent the boat from sinking. A bank robber's gun accidentally discharges, killing a teller. A doctor removes the feeding tube from a patient in a permanent vegetative state. A mob of youths chases a man onto a highway where he is struck and killed by a car. A heroin addict gives opioids to a friend, who overdoses and dies. A husband helps his terminally ill wife commit suicide. A mother, suffering from post-partum depression, drowns her five young children in the bathtub. A bishop allows a priest with a history of pedophilia to work with children. A chief executive lies in a civil deposition about his sexual affair with one of his employees. Two very drunk college students have sex; neither remembers anything about it, including whether they consented or whether both were conscious. A politician gropes a woman while posing for a photo.
 
Each of you should have a gut feeling about whether the conduct in the above examples is a crime and, if so, how deserving of punishment it is. This course will give you the analytical skills and the vocabulary to articulate and to defend (or perhaps to change) your gut feeling. More importantly, it will give you the practical ability to answers those questions under existing law.

B.
  How the Course is Organized


Our main task this semester will be to learn how to analyze criminal law problems by identifying the elements of crimes (and defenses) and then determining whether those elements are satisfied by the facts. We will work on this skill throughout the semester because it is our main learning objective and the main thing you will be tested on.
 
Although our continuous focus will be on elements and analysis, our opensource casebook is organized based on the general principles of criminal law. And that is how we will proceed, in this order:

  1. First, we will consider the purposes of the criminal law: Why do we punish? What, if anything, do we hope to accomplish through punishment? What are the principles that guide our punishment decisions? (Principles of Punishment, Legality, Classes ##1-3).
  2. Second, we will examine the various elements that make conduct criminal: a voluntary act (Actus Reus, Class #4), a bad intent (Mens Rea, Classes ##5-10), and a harmful result (Causation, Classes ##11-12). We will examine the interplay of these elements in a variety of crimes, including battery/assault, larceny/robbery, arson, and burglary, with a particular focus on homicide (Classes ##13-18) and rape (Classes #19-21).
  3. Third, we will consider those circumstances in which conduct that leads to harmful results may not be criminal at all (Defenses, Classes ##22-24).

Finally, we will consider those circumstances in which conduct that doesn’t lead to harm might still be criminal (Attempts, Classes ##25-26).

C.
  Sources of Law (or “Where do the ‘elements’ come from?”)

We will study three main sources of criminal law. First, we will study the common law of crimes. Though now largely superseded by statute, the common law remains the basic jurisprudence of the criminal law. It is the backdrop against which statutes are written and the foundation for all thinking about the criminal law.
 
We will also spend considerable time examining various criminal statutes, particularly the Model Penal Code and the New York Penal Law. Notwithstanding all the time you spend reading common law judicial opinions in Contracts, Property, and Torts, you cannot begin to practice law if you cannot read, interpret, and apply statutes. 

D.
  What this Course Is Not

This is not a course in criminal procedure. We will not cover police practices, warrants, searches, confessions, interrogations, suppression of evidence, and the like. (You all should take Criminal Procedure: Investigations). We also will not spend any time on arrests, indictments, grand jury proceedings, bail, plea bargaining, double jeopardy, and the like. (Anyone interested in practicing criminal law should take New York Criminal Practice and/or Criminal Procedure: Adjudication). Nor will we learn about criminal trials. (You all should take Evidence; and future prosecutors and defense attorneys should also take Trial Advocacy). All of that is procedure. We will spend our time on the general principles of the substantive criminal law—in other words, what conduct warrants punishment and why.
 
Similarly, this is not a course in New York Criminal Practice. (That separate course will be of great interest to future prosecutors and defense attorneys). In this class, we will touch on several New York criminal statutes (including assault, larceny, arson, burglary, rape, and homicide), but you will learn very little about the many other crimes that fill the dockets of the criminal courts in New York: fraud, forgery, false statements, perjury, drug dealing, bribery, blackmail, extortion, prostitution, child neglect, gun possession, money laundering, insider trading, driving while intoxicated, disorderly conduct, harassment, criminal mischief, destruction of property, and so on. But, by the end of this course, you should be able to pick up the New York Penal Law, look up any one of those crimes, and instantly discern the elements of the offense (indeed, you will be required to do just that on the exam).

II.
  LEARNING OBJECTIVES 

I have six primary learning objectives for this course.

  1. First, we will learn basic criminal law doctrine, most notably, the elements of various crimes and defenses.  For many crimes and defenses, we will cover the common law, Model Penal Code, and New York versions; for others, we will learn how to read an unfamiliar statute and figure it out. We will also spend time learning general principles like the act requirement, the rules governing mental states, and the requirement of causation.
  2. Second, we will continue to develop your skills in legal analysis. In Criminal Law, legal analysis involves taking a factual scenario, identifying applicable crimes and defenses, explaining the elements of those crimes and defenses, and analyzing whether those elements are satisfied under the particular facts. This is the basic skill that you will need on the bar exam and the main skill that will be tested on your final exam.
  3. Third, we will continue to develop your skill at reading statutes. Although its roots are in the common law, criminal law is now almost completely statutory. In this respect, the law of crimes is different from the law of contracts, property, or torts; but it is similar to most of the other areas of law that you will study after your first year. As a result, the Criminal Law course provides a vital introduction to a skill that is essential for law students and lawyers.
  4. Fourth, we will learn the theoretical principles underlying criminal law doctrine, namely utilitarian and retributive theories. To philosophers, these theories are important for their own sake. But for lawyers, they are important not as theories, but as rationales—as arguments to be used to shape criminal law doctrine.
  5. Fifth, we will continue to develop your skills at legal argumentation and persuasion. The point of learning utilitarian and retributive theories is not so that you can critique the theories, but rather so that you can make arguments (e.g., that particular conduct should or should not be criminal, that a particular crime should be defined one way or another, that a particular defendant should be punished more or less). The theories will give us a shared vocabulary that will enable us to practice persuasive argumentation, a skill that will be essential regardless of your area of practice.
  6. Sixth, we will think critically about criminal law and justice, including how the substantive criminal law has been shaped by and continues to intersect with race, gender, and class.

I have other, secondary, objectives: (1) to continue developing your case-reading skills; (2) to develop your oral presentation skills through class participation; (3) to give you a taste of what it is like to practice criminal law; (4) to develop your ability to function appropriately in a professional environment; and (5) to have fun. These objectives, however, are secondary. It is the six primary objectives—learning doctrine and theory and developing skills in legal analysis, statute reading, legal argumentation, and critical thinking—that will determine what we study, how we study it, what I expect you to learn, and how you will be assessed.
 
III.  GETTING THE MOST OUT OF THIS COURSE
 
The key to learning—in general and in this class—is to be active. You must do much more than listen; you must read, write, discuss, argue, test yourself, and be engaged in solving problems. Three aspects of the course organization are designed to foster active learning.
 
A.  Active Class Preparation
 
Briefing: As you presumably know by now, passively reading cases is not a great way to prepare for class. That is why law students brief cases. Briefing involves mental reorganizing and the physical act of writing—both of which are key active learning strategies. You should brief all cases. And, in general (at least for those cases involving legal doctrine), you should be able to answer these questions:

  1. Who is the defendant?
  2. What crime is the defendant charged with?
    (Identify the statute and the precise definition of the crime.)
  3. What are the elements of the crime?
  4. What is the defense?
  5. What happened?
  6. Are the elements of the crime satisfied? Which element is at issue?
  7. Analyze.
  8. Consider the policy implications of your analysis.

Indeed, when I cold-call on you in class, I would like you to be able to present the case by running through the above questions without me having to ask you anything.
 
Class Preparation Questions: Your casebook includes questions for each assignment to help guide your preparation. You should read and think about the questions before class and be prepared to answer them in class. The questions provide a roadmap for how we will cover the material in class, and so they also provide a roadmap for how you should engage with the material to prepare for class. If you are diligent about using these questions, your class preparation time will be much more efficient and effective (and active).
 
B.  Active Class Participation
 
Although there are approximately 65 students in the class, I will make every effort to keep each of you active during the 90 minutes that we are in class—even those of you in the remote room. That is the point of cold-calling. That is also the point of the Socratic method (the idea being that all students are following along, in part because they never know when the professor will jump to the next Socratic victim). That is also the point of many other things we will do in class: quizzes, polling, policy discussions, active questioning by students, small group work, break out discussions, and so on. It is also the reason why I recommend that you take notes by hand.
 
That is also why class participation is part of the grade for the class. As noted in the syllabus, class participation has several components: being present, being prepared, and being an active participant. Our is a shared learning exercise.
 
C.  Active Exam Preparation

As you presumably also know by now, effective exam preparation must be active. That is why outlining is such a central part of law school learning. It is also why the most successful law students also make effective use of practice exams. Over the course of the semester, you will do four practice assignments of increasing complexity. The first will take place after assignment #4 and will include simple-short answer essays and one longer policy essay. The second, which will take place after assignment #9, will be a legal analysis essay with a policy component. The third, which will take place after assignment #12, will include 10 short answer questions and legal analysis essays. And the fourth (“the midterm”) will take place after assignment #18; that assignment will be 90 minutes long and will include 20 short answer questions, plus legal analysis essays.

Most of these exercises will be similar in format to the final exam. The purpose is two-fold: (1) to help you prepare for the final exam, both by giving you a good sense of what the final exam will be like and by giving you an incentive to engage in thorough review regularly throughout the semester; and (2) to provide you with meaningful assessments that will enable us to gauge whether we are fulfilling the learning objectives outlined above. These assignments will be graded pass/fail (in other words, this 10% of your final grade will be based upon successful and timely completion of the assignments). In the language of learning, these assignments are “formative assessments” (designed to help you learn), while the final exam is a “summative assessment” (designed to measure your progress and assign a grade). Of course, the formative assessments will be most effective if you treat them as if they were summative assessments.
 
IV.  CONCLUSION
 
I will generally begin each class by giving you a “Professionalism Tip of the Day.” Here is a one to keep in mind throughout the semester: Have fun! You will learn more—and learn better—if you are enjoying yourself.

1.1.3 The Model Penal Code and the New York Penal Law 1.1.3 The Model Penal Code and the New York Penal Law

Throughout the semester, we will refer to three main sources of criminal law: (1) the common law; (2) the Model Penal Codel; and (3) the New York Penal Law. 

The Model Penal Code is a product of the American Law Institute, the same body behind the Restatements, the Uniform Commerical Code, and other law-reform efforts. The MPC is not actually the law anywhere. Instead, it is a "model," drafted with considerable care by experts for the benefit of state legislatures looking to modernize their criminal codes. Since the MPC was completed in the 1960s, it has been enormously influential. Many states (including New York) have substantially revised their criminal law along the lines sugested by the MPC. Other states have adopted individual provisions of the MPC (especially the provisions regarding mental states for crimes). A few states--most notably California--have not been particularly influenced by the MPC, instead leaving their criminal codes to mostly track the common law definitions of crimes.

The entire Model Penal Code is available here: https://heinonline-org.jerome.stjohns.edu/HOL/Page?handle=hein.ali/mpc1050&id=21&collection=ali&index= 

The entire New York Penal Law is available here: http://ypdcrime.com/penal.law/ 

The most relevant provisions of the MPC and NYPL for our purposes are posted on Canvas here: MPCNYPL.

 

1.1.4 Course Outline & Reading Assignments (Part I) 1.1.4 Course Outline & Reading Assignments (Part I)

Criminal Law (B) 2021—Reading Assignments

 

Class

Casebook

Treatise

(optional)

MPC

NYPL

1. Introduction

 

1.1   Course Materials

1.2   Pre-Course Assignment: Thinking About
        Abolition

1.3  Pre-Course Assignment: Getting to Know
       You

 

 

 

1

1.4   Introduction & Principles of Punishment

 

Ch. 1, 9.01, 10.01, 14.01,

16.01,

1.02

1.05

5.00

125.00

125.25

2

1.5   Punishment Theory in the Real World

Ch. 2

 

 

3

1.6   Modern Criminal Statutes & Legality

Ch. 3

Ch. 5

1.05(1)

 

2. The General Part: Actus Reus

4

2.1   The Act Requirement (Actus Reus)

Ch. 9

1.13(2)

1.13(3)

2.01

15.00

15.10

 

Assignment: Practice Exam #1

Posted on Canvas

3. The General Part: Mens Rea

5

3.1   Introduction to Mental States

10.01-10.04

 

 

6

3.2.  The MPC Approach to Mens Rea

10.07

12.04

2.02-2.05

 

15.05-15.25

7

3.3   Common Law Mens Rea & Key Crimes

12.01-12.03

 

 

8

3.4   Mens Rea in Practice: Reading Statutes

10.05

1.13(10)

 

120.00-120.10

10.00

140.00-140.30

220.03, 220.18

9

3.5   Strict Liability Offenses

Ch. 11

 

270.10

130.05

15.20(3)

130.20-35

 

Assignment: Practice Exam #2

Posted on Canvas

10

3.6   Mistake of Law

Ch. 13

2.04

2.02(9)

15.20(2)

265.00(3)

265.02-03

265.20(1), (11)

4. The General Part: Causation and Concurrence

11

4.1   Causation

Ch. 14

2.03

 

12

4.2   Concurrence

Ch. 15

 

 

 

 

Assignment: Practice Exam #3

Posted on Canvas

 

1.2 Pre-Course Assignment: Thinking About Abolition 1.2 Pre-Course Assignment: Thinking About Abolition

Over the course of this semester, we will spend much of our time learning black letter law (the criminal law rules you need to know for the bar exam). We'll also spend significant time working on the basic lawyerly skills of legal analysis and statutory interpretation. But, the study of criminal law in the United States in the 21st Century would be incomplete without engaging with the complex interplay between race and punishment over the past 150 years. Any serious engagement with that history inevitably raises fundamental questions about the basic premises of our criminal legal system. While the purpose of this course is not necessarily to resolve the question of whether our carceral punishment system should be abolished, I want you keep that question in mind throughout the course. 

One of the most important things that lawyers must do is be able to understand and operate with the existing regime while also retaining the ability to fundamentally question that regime. 

In this pre-course assignment, you'll engage with the question of abolition through Ava DuVernay's award-winning documentary13th and Reginald Betts' New York Times Magazine piece on what it means to be both a formerly incarcerated person and a crime victim. I've also included links to a variety of additional materials if you want to explore abolition more deeply. 

1.2.3 Additional (optional) reading on prison abolition 1.2.3 Additional (optional) reading on prison abolition

The links below will take you to works that engage more fully with the arguments behind prison abolition.

1. Bill Keller, What Do Abolitionists Really Want?, The Marshall Project (June 13, 2019)

People who follow criminal justice policy for a living say the fastest growing subset of the reform movement consists of abolitionists who say a system that is inherently racist and based on retribution should be pulled up by the roots. Not just prisons and jails, but most of the institutions of law enforcement and criminal justice. …

Like other radical ideas—Medicare for All, the Green New Deal—abolition means different things to different people. Most of those who rally to the cause do not advocate a world where no one answers your 911 call and serial killers are set loose. Abolition is an ideal—like, say, “repeal and replace.” The real debate is what should replace the current institutions.

2. Ruth Wilson Gilmore & James Kilgore, The Case for Abolition, The Marshall Project (June 19, 2019)

Ultimately, abolition is a practical program of change rooted in how people sustain and improve their lives, cobbling together insights and strategies from disparate, connected struggles. We know we won’t bulldoze prisons and jails tomorrow, but as long as they continue to be advanced as the solution, all of the inequalities displaced to crime and punishment will persist. We’re in a long game.

3. Dorothy Roberts, Abolition Constitutionalism, 133 Harvard Law Review 1 (2019). While Roberts' thesis is about incorporating the principles of abolitionism into constitutional law, her article begins (at pages 19-48) with a thorough summary of the core tenets of prison abolition:

First, today's carceral punishment system can be traced back to slavery and the racial capitalist regime it relied on and sustained. Second, the expanding criminal punishment system functions to oppress black people and other politically marginalized groups in order to maintain a racial capitalist regime. Third, we can imagine and build a more humane and democratic society that no longer relies on caging people to meet human needs and solve social problems. These tenets lead to the conclusion that the only way to transform our society from a slavery-based one to a free one is to abolish the prison industrial complex.

4. Colin Kaepernick, A Future Worth Building, Level (October 6, 2020)

In the wake of the state-sanctioned lynchings of Breonna Taylor and George Floyd, the United States has been forced to grapple with not only the devastation of police terrorism but also the institutions that constitute, enhance, and expand the carceral state. In response, uprisings demanding the defunding of the police have spread across the country with no signs of stopping. Those who have been terrorized by law enforcement, those who have had enough of their very existence being criminalized, and those who have dedicated their lives to the cause of liberation by any means necessary are demanding the abolition of the carceral state — the institutions, structures, and practices of anti-Black state-sanctioned violence that violates the fundamental humanity of Black and Indigenous people and people of color.

5. Angela Y. Davis, Why Arguments Against Abolition Inevitably Fail, Level (October 6, 2020).

The insight that racism is essentially systemic and structural rather than individual and attitudinal — one repeatedly asserted by health care advocates and anti-police and anti-prison activists over many decades — finally entered mainstream discourse in 2020 under the pressure of Covid-19 and its disproportionate impact on Black and Brown communities. Its most popular expression in the slogan “Defund the Police” was disseminated during the mass mobilizations protesting the police lynching of George Floyd. For those who recognize the deeply conservative repercussions of equating “reform” with change, the call to defund the police manifested an abolitionist impulse to eschew the usual calls for punishing individual police officers and instituting some form of civilian overview of the department. Instead of habitual and perfunctory calls for “reform,” organizers began to think more deeply about pathways toward more radical change — in other words, change that would begin to respond to some of the root causes of why poor communities, and especially communities of color, are particularly vulnerable to the criminal legal system.

But for others, it had a jarring effect, conjuring up images of chaotic, crime-ridden (Black and Brown) communities, with no force in place to guarantee order. Some people, who live in so-called high crime neighborhoods, where they are preyed upon not only by the police but also by armed individuals and groups from their own communities and for whom the demand to defund the police was their first introduction to abolitionist ideas, were understandably bewildered. How would they survive at the mercy of malevolent groups who hardly care about the trajectory of stray bullets that have taken the lives of children and other bystanders? Their fears are real and not to be dismissed. But this is absolutely the moment to engage in the kind of educational activism that might help to encourage all of us, especially those of us who live in the most vulnerable neighborhoods, to purposefully rethink the meaning of safety and security. …

For those who recognize that racism feeds the proliferation of police violence and the decades-old surge of prison populations but who still insist that these institutions are simply in need of deliberate reform, it might be helpful to reflect on the fact that similar logic was used about slavery. ...

Abolitionist strategies are especially critical because they teach us that our visions of the future can radically depart from what exists in the present. Just as trans activists have been partially successful in encouraging us to abandon the conventional gender binary — and to comprehend its structural role in defining policing and imprisonment — this current conjuncture demands that we believe in new possibilities. ...

 

1.3 Pre-Course Assignment: Getting to Know You 1.3 Pre-Course Assignment: Getting to Know You

The social distancing required by the pandemic will make it more difficult for me to get to know you, so I want to speed that process along. First, please complete the Introductory Survey on Canvas. Then, record your name through Canvas's NameCoach feature so that I can work on my pronunciation. Both links are below.

1.4 Class #1: Introduction & Principles of Punishment 1.4 Class #1: Introduction & Principles of Punishment

In our first class, we will begin with a general overview of the course, and then turn to a classic caseRegina v. Dudley and Stephensto begin exploring the general questions raised by the introductory reading, with a particular focus on how to craft arguments based on the principles of punishment. In this first class, we will elucidate the general principles that animate all arguments about the criminal law.

1.4.1 Introductory Hypos: Understanding Criminal Law 1.4.1 Introductory Hypos: Understanding Criminal Law

With no advance knowledge of criminal law doctrine, answer the following hypotheticals:

1. Victor and David are roommates. Fed up with Victor’s hygiene habits, David decides to kill Victor. David’s plan is to put rat poison in Victor’s coffee. But David oversleeps and doesn’t get a chance to poison the coffee. Unfortunately for Victor, though, he accidentally fills his coffee with the rat poison, drinks it, and dies a horrible death on the kitchen floor. Is David guilty of murder? Why or why not?

2. David wants to kill his roommate Victor. So David puts deadly rat poison in Victor’s coffee. Victor takes the poisoned coffee and heads out to work. But before he is able to take a sip, Victor drops the coffee, spilling it all. Victor continues on his way, unaware that he has narrowly escaped death. Is David guilty of murder? Why or why not?

3. David and Victor are roommates. Each morning David helpfully fixes Victor’s morning coffee. One day, however, David accidentally puts rat poison instead of non-dairy creamer in Victor’s coffee. Victor drinks the coffee and dies a horrible death on the kitchen floor. Is David guilty of murder? Why or why not?

4. David wants to kill his roommate Victor. So David puts deadly rat poison in Victor’s coffee. Victor takes the coffee and leaves for work. As he crosses the street, and before he has taken a sip of the coffee, Victor is hit by a bus and killed. Is David guilty of murder? Why or why not? 

5. David suffers from schizophrenia, a mental illness that causes him to have serious delusions. David believes that Victor is actually a rat who has become human, that Victor is a henchman of the evil Lord Voldemort, and that the only way to stop Voldemort's plan to take over the world is to kill Victor. So David fills Victor's coffee with rat poison; Victor drinks it and dies. Is David guilty of murder? Why or why not?

1.4.2 The Criminal-Civil Distinction (Tejani, Klein) 1.4.2 The Criminal-Civil Distinction (Tejani, Klein)

Riaz Tejani, Criminal & Civil Justice

In a general sense, the legal system can be divided smoothly into criminal and civil justice systems. The criminal justice system, consisting in many states of its own courts at the trial level, is concerned foremost with the liability of individuals suspected of violating a criminal statute. This is significant because it means criminal law is usually a matter of state legislation, and it can usually be found in well-organized penal codes—different, for example, from the judge-made case law that constitutes much of civil justice. Violations of the criminal code are considered harms against the state, or against the people of a given jurisdiction; for this reason, you may have heard the names of criminal cases written as “People v. John Doe” or “State v. Doe.” Criminal law is similarly classified as public rather than private law, though the victim is sometimes a private citizen. The penalties for violating criminal law usually include community service, monetary fines, or incarceration. All of this contrasts with civil justice. In areas like tort law, the rules are said to derive from judge-made case law, often handed down from England through the centuries. Tort law generally applies only to “private wrongs,” so case names tend to refer only to the two parties—the plaintiff or victim on one side and the defendant or wrongdoer on the other. Finally, the types of remedies available in the civil justice system do not include incarceration. They usually entail payment of a monetary damage award, or performance or abstention from an act or service.

Excerpted from Riaz Tejani's chapter on Criminal & Civil Justice available on JSTOR. To access the full document, click here.

