8 Inchoate Offenses 8 Inchoate Offenses

Our final topic for the semester is inchoate offenses, those situations in which defendants may be prosecuted even though the crime is incomplete. We will first study conspiracy, which criminalizes defendants' agreement to commit a crime together. We will explore conspiracy law in the context of the government's ongoing prosecution of the January 6 insurrectionists. We will then turn to attempt, which covers those situations in which a defendant wants to commit a crime but (for one reason or another) doesn’t. We will start by exploring the basic doctrine (mens rea and actus reus) and then consider “defenses” (impossibility and abandonment). In this assignment, we will consider important policy questions: Which is a more important aim of the criminal law: preventing harms or fairly apportioning moral responsibility? More generally, which is more important in setting punishment: harm or culpability? We will conclude our last class with some final thoughts about the purpose of the criminal justice system and the role of lawyers in ensuring that it does, in fact, result in justice.

8.1 Class #24: Conspiracy 8.1 Class #24: Conspiracy

8.1.1 NYPL Article 105--Conspiracy 8.1.1 NYPL Article 105--Conspiracy

§ 105.00 Conspiracy in the sixth degree

     A person is guilty of conspiracy in the sixth degree when, with intent that conduct constituting a crime be performed, he agrees with one or more persons to engage in or cause the performance of such conduct.

     Conspiracy in the sixth degree is a class B misdemeanor.

§ 105.05 Conspiracy in the fifth degree

     A person is guilty of conspiracy in the fifth degree when, with intent that conduct constituting:

      1. a felony be performed, he agrees with one or more persons to engage in or cause the performance of such conduct; or

     2. a crime be performed, he, being over eighteen years of age, agrees with one or more persons under sixteen years of age to engage in or cause the performance of such conduct.

     Conspiracy in the fifth degree is a class A misdemeanor.

§ 105.10 Conspiracy in the fourth degree

     A person is guilty of conspiracy in the fourth degree when, with intent that conduct constituting:

     1. a class B or class C felony be performed, he or she agrees with one or more persons to engage in or cause the performance of such conduct; or

     2. a felony be performed, he or she, being over eighteen years of age, agrees with one or more persons under sixteen years of age to engage in or cause the performance of such conduct; or

     3. the felony of money laundering in the third degree as defined in section 470.10 of this chapter, be performed, he or she agrees with one or more persons to engage in or cause the performance of such conduct.

     Conspiracy in the fourth degree is a class E felony.

§ 105.13 Conspiracy in the third degree

     A person is guilty of conspiracy in the third degree when, with intent that conduct constituting a class B or a class C felony be performed, he, being over eighteen years of age, agrees with one or more persons under sixteen years of age to engage in or cause the performance of such conduct.

     Conspiracy in the third degree is a class D felony.

§ 105.15 Conspiracy in the second degree

     A person is guilty of conspiracy in the second degree when, with intent that conduct constituting a class A felony be performed, he agrees with one or more persons to engage in or cause the performance of such conduct.

     Conspiracy in the second degree is a class B felony.

§ 105.17 Conspiracy in the first degree

     A person is guilty of conspiracy in the first degree when, with intent that conduct constituting a class A felony be performed, he, being over eighteen years of age, agrees with one or more persons under sixteen years of age to engage in or cause the performance of such conduct.

     Conspiracy in the first degree is a class A-I felony.

§ 105.20 Conspiracy; pleading and proof; necessity of overt act

     A person shall not be convicted of conspiracy unless an overt act is alleged and proved to have been committed by one of the conspirators in furtherance of the conspiracy.

§ 105.25 Conspiracy; jurisdiction and venue

     A person may be prosecuted for conspiracy in the county in which he entered into such conspiracy or in any county in which an overt act in furtherance thereof was committed.

     An agreement made within this state to engage in or cause the performance of conduct in another jurisdiction is punishable herein as a conspiracy only when such conduct would constitute a crime both under the laws of this state if performed herein and under the laws of the other jurisdiction if performed therein.

     An agreement made in another jurisdiction to engage in or cause the performance of conduct within this state, which would constitute a crime herein, is punishable herein only when an overt act in furtherance of such conspiracy is committed within this state. Under such circumstances, it is no defense to a prosecution for conspiracy that the conduct which is the objective of the conspiracy would not constitute a crime under the laws of the other jurisdiction if performed therein.

§ 105.30 Conspiracy; no defense

     It is no defense to a prosecution for conspiracy that, owing to criminal irresponsibility or other legal incapacity or exemption, or to unawareness of the criminal nature of the agreement or the object conduct or of the defendant`s criminal purpose or to other factors precluding the mental state required for the commission of conspiracy or the object crime, one or more of the defendant`s co-conspirators could not be guilty of conspiracy or the object crime. …

8.1.2 18 U.S.C. § 371 - Conspiracy to commit offense or to defraud United States 8.1.2 18 U.S.C. § 371 - Conspiracy to commit offense or to defraud United States

If two or more persons conspire either to commit any offense against the United States, or to defraud the United States, or any agency thereof in any manner or for any purpose, and one or more of such persons do any act to effect the object of the conspiracy, each shall be fined under this title or imprisoned not more than five years, or both.

If, however, the offense, the commission of which is the object of the conspiracy, is a misdemeanor only, the punishment for such conspiracy shall not exceed the maximum punishment provided for such misdemeanor.

8.1.3 Pinkerton v. United States 8.1.3 Pinkerton v. United States

PINKERTON et al. v. UNITED STATES.

No. 719.

Argued May 1, 1946.

Decided June 10, 1946.

*641John S. Tucker, Jr. argued the cause for petitioners. With him on the brief was Thomas E. Skinner.

W. Marvin Smith argued the cause for the United States. With him on the brief were Solicitor General McGrath, Robert S. Erdahl and Leon Ulman.

Mr. Justice Douglas

delivered the opinion of the Court.

Walter and Daniel Pinkerton are brothers who live a short distance from each other on Daniel’s farm. They were indicted for violations of the Internal Revenue Code. The indictment contained ten substantive counts and one conspiracy count. The jury found Walter guilty on nine of the substantive counts and on the conspiracy count. It found Daniel guilty on six of the substantive counts and on the conspiracy count. Walter was fined $500 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was given a two year sentence to run concurrently with the other sentence. Daniel was fined $1,000 and sentenced generally on the substantive counts to imprisonment for thirty months. On the conspiracy count he was fined $500 and given a two year sentence to run concurrently with the other sentence. The judgments of conviction were affirmed by the Circuit Court of Appeals.1 151 F. 2d *642499. The case is here on a petition for a writ of certiorari, which we granted because one of the questions presented involved a conflict between the decision below and United States v. Sall, 116 F. 2d 745, decided by the Circuit Court of Appeals for the Third Circuit.

A single conspiracy was charged and proved. Some of the overt acts charged in the conspiracy count were the same acts charged in the substantive counts. Each of the substantive offenses found was committed pursuant to the conspiracy. Petitioners therefore contend that the substantive counts became merged in the conspiracy count, and that only a single sentence not exceeding the maximum two year penalty provided by the conspiracy statute (Criminal Code § 37, 18 U. S. C. § 88) could be imposed. Or to state the matter differently, they contend that each of the substantive counts became a separate conspiracy count but, since only a single conspiracy was charged and proved, only a single sentence for conspiracy could be imposed. They rely on Braverman v. United States, 317 U. S. 49.

In the Braverman case the indictment charged no substantive offense. Each of the several counts charged a conspiracy to violate a different statute. But only one *643conspiracy was proved. We held that a single conspiracy, charged under the general conspiracy statute, however diverse its objects may be, violates but a single statute and no penalty greater than the maximum provided for one conspiracy may be imposed. That case is not apposite here. For the offenses charged and proved were not only a conspiracy but substantive offenses as well.

Nor can we accept the proposition that the substantive offenses were merged in the conspiracy. There are, of course, instances where a conspiracy charge may not be added to the substantive charge. One is where the agreement of two persons is necessary for the completion of the substantive crime and there is no ingredient in the conspiracy which is not present in the completed crime. See United States v. Katz, 271 U. S. 354, 355-356; Gebardi v. United States, 287 U. S. 112, 121-122. Another is where the definition of the substantive offense excludes from punishment for conspiracy one who voluntarily participates in another’s crime. Gebardi v. United States, supra. But those exceptions are of a limited character. The common law rule that the substantive offense, if a felony, was merged in the conspiracy,2 has little vitality in this country.3 It has been long and consistently recognized by the Court that the commission of the substantive offense and a conspiracy to commit it are separate and distinct offenses. The power of Congress to separate the two and to affix to each a different penalty is well established. Clune v. United States, 159 U. S. 590, 594-595. A conviction for the conspiracy may be had though the substantive offense was completed. See Heike v. United States, 227 U. S. 131, 144. And the plea of double jeopardy is no defense to a conviction for both offenses. Carter v. *644McClaughry, 183 U. S. 365, 395. It is only an identity of offenses which is fatal. See Gavieres v. United States, 220 U. S. 338, 342. Cf. Freeman v. United States, 146 F. 2d 978. A conspiracy is a partnership in crime. United States v. Socony-Vacuum Oil Co., 310 U. S. 150, 253. It has ingredients, as well as implications, distinct from the completion of the unlawful project. As stated in United States v. Rabinowich, 238 U. S. 78, 88:

“For two or more to confederate and combine together to commit or cause to be committed a breach of the criminal laws, is an offense of the gravest character, sometimes quite outweighing, in injury to the public, the mere commission of the contemplated crime. It involves deliberate plotting to subvert the laws, educating and preparing the conspirators for further and habitual criminal practices. And it is characterized by secrecy, rendering it difficult of detection, requiring more time for its discovery, and adding to the importance of punishing it when discovered.”

And see Sneed v. United States, 298 F. 911, 912-913; Banghart v. United States, 148 F. 2d 521.

Moreover, it is not material that overt acts charged in the conspiracy counts were also charged and proved as substantive offenses. As stated in Sneed v. United States, supra, p. 913, “If the overt act be the offense which was the object of the conspiracy, and is also punished, there is not a double punishment of it.” The agreement to do an unlawful act is even then distinct from the doing of the act.4

*645It is contended that there was insufficient evidence to implicate Daniel in the conspiracy. But we think there was enough evidence for submission of the issue to the jury.

There is, however, no evidence to show that Daniel participated directly in the commission of the substantive offenses on which his conviction has been sustained,5 although there was evidence to show that these substantive offenses were in fact committed by Walter in furtherance of the unlawful agreement or conspiracy existing between the brothers. The question was submitted to the jury on the theory that each petitioner could be found guilty of the substantive offenses, if it was found at the time those offenses were committed petitioners were parties to an unlawful conspiracy and the substantive offenses charged were in fact committed in furtherance of it.6

*646Daniel relies on United States v. Sall, supra. That case held that participation in the conspiracy was not itself enough to sustain a conviction for the substantive offense even though it was committed in furtherance of the conspiracy. The court held that, in addition to evidence that the offense was in fact committed in furtherance of the conspiracy, evidence of direct participation in the commission of the substantive offense or other evidence from which participation might fairly be inferred was necessary.

We take a different view. We have here a continuous conspiracy. There is here no evidence of the affirmative action on the part of Daniel which is necessary to establish his withdrawal from it. Hyde v. United States, 225 U. S. 347, 369. As stated in that case, “Having joined in an unlawful scheme, having constituted agents for its performance, scheme and agency to be continuous until full fruition be secured, until he does some act to disavow or defeat the purpose he is in no situation to claim the delay of the law. As the offense has not been terminated or accomplished he is still offending. And we think, consciously offending, offending as certainly, as we have said, as at the first moment of his confederation, and consciously through every moment of its existence.” Id., p.369. And so long as the partnership in crime continues, the partners act for each other in carrying it forward. It is settled that “an overt act of one partner may be the act of all without *647any new agreement specifically directed to that act.” United States v. Kissel, 218 U. S. 601, 608. Motive or intent may be proved by the acts or declarations of some of the conspirators in furtherance of the common objective. Wiborg v. United States, 163 U. S. 632, 657-658. A scheme to use the mails to defraud, which is joined in by more than one person, is a conspiracy. Cochran v. United States, 41 F. 2d 193, 199-200. Yet all members are responsible, though only one did the mailing. Cochran v. United States, supra; Mackett v. United States, 90 F. 2d 462, 464; Baker v. United States, 115 F. 2d 533, 540; Blue v. United States, 138 F. 2d 351, 359. The governing principle is the same when the substantive offense is committed by one of the conspirators in furtherance of the unlawful project. Johnson v. United States, 62 F. 2d 32, 34. The criminal intent to do the act is established by the formation of the conspiracy. Each conspirator instigated the commission of the crime. The unlawful agreement contemplated precisely what was done. It was formed for the purpose. The act done was in execution of the enterprise. The rule which holds responsible one who counsels, procures, or commands another to commit a crime is founded on the same principle. That principle is recognized in the law of conspiracy when the overt act of one partner in crime is attributable to all. An overt act is an essential ingredient of the crime of conspiracy under § 37 of the Criminal Code, 18 U. S. C. § 88. If that can be supplied by the act of one conspirator, we fail to see why the same or other acts in furtherance of the conspiracy are likewise not attributable to the others for the purpose of holding them responsible for the substantive offense.

A different case would arise if the substantive offense committed by one of the conspirators was not in fact done in furtherance of the conspiracy, did not fall within the *648scope of the unlawful project, or was merely a part of the ramifications of the plan which could not be reasonably foreseen as a necessary or natural consequence of the unlawful agreement. But as we read this record, that is not this case.

