14 Appendix 14 Appendix

14.1 Links to download the Model Penal Code 14.1 Links to download the Model Penal Code

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14.4 Additional Defenses – Optional Reading 14.4 Additional Defenses – Optional Reading

14.4.1 General Principles, Third Parties, Defense of Property- optional reading 14.4.1 General Principles, Third Parties, Defense of Property- optional reading

14.4.1.1 United States v. Peterson 14.4.1.1 United States v. Peterson

UNITED STATES of America v. Bennie L. PETERSON, Appellant.

No. 24299.

United States Court of Appeals, District of Columbia Circuit.

Argued March 4, 1971.

Decided June 29, 1973.

Certiorari Denied Nov. 5, 1973.

See 94 S.Ct. 367.

*1224Frank P. Flury, Upper Marlboro, Md. (appointed by this court), for appellant.

John S. Ransom, Asst. U.S. Atty., with whom Thomas A. Flannery, U.S. Atty., at the time the brief was filed, and John A. Terry, Asst. U.S. Atty., were on the brief for appellee.

Before LEVENTHAL, ROBINSON and MacKINNON, Circuit Judges.

SPOTTSWOOD W. ROBINSON, III, Circuit Judge:

Indicted for second-degree murder,1 and convicted by a jury of manslaughter2 as a lesser included offense,3 Ben*1225nie L. Peterson urges three grounds for reversal. He asserts, first that from the voir dire examination of the veniremen from among whom the jury was selected, the trial judge erroneously excluded three questions which he had requested.4 He contends, next, that the evidence was legally insufficient to establish his guilt of manslaughter, and that in consequence the judge erred in denying his motion for a judgment of acquittal.5 He complains, lastly, that the judge twice erred in the instructions given the jury in relation to his claim that the homicide was committed in self-defense. One error alleged was an instruction that the jury might consider whether Peterson was the aggressor in the altercation that immediately foreran the homicide.6 The other was an instruction that a failure by Peterson to retreat, if he could have done so without jeopardizing his safety, might be considered as a circumstance bearing on the question whether he was justified in using the amount of force which he did.7 After careful study of these arguments in light of the trial record, we affirm Peterson’s conviction.

I

The events immediately preceding the homicide are not seriously in dispute.8 The version presented by the Government’s evidence follows. Charles Keitt, the deceased, and two friends drove in Keitt’s car to the alley in the rear of Peterson’s house to remove the windshield wipers from the latter’s wrecked car.9 While Keitt was doing so, Peterson came out of the house10 into the back yard to protest. After a verbal exchange,11 Peterson went back into the house, obtained a pistol, and returned to the yard.12 In the meantime, Keitt had reseated himself in his car, and he and his companions were about to leave.13

Upon his reappearance in the yard, Peterson paused briefly to load the pistol.14 “If you move,” he shouted to Keitt, “I will shoot.” He walked to a point in the yard slightly inside a. gate in the rear fence and, pistol in hand, said, “If you come in here I will kill you.” Keitt alighted from his car, took a few steps toward Peterson and exclaimed, “What the hell do you think you are going to do with that?”15 Keitt then made an about-face, walked back to *1226his car and got a lug wrench. With the wrench in a raised position, Keitt advanced toward Peterson, who stood with the pistol pointed toward him. Peterson warned Keitt not to “take another step” and, when Keitt continued onward shot him in the face from a distance of about ten feet.16 Death was apparently instantaneous. Shortly thereafter, Peterson left home and was apprehended 20-odd blocks away.

This description of the fatal episode was furnished at Peterson’s trial by four witnesses for the Government.17 Peterson did not testify or offer any evidence, but the Government introduced a statement which he had given the police after his arrest,18 in which he related a somewhat different version. Keitt had removed objects from his car before, and on the day of the shooting he had told Keitt not to do so. After the initial verbal altercation, Keitt went to his car for the lug wrench, so he, Peterson, went into his house for his pistol. When Keitt was about ten feet away, he pointed the pistol “away of his right shoulder;” adding that Keitt was running toward him, Peterson said he “got scared and fired the gun. He ran right into the bullet.” “I did not mean to shoot him,” Peterson insisted, “I just wanted to scare him.”

At trial, Peterson moved for a judgment of acquittal19 on the ground that as a matter of law the evidence was insufficient to support a conviction. The trial judge denied the motion.20 After receiving instructions which in two respects are challenged here,21 the jury returned a verdict finding Peterson guilty of manslaughter. Judgment was entered conformably with the verdict, and this appeal followed.

II

Shortly before the selection of the jury got under way, Peterson’s counsel requested the trial judge to address three questions to the prospective jurors on their voir dire examination. Specifically, counsel wanted them queried as to whether any venireman believed that an inference of guilt should be drawn from the fact that Peterson had been indicted; whether any felt that in the instance of a fatality, “someone ha[s] to pay for” the taking of life; and whether any had an innate fear of firearms that might cause him to view with apprehension a person who possessed or used one. The judge denied the request in toto, and the denial is now assigned as error.

Examination of prospective jurors is a step vital to the fairness of jury trials. The information elicited on voir dire serves the dual purpose of aiding counsel in the exercise of challenges and the court in the determination of competence to serve.22 Without knowledge bearing on the qualifications of the veniremen, neither function can *1227be performed intelligently.23 To the extent that the examinatorial process is deficient, the impartiality of the jury could be compromised.24

To achieve its wholesome goals, voir dire examination must be given a wise and liberal scope.25 Reasonable latitude must be indulged to inquiry into attitudes and inclinations in order to assure the objectivity of the jurors ultimately chosen.26 To be sure, the trial judge retains a broad discretion as to the questions which may be addressed.27 But, as the Supreme Court has declared, “[t]he exercise of this discretion, and the restriction upon inquiries at the request of counsel, [are] subject to the essential demands of fairness.”28

Peterson argues that the refusal of the three questions he submitted constituted reversible error. The judge’s ruling was bottomed on the premise that the purposes for which the questions were requested would be accomplished in other ways.29 The standard for our review of that ruling is whether tbe judge’s action exceeded the bounds of discretion to Peterson’s prejudice.30 We find it unnecessary to consider whether the questions were proper for, in the circumstances presented, we are satisfied that their exclusion could not have operated detrimentally to him.

Near the outset of the voir dire examination, the judge instructed the venire*1228men that the indictment was not evidence in the case, but only the means by which Peterson was notified of the charge against him. This was tantamount to an admonition that no basis for an inference of guilt was afforded by the fact that Peterson had been indicted — the subject of Peterson’s first question. The judge also paraphrased the charge made against Peterson by the indictment,31 and from that the veniremen knew that a fatality had been wrought by the discharge of a firearm —the topics upon which Peterson’s other two questions focused. And, very importantly, the judge, near the conclusion of the examination, inquired as to whether there was “any reason whatsoever why anyone . . . would prefer not to sit in this case or . any reason whatsoever why you do not feel you would be a good . . . fair and impartial juror?” That inquiry called upon each prospective juror, on his oath, to respond if he felt that any aspect of the case, including those of which the judge had informed, might affect his impartiality.

We perceive no prejudice resultant from the denial of Peterson’s request. The judge posed a general question that should have elicited instances of bias, if any at all existed, on the part of the veniremen.32 On the other hand, none of the questions which Peterson proposed —concerning the indictment, the gun or the fatality — related to a matter as to which it has become evident, through experience with juries, that there are strong feelings in the community apt to interfere with a capacity for fair and impartial verdicts, including those on claims of self-defense. Moreover, Peterson made no effort to lay a foundation for his questions by showing either that any such predilections were likely to be encountered, or that his questions were “reasonably calculated to discover an actual and likely source of prejudice, rather than pursue a speculative will-o-the-wisp.”33 In these circumstances, we decline to disturb the judge’s ruling.

Ill

More than two centuries ago, Blackstone, best known of the expositors of the English common law, taught that “all homicide is malicious, and of course, amounts to murder, unless justified by the command or permission of the law; excused on the account of accident or self-preservation; or alleviated into manslaughter, by being either the involuntary consequence of some act not strictly lawful, or (if voluntary) occasioned by some sudden and sufficiently violent provocation.34

Tucked within this greatly capsulized schema of the common law of homicide is the branch of law we are called upon to administer today. No issue of justifiable homicide, within Blackstone’s definition is involved.35 But Peterson’s con*1229sistent position is that as a matter of law his conviction of manslaughter — alleviated homicide — was wrong, and that his act' was one of self-preservation— excused homicide. The Government, on the other hand, has contended from the beginning that Keitt’s slaying fell outside the bounds of lawful self-defense. The questions remaining for our decision inevitably track back to this basic dispute.

Self-defense, as a doctrine legally exonerating the taking of human life, is as viable now as it was in Blackstone’s36 time, and in the case before us the doctrine is invoked in its purest form.37 But “[t]he law of self-defense is a law of necessity38 the right of self-defense arises only when the necessity begins, and equally ends with the necessity ;39 and never must the necessity be greater than when the force employed defensively is deadly.40 The “necessity must bear all semblance of reality, and appear to admit of no other alternative, before taking life will be justifiable as excusable.” 41 Hinged on the exigencies of self-preservation, the doctrine of homicidal self-defense emerges from the body of the criminal law as a limited though important exception to legal outlawry of the arena of self-help in the settlement of potentially fatal personal conflicts.

So it is that necessity is the pervasive theme of the well defined conditions which the law imposes on the right to kill or maim in self-defense. There must have been a threat, actual or apparent, of the use of deadly force against the defender.42 The threat must have been unlawful43 and immediate.44 *1230The defender must have believed that he was in imminent peril of death or serious bodily harm,45 and that his response was necessary . to save himself therefrom.46 These beliefs must not only have been honestly entertained, but also objectively reasonable in light of the surrounding circumstances.47 It is clear that no less than a concurrence of these elements will suffice.

Here the parties’ opposing contentions focus on the roles of two further considerations. One is the provoking of the confrontation by the defender. The other is the defendant’s failure to utilize a safe route for retreat from the confrontation. The essential inquiry, in final analysis, is whether and to what extent the rule of necessity may translate these considerations into additional factors in the equation. To these questions, in the context of the specific issues raised, we now proceed.

IV

The trial judge’s charge authorized the jury, as it might be persuaded, to convict Peterson of second-degree murder or manslaughter, or to acquit by reason of self-defense. On the latter phase of the case, the judge instructed that with evidence of self-defense present, the Government bore the burden of proving beyond a reasonable doubt that Peterson did not act in self-defense; and that if the jury had a reasonable doubt as to whether Peterson acted in self-defense, the verdict must be not guilty. The judge further instructed that the circumstances under which Peterson acted, however, must have been such as to produce a reasonable belief that Keitt was then about to kill him or do him serious bodily harm, and that deadly force was necessary to repel him. In determining whether Peterson used excessive force in defending himself, the judge said, the jury could consider all of the circumstances under which he acted.

These features of the charge met Peterson’s approval, and we are not summoned to pass on them. There were, however, two other aspects of the charge to which Peterson objected, and which are now the subject of vigorous controversy. The first of Peterson’s complaints centers upon an instruction that the right to use deadly force in self-defense is not ordinarily available to one who provokes a conflict or is the aggressor in it. Mere words, the judge explained, do not constitute provocation or aggression; and if Peterson precipitated the áltereation but thereafter withdrew from it in good faith and so informed Keitt by words or acts, he was justified in using deadly force to save himself from imminent danger or death or grave bodily harm. And, the judge added, even if Keitt was the aggressor and Peterson was justified in defending him*1231self, he was not entitled to use any greater force than he had reasonable ground to believe and actually believed to be necessary for that purpose. Peterson contends that there was no evidence that he either caused or contributed to the conflict, and that the instructions on that topic could only misled the jury.

It has long been accepted that one cannot support a claim of self-defense by a self-generated necessity to kill.48 The right of homicidal self-defense is granted only to those free from fault in the difficulty; it is denied to slayers who incite the fatal attack, encourage the fatal quarrel or otherwise promote the necessitous occasion for taking life.49 The fact that the deceased struck the first blow, fired the first shot or made the first menacing gesture does not legalize the self-defense claim if in fact the claimant was the actual provoker.50 In sum, one who is the aggressor in a conflict culminating in death cannot invoke the necessities of self-preservation. Only in the event that he communicates to his adversary his intent to withdraw and in good faith attempts to do so is he restored to his right of self-defense 51

This body of doctrine traces its origin to the fundamental principle that a killing in self-defense is excusable only as a matter of genuine necessity.52 Quite obviously, a defensive killing is unnecessary if the occasion for it could have been averted, and the roots of that consideration run deep with us. A half-century ago, in Laney v. United States,53 this court declared

that, before a person can avail himself of the plea of self-defense against the charge of homicide, he must do everything in his power, consistent with his safety, to avoid the danger and avoid the necessity of taking life. If one has reason to believe that he will be attacked, in a manner which threatens him with bodily injury, he must avoid the attack if it is possible to do so, and the right of self-defense does not arise until he has done everything in his power to prevent its necessity.54

And over the many years since Laney, the court has kept faith with its precept.55

*1232In the case at bar, the trial judge’s charge fully comported with these governing principles. The remaining question, then, is whether there was evidence to make them applicable to the case. A recapitulation of the proofs shows beyond peradventure that there was.

It was not until Peterson fetched his pistol and returned to his back yard that his confrontation with “Keitt took on a deadly cast. Prior to his trip into the house for the gun, there was, by the Government’s evidence, no threat, no display of weapons, no combat. There was an exchange of verbal aspersions56 and a misdemeanor57 against Peterson’s property58 was in progress but, at this juncture, nothing more. Even if Peterson’s post-arrest version59 of the initial encounter were accepted — his claim that Keitt went for the lug wrench before he armed himself —the events which followed bore heavily on the question as to who the real aggressor was.60

The evidence is uncontradicted that when Peterson reappeared in the yard with his pistol,61 Keitt was about to depart the scene. Richard Hilliard testified that after the first argument, Keitt reentered his car and said “Let’s go.” This statement was verified by Ricky Gray, who testified that Keitt “got in the car and . . . they were getting ready to go;” he, too, heard Keitt give the direction to start the car. The uncontroverted fact that Keitt was leaving shows plainly that so far as he was concerned the confrontation was ended. It demonstrates just as plainly *1233that even if he had previously been the aggressor, he no longer was.

Not so with Peterson, however, as the undisputed evidence made clear.62 Emerging from the house with the pistol, he paused in the yard to load it,63 and to command Keitt not to move. He then walked through the yard to the rear gate and, displaying his pistol, dared Keitt to come in, and threatened to kill him if he did. While there appears to be no fixed rule on the subject, the cases hold, and we agree, that an affirmative unlawful act reasonably calculated to produce an affray foreboding injurious or fatal consequences is an aggression which, unless renounced,64 nullifies the right of homicidal self-defense.65 We cannot escape the abiding conviction that the jury could readily find Peterson’s challenge to be a transgression of that character.

The situation at bar is not unlike that presented in Laney.66 There the accused, chased along the street by a mob threatening his life, managed to escape through an areaway between two houses. In the back yard of one of the houses, he checked a gun he was carrying and then returned to the areaway. The mob beset him again, and during an exchange of shots one of its members was killed by a bullet from the accused’s gun. In affirming a conviction of manslaughter, the court reasoned:

It is clearly apparent . . . that, when defendant escaped from the mob into the back yard ... he was in a place of comparative safety, from which, if he desired to go home, he could have gone by the back way, as he subsequently did. The mob had turned its attention to a house on the opposite side of the street. According to Laney’s testimony, there was shooting going on in the street. His appearance on the street at that juncture could mean nothing but trouble for him. Hence, when he adjusted his gun and stepped out into the areaway, he had every reason to believe that his presence there would provoke trouble. We think his conduct in adjusting his revolver and going into the areaway was such as to deprive him of any right to invoke the plea of self-defense.67

Similarly, in Rowe v. United States,68 the accused was in the home of friends when an argument, to which the friends became participants, developed in the street in front. He left, went to his nearby apartment for a loaded pistol and returned. There was testimony that he then made an insulting comment, drew the pistol and fired a shot into the ground. In any event, when a group of five men began to move toward him, he began to shoot at them, killing two, and wounding a third. We observed that the accused “left an apparently safe haven to arm himself and return to the scene,” 69 and that “he inflamed the situation with his words to the men gathered there, even though he could have *1234returned silently to the safety of the [friends’] porch.” 70 We held that

[t]hese facts could have led the jury to conclude that [the accused] returned to the scene to stir up further trouble, if not actually to kill anyone, and that his actions instigated the men into rushing him. Self-defense may not be claimed by one who deliberately places himself in a position where he has reason to believe “his presence . . . would provoke trouble.” 71

We noted the argument “that a defendant may claim self-defense if he arms himself in order to proceed upon his normal activities, even if he realizes that danger may await him”;72 we responded by pointing out “that the jury could have found that the course of action defendant here followed was for an unlawful purpose."73 We accordingly affirmed his conviction of manslaughter over his objection that an acquittal should have been directed.74

We are brought much the readier to the same conclusion here. We think the evidence plainly presented an issue of fact as to whether Peterson’s conduct was an invitation to and provocation of the encounter which ended in the fatal shot. We sustain the trial judge’s action in remitting that issue for the jury’s determination.

V

The second aspect of the trial judge’s charge as to which Peterson asserts error concerned the undisputed fact that at no time did Peterson endeavor to retreat from Keitt’s approach with the lug wrench. The judge instructed the jury that if Peterson had reasonable grounds to believe and did believe that he was in imminent danger of death or serious injury, and that deadly force was necessary to repel the danger, he was required neither to retreat nor to consider whether he could safely retreat. Rather, said the judge, Peterson was entitled to stand his ground and use such force as was reasonably necessary under the circumstances to save his life and his person from pernicious bodily harm. But, the judge continued, if Peterson could have safely retreated but did not do so, that failure was a circumstance which the jury might consider, together with all others, in determining whether he went further in repelling the danger, real or apparent, than he was justified in going.

Peterson contends that this imputation of an obligation to retreat was error, even if he could safely have done so. He points out that at the time of the shooting he was standing in his own yard, and argues he was under no duty to move. We are persuaded to the conclusion that in the circumstances presented here, the trial judge did not err in giving the instruction challenged.

Within the common law of self-defense there developed the rule of “retreat to the wall,”75 which ordinarily forbade the use of deadly force by one to whom an avenue for safe retreat was open.76 This doctrine was but an application of the requirement of strict necessity to excuse the taking of human life,77 and was designed to insure the existence of that necessity. Even the innocent victim of a vicious assault had to elect a safe re*1235treat, if available, rather than resort to defensive force which might kill or seriously injure.78

In a majority of American jurisdictions, contrarily to the common law rule, one may stand his ground and use deadly force whenever it seems reasonably necessary to save himself.79 While the law of the District of Columbia on this point is not entirely clear, it seems allied with the strong minority adhering to the common law. In 1856, the District of Columbia Criminal Court ruled that a participant in an affray “must endeavor to retreat, that is, he is obliged to retreat, if he can safely.”80 The court added that “[a] man may, to be sure, decline a combat when there is no existing or apparent danger, but the retreat to which the law binds him is that which is the consequence.”81 In a much later era this court, adverting to necessity as the soul of homicidal self-defense,82 declared that “no necessity for killing an assailant can exist, so long as there is a safe way open to escape the conflict.”83 Moreover, the common law rule of strict necessity pervades the District concept of pernicious self-defense,84 and we cannot ignore the inherent inconsistency of an absolute no-retreat rule. Until such time as the District law on the subject may become more definitive,85 we accept these precedents as ample indication that the doctrine of retreat persists.

That is not to say that the retreat rule is without exceptions. Even at common law it was recognized that it was. not completely suited to all situations. Today it is the more so that its precept must be adjusted to modern conditions nonexistent during the early development of the common law of self-defense.86 One restriction on its operation comes to the fore when the circumstances apparently foreclose a withdrawal with safety.87 The doctrine of retreat *1236was never intended to enhance the risk to the innocent; its proper application has never required a faultless victim to increase his assailant’s safety at the expense of his own. On the contrary, he could stand his ground and use deadly force otherwise appropriate if the alternative were perilous, or if to him it reasonably appeared to be.88 A slight variant of the same consideration is the principle that there is no duty to retreat from an assault producing an imminent danger of death or grievous bodily harm.89 “Detached reflection cannot be demanded in the presence of an uplifted knife,” 90 nor is it “a condition of immunity that one in that situation should pause to consider whether a reasonable man might not think it possible to fly with safety or to disable his assailant rather than to kill him.” 91

The trial judge’s charge to the jury incorporated each of these limitations on the retreat rule. Peterson, however, invokes another — the so-called “castle” doctrine.92 It is well settled that one who through no fault of his own is attacked in his home is under no duty to retreat therefrom.93 The oft-repeated expression that “a man’s home is his castle” reflected the belief in olden days that there were few if any safer sanctuaries than the home.94 The “castle” exception, moreover, has been extended by some courts to encompass the occupant’s presence within the curtilage outside his dwelling.95 Peterson reminds us that when he shot to halt *1237Keitt’s advance, he was standing in his yard and so, he argues, he had no duty to endeavor to retreat.

Despite the practically universal acceptance of the “castle” doctrine in American jurisdictions wherein the point has been raised,96 its status, in the District of Columbia has never been squarely decided.97 But whatever the fate of the doctrine in the District law of the future,98 it is clear that in absolute form it was inapplicable here. The right of self-defense, we have said, cannot be claimed by the aggressor in an affray so long as he retains that unmitigated role.99 It logically follows that any rule of no-retreat which may protect an innocent victim of the affray would, like other incidents of a forfeited right of self-defense, be unavailable to the party who provokes or stimulates the conflict. Accordingly, the law is well settled that the “castle” doctrine can be invoked only by one who is without fault in bringing the conflict on.100 That, we think, is the critical consideration here.

We need not repeat our previous discussion of Peterson’s contribution to the altercation which culminated in Keitt’s death.101 It suffices to point out that by no interpretation of the evidence could it be said that Peterson was blameless in the affair.102 And while, of course, it was for the jury to assess the degree of fault,103 the evidence well nigh dictated the conclusion that it was substantial.

The only reference in the trial judge’s charge intimating an affirmative duty to retreat104 was the instruction that a failure to do so, when it could have been done safely, was a factor in the totality of the circumstances which the jury might consider in determining whether the force which he employed was excessive.105 We cannot believe that any jury was at all likely to view Peterson’s *1238conduct as irreproachable. We conclude that for one who, like Peterson, was hardly entitled to fall back on the “castle” doctrine of no retreat, that instruction cannot be just cause for complaint.

VI

As we have stated, Peterson moved for a judgment of acquittal at trial, and in this court renews his contention that the evidence was insufficient to support a conviction of manslaughter.106 His position is that the evidence, as a matter of law, established a right to use deadly force in self-defense. In considering that contention, we must accept the evidence “in the light most favorable to the Government, making full allowance for the right of the jury to draw justifiable inferences of fact from the evidence adduced at trial and to assess the credibility of the witnesses before it.”107 We have already concluded that the evidence generated factual issues as to the effect, upon Peterson’s self-defense claim, of his aggressive conduct and his failure to ■retreat.108 By the same token, the ultimate question of guilt or innocence of culpable homicide was one for the jury to decide. The jury resolved the question in favor of guilt, and we perceive no basis for disturbing its decision. Nor, in the circumstances here, is there a ground for impugning its verdict that the grade of Peterson’s offense was manslaughter.109

The judgment of conviction appealed from is accordingly

Affirmed.

14.4.1.2 Notes & Questions (United States v. Peterson) 14.4.1.2 Notes & Questions (United States v. Peterson)

By Cydney Chilimidos and Zachary Nemirovsky

Notes & Questions

1. Who is the Aggressor? As evidenced in the Peterson case, an aggressor can only assert self defense when certain conditions are met. Consider the facts surrounding the following fact patterns and determine who is considered the “aggressor” under the criteria of Peterson and Model Penal Code §3.04.

a. Defendant Pippin was out one evening drinking at a bar with his friend Merry. While going to the bathroom, Pippin accidentally dropped a locket with a picture of his great-grandmother (a priceless family heirloom). Merry picked it up, and in his drunken state, thought it looked horrible and destroyed the picture. When Pippin returned, he was enraged and pulled a knife on Merry. Merry then pulled out a gun and killed Pippin. Who is the aggressor?

b. Stevie is walking down the street when defendant Lindsey calls them a slur. Enraged, Stevie runs toward Lindsey while voicing their anger and demanding an apology. Lindsey pulls out a gun and shoots Stevie. Lindsey argues self defense. Who is the aggressor?

c. Zainab loves to sit in the sun and work on her tan during the summer months. In her residential neighborhood, she discovered a fantastic spot and has used it every summer for the past few years. One day Jose, the resident bully, decides he doesn’t want Zainab using that spot anymore. He tells her that if she ever suntans in that spot again, he’ll kill her. Zainab could just as easily suntan in another location, but believing that she has every right to suntan wherever she chooses, she decides to arm herself the next day. She takes her licensed gun with her, puts it down next to her so that it is clearly visible, and begins tanning. Jose shows up soon after, and comes toward her in a threatening way. Zainab shoots and kills him. Who is the aggressor?