Susan R. Klein, Redrawing the Criminal-Civil Boundary2 Buffalo Criminal Law Review 679 (1999)

Law is fundamentally about boundaries. One of the most profound boundaries our justice system has drawn is that between the terrain of civil and criminal law. Conventional wisdom tells us that public criminal law punishes those who wrong society, in order to impose "just deserts" upon the wrongdoer and deter others from engaging in similar behavior. On the other hand, private civil law provides a remedy to individuals or entities harmed by other individuals or entities, in order to make them whole. There are at least two critical consequences of falling on the criminal side of this great divide. The criminal label carries with it the moral condemnation of the community, a stigma generally not accompanying a civil judgment against the defendant. Because both the stigma from being labeled a "felon" and the harm suffered by the defendant from the punitive sanction is so great, the federal Constitution grants a criminal defendant a vast array of procedural protections not afforded a defendant in a civil action. 

Excerpted from Susan R. Klein's article "Redrawing the Criminal-Civil Boundary" available on JSTOR. To access the full document, click here

 

1.4.3 Introduction to the Principles of Punishment (Greenawalt) 1.4.3 Introduction to the Principles of Punishment (Greenawalt)

Kent Greenawalt, Punishment, 74 J. Crim. L. & Criminology 343 (1983)

Although punishment has been a crucial feature of every legal system, widespread disagreement exists over the moral principles that can justify its imposition. One fundamental question is why (and whether) the social institution of punishment is warranted. A second question concerns the necessary conditions for punishment in particular cases.  A third relates to the degree of severity that is appropriate for particular offenses and offenders. . .

MORAL JUSTIFICATIONS AND LEGAL PUNISHMENT 

Since punishment involves pain or deprivation that people wish to avoid, its intentional imposition by the state requires justification. The difficulties of justification cannot be avoided by the view that punishment is an inevitable adjunct of a system of criminal law. If criminal law is defined to include punishment, the central question remains whether society should have a system of mandatory rules enforced by penalties. Relatively small associations of like-minded people may be able to operate with rules that are not backed by sanctions, and a choice by the larger society against authorizing legal punishment is at least theoretically possible. Moreover, actual infliction of penalties is not inextricably tied to authorization. A father who has threatened punishment if two daughters do not stop fighting must decide whether to follow through if the fight continues. Congruence between threat and actual performance on the scene does constitute one good reason for punishing. Future threats will be taken less seriously if past threats are not fulfilled, and parents usually wish to avoid the impression that they will not do what they say. Nevertheless, because he now sees that the punishment threatened is too severe, or understands better the children's reasons for fighting, the father may fail to carry out his threat.

In the broader society also, threatened punishments are not always inflicted on persons who have unquestionably committed crimes. The police or prosecutor may decide not to proceed, a jury may acquit in the face of unmistakable evidence of guilty, or a judge may decide after conviction not to impose punishment. A judge with legal authority to make such a decision must determine if punishment is appropriate; even if he is legally required to inflict it, he may find the countervailing reasons so powerful that he will not do so.

If actual punishment never or very rarely followed threatened punishment, the threat would lose significance. Thus, punishment in some cases is a practical necessity for any system in which threats of punishment are to be taken seriously; and to that extent the justification of punishment is inseparable from the justification of threats of punishment.

The dominant approaches to justification are retributive and utilitarian. Briefly stated, a retributivist claims that punishment is justified because people deserve it; a utilitarian believes that justification lies in the useful purposes that punishment serves. Many actual theories of punishment do not fit unambiguously and exclusively into one of these two categories. Satisfying both retributive and utilitarian criteria may be thought necessary to warrant punishment; or utilitarian criteria may be thought crucial for one question (for example, whether there should be a system of punishment) and retributive criteria for another (for example, who should be punished); or the use of retributive sorts of approaches may be thought appropriate on utilitarian grounds. Beginning from rather straightforward versions of retributive and utilitarian theory, the analysis process to positions that are more complex.

RETRIBUTIVE JUSTIFICATION

 

Why should wrongdoers be punished? Most people might respond simply that they deserve it or that, they should suffer in return for the harm they have done. Such feelings are deeply ingrained, at least in many cultures, and are often supported by notions of divine punishment for those who disobey God's laws. A simple retributivist justification provides a philosophical account corresponding to these feelings: someone who has violated the rights of others should be penalized, and punishment restores the moral order that has been breached by the original wrongful act. The idea is strikingly captured by Immanuel Kant's claim that an island society about to disband should still execute its last murderer.  Society not only has a right to punish a person who deserves punishment, but it has a duty to do so. In Kant's view, a failure to punish those who deserve it leaves guilt upon the society; according to G. W. F. Hegel, punishment honors the criminal as a rational being and gives him what it is his right to have. In simple retributivist theory, practices of punishment are justified because society should render harm to wrongdoers; only those who are guilty of wrongdoing should be punished; and the severity of punishment should be proportional to the degree of wrongdoing, an approach crudely reflected in the idea of "an eye for an eye, a tooth for a tooth."

 

Close examination of this theory dispels much of its apparent simplicity, reveals some of the tensions between its implications and the practices of actual societies, and exposes its vulnerability to powerful objections. Taken as claiming an intimate connection between moral guilt and justified legal punishment, the retributive theory raises troubling questions about the proper purposes of a state and about any human attempts to equate reward and punishment to moral deserts.

UTILATARIAN JUSTIFICATION

Utilitarian theories of punishment have dominated American jurisprudence during most of the twentieth century. According to Jeremy Bentham's classical utilitarianism, whether an act or social practice is morally desirable depends upon whether it promotes human happiness better than possible alternatives. Since punishment involves pain, it can be justified only if it accomplishes enough good consequences to outweigh this harm. A theory of punishment may make the balance of likely consequences central to justification without asserting, as Bentham did, that all relevant consequences are reducible to happiness and unhappiness. It may even claim that reducing future instances of immoral violations of right is itself an appropriate goal independent of the effect of those violations on the people involved. In modern usage, utilitarianism is often employed to refer broadly to theories that likely consequences determine the morality of action, and this usage is followed here.

The catalogs of beneficial consequences that utilitarians have thought can be realized by punishment have carried, but the following have generally been regarded as important.

[1.] General deterrence. Knowledge that punishment will follow crime deters people from committing crimes, thus reducing future violations of right and the unhappiness and insecurity they would cause. The person who has already committed a crime cannot, of course, be deterred from committing that crime, but his punishment may help to deter others. In Bentham’s view, general deterrence was very much a matter of affording rational self-interested persons good reasons not to commit crimes. With a properly developed penal code, the benefits to be gained from criminal activity would be outweighed by the harms of punishment, even when those harms were discounted by the probability of avoiding detection. Accordingly, the greater temptation to commit a particular crime and the smaller the chance of detection, the more severe the penalty should be. 

Punishment can also deter in ways more subtle than adding a relevant negative factor for cool calculation. Seeing others punished for certain behavior can create in people a sense of association between punishment and act that may constrain them even when they are sure they will not get caught. Adults, as well as children, may subconsciously fear punishment even though rationally they are confident it will not occur. . . 

[2.] Individual deterrence. The actual imposition of punishment creates fear in the offender that if he repeats his act, he will be punished again. Adults are more able than small children to draw conclusions from the punishment of others, but having a harm befall oneself is almost always a sharper lesson than seeing the same harm occur to others. To deter an offender from repeating his actions, a penalty should be severe enough to outweigh in his mind the benefits of the crime. For the utilitarian, more severe punishment of repeat offenders is warranted partly because the first penalty has shown itself ineffective from the standpoint of individual deterrence.

[3.] Incapacitation. Imprisonment puts convicted criminals out of general circulation temporarily, and the death penalty does so permanently. These punishments physically prevent persons of dangerous disposition from acting upon their destructive tendencies.

[4.] Reform. Punishment may help to reform the criminal so that his wish to commit crimes will be lessened, and perhaps so that he can be a happier, more useful person. Conviction and simple imposition of a penalty might themselves be thought to contribute to reform if they help an offender become aware that he has acted wrongly. However, reform is usually conceived as involving more positive steps to alter basic character or improve skills, in order to make offenders less antisocial. Various psychological therapies, and more drastic intervention such as psychosurgery, are designed to curb destructive tendencies. Educational and training programs can render legitimate employment a more attractive alternative to criminal endeavors. These may indirectly help enhance self-respect, but their primary purpose is to alter the options that the released convict will face.

Excerpted from Kent Greenawalt's article "Punishment" available on JSTOR. To access the full document, click here.

 

1.4.4 Principles of Punishment Questions 1.4.4 Principles of Punishment Questions

Based on this introductory reading, consider the following questions:

1. What makes something a crime? (In particular, why should something be a crime rather than a tort?)


2. What are the purposes of the criminal law?

a. If the purpose is punishment, what makes someone deserve punishment? How should we determine how much punishment someone deserves?

b. If the purpose is crime prevention, how do we accomplish that? (And how do we accomplish it efficiently?)

3. As you think about those questions in the context of real cases (DudleyDu), think about the role that harm and culpability play in punishment theory. That is, what harm did the defendant commit? With what level of culpability? How do we evaluate harm and culpability?

1.4.5 The Queen v. Dudley and Stephens 1.4.5 The Queen v. Dudley and Stephens

As you read the famous case of Dudley & Stephens, use the following questions to guide your analysis:

1. What crime were Dudley and Stephens charged with? Did the jury convict them?
2. Statutory analysis: If Dudley and Stephens were prosecuted in New York, what crime would they be charged with? (Examine NYPL 125.25.) What statutory defense would they assert? (Examine NYPL 35.00)
3. Exactly what happened in the lifeboat? (Pay careful attention to the chronology).
4. What would have happened if Dudley and Stephens had not killed and eaten Parker? (Don’t guess: Look at the jury’s conclusions).
5. Do Dudley and Stephens deserve to be punished? Why? (In other words, what are the retributive arguments for and against punishing them?)
6. Is it ever justified to kill an innocent person to accomplish a greater good? Why or why not?
7. What would be the consequences (positive and negative) of punishing Dudley and Stephens? (In other words, what are the utilitarian arguments for and against punishing them?)
8. Would you convict Dudley and Stephens of murder? Why?
9. What sentence, if any, would you give Dudley and Stephens? Why?

I have provided you with only the jury's finding of fact (not the court's analysis of the law) because I want you to decide for yourself what punishment, if any, Dudley and Stephens should receive and why.


THE QUEEN v. DUDLEY AND STEPHENS

December 9, 1884

A man who, in order to escape death from hunger, kills another for the purpose of eating his flesh, is guilty of murder; although at the time of the act he is in such circumstances that he believes and has reasonable ground for believing that it affords the only chance of preserving his life.

At the trial of an indictment for murder it appeared, upon a special verdict, that the prisoners D. and S., seamen, and the deceased, a boy between seventeen and eighteen, were cast away in a storm on the high seas, and compelled to put into an open boat; that the boat was drifting on the ocean, and was probably more than 1000 miles from land; that on the eighteenth day, when they had been seven days without food and five without water, D. proposed to S. that lots should be cast who should be put to death to save the rest, and that they afterwards thought it would be better to kill the boy that their lives should be saved; that on the twentieth day D., with the assent of S., killed the boy, and both D. and S. fed on his flesh for four days; that at the time of the act there was no sail in sight nor any reasonable prospect of relief; that under these circumstances there appeared to the prisoners every probability that unless they then or very soon fed upon the boy, or one of themselves, they would die of starvation: --

Held, that upon these facts, there was no proof of any such necessity as could justify the prisoners in killing the boy, and that they were guilty of murder.

INDICTMENT for the murder of Richard Parker on the high seas within the jurisdiction of the Admiralty.

At the trial before Huddleston, B., at the Devon and Cornwall Winter Assizes, November 7, 1884, the jury, at the suggestion of the learned judge, found the facts of the case in a special verdict which stated

“that, on July 5,1884, the prisoners, Thomas Dudley and Edward Stephens, with one Brooks, all able-bodied English seamen, and the deceased also an English boy, between seventeen and eighteen years of age, the crew of an English yacht, a registered English vessel, were cast away in a storm on the high seas 1600 miles from the Cape of Good Hope, and were compelled to put into an open boat belonging to the said yacht. That in this boat they had no supply of water and no supply of food, except two 1 lb. tins of turnips, and for three days they had nothing else to subsist upon. That on the fourth day they caught a small turtle, upon which they subsisted for a few days, and this was the only food they had up to the twentieth day when the act now in question was committed. That2 on the twelfth day the remains the turtle were entirely consumed, and for the next eight days they had nothing to eat. That they had no fresh water, except such rain as they from time to time caught in their oilskin capes. That the boat was drifting on the ocean, and was probably more than 1000 miles away from land. That on the eighteenth day, when they had been seven days without food and five without water, the prisoners spoke to Brooks as to what should be done if no succour came, and suggested that some one should be sacrificed to save the rest, but Brooks dissented, and the boy, to whom they were understood to refer, was not consulted. That on the 24 th of July, the day before the act now in question, the prisoner Dudley proposed to Stephens and Brooks that lots should be cast who should be put to death to save the rest, but Brooks refused to consent, and it was not put to the boy, and in point of fact there was no drawing of lots. That on that day the prisoners spoke of their having families, and suggested it would be better to kill the boy that their lives should be saved, and Dudley proposed that if there was no vessel in sight by the morrow morning, the boy should be killed. That next day, the 25th of July, no vessel appearing, Dudley told Brooks that he had better go and have a sleep, and made signs to Stephens and Brooks that the boy had better be killed. The prisoner Stephens agreed to the act, but Brooks dissented from it. That the boy was then lying at the bottom of the boat quite helpless, and extremely weakened by famine and by drinking sea water, and unable to make any resistance, nor did he ever assent to his being killed. The prisoner Dudley offered a prayer asking forgiveness for them all if either of them should be tempted to commit a rash act, and that their souls might be saved. That Dudley, with the assent of Stephens, went to the boy, and telling him that his time was come, put a knife into his throat and killed him then and there; that the three men fed upon the body and blood of the boy for four days; that on the fourth day after the act had been committed the boat was picked up by a passing vessel, and the prisoners were rescued, still alive, but in the lowest state of prostration. That they were carried to the port of Falmouth, and committed for trial at Exeter. That if the men had not fed upon the body of the boy they would probably not have survived to be so picked up and rescued, but would within the four days have died of famine. That the boy, being in a much weaker condition, was likely to have died before them. That at the time of the act in question there was no sail in sight, nor any reasonable prospect of relief. That under these circumstances there appeared to the prisoners every probability that unless they then fed or very soon fed upon the boy or one of themselves they would die of starvation. That there was no appreciable chance of saving life except by killing some one for the others to eat. That assuming any necessity to kill anybody, there was no greater necessity for killing the boy than any of the other three men." But whether upon the whole matter by the jurors found the killing of Richard Parker by Dudley and Stephens be felony and murder the jurors are ignorant, and pray the advice of the Court thereupon, and if upon the whole matter the Court shall be of opinion that the killing of Richard Parker be felony and murder, then the jurors say that Dudley and Stephens were each guilty of felony and murder as alleged in the indictment.”

The learned judge then adjourned the assizes until the 25th of November at the Royal Courts of Justice. On the application of the Crown they were again adjourned to the 4th of December, and the case ordered to be argued before a Court consisting of five judges.

Dec. 4.

Sir H. James, A.G. (A. Charles, Q.C., C. Mathews and Danckwerts, with him), appeared for the Crown. The record having been read, A. Collins, Q.C. (H. Clark, and Pyke, with him), for the prisoners, objected, first, that the statement in the verdict that the yacht was a registered British vessel, and that the boat in which the prisoners were belonged to the yacht, was not part of any finding by the jury; secondly, that the formal conclusion of the verdict, "whether upon the whole matter the prisoners were and are guilty of murder, the jury are ignorant," &c., was also no part of the finding of the jury, as they simply found the facts relating to the death of Parker, and nothing else was referred to them; thirdly, that the record could not be filed, for it had been brought Queen into the court by order only, and not by certiorari. Sir H. James, A.G., for the Crown. As to the first point, the Crown are willing that the statement that the yacht was a registered British vessel, and that the boat belonged to the yacht, should be struck out of the record. With regard to the conclusion of the verdict it is according to the form of special verdicts in the Reports: Rex v Pedley; Rex v. Oneby; Mackally's Case; Hazel's Case. As for the certiorari there was no necessity for it, for the Court of Assize is now part of this Court.

[THE COURT intimated that the points taken on behalf of the prisoners were untenable.]

With regard to the substantial question in the case -- whether the prisoners in killing Parker were guilty of murder -- the law is that where a private person acting upon his own judgment takes the life of a fellow creature, his act can only be justified on the ground of self-defence -- self-defence against the acts of the person whose life is taken. This principle has been extended to include the case of a man killing another to prevent him from committing some great crime upon a third person. But the principle has no application to this case, for the prisoners were not protecting themselves against any act of Parker. If he had had food in his possession and they had taken it from him, they would have been guilty of theft; and if they killed him to obtain this food, they would have been guilty of murder. The case cited by Puffendorf in his Law of Nature and Nations, which was referred to at the trial, has been found, upon examination in the British Museum, in the work of Nicholaus Tulpius, a Dutch writer, and it is clear. that it was not a judicial decision.[1]

[He was stopped.]

A. Collins, Q.C., for the prisoners. The facts found on the special verdict shew that the prisoners were not guilty of murder, at the time when they killed Parker, but killed him under the pressure of necessity. Necessity will excuse an act which would otherwise be a crime. Stephen, Digest of Criminal Law, art. 32, Necessity. The law as to compulsion by necessity is further explained in Stephen's History of the Criminal Law, vol. ii., p. 108, and an opinion is expressed that in the case often put by casuists, of two drowning men on a plank large enough to support one only, and one thrusting the other off, the survivor could not be subjected to legal punishment. In the American case of The United States v. Holmes, the proposition that a passenger on board a vessel may be thrown overboard to save the others is sanctioned. The law as to inevitable necessity is fully considered in Russell on Crimes, Vol. i. p. 847 and there are passages relating to it in Bracton, VOL ii. p., 277; Hale's Pleas of the Crown, p. 54 and c. 40; East's Pleas of the Crown, p. 221, citing Dalton, c. 98, Stephens. "Homicide of Necessity," and several cases, amongst others McGrowther's case; Stratton's Case. Lord Bacon, Bac. Max., Reg. 5, gives the instance of two shipwrecked persons clinging to the same plank and one of them thrusting the other from it, finding that it will not support both, and says that this homicide is excusable through unavoidable necessity and upon the great universal principle of self-preservation, which prompts every man to save his own life in preference to that of another, where one of them must inevitably perish. It is true that Hale's Pleas of the Crown, p. 54, states distinctly that hunger is no excuse for theft, but that is on the ground that there can be no such extreme necessity in this country. In the present case the prisoners were in circumstances where no assistance could be given. The essence of the crime of murder is intention, and here the intention of the prisoners was only to preserve their lives.

Lastly, it is not shewn that there was jurisdiction to try the prisoners in England. They were part of the crew of an English yacht, but for anything that appears on the special verdict the boat may have been a foreign boat, so that they were not within the jurisdiction of the Admiralty: Reg. v. Keyn. The indictment is not upon the Act 17 & 18 Vict. c. 104, for an offence committed by seamen employed or recently employed in a British ship. The special verdict cannot be amended in a capital case by stating the real facts.

Sir H. James, A.G., for the Crown.

[LORD COLERIDGE, C.J. The Court conviction must be affirmed. What course do you invite us to take?]

To pronounce judgment and pass sentence. This was the practice even when, as formerly, the record was removed by certiorari: Rex v. Boyce; Rex v. Athos; Rex v. Cock. THE COURT intimated that judgment would be given on December 9th.

-- -- --

Dec. 9. The judgment of the Court (Lord Coleridge, C.J., Grove and Denman, JJ., Pollock and Huddleston, BB) was delivered by

LORD COLERIDGE, C.J. The two prisoners, Thomas Dudley and Edwin Stephens, were indicted for the murder of Richard Parker on the high seas on the 25th of July in the present year. They were tried before my Brother Huddleston at Exeter on the 6th of November, and, under the direction of my learned Brother, the jury returned a special verdict, the legal effect of which has been argued before us, and on which we are now to pronounce judgment.

The special verdict as, after certain objections by Mr. Collins to which the Attorney General yielded, it is finally settled before us is as follows. [His Lordship read the special verdict as above set out.] From these facts, stated with the cold precision of a special verdict, it appears sufficiently that the prisoners were subject to terrible temptation, to sufferings which might break down the bodily power of the strongest man, and try the conscience of the best. Other details yet more harrowing, facts still more loathsome and appalling, were presented to the jury, and are to be found recorded in my learned Brother's notes. But nevertheless this is clear, that the prisoners put to death a weak and unoffending boy upon the chance of preserving their own lives by feeding upon his flesh and blood after he was killed, and with the certainty of depriving him, of any possible chance of survival. The verdict finds in terms that "if the men had not fed upon the body of the boy they would probably not have survived," and that “the boy being in a much weaker condition was likely to have died before them." They might possibly have been picked up next day by a passing ship; they might possibly not have been picked up at all; in either case it is obvious that the killing of the boy would have been an unnecessary and profitless act. It is found by the verdict that the boy was incapable of resistance, and, in fact, made none; and it is not even suggested that his death was due to any violence on his part attempted against, or even so much as feared by, those who killed him. Under these circumstances the jury say that they are ignorant whether those who killed him were guilty of murder, and have referred it to this Court to determine what is the legal consequence which follows from the facts which they have found.

Certain objections on points of form were taken by Mr. Collins before he came to argue the main point in the case. First it was contended that the conclusion of the special verdict as entered on the record, to the effect that the jury find their verdict in accordance, either way, with the judgment of the Court, was not put to them by my learned Brother, and that its forming part of the verdict on the record invalidated the whole verdict. But the answer is twofold -- (1) that it is really what the jury meant, and that it is but the clothing in legal phraseology of that which is already contained by necessary implication in their unquestioned finding, and (2) that it is a matter of the purest form, and that it appears from the precedents with which we have been furnished from the Crown Office, that this has been the form of special verdicts in Crown cases for upwards of a century at least.

Next it was objected that the record should have been brought into this Court by certiorari, and that in this case no writ of certiorari had issued. The fact is so; but the objection is groundless. Before the passing of the Judicature Act, 1873 (36 & 37 Vict. c. 66), as the courts of Oyer and Terminer and Gaol delivery were not parts of the Court of Queen's Bench, it was necessary that the Queen's Bench should issue its writ to bring before it a record not of its own, but of another Court. But by the 16th section of the Judicature Act, 1873, the courts of Oyer and Terminer and Gaol delivery are now made part of the High Court, and their jurisdiction is vested in it. An order of the Court has been made to bring the record from one part of the court into this chamber, which is another part of the same court; the record is here in obedience to that order; and we are all of opinion that the objection fails.