Affirmed.

Mr. Justice Jackson took no part in the consideration or decision of this case.

Mr. Justice Rutledge,

dissenting in part.

The judgment concerning Daniel Pinkerton should be reversed. In my opinion it is without precedent here and is a dangerous precedent to establish.

Daniel and Walter, who were brothers living near each other, were charged in several counts with substantive offenses, and then a conspiracy count was added naming those offenses as overt acts. The proof showed that Walter alone committed the substantive crimes. There was none to establish that Daniel participated in them, aided and abetted Walter in committing them, or knew that he had done so. Daniel in fact was in the penitentiary, under sentence for other crimes, when some of Walter’s crimes were done.

There was evidence, however, to show that over several years Daniel and Walter had confederated to commit similar crimes concerned with unlawful possession, transportation, and dealing in whiskey, in fraud of the federal revenues. On this evidence both were convicted of conspiracy. Walter also was convicted on the substantive counts on the proof of his committing the crimes charged. Then, on that evidence without more than the proof of Daniel’s criminal agreement with Walter and the latter’s overt acts, which were also the substantive offenses charged, the court told the jury they could find Daniel guilty of those substantive offenses. They did so.

*649I think this ruling violates both the letter and the spirit of what Congress did when it separately defined the three classes of crime, namely, (1) completed substantive offenses;1 (2) aiding, abetting or counseling another to commit them;2 and (3) conspiracy to commit them.3 Not only does this ignore the distinctions Congress has prescribed shall be observed. It either convicts one man for another’s crime or punishes the man convicted twice for the same offense.

The three types of offense are not identical. Bollenbach v. United States, 326 U. S. 607, 611; United States v. Sall, 116 F. 2d 745. Nor are their differences merely verbal. Ibid. The gist of conspiracy is the agreement; that of aiding, abetting or counseling is in consciously advising or assisting another to commit particular offenses, and thus becoming a party to them; that of substantive crime, going a step beyond mere aiding, abetting, counseling to completion of the offense.

These general differences are well understood. But when conspiracy has ripened into completed crime, or has advanced to the stage of aiding and abetting, it becomes easy to disregard their differences and loosely to treat one as identical with the other, that is, for every purpose except the most vital one of imposing sentence. And *650thus the substance, if not the technical effect, of double jeopardy or multiple punishment may be accomplished. Thus also may one be convicted of an offense not charged or proved against him, on evidence showing he committed another.

The old doctrine of merger of conspiracy in the substantive crime has not obtained here. But the dangers for abuse, which in part it sought to avoid, in applying the law of conspiracy have not altogether disappeared. Cf. Kotteakos v. United States, post, p. 750. There is some evidence that they may be increasing. The looseness with which the charge may be proved, the almost unlimited scope of vicarious responsibility for others’ acts which follows once agreement is shown, the psychological advantages of such trials for securing convictions by attributing to one proof against another, these and other inducements require that the broad limits of discretion allowed to prosecuting officers in relation to such charges and trials be not expanded into new, wider and more dubious areas of choice. If the matter is not generally of constitutional proportions, it is one for the exercise of this Court’s supervisory power over the modes of conducting federal criminal prosecutions within the rule of McNabb v. United States, 318 U. S. 332.

I think that power should be exercised in this case with respect to Daniel’s conviction. If it does not violate the letter of constitutional right, it fractures the spirit. United States v. Sall, supra. I think the ruling in that case was right, and for the reasons stated.4 It should be *651followed here. Daniel has been held guilty of the substantive crimes committed only by Walter on proof that he did no more than conspire with him to commit offenses of the same general character. There was no evidence that he counseled, advised or had knowledge of those particular acts or offenses. There was, therefore, none that he aided, abetted or took part in them. There was only evidence sufficient to show that he had agreed with Walter at some past time to engage in such transactions generally. As to Daniel this was only evidence of conspiracy, not of substantive crime.

The Court's theory seems to be that Daniel and Walter became general partners in crime by virtue of their agreement and because of that agreement without more on his part Daniel became criminally responsible as a principal for everything Walter did thereafter in the nature of a criminal offense of the general sort the agreement contemplated, so long as there was not clear evidence that Daniel had withdrawn from or revoked the agreement. Whether or not his commitment to the penitentiary had that effect, the result is a vicarious criminal responsibility as broad as, or broader than, the vicarious civil liability of a partner for acts done by a co-partner in the course of the firm's business.

Such analogies from private commercial law and the law of torts are dangerous, in my judgment, for transfer to the criminal field. See Sen. Rep. No. 163, 72d Cong., 1st Sess., 20. Guilt there with us remains personal, not vicarious, for the more serious offenses. It should be kept so. The effect of Daniel's conviction in this case, to *652repeat, is either to attribute to him Walter’s guilt or to punish him twice for the same offense, namely, agreeing with Walter to engage in crime. Without the agreement Daniel was guilty of no crime on this record. With it and no more, so far as his own conduct is concerned, he was guilty of two.

In another aspect of the case, this effect is thrown into even clearer light. The indictment here was filed after a prior one for conspiracy alone had been dismissed. This in turn came after petitioners had been tried, convicted and had been successful in securing reversal on appeal for errors in the charge. Pinkerton v. United States, 145 F. 2d 252. Following this reversal they were reindicted and tried in the present case. The Government now says, as to the plea of double jeopardy on this account (which the trial court overruled on demurrer), that the two indictments were for different conspiracies since the first one charged a different period of time as covered by the conspiracy; charged 16 as compared with 19 overt acts in the second; and an additional object was added in the latter, that is, intent to violate another section of the revenue act. In other words, there were two different conspiracies by virtue of these minute differences in the detail of the allegations. Hence, there was no double jeopardy by the second indictment.

But later, in support of the conviction here, relative to the bearing of the various statutes of limitations upon proof of the overt acts, charged also as substantive offenses, the Government points out that the earlier indictment was framed on the assumption that a three-year statute of limitations applied to the conspiracy as first charged; and the convictions were reversed for failure of the trial court to instruct the jury on that basis. Then the District Attorney discovered the decision in Braverman v. United States, 317 U. S. 49, 54-55, and decided to revamp the *653indictment to include details making the six-year period applicable. He did so, and added the substantive counts because, so it is said, in the view that a six-year period applied he felt there were enough substantive offenses within that time which he could successfully prove to justify including them.

It would seem, from this history, that to sustain this conviction as against the plea of former jeopardy by virtue of the earlier indictment and what followed, the Government stands, and must stand, upon the idea that two separate and distinct conspiracies were charged, one by the first and one by the later indictment. See United States v. Oppenheimer, 242 U. S. 85, 87-88. But to sustain Daniel’s conviction for the substantive offenses, via the conspiracy route, there was only a single continuing conspiracy extending over the longer period, in the course of which Walter committed crimes, which were also overt acts, some of them running back of the period charged in the former indictment, others being the same but later acts which it had charged as overt acts against both.

For these now Daniel is held responsible, not merely as a conspirator, as the prior indictment charged, but as both a conspirator and a substantive offender.

What this lacks by way of being put twice in jeopardy for the same offense, I am unable to understand. For not only has Daniel been convicted for conspiracy for the same overt acts, and illegal ends, as the first indictment charged. He has had those acts converted into substantive offenses. I do not think the prosecutor’s technical, and it would seem insubstantial, variations in the details of the indictment should be permitted to achieve so much.5

*654This, of course, should not relieve Walter of the conviction for the substantive offenses. . But his sentence for conspiracy should be annulled. So also should Daniel’s sentence on all counts.

Mr. Justice Frankfurter, reserving judgment on the question of double jeopardy, agrees in substance with the views expressed in this dissent.

8.1.4 Paul Marcus, Criminal Conspiracy Law: Time To Turn Back From An Ever Expanding, Ever More Troubling Area,  1 William & Mary Bill Of Rights Journal  (1992) 8.1.4 Paul Marcus, Criminal Conspiracy Law: Time To Turn Back From An Ever Expanding, Ever More Troubling Area,  1 William & Mary Bill Of Rights Journal  (1992)

[C]onspiracy, that darling of the modern prosecutor's nursery. – Learned Hand

We judges ought to take judicial notice of what every ordinary person knows about juries, and therefore to recognize that the twelve citizens, casually summoned to serve as jurors, are not trained fact-finders and can be easily bewildered The need for safeguarding defendants from misunderstanding by the jury is peculiarly acute in conspiracy trials. – Jerome Frank

I. INTRODUCTION

Concerns about the crime of conspiracy have been around for a long time. After all, the statements by Judges Hand and Frank were made, respectively, about seventy and fifty years ago. My own concerns regarding conspiracy began to surface almost twenty years ago. …

In 1977 I completed a project which involved visits to more than a dozen cities, interviews of over 100 judges and practicing lawyers, and the distribution of questionnaires to thousands of others. The exclusive focus points of this project were the crime of conspiracy and the way in which that crime was prosecuted and defended in the United States. … It has now been more than fifteen years since that study was completed. Certainly many of the issues which were vital then have remained so.

II. CONSPIRACY LAW …

     A.  Bases for the Crime

The rationale given for having the crime of conspiracy has not changed at all during the entire century. "Criminal conspiracy[,] an agreement  between  two or more persons formed  for the purpose  of  committing  a crime," serves  two distinct  purposes.

The first is inchoate: "[l]t serves a preventive function by stopping criminal conduct  in  its early stages of growth before it has a full opportunity to bloom." While  this purpose is regularly offered to explain the presence of the crime, [research shows that] the crime rarely is treated as an inchoate offense. That is, most charged conspiracies involve situations in which an attempted or completed "substantive offense" (the object of the agreement) has taken place. To be sure, in most of these cases the government only finds out about the underlying conspiracy because that object crime has been completed or at least attempted.

The real reason for the conspiracy  crime is the belief  that serious group danger is present in the usual conspiracy situation. Our system proceeds on the assumption that the law of conspiracy "protects society from the dangers of concerted  criminal activity." Stated succinctly, "[w]e punish conspiracy because joint action is, generally, more dangerous than individual action. " United States v. Townsend, 924 F.2d 1385, 1394 (7th Cir. 1991). Although it has been challenged by some, this notion has been fully accepted on many occasions by the Supreme Court and by judges and practicing lawyers throughout the United States.

Acceptance of the rationale of group danger does not wholly dispose of the concerns regarding the need for this particular crime. That is, assuming criminal group behavior really is more dangerous than individual criminal activity, is it necessary to have the crime of conspiracy to combat such behavior, or would  other offenses  be able to deal with the problem? Without question, the vast majority of offenses brought under the conspiracy doctrine could be handled effectively by other, more traditional theories. The Florida Supreme Court stated the matter well:

We recognize that the charge of conspiracy is an excellent tool in combating organized crime, but the use of this charge has been expanded to dragnet proportions in some instances. Of course, the law of criminal attempt is sufficient to protect society against the danger of incipient wrongdoers. Also, if several join in the commission of a criminal act, the prosecutor could rely on the basic rule that one who counsels, commands, induces, procures or aids and abets another in committing a crime is punishable as a principal defendant. These alternatives are available and could be used in lieu of a conspiracy charge.

… The argument for added danger for conspiracies has never been supported by any sort of empirical data, and thus it is extremely difficult to justify the presence of the  crime, at least in situations where other offenses could be charged. Twenty years ago Professor Phillip Johnson, in an incisive article, forcefully argued this view:

Conspiracy gives the courts a means of deciding difficult questions without thinking about them. The basic objection to the doctrine is not simply that many of its specific rules are bad, but rather that all of them are ill-considered. The first step towards improving a rule of law is to consider the policies it serves. The specific rules of conspiracy, however, are derived more from the logic of an abstract concept than from any realistic assessment of the needs of law enforcement or the legitimate interests of criminal defendants. We need to reconsider the problem of group crime without being distracted by the abstractions that the concept of conspiracy always seems to introduce.

Abolition of conspiracy is not an idea whose time has come, because law enforcement interests erroneously regard the doctrine as a vital weapon against organized crime and because critics of conspiracy have attacked it piecemeal rather than in its entirety. This Article is therefore addressed more to the law reformers of the future than  to those of the present, and its aim  is not so much  to settle an argument  as to start one.

The arguments challenging the need for the conspiracy charge may have considerable force. The basis for the charge, however, appears unshaken and unshakable. … Instead  of widespread criticism of the charge or concerns regarding the basis for it, broadly-stated support appears. A case from the Seventh Circuit is a typical example:

"[W]hat makes the joint action of a group of n persons more fearsome than the individual actions of those n persons is the division of labor and the mutual psychological support that collaboration affords." Both the conspiracy and the market transaction are agreements, but only conspiracy poses the added danger of group action. True, aiding and abetting presupposes the existence of more than one actor, but aiders and abettors are already punished as principals. To justify imposing additional criminal liability, there must be some additional evidence that their actions are intended to bring about the object of the conspiracy. Conspiracies, which are really "agreements to agree" on the multitude of decisions and acts necessary to successfully pull off a crime, pose an additional risk that the object of the conspiracy will be achieved, and so warrant additional penalties.

United States v. Townsend, 924 F.2d 1385, 1394 (7th Cir. 1991)

Prof. Marcus's full article is available here.

8.1.5 Neal Kumar Katyal, Danger in Numbers, Legal Affairs (2003) 8.1.5 Neal Kumar Katyal, Danger in Numbers, Legal Affairs (2003)

In this essay, adapted from his much longer Yale Law Journal article Conspiracy Theory, Prof. Katyal defends the expansiveness of traditional conspiracy doctrine.