2. Aggression under the Model Penal Code. Suppose that Aviva attempts to punch Brock. In this circumstance, Aviva is clearly a nonlethal aggressor. Assume now that Brock escalates the situation  by pulling a gun on Aviva. Does Brock now have the right to kill Aviva? The Commentary to the Model Penal Code explains the MPC and non-Code approach to this situation:

        The typical case to be imagined is this: A attacks B with his fists; B defends himself, and manages to subdue A to the extent of pinning him to the floor. B then starts to batter A’s head savagely against the floor. A manages to rise, and since B is still attacking him and A now fears that if he is thrown again to the floor he will be killed, A uses a knife. B is killed or seriously wounded.

        The solution to this situation under the provisions of [Section 3.04] is as follows: B is entitled to defend himself against A’s attack, but only to the extent of using moderate, nondeadly force. He is given this privilege by Subsection (1). B exceeds the bounds of “necessary” force under that provision, however, when, after reducing A to helplessness, he batters A’s head on the floor. Since this excessive force is, in its turn, unlawful, under Subsection (1) A is entitled to defend himself against it and, if he believes that he is then in danger of death or serious bodily harm without apparent opportunity for safe retreat, A is also entitled to use his knife in self-protection. A of course is criminally liable for his initial battery on B, but would have a justifying defense that he could raise against prosecution for the ultimate homicide or wounding. Subsection (2)(b)(i), depriving A of his justification on the ground of initial aggression, would not become operative unless A entered the encounter with the purpose of causing death or serious bodily harm.

        This conclusion—that an initial aggressor is accountable for his original unlawful use of force but not for his defense against a disproportionate return of force by his victim—is surely not unreasonable on its face. There is, however, * * * authority, both common law and statutory, demanding that a person claiming self-defense be free from fault in bringing on the difficulty. But the principle is not, on the whole, unqualified. The original aggressor is usually deemed to have a right of self-defense that is “imperfect”; before it may be exercised he must give notice of his wish to desist from the struggle and attempt in good faith to withdraw.1

3. Necessity. As you’ve discovered from the Peterson case, self defense has a necessity component. This is explained in Stiers v. State, 229 S.W.3d 257 (Mo. Ct. App. 2007), which indicates that in order “[t]o warrant the use of deadly force in self-defense, [there] must be present ... an attempt by the defender to do all within his or her power consistent with his or her own personal safety to avoid the danger and need to take a life.

     To this point, consider the case, State v. Dill, 461 So. 2d 1130 (La. Ct. App. 1984), where the defendant (5′4″, 145 lbs.) was in his car, preparing to leave a public parking lot, when the decedent (6′0″, 200 lbs.) walked over and requested help to start his own vehicle. The defendant asked for five dollars to help. After a heated exchange, the decedent lunged at the defendant with a knife through the open car window. The defendant emerged with a gun and immediately shot the decedent. If you were on the jury, would you acquit the defendant? Does the shooting meet the “necessity” requirement? Were there any reasonable alternatives?

4. Imminency. In order for the usage of deadly force to be justifiable at common law, the actor must be acting in response to “actual or apparent imminent peril of death or great bodily harm.” Why is the imminency requirement necessary?  How does Model Penal Code §3.04 influence the imminency requirement differently than the common law?

     To challenge your understanding, consider the following situation devised by Professor Robert Schopp: Two hikers (X and Y) are competing in a ten-day race across a large desert. The desert contains a single source of water half-way to the finish line, and cannot be crossed without it. Each racer is responsible for ensuring they have a five or six day supply of water, which they can replenish at the water hole. In the first part of the race, X repeatedly catches Y's attempts to change trail markers and steal X's personal water source. Schopp’s continues:

        As day five begins, both hikers are almost out of water * * *. As Y passes X on the trail * * *, Y holds up a box of rat poison and says to X, “I’ll get you this time; I’ll beat you to the water hole, get my water, and poison the rest * * *.” Both hikers walk all day, but due to a sprained ankle X can barely keep up with Y. That evening, * * * Y says, “I’ll walk all night and get to the water hole before morning.” As Y begins to walk away, X, who is unable to continue that night, says, “wait,” but Y walks in the direction of the water hole. X shoots Y, convinced * * * that this is the only way to prevent Y from poisoning the water hole the next morning.

 

     Does X have a valid self-defense claim at common law? What about in a MPC jurisdiction?

5. The requirement to retreat. Peterson sets out arguments both for and against the retreat rule in its opinion. In State v. Abbot, where a fight between neighbors led to a wrestle for control of a hatchet, in which one neighbor was badly injured, the Supreme Court of New Jersey noted the following:

        Self-defense is measured against necessity. From that premise one could readily say there was no necessity to kill in self-defense if the use of deadly force could have been avoided by retreat. The critics of the retreat rule do not quarrel with the theoretical validity of this conclusion, but rather condemn it as unrealistic.

The law of course should not denounce conduct as criminal when it accords with the behavior of reasonable men. Upon this level, the advocates of no-retreat say the manly thing is to hold one’s ground, and hence society should not demand what smacks of cowardice. Adherents of the retreat rule reply it is better that the assailed shall retreat than that the life of another be needlessly spent. They add that not only do right-thinking men agree, but further a rule so requiring may well induce others to adhere to that worthy standard of behavior. * * *

        We believe the following principles are sound:

        1. The issue of retreat arises only if the defendant resorted to a deadly force. It is deadly force which is not justifiable when an opportunity to retreat is at hand. Model Penal Code [§ 3.04(2)(b)(ii)]. As defined in [§ 3.11(2),] a deadly force means “force which the actor uses with the purpose of causing or which he knows to create a substantial risk of causing death or serious bodily harm.” * * *

       2.What constitutes an opportunity to retreat which will defeat the right of self-defense? As [§ 3.04(2)(b)(ii)] of the Model Penal Code states, deadly force is not justifiable “if the actor knows that he can avoid the necessity of using such force with complete safety by retreating * * *.” We emphasize “knows” and “with complete safety.” One who is wrongfully attacked need not risk injury by retreating, even though he could escape with something less than serious bodily injury. It would be unreal to require nice calculations as to the amount of hurt, or to ask him to endure any at all. And the issue is not whether in retrospect it can be found the defendant could have retreated unharmed. Rather the question is whether he knew the opportunity was there, and of course in that inquiry the total circumstances including the attendant excitement must be considered.

6. The Castle Doctrine. Ordinarily, a person has a duty to retreat in order to avoid violence, if one can safely do so. The Castle Doctrine, however, as explained in Peterson, indicates that a person does not have a duty to retreat from one’s own home and can use lethal force in cases where one reasonably fears imminent peril of death or serious bodily harm to oneself.

     The Model Penal Code provides an exception for the workplace as well, stating that a person “is not obliged to retreat from his dwelling or place of work, unless he * * * is assailed in his place of work by another person whose place of work the actor knows it to be.” The place of work exception is as such more limited than the castle doctrine (not covering the case where the assailant also works there). In light of which theories of justification does this distinction make sense?

7. Stand Your Ground Laws. Some states, usually as part of their “use of force” laws, have enacted so-called “Stand Your Ground” laws. These laws are an expansion of the Castle Doctrine beyond the home, and provide that a person defending themselves never has the requirement to retreat.2 “Stand Your Ground” laws are far from uncontroversial, with 26 States having such laws. An additional 23 States, however, have some form of the Castle Doctrine. As of 2020, Only Vermont and the District of Columbia have neither.

8. Proportionality. In order for a self defense justification to be valid, the act made in self defense must be proportional to the act of aggression. In other words, a nonlethal attack can never be met with lethal force, even if that is the only way to avoid injury. Consider this scenario.

     Ozzy threatens to punch Tony if he doesn’t get out of his way. The only way for Tony to escape injury is by pushing Ozzy away from him. A push is clearly a nondeadly response to a nondeadly threat, but if the push is likely to cause Ozzy to experience death or great bodily harm (such as if they are on a bridge, and the push may cause Tony to fall and plumet to his death), then the common law requires Tony to suffer Ozzy’s punch, rather than risk the death of the nonlethal aggressor. What goals does this rule accomplish? Do you agree with this rule?

9. Misdemeanors and Property. Do you think that other justifications for the defendant’s use of force in Peterson existed? What about the desire to stop a misdemeanor? The desire to specifically defend his own property?

     In footnotes 57 and 58 of Peterson, the court answers “no.” The court says, “[i]t is well settled that deadly force cannot be employed to arrest or prevent the escape of a misdemeanant,”3 and that “[t]he law never tolerates the use of deadly force in the protection of one's property.”4

How does this relate to the Castle Doctrine? If a person is not allowed to defend their home, but they are permitted to defend themselves in their home without retreating, what do you think is likely to result?

10.       Excuse vs. Justification. After considering all of the above, does it matter whether self defense is considered an excuse or a justification? Why doesn’t the Peterson court think the distinction matters? Consider the following footnote from Peterson:

By the early common law, justification for homicide extended only to acts done in execution of the law, such as homicides in effecting arrests and preventing forcible felonies, and homicides committed in self-defense were only excusable. See, generally, authorities cited supra note 34. The distinction between justifiable and excusable homicide was important because in the latter case the slayer, considered to be not wholly free from blame, suffered a forfeiture of his goods. F. Wharton, Homicide § 3 at 211 (1855). However, with the passage of 24 Henry VIII, ch. 5 (1532), the basis of justification was enlarged, and the distinction has largely disappeared. More usually the terms are used interchangeably, each denoting a legally non-punishable act, entitling the accused to an acquittal.5

 


1 Model Penal Code and Commentaries § 3.04 cmt. 4(b), at 49–51 (1985).

2 For example, Florida’s Stand Your Ground law provides that “A person who uses ...  deadly force in accordance with this subsection does not have a duty to retreat and has the right to stand his or her ground if [they are] not engaged in a criminal activity….” Fla. Stat. Ann. § 776.012.

3 United States v. Peterson, 483 F.2d 1222, 1232 n.57 (D.C. Cir. 1973)

4 Peterson, 483 F.2d at 1232 n.58

5 Peterson, 483 F.2d at 1229 n.35.

14.4.1.3 Paul H. Robinson—Criminal Law Defenses: A Systematic Analysis 14.4.1.3 Paul H. Robinson—Criminal Law Defenses: A Systematic Analysis

82 Columbia Law Review 199 (1982), 200, 202–05, 208–11, 213–14, 221, 229–32.

Unlike many aspects of the criminal law, defenses have not yet been the subject of comprehensive conceptual analysis. The general nature and scope of most defenses have been perpetuated for centuries with little or no question. Current debates commonly focus on whether a particular defense should apply in a particular circumstance, but rarely consider the larger perspective. How do circumstances covered by one defense compare with those of other defenses? Do defenses overlap? If so, will the outcome in identical situations vary with the defense asserted? Should it? Are there gaps between defenses, that is, circumstances in which our common sense of justice suggests that the defendant should be exculpated, yet where no defense applies? Do defenses based on theoretically analogous grounds of exculpation generate analogous results? The general inquiry, which seems never to have been undertaken, is: how does the collection of recognized defenses operate as a system? * * *

There are, no doubt, many people who believe that defenses defy such systemization. Defenses, it might be argued, are the embodiment of such complex human notions of fairness and morality, tempered by the demands of utility and efficiency, that they are too complex and perhaps too illogical to be reduced to an integrated, comprehensive, and internally consistent system of exculpation. * * * 

This Article attempts to provide some measure of conceptual organization for criminal law defenses * * *.

  1. A System of Defenses

The term “defense” is commonly used, at least in a casual sense, to mean any set of identifiable conditions or circumstances which may prevent a conviction for an offense. * * * Upon examining the functions of and the rationales supporting these rules and doctrines, five general categories become apparent. They may be termed: failure of proof defenses, offense modification defenses, justifications, excuses, and nonexculpatory public policy defenses. * * *

  1. Failure of Proof Defenses

Failure of proof defenses consist of instances in which, because of the conditions that are the basis for the “defense,” all elements of the offense charged cannot be proven. They are in essence no more than the negation of an element required by the definition of the offense. * * * 

Mistake provides a clear example * * *. Assume, for example, that incest is defined as having intercourse with a person the actor knows to be an ancestor, descendant, or sibling. If the actor honestly believes that the person with whom he is having intercourse is not a relative, one might term his mistake a “defense.” In reality, the actor’s mistaken belief prevents a state from proving the required mental element of knowledge of the familial relationship. When this sort of mistake of fact is recognized as a “defense,” it is considered not a general mistake excuse, but only a failure of proof defense. * * *

  1. Offense Modifications

Offense-modification defenses are real defenses in the sense that they do more than simply negate an element of an offense. They apply even where all elements of the offense are satisfied. They are distinguishable from general defenses (like self-defense or insanity), however, because they introduce criminalization decisions similar to those used in defining offenses, rather than giving effect to general principles of exculpation. They provide a more sophisticated account, when needed, of the harm or evil sought to be prohibited by the definition of the offense.

A parent, against the advice of police, pays a $10,000 ransom to the kidnapper of his child. A businessman pays monthly extortion payments to a racketeer. These persons may well satisfy the elements required for complicity in kidnapping and extortion, yet they will nonetheless have a defense to these charges. * * *

There is a single principle behind these modifications of the definition of an offense: while the actor has apparently satisfied all elements of the offense charged, he has not in fact caused the harm or evil sought to be prevented by the statute defining the offense. * * *

In many cases the defenses of this group are given no formal name, but exist only as accepted rules. For example, with regard to the kidnapping and extortion examples above, a common rule provides that the victim of a crime may not be held as an accomplice even though his conduct has in a significant sense aided the commission of the crime. * * *

 Some offense modifications are considered defenses, rather than simply rules or doctrines, but they operate similarly to modify the definition of offenses. * * *

Offense modifications, like failure of proof defenses, commonly apply to only one specific offense. * * *

  1. Justifications

Unlike failure of proof and offense modification defenses, justification defenses are not alterations of the statutory definition of the harm sought to be prevented or punished by an offense. The harm caused by the justified behavior remains a legally recognized harm which is to be avoided whenever possible. Under special justifying circumstances, however, that harm is outweighed by the need to avoid an even greater harm or to further a greater societal interest.

A forest fire rages toward a town of 10,000 unsuspecting inhabitants. The actor burns a field of corn located between the fire and the town; the burned field then serves as a firebreak, saving 10,000 lives. The actor has satisfied all elements of the offense of arson by setting fire to the field with the purpose of destroying it. The immediate harm he has caused—the destruction of the field—is precisely the harm which the statute serves to prevent and punish. Yet the actor is likely to have a complete defense, because his conduct and its harmful consequences were justified. The conduct in this instance is tolerated, even encouraged, by society. * * *

  1. Excuses

Excuses, like justifications, are usually general defenses applicable to all offenses even though the elements of the offense are satisfied. Excuses admit that the deed may be wrong, but excuse the actor because conditions suggest that the actor is not responsible for his deed. For instance, suppose that the actor knocks the mailman over the head with a baseball bat because she believes he is coming to surgically implant a radio receiver which will take control of her body. The defendant has satisfied all elements of the offense of aggravated assault—she struck the mailman with a deadly weapon with the purpose of causing him bodily injury. This is precisely the harm sought to be prevented by the statute, and it is not outweighed by any greater societal harm avoided or greater societal interest furthered. It is conduct that society would in fact condemn and seek to prevent. The defendant is exculpated only because her condition at the time of the offense—her paranoid delusion—suggests that she has not acted through a meaningful exercise of free will and therefore is not an appropriate subject for criminal liability. * * *

  1. Nonexculpatory Public Policy Defenses

In 1971 the actor forcibly takes a wallet from an old man at gun point. The crime goes unsolved until 1978 when he is identified and arrested. Although he has committed the offense, caused the harm sought to be prevented by the statute, and has no claim that his conduct is justified or excused, the actor may nonetheless have a defense. The statute of limitations may bar his conviction for robbery despite his clear culpability because by foregoing that conviction society furthers other, more important, public interests.

Time limitations on criminal prosecutions are often supported as fostering a more stable and forward-looking society. * * * These rationales may justify current statutes of limitations, but it must be noted that they are not based on a lack of culpability of the defendant. They are purely public policy arguments. * * *

Other public policy-based bars to prosecution include diplomatic immunity, judicial, legislative, and executive immunities, * * * and incompetency. Each of the * * * forms of immunity furthers important societal interests * * *.

This balancing of countervailing public policy interests, both societal and personal, should be distinguished from the balancing which occurs in justification defenses. In the latter, the harm done by defendant’s act is outweighed by the societal benefit that it creates, and, as a result, he is not blameworthy. In nonexculpatory defenses, the defendant’s conduct is harmful, and creates no societal benefit; the defendant is blameworthy. The societal benefit underlying the defense arises not from his conduct, but from foregoing his conviction. The defendant escapes conviction in spite of his culpability.

14.4.1.5 Principles of Justification 14.4.1.5 Principles of Justification

Cydney Chilimidos & Zachary Nemirovsky—An Overview of Justification

            Of the varieties of defenses presented in the Robinson excerpt, justification is unique in that it applies when, despite all of the elements of an offense being met, and being proved, the criminal justice system goes farther than merely forgoing punishment. If conduct is justified, it is considered not even wrongful, and perhaps even desirable. This is because the law considers a defendant’s justified actions to be at least a (if not “the”) desirable outcome.

            For example, if X breaks into Y’s house, eats all the food in the fridge, and stays the night, that is both criminal trespass and burglary. Breaking into a house is and stealing the owner’s food is ordinarily bad conduct. But the moment that we find out X was trying to escape a blizzard and hadn’t eaten in three days, justification makes their actions affirmatively the right outcome. What exactly makes this conduct (or any otherwise wrongful conduct) justified? Why is it that a defendant who kills to protect their child from a lethal attack is justified, but a defendant who kills to protect their pet is not justified? Or is there even a difference?

            There is unfortunately no single theory that tells us why some actions are justifiable, while others are not, but the following four theories are often discussed when analyzing various principles of justification: “public benefit”, “moral forfeiture”, “moral rights”, and “superior interest / lesser harm.”

 

Public Benefit Theory:

At common law, one of the premier theories of justification was one of public benefit, see Eugene R. Milhizer, Justification and Excuse: What They were, What They Are, and What They Ought to Be at 841, which justified actions so long as they were taken: (1) for the public good and (2) by  public officials (such as police officers or prison wardens) or private parties acting in such roles.

So, for example, a police officer who arrests and handcuffs a suspect is justified under the public benefit for what would otherwise be criminal assault. Paul H. Robinson, John M. Darley, Testing Competing Theories Justification at 1096-97. The executioner who kills also commits no crime under public benefit, because of the lawful command to do so. In the private sphere, this theory usually only grants justification to private citizens if they are protecting the public from “forcible, atrocious felonies.”1

One advantage of this theory is that it limits self-defense (and as such, justified killings) by private individuals to truly justified circumstances - preventing atrocious felonies. However, public benefit theory has also been criticized on the one hand for its near blanket sanction of public acts committed by public officials, and on the other hand for its limited conception of private self-defense. Milhizer, supra, at 841. For example, because a felony would have to be forcible and atrocious, strict public benefit does not allow for even non-lethal use of force in the defense of property. Id. at 841-42.

 

Moral Forfeiture Theory:

            The moral forfeiture theory “is based on the view that people possess certain moral rights or interests that society recognizes through its criminal laws, e.g., the right to life…. but which may be forfeited by the holder of the right” through their misconduct.2 For example, suppose that X repeatedly shoplifts from a store. The owner may ban X from the premises, and morally justify themselves by saying that X has lost the right to enter the store. In the realm of self-defense, moral forfeiture theory says that a lethal aggressor has lost their right to life, and the defendant may use lethal force to defend themselves. One immediate draw of this theory is that it clearly comports with the reality that by committing certain acts, people may forfeit certain rights.3

While there are many rights one has, and could forfeit, in self-defense cases we are concerned with the right to life. The question of what types of misconduct, exactly, cause someone to forfeit their right to life is an imprecise and open one. For example, does a burglar who breaks into a home forfeit their right to life? What about a robber who holds up a store at gunpoint? What about a perpetrator who violently assaults someone? It’s possible to think that one never forfeits their right to life (for example, 22 states no longer use the death penalty for any crimes), but some candidates might be murder or other felonies deemed forcible and/or atrocious. This also points, however, to perhaps the largest drawback of the theory (at least in the self-defense context). The right to life, unlike any other right felons may forfeit, cannot be restored once taken away and so may be unalienable.

 

Moral Rights Theory:

            The moral rights theory justifies otherwise wrongful conduct  because the actor has a right to protect their own interests - most often, their life or bodily integrity. This theory very easily fits the example of the “burglar-by-necessity”, discussed earlier, who breaks into a home during a blizzard to save their own life. This theory is in some ways the counterpart to moral forfeiture.4

            In the context of self-defense, this theory justifies a person who kills a lethal and threatening aggressor because they are protecting their own right to life.  The actor may also be justified in killing to thwart their own kidnapping, as they are asserting their right to autonomy. In states with “Stand Your Ground” laws, this theory is on full display, allowing someone to kill to defend themselves without any requirement of retreat. Crucially, it is not that the aggressor’s death is morally irrelevant (as in the moral forfeiture theory), but that the actor acts to protect their own right.5

            One draw of this theory is that it is very intuitive. The concept that each of us has certain moral rights, which we are morally entitled to defend, is an easy concept to get behind. It’s also hard to deny, at least in the case of a right to life. But this theory also doesn’t devalue the right to life of the aggressor (as moral forfeiture or even public benefit, to an extent, do). Application of this theory must be cautious, however,  because in an unlimited form it abandons any pretense of proportionality. If my right to, for example, property is sacrosanct, then I am allowed to kill a pickpocket or a trespasser to defend it. Milhizer, supra, at 843-44. Proportionality is essential to this theory.

 

Superior Interest (Lesser Harm) Theory:

Lesser harm theory acknowledges that the death of the decedent is a harm, but justifies conduct so long as it was the lesser harm of the possible outcomes. “Pursuant to this principle, the interests of the parties, and, more broadly, the values that they seek to enforce, are balanced.”6

            Under this theory, for example, one cannot kill a trespasser in their home because the harm of trespass is less than the harm of death. An aggressor can be killed only if their death is the lesser harm (or at least an equally lesser harm) of the possible outcomes, such as to avoid the death of the actor. As such, this theory is the most utilitarian in nature.

Lesser harm theory provides a very high bar for when the death of an aggressor is justified, consistent with the view that human life is of the utmost value. The drawback here is that, if that is the case, then one is always required to endure horrific abuse (so long as it is not lethal) if killing the aggressor is the only option.7

 

The Theories Applied:

Consider the following hypothetical.  A police officer is investigating a string of nonviolent burglaries, when she spots the perpetrator fleeing the scene of the crime. She gives chase, but the burglar is fast, and she begins to lose him. The officer knows that if he gets away, the burglar will strike again and again. She shoots and kills him. Which of the four theories of justification justifies the officer’s actions?

The officer was not protecting any of her own rights, so “moral rights” theory does not help her. The burglar has never used violence, and most people (certainly, all states) would agree these were non-capital offenses; the burglar did not, then, forfeit his right to life. Also, because of the paramount value of human life, the “lesser harm” theory would counsel that he be allowed to escape. But the officer is a public official, acting for the public benefit, and so “public benefit” theory may justify her actions.

What about the following alternatives: (1) the officer was actually a vigilante homeowner, defending her property from the burglar; (2) the burglar’s prior burglaries were aggravated, using force, and even once resulted in the death of an innocent; or (3) the burglar had their own gun, and turned around to shoot the pursuing officer. Do additional theories of justification help in any of these cases?



1 Joshua Dressler, Understanding Criminal Law, 198 (Carolina Academic Press, 8th ed., 2018).

2 Dressler, supra, at 200.

3 For example, in California, felons lose the right to vote, own guns, and serve on juries. Some rights are only temporarily lost, as an otherwise qualified person can register to vote again so long as they are "not imprisoned or on parole for the conviction of a felony." Cal. Elec. Code § 2101. Other rights are lost permanently (barring a pardon), so for example "any person who has been previously convicted of any [violent offense] and who owns ... any firearm is guilty of a felony." Cal. Penal Code § 29900.