It was further objected that, according to the decision of the majority of the judges in the Franconia Case, there was no jurisdiction in the Court at Exeter to try these prisoners. But (1) in that case the prisoner was a German, who had committed the alleged offence as captain, of a German ship; these prisoners were English seamen, the crew of an English yacht, cast a way in a storm on the high seas, and escaping from her in an open boat; (2) the opinion of the minority in the Franconia Case has been since not only enacted but declared by Parliament to have been always the law; and (3) 17 & 18 Vict. c. 104, s. 267, is absolutely fatal to this objection. By that section it is enacted as follows: -- “All offences against property or person committed in or at any place either ashore or afloat, out of her Majesty's dominions by any master seaman or apprentice who at the time when the offence is committed is or within three months previously has been employed in any British ship, shall be deemed to be offences of the same nature respectively, and be inquired of, heard, tried, determined, and adjudged in the same manner and by the same courts and in the same places as if such offences had been committed within the jurisdiction of the Admiralty of England.” We are all therefore of opinion that this objection likewise must be overruled.

There remains to be considered the real question in the case whether killing under the circumstances set forth in the verdict be or be not murder. The contention that it could be anything else was, to the minds of us all, both new and strange, and we stopped the Attorney General in his negative argument in order that we might hear what could be said in support of a proposition which appeared to us to be at once dangerous, immoral, and opposed to all legal principle and analogy. All, no doubt, that can be said has been urged before us, and we are now to consider and determine what it amounts to. First it is said that it follows from various definitions of murder in books of authority, which definitions imply, if they do not state, the doctrine, that in order to save your own life you may lawfully take away the life of another, when that other is neither attempting nor threatening yours, nor is guilty of any illegal act whatever towards you or any one else. But if these definitions be looked at they will not be found to sustain this contention. The earliest in point of date is the passage cited to us from Bracton, who lived in the reign of Henry III. It was at one time the fashion to discredit Bracton, as Mr. Reeve tells us, because he was supposed to mingle too much of the canonist and civilian with the common lawyer. There is now no such feeling, but the passage upon homicide, on which reliance is placed, is a remarkable example of the kind of writing which may explain it. Sin and crime are spoken of as apparently equally illegal, and the crime of murder, it is expressly declared, may be committed “lingua vel facto”; so that a man, like Hero "done to death by slanderous tongues," would, it seems, in the opinion of Bracton, be a person in respect of whom might be grounded a legal indictment for murder. But in the very passage as to necessity, on which reliance has been placed, it is clear that Bracton is speaking of necessity in the ordinary sense -- the repelling by violence, violence justified so far as it was necessary for the object, any illegal violence used towards oneself. If, says Bracton, the necessity be “evitabilis, et evadere posset absque occisione, tune erit reus homicidii” -- words which shew clearly that he is thinking of physical danger from which escape may be possible, and that the "inevitabilis necessitas" of which he speaks as justifying homicide is a necessity of the same nature.

It is, if possible, yet clearer that the doctrine contended for receives no support from the great authority of Lord Hale. It is plain that in his view the necessity which justified homicide is that only which has always been and is now considered a justification. "In all these cases of homicide by necessity," says he, "as in pursuit of a felon, in killing him that assaults to rob, or comes to burn or break a house, or the like, which are in themselves no felony" (1 Hale's Pleas of the Crown, p. 491). Again he says that "the necessity which justifies homicide is of two kinds: (1) the necessity which is of a private nature; (2) the necessity which relates to the public justice and safety. The former is that necessity which obligeth a man to his own defence and safeguard, and this takes in these inquiries: What may be done for the safeguard of a man's own life;" and then follow three other heads not necessary to pursue. Then Lord Hale proceeds: "As touching the first of these -- viz., homicide in defence of, a man's own life, which is usually styled se defendendo." It is not possible to use words more clear to shew that Lord Hale regarded the private necessity which justified, and alone justified, the taking the life of another for the safeguard of one's own to be what is commonly called “self-defence.” (Hale's Pleas of, the Crown, i. 478.)

But if this could be even doubtful upon Lord Hale's words, Lord Hale himself has made it clear. For in the chapter in which he deals with the exemption created by compulsion or necessity he thus expresses himself: “If a man be desperately assaulted and in peril of death, and cannot otherwise escape unless, to satisfy his assailant's fury, he will kill an innocent person then present, the fear and actual force will not acquit him of the crime and punishment of murder, if he commit the fact, for he ought rather to die himself than kill an innocent; but if he cannot otherwise save his own life the law permits him in his own defence to kill the assailant, for by the violence of the assault, and the offence committed upon him by the assailant himself, the law of nature, and necessity, hath made him his own protector cum debito modera mine inculpatee tutelae." (Hale's Pleas of the Crown, Vol. i. 51.)

But, further still, Lord Hale in the following chapter deals with the position asserted by the casuists, and sanctioned, as he says, by Grotius and Puffendorf, that in a case of extreme necessity, either of hunger or clothing; "theft is no theft, or at least not punishable as theft, as some even of our own lawyers have asserted the same." "But," says Lord Hale, "I take it that herein England, that rule, at least by the laws of England, is false; and therefore, if a person, being under necessity for want of victuals or clothes, shall upon that account clandestinely and animo furandi steal another man's goods, it is felony, and a crime by the laws of England punishable with death." (Hale, Pleas of the Crown, i. 54.) If, therefore, Lord Hale is clear -- as he is -- that extreme necessity of hunger does not justify larceny, what would he have said to the doctrine that it justified murder?

It is satisfactory to find that another great authority, second, probably, only to Lord Hale, speaks with the same unhesitating clearness on this matter. Sir Michael Foster, in the 3rd chapter of his Discourse on Homicide, deals with the subject of " homicide founded in necessity"; and the whole chapter implies, and is insensible unless it does imply, that in the view of Sir Michael Foster “necessity and self-defence” (which he defines as "opposing force to force even to the death ") are convertible terms. There is no hint, no trace, of the doctrine now contended for; the whole reasoning of the chapter is entirely inconsistent with it.

In East's Pleas of the Crown (i. 271) the whole chapter on homicide by necessity is taken up with an elaborate discussion of the limits within which necessity in Sir Michael Foster's sense (given above) of self-defence is a justification of or excuse for homicide. There is a short section at the end very generally and very doubtfully expressed, in which the only instance discussed is the well-known one of two shipwrecked men on a plank able to sustain only one of them, and the conclusion is left by Sir Edward East entirely undetermined.

What is true of Sir Edward East is true also of Mr. Serjeant Hawkins. The whole of his chapter on justifiable homicide assumes that the only justifiable homicide of a private nature is the defence against force of a man's person, house, or goods. In the 26th section we find again the case of the two shipwrecked men and the single plank, with the significant expression from a careful writer, “It is said to be justifiable.” So, too, Dalton c. 150, clearly considers necessity and self-defence in Sir Michael Foster's sense of that expression, to be convertible terms, though he prints without comment Lord Bacon's instance of the two men on one plank as a quotation from Lord Bacon, adding nothing whatever to it of his own. And there is a remarkable passage at page 339, in which he says that even in the case of a murderous assault upon a man, yet before he may take the life of the man who assaults him even in self-defence, “cuncta prius tentanda.”

The passage in Staundforde, on which almost the whole of the dicta we have been considering are built, when it comes to be examined, does not warrant the conclusion which has been derived from it. The necessity to justify homicide must be, he says, inevitable, and the example which he gives to illustrate his meaning is the very same which has just been cited from Dalton, shewing that the necessity he was speaking of was a physical necessity, and the self-defence a defence against physical violence. Russell merely repeats the language of the old text-books, and adds no new authority, nor any fresh considerations. Is there, then, any authority for the proposition which has been presented to us? Decided cases there are none. The case of the seven English sailors referred to by the commentator on Grotius and by Puffendorf has been discovered by a gentleman of the Bar, who communicated with my Brother Huddleston, to convey the authority (if it conveys so much) of a single judge of the island of St. Kitts, when that island was possessed partly by France and partly by this country, somewhere about the year 1641. It is mentioned in a medical treatise published at Amsterdam, and is altogether, as authority in an English court, as unsatisfactory as possible. The American case cited by Brother Stephen in his Digest, from Wharton on Homicide, in which it was decided, correctly indeed, that sailors had no right to throw passengers overboard to save themselves, but on the somewhat strange ground that the proper mode of determining who was to be sacrificed was to vote upon the subject by ballot, can hardly, as my Brother Stephen says, be an authority satisfactory to a court in this country. The observations of Lord Mansfield in the case of Rex v. Stratton and Others, striking and excellent as they are, were delivered in a political trial, where the question was whether a political necessity had arisen for deposing a Governor of Madras. But they have little application to the case before us which must be decided on very different considerations.

The one real authority of former time is Lord Bacon, who, in his commentary on the maxim, "necessitas inducit privilegium quoad jura privata," lays down the law as follows:" Necessity carrieth a privilege in itself. Necessity is of three sorts -- necessity of conservation of life, necessity of obedience, and necessity of the act of God or of a stranger. First of conservation of life ; if a man steal viands to satisfy his present hunger, this is no felony nor larceny. So if divers be in danger of drowning by the casting away of some boat or barge, and one of them get to some plank, or on the boat's side to keep himself above water, and another to save his life thrust him from it, whereby he is drowned, this is neither se defendendo nor by misadventure, but justifiable." On this it is to be observed that Lord Bacon's proposition that stealing to satisfy hunger is no larceny is hardly supported by Staundforde, whom he cites for it, and is expressly contradicted by Lord Hale in the passage already cited. And for the proposition as to the plank or boat, it is said to be derived from the canonists. At any rate he cites no authority for it, and it must stand upon his own. Lord Bacon was great even as a lawyer; but it is permissible to much smaller men, relying upon principle and on the authority of others, the equals and even the superiors of Lord Bacon as lawyers, to question the soundness of his dictum. There are many conceivable states of things in which it might possibly be true, but if Lord Bacon meant to lay down the broad proposition that a man may save his life by killing, if necessary, an innocent and unoffending neighbour, it certainly is not law at the present day.

There remains the authority of my Brother Stephen, who, both in his Digest and in his History of the Criminal Law, uses language perhaps wide enough to cover this case. The language is somewhat vague in both places, but it does not in either place cover this case of necessity, and we have the best authority for saying that it was not meant to cover it. If it had been necessary, we must with true deference have differed from him, but it is satisfactory know that we have, probably at least, arrived at no conclusion in which if he had been a member of the Court he would have been unable to agree. Neither are we in conflict with any opinion expressed upon the subject by the learned persons who formed the commission for preparing the Criminal Code. They say on this subject:

We are certainly not prepared to suggest that necessity should in every case be a justification. We are equally unprepared to, suggest that necessity should in no case be a defence; we judge it better to leave such questions to be dealt with when, if ever, they arise in practice by applying the principles of law to the circumstances of the particular case.

It would have been satisfactory to us if these eminent persons could have told us whether the received definitions of legal necessity were in their judgment correct and exhaustive, and if not, in what way they should be amended but as it is we have, as they say, "to apply the principles of law to the circumstances of this particular case."

Now, except for the purpose of testing how far the conservation of a man's own life is in all cases and under all circumstances, an absolute, unqualified, and paramount duty, we exclude from our consideration all the incidents of war. We are dealing with a case of private homicide, not one imposed upon men in the service of their Sovereign and in the defence of their country. Now it is admitted that the deliberate killing of this unoffending and unresisting boy was clearly murder, unless the killing can be justified by some well-recognised excuse admitted by the law. It is further admitted that there was in this case no such excuse, unless the killing was justified by what has been called “necessity.” But the temptation to the act which existed here was not what the law has ever called necessity. Nor is this to be regretted. Though law and morality are not the same, and many things may be immoral which are not necessarily illegal, yet the absolute divorce of law from morality would be of fatal consequence; and such divorce would follow if the temptation to murder in this case were to be held by law an absolute defence of it. It is not so. To preserve one's life is generally speaking a duty, but it may be the plainest and the highest duty to sacrifice it. War is full of instances in which it is a man's duty not to live, but to die. The duty, in case of shipwreck, of a captain to his crew, of the crew to the passengers, of soldiers to women and children, as in the noble case of the Birkenhead; these duties impose on men the moral necessity, not of the preservation, but of the sacrifice of their lives for others from which in no country, least of all, it is to be hoped, in England, will men ever shrink, as indeed, they have not shrunk. It is not correct, therefore, to say that there is any absolute or unqualified necessity to preserve one's life. "Necesse est ut eam, non ut vivam," is a saying of a Roman officer quoted by Lord Bacon himself with high eulogy in the very chapter on necessity to which so much reference has been made. It would be a very easy and cheap display of commonplace learning to quote from Greek and Latin authors, from Horace, from Juvenal, from Cicero, from Euripides, passage after passage, in which the duty of dying for others has been laid down in glowing and emphatic language as resulting from the principles of heathen ethics; it is enough in a Christian country to remind ourselves of the Great Example whom we profess to follow. It is not needful to point out the awful danger of admitting the principle which has been contended for. Who is to be the judge of this sort of necessity? By what measure is the comparative value of lives to be measured? Is it to be strength, or intellect, or 'what? It is plain that the principle leaves to him who is to profit by it to determine the necessity which will justify him in deliberately taking another's life to save his own. In this case the weakest, the youngest, the most unresisting, was chosen. Was it more necessary to kill him than one of the grown men? The answer must be "No" –

"So spake the Fiend, and with necessity

The tyrant's plea, excused his devilish deeds."

It is not suggested that in this particular case the deeds were "devilish," but it is quite plain that such a principle once admitted might be made the legal cloak for unbridled passion and atrocious crime. There is no safe path for judges to tread but to ascertain the law to the best of their ability and to declare it according to their judgment; and if in any case the law appears to be too severe on individuals, to leave it to the Sovereign to exercise that prerogative of mercy which the Constitution has intrusted to the hands fittest to dispense it.

It must not be supposed that in refusing to admit temptation to be an excuse for crime it is forgotten how terrible the temptation was; how awful the suffering; how hard in such trials to keep the judgment straight and the conduct pure. We are often compelled to set up standards we cannot reach ourselves, and to lay down rules which we could not ourselves satisfy. But a man has no right to declare temptation to be an excuse, though he might himself have yielded to it, nor allow compassion for the criminal to change or weaken in any manner the legal definition of the crime. It is therefore our duty to declare that the prisoners' act in this case was wilful murder, that the facts as stated in the verdict are no legal justification of the homicide; and to say that in our unanimous opinion the prisoners are upon this special verdict guilty of murder.[2]

[The COURT then proceeded to pass sentence of death upon the prisoners.[3]]

Solicitors for the Crown: The Solicitors for the Treasury. 

Solicitors for the prisoners: Irvine & Hodges.

NOTES

[1] Huddleston, B., stated that the full facts of the case had been discovered by Sir Sherston Baker, a member of the Bar, and communicated to him as follows:

A Dutch writer, Nicholas Tulpius, the author of a Latin work, Observationum Medicarum, written at Amsterdam in 1641, states that the following facts were given him by eye-witnesses. Seven Englishmen had prepared themselves in the Island of St. Christopher (one of the Caribbean Islands) for a cruise in a boat for a period of one night only, but a storm drove them so far out to sea that they could not get back to port before seventeen days. One of them proposed that they should cast lots to settle on whose body they should assuage their ravenous hunger. Lots were cast, and the lot fell on him who bad proposed it. None wished to perform the office of butcher; and lots again cast to provide one. The body was afterwards eaten. At length the boat was cast on the shore of the Isle of St. Martin, one of the same group, where the six survivors were treated with kindness by the Dutch, and sent home to St. Christopher.

[2] My brother Grove has furnished me with the following suggestion, too late to be embodied in the judgment but well worth preserving: "If the two accused men were justified in killing Parker, then if not rescued in time, two of the three survivors would be justified in killing the third, and of the two who remained the stronger would be justified in killing the weaker, so that three men might be justifiably killed to give the fourth a chance of surviving."-- C.

[3] This sentence was afterwards commuted by the Crown to six months imprisonment.

1.5 Class #2: Punishment Theory in the Real World 1.5 Class #2: Punishment Theory in the Real World

Punishment theory is just that—theory. The arguments based on those theories must be made in the real world, which requires an awareness of the important social factors that have shaped and continue to shape the criminal law—most notably: race, class, and gender. People v. Du gives us a chance to begin addressing race, which is perhaps the most important social factor that has affected the development of criminal law and criminal justice policy in the United States.

1.5.1 People v. Superior Court (People v. Du) 1.5.1 People v. Superior Court (People v. Du)

In 1991, Soon Ja Du, a shopkeeper in Los Angeles, shot and killed Latasha Harlins, a fifteen-year-old girl. At trial, the jury convicted Du of manslaughter, a crime that would typically carry a sentence of eleven, six, or three years in California. But, after finding that this was an "unusual case," the trial judge sentenced Du to probation. The District Attorney appealed, and the California Court of Appeal affirmed, in the opinion you have below. For our purposes, you need not focus on the particular aspects of California sentencing law at issue. Instead, focus on the facts and the trial judge's reasoning in imposing the sentence of probation. Do you agree? Why or why not?

All of the theoretical principles that we discussed in Dudley & Stephens are relevant here:

  • Retributive arguments: How much punishment does the defendant "deserve"? (Consider both harm and culpability.)
  • Utilitarian arguments: What are the consequences of imposing probation and do the "benefits" outweigh the "costs"? (Consider general deterrence, specific deterrence, incapacitation, and rehabilition). 

But, unlike Dudley & Stephens, which seems made for a philosophy class, People v. Du is very much about the challenge of bringing those theories into the real world, particularly in a case that is very much about race (and perhaps also about gender and class). As you read the facts and evaluate the judge's reasoning, think about power: Who has it? How is it being used? Who is benefitting? 

People v. Du

1. What happened in this case?

2. Statutory analysis: What was Du charged with? What are the elements of that crime? (Examine the California homicide statutes at Casebook 2.2).

3. What defenses did Du raise?

4. What was the jury’s verdict? What conclusions did the jury reach about Du’s defenses?

5. Review the trial judge's sentencing rationales. What are they?

6. If you were the sentencing judge and had the option to sentence Du to prison for eleven years, six years, three years, or probation, what would you choose? Do you agree with the trial judge's sentence of probation? Why or why not?

7. Does Du deserve a more significant punishment? Why? (In other words, what are the arguments that she deserves—or doesn’t deserve—punishment?)

8. What would a greater punishment have accomplished? (In other words, what are the crime prevention arguments for and against punishment?)

9. Do you think race played a role in the killing? In the jury’s verdict? In the judge’s sentence? What about gender? What about class?

10. To what extent should the community’s view of the appropriate sentence matter? Why? What role does the criminal law play in expressing society’s values? How?

[No. B063918.

Second Dist., Div. Five.

Apr. 21, 1992.]

THE PEOPLE, Petitioner, v. THE SUPERIOR COURT OF LOS ANGLES COUNTY, Respondent; SOON JA DU, Real Party in Interest.

*824Counsel

Ira Reiner, District Attorney, Harry B. Sondheim, George G. Size and Glenn R. Britton, Deputy District Attorneys, for Petitioner.

De Witt W. Clinton, County Counsel, Frederick R. Bennett, Assistant County Counsel, Sidley & Austin and Donald Etra, for Respondent.

Mathews & Evans and Charles T. Mathews as Amici Curiae on behalf of Respondent.

Charles E. Loyd, Richard A. Leonard and Richard D. Rome for Real Party in Interest.

Wilbur F. Littlefield, Public Defender, Laurence M. Sarnoff and Albert J. Menaster, Deputy Public Defenders, as Amici Curiae on behalf of Real Party in Interest.

*825Opinion

ASHBY, Acting P. J.

Introduction

Defendant Soon Ja Du was convicted of voluntary manslaughter in the killing of Latasha Harlins, a customer in defendant’s store. Defendant was sentenced to 10 years in state prison. The sentence was suspended and defendant was placed on probation under certain terms and conditions. Petitioner (District Attorney) contends the court abused its discretion in granting probation and seeks a writ of mandate directing the court to “impose a legal sentence of an appropriate term in state prison.”1

In an indirect way, the District Attorney has correctly framed the single issue in this case: was the sentence imposed by the respondent court “legal,” that is, was it in accordance with statutorily defined sentencing guidelines.

A trial court has broad discretion in determining whether or not to grant probation. In reviewing that determination it is not our function to substitute our judgment for that of the trial court. Our function is to determine whether the trial court’s order granting probation is arbitrary or capricious or exceeds the bounds of reason considering all the facts and circumstances. Utilizing this standard of review, we conclude that the respondent court’s determination was not an abuse of discretion. Accordingly, we deny the petition.

Facts2

The crime giving rise to defendant’s conviction occurred on the morning of March 16, 1991, at the Empire Liquor Market, one of two liquor stores owned and operated by defendant and her family. Although Empire Liquor was normally staffed by defendant’s husband and son while defendant worked at the family’s other store in Saugus, defendant worked at Empire on the morning of March 16 so that her son, who had been threatened by local *826gang members,3 could work at the Saugus store instead. Defendant’s husband, Billy Du, was present at the Empire Liquor Market that morning, but at defendant’s urging he went outside to sleep in the family van because he had worked late the night before.

Defendant was waiting on two customers at the counter when the victim, 15-year-old Latasha Harlins, entered the store. Latasha proceeded to the section where the juice was kept, selected a bottle of orange juice, put it in her backpack, and proceeded toward the counter.

Defendant had observed many shoplifters in the store,4 and it was her experience that people who were shoplifting would take the merchandise, “place it inside the bra or anyplace where the owner would not notice,” and then approach the counter, buy some small items and leave. Defendant saw Latasha enter the store, take a bottle of orange juice from the refrigerator, place it in her backpack and proceed to the counter. Although the orange juice was in the backpack, it was partially visible. Defendant testified that she was suspicious because she expected if the victim were going to pay for the orange juice, she would have had it in her hand.

Thirteen-year-old Lakeshia Combs and her brother, nine-year-old Ismail Ali, testified that Latasha approached the counter with money (“about two or three dollars”) in her hand. According to these witnesses, defendant confronted Latasha, called her a “bitch” and accused her of trying to steal the orange juice; Latasha stated she intended to pay for it. According to defendant, she asked Latasha to pay for the orange juice and Latasha replied, “What orange juice?” Defendant concluded that Latasha was trying to steal the juice.5

Defendant began pulling on Latasha’s sweater in an attempt to retrieve the orange juice from the backpack. Latasha resisted and the two struggled. Latasha hit defendant in the eye with her fist twice. With the second blow, *827defendant fell to the floor behind the counter, taking the backpack with her. During the scuffle, the orange juice fell out of the backpack and onto the floor in front of the counter. Defendant testified that she thought if she were hit one more time, she would die. Defendant also testified that Latasha threatened to kill her. Defendant picked up a stool from behind the counter and threw it at Latasha, but it did not hit her.

After throwing the stool, defendant reached under the counter, pulled out a bolstered .38-caliber revolver, and, with some difficulty, removed the gun from the holster. As defendant was removing the gun from the holster, Latasha picked up the orange juice and put it back on the counter, but defendant knocked it away. As Latasha turned to leave defendant shot her in the back of the head from a distance of approximately three feet, killing her instantly. Latasha had $2 in her hand when she died.