DANGER IN NUMBERS

 

Why it makes sense to have harsh punishments for conspiracy.

 

By Neal Kumar Katyal


HERE'S HOW A LAW SCHOOL TEXTBOOK might introduce the elements of traditional conspiracy law: Imagine that Joe and Sandra agree to rob a bank. From the moment of agreement, they can be found guilty of conspiracy even if they never commit the robbery (it's called "inchoate liability"). Even if the bank goes out of business, they can still be liable for the conspiracy ("impossibility" is not a defense). Joe can be liable for other crimes that Sandra commits to further the conspiracy's objective, like hot-wiring a getaway car (that's called Pinkerton liability, after a 1946 Supreme Court case involving tax offenses). He can't evade liability by staying home on the day of the robbery (a conspirator has to take an affirmative step to "withdraw"). And if the bank heist takes place, both Joe and Sandra can be charged with bank robbery and with the separate crime of conspiracy, each of which carries its own punishment (the crime of conspiracy doesn't "merge" with the underlying crime).

Why should conspiracy liability begin at the moment of "agreement," before any crime is committed? Why can a conspirator be charged with both the inchoate offense of conspiracy and the robbery? Why should the law punish conspirators even if it's impossible for them to commit the crime they planned? Why is withdrawal from a conspiracy so difficult? And what about that oddball Pinkerton doctrine?

For more than 50 years, these questions have prompted a series of critiques of conspiracy law. The major scholarly articles and many prominent judges have called the doctrine "unnecessary," "without justification," and much worse. And they've succeeded on important fronts. The Model Penal Code, a blueprint for state law first written by a commission of experts in the early 1950s, rejected many of the traditional features of conspiracy law. The federal sentencing commission similarly has eliminated many of the traditional features of conspiracy law over the last 15 years, so that, in general, it's no longer possible to punish someone both for conspiring to commit a federal crime and for committing it. Since more than a quarter of federal prosecutions currently include conspiracy charges, that change and others have dramatically reduced the penalties many criminals face.

These cutbacks are likely to prove a mistake. In a world full of crime committed by groups, from terrorists to bank robbers to drug gangs to mafia families, traditional conspiracy doctrine plays a vital role in making our society and communities safer. The doctrine deters some people from joining criminal enterprises in the first place. And when conspiracies are hatched, the law gives prosecutors leverage to "flip" defendants and build cases out of their testimony.

For some years now, I've been arguing that realistic models of crime control must incorporate, and sometimes reconcile, economic and psychological reactions to penalties. This is particularly the case with the offense of conspiracy. Psychologists have made many advances in understanding the ways in which people in groups act differently than they do as individuals. So, too, economists have developed sophisticated explanations for why firms promote efficiency. Both sorts of insights can be "reverse engineered"—in other words, used by the government against conspirators.

CONSIDER THE BASIC ECONOMICS OF A CONSPIRACY. Size helps businesses in two ways: It gives a firm purchasing power in the marketplace and it allows employees to specialize. Much mid-20th-century work in economics, particularly Ronald Coase's theory of the firm, focused on these advantages. And they are intuitive: Think about how difficult it is to rob a bank alone. If you have a group, one person can carry the weapons, another can mastermind the attack, and a third can be the driver of the getaway car.

For a criminal group, economies of scale reduce the chances of detection. Although large drug gangs may be more visible than solo operators, they are also more likely to have the money to be successful bribers. The laws against bribery, which punish small bribes with large penalties, mean that police and prosecutors generally take risks only for large bribes that individuals rarely can afford to pay. Conspirators are also less likely to be caught because they can commit a rash of crimes within a short time in one city or neighborhood, overpowering limited resources for investigation, and because they can assign lookouts to scout for witnesses or police. And their ability to specialize helps shield some members by spreading out responsibility. It can be difficult to prove that a defendant harbored a "criminal intent," as the law requires, when a defendant can plausibly say that he didn't know what the other members of the group were doing.

The trouble with group behavior goes beyond economies of scale. Psychologists have long studied ways in which people in groups act differently than they do as individuals. In a famous experiment from the early 1950s, researchers asked their subjects questions with obvious answers—for example, the length of a line drawn on a board. In a group setting, many people gave answers that matched the outlandish responses they'd heard given by others in the group, who, unbeknownst to the subjects, were in cahoots with the experimenters. The findings confirm an idea that's pretty intuitive: People tend to conform their views to those of the group. Studies also find that group members tend to be more loyal, listen more to each other, and reward each other more than they do those who belong to other groups, even if their group assignments are arbitrary and temporary.

Group membership can also influence people to take bigger risks and express more extreme views. In a leading study done 40 years ago by a graduate student named J. A. S. Stoner, people were asked to make a choice between investing in high-return, risky stocks and low-return, safer ones. Stoner found that individuals were more likely to prefer the safer stocks and groups more likely to prefer the riskier ones. Later work showed that the power of consensus bolsters confidence in other areas as well. For example, French students who liked the post-World War II leader Charles De Gaulle liked him even more after discussing him in a group, and those who did not like Americans liked them even less. These studies have been replicated hundreds of times in different settings.

Recent work by psychologists like Alexander S. Haslam and by the Nobel-prize-winning economist George Akerlof explains how the special social identity that groups create can induce individuals to behave against their self-interest. For this reason, it's particularly hard to get conspirators to cooperate with law enforcement, as doing so threatens their social identity. Groups also are more likely than individuals to have committed or to go on to commit other crimes, even if they don't carry out the particular crime they've been arrested for. That's because once the decision to join a criminal group has been made, people are more likely to make subsequent choices that support it—what psychologists call the "sunk-cost trap." When universities ask their graduating seniors to pledge a small contribution, like $100 over the next five years, they're hoping that the sunk-cost trap will lead to bigger commitments in the future.

LAWYERS, PROMPTED BY THE UNIVERSITY OF CHICAGO'S CASS SUNSTEIN, are just beginning to grapple with the implications of all this research. For criminal policy, the research outlines why conspirators can be more effective—and potentially more dangerous—than lone criminals. And it suggests that police and prosecutors should have substantial leeway to probe the weaknesses of the group that do exist. When two bank robbers conspire, authorities can persuade one of them to implicate the other in exchange for a lighter sentence. The more conspirators, the more witnesses there are to flip—and the more ominous the likely consequences for the conspirator who won't cooperate. Accordingly, the law imposes heavy up-front penalties for joining a conspiracy, and then tries to induce the members of the group to defect by offering them sentencing breaks in ex-change for valuable information.

Information shouldn't be the only basis for sentencing: A person's role in the offense is at least as important. But a person who didn't have much to do with carrying out a crime but knew a lot about it should be punished more than someone who played a minor role and lacked information. In other words, it makes moral as well as practical sense to punish conspirators not only for what they do, but also for what they knew and did not reveal. This underappreciated conceptual shift explains why the complaint that sentences for conspiracy are too long is misplaced. And it's the starting point for a defense of the five much-maligned textbook elements of conspiracy doctrine that I mentioned above:

Inchoate Liability. Making conspirators liable from the moment of agreement creates an incentive for members of the group to defect early. As soon as police and prosecutors get wind of a criminal enterprise, they have a charge—conspiracy—to employ in flipping potential defendants and to prosecute the group before it does anything destructive. From the beginning of its existence, the criminal syndicate has to worry about losing the loyalty of any of its members throughout the planning of a crime.

To minimize the danger posed by flipping, criminal leaders often move to compartmentalize information and monitor underlings for signs of defection. Yet keeping members in the dark about one another's activities weakens the group. It's inefficient, erodes group trust, and undoubtedly increases the willingness of underlings to become informants. Attaching liability at the moment of agreement can also be justified as a penalty for behavior likely to cause social harm. In the same way that someone who drives drunk deserves punishment, whether or not he has an accident, the conspirator should be held responsible for the risky act of entering into an agreement.

The Exclusion From Merger. What justifies the prosecution of bank robbers for both robbery and conspiracy to commit robbery, each of which carries a separate penalty? After all, a lone bank robber can't be punished both for attempting bank robbery and for actually committing it. Why should conspiracy law tack on an extra sentence of five or even more years in prison? The answer has to do with the additional harm posed by criminal groups. The conspiracy to rob (which targets group behavior) is a different offense than the robbery (which targets the crime itself). When both the conspiracy and robbery have been completed, government should punish both acts. By maintaining separate penalties, the law makes it more difficult for conspirators to recruit others to help carry out their plans.

The two-pronged doctrine offers an additional advantage as well. Setting a fixed penalty for conspiracy gives prosecutors who know only about small-time players the leverage to flip them and attack higher-ups (particularly with the offenses that are most visible to law enforcement, like low-level drug dealing, which may carry small penalties). At the same time, by calibrating an additional punishment to the particular offense, the law gives small-time players an incentive to stay away from big-time crimes.

Impossibility. Traditionally, a defendant can be guilty of conspiracy even when, for reasons outside of his control, it's impossible to carry out the planned crime. This approach recognizes that any agreement to commit crime, including one to do something impossible, helps cement the group's identity, making further crimes more likely.

This term the Supreme Court is reviewing a recent ruling by the Ninth Circuit Court of Appeals that discounted the traditional approach. In United States v. Recio, a Nevada police officer stopped two men driving a truck and found $10 to $12 million worth of narcotics. One of the men then cooperated with a government sting by calling a pager number, as he'd previously arranged. A caller returned the page and said that someone would come for the truck. A few hours later, Francisco Jimenez Recio drove up to the truck, got into it, and began driving away. Police arrested him.

Recio persuaded the Ninth Circuit to reverse the conspiracy charge on the theory that he couldn't have conspired to distribute the drugs because the government's intervention made it impossible for him to succeed. The Supreme Court should reject that result, which misguidedly says that a conspiracy can be punished only when its object is a possible one.

Pinkerton. The Pinkerton doctrine makes one conspirator liable for any reasonably foreseeable crime that falls within the scope of the conspiracy, even if she herself did not commit it. So if Joe and Sandra conspire to sell a kilogram of cocaine to an undercover cop posing as a buyer, and Sandra pulls out a gun and shoots the cop, Joe can be liable for the shooting even if he and Sandra hadn't agreed to use force. The conventional wisdom scorns Pinkerton for untethering punishment from individual wrongdoing. But without the doctrine, prosecutors would lose vital ammunition for turning small fish into informants. That could open the door to calls for more coercive law enforcement techniques, like intrusive and broad searches, as well as calls to water down other procedural protections.

Pinkerton also adds uncertain risks to any conspiracy. A bank robber isn't just signing on to a robbery and risking the sentence that crime carries; she also could be punished for the shooting that her partner commits on his way out the door. Assuming that criminals know something about the scope of the law, the potential for unanticipated risks will make joining a conspiracy less attractive. It will also make it harder for criminal groups to agree about how much to compensate their members for the legal risk they're taking. Pinkerton forces conspirators to monitor each other, which in turn begets suspicion and thus even more monitoring. Like the rantings of a jealous spouse who suspects his partner of disloyalty, monitoring may itself contribute to a cycle of distrust, eliminating many of the advantages of collaboration in the first place.

Withdrawal. To leave a conspiracy, as federal law puts it, a defendant must show "that he has taken affirmative steps . . . to disavow or to defeat the objectives of the conspiracy; and ... that he made a reasonable effort to communicate those acts to his co-conspirators or that he disclosed the scheme to law enforcement."

The last part of the law is particularly valuable for law enforcement because it lowers the sentences of those who talk to police and prosecutors. The doctrine nicely tracks the trend toward sentencing based on the amount of information a criminal had: The conspirator is liable not because of what he did, but because of what he knew and didn't reveal. In encouraging conspirators to tell their co-conspirators about the steps they've taken to withdraw, the doctrine can help destabilize the whole group. In the experiment that showed people giving outlandish answers about the length of a line, blind conformity was reduced by 75 percent when even one group member disagreed with the majority's view. One dissenter can encourage others to speak up. And since game theorists have shown that defection from groups is more common when members believe their joint activities are ending, the withdrawal of one member can prompt defection by others.

TRADITIONAL CONSPIRACY LAW has adapted to some of the norms of group behavior, but it hasn't done so perfectly. It's possible to sketch out shifts in policy that could make conspiracies even more difficult to assemble and keep together. But they're not the reforms that scholars and judges usually call for or that the Model Penal Code and the federal sentencing commission adopted.

Instead, the commission set penalties for conspiracy that don't align well with the functions of conspiracy law. The federal sentencing guidelines calibrate punishment by looking at the underlying crime committed, reversing the long tradition of giving members of a criminal group an extra penalty for conspiracy. A separate guideline reduces the punishments for minor participants. The guidelines further require sentencing on the basis of "relevant conduct" and explicitly make that conduct narrower than Pinkerton by confining it to criminal activity that a particular defendant agreed to jointly undertake.

Taken together, these changes reject the special danger posed by groups. There is thus a strong case for restoring the traditional features of the law. Prosecutors are under no obligation to bring all of the available charges in a given case, but having the option of threatening to bring them makes it easier for them to extract information. Without a strong separate offense of conspiracy, lawmakers will face pressure to impose high mandatory-minimum-sentence penalties for minor crimes to further information extraction, with grave consequences to those who commit crimes alone.

A second reform would reward conspirators for giving exculpatory information. The current sentencing scheme only rewards defendant-witnesses who direct blame at someone else, but the same logic that undergirds this system applies when witnesses have information suggesting that a suspect or convict did not commit a crime. In a system that trumpets the principle that it's "better to let 10 guilty people go free than to convict one innocent," it's jarring to find no benefit for information that helps show that someone has been wrongly accused or convicted.