4 Dressler, supra, at 200.

5 Id.

6 Id. at 201.

7 We will return to this problem later, in State v. Norman.

14.4.2 Insanity - Optional Reading 14.4.2 Insanity - Optional Reading

14.4.2.4 M'Naughten's Case 14.4.2.4 M'Naughten's Case

DANIEL M'NAGHTEN'S CASE.

May 26, June 19, 1843.


[Mews' Dig. i. 349; iv. 1112. S.C. 8 Scott N.R. 595; 1 C. and K. 130; 4 St. Tr. N.S, 847. The rules laid down in this case have been accepted in the main as an authoritative statement of the law (cf. Beg. v. Townley, 1863, 3 F. and F. 839; Beg. v. Southey, 1865, 4 F. and F. 864; Beg. v. Leigh, 1866, 4 F. and F. 919). But they have been adversely criticised both by legal and medical text writera (see 2 Steph. Hist Crim. Law, 124-186; Mayne Ind. Crim. Law (ed. 1896), 368), have been rejected by many of the American States (see e.g. Parsons v. State, 1887, 81 Ala. 577), and frequently receive a liberal interpretation in England. On point as to questions to the Judges, see note to London and Westminster Bank Case, 2 Cl. and F. 191.]

Murder-Evidence-lnsanity.

The House of Lords has a right to require the Judges to answer abstract questions of existing law (see London and Westminster Bank Case, ante [2 Cl. and F.], p. 191 [and note thereto].

Notwithstanding a party accused did an act, which was in itself criminal, under the influence of insane delusion, with a view of redressing or revenging some supposed grievance or injury, or of producing some public benefit, he is nevertheless punishable if he knew at the time that he was acting contrary to law.

That if the accused was conscious that the act was one which he ought not to do; and if the act was at the same time contrary to law, he is punishable. In all cases of this kind the jurors ought to be told that every man is presumed to be sane, and to possess a sufficient degree of reason to be responsible for his crimes, until the contrary be proved to their satisfaction: and that to establish a defence on the ground of insanity, it must be clearly proved that at the time of commiting the act the party accused was labouring under such a defect of reason, from disease of the mind, as not to know the nature and quality of the act he was doing, or as not to know that what he was doing was wrong.

That a party labouring under a partial delusion must be considered in the same situation, as to responsibility, as if the facts, in respect to which the delusion exists, were real.

That where an accused person is supposed to be insane, a medical man, who has been present in Court and heard the evidence, may be asked, as a matter of science, whether the facts stated by the witnesses, supposing them to be true, show a state of mind incapable of distinguishing between right and wrong.

The prisoner had been indicted for that he, on the 20th day of January 1843, at the parish of Saint Martin in the Fields, in the county of Middlesex, and within the jurisdiction of the Central Criminal Court, in and upon one Edward Drummond, feloniously, wilfully, and of his malice aforethought, did make an assault; and that the said Daniel M'Naghten, a certain pistol of the value of 20s., loaded and [201] charged with gunpowder and a leaden bullet (which pistol he in his right hand had and held), to, against and upon the said Edward Drummond, feloniously, wil-fully, and of his malice aforethought, did shoot and discharge; and that the said Daniel M'Naghten, with the leaden bullet aforesaid, out of the pistol aforesaid, by force of the gunpowder, etc., the said Edward Drummond, in and upon the back of him the said Edward Drummond, feloniously, etc. did strike, penetrate and wound, giving to the said Edward Drummond, in and upon the back of the said Edward Drummond, one mortal wound, etc., of which mortal wound the said E. Drummond languished until the 25th of April and then died; and that by the means aforesaid, lie the prisoner did kill and murder the said Edward Drummond. The prisoner pleaded Not guilty. 

Evidence having been given of the fact of the shooting of Mr .Drummond, and of his death in consequence thereof, witnesses were called on the part of the prisoner, to prove that he was not, at the time of committing the act, in a sound state of mind. The medical evidence was in substance this: That persons of otherwise sound mind, might be affected by morbid delusions: that the prisoner was in that condition: that a person so labouring under a morbid delusion, might have a moral perception of right and wrong, but that in the case of the prisoner it was a delusion which carried him away beyond the power of his own control, and left him no such perception; and that he was not capable of exercising any control over acts which had connexion with his delusion: that it was of the nature of the disease with which the prisoner was affected, to go on gradually until it had reached a climax, when it burst forth with irresistible [202] intensity: that a man might go on for years quietly, though at the same time under its influence, but would all at once break out into the most extrava- gant and violent paroxysms.

Some of the witnesses who gave this evidence, had previously examined the prisoner: others had never seen him till he appeared in Court, and they formed their opinions on hearing the evidence given by the other witnesses.

Lord Chief Justice Tindal (in his charge): -The question to be determined is, whether at the time the act in question was committed, the prisoner had or had not the use of his understanding, so as to know that he was doing a wrong or wicked act. If the jurors should be of opinion that the prisoner was not sensible, at the time he committed it, that he was violating the laws both of God and man, then he would be entitled to a verdict in his favour: but if, on the contrary, they were of opinion that when he committed the act he was in a sound state of mind, then their verdict must be against him. 

Verdict, Not guilty, on the ground of insanity.

This verdict., and the question of the nature and extent of the unsoundness of mind which would excuse the commission of a felony of this sort, having been made the subject of debate in the House of Lords (the 6th and 13th March 1843 ; see Hansard's Debates, vol. 67, pp. 288, 714), it was determined to take the opinion of the Judges on the law governing such cases. Accordingly, on the 26th of May, all the Judges attended their Lordships, but no questions were then put.

On the 19th of June, the Judges again attended the House of Lords; when (no argument having been [203] had) the following questions of law were propounded to them:-

1st. What is the law respecting alleged crimes committed by persons afflicted with insane delusion, in respect of one or more particular subjects or persons: as, for in- stance, where at the time of the commission of the alleged crime, the accused knew he was acting contrary to law, but did the act complained of with a view, under the influence of insane delusion, of redressing or revenging some supposed grievance or injury, or of producing some supposed public benefit?

2d. What are the proper questions to be submitted to the jury, when a person alleged to be afflicted with insane delusion respecting one or more particular subjects or persons, is charged with the commission of a crime (murder, for example), and in-sanity is set up as a defence?

3d. In what terms ought the question to be left to the jury, as to the prisoner's state of mind at the time when the act was committed?

4th. If a person under an insane delusion as to existing facts, commits an offence in consequence thereof, is he thereby excused?

5th. Can a medical man conversant with the disease of insanity, who never saw the prisoner previously to the trial, but who was present during the whole trial and the examination of all the witnesses, be asked his opinion as to the state of the prisoner's mind at the time of the commission of the alleged crime, or his opinion whether the prisoner was conscious at the time of doing the act, that he was acting contrary to law, or whether he was labouring under any and what delusion at the time?

[204] Mr. Justice Maule :--I feel great difficulty in answering the questions put by your Lordships on this occasion :-First, because they do not appear to arise out of and are not put with reference to a particular case, or for a particular purpose, which might explain or limit the generality of their terms, so that full answers to them ought to be applicable to every possible state of facts, not inconsistent with those assumed in the questions: this difficulty is the greater, from the practical experience both of the bar and the Court being confined to questions arising out of the facts of particular cases :-Secondly, because I have heard no argument at your Lordships' bar or elsewhere, on the subject of these questions; the want of which I feel the more, the greater are the number and extent of questions which might be raised in argu- ment:-and Thirdly, from a fear of which I cannot divest myself, that as these ques- tions relate to matters of criminal law of great importance and frequent occurrence, the answers to them by the Judges may embarrass the administration of justice, when they are cited in criminal trials. For these reasons I should have been glad if my learned brethren would have joined me in praying your Lordships to excuse us from answering these questions; but as I do not think they ought to induce me to ask that indulgence for myself individually, I shall proceed to give such answers as I can, after the very short time which I have had to consider the questions, and under the difficulties I have mentioned; fearing that my answers may be as little satisfactory to others as they are to myself.

The first question, as I understand it, is, in effect, What is the law respecting the alleged crime, when at the time of the commission of it, the accused knew he was acting contrary to the law, but did the act [205] with a view, under the influence of insane delusion, of redressing or revenging some supposed grievance or injury, or of producing some supposed public benefit?-If I were to understand this question according to the strict meaning of its terms, it would require, in order to answer it, a solution of all questions of law which could arise on the circumstances stated in the question, either by explicitly stating and answering such questions, or by stating some principles or rules which would suffice for their solution. I am quite unable to do so, and, indeed, doubt whether it be possible to be done; and therefore request to be permitted to answer the question only so far as it comprehends the question, whether a person, circumstanced as stated in the question, is, for that reason only, to be found not guilty of a crime respecting which the question of his guilt has been duly raised in a criminal proceeding? and I am of opinion that he is not. "'There is no law, that I am aware of, that makes persons in the state described in the question not re.:ponsible for their criminal acts. To render a person irresponsible for crime on account of unsoundness of mind, the unsoundness should, according to the law as it has long been understood and held, be such as rendered him incapable of knowing right from wrong. The terms used in the question cannot be said (with reference only to the usage of language) to be equivalent to a description of this kind and degree of unsoundness of mind. If the state described in the question be one which involves or is necessarily connected with such an unsoundness, this is not a matter of law but of physiology, and not of that obvious and familiar kind as to be inferred without proof. 

Second, the questions necessarily to be submitted to the jury, are those questions of fact which are [206] raised on the record. In a criminal trial, the question com- monly is, whether the accused be guilty or not guilty: but, in order to assist the jury in coming to a right conclusion on this necessary and ultimate question, it is usual and proper to submit such subordinate or intermediate questions, as the course which the trial has taken may have made it convenient to direct their attention to. What those questions are, and the manner of submitting them, is a matter of discretion for the Judge: a discretion to be guided by a consideration of all the circumstances at- tending the inquiry. In performing this duty, it is sometimes necessary or con- venient to inform the jury as to the law; and if, on a trial such as is suggested in the question, he should have occasion to state what kind and degree of insanity would amount to a defence, it should be stated conformably to what I have mentioned in my answer to the first question, as being, in my opinion, the law on this subject.

Third, there are no terms which the Judge is by law required to use. They should not be inconsistent with the law as above stated, but should be such as, in the dis- cretion of the Judge, are proper to assist the jury in coming to a right conclusion as to the guilt of the accused.

Fourth, the answer which I have given to the first question, is applicable to this. Fifth, whether a question can be asked, depends, 'not merely on the questions of fact raised on the record, but on the course of the cause at the time it is proposed to ask it; and the state of an inquiry as to the guilt of a person charged with a crime, and defended on the ground of insanity, may be such, that such a question as either of those suggested, is proper to be asked and answered, though the witness has [207] never seen the person before the trial, and though he has merely been present and heard the witnesses: these circumstances, of his never having seen the person before, and of his having merely been present at the trial, not being necessarily suffi- cient, as it seems to me, to exclude the lawfulness of a question which is otherwise lawful; though I will not say that an inquiry might not be in such a state, as that these circumstances should have such an effect.

Supposing there is nothing else in the state of the trial to make the questions suggested proper to be asked and answered, except that the witness had been present and heard the evidence; it is to be considered whether that is enough to sustain the question. In principle it is open to this objection, that as the opinion of the witness is founded on those conclusions of fact which he forms from the evidence, and as it does not appear what those conclusions are, it may be that the evidence he gives is on such an assumption of facts, as makes it irrelevant to the inquiry. But such ques- tions have been very frequently asked, and the evidence to which they are directed has been given, and has never, that I am aware of, been successfully objected to. Evi- dence, most clearly open to this objection, and on the admission of which the event of a most important trial probably turned, was received in the case of The Queen v. M'Naghten, tried at the Central Criminal Court in March last, before the Lord Chief Justice, Mr. Justice Williams, and Mir. Justice Coleridge, in which counsel of the highest eminence were engaged on both sides; and I think the course and practice of receiving such evidence, confirmed by the very high authority of these Judges, who not only received it, but left it, as I understand, to the jury, without any remark derogating from its [208] weight, ought to be held to warrant its reception, notwith- standing the objection in principle to which it may be open. In cases even where the course of practice in criminal law has been unfavourable to parties accused, and entirely contrary to the most obvious principles of justice and humanity, as well as those of law, it has been held that such practice constituted the law, and could not be altered without the authority of Parliament.

Lord Chief Justice Tindal :-ly Lords, Her Majesty's Judges (with the exception of Mr. Justice Maule, who has stated his opinion to your Lordships), in answering the questions proposed to them by your Lordships' House, think it right, in the first place, to state that they have forborne entering into any particular discussion upon these questions, from the extreme and almost insuperable difficulty of applying those answers to cases in which the facts are not brought judicially before them. The facts of each particular case must of necessity present themselves with endless variety, and with every shade of difference in each case; and as it is their duty to declare the law upon each particular case, on facts proved before them, and after hearing argument of counsel thereon, they deem it at once impracticable, and at the same time danger- ous to tbe administration of justice, if it were practicable, to attempt to make minute applications of the principles involved in the answers given by them to your Lord- ships' questions.

They have therefore confined their answers to the statement of that which they hold to be the law upon the abstract questions proposed by your Lordships; and as they deem it unnecessary, in this peculiar case, to deliver their opinions seriatim, and as all concur in [209] the same opinion, they desire me to express such their unanimous opinion to your Lordships.

The first question proposed by your Lordships is this: "What is the law respect- ing alleged crimes committed by persons afflicted with insane delusion in respect of one or more particular subjects or persons: as, for instance, where at the time of the commission of the alleged crime the accused knew he was acting contrary to law, but did the act complained of with a view, under the influence of insane delusion, of re- dressing or revenging some supposed grievance or injury, or of producing some sup- posed public benefit ?"

In answer to which question, assuming that your Lordships' inquiries are con- fined to those persons who labour under such partial delusions only, and are not in other respects insane, we are of opinion that, notwithstanding the party accused did the act complained of with a view, under the influence of insane delusion, of redress- ing or revenging some supposed grievance or injury, or of producing some public benefit, he is nevertheless punishable according to the nature of the crime committed, if he knew at the time of committing such crime that he was acting contrary to law; by which expression we understand your Lordships to mean the law of the land.

Your Lordships are pleased to inquire of us, secondly, "What are the proper ques- tions to be submitted to the jury, where a person alleged to be afflicted with insane delusion respecting one or more particular subjects or persons, is charged with the commission of a crime (murder, for example), and insanity is set up as a defence?" And, thirdly, "In what terms ought the question to be left to the jury as to the prisoner's state of mind at the time when [210] the act was committed? " And as these two questions appear to us to be more conveniently answered together, we have to submit our opinion to be. that the jurors ought to be told in all cases that every man is to be presumed to be sane, and to possess a sufficient degree of reason to be respon- sible for his crimes,until the contrary be proved to their satisfaction ; and that to estab- lish a defence on the ground of insanity, it must be clearly proved that, at the time of the committing of the act, the party accused was labouring under such a defect of reason, from disease of the mind, as not to know the nature and quality of the act he was doing; or, if he did know it, that he did not, know he was doing what was wrong. The mode of putting the latter part of the question to the jury on these occasions has generally been, whether the accused at the time of doing the act knew the difference between right and wrong: which mode, though rarely, if ever, leading to any mistake with the jury, is not, as we conceive, so accurate when put generally and in the abstract, as when put with reference to the party's knowledge of right and wrong in respect to the very act with which he is charged. If the question were to be put as to the knowledge of the accused solely and exclusively with reference to the law of the land, it might tend to confound the jury, by inducing them to believe that an actual knowledge of the law of the land was essential in order to lead to a convic- tion ; whereas the law is administered upon the principle that every one must be taken conclusively to know it, without proof that he does know it. If the accused was con- scious that the act was one which he ought not to do, and if that act was at the same time contrary to the law of the land, he is punishable; and the usual course therefore [211] has been to leave the question to the jury, whether the party accused had a suffi- cient degree of reason to know that he was doing an act that was wrong: and this course we think is correct, accompanied with such observations and explanations as the circumstances of each particular case may require.

The fourth question which your Lordships have proposed to us is this :-"If a person under an insane delusion as to existing facts, commits an offence in conse- quence thereof, is he thereby excused?" To which question the answer must of course depend on the nature of the delusion: but, making the same assumption as we did before, namely, that he labours under such partial delusion only, and is not in other respects insane, we think he must be considered in the same situation as to responsi- bility as if the facts with respect to which the delusion exists were real. For example, if under the influence of his delusion he supposes another man to be in the act of attempting to take away his life, and he kills that man, as he supposes, in self-defence, he would be exempt from punishment. If his delusion was that-the deceased had in- flicted a serious injury to his character and fortune, and he killed him in revenge for such supposed injury, he would be liable to punishment.

The question lastly proposed by your Lordships is :-" Can a medical man con- versant with the disease of insanity, who never saw the prisoner previously tothe trial, but who was present during the whole trial and the examination of all the witnesses, be asked his opinion as to the state of the prisoner's mind at the time of the commis- sion of the alleged crime, or his opinion whether the prisoner was conscious at the time of doing the act that he was acting contrary to law, or whether he was labouring under any and [212] what delusion at the time?" In answer thereto, we state to your Lordships, that we think the medical man, under the circumstances supposed, cannot in strictness be asked his opinion in the terms above stated, because each of those questions involves the determination of the truth of the facts deposed to, which it is for the jury to decide, and the questions are not mere questions upon a matter of science, in which case such evidence is admissible. But where the facts are admitted or not disputed, and the question becomes substantially one of science only, it may be convenient to allow the question to be put in that general form, though the same cannot be insisted on as a matter of right.

Lord Brougham:- My Lords, the opinions of the learned Judges, and the very able manner in which they have been presented to the House, deserve our best thanks. One of the learned Judges has expressed his regret that these questions were not argued by counsel. Generally speaking, it is most important that in questions put for the consideration of the Judges, they should have all that assistance which is afforded to them by an argument by counsel: but at the same time, there can be no doubt of your Lordships' right to put, in this way, abstract questions of law to the Judges, the answer to which might be necessary to your Lordships in your legislative capacity. There is a precedent for this course, in the memorable instance of Air. Fox's Bill on the law of libel; where, before passing the Bill, this House called on the Judges to give their opinions on what was the law as it then existed.

Lord Campbell :- My Lords, I cannot avoid express-[213]-ing my satisfaction, that the noble and learned Lord on the woolsack carried into effect his desire to put these questions to the Judges. It was most fit that the opinions of the Judges should be asked on these matters, the settling of which is not a mere matter of speculation; for your Lordships may be called on, in your legislative capacity, to change the law; and before doing so, it is proper that you should be satisfied beyond doubt what the law really is. It is desirable to have such questions argued at the bar, but such a course is not always practicable. Your Lordships have been reminded of one prece-dent for this proceeding, but there is a still more recent instance; the Judges having been summoned in the case of the Canada Reserves, to express their opinions on what was then the law on that subject. The answers given by the Judges are most highly satisfactory, and will be of the greatest use in the administration of justice. 

Lord Cottenham :- My Lords, I fully concur with the opinion now expressed, as to the obligations we owe to the Judges. It is true that they cannot be required to say what would be the construction of a Bill, not in existence as a law at the moment at which the question is put to them; but they may be called on to assist your Lord- ships, in declaring their opinions upon abstract questions of existing law.

Lord Wynford :- My Lords, I never doubted thatyour Lordships possess the power to call on the Judges to give their opinions upon questions of existing law, proposed to them as these questions have been. I myself recollect, that when I had the honour to hold the office of Lord Chief Justice of the Court of [214] Common Pleas, I com- municated to the House the opinions of the Judges on questions of this sort., framed with reference to the usury laws. Upon the opinion of the Judges thus delivered to the House by me, a Bill was founded, and afterwards passed into a law.

The Lord Chancellor :- My Lords, I entirely concur in the opinion given by my noble and learned friends, as to our right to have the opinions of the Judges on ab- stract questions of existing law; and I agree that we owe our thanks to the Judges, for the attention and learning with which they have answered the questions now put to them.

14.4.3 Necessity and Duress- Optional Reading 14.4.3 Necessity and Duress- Optional Reading

Excuses, unlike justifications, do not assert that an action was morally right: instead, they deem an action to have been wrong, but less blameworthy under the circumstances. Every category of excuse, however, raises problems. In the case of duress, the question becomes what level of duress is necessary to excuse a crime, and what crimes can it excuse? As you will see, there is both a traditional duress doctrine and a reformed doctrine promoted by the Model Penal Code. Consider the differences between duress (an excuse) and necessity (a justification). What is the distinction between them, and why does blameworthiness attach to one but not the other?

14.4.3.2 Nelson v. State 14.4.3.2 Nelson v. State

Dale Lee NELSON, Appellant, v. STATE of Alaska, Appellee.

No. 3802.

Supreme Court of Alaska.

July 20, 1979.

Robert Coats, Asst. Public Defender, Fairbanks, Brian C. Shortell, Public Defender, Anchorage, for appellant.

Rhonda F. Butterfield, Asst. Dist. Atty., Harry L. Davis, Dist. Atty., Fairbanks, Av-rum M. Gross, Atty. Gen., Juneau, for ap-pellee.

Before RABINOWITZ, C. J., and CON-NOR, BOOCHEVER, BURKE and MATTHEWS, JJ.

OPINION

MATTHEWS, Justice.

Shortly after midnight on May 22, 1976, Dale Nelson drove his four-wheel drive truck onto a side road off the Steese Highway near mile 68. His truck became bogged down in a marshy area about 250 feet off the highway. Nelson testified that he was afraid the truck might tip over in the soft ground. He and his two companions, Lynnette Stinson and Carl Thompson, spent an hour unsuccessfully trying to free the vehicle. At about 1:00, Nelson began walking with Stinson down the highway. An acquaintance drove by and offered to help, but was unable to render much assistance. He then drove Nelson and Stinson to a Highway Department Yard where heavy equipment was parked. The yard was *978marked with “no-trespassing” signs. After waiting several hours for someone to come by, they decided to take a dump truck and use it to pull out Nelson’s vehicle. The dump truck also became stuck.

At approximately 10:00 that morning a man identified only as “Curly” appeared. His vehicle was also stuck further down the highway. Curly offered to assist Nelson. They returned to the heavy equipment yard and took a front-end loader, which they used to free the dump truck. They then used the dump truck to free Curly’s car. The dump truck was returned to the equipment yard, but when Nelson attempted to use the front-end loader to free his own truck the front-end loader also became bogged down.

Frustrated and tired after twelve hours of attempting to free his vehicle, Nelson and his companions quit and went to sleep. Two of them slept in a tent. One of them went to sleep in the truck. They were awakened by a Highway Department employee, who placed them under citizen’s arrest.

Considerable damage was done to both the front-end loader and the dump truck as a result of Nelson’s attempt to free his truck.1 Ultimately, the truck was pulled from the mud three days later. Nelson was convicted in district court of reckless destruction of personal property in violation of AS 11.20.515(b)2 and joyriding in violation of AS 28.35.010.3 This conviction was affirmed on appeal to the superior court.

The sole question presented is whether the jury was properly instructed on the defense of necessity. Nelson requested an instruction which read:

You are instructed that the defendant is allowed to use a motor vehicle of another person without permission if the use is for an emergency in the case of immediate and dire need.
You are further instructed that once the defendant has raised the issue of emergency or necessity, the state must prove the lack of emergency or necessity beyond a reasonable doubt.

Over Nelson’s objection, the court gave an instruction on the necessity defense which read as follows:

You are instructed that it is a defense to a crime such as joyriding or taking someone else’s motor vehicle without his permission that the person acted out of necessity in a case of immediate and dire need. However, such a defense exists only when natural forces create a situation wherein it becomes necessary for a person to violate the law in order to avoid a greater evil to himself or his property. The harm’ which is to be avoided must be the greater harm and it must be immediate and dire. Where a reasonable alternative other than violating the law is available in order to avoid the harm the defense of necessity is not applicable.4

*979Nelson argues that the jury instruction was erroneous because it allowed the jury to apply what he calls an “objective, after-the-fact” test of need and emergency, rather than a “subjective, reasonable man” test. By this we assume Nelson means that he was entitled to have explained to the jury that they must view the question of necessity from the standpoint of a reasonable person knowing all that the defendant did at the time he acted.

We affirm the conviction. We note at the outset that the instruction proposed by Nelson is similarly lacking of any explicit language allowing the jury to find necessity if there was a reasonable belief that an emergency existed as opposed to an actual emergency. Thus even if Nelson’s proposed instruction had been given verbatim the alleged error would not have been corrected. Beyond this, however, we find any error in the instruction given to have been harmless.

The defense of necessity may be raised if the defendant’s actions, although violative of the law, were necessary to prevent an even greater harm from occurring.