Defendant’s husband entered the store upon hearing defendant’s calls for help and saw Latasha lying on the floor. Defendant leaned over the counter and asked, “Where is that girl who hit me?” Defendant then passed out behind the counter. Defendant’s husband attempted to revive her and also dialed 911 and reported a holdup. Defendant, still unconscious, was transported to the hospital by ambulance, where she was treated for facial bruises and evaluated for possible neurological damage.

At defendant’s trial, she testified that she had never held a gun before, did not know how it worked, did not remember firing the gun and did not intend to kill Latasha.

Defendant’s husband testified that he had purchased the .38-caliber handgun from a friend in 1981 for self-protection. He had never fired the gun, however, and had never taught defendant how to use it. In 1988, the gun was stolen during a robbery of the family’s store in Saugus. Defendant’s husband took the gun to the Empire store after he got it back from the police in 1990.

David Butler, a Los Angeles Police Department ballistics expert, testified extensively about the gun, a Smith & Wesson .38-caliber revolver with a two-inch barrel. In summary, he testified that the gun had been altered crudely and that the trigger pull necessary to fire the gun had been drastically reduced. Also, both the locking mechanism of the hammer and the main spring tension screw of the gun had been altered so that the hammer could be released without putting much pressure on the trigger. In addition, the safety mechanism did not function properly.

After conclusion of the testimony at trial, the court granted a defense motion to dismiss the charge of first degree murder. The jury was instructed *828on second degree murder, two theories of voluntary manslaughter (sudden quarrel or heat of passion [CALJIC Nos. 8.42, 8.43 and 8.44] and honest but unreasonable belief in self-defense [CALJIC No. 5.17]), and involuntary manslaughter.

The jury found defendant guilty of voluntary manslaughter and also found true special allegations that defendant personally used a firearm, within the meaning of Penal Code sections 1203.06, subdivision (a)(1) and 12022.5. By convicting defendant of voluntary manslaughter, the jury impliedly found that defendant had the intent to kill and that the killing was unlawful, i.e., that it was neither justifiable nor excusable. (CALJIC No. 8.40.) Thus, the jury rejected the defenses that the killing was unintentional and that defendant killed in self-defense.

Probation Report

After defendant’s conviction, the case was evaluated by a Los Angeles County Probation officer, who prepared a presentence probation report. That report reveals the following about defendant:

At the time the report was prepared, defendant was a 51-year-old Korean-born naturalized American citizen, having arrived in the United States in 1976. For the first 10 years of their residence in the United States, defendant worked in a garment factory and her husband worked as a repairman. Eventually, the couple saved enough to purchase their first liquor store in San Fernando. They sold this store and purchased the one in Saugus. In 1989, they purchased the Empire Liquor Market, despite being warned by friends that it was in a “bad area.”

These warnings proved prophetic, as the store was plagued with problems from the beginning. The area surrounding the store was frequented by narcotics dealers and gang members, specifically the Main Street Crips. Defendant’s son, Joseph Du, described the situation as “having to conduct business in a war zone.” In December 1990, defendant’s son was robbed while working at the store and he incurred the wrath of local gang members when he agreed to testify against one of their number who he believed had committed the robbery.6 Soon thereafter, the family closed the store for two weeks while defendant’s husband formulated a plan (which he later realized *829was “naive”) to meet with gang members and achieve a form of truce. The store had only recently been reopened when the incident giving rise to this case occurred.

The probation officer concluded “it is true that this defendant would be most unlikely to repeat this or any other crime if she were allowed to remain free. She is not a person who would actively seek to harm another . . . .” However, she went on to state that although defendant expressed concern for the victim7 and her family, this remorse was centered largely on the effect of the incident on defendant and her own family.8 The respondent court found, however, that defendant’s “failure to verbalize her remorse to the Probation Department [was] much more likely a result of cultural and language barriers rather than an indication of a lack of true remorse.”

The respondent court sentenced defendant to ten years in state prison (six years for the base term and four for the. gun use). Sentence was suspended and defendant was placed on probation for a period of five years with the usual terms and conditions and on the condition that she pay $500 to the restitution fund and reimburse Latasha’s family for any out-of-pocket medical expenses and expenses related to Latasha’s funeral. Defendant was also ordered to perform 400 hours of community service. The court did not impose any jail time as a condition of probation.

Discussion

By using a firearm in the commission of the crime, defendant was presumptively ineligible for probation under Penal Code section 1203, subdivision (e)(2), which prohibits a grant of probation in cases where a firearm *830is used “[ejxcept in unusual cases where the interests of justice would best be served if the person is granted probation.”9

In determining whether the statutory limitation on probation has been overcome, the court is required to use the criteria set forth in California Rules of Court, rule 413.10 If the court finds the case to be an unusual one, it must then decide whether to grant probation, utilizing the statutory criteria set forth in California Rules of Court, rule 414.11

*831The standard for reviewing a trial court’s finding that a case may or may not be unusual is abuse of discretion. (People v. Cazares (1987) 190 Cal.App.3d 833, 837 [235 Cal.Rptr. 604], citing People v. Edwards (1976) 18 Cal.3d 796, 807 [135 Cal.Rptr. 411, 557 P.2d 995].) The standard is the same for review of an order granting probation. “Probation is an act of clemency which rests within the discretion of the trial court, whose order granting or denying probation will not be disturbed on appeal unless there has been an abuse of discretion.” (People v. Henderson (1964) 226 Cal.App.2d 160, 163 [37 Cal.Rptr. 883].) It is the duty of the trial court to exercise its discretion “unswayed by partisan interest, public clamor, or fear of criticism” (Cal. Code Jud. Conduct, canon 3A(1)), regardless of whether the decision may be unpopular or controversial.

Our function is to determine whether the respondent court’s order is arbitrary or capricious, or “ ‘exceeds the bounds of reason, all of the circumstances being considered.’ ” (People v. Warner (1978) 20 Cal.3d 678, 683 [143 Cal.Rptr. 885, 574 P.2d 1237].) The burden is on the party attacking the sentence to clearly show that the sentencing decision was irrational or arbitrary. (People v. Cazares, supra, 190 Cal.App.3d at p. 837.) In the absence of such a showing, the trial court is presumed to have acted to achieve legitimate sentencing objectives, and its discretionary determination to impose a particular sentence will not be set aside on review. (People v. Giminez (1975) 14 Cal.3d 68, 72 [120 Cal.Rptr. 577, 534 P.2d 65]; People v. Axtell (1981) 118 Cal.App.3d 246, 259 [173 Cal.Rptr. 360].)

*832We conclude, based on the record presented, that the court did not abuse its discretion in determining that the statutory conditions for probation were satisfied in this case.

1. Determination That This was an Unusual Case.

The respondent court stated three reasons why it found this to be an unusual case: “First, although the basis for the presumption against probation is technically present, that is, a gun was used, I find that it does not apply. The statute [Penal Code section 1203, subdivision (e)(2)] is aimed at criminals who arm themselves and go out and commit crimes. It is not aimed at shopkeepers who lawfully possess firearms for their own protection. Secondly, the defendant has no recent record, in fact, no record at all of committing similar crimes or crimes of violence. Third, I find that the defendant participated in the crime under circumstances of great provocation, coercion, and duress.”

The District Attorney construes the court’s first comment as an explicit finding by the court that Penal Code section 1203, subdivision (e)(2) did not apply in this case. To the contrary, the court specifically acknowledged the applicability of this section: “There is in this case, as counsel has stated quite correctly, a presumption against probation because a firearm was used, and as [the District Attorney] said, in order to overcome that presumption, the court must find this to be an unusual case as that term is defined by law.” The court then commenced to apply the criteria set forth in rule 413 of the California Rules of Court.

In determining whether or not a case is “unusual,” the court may consider “[a] fact or circumstance indicating that the basis for the statutory limitation on probation, although technically present, is not fully applicable to the case . . . .” (Cal. Rules of Court, rule 413(c)(l)(i).)12 This includes facts which may indicate that the circumstances of the case are substantially different from the circumstances typically present in other cases involving the same probation limitation. The court observed that the firearm use limitation typically involves “criminals who arm themselves and go out and commit crimes.” Here the circumstances are very different. Defendant was a shopkeeper who lawfully possessed a firearm for protection from ongoing crime involving gang members. There was no evidence that the defendant or her *833family kept the gun in the store because of any intention to act unlawfully. The fact that here the gun was used by a shopkeeper possessing it for a lawful use is sufficient distinction from the circumstances “typically present” in other gun use cases to justify the court’s finding that this was an “unusual case.” The court then properly applied the second part of rule 413(c)(l)(i), noting that the defendant had “no recent record, in fact, no record at all of committing similar crimes or crimes of violence.”

In determining that this was an “unusual case” which overcame the statutory presumption against probation, the court also found that “the defendant participated in the crime under circumstances of great provocation, coercion, and duress.” We assume the court was relying upon California Rules of Court, rule 413(c)(2), which allows the court to consider “[a] fact or circumstance not amounting to a defense, but reducing the defendant’s culpability for the offense . . . .” The District Attorney argues that the court improperly used this factor because the provocation in this case (i.e., the blows struck by Latasha) was successfully urged by defendant as a defense in the trial, as evidenced by the fact that the jury reduced the charge from second degree murder to voluntary manslaughter. In other words, defendant got her break from the jury.

This argument has no merit. The burden of proving second degree murder was on the District Attorney and he did not prove it to the satisfaction of the jury. Defendant was convicted of and sentenced for voluntary manslaughter. Provocation did not amount to a defense to voluntary manslaughter. Therefore, provocation can be considered under California Rules of Court, rule 413(c)(2)(i). If the District Attorney’s argument were correct, the District Attorney could routinely overcharge defendants and then argue that any facts which would tend to defeat the overcharging must be ignored in probation decisions.

2. Criteria Affecting Probation.

Having found that this was an “unusual case” within the meaning of California Rules of Court, rule 413, the court determined that defendant was eligible for probation. The court then granted probation to defendant after applying the criteria prescribed by California Rules of Court, rule 414, including the following: the manner in which the crime was carried out did not demonstrate criminal sophistication (rule 414(a)(8)), defendant would not be a danger to others if she were not imprisoned (rule 414(b)(8)), the crime was committed because of an unusual circumstance such as great *834provocation which is unlikely to recur (rule 414(a)(7)),13 and defendant had no prior criminal record (rule 414(b)(1)).14 There are other criteria under rule 414 which the court could consider although it did not explicitly so state on the record. These criteria weigh heavily in favor of defendant.15 It is evident from the record that the court did in fact conduct the “overall evaluation” intended by the Judicial Council when it adopted rule 414.16

The court commented at sentencing that it did not “believe that Mrs. Du would be here today if the gun that she grabbed for protection had not been altered.” The court elaborated: “This was a gun that had been stolen from the Du family and had been returned to them shortly before the shooting. The court has been presented with no evidence, and I do not believe that Mrs. Du knew that the gun had been altered in such a way as to . . . make it an automatic weapon with a hairpin trigger. Ordinarily a .38 revolver is one of the safest guns in the world. Ordinarily, a woman Mrs. Du’s size would have to decide consciously to pull the trigger and exert considerable strength to do so, but that was not true of the gun used to shoot Latasha Harlins. I have serious questions in my mind whether this crime would have been committed at all but for the altered gun.”

Seizing upon this language, the District Attorney contends that the respondent court based its decision to grant probation in part upon the belief that defendant did not intentionally shoot the victim. According to the District Attorney, this demonstrates a clear disregard of the jury’s verdict that the killing was intentional.

*835The record does not support the District Attorney’s interpretation of the court’s remarks. After making the statement relied on by the District Attorney, the court went on to say: “Did Mrs. Du react inappropriately to Latasha Harlins? Absolutely. . . .” Nowhere in the record does the court say that the killing was an accident or that it was not unlawful and intentional. The District Attorney cannot meet his burden by taking the court’s comments out of context and disregarding other language which does not support his position. A trial court’s judgment is presumed to be correct and to be based on legitimate sentencing objectives. Isolated or ambiguous remarks by the trial court do not overcome that presumption. The party attacking the judgment must clearly and affirmatively demonstrate that the trial court relied on improper considerations. (People v. Axtell, supra, 118 Cal.App.3d at p. 259.)

By finding defendant guilty of voluntary manslaughter instead of murder, the jury found that defendant killed without malice aforethought. (CALJIC No. 8.37.) The court interpreted the jury’s verdict to mean that the killing was unlawful and intentional, but was committed in the heat of passion.17 It is obvious that the point the court was making was that if there had been time for reflection the crime might not have occurred. In view of the fast-moving chain of events (the entire confrontation took only 35-40 seconds), even a few seconds could have been critical.18

3. General Sentencing Guidelines.

The court prefaced its remarks at the sentencing hearing by explaining that in imposing sentence it was required to consider (along with other applicable rules) the general sentencing guidelines set forth in California Rules of Court, rule 410.19 Applying those guidelines, the court concluded that defendant was not a danger to society (rule 410(a)) and that a state prison *836sentence was not necessary either to encourage defendant to lead a law-abiding life (rule 410(c)) or to isolate her in order to prevent her from committing other crimes (rule 410(e)). With respect to rule 410(g), achieving uniformity of sentencing, the court stated that such uniformity was impossible to achieve because each voluntary manslaughter case involves a uniquely different factual situation.

The District Attorney asserts that the court gave no consideration to other portions of California Rules of Court, rule 410 which would have impacted less favorably on defendant, and concludes that the court focused only on the defendant and not the crime. The District Attorney specifically contends that the court misapplied rules 410(b) (whether a state prison sentence was needed to punish defendant),20 410(d) (whether its sentence would deter others from criminal conduct by demonstrating its consequences), and 410(g) (uniformity of sentencing). On the latter point, the District Attorney points to statistics which show that even in voluntary manslaughter cases where probation is granted, the majority of defendants receive some jail time as a condition of probation.

We reject the District Attorney’s contention that the court misapplied California Rules of Court, rule 410. First, the court is presumed to have considered all relevant criteria enumerated in the rules unless the record affirmatively demonstrates otherwise. (Cal. Rules of Court, rule 409.)21 Second, rule 410 specifically acknowledges that an analysis of all the factors set forth in the rule may lead to inconsistent results, and that the court is entitled to consider which objectives are of primary importance in the particular case (fn. 9 ante). The court did so here.

Third, the District Attorney cannot demonstrate, merely by reciting statistics, that the court abused its discretion by not imposing jail time as a condition of defendant’s probation. “For example, if 97 percent of all defendants convicted of driving while under the influence of alcohol or drugs are not (or are) sentenced to jail, that does not establish an abuse of *837discretion regarding a particular appellant, regardless of whether he is part of the 97 percent or the 3 percent. Abuse of discretion must be demonstrated based on the facts of the particular case being reviewed, and not on a statistical label.” (People v. Preyer (1985) 164 Cal.App.3d 568, 574 [210 Cal.Rptr. 807].)

Furthermore, the Legislature has decreed that where a defendant is convicted of certain specified crimes,22 the court must, except in unusual cases, impose a jail term as a condition of probation. By not including voluntary manslaughter in those crimes, the Legislature afforded trial courts the discretion to grant probation without a mandatory jail sentence as a condition thereof. The respondent court’s decision not to impose jail time in this case was within the guidelines set by the Legislature.

Conclusion

The decision of the trial court must be within broadly defined guidelines. Those guidelines allow a sentencing court to grant probation in a manslaughter case, even where a firearm is used, and to forego imposing a jail term as a condition of probation. Such a decision may indeed be controversial. Nevertheless, the only issue to be resolved on appellate review is whether the trial court exercised its discretion in a manner which was “arbitrary, capricious, or beyond the bounds of reason.” We conclude, on the basis of the entire record, that the respondent court did not abuse its discretion.

Disposition

The petition for writ of mandate is denied.

Boren, J., concurred. Grignon, J., concurred in the result.

A petition for a rehearing was denied May 20, 1992, and the opinion was modified to read as printed above. Petitioner’s application for review by the Supreme Court was denied July 16, 1992.

1.6 Class #3: Modern Criminal Statutes & Legality 1.6 Class #3: Modern Criminal Statutes & Legality

Although criminal law began as judge-created common law, it is now entirely statutory. In this assignment, we explore the differing roles of judges and legislators in creating crimes (Mochan) and interpreting statutes (Keeler and Eulo). We will also consider the challenge of statutory specificity (Banks).

1.6.1 Commonwealth v. Mochan 1.6.1 Commonwealth v. Mochan

As you read Mochan, consider the following questions:
1. What crime was Mochan charged with committing? (What Pennsylvania law did he violate?) What are the elements of that crime?
2. What did Mochan do? (What exactly was it about Mochan’s conduct that the court found to be criminal?)
3. The dissent raises one main objection. What is it?
4. What other possible objections could be raised? (What is the principal of legality and what are the policies underlying it?)

177 Pa. Superior Ct. 454 (1955)

Commonwealth
v.
Mochan, Appellant.

Superior Court of Pennsylvania.

Argued November 8, 1954.
January 14, 1955.

 

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

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

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

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

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

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

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

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

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

Judgments and sentences affirmed.

DISSENTING OPINION BY WOODSIDE, J.:

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

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

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

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

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

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

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

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

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

GUNTHER, J. joins in this dissent.

1.6.2 Keeler v. Superior Court 1.6.2 Keeler v. Superior Court

As you read Keeler, consider the following questions:

1. Statutory analysis: What crime was Keeler charged with? What are the elements of that crime? (Pay careful attention to the statutory definition of murder in California Penal Code § 187 as it existed in 1970.)
2. What did Keeler do? What harm did he cause?
3. What is the procedural posture of this case?
4. What is the court’s holding? How does the majority interpret the key provision in the California Penal Code § 187? What is the basis for the majority’s interpretation?
5. How did the dissent interpret § 187? Why did the court reject the dissent’s argument?
6. Do you think Keeler was aware of the language of § 187? Do you think Keeler ever read Coke or Blackstone? Does that matter?
7. Do you agree with the dissent’s view that words in a statute “need not be frozen in place as of any particular time, but must be fairly and reasonably interpreted by this court to promote justice and to carry out the evident purposes of the Legislature . . .?”
8. How would you answer the rhetorical question posed at the very end of the dissent? Do you think Keeler was fairly punished for his conduct? Does that matter?
9. What does the Constitution say about the principle of legality? 

 

[Sac. No. 7853.

In Bank.

June 12, 1970.]

ROBERT HARRISON KEELER, Petitioner, v. THE SUPERIOR COURT OF AMADOR COUNTY, Respondent; THE PEOPLE, Real Party in Interest.

*622Counsel

Card Chisholm, Don F. Howard and Richard A. Hunter for Petitioner.

No appearance for Respondent.

Thomas C. Lynch, Attorney General, Doris H. Maier, Assistant Attorney General, and Arnold O. Overoye, Deputy Attorney General, for Real Party in Interest.

*623Opinion

MOSK, J.

In this proceeding for writ of prohibition we are called upon to decide whether an unborn but viable fetus is a “human being” within the meaning of the California statute defining murder (Pen. Code, § 187). We conclude that the Legislature did not intend such a meaning, and that for us to construe the statute to the contrary and apply it to this petitioner would exceed our judicial power and deny petitioner due process of law.

The evidence received at the preliminary examination may be summarized as follows: Petitioner and Teresa Keeler obtained an interlocutory decree of divorce on September 27, 1968. They had been married for 16 years. Unknown to petitioner, Mrs. Keeler was then pregnant by one Ernest Vogt, whom she had met earlier that summer. She subsequently began living with Vogt in Stockton, but concealed the fact from petitioner. Petitioner was given custody of their two daughters, aged 12 and 13 years, and under the decree Mrs. Keeler had the right to take the girls on alternate weekends.

On February 23, 1969, Mrs. Keeler was driving on a narrow mountain road in Amador County after delivering the girls to their home. She met petitioner driving in the opposite direction; he blocked the road with his car, and she pulled over to the side. He walked to her vehicle and began speaking to her. He seemed calm, and she rolled down her window to hear him. He said, “I hear you’re pregnant. If you are you had better stay away from the girls and from here.” She did not reply, and he opened the car door; as she later testified, “He assisted me out of the car. . . . [I]t wasn’t roughly at this time.” Petitioner then looked at her abdomen and became “extremely upset.” He said, “You sure are. I’m going to stomp it out of you.” He pushed her against the car, shoved his knee into her abdomen, and struck her in the face with several blows. She fainted, and when she regained consciousness petitioner had departed.

Mrs. Keeler drove back to Stockton, and the police and medical assistance were summoned. She had suffered substantial facial injuries, as well as extensive bruising of the abdominal wall. A Caesarian section was performed and the fetus was examined in útero. Its head was found to be severely fractured, and it was delivered stillborn. The pathologist gave as his opinion that the cause of death was skull fracture with consequent cerebral hemorrhaging, that death would have been immediate, and that the injury could have been the result of force applied to the mother’s abdomen. There was no air in the fetus’ lungs, and the umbilical cord was intact.

*624Upon delivery the fetus weighed five pounds and was 18 inches in length. Both Mrs. Keeler and her obstetrician testified that fetal movements had been observed prior to February 23, 1969. The evidence was in conflict as to the estimated age of the fetus;1 the expert testimony on the point, however, concluded “with reasonable medical certainty” that the fetus had developed to the stage of viability, i.e., that in the event of premature birth on the date in question it would have had a 75 percent to 96 percent chance of survival.

An information was filed charging petitioner, in count I, with committing the crime of murder (Pen. Code, § 187) in that he did “unlawfully kill a human being, to wit Baby Girl Vogt, with malice aforethought.” In count II petitioner was charged with wilful infliction of traumatic injury upon his wife (Pen. Code, § 273d), and in count III, with assault on Mrs. Keeler by means of force likely to produce great bodily injury (Pen. Code, 5 245). His motion to set aside the information for lack of probable cause (Pen. Code, § 995) was denied, and he now seeks a writ of prohibition; as will appear, only the murder count is actually in issue. Pending our disposition of the matter, petitioner is free on bail.

I

Penal Code section 187 provides: “Murder is the unlawful killing of a human being, with malice aforethought.” The dispositive question is whether the fetus which petitioner is accused of killing was, on February 23, 1969, a “human being” within the meaning of the statute. If it was not, petitioner cannot be charged with its “murder” and prohibition will lie.

Section 187 was enacted as part of the Penal Code of 1872. Inasmuch as the provision has not been amended since that date, we must determine the intent of the Legislature at the time of its enactment. But section 187 was, in turn, taken verbatim from the first California statute defining murder, part of the Crimes and Punishments Act of 1850. (Stats. 1850, ch. 99, § 19, p. 231.)2 Penal Code section 5 (also enacted in 1872) *625declares: “The provisions of this code, so far as they are substantially the same as existing statutes, must be construed as continuations thereof, and not as new enactments.” We begin, accordingly, by inquiring into the intent of the Legislature in 1850 when it first defined murder as the unlawful and malicious killing of a “human being.”