The possible drawback here is that the lure of a sentencing break would cause conspirators to hang on to the sought-after information until after they've been arrested. The solution is to reward them more for talking to police and prosecutors earlier. The longer a suspect sits on information, the less good it should do him. To open up lines of communication before conspirators are staring at a prosecutor across a table, police should offer rewards for early and anonymous disclosures, as state "Crime Stoppers" programs do.

The government also needs to do more to broadcast the extra costs that the law imposes on the conspirators and the benefits it offers to those who break ranks. Through advertising, media briefings, and the like, the government can get the message out that many conspirators are taking on big legal risks, and that those who give information are being well rewarded. If conspirators knew that the government has persistently made use of information provided by co-conspirators, they'd be less likely to believe that their own group's bonds will last. Since one of the attractions of conspiracies is the distinct social identity they offer, the government should do whatever it can to dispel that appeal. Teachers, community leaders, and well-known athletes could all play a role here by attacking the social causes of group crime—and by offering examples of alternate, positive identities.

IN ORDER FOR CONSPIRACY LAW TO WORK in the ways that it's designed to, prosecutors have to know what they're doing, and they have to be trustworthy. To flip a conspirator, prosecutors have to suss out what he knows or should know given his role in the group. They have to be adept at assessing which groups cause real harm and which ones sit around talking. And they need to develop relationships of trust with criminals to create rival affections. Rote offerings of lower sentences won't yield the same payoff—in either cooperation rates or crime reduction—that developing a rapport with informants will. When prosecutors handle their sources well, they can bring a criminal back into mainstream society as well as boost their conviction rates.

This kind of dexterity can't be legislated or imposed. Instead, it comes from extensive training and day-to-day attention from the leaders in a D.A.'s or U.S. attorney's office. Review boards that examine how cooperating witnesses are treated may help, as may standing teams in prosecutors' offices that review prospective cooperation agreements. And when prosecutors' offices make new hires, they can probe a candidate's interest not only in winning the case in front of her but in reducing crime over the longterm. Ultimately, however, prosecutors have to train and watch each other to make conspiracy law work well and to guard against abuses.

It's still possible that conspiracy charges, like many other aspects of criminal law, can be used by powerful prosecutors to harm small fish unfairly. But that's a larger, systemic problem that we should deal with by paying enough for public defenders, giving defense attorneys broad latitude to cross-examine cooperating witnesses and iron-clad access to inculpatory and exculpatory evidence, and making sure that juries get cautionary instructions to guard against lying by cooperating witnesses. If it turns out that prosecutors can't be trusted with the discretion that conspiracy doctrine gives them, then the dangers posed by unscrupulous prosecutors are even higher than we think.

At the same time, the virtues of the conspiracy doctrine go only so far. The permissive rules make sense in the context of a system with strong constitutional protections for defendants, including the right to counsel, trial by jury, indictment by a grand jury, cross-examination of witnesses, and pretrial access to the prosecution's evidence.

In the wake of September 11, however, the federal government apparently wants to use conspiracy law to detain terrorism suspects indefinitely. Some of these suspects may even be tried for conspiracy in front of military tribunals that offer few of the protections federal and state courts do. The wide latitude that conspiracy doctrine gives prosecutors only works when defense lawyers have the power to probe the government's claims. If conspiracy law is transplanted to a military setting that lacks these procedural rules, America's commitment to justice, as well as truth, will be tainted.

8.1.6 18 U.S. Code § 1512 - Tampering with a witness, victim, or an informant 8.1.6 18 U.S. Code § 1512 - Tampering with a witness, victim, or an informant

18 U.S.C. § 1512(c). Whoever corruptly—

   (1) alters, destroys, mutilates, or conceals a record, document, or other object, or attempts to do so, with the intent to impair the object’s integrity or availability for use in an official proceeding; or

   (2) otherwise obstructs, influences, or impedes any official proceeding, or attempts to do so,

shall be fined under this title or imprisoned not more than 20 years, or both.

8.2 Classes #25: Attempt 8.2 Classes #25: Attempt

8.2.1 Introductory Hypo 8.2.1 Introductory Hypo

Hypo: Professor decides he wants to kill student.  Professor’s plan is to bring a gun to class and to shoot student.

Version 1: Professor forgets to bring gun to class. Student goes on her way unharmed.

Version 2: Professor brings the gun to class, aims the gun at student, and pulls the trigger.  But professor forgot to put bullets in the gun. Student is unharmed.

Version 3: Professor brings the gun to class, aims the gun at student, pulls the trigger, and shoots student. Student dies.

Has Professor made a culpable choice?  Is he dangerous?  Should he be punished?  Why or why not for each scenario?

To begin understanding the ways the criminal law has tried to answer these questions, review MPC § 5.01 and NYPL §§ 110.00-110.10.

8.2.2 People v. Gentry 8.2.2 People v. Gentry

As you read Gentry consider the following questions:

1. What crime was Gentry charged with? What are the facts? What is the source of the evidence at trial? Is Ruby Hill’s testimony believable?

2. If Ruby Hill had died, what crime would Gentry have been charged with? What are the possible theories about his mental state (Intent to kill? Intent to inflict great bodily harm? Depraved indifference? Recklessness? Negligence?) Under the definition of murder under Illinois law given by the trial court, which of those theories could have led to a murder conviction?

3. How did the trial court instruct the jury on the mens rea for attempted murder? What was wrong about that charge?

4. What is the mens rea for attempt generally? Under the NYPL? Under the MPC?

5. Consider the following cases we have already read and imagine that the defendant engaged in the same act, but harm did not occur. What attempt crime, if any, would the defendant be guilty of?

  • Forrest (first-degree murder): What if Forrest’s father had survived?
  • Heidgen(depraved murder): What if everyone in the limo had survived?
  • Williams (negligent homicide): What if the baby had survived?
  • Girouard (heat of passion manslaughter): What if Joyce had survived?
  • Drug dealing: The mens rea for most drug crimes is knowledge. What if the D is interrupted just before he is about to receive the drugs from the drug dealer?
  • Fuller (felony murder): What if the victim/driver had survived?
  • Garnett (statutory rape): What if Garnett was interrupted just before he was about to have sex with Erica?

THE PEOPLE OF THE STATE OF ILLINOIS, Plaintiff-Appellee, v. STANLEY GENTRY, Defendant-Appellant.

First District (4th Division)

No. 84—2718

Opinion filed June 18, 1987.

Steven Clark, of State Appellate Defender’s Office, and Sachnoff, Weaver & Rubenstein, Ltd., both of Chicago (Charles J. Ryan, Jr., and Jeffrey E. Stone, of counsel), for appellant.

*900Richard M. Daley, State’s Attorney, of Chicago (Joan S. Cherry, Kenneth T. MeCurry, and John Hoevel, Assistant State’s Attorneys, of counsel), for the People.

JUSTICE LINN

delivered the opinion of the court:

Following a jury trial, defendant, Stanley Gentry, was convicted of attempted murder (El. Rev. Stat. 1983, ch. 38, pars. 8 — 4(a), 9 — 1(a)) and aggravated battery (El. Rev. Stat. 1983, ch. 38, par. 12 — 4). At the sentencing hearing, the trial court merged the aggravated battery conviction with the attempted murder conviction and on the charge of attempted murder sentenced Gentry to the Illinois Department of Corrections for a term of 45 years’ imprisonment.

On appeal, Gentry asserts that his conviction should be reversed because: (1) the trial court’s instruction regarding the intent necessáry for attempted murder was prejudicially erroneous; (2) the State’s use of certain hearsay statements denied Gentry a fair trial; and (3) the prosecutor committed reversible error by making several improper and prejudicial remarks during closing argument.

Background

The record indicates that on December 13, 1983, Gentry and Ruby Hill, Gentry’s girlfriend, were in the apartment they shared at 1756 North Taiman in Chicago, Illinois. At approximately 9 p.m. the couple began to argue. During the argument, Gentry spilled gasoline on Hill, and the gasoline on Hill’s body ignited. Gentry was able to smother the flames with a coat, but only after Hill had been severely burned. Gentry and Hill were the only eyewitnesses to the incident.

Police and paramedics were called to the scene. James Fahey was the first Chicago police officer to arrive. Fahey testified that when he entered Gentry and Hill’s apartment, he found Hill’s upper body (including her head, face, and arms) to be badly burned. He further testified that Gentry was the only person in the apartment other than Hill. Fahey also stated that he found no matches on the floor of the apartment.

The paramedics who arrived at the scene testified that Hill had suffered third degree bums over 70% of her body. They further testified that after some initial treatment, Hill was transported by ambulance to Cook County Hospital and that Gentry accompanied Hill in the ambulance.

. Wayne Milla, a detective for the Chicago police department, also testified. Milla stated that he arrived on the scene shortly after Fa-hey. Milla also stated that a gas stove was the only possible source of *901ignition in the apartment’s kitchen. Milla averred that he originally classified the fire as “accidental” but later changed his mind when he discovered that Hill’s clothing had been doused with gasoline.

The victim, Ruby Hill, also testified at trial. Hill stated that she and Gentry had been drinking all afternoon and that both of them were “pretty high.” She further testified that Gentry had poured gasoline on her and that the gasoline ignited only after she had gone near the stove in the kitchen. Hill also related how Gentry tried to snuff the fire out by placing a coat over the flames.

Hill also testified as to her relationship with Gentry. She stated that she had lived with Gentry for three years prior to the accident, that she wanted to marry Gentry, and that she still loved Gentry notwithstanding the fire incident. Hill claimed that the entire episode was an accident and that she intended to again live with Gentry after the case was over.

In addition, over the objection of Gentry’s counsel, the prosecution proffered certain impeachment evidence. The claimed purpose of this evidence was to impeach Hill as to her assertion that the fire incident was an accident. The prosecution first established the foundation for the impeachment by asking Hill if she had previously claimed that Gentry had threatened her with matches after he had poured gasoline on her. Hill denied it. The prosecution also asked her if she had previously claimed that she was terrified of Gentry. Hill again denied making such a statement. Hill also denied ever stating that she was afraid of Gentry and denied that Gentry had ever tried to choke her while she was taking a bath in the apartment’s bathtub.

After Hill denied making positive answers to the aforementioned questions posed by the prosecution, the prosecution set out to “prove-up” the impeachment. First, the prosecution called Jeffrey Zitzka, a Chicago police officer who interviewed Hill while she was in the hospital after the incident. Zitzka testified that Hill had nodded “no” when asked if the incident was an accident and had nodded “yes” as to whether she wanted to press charges.

Diane Meyer, a law clerk for the State’s Attorney’s office, then testified. Meyer stated that she had heard Hill tell prosecutors that Gentry had lit matches after pouring gasoline on her, that Hill had claimed that' the incident was not an accident, and that Hill had also said that she was afraid of Gentry.

Hill’s brother, Bill Starnes, testified that Hill had previously told him that Gentry had once tried to choke Hill while she was in the bathtub. Hill’s mother also testified. She stated that some time before the incident, Hill had written a letter to her in which Hill *902claimed to be “scared to death” of Gentry and that Gentry had once attempted to choke her while she was in the apartment’s bathtub.

During the prosecution’s closing argument, the record reveals that the prosecutors relied heavily on the impeachment testimony and invited the jury to consider the evidence for its substantive value as well as for what it revealed about Hill’s credibility

At the close of the case, the jury found Gentry guilty of attempted murder and aggravated battery. The lesser aggravated battery conviction was merged into the greater attempted murder conviction at sentencing, where Gentry was sentenced to the Illinois Department of Corrections for a term of 45 years. From his conviction for attempted murder and his sentence, Gentry now appeals.

Gentry contends that the jury was improperly instructed on the required mental state for attempted murder where the instructions given would permit a conviction without a finding that Gentry possessed the specific intent to kill. The State, on the other hand, contends that the instructions as given show Gentry’s assertion to be illogical. Alternatively, the State maintains that any error in instructing the jury was harmless and that defendant has waived review of this issue by failing to object at trial.

The record evinces the fact that Gentry did indeed fail to object at trial to the instructions in question. However, the specific intent to kill is an essential element of the crime of attempted murder. (People v. Bryant (1984), 123 Ill. App. 3d 266, 462 N.E.2d 780.) Accordingly, the alleged error affects Gentry’s substantial rights, and we will review this issue under the plain error doctrine. 87 Ill. 2d R 615(a); of. People v. Sanders (1984), 129 Ill. App. 3d 552, 472 N.E.2d 1156 (error in attempted murder instruction held to be plain error; attempted murder conviction reversed on appeal).

At the . close of the presentation of evidence in this case, the following instructions were given. First, the trial court defined “attempt” as it relates to the underlying felony of murder:

“A person commits the offense of murder when he, with intent to commit the offense of murder does any act which constitutes a substantial step toward the commission of the offense of murder. The offense attempted need not have been completed.” (Emphasis added.)

Second, after giving this definition, the trial court set forth the necessary elements of attempted murder, to wit, an act and intent:

“To sustain the charge of attempt, the State must prove the following propositions:
First: That the defendant performed an act which consti*903tuted a substantial step towards the commission of the offense of murder; and
Second: That the defendant did so with intent to commit the crime of murder.” (Emphasis added.)

Finally, the trial court defined the crime of murder, including all four culpable mental states:

“A person commits the crime of murder where he kills an individual if, in performing the acts which cause the death, he intends to kill or do great bodily harm to that individual; or he knows that such acts will cause death to that individual; or he knows that such acts create a strong probability of death or great bodily harm to that individual.” (Emphasis added.)