The rationale of the necessity defense is not that a person, when faced with the pressure of circumstances of nature, lacks the mental' element which the crime in question requires. Rather, it is this reason of public policy: the law ought to promote the achievement of higher values at the expense of lesser values, and sometimes the greater good for society will be accomplished by violating the literal language of the criminal law.

W. LaFave & A. Scott, Criminal Law § 50 at 382 (1972).

Commentators generally agree that there are three essential elements to the defense: 1) the act charged must have been done to prevent a significant evil; 2) there must have been no adequate alternative; 3) the harm caused must not have been disproportionate to the harm avoided. Arnolds & Garland, The Defense of Necessity in Criminal Law: The Right to Choose the Lesser Evil, 65 J. of Crim.L.P. & C.S. 289, 292 (1974); See W. LaFave & A. Scott, supra § 50 at 385-88.

The instruction given adequately describes these requirements for the jury. Nelson argues that he was entitled to wording which would explicitly allow the jury to find a necessity defense if a reasonable person at the time of acting would have believed that the necessary elements were present. Nelson is correct in stating that the necessity defense is available if a person acted in the reasonable belief that an emergency existed and there were no alternatives available even if that belief was mistaken.5 Moreover, the person’s actions *980should be weighed against the harm reasonably foreseeable at the time, rather than the harm that actually occurs.6

Assuming that the instruction given was not worded adequately to convey these concepts to the jury, we would find the error harmless, for Nelson failed to make out a case for the necessity defense. The “emergency” situation claimed by Nelson to justify his appropriation of the construction equipment was the alleged danger that his truck, stuck in the mud, might tip over, perhaps damaging the truck top. However by the time Nelson decided to use the equipment the truck had already been stuck for several hours. The dire nature of the emergency may be judged by the fact that some twelve hours later, having unsuccessfully attempted to remove the vehicle from the mud, one of Nelson’s companions fell asleep in the truck, which had still not tipped over.

Nor can it be said that Nelson had no lawful alternatives in his situation. The record shows that during the time Nelson was trying to free the vehicle people stopped on several different occasions and offered their services in the form of physical assistance; rides, or offers to telephone state troopers or a tow truck.

Finally, it cannot be said that the harm sought to be avoided in this case — potential damage to Nelson’s truck — was greater than the harm caused by Nelson’s illegal, actions. Even disregarding the actual damage to the equipment caused by Nelson’s use, the seriousness of the offenses committed by Nelson were disproportionate to the situation he faced. The legislature has made this clear by making reckless destruction of personal property a crime punishable by imprisonment for up to one year and a $5,000 fine,7 and joyriding punishable by imprisonment for up to one year and a $1,000 fine.8 The equipment taken by Nelson was marked with no trespassing signs. Nelson’s fears about damage to his truck roof were no justification for his appropriation of sophisticated and expensive equipment.

AFFIRMED.

14.4.3.3 Greenwood v. State 14.4.3.3 Greenwood v. State

Jennifer GREENWOOD, Petitioner, v. STATE of Alaska, Respondent.

No. S-13449.

Supreme Court of Alaska.

Aug. 20, 2010.

*1019Margi Mock, Assistant Public Defender, and Quinlan Steiner, Public Defender, Anchorage, for Petitioner.

Diane L. Wendlandt, Assistant Attorney General, Office of Special Prosecutions and Appeals, Anchorage, and Daniel S. Sullivan, Attorney General, Juneau, for Respondent.

Before: CARPENETI, Chief Justice, FABE, WINFREE, CHRISTEN, and STOWERS, Justices.

*1020OPINION

FABE, Justice.

I. INTRODUCTION

In August 2006 Jennifer Greenwood fled from her home in North Pole in the middle of the night, believing that she was about to be attacked by her former boyfriend and that he was planning to burn down his parents' nearby home. After screaming for help and calling 911, Greenwood got into her van and drove away. Greenwood drove less than a mile to her ex-boyfriend's parents' home and honked to try to wake them. She then drove a few blocks to the nearest well-lighted area along the highway, where she stopped to wait for the troopers who were responding to her 911 call, flagging them down when they arrived.

Greenwood had been drinking, and she was arrested and charged with felony driving under the influence. After hearing evidence and testimony about these incidents, the trial court denied Greenwood a jury instruction on the necessity defense, concluding that Greenwood was justified only in driving as far as her ex-boyfriend's parents' home. A jury convicted Greenwood, and the court of appeals affirmed, reasoning that Greenwood had presented no evidence that the danger continued after she reached the parents' home and that she had the alternative of remaining in her van with the doors locked. Because we conclude that Greenwood presented some evidence of each of the elements of the necessity defense, we reverse and remand for a new trial with a necessity instruction.

II FACTS AND PROCEEDINGS

On August 10, 2006, Jennifer Greenwood was home alone in her camper in North Pole waiting for Jay Way to arrive. Greenwood wanted to speak with Way, whom she had dated that summer, about her missing puppy that she suspected he may have taken. Because Greenwood's camper did not have electricity, she started a bonfire outside and lit some candles both inside and outside of the camper. As it grew late, Greenwood assumed that Way was not coming, and she let the fire burn down and began preparing for bed.

But Way did arrive on his four wheeler, and he and Greenwood had a couple of glasses of wine. Greenwood testified that when she brought up the subject of the missing puppy, Way seemed "kind of [] mad," which made her feel vulnerable and afraid. Greenwood testified that she had been told that Way had been physically abusive with his previous girlfriend and had drug problems, and she decided that the best way to avoid conflict in the situation would be to agree to have sex with Way.

Afterwards, Greenwood went outside to check on the fire. While she was outside, she overheard Way "mumbling" inside the camper about how he was going to burn down both Greenwood's camper and his parents' home and how he would not go back to jail because "there won't be any witnesses." Greenwood then observed Way flinging the lit candles around her camper, so she began screaming for her neighbors to help her or call 911. When no one came to her aid, Greenwood ran into the woods barefoot with her other dog. She testified that she could hear Way thrashing around and throwing things, presumably in his search for her.

Greenwood's dog got away from her, ran towards Way, and began to bark. Way picked up a two-by-four board and swung it at the dog. While Way was distracted, Greenwood sneaked into the camper to grab her purse containing her cell phone and quietly headed back into the woods. Greenwood called her dog back to her and dialed 911 to request help. After she explained that Way was trying to burn down her house, the dispatch operator wanted her to stay on the line, but the dog got away again and started barking at Way, so Greenwood hung up. Way then hit Greenwood's dog with the two-by-four and began "to ride all around" on his four wheeler.

At that point, Greenwood ran to her van with her dog. She testified that she felt that she needed to get out of the situation and to drive to Way's parents' house to warn them of the danger because she did not have their telephone number. Greenwood decided to drive on the back road to reach Way's par*1021ents' house, less than a mile away, in order to avoid the fast traffic on the main road and to avoid crossing paths with Way. When Greenwood arrived at Way's parents' home, she saw that all of the lights were off, so she slowed down and honked her horn to try to rouse them. She did not stop because she was afraid of running into Way, who lived with his parents, and because there were no lights on at the house. Greenwood then drove a "couple of blocks" to the nearest well-lighted spot on the main road, Holmes Road. She parked to wait for the troopers who would be responding to her 911 call, and when she saw them, she flagged them down by honking her horn and opening her door.

When the troopers arrived sometime after 2:00 a.m., they found Greenwood distraught and crying on the side of the road. While interacting with Greenwood, the troopers smelled alcohol and observed that she was exhibiting signs of intoxication. Greenwood submitted to a portable breath test and was arrested for driving under the influence. A Datamaster test later showed Greenwood's blood aleohol concentration to be 0.184 percent.

Greenwood was charged with felony driving under the influence in violation of AS 28.35.030(n) on August 16, 2006. The case was assigned to Superior Court Judge Randy M. Olsen for trial. Before trial began, the State moved for a protective order that would prevent Greenwood from raising the affirmative defense of necessity. The trial court did not rule on this matter immediately, but instead elected to hear the evidence before making a decision. After the State presented its case, Greenwood made an offer of proof to the court on what her expected evidence of the defense would be. The court allowed her to present this evidence despite the State's argument that Greenwood had reasonable alternatives available to her.

After hearing Greenwood's testimony, the superior court stated that Greenwood had "at least created a jury question" as to whether or not Greenwood had an adequate alternative method of warning Way's parents of the evil she was seeking to prevent. The trial court ruled as a matter of law, however, that upon Greenwood's arrival at Way's parents' house, the necessity ended: "[Ojnce she got to the parents' house, she would have accomplished everything that she wanted to accomplish. It would've been warning the parents. It would've been finding a safe haven. It was a house that she knew. At that point, she was not justified in driving further." The court explained that "if there's a continuing offense, like drunk driving, the illegal conduct must be stopped as soon as the necessity ends," and it refused to instruct the jury on the necessity defense.

Greenwood immediately moved for reconsideration and a mistrial, arguing that "it would be extremely prejudicial" for her testimony to be stricken. The trial court denied both of the motions but did not strike Greenwood's testimony. Greenwood was convicted and sentenced to 24 months in prison with 20 months suspended.

Greenwood appealed her conviction to the court of appeals, arguing that she was entitled to a necessity instruction under the circumstances.1 The court of appeals affirmed the trial court's ruling, reasoning that Greenwood's failure to remain at Way's parents' house because she did not wish to encounter Way undermined her argument that it was necessary for her to drive to their house to warn them of Way's intentions, making an encounter with Way "seemingly ... inevitable." 2 The court of appeals further pointed out that Greenwood did not offer any evidence that Way ever arrived at his parents' house or that "she would have been in danger had she simply stayed in her car, with the doors locked, and continued honking her horn until she roused Way's parents." 3

Chief Judge Coats dissented from the memorandum - opinion, - maintaining - that Greenwood had "presented 'some evidence' to justify her decision to drive to the main road to contact the state troopers" because her testimony demonstrated that she was concerned about an encounter with Way and *1022that she wanted to ensure that the troopers were able to find both her and the Way residence.4 In the dissent's view, "a jury could reasonably find that Greenwood's decision to avoid a confrontation with Way was justifiable." 5 Moreover, the dissent noted that Greenwood had "asserted the basis for her defense before she was arrested." 6

We granted Greenwood's petition for hearing on the question of whether she was entitled to a necessity instruction at trial.

III. STANDARD OF REVIEW

"A defendant is entitled to a jury instruction on the necessity defense if [she] presents 'some evidence' in support of that defense."7 We review whether a defendant has presented some evidence of a proposed defense de novo after considering the entire record 8 and viewing the evidence in the light most favorable to the defendant.9

IV. DISCUSSION

"The common law defense of necessity is available to criminal defendants in Alaska except where preempted or excluded by the legislature."10 To receive the benefit of a necessity defense, the defendant must show the existence of three essential elements: "10 [the act charged must have been done to prevent a significant evil; 2) there must have been no adequate alternative; 3) the harm caused must not have been disproportionate to the harm avoided." 11 When the defendant is accused of a continuing offense, such as drunk driving, she "must also show some evidence that []4) she stopped violating the law as soon as the necessity ended." 12 In order to receive the benefit of this defense, the accused must have "reasonably believed at the time of acting that the first, second, and ... fourth elements were present." 13 The defendant's value judgment concerning the third element, whether the "reasonably foreseeable harm resulting from the violation would be less than the harm resulting from compliance with the law," is evaluated objectively using the facts as the defendant reasonably perceived them.14

If a defendant presents "some evidence" of each of these elements, the defendant is entitled to a jury instruction on the necessity defense.15 "'Some evidence' is evidence that, viewed in the light most favorable to the defendant, would allow a reasonable juror to find in the defendant's favor on each element of the defense."16 The "some evidence" burden is not a heavy one-as long as the defendant produces some evidence to support each element of the defense, "any weakness or implausibility in that evidence is irrelevant" 17 and "a matter for the jury, not for the court."18 As the court of appeals *1023noted, "a strong argument can be made that a trial judge should err on the side of giving instructions" on a proposed defense in order to prevent the jury from considering "its own understanding of what [the proposed] defense is in the absence of an instruction from the court."19

Greenwood argues that she presented some evidence of each element of the necessity defense and that she was therefore entitled to a jury instruction. The State counters that Greenwood failed to present evidence "from which a juror could conclude that her stated belief in the need to continue driving after reaching the Way home was reasonable." We consider de novo whether Greenwood has presented some evidence of each of the elements of the necessity defense."20

A. Greenwood Presented Some Evidence That She Drove Under The Influence To Prevent A Significant Evil.

Both the trial court and the court of appeals accepted Greenwood's contention that she needed to drive away from her camper on the night in question to prevent a significant evil.21 But both courts seemed to define the significant evil to be prevented narrowly: "impending arson" perpetrated against Way's parents.22 Greenwood argues a broader theory of the threat she was seeking to avoid, that "she was terrified for her safety and the safety of Way's parents."

Greenwood testified that she overheard Way say that he was planning on burning down his parents' home and would leave no witnesses and that she saw him take aggressive actions, such as throwing lit candles inside her camper and hitting her dog with a board. This testimony provides some evidence that Greenwood was seeking to prevent several evils: physical harm to herself, harm to Way's parents, and arson to her home and Way's parents' home. These harms are significant and consistent with the requirement that "the harm sought to be avoided by a defendant raising the necessity defense must have emanated either from a natural cause or from illegal human acts."23

As Chief Judge Coats pointed out in his dissent, "[ulnlike most cases where defendants claim, after the fact, that their violation of the law was justified by necessity, Greenwood asserted the basis for her defense before she was arrested." 24 Greenwood's fear apparently motivated her to call the police and then flag them down, despite the fact that it was obvious that she had broken the law by drinking and driving. This persuades us that she reasonably believed that her conduct was necessary at the time of acting. We conclude that Greenwood presented some evidence of the first element, that there were several significant harms that her actions were calculated to avoid.

B. Greenwood Presented Some Evidence That There Were No Adequate Alternatives And That The Necessity Continued Until She Stopped Driving.

We next consider whether Greenwood presented some evidence of both the second element-that there were no adequate alternatives to the unlawful action-and the fourth element-that the legal violation stopped as soon as the necessity ended. There is some inherent factual overlap between the second element and the fourth element because an alternative that becomes available at a given point during a continuing violation can serve to end the necessity. Because we look to the reasonableness of Greenwood's beliefs at the time she acted in evaluating whether she has presented some evidence of both the second and fourth ele*1024ments, we will consider these elements together."25

The trial court agreed with Greenwood that she provided some evidence of a necessity that required her to drive away from her camper and to Way's parents' house, and the court of appeals did not disturb this ruling.26 The court of appeals explained, "Greenwood presented no evidence to suggest that it was reasonable for her to believe (1) that this danger remained an immediate one [upon arriving at Way's parents' house] and (2) that she needed to continue driving to avert it." 27 The majority opinion reasoned that Greenwood's failure to stop at the Way residence because she did not want to encounter Way undercut her justification for driving there in the first place-warning Way's parents of his imminent arrival and intentions.28

The court of appeals also pointed to a potential alternative:

In addition, Greenwood offered no evidence that she would have been in danger had she simply stayed in her car, with the doors locked, and continued honking her horn until she roused Way's parents. Greenwood may have subjectively believed that it would not be safe for her to follow this course of action-but ... a defendant's subjective beliefs are not sufficient, standing alone, to establish this prong of the necessity defense.[29]

As previously stated, in deciding whether a defendant has produced some evidence that no adequate alternative existed and that the violation of the law ceased once the necessity ended, courts consider the defendant's reasonable beliefs at the time, even if those beliefs are mistaken, rather than objectively weighing all potential alternatives.30 The implausibility of a defendant's story, or any weakness in the evidence supporting that story, is not a relevant consideration.31 This standard is applied to both aspects of the second element-whether the defendant believed that alternatives existed and whether the defendant believed those alternatives were adequate-as well as to the fourth element. In applying the "some evidence" test in the related self-defense context, Alaska case law has emphasized that,

because reasonableness is a factual question closely allied with considerations involving the credibility of witnesses and the weight to be given to their testimony, trial courts must avoid basing decisions as to the necessity of self-defense instructions on an evaluation of the reasonableness of defendants' conduct. ... It is not the province of the judge to weigh the evidence and decide if a defendant's subjective belief was reasonable or unreasonable.[32]

It was therefore error for the court of appeals to conclude that Greenwood's subjective beliefs were not sufficient to satisfy the "some evidence" test for the second and fourth elements of the necessity defense.

This is not to say, however, that a court must always hold that the "some evidence" test has been met when a defendant asserts that her belief at the time was that there were no adequate alternatives. Instead, as the court of appeals explained in Seibold v. State, courts may refuse to instruct the jury on the necessity defense when the defendant had "clear legal alternatives to violating the law."33 When a defendant testifies to her beliefs at the time of acting, the question for the judge is whether a "clear legal alternative" existed such that the defendant is un*1025able as a matter of law to meet her burden of presenting some evidence that she reasonably believed that there were no adequate alternatives to her unlawful action.

Both this court and the court of appeals have upheld rulings where the existence of clear legal alternatives prevented a defendant from receiving a jury instruction on the necessity defense. For example, in Nelson v. State we held that the defendant, who had unlawfully used two Highway Department vehicles to free his truck that was stuck in a marshy area, had failed to make out the case for the necessity defense because several people had stopped and offered to help him, thus providing lawful alternatives.34 Similarly, in Cleveland v. Municipality of Anchorage we held that the defense of necessity was not available to defendants charged with trespassing at an abortion clinic in order to prevent abortions for several reasons, including that the defendants could have engaged in non-criminal forms of protest.35 The court of appeals likewise affirmed the trial court's refusal to instruct the jury on the necessity defense in Schnabel v. State when the defendant failed to pursue the judicial and administrative remedies available to resolve his claimed necessity.36 Finally, in Gerlach v. State the court of appeals concluded that a non-custodial mother who hid her daughter out of state for a year was not entitled to a necessity instruction based on her claim that the father was abusive because adequate remedies were available at law.37

We next turn to the question whether Greenwood fulfilled the requirement of some evidence for the second and fourth elements. The "some evidence" test does not require

that the defendant testify or even offer direct evidence in his own behalf. Some evidence establishing a dispute as to a factual issue may arise from weakness in the prosecution's evidence or from impeachment of its witness. Similarly, circumstantial evidence presented as part of the state's case-in-chief may give rise to some evidence of a disputed fact.[38]

In this case, we consider whether Greenwood provided some evidence that she reasonably believed at the time of driving that she had no adequate alternatives and that the necessity continued until she stopped her vehicle. These questions must be evaluated in light of our previous conclusion that the harms Greenwood was seeking to prevent included the threat to her own safety.

Our decision in McGee v. State provides guidance on when a court should conclude that a defendant has provided some evidence of a subjective belief that there were no adequate alternatives available.39 In McGeq, the defendant presented evidence that his mother's boyfriend threatened that he would run over the defendant, McGee.40 McGee maintained that he feared that the boyfriend would make good on this threat because of an earlier physical altercation, so McGee claimed to have smashed the windows of the boyfriend's pickup truck to make sure that the boyfriend could not see him to run him over.41 We held that, although there were likely many other available options, McGee's testimony raised a question of fact concerning whether he reasonably failed to recognize those other options because of his agitated mental state.42 Consistent with McGee, we also consider that the threat to Greenwood's safety was fresh and imminent, and we take into account the emotions that a person in her position could have experienced.

*1026Greenwood's evidence, including her testimony that she first screamed for help and called 911 before deciding to drive away to escape a dangerous situation, demonstrates that she exhausted the most obvious of her alternatives before deciding to take the ile-gal action. She also offered testimony that she was unwilling to stop at the Way residence and risk a confrontation with her attacker because Way was on a four wheeler and she was unsure of his whereabouts when she approached the Way residence in her van. As Greenwood argued, she had reason to suspect that Way "was likely to return" to his parents' house because "Way also live[d] at that house." Greenwood's other actions, such as stopping of her own accord in a well-lighted area, where she waited for police until she flagged them down, are consistent with her understanding of the necessity-her need to escape from Way and to warn his parents of the potential harm by waking them.

The court of appeals concluded that Greenwood failed to present some evidence of the fourth element because Greenwood did not offer any evidence that it would have been dangerous for her to sit in her locked van outside of Way's parents' house while honk ing to wake the parents.43 We disagree. To meet the "some evidence" test for the fourth element, Greenwood is not required to present evidence that every possible alternative was unavailable to her; instead she need only provide some evidence that she reasonably believed that the necessity continued until the point that she stopped violating the law, even if that belief was mistaken.44 Furthermore, even if she was required to present evidence that she reasonably believed that this alternative was not available to her and that she believed the necessity continued because she could not stop and wait, Greenwood's testimony that Way had access to a two-by-four that he had previously employed as a weapon against her dog provided a foundation for a reasonable belief that she was not safe waiting in a dark car, even with the doors locked.

We therefore conclude that Greenwood's testimony constituted some evidence sufficient to enable a reasonable juror to decide that Greenwood reasonably believed that she had no adequate alternatives to breaking the law by driving under the influence-even if that belief was mistaken-and that she stopped driving onee she believed the necessity had ended.

C. Greenwood Presented Some Evidence That The Reasonably Foreseeable Harm Resulting From Her Unlawful Action Would Be Less Than The Harm Resulting From Her Compliance With The Law.

The third element of proportionality requires that "[aln objective determination ... be made as to whether the defendant's value judgment was correct, given the facts as [she] reasonably perceived them." 45 As discussed previously, the trial court and the court of appeals assumed that the only harm that Greenwood was seeking to avoid was "possible arson or a threat of arson," but we have concluded that the potential harm to Greenwood herself must also be considered. The harm that Greenwood identifies, including risk to her personal safety because of Way's threats and physical aggression, are significant.46 Further, her testimony about the rumors that she had heard about Way's drug use and violent history are relevant because the "third element requires an objective comparison of the relative seriousness of the harms caused and avoided when viewed *1027in light of the facts perceived by the defendant." 47

Our analysis and balancing process must also account for the serious risk that drunk driving poses to the public,48 particularly because we consider the harm reasonably foreseeable from a defendant's actions, not the harm that actually occurred.49 Greenwood had already exhausted available options such as screaming for help and calling the police, and she testified that she took concrete steps to mitigate the risk of driving under the influence by driving on a back road and reaching speeds of only 35 miles per hour. Although driving any distance under the influence poses a significant risk, Greenwood testified that she continued driving only "a couple of blocks" after reaching Way's parents' home until she reached a well-lighted home on the route that she assumed that the troopers would take in responding to her 911 call-a total drive of less than one mile from beginning to end.

Considering that the trial court and the court of appeals agreed that Greenwood was justified in driving the distance between her camper and the Way residence, the question presented is whether Greenwood's decision to continue driving those last few blocks was disproportionate to the harm she was seeking to prevent-potential physical harm to herself resulting from an altercation with Way. As Chief Judge Coats pointed out in his dissent, "[plolice agencies often warn the public to seek police help rather than to directly intervene in potentially dangerous situations." 50 The rationale behind the necessity defense is one of public policy: "the law ought to promote the achievement of higher values at the expense of lesser values, and sometimes the greater good for society will be accomplished by violating the literal language of the criminal law." 51

Because the threshold for the "some evidence" test only requires "more than a scintilla" of evidence with any doubt resolved in Greenwood's favor,52 we conclude that Greenwood has offered some evidence of the third element. Viewing the totality of the situation from Greenwood's perspective and considering her testimony regarding her emotional distress, we cannot conclude that there was not some evidence presented that the serious risk that she posed by driving under the influence was disproportionate to the serious physical injury, significant property damage, and other harms she reasonably feared at the time.

v. CONCLUSION

Because we conclude that Greenwood has met the "some evidence" test with respect to all four elements required for an instruction on the necessity defense, we REVERSE her conviction and REMAND for a new trial at which an instruction on Greenwood's necessity defense be given.

14.4.4 Insanity-Optional Readings 14.4.4 Insanity-Optional Readings

The insanity defense is one of the most well-known defenses in popular culture, but is it really a good defense? As you will see in these readings, it can be difficult to prove insanity and many courts disfavor it as a defense. 

14.4.4.1 18 U.S.C.A. § 17. Federal Insanity defense 14.4.4.1 18 U.S.C.A. § 17. Federal Insanity defense

18 U.S.C.A. § 17. Insanity defense

(a) Affirmative defense.--It is an affirmative defense to a prosecution under any Federal statute that, at the time of the commission of the acts constituting the offense, the defendant, as a result of a severe mental disease or defect, was unable to appreciate the nature and quality or the wrongfulness of his acts. Mental disease or defect does not otherwise constitute a defense.

(b) Burden of proof.--The defendant has the burden of proving the defense of insanity by clear and convincing evidence.

14.4.4.2 The King v. Porter 14.4.4.2 The King v. Porter

HIGH COURT OF AUSTRALIA

THE KING against PORTER.