It will be presumed, of course, that in enacting a statute the Legislature was familiar with the relevant rules of the common law, and, when it couches its enactment in common law language, that its intent was to continue those rules in statutory form. (Baker v. Baker (1859) 13 Cal. 87, 95-96; Morris v. Oney (1963) 217 Cal.App.2d 864, 870 [32 Cal.Rptr. 88].) This is particularly appropriate in considering the work of the first session of our Legislature: its precedents were necessarily drawn from the common law, as modified in certain respects by the Constitution and by legislation of our sister states.* *3

We therefore undertake a brief review of the origins and development of the common law of abortional homicide. (For a more detailed treatment, see Means, The Law of New York Concerning Abortion and the Status of the Foetus, 1664—1968: A Case of Cessation of Constitutionality (1968) 14 N.Y.L.F. 411 [hereinafter cited as Means]; Stern, Abortion: Reform and the Law (1968) 59 J.Crim.L., C. & P.S. 84; Quay, Justifiable Abortion— Medical and Legal Foundations II (1961) 49 Geo.L.J. 395.) From that inquiry it appears that by the year 1850—the date with which we are concerned—an infant could not be the subject of homicide at common law unless it had been born alive.4 Perhaps the most influential statement of the “born alive” rule is that of Coke, in mid-17th century: “If a woman be quick with childe,5 and by a potion or otherwise killeth *626it in her wombe, or if a man beat her, whereby the childe dyeth in her body, and she is delivered of a dead childe, this is a great misprision [i.e., misdemeanor], and no murder; but if the childe be born alive and dyeth of the potion, battery, or other cause, this is murder; for in law it is accounted a reasonable creature, in rerum natura, when it is born alive.” (3 Coke, Institutes *50 (1648).) In short, “By Coke’s time, the common law regarded abortion as murder only if the foetus is (1) quickened, (2) bom alive, (3) lives for a brief interval, and (4) then dies.” (Means, at p. 420.) Whatever intrinsic defects there may have been in Coke’s work (see 3 Stephen, A History of the Criminal Law of England (1883) pp. 52-60), the common law accepted his views as authoritative. In the 18th century, for example, Coke’s requirement that an infant be bom alive in order to be the subject of homicide was reiterated and expanded by both Blackstone6 and Hale.7

Against this background, a series of infanticide prosecutions were brought in the English courts in mid-19th century. In each, a woman or her accomplice was charged with murdering a newborn child, and it was uniformly declared to be the law that a verdict of murder could not be returned unless it was proved the infant had been born alive. Thus in Rex v. Brain (1834) 6 Car. & P. 349, 350, 172 Eng.Reprint 1272, the court instructed the jury that “A child must be actually wholly in the world in a living state to be the subject of a charge of murder; but if it has been wholly born, and is alive, it is not essential that it should have breathed at the time it was killed; as many children are bom alive, and yet do not breathe for some time after their birth. But you must be satisfied that the child was wholly born into the world at the time it was killed, or you ought not to find the prisoner guilty of murder.” (Accord, Rex v. Boulton (1832) 5 Car. & P. 329, 172 Eng.Reprint 997; Rex v. Enoch (1833) 5 Car. & P. 539, 172 Eng.Reprint 1089; Rex v. Crutchley (1836) 7 Car. & P. 814, 173 Eng.Reprint 355; Rex v. Sellis (1836) 7 Car. &P. 850,173 Eng.Reprint *627370; Reg. v. Reeves (1839) 9 Car. & P. 25, 173 Eng.Reprint 724; Reg. v. Wright (1841) 9 Car. & P. 754, 173 Eng.Reprint 1039; Reg. v. Trilloe (1842) Car. & M. 650, 174 Eng.Reprint 674; see also cases collected in Atkinson, Life, Birth, and Livebirth (1904) 20 L.Q.Rev. 134, 139-145.)

Of these decisions, some pointed out that evidence of breathing is not conclusive because that function may begin before the infant is fully born (Boulton, Enoch, Sellis), while others observed that the infant can possess an “independent circulation”—one of the tests used to determine live birth—even though the umbilical cord may not yet be severed (Reeves, Trilloe). But all were in agreement that however live birth was to be proved, unless that event had occurred before the alleged criminal act there could be no conviction of homicide.

By the year 1850 this rule of the common law had long been accepted in the United States. As early as 1797 it was held that proof the child was born alive is necessary to support an indictment for murder (State v. McKee (Pa.) Addison 1), and the same rule was reiterated on the eve of the first session of our Legislature (State v. Cooper (1849) 22 N.J.L. 52). Although the precise issue in Cooper was whether an attempted abortion on a woman whose fetus had not yet “quickened” was a common law crime, the opinion begins by a recital of the common law rules on abortional homicide. In its argument the State took the position that attempted abortion was an offense against the person of the child, and the court replied that “the very point of inquiry is, whether that be at all an offense or not, and whether the child be in esse, so that any crime can be committed against its person. In regard to offences against the person of the child, a distinction is well settled between its condition before and after its birth. Thus, it is not murder to kill a child before it be born, even though it be killed in the very process of delivery.” (Id. at p. 54.) In support of this proposition, the court then set out in full each of the passages of Coke, Blackstone, and Hale quoted hereinabove. (Id. at pp. 54-55.)

While it was thus “well settled” in American case law that the killing of an unborn child was not homicide, a number of state legislatures in the first half of the 19th century undertook to modify the common law in this respect.8 The movement began when New York abandoned the common law of abortion in 1830. The revisers’ notes on that legislation recognized the existing rule,9 but nevertheless proposed a special feticide statute *628which, as enacted, provided that “The wilful killing of an unborn quick child, by any injury to the mother of such child, which would be murder if it resulted in the death of such mother, shall be deemed manslaughter in the first degree.” (N.Y. Rev. Stat. 1829, pt. IV, ch. 1, tit. 2, § 8, quoted in Means, at p. 443.) At the same time the New York Legislature enacted a companion section (§9) which, although punishing a violaton thereof as second degree manslaughter, was in essence an “abortion law” similar to those in force in most states today.10

In the years between 1830 and 1850 at least five other states followed New York and enacted, as companion provisions, (1) a statute declaring feticide to be a crime, punishable as manslaughter, and (2) a statute prohibiting abortion.* 11 In California, however, the pattern was not repeated. Much of the Crimes and Punishments Act of 1850 was based on existing New York statute law; but although a section proscribing abortion was included in the new Act (§ 45), the Legislature declined to adopt any provision defining and punishing a special crime of feticide.

We conclude that in declaring murder to be the unlawful and malicious killing of a “human being” the Legislature of 1850 intended that term to have the settled common law meaning of a person who had been born alive, and did not intend the act of feticide—as distinguished from abortion—to be an offense under the laws of California.

Nothing occurred between the years 1850 and 1872 to suggest that in adopting the new Penal Code on the latter date the Legislature entertained any different intent. The case law of our sister states, for example, remained consonant with the common law. In Abrams v. Foshee (Cole ed. 1856) 3 Iowa 274, 278, the court noted that Iowa’s feticide statute (Iowa Rev. Stat. 1843, § 10) had been repealed by the Iowa Code of 1851; it was contended *629that an unborn child is nevertheless “a human being, within the meaning of [Iowa Code] section 2508, which provides that whoever kills any human being, with malice aforethought, either express or implied, is guilty of murder.” The court observed that “notwithstanding the infant in ventre sa mere, is treated by the law for some purposes, as born, or as a human being, yet we are not aware that it has been so treated, so far as to make the act of its miscarriage murder, unless so declared by statute. . . . When the child is born, however, it becomes a human being, within the meaning of the law; and if it shall then die, by reason of any potions or bruises it received in the womb, it would be murder in those who administered or gave them, with a view of causing the miscarriage.” (Ibid.) Citing Blackstone, Coke, and other authorities, the court concluded that “an infant in ventre sa mere, is not a human being within the meaning of” the statute defining murder. (Id. at p. 279.)12

Any lingering doubt on this subject must be laid to rest by a consideration of the legislative history of the Penal Code of 1872. The Act establishing the California Code Commission (Stats. 1870, ch. 516, § 2, p. 774) required the commissioners to revise all statutes then in force, correct errors and omissions, and “recommend all such enactments as shall, in the judgment of the Commission, be necessary to supply the defects of and give completeness to the existing legislation of the State. . . .” In discharging this duty the statutory schemes of our sister states were carefully examined,13 and we must assume the commissioners had knowl*630edge of the feticide laws noted hereinabove.14 Yet the commissioners proposed no such law for California, and none has been adopted to this day.

That such an omission was not an oversight clearly appears, moreover, from the commissioners’ explanatory notes to Penal Code section 187. After quoting the definitions of murder given by Coke, Blackstone, and Hawkins, the commissioners conclude; “A child within its mother’s womb is not a ‘human being’ within the meaning of that term as used in defining murder. The rule is that it must be born.—Rex vs. Brain, 6 Car. & P., p. 349. That every part of it must have come from the mother before the killing of it will constitute a felonious homicide.—Rex vs. Brain, 6 Car. & P., p. 349; Rex vs. Crutchley, 7 Car. & P., p. 814; Rex vs. Sellis, 7 Car. & P., p. 850; Rex vs. Poulton, 5 Car. & P., p. 329; 2 Bishop’s Cr. Law, Secs. 541, 542.” (Code Commissioners’ Note, Pen. Code of Cal. (1st ed. 1872), p. 81.) The cited cases, of course, are among those we have discussed earlier as representing the settled common law rule that live birth is a prerequisite to a conviction of homicide.

When there is persuasive evidence of a legislative intent contrary to the views expressed in code commissioners’ notes, those views will not be followed in construing the statute. (See, e.g., People v. Valentine (1946) 28 Cal.2d 121, 138, 142-144 [169 P.2d 1] [contrary to commissioners’ note, Legislature omitted important limitation of prior statute in codifying manslaughter provision of Penal Code].) Here, however, the views of the commissioners are in full accord with the history of section 187; and as we have seen, the Legislature made no significant change in that statute when it was codified into the Penal Code. The rule is therefore applicable that “Reports of commissions which have proposed statutes that are subsequently adopted are entitled to substantial weight in construing the statutes. [Citations.] This is particularly true where the statute proposed by the commission is adopted by the Legislature without any change whatsoever and where the commission’s comment is brief, because in such a situation there is ordinarily strong reason to believe that the legislators’ votes were based in large measure upon the explanation of the commission proposing the bill.” (Van Arsdale v. Hollinger (1968) 68 Cal.2d 245, 249-250 [66 Cal.Rptr. 20, 437 P.2d 508].)15

*631It is the policy of this state to construe a penal statute as favorably to the defendant as its language and the circumstances of its application may reasonably permit; just as in the case of a question of fact, the defendant is entitled to the benefit of every reasonable doubt as to the true interpretation of words or the construction of language used in a statute. (Walsh v. Department of Alcoholic Bev. Control (1963) 59 Cal.2d 757, 764-765 [31 Cal.Rptr. 297, 382 P.2d 337], and cases cited.) We hold that in adopting the definition of murder in Penal Code section 187 the Legislature intended to exclude from its reach the act of killing an unborn fetus.

II

The People urge, however, that the sciences of obstetrics and pediatrics have greatly progressed since 1872, to the point where with proper medical care a normally developed fetus prematurely born at 28 weeks or more has an excellent chance of survival, i.e., is “viable”; that the common law requirement of live birth to prove the fetus had become a “human being” who may be the victim of murder is no longer in accord with scientific fact, since an unborn but viable fetus is now fully capable of independent life; and that one who unlawfully and maliciously terminates such a life should therefore be liable to prosecution for murder under section 187. We may grant the premises of this argument; indeed, we neither deny nor denigrate the vast progress of medicine in the century since the enactment of the Penal Code. But we cannot join in the conclusion sought to be deduced: we cannot hold this petitioner to answer for murder by reason of his alleged act of killing an unborn—even though viable—fetus. To such a charge there are two insuperable obstacles, one “jurisdictional” and the other constitutional.

Penal Code section 6 declares in relevant part that “No act or omission” accomplished after the code has taken effect “is criminal or punishable, except as prescribed or authorized by this code, or by some of the statutes which it specifies as continuing in force and as not affected by its provisions, or by some ordinance, municipal, county, or township regulation. . . .” This section embodies a fundamental principle of our tripartite form of government, i.e., that subject to the constitutional prohibition against cruel and unusual punishment, the power to define crimes and fix penalties is vested exclusively in the legislative branch. (People v. Knowles (1950) 35 Cal.2d 175, 181 [217 P.2d 1]; Harbor Comrs. v. Excelsior Redwood Co. (1891) 88 Cal. 491, 493 [26 P. 375]; People v. Hess (1951) 104 Cal.App.2d 642, 685 [234 P.2d 65]; In re Finley (1905) 1 Cal.App. 198, 201 [81 P. 1041].) Stated differently, there are no common law crimes in California. (People v. Redmond (1966) 246 *632Cal.App.2d 852, 862 [55 Cal.Rptr. 195]; People v. Harris (1961) 191 Cal.App.2d 754, 758 [12 Cal.Rptr. 916]; In re Harder (1935) 9 Cal.App.2d 153, 155 [49 P.2d 304].) “In this state the common law is of no effect so far as the specification of what acts or conduct shall constitute a crime is concerned. [Citations.] In order that a public offense be committed, some statute, ordinance or regulation prior in time to the commission of the act, must denounce it; likewise with excuses or justifications— if no statutory excuse or justification apply as to the commission of the particular offense, neither the common law nor the so-called ‘unwritten law’ may legally supply it.” (People v. Whipple (1929) 100 Cal.App. 261, 262 [279 P. 1008].)

Settled rules of construction implement this principle. Although the Penal Code commands us to construe its provisions “according to the fair import of their terms, with a view to effect its objects and to promote justice” (Pen. Code, § 4), it is clear the courts cannot go so far as to create an offense by enlarging a statute, by inserting or deleting words, or by giving the terms used false or unusual meanings. (People v. Baker (1968) 69 Cal.2d 44, 50 [69 Cal.Rptr. 595, 442 P.2d 675].) Penal statutes will not be made to reach beyond their plain intent; they include only those offenses coming clearly within the import of their language. (De Mille v. American Fed. of Radio Artists (1947) 31 Cal.2d 139', 156 [187 P.2d 769, 175 A.L.R. 382].) Indeed, “Constructive crimes— crimes built up by courts with the aid of inference, implication, and strained interpretation-—-are repugnant to the spirit and letter of English and American criminal law.” (Ex parte McNulty (1888) 77 Cal. 164, 168 [19 P. 237].)

Applying these rules to the case at bar, we would undoubtedly act in excess of the judicial power if we were to adopt the People’s proposed construction of section 187. As we have shown, the Legislature has defined the crime of murder in California to apply only to the unlawful and malicious killing of one who has been bom alive. We recognize that the killing of an unborn but viable fetus may be deemed by some to be an offense of similar nature and gravity; but as Chief Justice Marshall warned long ago, “It would be dangerous, indeed, to carry the principle, that a case which is within the reason or mischief of a statute, is within its provisions, so far as to punish a crime not enumerated in the statute, because it is of equal atrocity, or of kindred character, with those which are enumerated.” (United States v. Wiltberger (1820) 18 U.S. (5 Wheat.) 76, 96 [5 L.Ed. 37, 42].) Whether to thus extend liability for murder in California is a determination solely within the province of the Legisla*633ture.16 For a court to simply declare, by judicial fiat, that the time has now come to prosecute under section 187 one who kills an unborn but viable fetus would indeed be to rewrite the statute under the guise of construing it. Nor does a need to fill an asserted “gap” in the law between abortion and homicide—as will appear, no such gap in fact exists—justfy judicial legislation of this nature: to make it “a judicial function ‘to explore such new fields óf crime as they may appear from time to time’ is wholly foreign to the American concept of criminal justice” and “raises very serious questions concerning the principle of separation of powers.” (In re Davis (1966) 242 Cal.App.2d 645, 655-656 & fn. 12 [51 Cal.Rptr. 702].)

The second obstacle to the proposed judicial enlargement of section 187 is the guarantee of due process of law. Assuming arguendo that we have the power to adopt the new construction of this statute as the law of California, such a ruling, by constitutional command, could operate only prospectively, and thus could not in any event reach the conduct of petitioner on February 23, 1969.

The first essential of due process is fair warning of the act which is made punishable as a crime. “That the terms of a penal statute creating a new offense must be sufficiently explicit to inform those who are subject to it what conduct on their part will render them liable to its penalties, is a well-recognized requirement, consonant alike with ordinary notions of fair play and the settled rules of law.” (Connally v. General Constr. Co. (1926) 269 U.S. 385, 391 [70 L.Ed. 322, 328, 46 S.Ct. 126].) “No one *634may be required at peril of life, liberty or property to speculate as to the meaning of penal statutes. All are entitled to be informed as to what the State commands or forbids.” (Lanzetta v. New Jersey (1939) 306 U.S. 451, 453 [83 L.Ed. 888, 890, 59 S.Ct. 618].) The law of California is in full accord. (In re Newbern, supra, 53 Cal.2d 786, 792; In re Davis, supra, 242 Cal.App.2d 645, 650-651.)

This requirement of fair warning is reflected in the constitutional prohibition against the enactment of ex post facto laws (U.S. Const., art. I, §§ 9, 10; Cal. Const., art. I, § 16). When a new penal statute is applied retrospectively to make punishable an act which was not criminal at the time it was performed, the defendant has been given no advance notice consistent with due process. And precisely the same effect occurs when such an act is made punishable under a preexisting statute but by means of an unforeseeable judicial enlargement thereof. (Bouie v. City of Columbia (1964) 378 U.S. 347 [12 L.Ed.2d 894, 84 S.Ct. 1697].)

In Bouie two Negroes took seats in the restaurant section of a South Carolina drugstore; no notices were posted restricting the area to whites only. When the defendants refused to leave upon demand, they were arrested and convicted of violating a criminal trespass statute which prohibited entry on the property of another “after notice” forbidding such conduct. Prior South Carolina decisions had emphasized the necessity of proving such notice to support a conviction under the statute. The South Carolina Supreme Court nevertheless affirmed the convictions, construing the statute to prohibit not only the act of entering after notice not to do so but also the wholly different act of remaining on the property after receiving notice to leave.

The United States Supreme Court reversed the convictions, holding that the South Carolina court’s ruling was “unforeseeable” and when an “unforeseeable state-court construction of a criminal statute is applied retroactively to subject a person to criminal liability for past conduct, the effect is to deprive him of due process of law in the sense of fair warning that his contemplated conduct constitutes a crime.” (378 U.S. at pp. 354-355 [12 L.Ed.2d at p. 900].) Analogizing to the prohibition against retrospective penal legislation, the high court reasoned “Indeed, an unforeseeable judicial enlargement of a criminal statute, applied retroactively, .operates precisely like an ex post facto law, such as Art. I, § 10, of the Constitution forbids. An ex post facto law has been defined by this Court as one ‘that makes an action done before the passing of the law, and which was innocent when done, criminal; and punishes such action,’ or ‘that aggravates a crime, or makes it greater than it was, when committed.’ Calder v. Bull, 3 Dali. 386, 390,1 L.Ed. 648, 650. If a state legislature is barred by the *635Ex Post Facto Clause from passing such a law, it must follow that a State Supreme Court is barred by the Due Process Clause from achieving precisely the same result by judicial construction. Cf. Smith v. Gaboon, 283 U.S. 553, 565, 75 L.Ed. 1264, 1273, 51 S.Ct. 582. The fundamental principle that ‘the required criminal law must have existed when the conduct in issue occurred,’ Hall, General Principles of Criminal Law (2d ed. 1960), at 58-59, must apply to bar retroactive criminal prohibitions emanating from courts as well as from legislatures. If a judicial construction of a criminal statute is ‘unexpected and indefensible by reference to the law which had been expressed prior to the conduct in issue,’ it must not be given retroactive effect. Id., at 61.” (Fn. omitted.) (Id. at pp. 353-354 [12 L.Ed.2d at pp. 899-900].)

The court remarked in conclusion that “Application of this rule is particularly compelling where, as here, the petitioners’ conduct cannot be deemed improper or immoral.” (Id. at p. 362 [12 L.Ed.2d at p. 905].) In the case at bar the conduct with which petitioner is charged is certainly “improper” and “immoral,” and it is not contended he was exercising a constitutionally favored right. But the matter is simply one of degree, and it cannot be denied that the guarantee of due process extends to violent as well as peaceful men. The issue remains, would the judicial enlargement of section 187 now proposed have been foreseeable to this petitioner?

It is true that section 187, on its face, is not as “narrow and precise” as the South Carolina statute involved in Bouie; on the other hand, neither is it as vague as the statutes struck down in Connally and Lanzetta.17 Rather, section 187 bears a plain, common sense meaning, well settled in the common law and fortified by its legislative history in California. In Bouie, moreover, the court stressed that a breach of the peace statute was also in force in South Carolina at the time of the events, and that the defendants were in fact arrested on that ground and prosecuted (but not convicted) for that offense. Here, too, there was another statute on the books which petitioner could well have believed he was violating: Penal Code section 274 defines the crime of abortion, in relevant part, as the act of “Every person who . . . uses or employs any instrument or any other means whatever, with intent thereby to procure the miscarriage” of any woman, and does not come within the exceptions provided by law. The gist of the crime is the performance, with the requisite intent, of any of the acts enumerated in the statute. (People v. Root (1966) 246 Cal.App.2d 600, 604 [55 Cal.Rptr. 89]; People v. Moore (1963) 213 Cal.App.2d 160, 167 [23 Cal.Rptr. 502].) It is therefore no defense to a *636charge of violating section 274 that the act was committed unusually late in the woman’s pregnancy or by a method not commonly employed for that purpose. The prohibition is against “any means which might be used to effect a miscarriage” (People v. Clapp (1944) 67 Cal.App.2d 197, 202 [153 P.2d 758]), and has been applied to instances of beating or other physical violence inflicted upon the person of the woman for this purpose.18 In the present case, it will be remembered, petitioner’s avowed goal was not primarily to kill the fetus while it was inside his wife’s body, but rather to “stomp it out of” her; although one presumably cannot be done without the other, petitioner’s choice of words is significant and strongly implies an “intent thereby to procure the miscarriage” of his wife in violation of section 274.

Turning to the case law, we find no reported decision of the California courts which should have given petitioner notice that the killing of an unborn but viable fetus was prohibited by section 187. Indeed, the contrary clearly appears from People v. Eldridge (1906) 3 Cal.App. 648, 649 [86 P. 832], in which the defendant challenged as uncertain an information which charged him with the murder of “a human being,” to wit, the infant child “born to the said Glover H. Eldridge and said Mabel Eldridge on or about said twentieth day of February, 1905.” It was urged that “such charge might include the killing before birth, and therefore it cannot be determined from the information whether murder or abortion was intended to be charged.” The Court of Appeal rejected the contention, observing that “The only reasonable construction which can be given to the language employed in the information is to say that it charges that a child born to the defendant was by him unlawfully killed and murdered. That it was born is clearly stated; that it could be killed after birth of necessity implies that it was born alive, and we think the charge of murder was set forth with the degree of certainty required.” (Italics added.)