Gentry contends that the inclusion of all the alternative states of mind in the definitional murder instruction was erroneous because the crime of attempted murder requires a showing of specific intent to kill. Gentry, posits that inclusion of all four alternative states of mind permitted the jury to convict him of attempted murder upon a finding that he intended to harm Hill, or acted with the knowledge that his conduct created a strong probability of death or great bodily harm to Hill, even if the jury believed that Gentry did not act with specific intent to kill. We agree with Gentry’s position that the jury was misinstructed in this case.

Our supreme court has repeatedly held that a finding of specific intent to kill is a necessary element of the crime of attempted murder. (People v. Jones (1979), 81 Ill. 2d 1, 405 N.E.2d 343; People v. Harris (1978), 72 Ill. 2d 16, 377 N.E.2d 28; People v. Trinkle (1977), 68 Ill. 2d 198, 369 N.E.2d 888.) Indeed, a trial court instructing a jury on the crime of attempted murder must make it clear that specific intent to kill is the pivotal element of that offense, and that intent to do bodily harm, or knowledge that the consequences of defendant’s act may result in death or great bodily harm, is not enough. (People v. Jones (1979), 81 Ill. 2d 1, 8-9, 405 N.E.2d 343, 346. Accord, People v. Mitchell (1984), 105 Ill. 2d 1, 473 N.E.2d 1270; People v. Barker (1980), 83 Ill. 2d 319, 415 N.E.2d 404; People v. Coleman (1985), 131 Ill. App. 3d 76, 475 N.E.2d 565.) Recently, in People v. Kraft (1985), 133 Ill. App. 3d 294, 478 N.E.2d 1154, this court found an identical instruction to be erroneous based on the legal principle cited above. Accordingly, the instructions given in this case were erroneous, since it is clear that the jury was permitted to convict Gentry without specifically finding that Gentry intended to kill Hill. New errors are more highly prejudicial than the trial court’s failure to give the proper instruction on the intent element of a *904crime. People v. Ogunsola (1981), 87 Ill. 2d 216, 429 N.E.2d 861.

The State attempts to minimize the significance of this error by arguing that the instructions as given actually did require the jury to find specific intent to kill. The State labels as illogical those cases which distinguish between the specific intent to kill and the three other alternative states of mind also found in the definitional murder instruction.

The State would read the attempted murder instruction as requiring a showing of any of the alternative mental states sufficient for a conviction of murder. In other words, the State makes no distinction between the mental state required to prove murder and the mental state required to prove attempted murder. We find the State’s analysis and conclusion to be erroneous and lacking in legal substance since it fails to contain the judicial reasoning which recognizes the distinction between the intent elements of murder and attempted murder.

Specifically, we cite the Kraft case, where defendant’s attempted murder conviction was reversed where the jury instructions would have permitted a conviction without a finding of specific intent to kill. (People v. Kraft (1985), 133 Ill. App. 3d 294, 478 N.E.2d 1154.) In reversing the defendant’s attempted murder conviction in that case, the Kraft court analyzed the distinction between the culpable mental states required for murder and attempted murder, noting as follows:

“Our criminal code contains separate statutory definitions for the four culpable mental states of intent, knowledge, recklessness, and negligence, with knowledge encompassing a distinct and less purposeful state of mind than intent. *** [0]ur State legislature manifested a desire to treat intent and knowledge as distinct mental states when imposing criminal liability for conduct. *** Knowledge is not intent as defined by our statutes, and the jury instructions should reflect this distinction. Accordingly, we hold that in a prosecution for attempted murder, where alternative culpable mental states will satisfy the target crime of murder, but only one is compatible with the mental state imposed by our attempt statute, the incompatible elements must be omitted from the jury instructions.” 133 Ill. App. 3d 294, 302, 478 N.E.2d 1154, 1160.

Consequently, it is sufficient only for us to say that we recognize the distinction between the alternative states of mind delineated in the definitional murder instruction, as well as the fact that only the specific intent to kill satisfies the intent element of the crime of at*905tempted murder. Accordingly, the State’s assertion that the instructions as given actually required the jury to find that Gentry had a specific intent to kill Hill is doomed.

Alternatively, the State argues that this error is harmless. We note that there are apparently two lines of cases on this point. In the first, our supreme court has reversed convictions for attempted murder without evaluating the evidence to determine if the error is harmless where the jury has not been correctly instructed on the issue of intent. (See People v. Trinkle (1977), 68 Ill. 2d 198, 203-04, 369 N.E.2d 888, 891; accord, People v. Viser (1975), 62 Ill. 2d 568, 581-83, 343 N.E.2d 903, 909-11.) These cases take the position that when a jury is misinstructed on a fundamental issue (like defendant’s intent in this case) the jury lacks a tool necessary for the performance of its function as trier of fact. Cf. People v. Stromblad (1978), 74 Ill. 2d 35, 41, 383 N.E.2d 969, 972.

In the second line of cases regarding misinstruction of the jury, our supreme court recognized that errors in giving or refusing to give instructions will not always justify reversal when evidence of defendant’s guilt is so clear and convincing that the jury could not reasonably find defendant not guilty. (See People v. Truelock (1966), 35 Ill. 2d 189, 192, 220 N.E.2d 187, 190 (evidence of defendant’s knowledge of the presence of narcotics was clear and convincing); People v. Ward (1965), 32 Ill. 2d 253, 256, 204 N.E.2d 741, 743.) The factual distinction between these two rules, however, is based on the issue of defendant’s intent to kill. In the first line of cases, the question of defendant’s intent is in issue, which has been held to be sufficient to require reversal without further consideration of the evidence. (See, e.g., People v. Trinkle (1977), 68 Ill. 2d 198, 369 N.E.2d 888; People v. Viser (1975), 62 Ill. 2d 568, 343 N.E.2d 903.) In the second line of cases, on the other hand, the fact that defendant formed the requisite intent to kill is blatantly evident from the facts, such that the intent element is not at issue. People v. Jones (1979), 81 Ill. 2d 1, 9-10, 405 N.E.2d 343, 346-47 (where the only question was whether the defendant was the perpetrator or one of the perpetrators of the crime, and where the trial court gave an accurate directive attempted murder instruction, followed by an inappropriately complete definitional murder instruction).

In the instant case, it is clear that the essential task before the jury was the determination of whether Gentry sufficiently formed the specific intent to kill, in order to satisfy the elements of attempted murder. This is evidenced by the State’s efforts to prove that Gentry knew that splashing gasoline on Hill would kill her, as *906well as by the State’s attempts to impeach Hill’s testimony that the incident was accidental. As such, we are faced with a situation where proving that Gentry formed the intent to kill was a necessary predicate to a finding of his guilt.

Given the circumstances delineated above, and given the misinstruction on the crime of attempted murder, we must necessarily conclude that Gentry was prejudiced by the inclusion of the alternative states of mind in the definitional murder instruction. We find this to be a fundamental error and not merely a technical defect cured by the evidence in this case. Indeed, the error which occurred here was in a definition essential for the jury to make a legally permissible judgment as to Gentry’s guilt or innocence as to the crime of attempted murder. (Cf. People v. Stromblad (1978), 74 Ill. 2d 35, 41, 383 N.E.2d 969, 972.) Justice would best be served by our application of the line of cases which would entitle Gentry to a new trial before a properly instructed jury, precluding our further consideration of the evidence in this case. We note that even if we were to apply the standard used in cases like Ward and its progeny (clear and convincing proof of guilt), we would not find the error harmless, as other evidentiary problems surrounding the impeachment of Hill foreclose a clear and convincing showing of Gentry’s guilt. This is because proof of Gentry’s guilt is inextricably tied to proving the requisite mental state for the crime of attempted murder, which was clearly misstated by the trial court when it gave an erroneous definitional murder instruction. Thus, because we find this to be a fundamental error, it is not necessary for us to continue any further.

In conclusion, based upon the discussion of law and fact stated above, we reverse defendant’s conviction and sentence and remand this cause for a new trial in front of a properly instructed jury.

Reversed and remanded.

McMORROW, P.J., and JOHNSON, J., concur.

8.2.3 Commonwealth v. Peaslee 8.2.3 Commonwealth v. Peaslee

As you read Peaslee and the case following it (Rizzo), ask yourself:

1. How did the common law (and, by extension, how does New York today) define the actus reus for attempt?

2. By contrast, how does the Model Penal Code define the actus reus for attempt? 

 

Commonwealth vs. Lincoln B. Peaslee.

Essex.

November 7, 1900.

January 1, 1901.

Present: Holmes, C. J., Knowlton, Morton, Lathrop, Barker, Hammond, & Loring, JJ.

In a prosecution under Pub. Sts. c. 210, § 8, providing that whoever attempts to commit an offence prohibited by law, and in such an attempt does any act towards the commission of such offence,” shall be punished as therein provided, where the offence alleged is an attempt to set fire to property with the intention of injuring the insurers thereof, in violation of Pub. Sts. c. 208, § 7, and the ease is to be made out by showing a preparation in a certain room of inflammable materials and a solicitation of some one else to set the fire, an indictment drawn under St. 1899, c. 409, must allege such solicitation as one of the overt acts, and if not so alleged it cannot be relied upon as an overt act. ,

In a trial under Pub. Sts. c. 210, § 8, for an attempt to set fire to property witli the intention of injuring the insurers thereof, in violation of Pub. Sts. c. 203, §7, there was evidence tiiat the defendant, the owner of a building and its contents which were insured at a high valuation, constructed and arranged combustibles in the building in such a way that they were ready to be lighted, and if lighted would have set fire to the building and its contents; that the plan required a candle which was standing on a shelf six feet away to be placed on a piece of wood in a pan of turpentine and lighted; that the defendant offered to pay a man in his employ to go to the building and carry out the plan; that the offer *268was refused; and that later the defendant and his employee drove from a distance of some miles towards the building, and when within a quarter of a mile of it the defendant said that he had changed his mind and drove away. Semble, that under an indictment properly drawn, the defendant upon this evidence might have been convicted of an indictable offence, — whether to be laid as an attempt or as a solicitation, quaere.

Indictment, under Pub. Sts. c. 210, § 8, for an attempt to set fire to property with the intention of injuring the insurers thereof, in violation of Pub. Sts. c. 203, § 7. Trial in the Superior Court, before Pierce, J.

The judge overruled a motion to quash the indictment; and the defendant excepted.

At the conclusion of the testimony the defendant requested the judge to instruct the jury that the whole evidence was not sufficient to support the indictment, and that the jury would not be warranted in convicting the defendant thereon. The judge declined to make these rulings; and the defendant excepted. The jury returned a verdict of guilty.

The material portion of the evidence was, in substance, as follows. The building in which the alleged attempt to set fire was committed was situated at Beverly Farms. It was of three stories of wood upon a brick basement. The defendant was engaged in the business of carriage painting and repairing, and in such business occupied the basement and the first floor, and kept the other two floors for his family dwelling-house. The land and building were valued at about $3,200, and were owned by the defendant, but were mortgaged for $3,000, and the insurance on the building was payable to the mortgagee.

At the time alleged there was insurance upon the personal property and household furniture in the building, in the companies named in the indictment, and the evidence tended to show that the actual value of the property on hand was much less than the insurance.

On Monday morning, July 3, 1899, the defendant took his wife and only child to Gardiner, Maine.

One Ferguson, city marshal of Beverly, testified that in consequence of information given to him during the afternoon of July 6, 1899, by one Clark, a young man iiu the employ of the defendant, he and other officers went to the above described premises at half past eleven o’clock that night. That there was *269at this time, in a corner of the varnish room, which was one of the rooms used by the defendant in carrying on his business, an ordinary stove, used for heating the room in cold weather. The fire pot contained paper and rubbish, which showed no indication of fire. On the floor, near the stove, was a dish pan containing turpentine; in the pan of turpentine was a block of wood, and upon the block were small pieces of iron which held the top of the block a little below the surface of the turpentine. Around and in close proximity to the pan was a quantity of excelsior and wooden boxes, and several unstopped tin cans, each containing four or five gallons of turpentine. The excelsior on the floor, under and around the pan and for some distance out from the stove, was more or less saturated with turpentine. Upon a shelf, five or six feet away from the pan, on the opposite side of a door, but in the same room, was a candle of the thick, slow burning kind, ordinarily known and used as a coach candle. This candle was fresh and showed no sign of use or of ignition.

Clark testified that he had worked for the defendant for several years; that he was paid $10 on Saturday, July 1,1899, by the defendant, for his week’s work; that the defendant told him that he need not come to work again until Wednesday morning, July 5,1899; that at about half past six in the morning of Wednesday, July 5, 1899, he was sent for to come from his lodging in Beverly to a hotel in Beverly; that he went to the hotel; that he was shown to a room, where ,he found the defendant; that the defendant then told him, in substance, that his business was in a bad way; that he was in debt, and that he had either got to stop or that the place had got to go up; that he told him of the arrangement of the pan of turpentine, excelsior, boxes, and candle as found by the city marshal; that the defendant told him that the plan was to take the candle from the shelf, put it upon the block of wood in the pan of turpentine, ignite it, and leave it to burn down into the turpentine; that the candle would burn three or four hours before igniting the turpentine; that the defendant said the turpentine would eat the candle ; that the defendant offered him, first, $25, then $50, to go to the building to do this, and that he refused to do so; that at the defendant’s request he did go to Beverly Farms on the morning train *270of the same day, took the keys which the defendant gave him, entered the building, looked into the varnish room and saw the arrangement; that he did not notice the -candle, but did not pay particular attention; that he and the defendant went to Salem in the evening; that in the railway station in Salem the defendant asked him to get a team, meet the defendant and drive him to Beverly Farms; that they drove to a certain drinking-fountain, beyond which was the defendant’s shop, about a quarter of a mile; that neither got out; that the defendant there said that he had changed his mind and turned the horse round and drove immediately back to the station, where the defendant took a late train for Boston.