Criminal Law - Insanity - Temporary - Charge of Murder.

Charge to the jury upon a plea of temporary insanity set up to an indictment for murder.

TRIAL on Indictment.

On 31st January and 1st February 1933 (before the passing of the Seat of Government Supreme Court Act 1933) Bertram Edward Porter was tried on indictment for murder at Canberra before Dixon J. sitting in the original jurisdiction of the High Court under sec. 30B of the Judiciary Act 1903-1932.

It appeared that the prisoner had administered strychnine to his infant son aged eleven months and had then attempted to take strychnine himself but had been interrupted by the entry of the police. The child died, and this was the murder with which he was charged. His defence was that he was insane at the time he committed the act.

The facts set up in support of the defence were briefly as follows :- After a period of separation from his wife during which he looked after the child, he had made desperate but unsuccessful efforts to fleet a reconciliation. He became extremely emotional and showed symptoms of a nervous breakdown. He was sleepless, and took quantities of aspirin, phenacetin and caffein. He then travelled with the child from Canberra to Sydney in circumstances which made it probable that he was without sleep for three nights. On his return he had a final interview with his wife, in which he appeared to have lost all control of his emotions. On her refusing to have anything to do with him or the child, he told her he would poison himself and the child and hastened away to obtain the strychnine. She informed the police, who found him shut in his house, sobbing. He had just given the strychnine to the child and was about to take it himself.

P. V. Storkey, for the Crown.

O'Sulliva.n and Hidden, for the prisoner.

DIXON J., in summing up, said :-

The accused stands charged under the name of Bertram Edward Porter, for the murder of his child, Charles Robert Porter, committed on 28th November 1932. The crime of murder is committed when, without any lawful justification, without any excuse, without any provocation, a person of sufficient soundness of mind to be criminally responsible for his acts intentionally kills another. To begin with, every person is presumed to be of sufficient soundness of mind to be criminally responsible for his actions until the contrary is made to appear upon his trial. It is not for the Crown to prove that any man is of sound mind; it is for the defence to establish inferentially that he was not of sufficient soundness of mind, at the time that he did the actions charged, to be criminally responsible. On the other hand, every person is to be presumed to be innocent of the actions charged against him until it is proved to the satisfaction of the jury beyond any reasonable doubt that he committed them.

You will see, gentlemen, that the presumptions are not of equal strength. The criminal law requires that, when a crime is charged, the things which constitute that crime shall be proved to the complete satisfaction of the jury; that they shall be so satisfied that those things were done that they have no reasonable doubt about it. On the other hand, when that is proved, and the jury turn from the consideration of the question whether the things which constitute the crime were done to the question whether the man who did them was criminally responsible for his actions or was not, because of unsoundness of mind at the moment, it is necessary for the accused person to make out positively, upon a balance of probability, that he was not criminally responsible, and that he was not of such a mental condition at that time as to be criminally responsible. He has not got to remove all doubt from your minds. He, or rather his counsel, has merely to make it appear to you as more probable on the whole that that was the state of his mind at the time he did the things charged, than otherwise.

You will therefore see that the first questions in this case for your consideration are these: Did the prisoner administer strychnine to his infant son with the intention of causing his death; and, did its death result from his so doing? Unless you are so satisfied, beyond reasonable doubt, that he did administer strychnine to the child with the intention of causing his death, and that death resulted from strychnine, then it is your simple duty to return a plain verdict of not guilty, because he would not have done the things which constitute murder.

Probably you will have no difficulty at all in arriving at the conclusion that the prisoner did administer strychnine to his son with the intention of causing its death, and that death did result from the strychnine. I am bound to add that it is entirely for you to give effect to that evidence, and, if you think the evidence is not so strong as Ind the Crown Prosecutor have suggested it is, you will stop the case at that stage. You will not go any further and consider the question of insanity.

[His Honour referred to the facts material to the commission of the acts constituting the crime and proceeded :--]

The facts, as I have said, appear to me to be clear, but if you disagree with that, you should give effect to your disagreement by finding the prisoner not guilty. The responsibility is yours, and not mine. If, on the contrary, you are satisfied beyond reasonable doubt, to the exclusion of all doubt, of these three matters – (1) that he did administer strychnine to the child; (2) that he did so with the intention of killing it; and 3) that the child's death did result from that administration – then you will turn and proceed to consider whether, at that particular time when he did those things, his state of mind was such as to make him criminally responsible for his act. That means, has it been made out to your reasonable satisfaction that, at the time, the prisoner’s faculties were so disordered that he is not in law criminally responsible for what he did. If you form the opinion that his faculties were so disordered that he is not criminally responsible, you will find a verdict of not guilty on the ground that the prisoner was insane at the time the offence was committed. You do not find him guilty but insane, as they do in some British countries. According to the law in this country the technical verdict is such a case is: Not guilty on the ground of insanity at the time of the commission of the offence charged. It is your function specifically to state that ground for your verdict of not guilty, because the legal consequences are quite different from those which follow a plain verdict of not guilty on the ground that the prisoner did not do the things charged. If you think it is not proved that the prisoner poisoned his child and brought about his death, your verdict, of course, will be simply not guilty, and he will be completely free. If, however, you think that he did the things charged against him, but that, at the time, his mind was so disordered that he could not be held responsible, then you will find him not guilty on the ground of insanity at the time of the offence charged.

There is a legal standard of disorder of mind which is sufficient to afford a ground of irresponsibility for crime, and a ground for your finding such a verdict as I have indicated. It is my duty to explain that standard to you. It is plain from what passed the witness-box this morning, when Dr. Henry was giving evidence, that the legal standard is a matter which he himself wished to discuss, but I prevented him, and kept him to his medical function. In my judgment, from remarks which have been made at the Bar in the course of speeches, it appears that some difference of opinion between learned counsel exists as to what that legal standard is. You will take my explanation of it, and disregard the attempts which have been made elsewhere to explain it, because mine is the responsibility of laying down what the law is. Yours is the responsibility of applying it to the facts.

Before explaining what that standard actually is, I wish to draw your attention to some general considerations affecting the question of insanity in the criminal law jn the hope that by doing so you may be helped to grasp what the law prescribes. The purpose of the law in punishing people is to prevent others from committing a like crime or crimes. Its prime purpose is to deter people from committing offences. It may be that there is an element of retribution in the criminal law, so that when people have committed offences the law considers that they merit punishment, but its prime purpose is to preserve society from the depredations of dangerous and vicious people. Now, it is perfectly useless for the law to attempt, by threatening punishment, to deter people from committing crimes if their mental condition is such that they cannot be in the least influenced by the possibility or probability of subsequent punishment; if they cannot understand what they are doing or cannot understand the ground upon which the law proceeds. The law is not directed, as medical science is, to curing mental infirmities. The criminal law is not directed, as the civil law of lunacy is, to the care and custody of people of weak mind whose personal property may be in jeopardy through someone else taking a hand in the conduct of their affairs and their lives. This is quite a different thing from the question, what utility there is in the punishment of people who, at a moment, would commit acts which, if done when they were in sane minds, would be crimes. What is the utility of punishing people if they be beyond the control of the law for reasons of mental health? In considering that, it will not perhaps, if you have ever reflected upon the matter, have escaped your attention that a great number of people who come into a Criminal Court are abnormal. They would not be there if they were the normal type of average everyday people. Many of them are very peculiar in their dispositions and peculiarly tempered. That is markedly the case in sexual offences. Nevertheless, they are mentally quite able to appreciate what they are doing and quite able to appreciate the threatened punishment of the law and the wrongness of their acts, and they are held in check by the prospect I of punishment. It would be very absurd if the law were to withdraw that check on the ground that they were somewhat different from their fellow creatures in mental make-up or texture at the very moment when the check is most needed. You will therefore see that the law, in laying down a standard of mental disorder sufficient to justify a jury in finding a prisoner not guilty on the ground of insanity at the moment of the offence, is addressing itself to a somewhat difficult task. It is attempting to define what are the classes of people who should not be punished although they have done actual things which in others would amount to crime. It is quite a different object to that which the medical profession has in view or other departments of the law have in view in defining insanity for the purpose of the custody of a person's property, capacity to make a will, and the like. With that explanation I shall tell you what that standard is.

The first thing which I want you to notice is that you are only concerned with the condition of the mind at the time the act complained of was done. That is the critical time when the law applies to the man. You are not concerned, except for the purpose of finding out how he stood at that moment, what his subsequent condition was or what his previous condition was. He may have been sane before and he may have been sane after, but if his mind were disordered at the time to the required extent, then he should be acquitted on the ground of insanity at the time he committed the offence. It is helpful in finding out how he was at the time to find out how we has before and after. It is merely because it is helpful that we go into it in this case, not because it is decisive.

The next thing I wish to emphasize is that his state of mind must have been one of disease, disorder or disturbance. Mere excitability of a normal man, passion, even stupidity, obtuseness, lack of self-control, and impulsiveness, are quite different things from what I have attempted to describe as a state of disease or disorder or mental disturbance arising from some infirmity, temporary or of long standing. If that existed it must then have been of such a character as to prevent him from knowing the physical nature of the act he was doing or of knowing that what he was doing was wrong. You will see that I have mentioned two quite different things. One state of mind is that in which he is prevented by mental disorder from knowing the physical nature of the act he is doing; the other is that he was prevented from knowing that what he was doing was wrong. The first relates to a class of case to which so far as I am concerned I do not think this case belongs. But again, that is my opinion of a matter of fact and it is for you to for you to form your opinion upon it. In a case where a man intentionally destroys life he may have so little capacity for understanding the nature of life and the destruction of life, that to him it is no more than breaking a twig or destroying an inanimate object. In such a case he would not know the physical nature of what he was doing. He would not know the implications and what it really amounted to. In this case, except for the prisoner's own statement from the dock that after a certain time he remembered nothing of what he did, there seems to be nothing to support the view that this man was in such a condition that he could not appreciate what death amounted to or that he was bringing it about or that he was destroying life and all that is involved in the destruction of life. It is for you to form a conclusion upon that matter, but I suggest to you that the evidence of what he said to the police when he was found after he had given the poison to the child and was about, apparently, to administer it to himself, shows that he understood the nature of life and death and the nature of the act he was doing in bringing it about. But you are at liberty to take into account that he said he knows nothing of what he did at that time. If you form the conclusion that notwithstanding the evidence which I have mentioned the mental disorder of this man was such that he could not appreciate the physical thing he was doing and its consequences, you will acquit him on the ground of insanity at the time he did the thing charged.

The other head is of quite a different character, namely, that his disease or disorder or disturbance of mind was of such a character that he was unable to appreciate that the act he was doing was wrong. It is supposed that he knew he was killing, knew how he was killing and knew why he was killing, but that he was quite incapable of appreciating the wrongness of the act. That is the issue, the real question in this case. Was his state of mind of that character? I have used simple expressions, but when you are dealing with the unseen workings of the mind you have to come to close quarters with what you are speaking about, and it is very difficult to be quite clear as to what is meant in describing mental conditions. I have used the expression "disease, disorder or disturbance of the mind." That does not mean (as you heard from the doctor's replies this morning to certain questions I asked him) that there must be some physical deterioration of the cells of the brain, some actual change in the material, physical constitution of the mind, as disease ordinarily means when you are dealing with other organs of the body where you can see and feel and appreciate structural changes in fibre, tissue and the like. You are dealing with a very different thing- with the understanding. It does mean that the functions of the understanding are through some cause, whether understandable or not, thrown into derangement or disorder. Then I have used the expression "know," "knew that what he was doing was wrong." We are dealing with one particular thing, the act of killing, the act of killing at a particular time a particular individual. We are not dealing with right or wrong in the abstract. The question is whether he was able to appreciate the wrongness of the particular act he was doing at the particular time. Could this man be said to know in this sense whether his act was wrong if through a disease know in this sense whether his act was wrong if through a disease or defect or disorder of the mind he could not think rationally of the reasons which to ordinary people make that act right or wrong?

If through the disordered condition of the mind he could not reason about the matter with a moderate degree of sense and composure it may be said that he could not know that what he was doing was wrong. What is meant by “wrong”? What is meant by wrong is wrong having regard to the everyday standards of reasonable people. If you think that at the time when he administered the poison to the child he had such a mental disorder or disturbance or derangement that he was incapable of reasoning about the right or wrongness, according to ordinary standards, of the thing which he was doing, not that he reasoned wrongly, or that being a responsible person he had queer or unsound ideas, but that he was quite incapable of taking into account the considerations which go to make right or wrong, then you should find him not guilty upon the ground that he was insane at the time he committed the acts charged. In considering these matters from the point of view of fact you must be guided by his outward actions to a very large extent. The only other matter which can help you really is the medical opinion. I think the evidence may be described as his outward conduct and the medical opinion. It is upon this you must act. The medical opinion included explanations of the course of mental conditions in human beings generally.

[His Honour reviewed the circumstances affecting the question of the prisoner's state of mind at the time of the commission of the acts charged and the medical evidence and proceeded:~]

In conclusion I go back to what I consider the main question of the case and it is whether you are of the opinion that at the stage of administering the poison to the child the man whom you are trying had such a mental disorder or diseased intelligence at that moment that he was disabled from knowing that it was wrong act to commit in the sense that ordinary reasonable men understand right and wrong and that he was disabled from considering with some degree of composure and reason what he was doing and its wrongness. If you answer that question in his favour you will find him not guilty on the ground of insanity at the time of the commission of the offence charged. If you answer the question against him, and you have already formed a conviction on that question, that he committed the actual act which constituted murder with the necessary intention of bringing about death, you will find him guilty of murder. I repeat that the burden of establishing to your complete satisfaction to the exclusion of all reasonable doubt that he did all the acts with the requisite intention of killing which constitutes murder and brought about death, is upon the Crown. I think upon the evidence you will have little difficult on that point.

The burden of establishing to your reasonable satisfaction, not to the exclusion of all doubt but on the balance of probability, that his state of mind was one which I have described is upon the prisoner. If you are in the condition of mind of being quite unable to answer that question it will be your duty then to find him guilty, assuming that you have arrived at the conclusion that you are convinced that the act, if that of a sane man, would amount to murder. Three verdicts upon this view of the case are open to you. You may find him completely not guilty, which would mean that you are not satisfied beyond reasonable doubt that he caused the death but at the time his intelligence was so disordered that he was in such a state that he was not criminally responsible for his act. 
Finally, you may find him guilty of murder.

You will now retire to consider your verdict.

The jury returned the following verdict :-
Not guilty on the ground of insanity at the time of commission of the act charged.

Solicitor for the Crown, W. H. Sharwood, Crown Solicitor for the Commonwealth.
Solicitor for the prisoner, Felix Mitchell, Cooma.

14.4.4.3 US v. Rezaq 14.4.4.3 US v. Rezaq

918 F.Supp. 463 (1996)

UNITED STATES of America,
v.
Omar Mohammed Ali REZAQ, a/k/a Omar Marzouki, Defendant.

Criminal No. 93-0284 (RCL).

United States District Court, District of Columbia.

March 12, 1996.

[464] Joseph Valder, Asst. U.S. Atty., U.S. Attorney's Office, Washington, DC, Scott Glick, U.S. Department of Justice, Washington, DC, for U.S.

Robert Tucker, Teresa Alva, Federal Public Defender for District of Columbia, Washington, DC, for defendant.

MEMORANDUM OPINION AND ORDER

LAMBERTH, District Judge.

This matter comes before the court on a motion in limine filed by the United States [465] regarding defendant's insanity defense,[1] and a motion filed by defendant requesting a stay of the court's discovery Order of December 14, 1995. The government's motion actually consists of three separate requests. The government first seeks to preclude all evidence related to defendant's insanity defense on the ground that defendant's notice of an insanity defense, filed pursuant to Federal Rule of Criminal Procedure 12.2 ("Rule 12.2") was untimely, and that defendant had not shown "cause" sufficient to justify a late filing. See Govt.'s Mot., at 3-6. This first request was denied in open court on February 5, 1996. In the second part of the government's motion, the government moves the court to exclude all of defendant's lay and expert evidence related to his insanity defense on relevancy grounds or, alternatively, on a finding that defendant's evidence is needlessly confusing and will mislead the jury. See Govt.'s Mot., at 6-18. In the last part of the government's motion, the government requests that the court conduct a pretrial hearing to determine the scope of lay and expert evidence that defendant intends to introduce in support of his insanity defense. See Govt.'s Mot., at 18-24. Defendant's motion seeks a stay of the discovery of expert witnesses as outlined in the court's discovery Order of December 14, 1995 in light of the challenge to defendant's insanity defense posed by the government's motion in limine.

Upon consideration of the filings and arguments of counsel with respect to the two remaining parts of the government's motion, the court shall grant in part and deny in part the government's motion. Furthermore, in light of the court's ruling on the government's motion in limine, the court shall deny defendant's motion to stay the court's discovery Order of December 14, 1995. The court's reasoning is set forth below.

DISCUSSION

On November 1, 1995, defendant provided notice to the government, pursuant to Rule 12.2, of his intent to rely on a defense of temporary insanity and to introduce expert testimony to negate the mens rea element of the offense of aircraft piracy.[2] On the same day, defense counsel also notified the government that defendant had been evaluated by three expert psychologists — Drs. Nuha Abudabbeh, John Wilson, and Harvey Dondershine — as part of the preparation of defendant's insanity defense. All three experts conducted psychological testing on defendant, and diagnosed the defendant as suffering from post traumatic stress disorder ("PTSD"). Defendant provided the reports to the government and, shortly thereafter, the government filed the present motion in limine to preclude defendant from introducing lay and expert evidence related to the insanity defense, and requested a pretrial hearing to determine the admissibility and scope of the evidence that defendant intends to introduce in support of his insanity defense. Defendant responded by filing a motion to stay the court's Discovery Order of December 14, 1995.

The government's first argument for preclusion — that defendant's notice was untimely — has already been rejected by the court. The remaining portions of the government's motion and defendant's motion to stay the court's Discovery Order of December 14, 1995 are addressed seriatim.

A. Motion In Limine Regarding Defendant's Rule 12.2 Evidence

1. Preclusion of Evidence Offered by Defendant Pursuant to Rule 12.2(b) to Negate the Mens Rea Element of the Offense

Rule 12.2(b) permits a defendant to introduce "expert testimony relating to a [466] mental disease or defect or any other mental condition of defendant bearing upon the issue of guilt" to prove that defendant did not possess the requisite mens rea of a specific intent crime. See Fed.R.Crim.P. 12.2(b). The government argues that defendant should be precluded from introducing any evidence under Rule 12.2(b) because aircraft piracy — the crime with which defendant is charged — is not a specific intent crime. Accordingly, the government moves this court to enter an order precluding the defendant from offering evidence pursuant to Rule 12.2(b), and from making any reference to such evidence in his opening statement.

Defendant disputes the government's characterization of the offense of aircraft piracy as a specific intent crime,[3] but claims that the issue whether to preclude the defendant from introducing evidence pursuant to Rule 12.2(b) is mooted by the fact that defendant intends neither to offer expert evidence concerning defendant's mens rea at the time of the offense nor to request a jury instruction that expert evidence may be considered in regard to that issue. See Def.'s Opp., at 10-11.

The government correctly points out that defendant's present position on Rule 12.2(b) evidence is inconsistent with the Rule 12.2 notice initially filed by defendant. The notice states explicitly that "pursuant to Fed. R.Crim.P. 12.2(b), the [defendant] intends to introduce expert testimony relating to a mental disease or defect or any other mental condition of the defendant bearing on the issue of guilt." Def.'s Rule 12.2. Notice, at 1. In any event, defendant does not object to the government's request for an order precluding defendant both from introducing evidence pursuant to 12.2(b) and from making reference to any such evidence in defendant's opening statement. Accordingly, the government motion in limine, with respect to 12.2(b) evidence, shall be granted.[4]

2. Preclusion of Evidence Offered By Defendant Pursuant to Rule 12.2(a) In Support of Defendant's Affirmative Defense of Insanity

The government also seeks to preclude defendant from introducing lay and expert evidence, pursuant to Rule 12.2(a), in support of his affirmative defense of insanity. Defendant's insanity defense is based on a claim that defendant, at the time of the offense, suffered from PTSD. According to the government, lay and expert evidence of defendant's [467] PTSD diagnosis is irrelevant to an insanity defense because defendant's case of PTSD is not of sufficient severity to constitute an affirmative defense of insanity under 18 U.S.C. § 17(a). The government also contends that, even if defendant's evidence were relevant to a viable insanity defense, such evidence should nevertheless be precluded by the court because it has a strong tendency to either confuse the issues or mislead the jury.

The affirmative defense of insanity is set forth in 18 U.S.C. § 17(a).[5] The requirements of section 17(a) are clear: unless the mental condition claimed by defendant was "severe" and resulted in the inability of defendant to "appreciate the nature and quality or wrongfulness of his acts," the "[m]ental disease or defect does not ... constitute [an affirmative] defense." 18 U.S.C. § 17(a). Thus, the relevance of the evidence pertaining to defendant's PTSD diagnosis turns on whether defendant's case of PTSD is of sufficient severity to constitute an affirmative defense of insanity.[6]

Courts have generally taken a liberal approach to the admissibility of evidence in support or contradiction of the affirmative defense of insanity. See United States v. Brawner, 471 F.2d 969, 994-95 (D.C.Cir. 1972); accord United States v. Alexander, 805 F.2d 1458, 1464 (11th Cir.1986) (noting that a court "should be liberal in admitting testimony (and evidence) regarding the issue of insanity"); United States v. McRary, 616 F.2d 181, 184 (5th Cir.1980) (holding that a "court should be liberal in ruling on the admissibility of evidence bearing on that issue [insanity]"), cert. denied, 456 U.S. 1011, 102 S.Ct. 2306, 73 L.Ed.2d 1307 (1982); United States v. Ives, 609 F.2d 930, 932-33 (9th Cir.), cert. denied, 445 U.S. 919, 100 S.Ct. 1283, 63 L.Ed.2d 605 (1980); United States v. Smith, 507 F.2d 710, 711 (4th Cir. 1974) ("[A] trial judge should permit `an unrestricted inquiry into the whole personality of defendant' and should be free in his admission of all possibly relevant evidence.").

The three reports by defendant's experts, when reviewed as a whole, clearly indicate that defendant's diagnosis of PTSD meets the test of insanity as set out in 18 U.S.C. § 17(a).[7] Dr. Dondershine's report concluded that defendant suffered from what can only be described as a severe case of PTSD and depression that "seriously impaired" his ability to judge the wrongfulness of his conduct. According to Dr. Dondershine, at the time of the hijacking, defendant's "personality was fragmenting and the parts — perception, reason, judgment, contemplation of right and wrong, and assessment of consequences — were no longer fully [operative]."[8]Id. at 6. Similarly, Dr. Wilson concluded that, at the time of the offense, [468] defendant "suffered from Post Traumatic Stress Disorder and Major Depression," and as a result of this illness, "was unable to appreciate [the] wrongfulness of his conduct." Wilson Report, November 30, 1995 at 7. He also described defendant's mental state at the time of the hijacking as "fragile, vulnerable, and unstable." Id. at 5.

Dr. Abudabbeh diagnosed defendant's PTSD as less severe than the others. Although Dr. Abudabbeh concluded in the report that "[o]n November 23-24, 1985, Mr. Rezaq did suffer from Posttraumatic Stress Disorder, Chronic," and that "as a result of his mental illness, Mr. Rezaq was unable to appreciate the wrongfulness of his acts...." Abudabbeh Report, Dec. 1995, at 8., conspicuously absent from Dr. Abudabbeh's report is the kind of description of defendant's condition that would indicate that defendant case of PTSD and depression was indeed severe. Nevertheless, these three reports, when reviewed as a whole, indicate that defendant's case of PTSD meets the test of insanity as set out in 18 U.S.C. § 17(a). Accordingly, defendant's expert evidence cannot be excluded on relevancy grounds.

The government also maintains that, even if the evidence is relevant to defendant's insanity defense, it should nevertheless be precluded by the court because its "probative value is substantially outweighed by the danger of ... confusion of the issues, or misleading the jury." Fed.R.Evid. 403. The government, however, provides no support for this contention. Rather, the government merely recites a concern raised by Congress when it passed the Insanity Defense Reform Act of 1984 that psychiatric testimony, in certain instances, may be needlessly confusing. See Govt.'s Mot., at 13. The government, however, has not asserted that the psychiatric evidence in this case is either needlessly confusing or has the potential to mislead the jury. The court therefore finds that the probative value of defendant's expert testimony in support of his insanity defense is not substantially outweighed by the risk of unfair prejudice. Accordingly, the court shall deny the part of the government's motion in limine that seeks to preclude the defendant from introducing lay and expert testimony, pursuant to Rule 12.2(a), in support of his insanity defense.