Properly understood, the often cited case of People v. Chavez (1947) 77 Cal.App.2d 621 [176 P.2d 92], does not derogate from this rule. There the defendant was charged with the murder of her newborn child, and convicted of manslaughter. She testified that the baby dropped from her womb into the toilet bowl; that she picked it up two or three minutes later, and cut but did not tie the umbilical cord; that the baby was limp and made no cry; and that after 15 minutes she wrapped it in a newspaper and concealed it, where it was found dead the next day. The autopsy surgeon testified that the baby was a full-term, nine-month child, weighing six and one-half pounds and appearing normal in every respect; that the *637body had very little blood in it, indicating the child had bled to death through the untied umbilical cord; that such a process would have taken about an hour; and that in his opinion “the child was born alive, based on conditions he found and the fact that the lungs contained air and the blood was extravasated or pushed back into the tissues, indicating heart action.” (Id. at p. 623.)

On appeal, the defendant emphasized that a doctor called by the defense had suggested other tests which the autopsy surgeon could have performed to determine the matter of live birth; on this basis, it was contended that the question of whether the infant was born alive “rests entirely on pure speculation.” (Id. at p. 624.) The Court of Appeal found only an insignificant conflict in that regard (id. at p. 627), and focussed its attention instead on testimony of the autopsy surgeon admitting the possibility that the evidence of heart and lung action could have resulted from the child’s breathing “after presentation of the head but before the birth was completed” (id. at p. 624).

The court cited the mid-19th century English infanticide cases mentioned hereinabove, and noted that the decisions had not reached uniformity on whether breathing, heart action, severance of the umbilical cord, or some combination of these or other factors established the status of “human being” for the purposes of the law of homicide. (Id. at pp. 624-625.) The court then adverted to the state of modern medical knowledge, discussed the phenomenon of viability, and held that “a viable child in the process of being born is a human being within the meeting of the homicide statutes, whether or not the process has been fully completed. It should at least be considered a human being where it is a living baby and where in the natural course of events a birth which is already started would naturally be successfully completed.” (Italics added.) (Id. at p. 626.) Since the testimony of the autopsy surgeon left no doubt in that case that a live birth had at least begun, the court found “the evidence is sufficient here to support the implied finding of the jury that this child was born alive and became a human being within the meaning of the homicide statutes.” (Italics added.) (Id. at p. 627.)19

Chavez thus stands for the proposition—to which we adhere— that a viable fetus “in the process of being born” is a human being within the meaning of the homicide statutes. But it stands for no more; in particular it does not hold that a fetus, however viable, which is not “in the process of being born” is nevertheless a “human being” in the law of homicide. On the contrary, the opinion is replete with references to the *638common law requirement that the child be “born alive,” however that term as defined, and must accordingly be deemed to reaffirm that requirement as part of the law of California.20

The Chavez court relied in part on Scott v. McPheeters (1939) 33 Cal.App.2d 629 [92 P.2d 678, 93 P.2d 562], a decision holding that an unborn child is an “existing person,” within the meaning of Civil Code section 29, for the purpose of bringing a postnatal action for prenatal injuries. In People v. Belous, supra, 71 Cal.2d 954, however, a majority of this court distinguished such civil law rules on the ground they either “require a live birth or reflect the interest of the parents.” (Id. at p. 968 & fn. 12.) We need not repeat that analysis here; but two further bases of distinction deserve mention. First, Scott emphasized that the child’s right' of action for prenatal injuries was unknown to the common law and would not exist in California but for statutory authorization.21 By the same token, as we have seen, the fetus’ status as a “human being” within the definition of murder was unknown to the common law and exists only where special feticide statutes have been enacted. Secondly, the law’s protection of the property interests of an unborn child dates not from Scott but from a far earlier time: for example, in Blackstone’s day it was already well settled that “An infant in ventre sa mere, or in the mother’s womb, is supposed in law to be born for many purposes. It is capable of having a guardian assigned to it; and it is enabled to have an estate limited to its use, and to take afterwards by such limitation, as if it were then *639actually born.” (1 Blackstone, Commentaries *130 (1765).) Inasmuch as such rules coexisted for centuries with the common law requirement of live birth to support a conviction of homicide, they cannot reasonably be deemed to have given petitioner notice that the killing of an unborn but viable fetus would now be murder.

Finally, although a defendant is not bound to know the decisional law of other states, the United States Supreme Court in Bouie (378 U.S. at pp. 360-361 [12 L.Ed.2d at pp. 903-904]) referred to reported cases of jurisdictions other than South Carolina in concluding that the South Carolina Supreme Court’s construction of the statute “is no less inconsistent with the law of other States than it is with the prior case law of South Carolina and, of course, with the language of the statute itself.” Here, too, the cases decided in our sister states from Chavez to the present are unanimous in requiring proof that the child was born alive before a charge of homicide can be sustained. (Bennett v. State (Wyo. 1963) 377 P.2d 634, 635-637; People v. Ryan (1956) 91 I11.2d 467 [138 N.E.2d 516, 518-520]; People v. Hayner (1949) 300 N.Y. 171 [90 N.E.2d 23, 24]; Singleton v. State (1948) 33 Ala.App. 536 [35 So.2d 375, 378]; Montgomery v. State (1947) 202 Ga. 678 [44 S.E.2d 242, 243-244]; cf. Watson v. State (1955) 208 Md. 210 [117 A.2d 549, 552].) And the text writers of the same period are no less unanimous on the point. (Perkins on Criminal Law, supra, pp. 29-30; Clark & Marshall, Crimes (6th ed. 1958) § 10.00, pp. 534-536; 1 Wharton, Criminal Law and Procedure (Anderson ed. 1957) § 189; 2 Burdick, Law of Crime (1946) § 445; 40 Am.Jur.2d, Homicide, §§ 9, 434; 40 C.J.S., Homicide, § 2b.)

We conclude that the judicial enlargement of section 187 now urged upon us by the People would not have been forseeable to this petitioner, and hence that its adoption at this time would deny him due process of law.

Let a peremptory writ of prohibition issue restraining respondent court from taking any further proceedings on Count I of the information, charging petitioner with the crime of murder.

McComb, J., Peters, J., Tobriner, J., and Peek, J.,* concurred.

BURKE, Acting C. J.

The majority hold that “Baby Girl” Vogt, who, according to medical testimony, had reached the 35th week of development, *640had a 96 percent chance of survival, and was “definitely” alive and viable at the time of her death, nevertheless was not a “human being” under California’s homicide statutes. In my view, in so holding, the majority ignore significant common law precedents, frustrate the express intent of the Legislature, and defy reason, logic and common sense.

Penal Code section 187 defines murder as “the unlawful killing of a human being, with malice aforethought.” Penal Code section 192 defines manslaughter as “the unlawful killing of a human being, without malice.” The majority pursue the meaning of the term “human being” down the ancient hallways of the common law, citing Coke, Blackstone and Hale to the effect that the slaying of a “quickened” (i.e. stirring in the womb) child constituted “a great misprision,” but not murder. Although, as discussed below, I strongly disagree with the premise that the words of our penal statutes must be construed as of 1648 or 1765, nevertheless, there is much common law precedent which would support the view that a viable fetus such as Baby Girl Vogt is a human being under those statutes.

The majority cast a passing glance at the common law concept of quickening, but fail to explain the significance of that concept: At common law, the quickened fetus was considered to be a human being, a second life separate and apart from its mother. As stated by Blackstone, in the passage immediately preceding that portion quoted in the majority opinion (fn. 6), “Life is the immediate gift of God, a right inherent by nature in every individual; and it begins in contemplation of law as soon as an infant is able to stir in the mother’s womb.” (Italics added; 1 Blackstone, Commentaries, p. 129; see Rex v. Anonymous (1811) 3 Campb. 73, 170 Eng.Reprint 1310, 1311-1312; State v. Cooper, 22 N.J.L. 52, 54-55.)

Modern scholars have confirmed this aspect of common law jurisprudence. As Means observes, “The common law itself prohibited abortion after quickening and hanging a pregnant felon after quickening, because the life of a second human being would thereby be taken, although it did not call the offense murder or manslaughter.” (Italics added; Means, The Law of New York Concerning Abortion and the Status of the Foetus, 1664-1968: A Case of Cessation of Constitutionality (1968) 14 N.Y.L.F. 411, 504.)

This reasoning explains why the killing of a quickened child was considered “a great misprision,” although the killing of an unquickened child was no crime at all at common law (Means, supra, at p. 420). Moreover, although the common law did not apply the labels of “murder” or “manslaughter” to the killing of a quickened fetus, it appears that at common law this “great misprision” was severely punished. As late as 1837, the wilful *641aborting of a woman quick with child was punishable by death in England. (Lord Landsdowne’s Act of 1828 (9 Geo. IV, c. 31; Lord Ellenborough’s Act of 1803 (43 Geo. Ill, c. 58) j1 see Means, supra, at p. 440, fn. 64.)

Thus, at common law, the killing of a quickened child was severely punished, since that child was considered to be a human being. The majority would have us assume that the Legislature in 1850 and 1872 simply overlooked this “great misprision” in codifying and classifying criminal offenses in California, or reduced that offense to the lesser offense of illegal abortion with its relatively lenient penalties (Pen. Code, § 274).2

In my view, we cannot assume that the Legislature intended a person such as defendant, charged with the malicious slaying of a fully viable child, to suffer only the mild penalties imposed upon common abortionists who, ordinarily, procure only the miscarriage of a nonviable fetus or embryo. (See Comment, Model Penal Code, § 207.11, p. 149 (Tent. Draft No. 9, 1959).) To do so would completely ignore the important common law distinction between the quickened and unquickened child.

Of course, I do not suggest that we should interpret the term “human being” in our homicide statutes in terms of the common law concept of quickening. At one time, that concept had a value in differentiating, as accurately as was then scientifically possible, between life and nonlife. The analogous concept of viability is clearly more satisfactory, for it has a well defined and medically determinable meaning denoting the ability of the fetus to live or survive apart from its mother.3

The majority opinion suggests that we are confined to common law concepts, and to the common law definition of murder or manslaughter. However, the Legislature, in Penal Code sections 187 and 192, has defined those offenses for us: homicide is the unlawful killing of a “human being.” Those words need not be frozen in place as of any particular time, but must be fairly and reasonably interpreted by this court to promote justice and to carry out the evident purposes of the Legislature in adopting a homicide statute. Thus, Penal Code section 4, which was enacted in 1872 along with sections 187 and 192, provides: “The rule of the common law, that penal statutes are to be strictly construed, has no application to this code. *642All its provisions are to be construed according to the fair import of their terms, with a view to effect its objects and to promote justice.” (Accord, In re Cregler, 56 Cal.2d 308, 312 [14 Cal.Rptr. 289, 363 P.2d 305]; People v. Valentine, 28 Cal.2d 121, 142 [169 P.2d 1]; In re Haines, 195 Cal. 605, 614, 621 [234 P. 883].)

As the majority opinion recognizes, “ ‘In this state the common law is of no effect so far as the specification of what acts or conduct shall constitute a crime is concerned.’ ” (Ante, p. 632, quoting from People v. Whipple, 100 Cal.App. 261, 262 [279 P. 1008].) Instead, we must construe penal statutes in accordance with the “fair import” of their terms, rather than restrict those statutes to common law principles. As stated in Katz v. Walkinshaw, 141 Cal. 116, 122-123 [70 P. 663, 74 P. 766], “The idea that the doctrine ... is a part of the common law adopted by our statute, and beyond the power of the court to change or modify, is founded upon a misconception of the extent to which the common law is adopted by such statutory provisions, and a failure to observe some of the rules and principles of the common law itself. . . . The true doctrine is, that the common law by its own principles adapts itself to varying conditions, and modifies its own rules so as to serve the ends of justice under the different circumstances, a principle adopted into our code by section 3510 of the Civil Code: ‘When the reason of a rule ceases, so should the rule itself.’ ”

Penal Code section 4, which abolishes the common law principle of the strict construction of penal statutes, embodies the doctrine of Katz v. Walkinshaw, supra, 141 Cal. 116, and permits this court fairly to construe the terms of those statutes to serve the ends of justice. Consequently, nothing should prevent this court from holding that Baby Girl Vogt was a human (“belonging or relating to man; characteristic of man”).4 being (“existence, as opp. to nonexistence; specif, life”)5 under California’s homicide statutes.

We commonly conceive of human existence as a spectrum stretching from birth to death. However, if this court properly might expand the definition of “human being” at one end of that spectrum, we may do so at the other end. Consider the following example: All would agree that “Shooting or otherwise damaging a corpse is not homicide . . . .” (Perkins, Criminal Law (2d ed. 1969) ch. 2, § 1, p. 31.) In other words, a corpse is not considered to be a “human being” and thus cannot be the subject of a “killing” as those terms are used in homicide statutes. However, it is readily apparent that our concepts of what constitutes a “corpse” *643have been and are being continually modified by advances in the field of medicine, including new techniques for life revival, restoration and resuscitation such as artificial respiration, open heart massage, transfusions, transplants and a variety of life-restoring stimulants, drugs and new surgical methods. Would this court ignore these developments and exonerate the killer of an apparently “drowned” child merely because that child would have been pronounced dead in 1648 or 1850? Obviously not. Whether a homicide occurred in that case would be determined by medical testimony regarding the capability of the child to have survived prior to the defendant’s act. And that is precisely the test which this court should adopt in the instant case.

The common law reluctance to characterize the killing of a quickened fetus as a homicide was based solely upon a presumption that the fetus would have been born dead. (People v. Chavez, supra, 77 Cal.App.2d 621, 626; Atknson, Life, Birth and Livebirth, 20 L.Q.Rev. 134.) This presumption seems to have persisted in this country at least as late as 1876. (See State v. Winthrop, 43 Iowa 519, 523.) Based upon the state of the medical art in the 17th, 18th and 19th centuries, that presumption may have been well-founded. However, as we approach the 21st century, it has become apparent that “This presumption is not only contrary to common experience and the ordinary course of nature, but it is contrary to the usual rule with respect to presumptions followed in this state.” (People v. Chavez, supra, at p. 626; see Civ. Code,.§ 3546 [formerly Code Civ. Proc., § 1963, subd. 28]; cf. Health & Saf. Code, § 25953, forbidding therapeutic abortion after the 20th week of pregnancy.)

There are no accurate statistics disclosing fetal death rates in “common law England,” although the foregoing presumption of death indicates a significantly high death experience. On the other hand, in California the fetal death rate6 in 1968 is estimated to be 12 deaths in 1,000, a ratio which would have given Baby Girl Vogt a 98.8 percent chance of survival. (Cal. Statistical Abstract (1969) Table E-3, p. 65.) If, as I have contended, the term “human being” in our homicide statutes is a fluid concept to be defined in accordance with present conditions, then there can be no question that the term should include the fully viable fetus.

The majority suggest that to do so would improperly create some new offense. However, the offense of murder is no new offense. Contrary to the majority opinion, the Legislature has not “defined the crime of murder in California to apply only to the unlawful and malicious killing of one who has been born alive.” {Ante, p. 632.) Instead, the Legislature simply used the broad term “human being” and directed the courts to construe *644that term according to its “fair import” with a view to effect the objects of the homicide statutes and promote justice. (Pen. Code, § 4.) What justice will be promoted, what objects effectuated, by construing “human being” as excluding Baby Girl Vogt and her unfortunate successors? Was defendant’s brutal act of stomping her to death any less an act of homicide than the murder of a newly born baby? No one doubts that the term “human being” would include the elderly or dying persons whose potential for life has nearly lapsed; their proximity to death is deemed immaterial. There is no sound reason for denying the viable fetus, with its unbounded potential for life, the same status.

The majority also suggest that such an interpretation of our homicide statutes would deny defendant “fair warning” that his act was punishable as a crime. (Ante, p. 634.) Aside from the absurdity of the underlying premise that defendant consulted Coke, Blackstone or Hale before kicking Baby Girl Vogt to death, it is clear that defendant had adequate notice that his act could constitute homicide. Due process only precludes prosecution under a new statute insufficiently explicit regarding the specific conduct proscribed, or under a preexisting statute “by means of an unforeseeable judicial enlargement thereof.” (Ante, p. 634.)

Our homicide statutes have been in effect in this state since 1850. The fact that the California courts have not been called upon to determine the precise question before us does not render “unforeseeable” a decision which determines that a viable fetus is a “human being” under those statutes. Can defendant really claim suprise that a 5-pound, 18-inch, 34-week-old, living, viable child is considered to be a human being?

The fact is that the foregoing construction of our homicide statutes easily could have been anticipated from strong dicta in People v. Chavez, supra, 77 Cal.App.2d 621, 625-626 (hg. den. by S.Ct.), wherein the court reviewed common law precedents but disapproved their requirement that the child be born alive and completely separated from its mother. The court in Chavez held that a viable child killed during, but prior to completion of, the birth process, was a human being under the homicide statutes. However, the court did not hold that partial birth was a prerequisite, for the court expressly set forth its holding “Without drawing a line of distinction applicable to all cases . . . .” (77 Cal.App.2d at p. 627.) In dicta, the court discussed the question when an unborn infant becomes a human being under the homicide statutes, as follows: “There is not much change in the child itself between a moment before and a moment after its expulsion from the body of its mother, and normally, while still *645dependent upon its mother, the child for some time before it is born, has not only the possibility but a strong probability of an ability to live an independent life. . . . While before birth or removal it is in a sense dependent upon its mother for life, there is another sense in which it has started an independent existence after it has reached a state of development where it is capable of living and where it will, in the normal course of nature and with ordinary care, continue to live and grow as a separate being. While it may not be possible to draw an exact line applicable to all cases, the rules of law should recognize and make some attempt to follow the natural and scientific facts to which they relate. . . . [I]t would be a mere fiction to hold that a child is not a human being because the process of birth has not been fully completed, when it has reached that state of viability when the destruction of the life of its mother would not end its existence and when, if separated from the mother naturally or by artificial means, it will live and grow in the normal manner.” (77 Cal. App.2d at pp. 625-626.)

Thus the Chavez case explodes the majority’s premise that a viability test for defining “human being” under our homicide statutes was unforeseeable; Chavez approved and advocated this interpretation 23 years ago. (See also Scott v. McPheeters, 33 Cal.App.2d 629, 635 [92 P.2d 678, 93 P.2d 562] [“Who may say that such a viable child is not in fact a human being in actual existence?”].) I would conclude that defendant had sufficient notice that the words “human being” could include a viable fetus. As stated in People v. Victor, 62 Cal.2d 280, 299 [42 Cal.Rptr. 199, 398 P.2d 391], “Admittedly the word [‘imminent’] is to some extent a relative one; but ‘the law is full of instances where a man’s fate depends on his estimating rightly, that is, as the jury subsequently estimates it, some matter of degree.’ [Citation.]”

In summary, I have shown that at common law, the slaying of a quickened fetus was a “great misprision” and was severely punished, since that fetus was considered to be a human being. We should not presume that the Legislature ignored these common law developments and intended to punish the malicious killing of a viable fetus as the lesser offense of illegal abortion. Moreover, apart from the common law approach, our Legislature has expressly directed us to construe the homicide statutes in accordance with the fair import of their terms. There is no good reason why a fully viable fetus should not be considered a “human being” under those statutes. To so construe them would not create any new offense, and would not deny defendant fair warning or due process since the Chavez case anticipated that construction long ago.

*646The trial court’s denial of defendant’s motion to set aside the information was proper, and the peremptory writ of prohibition should be denied.

Sullivan, J., concurred.

The petition of the real party in interest for a rehearing was denied September 10, 1970. Burke, J., and Sullivan, J., were of the opinion that the petition should be granted.

1.6.3 People v. Eulo 1.6.3 People v. Eulo

As you read Eulo, consider the following questions:

1. What is the issue in Eulo? What statutory language is the Court of Appeals interpreting?

2. How was “death” defined at common law for the purposes of homicide? How does the Court of Appeals define “death” in N.Y. Penal Law § 125.25?

3. Does the court’s holding in Eulo change the meaning of the word “death” in the statute? If so, is that appropriate?

4. After Keeler was decided, the California legislature amended its homcide statutes, so that sec. 187 now provides: "(a) Murder is the unlawful killing of a human being, or a fetus, with malice aforethought." After Eulo, the New York legislature did not need to amend the NYPL. Which do you think is a better approach--let the wrongdoer go unpunished and leave it to the legislature to fix the loophole in the law (Keeler) or empower judges to adapt statutory interpretation to fit changed circumstances (Eulo)?

5. Do you agree with the result in Keeler? Do you agree with the result in Eulo? Can you reconcile the two opinions? What factors other than statutory interpretation principles do you think may have influenced the courts?

 

The People of the State of New York, Respondent, v John Eulo, Appellant. The People of the State of New York, Respondent, v Robert Bonilla, Appellant.

Argued September 5, 1984;

decided October 30, 1984

*342POINTS OF COUNSEL

Robert F. Quinlan for appellant in the first above-entitled case.

I. Defendant-appellant was denied due process because the proof that his act was the cause of death was insufficient. (Matter of Eichner [Fox], 73 AD2d 431, mod sub nom. Matter of Storar, 52 NY2d 363; People v Stewart, 40 NY2d 692; Jackson v Virginia, 443 US 307; Murphy v American Home Prods. Corp., 58 NY2d 293; People v Shafer, 30 AD2d 213; People v Scott, 26 NY2d 286; People v Gottlieb, 36 NY2d 629; People v Harding, 37 NY2d 130; People v Cobos, 57 NY2d 798; People v Le Mieux, 51 NY2d *343981.) II. The trial court erred in allowing witnesses to take the ultimate question of guilt from the jury, denying defendant-appellant due process of law. (Doughtery v Milliken, 163 NY 527; De Long v County of Erie, 60 NY2d 296; Kulak v Nationwide Mut. Ins. Co., 40 NY2d 140; People v Cronin, 60 NY2d 430; People v Creasy, 236 NY 205; People v Miller, 257 NY 54; People v Higgins, 5 NY2d 607; People v Raco, 68 AD2d 258; People v Montesano, 84 AD2d 369; People v Graydon, 43 AD2d 842.) III. The trial court erred in failing to suppress the alleged confession and admissions of defendant-appellant as being involuntarily obtained. (Clewis v Texas, 386 US 707; Rogers v Richmond, 365 US 534; Blackburn v Alabama, 361 US 199; People v Durante, 48 AD2d 962; People v Tarsia, 50 NY2d 1; People v Bevilacqua, 45 NY2d 508; People v Coker, 103 Misc 2d 703; People v Sunset Bay, 76 AD2d 592.) IV. The trial court erred in submitting both the intentional and reckless homicide counts to the jury and in allowing those inconsistent verdicts to stand. (People v Patterson, 39 NY2d 288; People v Poplis, 30 NY2d 85; Darry v People, 10 NY 120; People v Kibbe, 35 NY2d 407; People v Lilly, 71 AD2d 393; People v Brown, 32 AD2d 760, 27 NY2d 499; People v Shelton, 88 Misc 2d 136; People v Dercole, 72 AD2d 318.) V. The trial court erred when it denied defendant-appellant’s application for youthful offender treatment as a matter of law.