Clark further testified that on Thursday, July 6, he went to the city marshal and reported what had been done and said by him and by the defendant during the previous day and evening ; that he accompanied the marshal on the Thursday night visit of the latter to the defendant’s premises; that he then entered the varnish room, and that the condition of tilings in the varnish room remained unchanged from the condition which he saw on Wednesday morning.

The indictment contained three counts in which the material allegations were the same, alleging an attempt wilfully to burn certain property with the intent thereby to injure the insurer, and each concluding as follows: “ And in such attempt did collect, place, and put a certain quantity of spirits of turpentine, a certain quantity of excelsior, and a certain wax or tallow candle in said building, but did fail in the perpetration of said attempted offence, against the peace of the Commonwealth aforesaid, and contrary to the form of the statute in such case made and provided.” There was no allegation of solicitation of another to light the collected materials or otherwise to take part in the acts alleged.

The case was argued at the bar in November, 1900, and after-wards was submitted on briefs to all the justices.

A. P. White, for the defendant.

W. S. Peters, District Attorney, for the Commonwealth.

Holmes, C. J.

This is an indictment for an attempt to burn a building and certain goods therein, with intent to injure the insurers of the same. Pub. Sts. c. 210, § 8. The substantive *271offence alleged to have been attempted is punished by Pub. Sts. c. 203, § 7. The defence is that the overt acts alleged and proved do not amount to an offence. It was raised by a motion to quash and also by a request to the judge to direct a verdict for the defendant. We will consider the case in the first place upon the evidence, apart from any question of pleading, and afterwards will take it up in connection with the indictment as actually drawn.

The evidence was that the defendant had constructed and arranged combustibles in the building in such a way that they were ready to be lighted, and if lighted would have set fire to the building and its contents. To be exact, the plan would have required a candle which was standing on a shelf six feet away to be placed on a piece of wood in a pan of turpentine and lighted. The defendant offered to pay a young man in his employment if he would go to the building, seemingly some miles from the place of the dialogue, and carry out the plan. This was refused. Later the defendant and the young man drove toward the building, but when within a quarter of a mile the defendant said that he had changed his mind and drove away. This is as near as he ever came to accomplishing what he had in contemplation.

The question on the evidence, more precisely stated, is whether the defendant’s acts come near enough to the accomplishment of the substantive offence to be punishable. The statute does not punish every act done toward the commission of a crime, but only such acts done in an attempt to commit it. The most common types of an attempt are either an act which is intended to bring about the substantive crime and which sets in motion natural forces that would bring it about in the expected course of events but for an unforeseen interruption, as in this case if the candle had been set in its place and lighted but had been put out by the police, or ah act which is intended to bring about the substantive crime and would bring it about but.for a mistake of judgment in a matter of nice estimate or experiment, as when a pistol is fired at a man but misses him, or when one tries to pick a pocket which turns out to be empty. In either case the would-be criminal has done his last act.

Obviously new considerations come in when further acts on *272the part of the person who has taken the first steps are necessary before the substantive crime can come to pass. In this class of cases there is still a chance that the would-be criminal may change his mind. In strictness, such first steps cannot be described as an attempt, because that word suggests an act seemingly sufficient to accomplish the end, and has been supposed to have no other meaning. People v. Murray, 14 Cal. 159, 160. That an overt act although coupled with an intent to commit the crime commonly is not punishable if further acts are contemplated as needful, is .expressed in the familiar rule that preparation is not an attempt. But some preparations may amount to an attempt. It is a question of degree. If the preparation comes very near to the accomplish men t of the act, the intent to complete it renders the crime so probable that the act will be a misdemeanor although there is still a locus penitentice in the need of a further exertion of the will to complete the crime. As was observed in a recent case, the degree of proximity held sufficient may vary with circumstances, including among other things the apprehension which the particular crime is calculated to excite. Commonwealth v. Kennedy, 170 Mass. 18, 22. (See also Commonwealth v. Willard, 22 Pick. 476.) A few instances of liability of this sort are mentioned on the page cited.

As a further illustration, when the servant of a contractor had delivered short rations of meat by the help of a false weight which he had substituted for the true one, intending to steal the meat left over, it was held by four judges, two of whom were Chief Justice Erie and Mr. Justice Blackburn, that he could be convicted of an attempt to steal. Regina v. Cheeseman, L. & C. 140; S. C. 10 W. R. 255. So lighting a match with intent to set fire to a haystack, although the pi-isoner desisted on discovering that he was watched. Regina v. Taylor, 1 F. & F. 511. So getting into a stall with a poisoned potato, intending to give it to a horse there, which the prisoner was prevented from doing by his arrest. Commonwealth v. McLaughlin, 105 Mass. 460. See Clark v. State, 86 Tenn. 511. So in this Commonwealth it was held criminal to let a house to a woman of ill fame with intent that it should be used for purposes of prostitution, although it would seem that the finding of intent meant only knowledge of the intent of the lessee. Commonwealth v. Harring*273ton, 3 Pick. 26. See Commonwealth v. Willard, 22 Pick. 476, 478. Compare Brockway v. People, 2 Hill, 558, 562. The same has been held as to paying a man to burn a barn, whether well laid as an attempt or more properly as soliciting to commit a felony. Commonwealth v. Flagg, 135 Mass. 545, 549. State v. Bowers, 35 So. Car. 262. Compare Regina v. Williams, 1 C. & K. 589; S. C. 1 Denison, 39. McDade v. People, 29 Mich. 50, 56. Stabler v. Commonwealth, 95 Penn. St. 318. Hicks v. Commonwealth, 86 Va. 223.

On the other hand, making up a false invoice at the place of exportation with intent to defraud the revenue is not an offence if not followed up by using it or attempting to use it. United States v. Twenty-eight Packages, Gilpin, 306, 324. United States v. Riddle, 5 Cranch, 311. So in People v. Murray, 14 Cal. 159, the defendant’s elopement with his niece and his requesting a third person to bring a magistrate to perform the marriage ceremony, was held not to amount to an attempt to contract the marriage. But the ground on which this last decision was put clearly was too broad. And however it may be at common law, under a statute like ours punishing one who attempts to commit a crime “and in such attempt does any act towards the commission of such offence ” (Pub. Sts. c. 210, § 8,) it seems to be settled elsewhere that the defendant could be convicted on evidence like the present. People v. Bush, 4 Hill, 133, 134. McDermott v. People, 5 Parker Cr. Rep. 102. Griffin v. State, 26 Ga. 493. State v. Hayes, 78 Mo. 307, 316. See Commonwealth v. Willard, 22 Pick. 476. People v. Bush is distinguished in Stabler v. Commonwealth as a decision upon the words quoted. 95 Penn. St. 322.

Under the cases last cited we assume that there was evidence of a crime and perhaps of an attempt, — the latter question we do not decide. Nevertheless, on the pleadings a majority of the court is of opinion that the exceptions must be sustained. A mere collection and preparation of materials in a room for the purpose of setting fire to them, unaccompanied by any present intent to set the fire, would be too remote. If the accused intended to rely upon his own hands to the end, he must be shown to have had a present intent to accomplish the crime without much delay, and to have had this intent at a time and place *274where he was able to carry it out. We are not aware of any carefully considered case that has gone further than this. We assume without deciding that that is the meaning of the indictment, and it would have been proved if for instance the evidence had been that the defendant had been frightened by the police as he was about to light the candle. On the other hand, if the offence is to be made out by showing a preparation of the room and a solicitation of some one else to set the fire, which solicitation if successful would have been the defendant’s last act, the solicitation must be alleged as one of the overt acts. It was admissible in evidence on the pleadings as they stood to show the defendant’s intent, but it could not be relied on as an overt act unless set out. The necessity that the overt acts should be alleged has been taken for granted in our practice and decisions, (see e. g. Commonwealth v. Sherman, 105 Mass. 169; Commonwealth v. McLaughlin, 105 Mass. 460, 463; Commonwealth v. Shedd, 140 Mass. 451, 453,) and is expressed in the forms and directions for charging attempts appended to St. 1899, c. 409, § 28 and § 2. Commonwealth v. Clark, 6 Gratt. 675. State v. Colvin, 90 No. Car. 717. The solicitations were alleged in McDermott v. People. In New York it was not necessary to lay the overt acts relied upon. Mackesey v. People, 6 Parker Cr. Rep. 114, 117, and New York cases supra. See 3 Encyc. Pl. & Pr., “ Attempts,” 98. A valuable collection of authorities concerning the crime will be found under the same title in 3 Am. & Eng. Encyc. of Law (2d ed.). If the indictment had been properly drawn we have no question that the defendant might have been convicted.

Exceptions sustained.

8.2.4 People v. Rizzo 8.2.4 People v. Rizzo

246 N.Y. 334, 158 N.E. 888, 55 A.L.R. 711

THE PEOPLE OF THE STATE OF NEW YORK, Respondent,

v.

CHARLES Rlzzo, Appellant, Impleaded with Others.

Court of Appeals of New York.

Argued October 17, 1927.

Decided November 22, 1927.


Crimes -- attempt to commit robbery -- construction of section 2 of Penal Law defining attempt to commit crime defendants who planned intended robbery and started to look for victim but never reached him improperly convicted of attempt to commit robbery.

1. In construing section 2 of the Penal Law, providing that an act done with intent to commit a. crime, and tending but failing to effect its commission, is an attempt to commit that crime, the law has recognized that many acts in the way of preparation are too remote to constitute the crime of attempt. The line has been drawn between those acts which are remote and those which are proximate and near to the consummation. The law considers those acts only as tending to the commission of the crime which are so near to its accomplishment that in all reasonable probability the crime itself would have been committed but for timely interference.

2. Defendants, therefore, who had planned and started in an automobile to commit a robbery but were arrested before they had found or reached the presence of the person they intended to rob, were not guilty of the crime of attempt to commit robbery in the first degree, and their conviction for that crime was improper. It cannot be said that their acts came so near the commission of robbery that there was reasonable likelihood of its accomplishment but for the interference.

People v. Rizzo, 221 App. Div. 353, reversed.

(Argued October 17, 1927; decided November 22, 1927.)

APPEAL, by permission, from a, judgment of the Appellate Division of the Supreme Court in the first judicial department, entered June 24, 1927, which affirmed a judgment of the Bronx County Court entered upon a verdict convicting the defendant of the crime of attempted robbery in the first degree.

James F. Donnelly, Mark Eisner and Merwin Lewis for appellant. The evidence failed to establish the crime. John E. McGeehan, District Attorney (George B. De Luca, I. J. P. Adlerman and Herman J. Fleiderblum of counsel), for respondent. The evidence was sufficient to establish an attempted robbery. (People v. Gardner, 144 N. Y. 119; People v. Spolasco, 33 Misc. Rep.22; People v. Moran, 123 N. Y. 254; People v. Sullivan, 173 N. Y. 122; Commonwealth v. Peaslee, 177 Mass. 267; State v. Hurley, 64 Atl. Rep. 78; People v. Stiles, 75 Cal. 570; U. S. v. Stephens, 12 Fed. Rep. 52; People V. Bush, 4 Hill, 133; McDermott v. People, 5 Park. Cr. Rep. 102; People v. Lawton, 56 Barb. 126; People v. O’C0nnell, 60 Hun, 109.)

 

CRANE, J.

The police of the city of New York did excellent work in this case by preventing the commission of a serious crime. It is a great satisfaction to realize that we have such wide­-awake guardians of our peace. Whether or not the steps which the defendant had taken up to the time of his arrest amounted to the commission of at crime, as defined by our law, is, however, another matter. He has been convicted of an attempt to commit the crime of robbery in the first degree and sentenced to State’s prison. There is no. doubt that he had the intention to commit robbery if he got the chance. An examination, however, of the facts is necessary to determine whether his acts were in preparation to commit the crime if the opportunity offered, or constituted a crime in itself, known to our law as an attempt to commit robbery in the first degree. Charles Rizzo, the defendant, appellant, with three others, Anthony Dorio, Thomas Milo and John Thomasello, on January 14th planned to rob one Charles Rao of a, payroll valued at about $31,200 which he was to carry from the bank for the United Lathing Company. These defendants, two of whom had firearms, started out in an automobile, looking for Rao or the had the payroll on that day. Rizzo claimed to be able to identify the man and was to point him out to the others who were to do the actual holding up. . The four rode about in their car looking for Rao. They went to the bank from which he was supposed to get the money and to various buildings being constructed by the United Lathing Company. At last they came to One Hundred and Eightieth street and Morris Park avenue. By this time they were watched and followed by two police officers. As Rizzo jumped out of the car and ran into the building all- four were arrested. The defendant was taken out from the building in which he was hiding. Neither Rao nor a man named Previti, who was also supposed to carry a payroll, were at the place at the time of the arrest. The defendants had not found or seen the man they intended to rob; no person with a payroll was at any of the places where they had stopped no one had been pointed out or identified by Rizzo. The four `men intended to rob the payroll man, whoever he was; they were looking for him, but they had not seen or discovered him up to the time they were arrested.