B. Government's Request for a Preliminary Hearing

The government also moves the court to enter an Order directing defendant to introduce evidence at a pretrial hearing so that the court may determine the admissibility and scope of the lay and expert testimony and evidence that defendant intends to offer at trial in support of his insanity defense pursuant to Rule 12.2(a). The government, however, cites a series of cases that support an entirely different proposition — that defendant should be required to make an additional proffer with respect to evidence offered under Rule 12.2(b) to negate an element of the offense. See Govt.'s Mot., at 19-22 (citing United States v. Childress, 58 F.3d 693 (D.C.Cir.) (evidence of mental retardation offered under Rule 12.2(b) to negate specific intent), cert. denied, ___ U.S. ___, 116 S.Ct. 825, 133 L.Ed.2d 768 (1996); United States v. Cameron, 907 F.2d 1051 (11th Cir.1990) (psychiatric evidence offered under Rule 12.2(b) to negate specific intent); United States v. Fazzini, 871 F.2d 635 (7th Cir.) (evidence of drunkenness offered under Rule 12.2(b) to negate intent), cert. denied, 493 U.S. 982, 110 S.Ct. 517, 107 L.Ed.2d 518 (1989); United States v. Click, 807 F.2d 847 (9th Cir.1987) (evidence of medical records offered under 12.2(b) to determine whether defendant entered false confession); United States v. Gold, 661 F.Supp. 1127 (D.D.C.1987) (whether evidence offered under Rule 12.2(b) addressed the issue of specific intent); United States v. Shorter, 618 F.Supp. 255 (D.D.C. 1985) (evidence of gambling addiction offered under Rule 12.2(b) to negate willfulness in tax prosecution).

A more detailed proffer may be necessary with respect to notices under Rule 12.2(b) in light of the fact that many crimes are general intent offenses, and in such cases, psychological evidence is deemed not relevant. See United States v. Cameron, 907 F.2d 1051, 1063 n. 20 (11th Cir.1990); accord United States v. Fazzini, 871 F.2d 635, 640-41 (7th Cir.), cert. denied, 493 U.S. 982, 110 S.Ct. 517, 107 L.Ed.2d 518 (1989); United States v. Twine, 853 F.2d 676, 679 (9th Cir. [469] 1988); United States v. White, 766 F.2d 22 (1st Cir.1985); United States v. Gold, 661 F.Supp. 1127 (D.D.C.1987); United States v. Frisbee, 623 F.Supp. 1217, 1219-23 (N.D.Cal. 1985). Moreover, "[b]ecause psychiatric evidence (1) will only rarely negate specific intent, (2) presents an inherent danger that it will distract the jury's [sic] from focusing on the actual presence or absence of mens rea, and (3) `may easily slide into wider usage that opens up the jury to theories of defense more akin to justification,' district courts must examine such psychiatric evidence carefully to ascertain whether it would, if believed, `support a legally acceptable theory of lack of mens rea.'" Cameron, 907 F.2d at 1067 (citations omitted).

Thus, courts in this Circuit have generally followed the approach articulated in United States v. Brawner, 471 F.2d 969 (D.C.Cir. 1972) when dealing with evidence offered pursuant to Rule 12.2(b). In Brawner, the court observed:

Our rule permits the introduction of expert testimony as to abnormal condition if it is relevant to negative, or establish the specific mental condition that is an element of the crime. The receipt of this expert testimony to negative the mental condition of specific intent requires careful administration by the trial judge. Where the proof is not offered in the first instance as evidence of exonerating mental disease or defect within the ALI rule the judge may, and ordinarily would, require counsel first to make a proffer of the proof to be adduced outside the presence of the jury. The judge will then determine whether the testimony is grounded in sufficient scientific support to warrant use in the court-room, and whether it would aid the jury in reaching a decision on the ultimate issues.

Id. at 1002 (emphasis added). Brawner remains the law of this Circuit, see United States v. Shorter, 618 F.Supp. at 259, even after the passage of the Insanity Defense Reform Act of 1984. See Childress, 58 F.3d at 730; Gold, 661 F.Supp. at 1130-31.

Defendant, however, no longer seeks to introduce evidence pursuant to Rule 12.2(b), and instead chooses to introduce lay and expert evidence only in support of a full-fledged insanity defense pursuant to Rule 12.2(a). It is clear that had defendant sought to introduce this evidence under 12.2(b) on the mens rea issue, the court would have been obliged to conduct a preliminary hearing on the matter. Only in exceptional circumstances, however, is the government entitled to the same sort of detailed proffer with respect to Rule 12.2(a) evidence.

Perhaps the strongest case for requiring defendant to make a more detailed proffer on Rule 12.2(a) evidence is the case in which the government seeks to prevent the interposition of an insanity defense because there is insufficient evidence of a severe mental disease or defect. The government cites three cases — United States v. Meader, 914 F.Supp. 656, 1996 WL 65136 (D.Me.1996), United States v. Duggan, 743 F.2d 59, 80 (2d Cir. 1984), and United States v. Cameron — in which the possibility of a more detailed proffer of evidence offered pursuant to Rule 12.2(a) was entertained by a court. In all three cases, however, defendant had given little, if any, indication as to the specifics of the insanity defense prior to the court ordering a more detailed proffer by defendant or a pretrial hearing.

In Meader, defendant gave Rule 12.2 notice to the government that he intended to rely upon a defense of insanity. At the time the government was notified, defendant's entire insanity defense rested on "limited statements" made by an expert psychologist in a letter to defendant's lawyer. Meader, 914 F.Supp. at 657, 1996 WL 65136, at *1. The government moved in limine to exclude the defense, presumably on the ground that defendant had not provided evidence sufficient to support the defense. Because the court had no basis upon which to evaluate the validity of defendant's insanity defense or to gauge the admissibility of the evidence upon which the defendant was based, the court ordered a pretrial hearing, at which time the defendant proffered testimony by the expert psychologist who drafted the letter discussing defendant's condition. Based on the expert's elaboration on the statements contained in the letter, the court concluded that defendant had evidence sufficient to support a legitimate insanity defense, and that the evidence could be submitted to the jury.

In Duggan, two of the defendants filed last minute Rule 12.2(a) notices of an insanity defense. Defendants filed no papers or affidavits [470] from experts explaining the basis for the proposed defense. The court ordered the defendants to file a more detailed statement concerning the basis of the insanity defense. In response, defendants submitted an affidavit by counsel that defendants "acted as if they had `something which seemed like a psychiatric disorder' and conclusory statements from two doctors that a `diagnostic possibility exists,' but that an additional four to five months would be need to complete the diagnosis." Duggan, 743 F.2d at 80-81. The Second Circuit affirmed both the district court's request for a more detailed proffer and the court's eventual rejection of defendant's proffer as to the insanity defense. Similarly, in Cameron, the court hypothesizes that "a specific proffer might be necessary if the government ... seeks to foreclose the presentation of an insanity defense because there is insufficient evidence of mental disease of defect." Cameron, 907 F.2d at 1058 n. 10 (emphasis added).

All of these cases are distinguishable from the instant case in that, unlike the courts in Meader, Duggan, and Cameron, this court has more than an adequate basis upon which to evaluate both the validity of defendant's insanity defense and the strength of the evidence upon which it is based. The courts in Meader, Duggan, and Cameron were all constrained in their ability to evaluate defendant's insanity defense because of the lack of evidence before them. Pretrial hearings or more detailed proffers were either contemplated or ordered in those cases so as to provide the court with a sufficient basis to evaluate defendant's insanity defense and the evidence upon which it is based.

Defendant Rezaq, however, has proffered three detailed psychological reports months in advance of trial, and has allowed himself to be examined by at least three psychiatrists chosen by the government. Thus, the court as well as the government has a sufficient basis to evaluate the validity of defendant's insanity defense as well as admissibility of the evidence upon which the defense is based. The reports submitted to the government describe in exhaustive detail defendant's personal, political, cultural, and emotional history. Defendant's diagnosis of PTSD, which is the lodestar of his insanity defense — is amply explained and evaluated in each of the three reports already in the possession of the government.

The court is satisfied with defendant's proffer of three detailed psychological evaluations. Defendant has made a facial showing that the evidence in support of his insanity defense meets the standards set forth in 18 U.S.C. § 17. The expert evidence, when taken as a whole, suggests that defendant suffered from what appears to be a severe case of PTSD at the time of the offense.[9] Furthermore, the diagnoses appear to be based on acceptable techniques, evaluations, and measuring devices. In light of the consistency among the three diagnoses, the court finds that defendant presented evidence of sufficient quantity and quality to properly raise the insanity defense at trial. Accordingly, the government's request for a pretrial hearing to determine the admissibility and scope of defendant's Rule 12.2(a) evidence shall be denied.

C. Defendant's Motion to Stay the Court's Discovery Order of December 14, 1995

In light of the court's ruling that defendant's 12.2 notice is timely, and that defendant's affirmative defense of insanity is both viable and based upon evidence admissible the Federal Rules of Evidence, there is no reason to further delay discovery as to the experts that will testify at trial. Accordingly, the court shall deny defendant's motion to stay the agreed upon discovery Order of December 14, 1995, and discovery of expert evidence shall continue as set forth in the December 14, 1995 Order.

CONCLUSION

For the foregoing reasons, it is hereby

[471] ORDERED that the government's motion in limine to preclude lay and expert evidence regarding defendant's Rule 12.2 notice and motion for pretrial hearing is GRANTED in part and DENIED in part as follows:

1. The government's motion to preclude defendant from introducing lay and expert testimony and evidence pursuant to 12.2(b) to negate an element of the offense is GRANTED;

2. The government's motion to preclude defendant from introducing lay and expert testimony and evidence pursuant to Rule 12.2(a) to support an affirmative defense of insanity is DENIED;

3. The government's motion for a pretrial hearing to determine the admissibility and scope of defendant's Rule 12.2(a) evidence is DENIED; and

4. Defendant's motion to stay the court's discovery Order of December 14, 1995 is DENIED.

SO ORDERED.

[1] The complete title of the government's motion is "United States Motion-In-Limine to Preclude Lay and Expert Evidence in Regard to Defendant Rezaq's Rule 12.2 Notice and Motion for Pre-Trial Hearing to Determine the Admissibility and Scope of Certain Evidence."

[2] text of defendant's Rule 12.2 notice is as follows: Defendant gives notice pursuant to Fed.R.Crim.P. 12.2(a) that he intends to rely upon the defense of insanity at the time of the alleged offense, and, pursuant to Fed. R.Crim.P. 12.2(b), the he intends to introduce expert testimony relating to a mental disease or defect or any other mental condition of the defendant bearing on the issue of guilt.

Def.'s Rule 12.2. Notice, at 1.

14.4.4.4 Stephen Morse, Excusing the Crazy: The Insanity Defense Reconsidered 14.4.4.4 Stephen Morse, Excusing the Crazy: The Insanity Defense Reconsidered

Morse, Stephen J., "Excusing the Crazy: The Insanity Defense Reconsidered" (1985). Faculty Scholarship at Penn Law. 1355. https://scholarship.law.upenn.edu/faculty_scholarship/1355, pp780-782.

The basic moral issue regarding the insanity defense is whether it is just to hold responsible and punish a person who was extremely crazy at the time of the offense. Those who believe that the insanity defense should be abolished must claim either that no defendant is extremely crazy at the time of the offense or that it is morally proper to convict and punish such people. Neither claim is easy to justify.


In all societies some people at some times behave crazily—that is, the behavior at those times is recognizably, aberrantly irrational. A small number of these people behave extremely crazily on occasion, including those times when an offense is committed. A hypothetical defendant with a delusional belief that he is the object of a murderous plot, who kills one of the alleged plotters after hallucinating that he hears the plotter's foul threats, is crazy. Such cases are rare, but clearly exist; the influence of extreme craziness on some criminal behavior cannot be denied.


 For hundreds of years the common law has recognized the unfairness of holding some crazy persons responsible for their criminal behavior.5 The legal test for insanity, designed to identify the appropriate persons to be excused, has changed over the years. Whether the test seeks to excuse only those akin to wild beasts or also those who lack substantial capacity to conform their conduct to the requirements of law, the moral perception has remained constant: at least some crazy persons should be excused. Those who would abolish the defense must argue that no sound principles underlie the law's consistent retention of the defense. That most past discussions of the issue have failed clearly to identify such principles6 is hardly an argument that they do not exist. I maintain that such sound principles do exist; some persons whose craziness influences their criminal behavior cannot fairly be held responsible and thus do not deserve punishment.


To justify the moral necessity of the insanity defense, I must set forth some assumptions I make about our system of criminal justice. Conviction and punishment are justified only if the defendant deserves them. The basic precondition for desert in all contexts, legal and otherwise, is the actor's responsibility as a moral agent. Any condition or circumstance that sufficiently compromises responsibility must therefore negate desert; a just criminal law will incorporate such conditions and circumstances in its doctrines of excuse. A coherent, purely consequentialist theory of criminal justice, while conceivable, is so unattractive morally that few persons, including most critics of the insanity defense, adhere to such a position.7 Moreover, our present system clearly rests on a much different basis:8 our system of criminal justice accepts desert, whether viewed as a defining or limiting principle,9 as fundamental to guilt and punishment.

...

The insanity defense is rooted in moral principles of excuse that are accepted in both ordinary human interaction and criminal law. Our intuition is that minimal rationality (a cognitive capacity) and minimal self-control or lack of compulsion (a volitional capacity) are the essential preconditions for responsibility.10 Young children are not considered responsible for the harms they cause precisely because they lack these capacities.11 Similarly, adults who cause harm while terrifically distraught because of a personal tragedy, for instance, will typically be thought less responsible and culpable for the harm than if they had been normally rational and in control.12 Aristotle recognized these fundamental requirements for responsibility by noting that persons may be less blameworthy for actions committed under the influence of mistake (a cognitive problem) or compulsion (a so-called volitional problem).13


Criminal law defenses that focus on the moral attributes of the defendant are based on these same intuitions and principles. Even if the defendant's conduct fulfills the usual requirements for prima facie guilt—that is, act, mental state, causation, result—the defendant will be found not guilty, not culpable, if the acts committed were the products of cognitive (e.g., infancy) or volitional (e.g., duress) circumstances that were not under the defendant's control. These defenses are considered relevant at the time of guilt determination as well as at the time of sentencing. It would be indeed illogical in a criminal justice system based partly on desert to hold that a defendant with a valid claim of duress is culpable (because he or she intended to do the compelled act), but then to decide to release the defendant because he or she does not deserve punishment. To convict a person with a meritorious defense would offend our conception of the relationship between legal guilt and blameworthiness. A person acting under duress is not culpable, although it is unfortunate that a prohibited act has been committed.

In sum, the moral basis of the insanity defense is that there is no just punishment without desert and no desert without responsibility. Responsibility is, in turn, based on minimal cognitive and volitional competence. Thus, an actor who lacks such competence is not responsible, does not deserve punishment, and cannot justly be punished.

14.4.4.5 AN END TO INSANITY: RECASTING THE ROLE OF MENTAL DISABILITY IN CRIMINAL CASES, Christopher Slobogin 14.4.4.5 AN END TO INSANITY: RECASTING THE ROLE OF MENTAL DISABILITY IN CRIMINAL CASES, Christopher Slobogin

 

ABSTRACT

This article argues that mental illness should no longer be the basis for a special defense of insanity. Instead, mental disorder should be considered in criminal cases only if relevant to other excuse doctrines, such as lack of mens rea, self- defense and duress, as those defenses have been defined under modern subjectively-oriented codes. With the advent of these subjectively defined doctrines (a development which, ironically, took place during the same period that insanity formulations expanded), the insanity defense has outlived its usefulness, normatively and practically. Modern official formulations of the defense are overbroad because, fairly construed, they exculpate the vast majority of people who commit serious crime. The most prominent alternative to the official tests–the irrationality threshold–is also flawed because it is based on the unprovable assumption that irrational people are less able to act for good reasons. Acquitting only those who lacked mens rea due to mental dysfunction or who acted on delusions that, if true, would sound in self-defense or duress better captures the universe of people who should be excused because of mental illness. This approach would also enhance the image of the criminal justice system, improve treatment of those with mental illness, and reduce the stigma associated with being mentally ill.

[...]

 

Insanity should be eliminated as a separate defense, but that the effects of mental disorder should still carry significant moral weight. More specifically, mental illness should be relevant in assessing culpability only as warranted by general criminal law doctrines concerning mens rea, self-defense and duress.

Acceptance of blameworthiness as the touchstone of the criminal law means that individual culpability must be assessed. That is where the kind of inquiry the insanity defense mandates comes into play. It is meant to help us decide whom among those who commit criminal acts deserve to be the subject of criminal punishment.10

The central assertion of this article, however, is that the insanity defense does not adequatelycarryoutthisdefinitionaltask. Atleastinitsmodernguises,theinsanitydefenseis overbroad. Instead, mental disorder should be relevant to criminal culpability only if it supports an excusing condition that, under the subjective approach to criminal liability increasingly accepted today, would be available to a person who is not mentally ill. The three most prominent such conditions would be: (1) a mistaken belief about circumstances that, had they occurred as the person believed, would amount to a legal justification; (2) a mistaken belief that conditions exist that amount to legally-recognized duress; and (3) the absence of intent to commit crime (i.e., the lack of mens rea defined subjectively, in terms of what the defendant actually knew or was aware of).

Before justifying this position, some examples of how it would apply in well-known actual and hypothetical cases should be provided. Take first the famous M'Naghten case, from whence much of current insanity defense jurisprudence derives.11 In 1841, Daniel M'Naghten killed the secretary of Prime Minister Peel, apparently believing the secretary was Peel and that killing Peel would bring an end to a campaign of harassment against him.12 He was found insane by the trial court judges. Whether M'Naghten would have been acquitted under the proposed approach would depend upon whether he believed the harassment would soon lead to his death or serious bodily harm and whether he thought there was any other way to prevent that occurrence. Because in his paranoid state he feared he would be assassinated by his enemies and had on several occasions unsuccessfully applied to the police for protection,13 he may have had such a defense. If, on the other hand, the circumstances in which he thought he was involved would not amount to self- defense, no acquittal would result14 (although a conviction of manslaughter rather than murder might have been appropriate, analogous to the result under the modern theory of “imperfect” self- defense as it has developed in connection with provocation doctrine).

Now consider the case of John Hinckley, who convinced a jury he was insane when he tried to kill President Reagan.15 If, as even his defense attorneys asserted, John Hinckley shot President Reagan simply because he believed Reagan's death would somehow unite him with 

actress Jodi Foster,16 he would be convicted under the proposed approach. Regardless of how psychotic Hinckley may have been at the time of the offense, he would not have an excuse under the proposed regime, because killing someone to consummate a love affair is never justified, nor is it deserving even of a reduction in charge.

Two other recent cases furnish additional exemplars. Jeffrey Dahmer killed and cannibalized thirteen individuals. The jury was right to convict him.17 As sick as his actions were, even he never thought they were justified, and he would not be excused under the proposal. Lorena Bobbitt, who cut off her husband's penis because he repeatedly beat her, was found insane.18 Whether she would have a complete defense under the proposal would depend, as it would with Daniel M'Naghten, on the extent to which she thought she had other ways of forestalling the beating and whether the option she chose was disproportionate to that threat. On the facts presented at trial,19 even on her own account her act would probably not be considered necessary by the factfinder, and she would therefore have been convicted of some version of assault.

In these cases, then, whether a defense existed under the proposed approach would depend upon self-defense principles, applied to the circumstances as the defendant believed them to be. Another variety of cases can be analyzed in terms of a similarly subjectified version of 

duress, which traditionally has excused crimes that are coerced by serious threats to harm the perpetrator. For instance, some people with mental illness who commit crime claim they were commanded by God to do so.20 If the perceived consequences of disobeying the deity were lethal or similarly significant, such a person would deserve acquittal, perhaps even if the crime charged is homicide. On the other hand, contrary to Justice Cardozo's famous hypothetical suggestion,21 the mere fact that the defendant honestly believed God ordained a crime would not automatically be an excuse.22

The third type of excuse that might apply when people with mental illness commit crime-- lack of mens rea–is extremely rare. M'Naghten, Hinckley, Dahmer, Bobbitt and Cardozo's hypothetical defendant all intended to carry out their criminal acts. Indeed, most crimes in which mental illness plays a role are intentional; the person who is so disordered that he cannot form intent is often also so disorganized behaviorally that he is unlikely to be able to carry out a criminal act. Nonetheless, when mens rea is defined subjectively, there are at least four possible lack-of-mens rea scenarios: involuntary action, mistake as to results, mistake as to circumstances, and ignorance of the law.23

First, a person may engage in motor activity without intending it to occur (e.g., a reflex action which results in a gun firing and killing someone). The criminal law typically classifies such events as involuntary acts.24 Although mental disorder usually does not eliminate conscious control over bodily movements associated with crime, when it does (e.g., in connection with 

epileptic seizures), a defense would exist if one accepts the premise that culpability requires actual intent.25

Second, a person may intentionally engage in conduct but intend a different result than that which occurs (such as when firing a gun at a tree kills a person due to a ricochet). Distortions of perception caused by mental illness might occasionally lead to such accidental consequences; for instance, a mentally ill person driving a car may accidentally hit someone because his “voices” and hallucinations prevent him from perceiving the relevant sounds and visual cues. In such situations a subjectively defined mens rea doctrine would absolve him of criminal liability for any harm caused.

Closely related is the situation in which a person intentionally engages in conduct and intends the physical result that occurs, but is under a misapprehension as to the attendant circumstances (such as when a person intentionally shoots a gun at what he thinks is a dummy but which in fact is a real person). Of the various mens rea defenses, mental illness is most likely to play a role here (in what has sometimes been labeled the “mistake of fact” defense). For instance, a person who believes he is shooting the devil when in fact he is killing a person26 or a person who exerts control over property he delusionally believes to be his27 would be acquitted of homicide and theft, respectively, if mens rea is subjectively defined. Another, more subtle example of this type of mens rea defense is most likely to arise in connection with a person who is mentally retarded rather than mentally ill. Like a young child, such a person may kill not realizing that a life has been ended, because of an incomplete conception of what life is; for instance, the offender may believe the victim will rejuvenate like a cartoon character.28 Mens rea, subjectively 

defined, would be absent in such a case because murder requires not only an intentional killing, but also that the offender understands that the victim is a human being who is capable of dying.29

Finally, a person may intentionally engage in conduct and intend the result, under no misapprehension as to the attendant circumstances, but still not intend to commit a crime because of an inadequate understanding of what crime is. There are actually two versions of this type of mens rea requirement. First, the person may not be aware of the concept of crime (as might be true of a three year-old). Second, the person may understand that criminal prohibitions exist but believe that his specific act is legally permissible (such as might occur when a person from a different country commits an act that would be perfectly legal in his culture, although illegal in ours). The first situation might be called “general” ignorance of the law, while the second might be called “specific” ignorance of the law. Outside of the insanity and infancy contexts, neither type of ignorance has been recognized as an excuse for mala in se crimes.30 However, for reasons discussed in more detail later in this article,31 a subjectively defined mens rea doctrine should excuse at least general ignorance of the law, whether or not it is due to mental disability, a position which would excuse those rare individuals who intentionally carry out criminal acts without understanding the concept of good and evil.

In short, the proposal would treat people with mental disorder no differently from people who are not mentally ill, assuming (and this is admittedly a big assumption) a modern criminal justice system that adopts a subjective approach to culpability.

 

14.4.4.8 Clark v. Arizona 14.4.4.8 Clark v. Arizona

CLARK v. ARIZONA

CERTIORARI TO THE COURT OF APPEALS OF ARIZONA

No. 05-5966.

Argued April 19, 2006

Decided June 29, 2006

*741David Goldberg, by appointment of the Court, 547 U. S. 1017, argued the cause and filed briefs for petitioner.

Randall M. Howe argued the cause for respondent. With him on the brief were Terry Goddard, Attorney General of Arizona, Mary O’Grady, Solicitor General, and Michael O’Toole, Assistant Attorney General.

*742Solicitor General Clement argued the cause for the United States as amicus curiae urging affirmance. With him on the brief were Assistant Attorney General Fisher, Deputy Solicitor General Dreeben, Matthew D. Roberts, and Kirby A. Heller.*

Justice Souter

delivered the opinion of the Court.

The case presents two questions: whether due process prohibits Arizona’s use of an insanity test stated solely in terms of the capacity to tell whether an act charged as a crime was right or wrong; and whether Arizona violates due process in restricting consideration of defense evidence of mental illness and incapacity to its bearing on a claim of insanity, thus eliminating its significance directly on the issue of the mental element of the crime charged (known in legal shorthand as the mens rea, or guilty mind). We hold that there is no violation of due process in either instance.