Patrick Henry, District Attorney {Mark D. Cohen of counsel), for respondent in the first above-entitled case.

I. Appellant was properly convicted upon proof beyond a reasonable doubt that his act was the cause of death herein following the court’s proper instructions on the matter. (Evans v People, 49 NY 86; Matter of New York City Health & Hosps. Corp. v Sulsona, 81 Misc 2d 1002; People v Bonilla, 95 AD2d 396, 60 NY2d 825; Matter of Mora, 107 Misc 2d 290; People v Gonzales, 56 NY2d 1001; People v Jones, 55 NY2d 771; People v Ditta, 52 NY2d 657; People v Smith, 55 NY2d 945; People v Pena, 50 NY2d 400; People v Montanez, 41 NY2d 53.) II. The admission into evidence of the expert testimony of the medical examiner concerning suicide and evidence concerning firearms discharge residue was proper; moreover, a detective’s statement concerning his experience as a homicide detective was, in context *344and under nonobjected to cautionary instructions, proper. (People v Pavao, 59 NY2d 282; People v Whalen, 59 NY2d 273; Matter of Gonzalez v State Liq. Auth., 30 NY2d 108; People v Cobos, 57 NY2d 798; People v Dekle, 56 NY2d 835; People v West, 56 NY2d 662; People v Robbins, 278 App Div 592, 302 NY 885; People v McCullough, 73 AD2d 310; Haley v Ohio, 332 US 596.) III. Appellant’s confession was voluntary beyond a reasonable doubt. (People v Yukl, 25 NY2d 585; People v Boone, 22 NY2d 476, cert den sub nom. Brandon u New York, 393 US 991; People v Leonti, 18 NY2d 384; People v Curatolo, 76 AD2d 524; People v McMillian, 56 AD2d 662; People v Chaffee, 55 AD2d 736; People v Pooler, 41 AD2d 1011; People v James, 24 AD2d 608, 17 NY2d 552; People v Huntley, 15 NY2d 72; People v Danzinger, 41 NY2d 1092.) IV. The verdict was not repugnant nor did appellant properly preserve his objection in this regard. (People v Satloff 56 NY2d 745; People v Stahl, 53 NY2d 1048; People v McDavis, 97 AD2d 302; People v Figueroa, 96 AD2d 515; People v Tucker, 55 NY2d 1; People v Bullis, 30 AD2d 470; People v Dercole, 72 AD2d 318; People v Murray, 40 NY2d 327; People v Shelton, 88 Misc 2d 136.) V. The trial court’s denial of youthful offender treatment in its discretion is not reviewable in this court and was, iñ any event, wholly proper. (People v Drayton, 47 AD2d 952, 39 NY2d 580; People v Bruce, 57 AD2d 1024; People v Santiago, 51 AD2d 1, revd on other grounds sub nom. People v Carlos S., 40 NY2d 990; People v Kalicki, 49 AD2d 1032; People v Rosati, 39 AD2d 592.)

David Samel and William E. Hellerstein for appellant in the second above-entitled case.

I. The evidence was insufficient to prove that appellant caused the death of Orlando Miranda, and thus his manslaughter conviction violated his right to due process. (Jackson v Virginia, 443 US 307; Matter of Eichner [Fox], 73 AD2d 431, mod sub nom. Matter of Storar, 52 NY2d 363; Murphy v American Home Prods. Corp., 58 NY2d 293; People v Stewart, 40 NY2d 692; People v Reed, 40 NY2d 204; People v Kane, 213 NY 260; People v Cobos, 57 NY2d 798; People v Le Mieux, 51 NY2d 981.) II. The court’s refusal to instruct the jury on the definition of death, a material legal principle of the case, violated CPL 300.10 and deprived appellant of due process of law. (Kal*345isch-Jarcho, Inc. v City of New York, 58 NY2d 377; Williams v United States, 131 F2d 21.)

Elizabeth Holtzman, District Attorney (.Rebecca J. Clement and Barbara D. Underwood of counsel), for respondent in the second above-entitled case.

I. The People proved beyond a reasonable doubt that defendant caused Miranda’s death, and that the nephrectomy was not the sole cause of death. (People v Stewart, 40 NY2d 692; People v Kibbe, 35 NY2d 407; People v Brengard, 265 NY 100; Cox v People, 80 NY 500.) II. Defendant has not preserved his claim that the court should have charged a cardiorespiratory definition of death. In any event, the charge concerning death was correct. Moreover, if there was error, it was harmless. (People v De Renzzio, 19 NY2d 45; People v Patterson, 39 NY2d 288, affd sub nom. Patterson v New York, 432 US 197; People v English, 75 AD2d 981; People v Jenman, 296 NY 269; Stokes v People, 53 NY 164; Matter of Mora, 107 Misc 2d 290; Henderson v Kibbe, 431 US 145; Matter of New York City Health & Hosps. Corp. v Sulsona, 81 Misc 2d 1002; Murphy v American Home Prods. Corp., 58 NY2d 293; People v Benzinger, 36 NY2d 29.)

Jeffrey M. McCrone for Organ Procurement Agencies of the State of New York, amicus curiae.

I. Brain death has been recognized and accepted by lower courts in New York. (Matter of New York City Health & Hosps. Corp. v Sulsona, 81 Misc 2d 1002; Matter of Mora, 107 Misc 2d 290.) II. Brain death has been widely recognized and accepted by other States. III. The decision of the court below contains language which is unsupported by the record in this case, is inconsistent with precedent cases in the State of New York and its sister States, and which has an undesirable effect on citizens of this State in need of certain usual, customary and accepted medical treatment. (Matter of Eichner [Fox], 73 AD2d 431.) IV. This court should act to recognize and accept brain death as a standard for determination of death. (Matter of New York City Health & Hosps. Corp. v Sulsona, 81 Misc 2d 1002; Matter of Storar, 52 NY2d 363.)

OPINION OF THE COURT

Chief Judge Cooke.

These appeals involve a question of criminal responsibility in which defendants, charged with homicide, contend that their conduct did not cause death.

*346The term “death”, as used in this State’s statutes, may be construed to embrace a determination, made according to accepted medical standards, that a person has suffered an irreversible cessation of breathing and heartbeat or, when these functions are artificially maintained, an irreversible cessation of the functioning of the entire brain, including the brain stem. Therefore, a defendant will not necessarily be relieved of criminal liability for homicide by the removal of the victim’s vital organs after the victim has been declared dead according to brain-based criteria, notwithstanding that, at that time, the victim’s heartbeat and breathing were being continued by artificial means.

I

People v Eulo

On the evening of July 19, 1981, defendant and his girlfriend attended a volunteer firemen’s fair in Kings Park, Suffolk County. Not long after they arrived, the two began to argue, reportedly because defendant was jealous over one of her former suitors, whom they had seen at the fair. The argument continued through the evening; it became particularly heated as the two sat in defendant’s pick-up truck, parked in front of the home of the girlfriend’s parents. Around midnight, defendant shot her in the head with his unregistered handgun.

The victim was rushed by ambulance to the emergency room of St. John’s Hospital. A gunshot wound to the left temple causing extreme hemorrhaging was apparent. A tube was placed in her windpipe to enable artificial respiration and intravenous medication was applied to stabilize her blood pressure.

Shortly before 2:00 a.m., the victim was examined by a neurosurgeon, who undertook various tests to evaluate damage done to the brain. Painful stimuli were applied and yielded no reaction. Various reflexes were tested and, again, there was no response. A further test determined that the victim was incapable of spontaneously maintaining respiration. An electroencephalogram (EEC) resulted in “flat,” or “isoelectric”, readings indicating no activity in the part of the brain tested.

Over the next two days, the victim’s breathing was maintained solely by a mechanical respirator. Her heartbeat was sustained and regulated through medication. *347Faced with what was believed to be an imminent cessation of these two bodily functions notwithstanding the artificial maintenance, the victim’s parents consented to the use of certain of her organs for transplantation.

On the afternoon of July 23, a second neurosurgeon was called in to evaluate whether the victim’s brain continued to function in any manner. A repetition of all of the previously conducted tests led to the same diagnosis: the victim’s entire brain had irreversibly ceased to function. This diagnosis was reviewed and confirmed by the Deputy Medical Examiner for Suffolk County and another physician.

The victim was pronounced dead at 2:20 p.m. on July 23, although at that time she was still attached to a respirator and her heart was still beating. Her body was taken to a surgical room where her kidneys, spleen, and lymph nodes were removed. The mechanical respirator was then disconnected, and her breathing immediately stopped, followed shortly by a cessation of the heartbeat.

Defendant was indicted for second degree murder. After a jury trial, he was convicted of manslaughter. The Appellate Division unanimously affirmed the conviction, without opinion.

People v Bonilla

At approximately 10:30 p.m. on February 6,1979, a New York City police officer found a man lying faceup in a Brooklyn street with a bullet wound to the head. The officer transported the victim in his patrol car to the Brookdale Hospital, where he was placed in an intensive care unit. Shortly after arriving at the hospital, the victim became comatose and was unable to breathe spontaneously. He was placed on a respirator and medication was administered to maintain his blood pressure.

The next morning, the victim was examined by a neurologist. Due to the nature of the wound, routine tests were applied to determine the level, if any, of the victim’s brain functions. The doctor found no reflex reactions and no response to painful stimuli. The mechanical respirator was disconnected to test for spontaneous breathing. There was *348none, and the respirator was reapplied. An EEG indicated an absence of activity in the part of the brain tested. In the physician’s opinion, the bullet wound had caused the victim’s entire brain to cease functioning.

The following day, the tests were repeated and the same diagnosis was reached. The victim’s mother had been informed of her son’s condition and had consented to a transfer of his kidneys and spleen. Death was pronounced following the second battery of tests and, commencing at 9:25 p.m., the victim’s kidneys and spleen were removed for transplantation. The respirator was then disconnected, and the victim’s breathing and heartbeat stopped.

An investigation led to defendant’s arrest. While in police custody, defendant admitted to the shooting. He was indicted for second degree murder and criminal possession of a weapon. A jury convicted him of the weapons count and of first degree manslaughter. The conviction was affirmed by a divided Appellate Division.

II

Defendants’ principal point in each of these appeals is that the respective Trial Judges failed to adequately instruct the juries as to what constitutes a person’s death, the time at which criminal liability for a homicide would attach. It is claimed that in New York, the time of death has always been set by reference to the functioning of the heart and the lungs; that death does not occur until there has been an irreversible cessation of breathing and heartbeat.

There having been extensive testimony at both trials concerning each victim’s diagnosis as “brain dead,” defendants argue that, in the absence of clear instruction, the juries may have erroneously concluded that defendants would be guilty of homicide if their conduct was the legal cause of the victims’ “brain death” rather than the victims’ ultimate state of cardiorespiratory failure. In evaluating defendants’ contentions, it is first necessary to review: how death has traditionally been determined by the law; how the principle of “brain death” is now sought to be infused into our jurisprudence; and, whether, if at all, this court may recognize a principle of “brain death” without infringing upon a legislative power or prerogative.

*349(a)

A person’s passing from life has long been an event marked with a variety of legal consequences. A determination of death starts in motion the legal machinery governing the disposition of the deceased’s property (see, generally, EPTL arts 3,4, 5 and 6). It serves to terminate certain legal relationships, including marriage (see NY Jur, Domestic Relations, § 1), and business partnerships (see Partnership Law, § 62, subd 4). The period for initiation of legal actions brought against, by, or on behalf of the deceased is extended (see CPLR 210). And, in recent times, death marks the point at which certain of the deceased’s organs, intended to be donated upon death, may be transferred (see Public Health Law, § 4301, subd 1). In the immediate context, pertinent here, determination of a person’s “death” is relevant because our Penal Law defines homicide in terms of “conduct which causes the death of a person” (Penal Law, § 125.00 [emphasis added]).

Death has been conceptualized by the law as, simply, the absence of life: “Death is the opposite of life; it is the termination of life” (Evans v People, 49 NY 86, 90). But, while erecting death as a critical milepost in a person’s legal life, the law has had little occasion to consider the precise point at which a person ceases to live.1

When the question arises as to when death occurs, it has been deemed one of fact (see Matter of Di Bella, 279 App Div 689), in which the fact finder may be called upon to evaluate expert medical testimony (see id.; Matter of Bucci, 57 Misc 2d 1001; Matter of Rose, 201 Misc 470). This has usually been in the context of an attempt by parties to prove the relative survivorship of two or more people killed in a common disaster, when the order of death affected the *350distribution of the decedents’ estates.2 And, while many of the efforts by parties attempting to prove survivorship are based on circumstantial evidence as to the relative times of death (see Matter of Di Bella, supra [evidence that wife suffered from asthma and would suffocate in shorter time]; Matter ofBucci, supra [presence of carbon monoxide in the lungs of only one of the decedents]; Matter of Hayward, 143 Misc 401 [greater presence of carbon monoxide in lungs and comparatively greater physical warmth of one corpse]; see, also, People v Lipsky, 57 NY2d 560), it is clear that the criteria used for determining death have been the medical standards (see Matter of Bausch, 100 Misc 2d 817, 818) of irreversible cessation of cardiac and respiratory functions (cf. Matter of Rose, 201 Misc 470, 472, supra; see, also, People v Dlugash, 41 NY2d 725, 730-731; Smith v Smith, 229 Ark 579, 586-587; Thomas v Anderson, 96 Cal App 2d 371, 375).

(b)

Within the past two decades, machines that artificially maintain cardiorespiratory functions have come into widespread use. This technical accomplishment has called into question the universal applicability of the traditional legal and medical criteria for determining when a person has died.3

These criteria were cast into flux as the medical community gained a better understanding of human physiology.4 *351It is widely understood that the human brain may be anatomically divided, generally, into three parts: the cerebrum, the cerebellum, and the brain stem. The cerebrum, known also as the “higher brain,” is deemed largely to control cognitive functions such as thought, memory, and consciousness. The cerebellum primarily controls motor coordination.5 The brain stem, or “lower brain,” which itself has three parts known as the midbrain, pons, and medulla, controls reflexive or spontaneous functions such as breathing, swallowing, and “sleep-wake” cycles.6

In addition to injuries that directly and immediately destroy brain tissue, certain physical traumas may indirectly result in a complete and irreversible cessation of the brain’s functions. For example, a direct trauma to the head can cause great swelling of the brain tissue, which, in turn, will stem the flow of blood to the brain. A respiratory arrest will similarly cut off the supply of oxygen to the blood and, hence, the brain.7 Within a relatively short period after being deprived of oxygen, the brain will irreversibly stop functioning.8 With the suffocation of the higher brain all cognitive powers are lost and a cessation of lower brain functions will ultimately end all spontaneous bodily functions.9

Notwithstanding a total irreversible loss of the entire brain’s functioning, contemporary medical techniques can maintain, for a limited period, the operation of the heart and the lungs.10 Respirators or ventilators can substitute for the lower brain’s failure to maintain breathing.11 This artificial respiration, when combined with a chemical regimen, can support the continued operation of the heart.12 This is so because, unlike respiration, the physical con*352tracting or “beating” of the heart occurs independently of impulses from the brain: so long as blood containing oxygen circulates to the heart, it may continue to beat and medication can take over the lower brain’s limited role in regulating the rate and force of the heartbeat.13

It became clear in medical practice that the traditional “vital signs” — breathing and heartbeat — are not independent indicia of life, but are, instead, part of an integration of functions in which the brain is dominant.14 As a result, the medical community began to consider the cessation of brain activity as a measure of death.15

The movement in law towards recognizing cessation of brain functions as criteria for death followed this medical trend. The immediate motive for adopting this position was to ease and make more efficient the transfer of donated organs.16 Organ transfers, to be successful, require a “viable, intact organ.”17 Once all of a person’s vital functions have ceased, transferable organs swiftly deteriorate and lose their transplant value.18 The technical ability to artificially maintain respiration and heartbeat after the entire brain has ceased to function was sought to be applied in cases of organ transplant to preserve the viability of donated organs.19

Thus, the first legal recognition of cessation of brain functions as a criterion for determining death came in the *353form of a Kansas statute enacted in 1970.20 Denominated “[a]n Act relating to and defining death,” the statute states, in part, that death will be deemed to have occurred when a physician applying ordinary medical standards determines that there is an “absence of spontaneous respiratory and cardiac functions and * * * attempts at resuscitation are considered hopeless * * * or * * * there is the absence of spontaneous brain function.”21

In the years following enactment of this statute, a growing number of sister States enacted statutes of their own.22 Some opted for the Kansas approach.23 Others defined death solely in terms of brain-based criteria as determined by accepted methods of medical practice.24 And still others retain the cardiorespiratory yardstick, but provide that when artificial means of sustaining respiration and heartbeat preclude application of the traditional criteria, death may be determined according to brain-based criteria, namely the irreversible cessation of brain functions.25 In the absence of any statute defining death, some jurisdictions have judicially adopted brain-based criteria for determining death.26 Professional and quasi-governmental *354groups (including the American Bar Association, the American Medical Association, the President’s Commission for the Study of Ethical Problems in Medicine and Biomedical and Behavioral Research, and the National Conference of Commissioners on Uniform State Laws) have jointly indorsed a single standard that includes both cardiorespiratory and brain-based criteria.27

(c)

In New York, the term “death”, although used in many statutes, has not been expressly defined by the Legislature. This raises the question of how this court may construe these expressions of the term “death” in the absence of clarification by the Legislature. When the Legislature has failed to assign definition to a statutory term, the courts will generally construe that term according to “its ordinary and accepted meaning as it was understood at the time” (People ex rel. Lichtenstein v Langan, 196 NY 260, 264). If the term at issue has been judicially defined prior to its use in a statute, however, that definition will be assigned to the term, absent contrary indications (People v Richards, 108 NY 137; see People v Most, 128 NY 108, 113; cf. Orinoco Realty Co. v Bandler, 233 NY 24). In every case, of course, the term must be read in accordance with the apparent purpose of the statute in which it is found (see People v Ryan, 274 NY 149; People v Kaye, 212 NY 407).

Bearing these principles in mind, it must be added that statutory construction is not “a ritual to be observed by unimaginative adherence to well-worn professional phrases” (Frankfurter, Some Reflections on the Reading of Statutes, 47 Col L Rev 527, 529). For, as this court has observed, “[f]ew words are so plain that the context or the occasion is without capacity to enlarge or narrow their extension” (Surace v Danna, 248 NY 18, 21). This is particularly true when a “word * * * must be applied under changed conditions” (Dixon v Robbins, 246 NY 169, 173; see, also, People v Hines, 284 NY 93,101-103). The guiding *355principle is that there must always be fidelity to the fair import of the term (see Dixon v Robbins, supra).

It has been called to this court’s attention that the Legislature has, on a number of occasions, had bills before it that would expressly recognize brain-based criteria for determining death and has taken no affirmative action (see People v Bonilla, 95 AD2d 396,402, n 5 [opn per Rubin, J.]). This legislative void in no way impedes this court from fulfilling its obligation to construe laws of the State. Indeed, advances made in medical science have caused a focus on the issues of when a jury may find criminal responsibility for homicide, of when physicians may transfer donated organs, and of when a person’s body may be accorded the dignity of final repose. It is incumbent upon this court to instill certainty and uniformity in these important areas.

We hold that a recognition of brain-based criteria for determining death is not unfaithful to prior judicial definitions of “death”, as presumptively adopted in the many statutes using that term. Close examination of the common-law conception of death and the traditional criteria used to determine when death has occurred leads inexorably to this conclusion.

Courts have not engaged in a metaphysical analysis of when life should be deemed to have passed from a person’s body, leaving him or her dead. Rather, they have conceptualized death as the absence of life, unqualified and undefined (see Evans v People, 49 NY 86, 90, supra). On a practical level, this broad conception of death as “the opposite of life” was substantially narrowed through recognition of the cardiorespiratory criteria for determining when death occurs. Under these criteria, the loci of life are the heart and the lungs: where there is no breath or heartbeat, there is no life. Cessation manifests death.

Considering death to have occurred when there is an irreversible and complete cessation of the functioning of the entire brain, including the brain stem, is consistent with the common-law conception of death (see Commonwealth v Golston, 373 Mass 249, 254). Ordinarily, death will be determined according to the traditional criteria of irreversible cardiorespiratory repose. When, however, the *356respiratory and circulatory functions are maintained by mechanical means, their significance, as signs of life, is at best ambiguous. Under such circumstances, death may nevertheless be deemed to occur when, according to accepted medical practice, it is determined that the entire brain’s function has irreversibly ceased.

Death remains the single phenomenon identified at common law; the supplemental criteria are merely adapted to account for the “changed conditions” that a dead body may be attached to a machine so as to exhibit demonstrably false indicia of life. It reflects an improved understanding that in the complete and irreversible absence of a functioning brain, the traditional loci of life — the heart and the lungs — function only as a result of stimuli originating from outside of the body and will never again function as part of an integrated organism.28

This court searches in vain for evidence that, apart from the concept of death, the Legislature intended to render immutable the criteria used to determine death. By extension, to hold to the contrary would be to say that the law could not recognize diagnostic equipment such as the stethoscope or more sensitive equipment even when it became clear that these instruments more accurately measured the presence of signs of life.

Moreover, the Legislature has consistently declared, from the time it adopted the Field Commission’s draft of a Penal Code in 1881 through several recodifications, that our Penal Law should be construed “according to the fair *357import of [its] terms to promote justice and effect the objects of the law” (Penal Law, § 5.00). It is the first object of our Penal Law “[t]o proscribe conduct which unjustifiably and inexcusably causes or threatens substantial harm to individual or public interests” (Penal Law, § 1.05, subd 1). Therefore, in the instant matters, to construe our homicide statute to provide for criminal responsibility for homicide when a defendant’s conduct causes injury leading to the victim’s total loss of brain functions, is entirely consistent with the Legislature’s concept of death.

(d)

One must be careful to distinguish the effect of this decision — determining when a person has died — from issues raised in related but qualitatively distinct cases — determining when a person may be allowed to die. In Matter of Storar (52 NY2d 363), this court reviewed two separate applications brought on behalf of two terminally ill patients. One sought permission to terminate extraordinary medical care. The other sought permission, over the patient’s mother’s objection, to administer medically necessary blood transfusions that would have prolonged the patient’s short-lived life. A personal right to decline medical care, founded at common law, was applied in the first case as there existed clear and convincing evidence that this was the patient’s personal desire. But, in the second case, the court held that, in the absence of such evidence of personal intent (there, due to the patient’s incompetence), a third party has no recognized right to decide that the patient’s quality of life has declined to a point where treatment should be withheld and the patient should be allowed to die (compare Matter of Storar, 52 NY2d, at pp 370, n 2, 382, with id., at pp 389-391 [Jones, J., dissenting in part]).