Does this constitute the crime of an attempt to commit robbery in the first degree? The Penal Law, section 2, prescribes, An act, done with intent to commit a crime, and tending but failing to effect its commission, is "an attempt to commit that crime". The word tending is very indefinite. It is perfectly evident that there will arise differences of opinion as to whether an act in a, given case is one tending. to commit a crime. Tending means to exert activity in a particular direction. Any act in preparation to commit a crime may be said to have a tendency towards its accomplishment. The procuring of the automobile, searching the streets looking for the desired victim, were in reality acts tending toward the commission of the proposed crime. The law, however, has recognized that many acts in the way of preparation are too remote to constitute the crime of attempt. The line has been drawn between those acts which are remote and those which are proximate and near to the consummation. The law must be practical, and, therefore, considers those acts only as tending to the commission of the crime which are so near to its accomplishment that in all reasonable probability the crime itself would, have been committed but for timely interference." The cases which have been before the courts express this idea in different language, but the idea remains the same. The act or acts must come or advance very near to the accomplishment of the intended crime. In People Mills (178 N. Y. 274,284) it was said: “Felonious intent alone is not enough, but there must be an overt: act shown in order to establish even an attempt. An overt act is one done to carry out the intention, and it must be such as would naturally effect that result, unless prevented by some extraneous cause.” In Hyde V. U. S. (225 U. S. 347) it was stated that the act amounts to an attempt when it is so near to the result that the danger, of success is very great. There must be dangerous proximity to success.” Halsbury in his Laws of England” (Vol. IX, p. 259) says: “An act, in order to be a criminal attempt, must be immediately, and not remotely, connected with and directly tending to the commission of an offence.” Commonwealth V. Peaslee (177 Mass. 267) refers to the acts constituting an attempt as coming very near to the accomplishment of the crime.

The method of committing or attempting crime varies in each case so that the difficulty, if any, is not with this rule of law regarding an attempt, which is well understood, but with its application to the facts. As I have said before, minds differ over proximity and the nearness of the approach. (People V. Collins, 234 N. Y. 355; People V. Sobieskoda, 235 N. Y. 411; People V. Werblow, 241 N.Y. 55.)

How shall we apply this rule of immediate nearness to this case? The defendants were looking fort the payroll man to rob him of his money. This is the charge -in the indictment. Robbery is defined in section 2120 of the Penal Law as the unlawful taking of personal property, from the person or in the presence of another, against his will, by means of force, or violence, or fear of injury, immediate or future, to his person; and it is made robbery in the first degree by section 2124 when committed by a person aided by accomplices actually present. To constitute the crime of- robbery the money must have been taken from Rao by means of force or violence, or through fear. The crime of attempt to commit robbery was committed if these defendants did any act tending to the commission of this robbery. Did the acts above describe come dangerously near to the taking of Rao’s property? Did the acts come so near the commission of robbery that there was reasonable likelihood of its accomplishment but for the interference? Rao was not found the defendants were still looking for him; no attempt to rob him could be made, at least until he came in sight; he was not in the building at One Hundred and Eightieth street and Morris Park avenue. There was no man there with the payroll for the United Lathing Company whom these defendants could rob. Apparently no money had been drawn from the bank for the payroll by anybody at the time of the arrest. In a word, these defendants had planned to commit a crime and were looking around the city for an opportunity to commit it, but the opportunity fortunately never came. Men would not be guilty of an attempt at burglary if they had planned to break into a building and were arrested while they were hunting about the streets for the building not knowing where it was. Neither would a man be guilty of an attempt to commit murder if he armed himself and started out to find the person whom he had planned to kill but could not him. So here these defendants were not guilty of an attempt to commit robbery in the first degree when they had not found or reached the presence of the person they intended to rob. (People v. Sullivan, 173 N. Y. 122, 135.)

For these reasons, the judgment of conviction of this defendant, appellant, must be reversed and a new trial granted.
A very strange situation has arisen in this case.. I called attention to the four defendants who were convicted of this crime of an attempt to commit robbery in the first degree. They were all tried together upon the same, evidence, and jointly convicted, and all sentenced to State’s prison for varying terms. Rizzo was the only` one of the four to appeal to the Appellate Division and to this court. His conviction was affirmed by the Appellate Division by a divided court, two of the justices dissenting, and we have now he1d that he was not guilty of the crime charged. If he were not guilty, neither were the other three. As the others, however, did not appeal, there is no remedy for them through the court; their judgments stand, and they must serve their sentences. This of course is a situation which must in all fairness be met in some way. Two of these men were guilty of the crime of carrying weapons, pistols, contrary to law, for which they could be convicted. Two of them, John Thomasello and Thomas Milo, had also been previously convicted, which may have had something to do with their neglect to appeal. However, the law would fail in its function and its purpose if it permitted these three men whoever or whatever they are to serve a sentence for a crime which the courts subsequently found and declared had not been committed. We, therefore, suggest to the district attorney of Bronx county that he bring the cases of these three men to the attention of the Governor to be dealt with as to him seems proper in the light of this opinion.

The judgment of the Appellate Division and that of the County Court should be reversed and a new trial ordered.

KELLOGG and O’BR1EN, JJ., concur.

Judgment accordingly.

 

8.2.5 An Actus Reus Hypo 8.2.5 An Actus Reus Hypo

Consider the following hypothetical, in which Donna makes preparations for killing Vin, but ultimately does not kill him. At what point is Donna guilty of attempted murder under the MPC? Under the NYPL?

1. Donna decides to kill Vin, who lives 10 miles away
2. Donna loads her gun
3. Donna sets off for Vin's house with the gun
4. Donna arrives at Vin's house
5. Donna surveys the area
6. Donna returns to her car
7. Donna lies in wait with the gun
8. Vin does not arrive home at the expected time 
9. Donna leaves; Vin arrives home five minutes later

The next day, Donna returns and repeats steps 1-9:

10. Vin arrives home; Donna aims 
11.
Vin exits the car
12. Donna puts her finger on the trigger; Vin's daughter appears
13. Donna decides to wait until the next day
14. While driving home, Donna decides not to kill Vin

8.2.6 Commonwealth v. McCloskey 8.2.6 Commonwealth v. McCloskey

As you read McCloskey, consider these questions: 

1. In the actus reus hypo from Class #25, if Donna is guilty of attempted murder at some point, is she still guilty of attempted murder at stage 11? Does she have a defense?

2. Would Donna have a defense under the MPC? Under the NYPL? (Look at NYPL § 40.10).

Commonwealth v. McCloskey, Appellant.

*578Submitted March 17, 1975.

Before Watkins, P. J., Jacobs, Hoffman, Cercone, Price, Van der Voort, and Spaeth, JJ.

Francis P. Burns, Assistant Public Defender, for appellant.

No appearance entered nor brief submitted for Commonwealth, appellee.

June 24, 1975:

Opinion by

Hoffman, J.,

Appellant contends that the Commonwealth’s evidence at trial was insufficient to sustain his conviction for an attempted prison breach.1

*579At the time of the alleged offense, appellant was serving a one- to three-years sentence for larceny in the Luzerne County Prison. At about 12:15 a.m., on December 26, 1972, James Larson, a Guard Supervisor at the prison, heard an alarm go off that indicated that someone was attempting an escape in the recreation area of the prison. The alarm was designed so that it could be heard in the prison office, but not in the courtyard. Larson immediately contacted Guards Szmulo and Banik. Initially, the guards checked the prison population, but found no one missing. The three men then conducted a search of the area where the alarm had been “tripped”. Near the recreation yard between two wings of the prison, they found one piece of barbed wire that had been cut. In addition, Guard Szmulo found a laundry bag filled with civilian clothing. The bags are issued by the prison and are marked with a different number for each prisoner. A check revealed that the bag belonged to appellant.

At approximately 5:15 a.m., on December 26, the appellant voluntarily approached Larson. Appellant had spent that night on the nine p.m. to five a.m. shift at work in the boiler room, situated near the point where the alarm had been triggered. Appellant explained to Larson that “I was gonna make a break last night, but I changed my mind because I thought of my family, and I got scared of the consequences.” Appellant testified at trial that he had become depressed prior to his decision to escape because he had been denied a Christmas furlough on December 24, 1972. His testimony at trial was consistent with Larson’s version of the episode: “... in the yard, I realized that I had shamed my family enough, and I did not want to shame them any more .... So I went back to the boiler room and continued working.”

On April 18, 1973, the grand jury returned an indictment charging the appellant with prison breach. Appellant went to trial on May 25, 1973, before a judge sitting without a jury and was found guilty of attempted prison *580breach. Thereafter, appellant filed motions in arrest of judgment and for a new trial. Motions were heard in October, 1973, and denied on June 10, 1974, by the Luzerne County Court of Common Pleas en banc. This appeal followed.

A criminal attempt is defined as “an overt act done in pursuance of an intent to do a specific thing, tending to the end by falling short of complete accomplishment of it. In law, the definition must have this further qualification, that the overt act must be sufficiently proximate to the intended crime to form one of the natural series of acts which the intent requires for its full execution. So long as the acts are confined to preparation only, and can be abandoned before any transgression of the law or of others’ rights, they are within the sphere of intent and do not amount to attempts.” Commonwealth v. Eagan, 190 Pa. 10, 21-22 (1899) (Emphasis added). Thus, we must locate the line between an act which is mere preparation and one that is sufficiently proximate to be labelled an attempt.

A review of the cases on the law of attempt indicates that “[i]t is difficult to formulate any precise rule about how close the overt act must come to the accomplishment of the ultimate criminal result.” 21 Am. Jur. 2d Criminal Law §111. “At what point does a potential criminal pass beyond preparation and become guilty of an attempt? Among the various tests suggested or applied are: the last act doctrine, holding that the defendant will not be guilty of an attempt until he does the last act necessary to the commission of a crime; Justice Holmes’ dangerous-proximity test which focusses on both the dangerousness of the crime and the nearness to which the defendant has come to accomplishing it; and the movie camera test, which disregards the defendant’s declarations of intent and instead focusses on the extent to which his acts demonstrate a specific intent or commitment to the criminal purpose.” White, The Inchoate Crimes Provisions of *581the New Pennsylvania Penal Code, 35 Pitt. L. Rev. 235, 237-38 (1973). Professor White suggests that the law in Pennsylvania approximates the last act doctrine, Id.

Commonwealth v. Willard, 179 Pa. Superior Ct. 368, 116 A. 2d 751 (1955), represents the broadest statement of what constitutes mere preparation. In Willard, this Court reversed the appellant’s conviction for attempt to perform an abortion. The Commonwealth proved that the appellant accepted $160 from a police undercover agent, told her to undress and to lie on a bed equipped for the operation, left the room momentarily and returned with surgical instruments. At that point, the police agent and her “paramour”, stationed in the next room, arrested the appellant. These acts were held not “sufficiently close or proximate to the completed crime so that it could be said that they were done in pursuance of the intent to commit the crime as distinguished from mere preparation to commit the crime.” 179 Pa. Superior Ct. at 371, 116 A.2d at 752-753.2

In Commonwealth v. Eagan, supra, a seminal case on the law of attempts, the Court noted that “. . . the acts of the prisoner in going to [the victim’s] place and watching his house, and even of preparing the rope to tie him, while undoubtedly done in pursuance of the intent, did not go beyond mere preparation, and had the intent been abandoned at this point, an indictment for an attempt to commit robbery or burglary could not have been sustained. But the moment a blow was struck on [the victim] the first step of the actual crime had been taken, and *582the intent was merged in the attempt. Subsequent abandonment might prevent the completion of the crime, but could not save from the consequences of acts done in the attempt.” 190 Pa. at 22.

We recently dealt with an attempted prison breach in Commonwealth v. Skipper, 222 Pa. Superior Ct. 242, 294 A. 2d 780 (1972). In Skipper, appellant approached a fellow prisoner and asked him to procure hacksaw blades to be used in an escape attempt. The fellow prisoner, Commonwealth’s witness at trial, worked in a bakery in a day release program and was to hide the blades in loaves of bread bound for the prison kitchen. Prison officials intercepted a note that the Commonwealth’s witness attempted to pass to a third prisoner, one Schaef-fer, who was to pay him for smuggling the blades into the prison. Subsequently, prison officials caught Schaeffer attempting to go over the prison wall. They found one of the smuggled blades on Schaeffer. A “shake-down” of the prison uncovered two additional blades in appellant’s cell. We reversed appellant’s conviction, noting that “discovery of the hacksaw blades in appellant’s cell did no more than interrupt appellant’s alleged plan in a preparatory stage. If the hacksaw blades were in fact procured by the appellant for use in an intended prison breach, appellant would have had sufficient time to withdraw before the commission of the offense.” 222 Pa. Superior Ct. at 245, 294 A. 2d at 781.

In the instant case, the evidence on the record indicates that appellant scaled a fence within the prison walls that led to the recreation yard and then to the prison wall. Appellant testified that “I went over the fence. I was in the yard.

“Q. Well, when you say you went over the fence, this is still in the prison?
“A. This is still in the prison, yes, sir. . .”

The Commonwealth’s evidence supports the appellant’s claim that he went only as far as the yard before giving *583up his plan to escape. Guard Szmulo testified that “We checked the trip wire. We couldn’t find nothing broke. And then when I got to the gate that goes into the recreation yard between center and left wing, I found one barbed wire was cut.” Thus appellant was still within the prison, still only contemplating a prison breach, and not yet attempting the act. He was thus in a position to abandon the criminal offense of attempted prison breach voluntarily, thereby exonerating himself from criminal responsibility.