*743I

In the early hours of June 21, 2000, Officer Jeffrey Moritz of the Flagstaff Police responded in uniform to complaints that a pickup truck with loud music blaring was circling a residential block. When he located the truck, the officer turned on the emergency lights and siren of his marked patrol car, which prompted petitioner Eric Clark, the truck’s driver (then 17), to pull over. Officer Moritz got out of the patrol car and told Clark to stay where he was. Less than a minute later, Clark shot the officer, who died soon after but not before calling the police dispatcher for help. Clark ran away on foot but was arrested later that day with gunpowder residue on his hands; the gun that killed the officer was found nearby, stuffed into a knit cap.

Clark was charged with first-degree murder under Ariz. Rev. Stat. Ann. § 13-1105(A)(3) (West Supp. 2005) for intentionally or knowingly killing a law enforcement officer in the line of duty.1 In March 2001, Clark was found incompetent to stand trial and was committed to a state hospital for treatment, but two years later the same trial court found his competence restored and ordered him to be tried. Clark waived his right to a jury, and the case was heard by the court.

At trial, Clark did not contest the shooting and death, but relied on his undisputed paranoid schizophrenia at the time of the incident in denying that he had the specific intent to shoot a law enforcement officer or knowledge that he was doing so, as required by the statute. Accordingly, the prosecutor offered circumstantial evidence that Clark knew Officer Moritz was a law enforcement officer. The evidence showed that the officer was in uniform at the time, that he caught *744up with Clark in a marked police car with emergency lights and siren going, and that Clark acknowledged the symbols of police authority and stopped. The testimony for the prosecution indicated that Clark had intentionally lured an officer to the scene to kill him, having told some people a few weeks before the incident that he wanted to shoot police officers. At the close of the State’s evidence, the trial court denied Clark’s motion for judgment of acquittal for failure to prove intent to kill a law enforcement officer or knowledge that Officer Moritz was a law enforcement officer.

In presenting the defense case, Clark claimed mental illness, which he sought to introduce for two purposes. First, he raised the affirmative defense of insanity, putting the burden on himself to prove by clear and convincing evidence, § 13-502(C) (West 2001), that “at the time of the commission of the criminal act [he] was afflicted with a mental disease or defect of such severity that [he] did not know the criminal act was wrong,” §13-502(A).2 Second, he aimed to rebut the prosecution’s evidence of the requisite mens rea, that he had acted intentionally or knowingly to kill a law enforcement officer. See, e. g., Record in No. CR 2000-538 (Ariz. Super. Ct.), Doc. 374 (hereinafter Record).

*745The trial court ruled that Clark could not rely on evidence bearing on insanity to dispute the mens rea. The court cited State v. Mott, 187 Ariz. 536, 931 P. 2d 1046, cert. denied, 520 U. S. 1234 (1997), which “refused to allow psychiatric testimony to negate specific intent,” 187 Ariz., at 541, 931 P. 2d, at 1051, and held that “Arizona does not allow evidence of a defendant’s mental disorder short of insanity ... to negate the mens rea element of a crime,” ibid3

As to his insanity, then, Clark presented testimony from classmates, school officials, and his family describing his increasingly bizarre behavior over the year before the shooting. Witnesses testified, for example, that paranoid delusions led Clark to rig a fishing line with beads and wind chimes at home to alert him to intrusion by invaders, and to keep a bird in his automobile to warn of airborne poison. There was lay and expert testimony that Clark thought Flagstaff was populated with “aliens” (some impersonating government agents), the “aliens” were trying to kill him, and bullets were the only way to stop them. A psychiatrist testified that Clark was suffering from paranoid schizophrenia with delusions about “aliens” when he killed Officer Moritz, and he concluded that Clark was incapable of luring the officer or understanding right from wrong and that he was thus insane at the time of the killing. In rebuttal, a psychiatrist for the State gave his opinion that Clark’s paranoid schizophrenia did not keep him from appreciating the wrongfulness of his conduct, as shown by his actions before and after the shooting (such as circling the residential block with music blaring as if to lure the police to intervene, evading the police after the shooting, and hiding the gun).

At the close of the defense case consisting of this evidence bearing on mental illness, the trial court denied Clark’s re*746newed motion for a directed verdict grounded on failure of the prosecution to show that Clark knew the victim was a police officer.4 The judge then issued a special verdict of first-degree murder, expressly finding that Clark shot and caused the death of Officer Moritz beyond a reasonable doubt and that Clark had not shown that he was insane at the time. The judge noted that though Clark was indisputably afflicted with paranoid schizophrenia at the time of the shooting, the mental illness “did not . . . distort his perception of reality so severely that he did not know his actions were wrong.” App. 334. For this conclusion, the judge expressly relied on “the facts of the crime, the evaluations of the experts, [Clark’s] actions and behavior both before and after the shooting, and the observations of those that knew [Clark].” Id., at 333. The sentence was life imprisonment without the possibility of release for 25 years.

Clark moved to vacate the judgment and sentence, arguing, among other things, that Arizona’s insanity test and its Mott rule each violate due process. As to the insanity standard, Clark claimed (as he had argued earlier) that the Arizona Legislature had impermissibly narrowed its standard in 1993 when it eliminated the first part of the two-part insanity test announced in M’Naghten’s Case, 10 Cl. & Fin. 200, 8 Eng. Rep. 718 (1843). The court denied the motion.

The Court of Appeals of Arizona affirmed Clark’s conviction, treating the conclusion on sanity as supported by enough evidence to withstand review for abuse of discretion, and holding the State’s insanity scheme consistent with due process. App. 336. As to the latter, the Court of Appeals reasoned that there is no constitutional requirement to recognize an insanity defense at all, the bounds of which are left to the State’s discretion. Beyond that, the appellate court followed Mott, reading it as barring the trial court’s consid*747eration of evidence of Clark’s mental illness and capacity directly on the element of mens rea. The Supreme Court of Arizona denied further review.

We granted certiorari to decide whether due process prohibits Arizona from thus narrowing its insanity test or from excluding evidence of mental illness and incapacity due to mental illness to rebut evidence of the requisite criminal intent. 546 U. S. 1060 (2005). We now affirm.

II

Clark first says that Arizona’s definition of insanity, being only a fragment of the Victorian standard from which it derives, violates due process. The landmark English rule in M’Naghten’s Case, supra, states that

“the jurors ought to be told . . . that to establish a defence on the ground of insanity, it must be clearly proved that, at the time of the committing of the act, the party accused was laboring under such a defect of reason, from disease of the mind, as not to know the nature and quality of the act he was doing; or, if he did know it, that he did not know he was doing what was wrong.” Id., at 210, 8 Eng. Rep., at 722.

The first part asks about cognitive capacity: whether a mental defect leaves a defendant unable to understand what he is doing. The second part presents an ostensibly alternative basis for recognizing a defense of insanity understood as a lack of moral capacity: whether a mental disease or defect leaves a defendant unable to understand that his action is wrong.

When the Arizona Legislature first codified an insanity rule, it adopted the full M’Naghten statement (subject to modifications in details that do not matter here):

“A person is not responsible for criminal conduct if at the time of such conduct the person was suffering from such a mental disease or defect as not to know the na*748ture and quality of the act or, if such person did know, that such person did not know that what he was doing was wrong.” Ariz. Rev. Stat. Ann. §13-502 (West 1978).5

In 1993, the legislature dropped the cognitive incapacity part, leaving only moral incapacity as the nub of the stated definition. See 1993 Ariz. Sess. Laws ch. 256, §§ 2—3.6 Under current Arizona law, a defendant will not be adjudged insane unless he demonstrates that “at the time of the commission of the criminal act [he] was afflicted with a mental disease or defect of such severity that [he] did not know the criminal act was wrong,” Ariz. Rev. Stat. Ann. § 13-502(A) (West 2001).

A

Clark challenges the 1993 amendment excising the express reference to the cognitive incapacity element. He insists that the side-by-side M’Naghten test represents the minimum that a government must provide in recognizing an alternative to criminal responsibility on grounds of mental illness or defect, and he argues that elimination of the M’Naghten reference to nature and quality “ ‘offends [a] principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental,’” Patterson v. *749New York, 432 U. S. 197, 202 (1977) (quoting Speiser v. Randall, 357 U. S. 513, 523 (1958)); see also Leland v. Oregon, 343 U. S. 790, 798 (1952).

The claim entails no light burden, see Montana v. Egelhoff, 518 U. S. 37, 43 (1996) (plurality opinion), and Clark does not carry it. History shows no deference to M’Naghten that could elevate its formula to the level of fundamental principle, so as to limit the traditional recognition of a State’s capacity to define crimes and defenses, see Patterson, supra, at 210; see also Foucha v. Louisiana, 504 U. S. 71, 96 (1992) (Kennedy, J., dissenting).

Even a cursory examination of the traditional Anglo-American approaches to insanity reveals significant differences among them, with four traditional strains variously combined to yield a diversity of American standards. The main variants are the cognitive incapacity, the moral incapacity, the volitional incapacity, and the product-of-mental-illness tests.7 The first two emanate from the alternatives stated in the M’Naghten rule. The volitional incapacity or irresistible-impulse test, which surfaced over two centuries ago (first in England,8 then in this country9), asks whether a person was so lacking in volition due to a mental defect or illness that he could not have controlled his actions. And the product-of-mental-illness test was used as early as 1870,10 and simply asks whether a person’s action was a prod*750uct of a mental disease or defect.11 Seventeen States and the Federal Government have adopted a recognizable version of the M’Naghten test with both its cognitive incapacity and moral incapacity components.12 One State has adopted *751only M’Naghten’s cognitive incapacity test,13 and 10 (including Arizona) have adopted the moral incapacity test alone.14 Fourteen jurisdictions, inspired by the Model Penal Code,15 have in place an amalgam of the volitional incapacity test and some variant of the moral incapacity test, satisfaction of either (generally by showing a defendant’s substantial lack of capacity) being enough to excuse.16 Three States combine a full M’Naghten test with a volitional incapacity formula.17 And New Hampshire alone stands by the product-of-mental-illness test.18 The alternatives are multiplied further by variations in the prescribed insanity verdict: a significant number of these jurisdictions supplement the traditional “not guilty by reason of insanity” verdict with an *752alternative of “guilty but mentally ill.”19 Finally, four States have no affirmative insanity defense,20 though one provides for a “guilty and mentally ill” verdict.21 These four, like a number of others that recognize an affirmative insanity defense, allow consideration of evidence of mental illness directly on the element of mens rea defining the offense.22

With this varied background, it is clear that no particular formulation has evolved into a baseline for due process, and that the insanity rule, like the conceptualization of criminal offenses, is substantially open to state choice. Indeed, the legitimacy of such choice is the more obvious when one considers the interplay of legal concepts of mental illness or deficiency required for an insanity defense, with the medical concepts of mental abnormality that influence the expert opinion testimony by psychologists and psychiatrists commonly introduced to support or contest insanity claims. For medical definitions devised to justify treatment, like legal ones devised to excuse from conventional criminal responsibility, are subject to flux and disagreement. See infra, at *753774-775; cf. Leland, 343 U. S., at 800-801 (no due process violation for adopting the M’Naghten standard rather than the irresistible-impulse test because scientific knowledge does not require otherwise and choice of test is a matter of policy). There being such fodder for reasonable debate about what the cognate legal and medical tests should be, due process imposes no single canonical formulation of legal insanity.

B

Nor does Arizona’s abbreviation of the M’Naghten statement raise a proper claim that some constitutional minimum has been shortchanged. Clark’s argument of course assumes that Arizona’s former statement of the M’Naghten rule, with its express alternative of cognitive incapacity, was constitutionally adequate (as we agree). That being so, the abbreviated rule is no less so, for cognitive incapacity is relevant under that statement, just as it was under the more extended formulation, and evidence going to cognitive incapacity has the same significance under the short form as it had under the long.

Though Clark is correct that the application of the moral incapacity test (telling right from wrong) does not necessarily require evaluation of a defendant’s cognitive capacity to appreciate the nature and quality of the acts charged against him, see Brief for Petitioner 46-47, his argument fails to recognize that cognitive incapacity is itself enough to demonstrate moral incapacity. Cognitive incapacity, in other words, is a sufficient condition for establishing a defense of insanity, albeit not a necessary one. As a defendant can therefore make out moral incapacity by demonstrating cognitive incapacity, evidence bearing on whether the defendant knew the nature and quality of his actions is both relevant and admissible. In practical terms, if a defendant did not know what he was doing when he acted, he could not have known that he was performing the wrongful act charged as *754a crime.23 Indeed, when the two-part rule was still in effect, the Supreme Court of Arizona held that a jury instruction on insanity containing the moral incapacity part but not a full recitation of the cognitive incapacity part was fine, as the cognitive incapacity part might be “‘treated as adding nothing to the requirement that the accused know his act was wrong.’” State v. Chavez, 143 Ariz. 238, 239, 693 P. 2d 893, 894 (1984) (quoting A. Goldstein, The Insanity Defense 50 (1967)).

The Court of Appeals of Arizona acknowledged as much in this case, too, see App. 350 (“It is difficult to imagine that a defendant who did not appreciate the ‘nature and quality’ of the act he committed would reasonably be able to perceive that the act was ‘wrong’ ”), and thus aligned itself with the long-accepted understanding that the cognitively incapacitated are a subset of the morally incapacitated within the meaning of the standard M’Naghten rule, see, e. g., Goldstein, supra, at 51 (“In those situations where the accused does not know the nature and quality of his act, in the broad sense, he will not know that it was wrong, no matter what construction ‘wrong’ is given”); 1 W. LaFave, Substantive Criminal Law § 7.2(b)(3), p. 536 (2d ed. 2003) (“Many courts feel that knowledge of ‘the nature and quality of the act’ is the mere equivalent of the ability to know that the act was wrong” (citing cases)); id., § 7.2(b)(4), at 537 (“If the defendant does not know the nature and quality of his act, then quite obviously he does not know that his act is ‘wrong,’ and this is true without regard to the interpretation given to the word *755‘wrong’”); cf. 1 R. Gerber, Criminal Law of Arizona 502-7, n. 1 (2d ed. 1993).24

Clark, indeed, adopted this very analysis himself in the trial court: “[I]f [Clark] did not know he was shooting at a police officer, or believed he had to shoot or be shot, even though his belief was not based in reality, this would establish that he did not know what he was doing was wrong.” Record, Doc. 374, at 1. The trial court apparently agreed, for the judge admitted Clark’s evidence of cognitive incapacity for consideration under the State’s moral incapacity formulation. And Clark can point to no evidence bearing on *756insanity that was excluded. His psychiatric expert and a number of lay witnesses testified to his delusions, and this evidence tended to support a description of Clark as lacking the capacity to understand that the police officer was a human being. There is no doubt that the trial judge considered the evidence as going to an issue of cognitive capacity, for in finding insanity not proven he said that Clark’s mental illness “did not . . . distort his perception of reality so severely that he did not know his actions were wrong,” App. 334.

We are satisfied that neither in theory nor in practice did Arizona’s 1993 abridgment of the insanity formulation deprive Clark of due process.

Ill

Clark’s second claim of a due process violation challenges the rule adopted by the Supreme Court of Arizona in State v. Mott, 187 Ariz. 536, 931 P. 2d 1046, cert. denied, 520 U. S. 1234 (1997). This case ruled on the admissibility of testimony from a psychologist offered to show that the defendant suffered from battered women’s syndrome and therefore lacked the capacity to form the mens rea of the crime charged against her. The opinion variously referred to the testimony in issue as “psychological testimony,” 187 Ariz., at 541, 931 P. 2d, at 1051, and “expert testimony,” ibid., and implicitly equated it with “expert psychiatric evidence,” id., at 540, 931 P. 2d, at 1050 (internal quotation marks omitted), and “psychiatric testimony,” id., at 541, 931 P. 2d, at 1051.25 The state court held that testimony of a professional psychologist or psychiatrist about a defendant’s mental incapacity owing to mental disease or defect was admissible, and could be considered, only for its bearing on an insanity defense; such evidence could not be considered on the element *757of mens rea, that is, what the State must show about a defendant’s mental state (such as intent or understanding) when he performed the act charged against him. See id., at 541, 544, 931 P. 2d, at 1051, 1054.26

A

Understanding Clark’s claim requires attention to the categories of evidence with a potential bearing on mens rea. First, there is “observation evidence” in the everyday sense, testimony from those who observed what Clark did and heard what he said; this category would also include testimony that an expert witness might give about Clark’s tendency to think in a certain way and his behavioral characteristics. This evidence may support a professional diagnosis of mental disease and in any event is the kind of evidence that can be relevant to show what in fact was on Clark’s mind when he fired the gun. Observation evidence in the record covers Clark’s behavior at home and with friends, his expressions of belief around the time of the killing that “aliens” were inhabiting the bodies of local people (including government agents),27 his driving around the neighborhood before the police arrived, and so on. Contrary to the dissent’s characterization, see post, at 782 (opinion of Kennedy, J.), obser*758vation evidence can be presented by either lay or expert witnesses.

Second, there is “mental-disease evidence” in the form of opinion testimony that Clark suffered from a mental disease with features described by the witness. As was true here, this evidence characteristically but not always28 comes from professional psychologists or psychiatrists who testify as expert witnesses and base their opinions in part on examination of a defendant, usually conducted after the events in question. The thrust of this evidence was that, based on factual reports, professional observations, and tests, Clark was psychotic at the time in question, with a condition that fell within the category of schizophrenia.

Third, there is evidence we will refer to as “capacity evidence” about a defendant’s capacity for cognition and moral judgment (and ultimately also his capacity to form mens rea). This, too, is opinion evidence. Here, as it usually does,29 this testimony came from the same experts and concentrated on those specific details of the mental condition that make the difference between sanity and insanity under the Arizona definition.30 In their respective testimony on *759these details the experts disagreed: the defense expert gave his opinion that the symptoms or effects of the disease in Clark’s case included inability to appreciate the nature of his action and to tell that it was wrong, whereas the State’s psychiatrist was of the view that Clark was a schizophrenic who was still sufficiently able to appreciate the reality of shooting the officer and to know that it was wrong to do that.31

A caveat about these categories is in order. They attempt to identify different kinds of testimony offered in this case in terms of explicit and implicit distinctions made in Mott. What we can say about these categories goes to their cores, however, not their margins. Exact limits have thus not been worked out in any Arizona law that has come to our attention, and in this case, neither the courts in their rulings nor counsel in objections invoked or required precision in applying the Mott rule’s evidentiary treatment, as we explain below. Necessarily, then, our own decision can address only core issues, leaving for other cases any due process claims that may be raised about the treatment of evidence whose categorization is subject to dispute.

*760B

It is clear that Mott itself imposed no restriction on considering evidence of the first sort, the observation evidence. We read the Mott restriction to apply, rather, to evidence addressing the two issues in testimony that characteristically comes only from psychologists or psychiatrists qualified to give opinions as exp'ert witnesses: mental-disease evidence (whether at the time of the crime a defendant suffered from a mental disease or defect, such as schizophrenia) and capacity evidence (whether the disease or defect left him incapable of performing or experiencing a mental process defined as necessary for sanity such as appreciating the nature and quality of his act and knowing that it was wrong).

Mott was careful to distinguish this kind of opinion evidence from observation evidence generally and even from observation evidence that an expert witness might offer, such as descriptions of a defendant’s tendency to think in a certain way or his behavioral characteristics; the Arizona court made it clear that this sort of testimony was perfectly admissible to rebut the prosecution’s evidence of mens rea, 187 Ariz., at 544, 931 P. 2d, at 1054. Thus, only opinion testimony going to mental defect or disease, and its effect on the cognitive or moral capacities on which sanity depends under the Arizona rule, is restricted.

In this case, the trial court seems to have applied the Mott restriction to all evidence offered by Clark for the purpose of showing what he called his inability to form the required mens rea, see, e.g., Record, Doc. 406, at 7-10 (that is, an intent to kill a police officer on duty, or an understanding that he was engaging in the act of killing such an officer, see Ariz. Rev. Stat. Ann. § 13-1105(A)(3) (West Supp. 2005)). Thus, the trial court’s restriction may have covered not only mental-disease and capacity evidence as just defined, but also observation evidence offered by lay (and expert) witnesses who described Clark’s unusual behavior. Clark’s objection to the application of the Mott rule does not, however, turn *761on the distinction between lay and expert witnesses or the kinds of testimony they were competent to present.32

C

There is some, albeit limited, disagreement between the dissent and ourselves about the scope of the claim of error properly before us. To start with matters of agreement, all Members of the Court agree that Clark’s general attack on the Mott rule covers its application in confining consideration of capacity evidence to the insanity defense.

In practical terms, our agreement on issues presented extends to a second point. Justice Kennedy understands that Clark raised an objection to confining mental-disease evidence to the insanity issue. As he sees it, Clark in effect claimed that in dealing with the issue of mens rea the trial judge should have considered expert testimony on what may characteristically go through the mind of a schizophrenic, when the judge considered what in fact was in Clark’s mind at the time of the shooting. See post, at 783 (dissenting opinion) (“[T]he opinion that Clark had paranoid schizophrenia—an opinion shared by experts for both the prosecution and defense—bears on efforts to determine, as a factual matter, whether he knew he was killing a police officer”). He thus understands that defense counsel claimed a right to rebut the State’s mens rea demonstration with testimony about how schizophrenics may hallucinate voices and other sounds, about their characteristic failure to distinguish the content of their imagination from what most people perceive as exterior reality, and so on. It is important to be clear that this supposed objection was not about dealing with tes*762timony based on observation of Clark showing that he had auditory hallucinations when he was driving around, or failed in fact to appreciate objective reality when he shot; this objection went to use of testimony about schizophrenics, not about Clark in particular. While we might dispute how clearly Clark raised this objection, we have no doubt that the objection falls within a general challenge to the Mott rule; we understand that Mott is meant to confine to the insanity defense any consideration of characteristic behavior associated with mental disease, see 187 Ariz., at 544, 931 P. 2d, at 1054 (contrasting State v. Christensen, 129 Ariz. 32, 628 P. 2d 580 (1981), and State v. Gonzales, 140 Ariz. 349, 681 P. 2d 1368 (1984)). We will therefore assume for argument that Clark raised this claim, as we consider the due process challenge to the Mott rule.

The point on which we disagree with the dissent, however, is this: did Clark apprise the Arizona courts that he believed the trial judge had erroneously limited the consideration of observation evidence, whether from lay witnesses like Clark’s mother or (possibly) the expert witnesses who observed him? This sort of evidence was not covered by the Mott restriction, and confining it to the insanity issue would have been an erroneous application of Mott as a matter of Arizona law. For the following reasons we think no such objection was made in a way the Arizona courts could have understood it, and that no such issue is before us now. We think the only issue properly before us is the challenge to Mott on due process grounds, comprising objections to limits on the use of mental-disease and capacity evidence.

It is clear that the trial judge intended to apply Mott:

“[R]ecognizing that much of the evidence that [the defense is] going to be submitting, in fact all of it, as far as I know ... that has to do with the insanity could also arguably be made along the lines of the Mott issues as to form and intent and his capacity for the intent. I’m going to let you go ahead and get all that stuff in because *763it goes to the insanity issue and because we’re not in front of a jury. At the end, I’ll let you make an offer of proof as to the intent, the Mott issues, but I still think the supreme court decision is the law of the land in this state.” App. 9.

At no point did the trial judge specify any particular evidence that he refused to consider on the mens rea issue. Nor did defense counsel specify any observation or other particular evidence that he claimed was admissible but wrongly excluded on the issue of mens rea, so as to produce a clearer ruling on what evidence was being restricted on the authority of Mott and what was not. He made no “offer of proof” in the trial court;33 and although his brief in the Arizona Court of Appeals stated at one point that it was not inconsistent with Mott to consider nonexpert evidence indicating mental illness on the issue of mens rea, and argued that the trial judge had failed to do so, Appellant’s Opening Brief in No. 1CA-CR-03-0851 etc., pp. 48-49 (hereinafter Appellant’s Opening Brief), he was no more specific than that, see, e. g., id., at 52 (“The Court’s ruling in Mott and the trial court’s refusal to consider whether as a result of suffering from paranoid schizophrenia [Clark] could not formulate the mens rea necessary for first degree murder violated his right to due process”). Similarly, we read the Arizona Court of Appeals to have done nothing more than rely on Mott to reject the claim that due process forbids restricting evidence bearing on “[ajbility to [florm [m]ens [r]ea,” App. 351 (em*764phasis in original), (i. e., mental-disease and capacity evidence) to the insanity determination. See id., at 351-353.