Today’s decision is no retreat from that holding. Under existing law, third parties are without authority to determine on behalf of the terminally ill that they should be permitted to die. This court will make no judgment as to what is for another an unacceptable quality of life. But, when a determination has been made according to accepted medical standards29 that a person has suffered an irreversi*358ble cessation of heartbeat and respiration, or, when these functions are maintained solely by extraordinary mechanical means, an irreversible cessation of all functions of the entire brain, including the brain stem, no life traditionally recognized by the law is present in that body.30

Ill

Each defendant correctly notes that the respective Trial Judges did not expressly instruct the juries concerning the criteria to be applied in determining when death occurred. Whether medically accepted brain-based criteria are legally cognizable became ah issue in these cases when the respective juries heard testimony concerning the victims being pronounced medically dead while their hearts were beating and before artificial maintenance of the cardiorespiratory systems was discontinued. To properly evaluate whether these diagnoses of death were legally and medically premature and, therefore, whether the subsequent activities were possibly superseding causes of the deaths, the juries had to have been instructed as to the appropriate criteria for determining death: irreversible cessation of breathing and heartbeat or irreversible cessation of the entire brain’s functioning.

The courts here adequately conveyed to the juries their obligation to determine the fact and causation of death. The courts defined the criteria of death in relation to the chain of causation. By specifically charging the juries that they might consider the surgical procedures as superseding *359causes of death, the courts made clear by ready implication that death should be deemed to have occurred after all medical procedures had ended.

The trial courts could have given express instructions that death may be deemed to have occurred when the victims’ entire brain, including the brain stem, had irreversibly ceased to function. On the facts of these cases, that would have been the better practice. But, as mentioned, the brain-based criteria are supplemental to the traditional criteria, each describing the same phenomenon of death. In the context of a criminal case for homicide, there is no theoretical or practical impediment to the People’s proceeding under a theory that the defendant “cause[d] the death” of a person, with death determined by either criteria.

Even though each of these cases was presented to a jury which had been charged that death should be deemed to have occurred after the medical intervention had ended, testimony concerning the attending physicians’ diagnoses of the victims as dead, according to brain-based criteria, was nonetheless highly relevant. It was these medical pronouncements that caused the victims to be removed from the medical systems that maintained their breathing and heartbeat. If the victims were properly diagnosed as dead, of course, no subsequent medical procedure such as the organ removals would be deemed a cause of death. If victims’ deaths were prematurely pronounced due to a doctor’s negligence, the subsequent procedures may have been a cause of death, but that negligence would not constitute a superseding cause of death relieving defendants of liability (see People v Stewart, 40 NY2d 692, 697-698; People v Kane, 213 NY 260, 270). If, however, the pronouncements of death were premature due to the gross negligence or the intentional wrongdoing of doctors, as determined by a grave deviation from accepted medical practices or disregard for legally cognizable criteria for determining death, the intervening medical procedure would interrupt the chain of causation and become the legal cause of death (see People v Kane, supra, at pp 270-271; see, also, State v Scates, 50 NC 420). Thus, the propriety of the medical procedures is integral to the question of causation.

*360A review of the records, viewed in a light most favorable to the People, indicates that there was sufficient evidence for a rational juror to have concluded beyond a reasonable doubt that each defendant’s conduct caused the victim’s death and that the medical procedures were not superseding causes of death (see People v Contes, 60 NY2d 620, 621). There was ample testimony at both trials to the effect that determining death by brain-based criteria had long been an accepted medical practice. Nor were the physicians acting without some legal authority in grounding their determinations on brain-based criteria. In 1975, a lower court construed the term “death,” as used in New York’s enactment of the Uniform Anatomical Gift Act (see Public Health Law, art 43), as embracing brain-based criteria (see Matter of New York City Health & Hosps. Corp. v Sulsona, 81 Misc 2d 1002). When the instant cases arose several years later, there existed no contrary statement of the law by either the Legislature or any appellate court.

An expert medical witness for defendant Bonilla cast some aspersions on the particular diagnostic tests performed by the doctors in that case. In the face of that testimony, however, there was substantial testimony by other experts indicating that the diagnostic tests comported with accepted medical practice. Defendant Eulo offered no rebuttal to the testimony that the pronouncement of death was made in accordance with accepted medical practices. Thus, there was sufficient evidence for both juries to have found beyond a reasonable doubt that the medical decisions did not break the causal chain linking defendants’ conduct and the victims’ deaths.

IV

Defendant Eulo’s other arguments have been considered and found to be either unpreserved or without merit.

Accordingly, in each case, the order of the Appellate Division should be affirmed.

Judges Jasen, Jones, Wachtler, Meyer, Simons and Kaye concur.

In each case: Order affirmed.

1.6.4 In re Banks 1.6.4 In re Banks

As you read Banks, consider the following questions:

1. What was Banks charged with? What are the elements of that crime?

2. What did Banks do? (Do we know?)

3. Banks makes two challenges to the charge. What are they? How are they different?

4. What do you think the Georgia legislature intended when it created G.S. 14-202? Can you redraft the statute to more clearly proscribe only the intended conduct?

5. What is the Rule of Lenity?

IN THE MATTER OF JAMES SHELTON BANKS

No. 44

(Filed 6 June 1978)

1. Statutes § 10— construction of criminal statute

While a criminal statute must be strictly construed, the courts must nevertheless construe it with regard to the evil which it is intended to suppress.

2. Statutes §§ 5.1, 5.6— construction of statute — ambiguous or unambiguous language

When the language of a statute is clear and unambiguous, there is no room for judicial construction and the courts must give the statute its plain and definite meaning, and are without power to interpolate, or superimpose, provisions and limitations not contained therein; but where a statute is ambiguous or unclear in its meaning, resort must be had to judicial construction to ascertain the legislative will, and the courts will interpret the language to give effect to the legislative intent.

3. Statutes § 5.9— construction of statute — purpose

Where a literal interpretation of the language of a statute would contravene the manifest purpose of the statute, the reason and purpose of the law will be given effect and the strict letter thereof disregarded.

*2374. Obscenity § 4— “Peeping Tom” statute — judicial interpretation — constitutionality

The statute making it a crime to “peep secretly into any room occupied by a female person,” G.S. 14-202, prohibits the wrongful spying into a room upon a female with the intent of violating the female’s legitimate expectation of privacy, and as so interpreted the statute is sufficiently definite to give an individual fair notice of the conduct prohibited so that it does not violate Article I, § 19 of the N.C. Constitution or the Due Process Clause of the U.S. Constitution by reason of vagueness and uncertainty.

5. Obscenity § 4— “Peeping Tom” statute — constitutionality

The statute making it a crime to “peep secretly into a room occupied by a female person,” G.S. 14-202, is not so overbroad as to proscribe innocent and legitimate conduct when narrowed by judicial interpretation to require that the act condemned must be a spying for the wrongful purpose of invading the privacy of a female occupant of the room.

ON respondent’s petition for discretionary review, prior to determination by the Court of Appeals, of order entered by Gentry, </., on 21 September 1977 in GUILFORD District Court.

On 2 September 1977 a juvenile petition was filed against James Shelton Banks, a minor, alleging that he had violated G.S. 14-202 in that he did “unlawfully and wilfully peep secretly into a room occupied by Alvalena Manring, a female person.” Prior to the introduction of evidence Banks’ attorney moved to dismiss the petition for the reason that G.S. 14-202 is unconstitutional in that it is “overly broad” and “void for vagueness.” On 21 September 1977 Judge Gentry found the statute unconstitutional “on the grounds listed” and dismissed the proceeding.

We allowed petition for discretionary review prior to determination by the Court of Appeals.

Attorney General Rufus L. Edmisten by Assistant Attorney General Joan H. Byers for the State, appellant.

Public Defender Wallace C. Harrelson, and Assistant Public Defender Michael F. Joseph for respondent appellee.

MOORE, Justice.

The State argues that the trial court erred in ruling that G.S. 14-202, the so-called “Peeping Tom” statute, is unconstitutional. Respondent, however, contends that this statute is unconstitutional for two reasons. First, that it is unconstitutionally vague, *238because “men of common intelligence must necessarily guess at its meaning and differ as to its application. . ." Connally v. General Construction Co., 269 U.S. 385, 70 L.Ed. 322, 46 S.Ct. 126 (1926).

G.S. 14-202 provides:

“Secretly peeping into room occupied by female person. — Any person who shall peep secretly into any room occupied by a female person shall be guilty of a misdemeanor and upon conviction shall be fined or imprisoned in the discretion of the court.”

The requirement that a statute be couched in terms of appropriate definiteness has been referred to as a fundamental common law concept. Pierce v. United States, 314 U.S. 306, 86 L.Ed. 226, 62 S.Ct. 237 (1941). Early in the last century this Court, in Drake v. Drake, 15 N.C. 110 (1833), said:

“Whether a statute be a public or a private one, if the terms in which it is couched be so vague as to convey no definite meaning to those whose duty it is to execute it, either ministerially or judicially, it is necessarily inoperative. The law must remain as it was, unless that which professes to change it, be itself intelligible. . . .” See also State v. Partlow, 91 N.C. 550 (1884).

This requirement of definiteness has in this century been declared an essential element of due process of law. See Connally v. General Construction Co., supra. Several United States Supreme Court cases indicate that the evils remedied by the definiteness requirement are the lack of fair notice of the conduct prohibited and the failure to define a reasonably ascertainable standard of guilt. See Lanzetta v. New Jersey, 306 U.S. 451, 83 L.Ed. 888, 59 S.Ct. 618 (1939); Connally v. Construction Co., supra; cf. Note, “The Void-For-Vagueness Doctrine In The Supreme Court,” 109 U. Pa. L. Rev. 66, 77 (1960). In present case respondent does not advance a strict vagueness argument based on the lack of intelligibility of the terms employed in the challenged statute. Instead, he argues that the statute cannot mean what it says, since, if taken literally, it would prohibit much conduct which the legislature clearly did not intend to include. Its intended scope is therefore indefinite and reasonable men could differ as to its application. Thus, concludes defendant, the statute is unconstitutionally vague.

*239In passing upon the constitutionality of the statute, we begin with the presumption that it is constitutional and must be so held unless it is in conflict with some constitutional provision of the State or Federal Constitutions. State v. Brewer, 258 N.C. 533, 129 S.E. 2d 262 (1963); State v. Warren, 252 N.C. 690, 114 S.E. 2d 660 (1960); State v. Lueders, 214 N.C. 558, 200 S.E. 22 (1938). A well recognized rule in this State is that, where a statute is susceptible to two interpretations — one constitutional and one unconstitutional — the Court should adopt the interpretation resulting in a finding of constitutionality. Smith v. Keator, 285 N.C. 530, 206 S.E. 2d 203, (1974); State v. Frinks, 284 N.C. 472, 201 S.E. 2d 858 (1974); Randleman v. Hinshaw, 267 N.C. 136, 147 S.E. 2d 902 (1966).

[1, 2] Criminal statutes must be strictly construed. State v. Ross, 272 N.C. 67, 157 S.E. 2d 712 (1967); State v. Brown, 264 N.C. 191, 141 S.E. 2d 311 (1965). But, while a criminal statute must be strictly construed, the courts must nevertheless construe it with regard to the evil which it is intended to suppress. State v. Brown, 221 N.C. 301, 20 S.E. 2d 286 (1942); State v. Hatcher, 210 N.C. 55, 185 S.E. 435 (1936). The intent of the legislature controls the interpretation of a statute. State v. Hart, 287 N.C. 76, 213 S.E. 2d 291 (1975), and cases cited therein. When the language of a statute is clear and unambiguous, there is no room for judicial construction and the courts must give the statute its plain and definite meaning, and are without power to interpolate, or superimpose, provisions and limitations not contained therein. State v. Camp, 286 N.C. 148, 209 S.E. 2d 754 (1974). But when a statute is ambiguous or unclear in its meaning, resort must be had to judicial construction to ascertain the legislative will, State v. Humphries, 210 N.C. 406, 186 S.E. 473 (1936), and the courts will interpret the language to give effect to the legislative intent. Ikerd v. R.R., 209 N.C. 270, 183 S.E. 402 (1936). As this Court said in State v. Partlow, 91 N.C. 550 (1884), the legislative intent “. . . is to be ascertained by appropriate means and indicia, such as the purposes appearing from the statute taken as a whole, the phraseology, the words ordinary or technical, the law as it prevailed before the statute, the mischief to be remedied, the remedy, the end to be accomplished, statutes in pari materia, the preamble, the title, and other like means. . . .” Other indicia considered by this Court in determining legislative intent are the legislative history of an act and the circumstances surrounding its *240adoption, Milk Commission v. Food Stores, 270 N.C. 323, 154 S.E. 2d 548 (1967); earlier statutes on the same subject, Lithium Corp. v. Bessemer City, 261 N.C. 532, 135 S.E. 2d 574 (1964); the common law as it was understood at the time of the enactment of the statute, State v. Emery, 224 N.C. 581, 31 S.E. 2d 858 (1944), 157 A.L.R. 441; and previous interpretations of the same or similar statutes, cf. Wainwright v. Stone, 414 U.S. 21, 38 L.Ed. 2d 179, 94 S.Ct. 190 (1973).

[3] Finally, it is a well settled rule of statutory construction that, where a literal interpretation of the language of a statute would contravene the manifest purpose of the statute, the reason and purpose of the law will be given effect and the strict letter thereof disregarded. State v. Spencer, 276 N.C. 535, 173 S.E. 2d 765 (1970); see 12 Strong, N.C. Index 3d, Statutes § 5.9, and cases cited therein. Where possible “the language of a statute will be interpreted so as to avoid an absurd consequence. . . .” Hobbs v. Moore County, 267 N.C. 665, 671, 149 S.E. 2d 1, 5 (1966).

On the subject of the constitutional challenge of a statute for indefiniteness, the United State Supreme Court has said, in Boyce Motor Lines v. United States, 342 U.S. 337, 96 L.Ed. 367, 72 S.Ct. 329 (1952):

“A criminal statute must be sufficiently definite to give notice of the required conduct to one who would avoid its penalties, and to guide the judge in its application and the lawyer in defending one charged with its violation. But few words possess the precision of mathematical symbols, most statutes must deal with untold and unforeseen variations in factual situations, and the practical necessities of discharging the business of government inevitably limit the specificity with which legislators can spell out prohibitions. Consequently, no more than a reasonable degree of certainty can be demanded. Nor is it unfair to require that one who deliberately goes perilously close to an area of proscribed conduct shall take the risk that he may cross the line.”

See also State v. Hales, 256 N.C. 27, 122 S.E. 2d 768 (1961); State v. Morrison, 210 N.C. 117, 185 S.E. 674 (1936).

In Wainwright v. Stone, supra, where defendant challenged the Florida “Crime Against Nature” statute on grounds of *241vagueness, the United States Supreme Court, in upholding the constitutionality of the statute, held that the judgment of federal courts as to the vagueness of a state statute must be made in the light of prior state constructions of the statute. This holding implies that a statute challenged on the grounds of impermissible vagueness should not be tested for constitutional specificity in a vacuum, but should be judged in the light of its common law meaning, its statutory history and the prior judicial interpretation of its particular terms.

Applying the foregoing principles, we now turn to an examination of G.S. 14-202, commonly known as the “Peeping Tom” statute. The statute apparently was derived from the common law crimes of common nuisance and eavesdropping. See IV Blackstone 166, 168. The words “Peeping Tom” have a commonly understood meaning in this country as being one who sneaks up to a window and peeps in for the purpose of spying on and invading the privacy of the inhabitants. See, for instance, Ga. Code, § 26-3002; 70 C.J.S. p. 384.

Our statute, passed by the General Assembly in 1923, makes it a crime to “peep secretly.” This Court has had the occasion to deal with this statute in four prior cases: State v. Banks, 263 N.C. 784, 140 S.E. 2d 318 (1965); State v. Bivins, 262 N.C. 93, 136 S.E. 2d 250 (1964); State v. Bass, 253 N.C. 318, 116 S.E. 2d 772 (1960); State v. Peterson, 232 N.C. 332, 59 S.E. 2d 635 (1950). All four of these cases involved conduct within the purview of the common usage of the term “Peeping Tom.” In State v. Bivins, supra, the Court interpreted the word “peep” in a manner so as to convey the idea of a “Peeping Tom.” The Court said that “to peep” means “to look cautiously or slyly — as if through a crevice — out from chinks and knotholes.”

This Court has not expressly defined the word “secretly” as used in the statute. Respondent argues that the word adds nothing to the clarification of the meaning of the statute. In order to pass on his contention, we must resort to the rules of statutory construction set forth above, and to the additional rule that words of a statute are not to be deemed merely redundant if they can reasonably be construed so as to add something to the statute in harmony with its purpose. In re Watson, 273 N.C. 629, 161 S.E. 2d 1 (1968). See also State v. Harvey, 281 N.C. 1, 187 S.E. 2d 706 (1972).

*242[4] In State v. Banks, supra, the Court stated that, when charged with a violation of G.S. 14-202, the defendant “is entitled to know the identity of the female person whose privacy he is charged with having invaded.” This Court has, therefore, indicated that the word “secretly” as used in G.S. 14-202 conveys the definite idea of spying upon another with the intention of invading her privacy. Hence, giving the language of the statute its meaning as interpreted by this Court, G.S. 14-202 prohibits the wrongful spying into a room upon a female with the intent of violating the female’s legitimate expectation of privacy. This is sufficient to inform a person of ordinary intelligence, with reasonable precision, of those acts the statute intends to prohibit, so that he may know what acts he should avoid in order that he may not bring himself within its provisions.

Defendant cites Kahalley v. State, 254 Ala. 482, 48 So. 2d 794, to support his contention that G.S. 14-202 is unconstitutionally vague. In Kahalley, the Alabama Supreme Court held that the Alabama “Peeping Tom” statute was-violative of the Fourteenth Amendment in that it was so vague and uncertain that it fixed no ascertainable standard whereby the public could be governed. The Alabama statute is, however, distinguishable from G.S. 14-202 in that the former statute contains no requirement that the peeping be done ‘’secretly.” Thus, this element of wrongful intent required by the North Carolina statute is missing in the Alabama statute.

We hold, therefore, that G.S. 14-202 is sufficiently definite to give an individual fair notice of the conduct prohibited, and to guide a judge in its application and a lawyer in defending one charged with its violation, and that this statute violates neither Article I, Section 19, of the North Carolina Constitution, nor the Due Process Clause of the Federal Constitution by reason of vagueness and uncertainty.

[5] Respondent next argues that G.S. 14-202 is unconstitutional because it prohibits innocent conduct, and is therefore overly broad. In speaking to a similar contention, Mr. Justice Brennan, for the Supreme Court of the United States, in Zwickler v. Koota, 389 U.S. 241, 19 L.Ed. 2d 444, 88 S.Ct. 391 (1967), stated:

“[H]is constitutional attack is that the statute, although lacking neither clarity nor precision, is void for *243‘overbreadth,’ that is, that it offends the constitutional principle that ‘a governmental purpose to control or prevent activities constitutionally subject to state regulation may not be achieved by means which sweep unnecessarily broadly and thereby invade the area of protected freedoms.’ [Citations omitted.]”

In Broadrick v. Oklahoma, 413 U.S. 601, 37 L.Ed. 2d 830, 93 S.Ct. 2908 (1973), the United States Supreme Court, in interpreting the overbreadth doctrine, said:

“. . . To put the matter another way, particularly where conduct and not merely speech is involved, we believe that the overbreadth of a statute must not only be real, but substantial as well, judged in relation to the statute’s plainly legitimate sweep. . . .”

In that case, the Court indicated that the doctrine of over-breadth has not and will not be invoked when a limiting construction has been or could be placed on the challenged statute. Id. at 613, 37 L.Ed. 2d at 841.

In Lemon v. State, 235 Ga. 74, 218 S.E. 2d 818 (1975), the Supreme Court of Georgia upheld the validity of their “Peeping Tom” statute. There, as here, defendant argued that the Georgia statute was overbroad and hence unconstitutional. In answer to this argument, that court stated:

“[T]he statute is not so overbroad as to proscribe legitimate conduct. The statute is sufficiently narrowed by the requirement that the defendant act with wrongful intent, thereby omitting from its scope those persons who have a legitimate purpose upon another’s property, or those who only inadvertently glance in the window of another.”

Likewise, our statute, G.S. 14-202, is sufficiently narrowed by judicial interpretation to require that the act condemned must be a spying for the wrongful purpose of invading the privacy of the female occupant of the room, thereby omitting from its scope those persons who have a legitimate purpose upon another’s property and those who only inadvertently glance in the window of another. Thus, the statute is not so overbroad as to proscribe *244legitimate conduct. We hold, therefore, that the statute is not unconstitutional for overbreadth.

Judge Gentry’s ruling that G.S. 14-202 is unconstitutional is erroneous and is reversed. The case is remanded to the District Court of Guilford County for further proceedings in accordance with this opinion.

Reversed and remanded.

1.6.5 Lawrence M. Solan, "Law, Language, and Lenity" 1.6.5 Lawrence M. Solan, "Law, Language, and Lenity"

In Banks, the court noted that "criminal statutes must be strictly construed." Known as the "rule of lenity," this principle of statutory construction provides that ambiguous criminal statutes should be interpreted in the way that favors the defendant. What might be the reasons for such a presumption?

As the below excerpt Prof. Solan explains that many state legislatures have specifically abrogated the rule. What might be the reasons to eliminate the rule?

The traditional rule for construing criminal statutes is the rule of lenity, a name given to a common law principle that penal statutes should be strictly construed against the government or parties seeking to enforce statutory penalties and in favor of the persons on whom penalties are sought to be imposed. The motivating purpose of the rule is to provide adequate notice to defendants (due process), and to reinforce the notion that only the legislature has the power to define what conduct is criminal and what conduct is not (separation of powers). Although widely accepted, the rule is by no means adhered to universally. The legislatures of many states, frustrated by what seemed to be unnaturally narrow judicial readings of criminal statutes, have eliminated the rule of lenity. New York and California did so more than a century ago. Recent academic literature has been critical as well. Professors Jeffries and Kahan criticize the principle on the grounds that its application does not further its stated rationales-legislative primacy and fair notice. Other commentators object to lenity as inappropriate in particular situations, such as RICO, civil bankruptcy, government corruption cases, and environmental crimes. Moreover, not even lenity's strongest supporters can believe in it without qualification. Courts have good reason not to want every instance in which statutory language underdetermines meaning to require acquittal. 

Excerpted from Lawrence M. Solan's "Law, Language, and Lenity" available on the Law Review Commons. To access the full document, click here.