Judgment of sentence is vacated and appellant ordered discharged on the conviction of attempted prison breach.

Watkins, P. J., and Jacobs and Spaeth, JJ., join in this opinion.

Van dee Voort, J., concurs in the result.

Concurring Opinion by

Cercone, J.:

I agree with the majority that appellant’s conviction for attempted prison breach should not be permitted to stand. However, I disagree with the basis for the majority’s conclusion, that the acts done by appellant prior to his decision to abandon his escape were insufficient to constitute an attempt. I would have found little difficulty, for instance, in affirming appellant’s conviction had he been apprehended by the guards immediately after he had snipped the barbed wire and crossed the inner fence. To hold otherwise is to require that prisoners must literally be plucked from the prison wall before their conduct may be characterized as attempted prison breach.

I respectfully suggest that the majority has fallen into a trap peculiarly common to the law of attempts. As Professor Perkins has stated in discussing when conduct ceases to be merely preparatory and becomes perpetration:

“The preparatory-perpetrating dichotomy is useful in discussing situations of a rather general nature, but the actual dividing line between the two is shadowy *584in the extreme. There is reason to believe that in close cases the decision is based wpon other considerations and that the label attached is that appropriate to the conclusion reached — after it is reached.” R. Perkins, Criminal Law 561 (2d ed. 1969). [Emphasis added.]

The “other consideration” which has influenced the majority herein is appellant’s voluntary abandonment of his escape plan. In my opinion, appellant’s abandonment of his plan is a sufficient defense to the crime of attempted prison breach and should be recognized as such.

As a practical matter, it has long been recognized that plans voluntarily abandoned are less likely to be found to be attempts than are plans carried to the same point, but interrupted by the apprehension of the perpetrators. Unfortunately, in jurisdictions where voluntary abandonment or renunciation of a criminal purpose has not been recognized as an affirmative defense, the courts have sought to give effect to the defendant’s abandonment, sub silentio, by characterizing his conduct as “preparatory.” See Model Penal Code §501, comment 19 at p. 70 (Tent. Draft No. 10, 1958). That is precisely the error which the majority has made in the instant case. The difficulty with this position is that, with regard to the preparation-perpetration dichotomy, it breeds results superficially inconsistent. If voluntary abandonment is to be given effect in attempt cases, it should not be done covertly.

For some time the trend in the law has been to recognize voluntary abandonment as an affirmative and complete defense to a charge of attempt, despite the exhortations to the contrary by some commentators.1 Id. And, in *585following this trend our legislature substantially adopted section 5.01 of the Model Penal Code in drafting the attempt provisions in our recently enacted Crimes Code.2 Our Code now recognizes that abandonment under circumstances indicating voluntariness, is a complete defense to a charge of attempt. Appellant, however, was charged under our old Penal Code which did not speak to whether voluntary abandonment was a defense to a charge of attempt.3

In one of the first cases ever decided by this court, we stated:

“In the case under consideration, Johanna Tadriek left her mother’s house, intending to steal the prosecutor’s money, entered the house of the prosecutor and seated herself on the bed where she knew the money was concealed. Nothing remained to be done save to insert her hand and secure the money. Each of the three acts mentioned was intended to be, and actually was, a step towards the consummation of her felonious purpose. Taken together and in connection with the uninterrupted intent existing in her mind, we are compelled to hold that they constituted an attempt at larceny which would have been punishable had she gone no further. If the offense of larceny were not completed, we must assume, from the evidence, that *586the failure was not owing to a change of purpose, which of course would leave her guiltless, but to extraneous circumstances, over which she had no control. An overt act is one which manifests an intention to commit the crime: Bouvier’s L.D. 267. It need not be the last proximate act prior to the consummation of the attempted crime, if the latter be a felony: Uhl v. Commonwealth, 6 Grattan, 706; 1 Bish. Crim. Law, sec. 764.” Commonwealth v. Tadrick, 1 Pa. Superior Ct. 555, 566 (1896) [Emphasis added.]

It is clear that this court long ago perceived voluntary abandonment to be an affirmative defense to the crime of attempt; and, I have not been referred to any Pennsylvania authority which persuades me that this court’s implicit conclusion was then erroneous, nor any authority to indicate that this court’s observation in Tadrick has not withstood the test of time. On the contrary, as aforementioned, voluntary abandonment is now recognized in Pennsylvania as a statutory defense to an attempt charge.

Sound policy reasons also underlie the recognition of voluntary abandonment as an affirmative defense. As the drafters of the Model Penal Code have pointed out, the defense of complete and permanent abandonment should be allowed because voluntary abandonment negates the conclusion that the accused continues to be dangerous; and, the knowledge that voluntary abandonment exonerates one from criminal liability provides a motive to desist prior to completion of the crime. Model Penal Code §5.01, comment 19 at pp. 71-72 (Tent. Draft No. 10, 1958). See also Wechsler, Jones & Korn, The Treatment of Inchoate Crimes in the Model Penal Code of the American Law Institute: Attempt, Solicitation and Conspiracy, 61 Co-lum. L. Rev. 571, 617 (1961).4

*587Thus, I have concluded that the law in Pennsylvania recognized voluntary abandonment as an affirmative defense even prior to the adoption of the Crimes Code. In any event, the trend in the United States is so profoundly in favor of such a defense that we should have recognized its existence in the instant case even had the Crimes Code not been enacted. Furthermore, I think it would be erroneous to construe the attempts provision of the Crimes Code as somehow implying that the law was otherwise prior to the Code’s adoption. On the contrary, I think the adoption of that provision only fortifies the conclusion I have reached herein.

Therefore, I would not rest the decision of this case on the basis that appellant’s acts prior to renunciation of his criminal purpose were merely preparatory; for, as has my brother, Judge PRICE, I have concluded that appellant had clearly gone further than preparation. Rather, I would rest the instant decision on appellant’s unequivocal and undisputedly voluntary abandonment of his criminal purpose. Thus, I only concur in the result reached by the majority herein.

Spaeth, J., joins in this opinion.

Dissenting Opinion by

Price, J.:

I cannot agree with the majority’s conclusion that appellant’s acts were confined to preparation and contemplation, therefore, I must respectfully dissent.

The facts are fully set forth in the majority opinion and need not be repeated. The evidence is sufficient to establish that appellant went over a forbidden fence, albeit still within the physical confines of the prison, cut a piece of barbed wire and tripped the alarm system designed and equipped to alert the authorities to attempts *588at prison breach. Any one of these three acts "would, in my opinion, take appellant beyond preparation and contemplation. Accordingly, there is more than sufficient evidence to sustain appellant’s conviction.

I would affirm the judgment of sentence.

8.2.7 The Defense of Impossibility 8.2.7 The Defense of Impossibility

Sometimes defendants cannot complete an attempt, no matter how hard they try. Common law judges called this situation "impossibility," and developed a distinction between factual impossibility (which was not considered a defense) and legal impossibility (which was considered a defense). The distinction was supposedly to be illustrated by the famous hypothetical of Lady Eldon's lace, developed by the 19th Century American Professor Francis Wharton: 

Lady Eldon, when traveling with her husband on the Continent, bought what she supposed to be a quantity of French lace, which she hid, concealing it from Lord Eldon in one of the pockets of the coach. The package was brought to light by a custom officer at Dover. The lace turned out to be an English manufactured article, of little value, and of course, not subject to duty. Lady Eldon had bought it at a price vastly above its value, believing it to be genuine, intending to smuggle it into England.

Wharton, Criminal Law 304 n.9 (12th ed. 1932). And yet, Wharton's hypothetical proved nothing more than that the common law distinction was unhelpful. Was Lady Eldon's attempt to smuggle rendered impossible because of a fact (i.e., lace was English not French) or because of a law (i.e., English law did not require a duty on the lace that she had smuggled)? 

Fortunately for you, the MPC and NYPL have both reject the distinction between faculty and legal impossibility. Instead, they set forth a simple rule, reflected most clearly NYPL 110.10 (the MPC version appears in MPC § 5.01).

Consider how the MPC and the NYPL would deal with these situations: 

1. Defendant is a tourist visiting New York City for the first time. While in Times Square, he sees a shifty looking guy selling watches out of a briefcase. The guy offers defendant a Rolex watch for $50. Defendant knows that Rolex watches cost much more than that, so he assumes that the watch must be stolen. Defendant buys the watch. As any experienced New York could have told him, the watch was not stolen; nor was it a real Rolex. Instead, it was a cheap knockoff. Is the defendant guilty of a crime? If so, what crime?

2. In People v. Thousand, 465 Mich. 149 (2001), the defendant was caught in an online sting operation. The court described the facts as follows:

Deputy William Liczbinski was assigned by the Wayne County Sheriff's Department [696] to conduct an undercover investigation for the department's Internet Crimes Bureau. Liczbinski was instructed to pose as a minor and log onto "chat rooms" on the Internet for the purpose of identifying persons using the Internet as a means for engaging in criminal activity.

On December 8, 1998, while using the screen name "Bekka," Liczbinski was approached by defendant, who was using the screen name "Mr. Auto-Mag," in an Internet chat room. Defendant described himself as a twenty-three-year-old male from Warren, and Bekka described herself as a fourteen-year-old female from Detroit. Bekka indicated that her name was Becky Fellins, and defendant revealed that his name was Chris Thousand. During this initial conversation, defendant sent Bekka, via the Internet, a photograph of his face.

From December 9 through 16, 1998, Liczbinski, still using the screen name "Bekka," engaged in chat room conversation with defendant. During these exchanges, the conversation became sexually explicit. Defendant made repeated lewd invitations to Bekka to engage in various sexual acts, despite various indications of her young age.

During one of his online conversations with Bekka, after asking her whether anyone was "around there," watching her, defendant indicated that he was sending her a picture of himself. Within seconds, Liczbinski received over the Internet a photograph of male genitalia. Defendant asked Bekka whether she liked and wanted it and whether she was getting "hot" yet, and described in a graphic manner the type of sexual acts he wished to perform with her. Defendant invited Bekka to come see him at his house for the purpose of engaging in sexual activity. Bekka replied that she wanted to do so, and defendant cautioned her that they had to be careful, because he could "go to jail." Defendant asked whether Bekka looked "over sixteen," so that if his roommates were home he could lie.

The two then planned to meet at an area McDonald's restaurant at 5:00 p.m. on the following Thursday. Defendant indicated that they could go to his house, and that he would tell his brother that Bekka was seventeen. Defendant instructed Bekka to wear a "nice sexy skirt," something that he could "get [his] head into." Defendant indicated that he would be dressed in black pants and shirt and a brown suede coat, and that he would be driving a green Duster. Bekka asked defendant to bring her a present, and indicated that she liked white teddy bears.

On Thursday, December 17, 1998, Liczbinski and other deputy sheriffs were present at the specified McDonald's restaurant when they saw defendant inside a vehicle matching the description given to Bekka by defendant. Defendant, who was wearing a brown suede jacket and black pants, got out of the vehicle and entered the restaurant. Liczbinski recognized defendant's face from the photograph that had been sent to Bekka. Defendant [697] looked around for approximately thirty seconds before leaving the restaurant. Defendant was then taken into custody. Two white teddy bears were recovered from defendant's vehicle. Defendant's computer was subsequently seized from his home. A search of the hard drive revealed electronic logs of Internet conversations matching those printed out by Liczbinski from the Wayne County-owned computer he had used in his Internet conversations with defendant.

The defendant was charged with attempted distribution of obscene material to a minor. He claimed that he could not be guilty of that crime becuase there was not child who could be the victim his attempt and it was legally impossible for him to have committed the charged crime. How should the court rule under the NYPL and the MPC?

3. In United States v. Thomas, 12 U.S.C.M.A. 278 (1962), two Navy sailors were at a barwhen one started dancing with a young woman who soon collapsed in his arms on the dance floor. The defendants put the woman in their car, having agreed at the bar to take her home. Once in the car each defendant then proceeded to have sexual intercourse with the woman, who they believed was unconscious. They eventually became concerned about her condition and soon learned that she was dead. An autopsy later ascertained that she had died of an acute heart condition and that her death most likely occurred at the time of her collapse. The two defendants, who were unaware of her death, asserted a defense of legal impossibility to the charge of attempted rape. How should the court rule under the NYPL and the MPC?

8.2.8 A Final Question on Attempts: Harm, Culpability, and Grading 8.2.8 A Final Question on Attempts: Harm, Culpability, and Grading

Should an attempt be punished less seriously than a completed crime or not? How does the MPC answer this question? How does the NYPL? What explains the difference?

8.3 Class #26: Final Assignment 8.3 Class #26: Final Assignment

8.3.1 Concluding Thoughts: Class Participation Assignment 8.3.1 Concluding Thoughts: Class Participation Assignment

Concluding Thoughts (class #26 preparation questions):

1. Which professionalism tips have you found most useful/memorable/helpful? Why?

2. What do you think should be the main purpose of the criminal law? (Punishment? Deterrence? Incapacitation? Something else?)

3. What do you think is the most important thing to change about the criminal legal system?

4. Do you have any interest in practicing criminal law, either as a defense lawyer or a prosecutor?  Why or why not?  If you have a preference for defense of prosecution, why?

Post your answers to these questions on Canvas in the Assignments tab. This is an ungraded class participation assignment.  Your answers may be as short, or as long, as you like.  While I am very interested to read your thoughts, the only requirement is that you complete the assignment. Please post your answers by 5:00 p.m. on the evening before our last class.