This failure in the state courts to raise any clear claim about observation evidence, see Appellant’s Opening Brief 46-52, is reflected in the material addressed to us, see Brief for Petitioner 13-32. In this Court both the question presented and the following statement of his position were couched in similarly worded general terms:

“I. ERIC WAS DENIED DUE PROCESS WHEN THE TRIAL COURT REFUSED TO CONSIDER EVIDENCE OF HIS SEVERE MENTAL ILLNESS IN DETERMINING FACTUALLY WHETHER THE PROSECUTION PROVED THE MENTAL ELEMENTS OF THE CRIME CHARGED.” Id., at 13.

But as his counsel made certain beyond doubt in his reply brief,

“Eric’s Point I is and always has been an attack on the rule of State v. Mott, which both courts below held applicable and binding. Mott announced a categorical ‘rejection of the use of psychological testimony to challenge the mens rea element of a crime,’ and upheld this rule against federal due process challenge.” Reply Brief for Petitioner 2 (citations omitted).

This explanation is supported by other statements in Clark’s briefs in both the State Court of Appeals and this Court, replete with the consistently maintained claim that it was error to limit evidence of mental illness and incapacity to its bearing on the insanity defense, excluding it from consideration on the element of mens rea. See, e. g., Appellant’s Opening Brief 46,47,51; Brief for Petitioner 11,13,16,20-23.

In sum, the trial court’s ruling, with its uncertain edges, may have restricted observation evidence admissible on mens rea to the insanity defense alone, but we cannot be *765sure.34 But because a due process challenge to such a restriction of observation evidence was, by our measure, neither pressed nor passed upon in the Arizona Court of Appeals, we do not consider it. See, e. g., Kentucky v. Stincer, 482 U. S. 730, 747, n. 22 (1987); Illinois v. Gates, 462 U. S. 213, 217-224 (1983). What we do know, and now consider, is Clark’s claim that Mott denied due process because it “preclude [dj Eric from contending that. . .factual inferences” of the “mental states which were necessary elements of the crime charged” “should not be drawn because the behavior was explainable, instead, as a manifestation of his chronic paranoid schizophrenia.” Brief for Petitioner 13 (emphasis in original). We consider the claim, as Clark otherwise puts it, that “Arizona’s prohibition of ‘diminished capacity’ evidence by criminal defendants violates” due process, ibid.

D

Clark’s argument that the Mott rule violates the Fourteenth Amendment guarantee of due process turns on the application of the presumption of innocence in criminal cases, the presumption of sanity, and the principle that a criminal defendant is entitled to present relevant and favorable evidence on an element of the offense charged against him.

*7661

The first presumption is that a defendant is innocent unless and until the government proves beyond a reasonable doubt each element of the offense charged, see Patterson, 432 U. S., at 210-211; In re Winship, 397 U. S. 358, 361-364 (1970), including the mental element or mens rea. Before the last century, the mens rea required to be proven for particular offenses was often described in general terms like “malice,” see, e. g., In re Eckart, 166 U. S. 481 (1897); 4 W. Blackstone, Commentaries *21 (“[A]n unwarrantable act without a vicious will is no crime at all”), but the modern tendency has been toward more specific descriptions, as shown in the Arizona statute defining the murder charged against Clark: the State had to prove that in acting to kill the victim, Clark intended to kill a law enforcement officer on duty or knew that the victim was such an officer on duty. See generally Gardner, The Mens Rea Enigma: Observations on the Role of Motive in the Criminal Law Past and Present, 1993 Utah L. Rev. 635. As applied to mens rea (and every other element), the force of the presumption of innocence is measured by the force of the showing needed to overcome it, which is proof beyond a reasonable doubt that a defendant’s state of mind was in fact what the charge states. See Winship, supra, at 361-363.

2

The presumption of sanity is equally universal in some variety or other, being (at least) a presumption that a defendant has the capacity to form the mens rea necessary for a verdict of guilt and the consequent criminal responsibility. See Leland, 343 U. S., at 799; Davis v. United States, 160 U. S. 469, 486-487 (1895); M’Naghten’s Case, 10 Cl. & Fin., at 210, 8 Eng. Rep., at 722; see generally 1 LaFave, Substantive Criminal Law § 8.3(a), at 598-599, and n. 1. This presumption dispenses with a requirement on the government’s part *767to include as an element of every criminal charge an allegation that the defendant had such a capacity.35 The force of this presumption, like the presumption of innocence, is measured by the quantum of evidence necessary to overcome it; unlike the presumption of innocence, however, the force of the presumption of sanity varies across the many state and federal jurisdictions, and prior law has recognized considerable leeway on the part of the legislative branch in defining the presumption’s strength through the kind of evidence and degree of persuasiveness necessary to overcome it, see Fisher v. United States, 328 U. S. 463, 466-476 (1946).36

There are two points where the sanity or capacity presumption may be placed in issue. First, a State may allow a defendant to introduce (and a factfinder to consider) evidence of mental disease or incapacity for the bearing it can have on the government’s burden to show mens rea. See, e. g., State v. Perez, 882 A. 2d 574, 584 (R. I. 2005).37 In such States the evidence showing incapacity to form the guilty state of mind, for example, qualifies the probative force of other evidence, which considered alone indicates that the defendant actually formed the guilty state of mind. If it is shown that a defendant with mental disease thinks all blond people are robots, he could not have intended to kill a person when he shot a man with blond hair, even though he seemed *768to act like a man shooting another man.38 In jurisdictions that allow mental-disease and capacity evidence to be considered on par with any other relevant evidence when deciding whether the prosecution has proven mens rea beyond a reasonable doubt, the evidence of mental disease or incapacity need only support what the factfinder regards as a reasonable doubt about the capacity to form (or the actual formation of) the mens rea, in order to require acquittal of the charge. Thus, in these States the strength of the presumption of sanity is no greater than the strength of the evidence of abnormal mental state that the factfinder thinks is enough to raise a reasonable doubt.

The second point where the force of the presumption of sanity may be tested is in the consideration of a defense of insanity raised by a defendant. Insanity rules like M’Naghten and the variants discussed in Part II, supra, are attempts to define, or at least to indicate, the kinds of mental differences that overcome the presumption of sanity or capacity and therefore excuse a defendant from customary criminal responsibility, see Jones v. United States, 463 U. S. 354, 373, n. 4 (1983) (Brennan, J., dissenting); D. Hermann, The Insanity Defense: Philosophical, Historical and Legal Perspectives 4 (1983) (“A central significance of the insanity defense . . . *769is the separation of nonblameworthy from blameworthy offenders”), even if the prosecution has otherwise overcome the presumption of innocence by convincing the factfinder of all the elements charged beyond a reasonable doubt. The burden that must be carried by a defendant who raises the insanity issue, again, defines the strength of the sanity presumption. A State may provide, for example, that whenever the defendant raises a claim of insanity by some quantum of credible evidence, the presumption disappears and the government must prove sanity to a specified degree of certainty (whether beyond reasonable doubt or something less). See, e.g., Commonwealth v. Keita, 429 Mass. 843, 846, 712 N. E. 2d 65, 68 (1999). Or a jurisdiction may place the burden of persuasion on a defendant to prove insanity as the applicable law defines it, whether by a preponderance of the evidence or to some more convincing degree, see Ariz. Rev. Stat. Ann. § 13-502(C) (West 2001); Leland, 343 U. S., at 798. In any case, the defendant’s burden defines the presumption of sanity, whether that burden be to burst a bubble or to show something more.

3

The third principle implicated by Clark’s argument is a defendant’s right as a matter of simple due process to present evidence favorable to himself on an element that must be proven to convict him.39 As already noted, evidence tending to show that a defendant suffers from mental disease and lacks capacity to form mens rea is relevant to rebut evidence that he did in fact form the required mens rea at the time in question; this is the reason that Clark claims a right to require the factfinder in this case to consider testimony *770about his mental illness and his incapacity directly, when weighing the persuasiveness of other evidence tending to show mens rea, which the prosecution has the burden to prove.

As Clark recognizes, however, the right to introduce relevant evidence can be curtailed if there is a good reason for doing that. “While the Constitution ... prohibits the exclusion of defense evidence under rules that serve no legitimate purpose or that are disproportionate to the ends that they are asserted to promote, well-established rules of evidence permit trial judges to exclude evidence if its probative value is outweighed by certain other factors such as unfair prejudice, confusion of the issues, or potential to mislead the jury.” Holmes v. South Carolina, 547 U. S. 319, 326 (2006); see Crane v. Kentucky, 476 U. S. 683, 689-690 (1986) (permitting exclusion of evidence that “poses an undue risk of ‘harassment, prejudice, [or] confusion of the issues’ ” (quoting Delaware v. Van Arsdall, 475 U. S. 673, 679 (1986))); see also Egelhoff, 518 U. S. 37; Chambers v. Mississippi, 410 U. S. 284, 302 (1973). And if evidence may be kept out entirely, its consideration may be subject to limitation, which Arizona claims the power to impose here. State law says that evidence of mental disease and incapacity may be introduced and considered, and if sufficiently forceful to satisfy the defendant’s burden of proof under the insanity rule it will displace the presumption of sanity and excuse from criminal responsibility. But mental-disease and capacity evidence may be considered only for its bearing on the insanity defense, and it will avail a defendant only if it is persuasive enough to satisfy the defendant’s burden as defined by the terms of that defense. The mental-disease and capacity evidence is thus being channeled or restricted to one issue and given effect only if the defendant carries the burden to convince the factfinder of insanity; the evidence is not being excluded entirely, and the question is whether reasons for requiring it to be channeled and restricted are good enough to *771satisfy the standard of fundamental fairness that due process requires. We think they are.

E

1

The first reason supporting the Mott rule is Arizona’s authority to define its presumption of sanity (or capacity or responsibility) by choosing an insanity definition, as discussed in Part II, supra, and by placing the burden of persuasion on defendants who claim incapacity as an excuse from customary criminal responsibility. No one, certainly not Clark here, denies that a State may place a burden of persuasion on a defendant claiming insanity, see Leland, supra, at 797-799 (permitting a State, consistent with due process, to require the defendant to bear this burden). And Clark presses no objection to Arizona’s decision to require persuasion to a clear and convincing degree before the presumption of sanity and normal responsibility is overcome. See Brief for Petitioner 18, n. 25.

But if a State is to have this authority in practice as well as in theory, it must be able to deny a defendant the opportunity to displace the presumption of sanity more easily when addressing a different issue in the course of the criminal trial. Yet, as we have explained, just such an opportunity would be available if expert testimony of mental disease and incapacity could be considered for whatever a factfinder might think it was worth on the issue of mens rea.40 As we mentioned, the presumption of sanity would then be only as strong as the evidence a factfinder would accept as enough to raise a reasonable doubt about mens rea for the crime charged; once reasonable doubt was found, acquittal would *772be required, and the standards established for the defense of insanity would go by the boards.

Now, a State is of course free to accept such a possibility in its law. After all, it is free to define the insanity defense by treating the presumption of sanity as a bursting bubble, whose disappearance shifts the burden to the prosecution to prove sanity whenever a defendant presents any credible evidence of mental disease or incapacity. In States with this kind of insanity rule, the legislature may well be willing to allow such evidence to be considered on the mens rea element for whatever the factfinder thinks it is worth. What counts for due process, however, is simply that a State that wishes to avoid a second avenue for exploring capacity, less stringent for a defendant, has a good reason for confining the consideration of evidence of mental disease and incapacity to the insanity defense.

It is obvious that Arizona’s Mott rule reflects such a choice. The State Supreme Court pointed out that the State had declined to adopt a defense of diminished capacity (allowing a jury to decide when to excuse a defendant because of greater than normal difficulty in conforming to the law).41 The court reasoned that the State’s choice would be undercut if evidence of incapacity could be considered for *773whatever a jury might think sufficient to raise a reasonable doubt about mens rea, even if it did not show insanity. 187 Ariz., at 541, 931 P. 2d, at 1051. In other words, if a jury were free to decide how much evidence of mental disease and incapacity was enough to counter evidence of mens rea to the point of creating a reasonable doubt, that would in functional terms be analogous to allowing jurors to decide upon some degree of diminished capacity to obey the law, a degree set by them, that would prevail as a stand-alone defense.42

2

A State’s insistence on preserving its chosen standard of legal insanity cannot be the sole reason for a rule like Mott, however, for it fails to answer an objection the dissent makes in this case. See post, at 789-797 (opinion of Kennedy, J.). An insanity rule gives a defendant already found guilty the opportunity to excuse his conduct by showing he was insane when he acted, that is, that he did not have the mental capacity for conventional guilt and criminal responsibility. But, as the dissent argues, if the same evidence that affirmatively shows he was not guilty by reason of insanity (or “guilty except insane” under Arizona law, Ariz. Rev. Stat. Ann. § 13-502(A) (West 2001)) also shows it was at least doubtful that he could form mens rea, then he should not be found guilty in the first place; it thus violates due process when the State *774impedes him from using mental-disease and capacity evidence directly to rebut the prosecution’s evidence that he did form mens rea.

Are there, then, characteristics of mental-disease and capacity evidence giving rise to risks that may reasonably be hedged by channeling the consideration of such evidence to the insanity issue on which, in States like Arizona, a defendant has the burden of persuasion? We think there are: in the controversial character of some categories of mental disease, in the potential of mental-disease evidence to mislead, and in the danger of according greater certainty to capacity evidence than experts claim for it.

To begin with, the diagnosis may mask vigorous debate within the profession about the very contours of the mental disease itself. See, e. g., American Psychiatric Association, Diagnostic and Statistical Manual of Mental Disorders xxxiii (4th ed. text rev. 2000) (hereinafter DSM-IV-TR) (“DSM-IV reflects a consensus about the classification and diagnosis of mental disorders derived at the time of its initial publication. New knowledge generated by research or clinical experience will undoubtedly lead to an increased understanding of the disorders included in DSM-IV, to the identification of new disorders, and to the removal of some disorders in future classifications. The text and criteria sets included in DSM-IV will require reconsideration in light of evolving new information”); P. Caplan, They Say You’re Crazy: How the World’s Most Powerful Psychiatrists Decide Who’s Normal (1995) (criticism by former consultant to the DSM against some of the DSM’s categories). And Members of this Court have previously recognized that the end of such debate is not imminent. See Jones, 463 U. S., at 365, n. 13 (“ ‘The only certain thing that can be said about the present state of knowledge and therapy regarding mental disease is that science has not reached finality of judgment’ ” (quoting Greenwood v. United States, 350 U. S. 366, 375 (1956))); Powell v. Texas, 392 U. S. 514, 537 (1968) (plurality opinion) (“It *775is simply not yet the time to write into the Constitution formulas cast in terms whose meaning, let alone relevance, is not yet clear ... to doctors”). Though we certainly do not “condem[n mental-disease evidence] wholesale,” Brief for American Psychiatric Association et al. as Amici Curiae 15, the consequence of this professional ferment is a general caution in treating psychological classifications as predicates for excusing otherwise criminal conduct.

Next, there is the potential of mental-disease evidence to mislead jurors (when they are the factfinders) through the power of this kind of evidence to suggest that a defendant suffering from a recognized mental disease lacks cognitive, moral, volitional, or other capacity, when that may not be a sound conclusion at all. Even when a category of mental disease is broadly accepted and the assignment of a defendant’s behavior to that category is uneontroversial, the classification may suggest something very significant about a defendant’s capacity, when in fact the classification tells us little or nothing about the ability of the defendant to form mens rea or to exercise the cognitive, moral, or volitional capacities that define legal sanity.43 See DSM-IV-TR xxxii-xxxiii (“When the DSM-IV categories, criteria, and textual descriptions are employed for forensic purposes, there are significant risks that diagnostic information will be misused or misunderstood. These dangers arise because of the imperfect fit between the questions of ultimate concern to the law and the information contained in a clinical diagnosis. In most situations, the clinical diagnosis of a DSM-IV mental disorder is not sufficient to establish the existence for legal *776purposes of. . . ‘mental diseas[e]’ or ‘mental defect.’ In determining whether an individual meets a specified legal standard (e. g., for ... criminal responsibility ...), additional information is usually required beyond that contained in the DSM-IV diagnosis”). The limits of the utility of a professional disease diagnosis are evident in the dispute between the two testifying experts in this case; they agree that Clark was schizophrenic, but they come to opposite conclusions on whether the mental disease in his particular case left him bereft of cognitive or moral capacity. Evidence of mental disease, then, can easily mislead; it is very easy to slide from evidence that an individual with a professionally recognized mental disease is very different, into doubting that he has the capacity to form mens rea, whereas that doubt may not be justified. And of course, in the cases mentioned before, in which the categorization is doubtful or the category of mental disease is itself subject to controversy, the risks are even greater that opinions about mental disease may confuse a jury into thinking the opinions show more than they do. Because allowing mental-disease evidence on mens rea can thus easily mislead, it is not unreasonable to address that tendency by confining consideration of this kind of evidence to insanity, on which a defendant may be assigned the burden of persuasion.

There are, finally, particular risks inherent in the opinions of the experts who supplement the mental-disease classifications with opinions on incapacity: on whether the mental disease rendered a particular defendant incapable of the cognition necessary for moral judgment or mens rea or otherwise incapable of understanding the wrongfulness of the conduct charged. Unlike observational evidence bearing on mens rea, capacity evidence consists of judgment, and judgment fraught with multiple perils: a defendant’s state of mind at the crucial moment can be elusive no matter how conscientious the enquiry, and the law’s categories that set the terms of the capacity judgment are not the categories of psychology *777that govern the expert’s professional thinking. Although such capacity judgments may be given in the utmost good faith, their potentially tenuous character is indicated by the candor of the defense expert in this very case. Contrary to the State’s expert, he testified that Clark lacked the capacity to appreciate the circumstances realistically and to understand the wrongfulness of what he was doing, App. 48-49, but he said that “no one knows exactly what was on [his] mind” at the time of the shooting, id., at 48. And even when an expert is confident that his understanding of the mind is reliable, judgment addressing the basic categories of capacity requires a leap from the concepts of psychology, which are devised for thinking about treatment, to the concepts of legal sanity, which are devised for thinking about criminal responsibility. See Insanity Defense Work Group, American Psychiatric Association Statement on the Insanity Defense, 140 Am. J. Psychiatry 681,686 (1983), reprinted in 2 The Role of Mental Illness in Criminal Trials 117,122 (J. Moriarty ed. 2001) (“The American Psychiatric Association is not opposed to legislatures restricting psychiatric testimony about the... ultimate legal issues concerning the insanity defense. . . . When . . . ‘ultimate issue’ questions are formulated by the law and put to the expert witness who must then say ‘yea’ or ‘nay,’ then the expert witness is required to make a leap in logic. He no longer addresses himself to medical concepts but instead must infer or intuit what is in fact unspeakable, namely, the probable relationship between medical concepts and legal or moral constructs such as free will. These impermissible leaps in logic made by expert witnesses confuse the jury. . . . This state of affairs does considerable injustice to psychiatry and, we believe, possibly to criminal defendants. These psychiatric disagreements . . . cause less than fully understanding juries or the public to conclude that psychiatrists cannot agree. In fact, in many criminal insanity trials both prosecution and defense psychiatrists do agree about the nature and even the extent of mental disorder ex*778hibited by the defendant at the time of the act” (emphasis in original; footnote omitted)); DSM-IV-TR xxxii-xxxiii; R Giannelli & E. Imwinkelried, Scientific Evidence §9-3(B), p. 286 (1986) (“[N]o matter how the test for insanity is phrased, a psychiatrist or psychologist is no more qualified than any other person to give an opinion about whether a particular defendant’s mental condition satisfies the legal test for insanity”); cf. R. Slovenko, Psychiatry and Criminal Culpability 55 (1995) (“The scope of the DSM is wide-ranging and includes ‘conduct disorders’ but ‘evil’ is not mentioned”). In sum, these empirical and conceptual problems add up to a real risk that an expert’s judgment in giving capacity evidence will come with an apparent authority that psychologists and psychiatrists do not claim to have. We think that this risk, like the difficulty in assessing the significance of mental-disease evidence, supports the State’s decision to channel such expert testimony to consideration on the insanity defense, on which the party seeking the benefit of this evidence has the burden of persuasion.

It bears repeating that not every State will find it worthwhile to make the judgment Arizona has made, and the choices the States do make about dealing with the risks posed by mental-disease and capacity evidence will reflect their varying assessments about the presumption of. sanity as expressed in choices of insanity rules.44 The point here simply is that Arizona has sensible reasons to assign the risks as it has done by channeling the evidence.45

*779F

Arizona’s rule serves to preserve the State’s chosen standard for recognizing insanity as a defense and to avoid confusion and misunderstanding on the part of jurors.46 For these reasons, there is no violation of due process under Chambers and its progeny, and no cause to claim that channeling evidence on mental disease and capacity offends any “‘principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental,’ ” Patterson, 432 U. S., at 202 (quoting Speiser, 357 U. S., at 523).

* * *

The judgment of the Court of Appeals of Arizona is, accordingly, affirmed.

It is so ordered.

Justice Breyer,

concurring in part and dissenting in part.

As I understand the Court’s opinion, it distinguishes among three categories of evidence related to insanity: (1) fact-related evidence as to the defendant’s specific state of mind at the time of the crime, e. g., evidence that shows he *780thought the policeman was not a human being; (2) expert opinion evidence that the defendant suffered from a mental disease that would have affected his capacity to form an intent to kill a policeman, e. g., that he suffers from a disease of a kind where powerful voices command the sufferer to kill; and (3) expert opinion evidence that the defendant was legally insane, e. g., evidence that he did not know right from wrong. Ante, at 757-759.

I agree with the Court’s basic categorization. I also agree that the Constitution permits a State to provide for consideration of the second and third types of evidence solely in conjunction with the insanity defense. A State might reasonably fear that, without such a rule, the types of evidence as to intent would become confused in the jury’s mind, indeed that in some cases the insanity question would displace the intent question as the parties litigate both simultaneously.

Nonetheless, I believe the distinction among these kinds of evidence will be unclear in some cases. And though I accept the majority’s reading of the record, I remain concerned as to whether the lower courts, in setting forth and applying State v. Mott, 187 Ariz. 536, 931 P. 2d 1046, cert. denied, 520 U. S. 1234 (1997), focused with sufficient directness and precision upon the distinction.

Consequently, I would remand this case so that Arizona’s courts can determine whether Arizona law, as set forth in Mott and other cases, is consistent with the distinction the Court draws and whether the trial court so applied Arizona law here. I would also reserve the question (as I believe the Court has done) as to the burden of persuasion in a case where the defendant produces sufficient evidence of the second kind as to raise a reasonable doubt suggesting that he suffered from a mental illness so severe as to prevent him from forming any relevant intent at all.

For this reason, I dissent only from Parts III-B and III-C of the Court’s opinion and the ultimate disposition of this case, and I join the remainder.

*781Justice Kennedy, with whom Justice Stevens and Justice Ginsburg join, dissenting.

In my submission the Court is incorrect in holding that Arizona may convict petitioner Eric Clark of first-degree murder for the intentional or knowing killing of a police officer when Clark was not permitted to introduce critical and reliable evidence showing he did not have that intent or knowledge. The Court is wrong, too, when it concludes the issue cannot be reached because of an error by Clark’s counsel. Its reasons and conclusions lead me to file this respectful dissent.

Since I would reverse the judgment of the Arizona Court of Appeals on this ground, and the Arizona courts might well alter their interpretation of the State’s criminal responsibility statute were my rationale to prevail, it is unnecessary for me to address the argument that Arizona’s definition of insanity violates due process.

I

Clark claims that the trial court erred in refusing to consider evidence of his chronic paranoid schizophrenia in deciding whether he possessed the knowledge or intent required for first-degree murder. Seizing upon a theory invented here by the Court itself, the Court narrows Clark’s claim so he cannot raise the point everyone else thought was involved in the case. The Court says the only issue before us is whether there is a right to introduce mental-disease evidence or capacity evidence, not a right to introduce observation evidence. See ante, at 756-765. This restructured evidentiary universe, with no convincing authority to support it, is unworkable on its own terms. Even were that not so, however, the Court’s tripartite structure is something not addressed by the state trial court, the state appellate court, counsel on either side in those proceedings, or the briefs the parties filed with us. The Court refuses to consider the key part of Clark’s claim because his counsel did *782not predict the Court’s own invention. It is unrealistic, and most unfair, to hold that Clark’s counsel erred in failing to anticipate so novel an approach. If the Court is to insist on its approach, at a minimum the case should be remanded to determine whether Clark is bound by his counsel’s purported waiver.

The Court’s error, of course, has significance beyond this case. It adopts an evidentiary framework that, in my view, will be unworkable in many cases. The Court classifies Clark’s behavior and expressed beliefs as observation evidence but insists that its description by experts must be mental-disease evidence or capacity evidence. See ante, at 757-759. These categories break down quickly when it is understood how the testimony would apply to the question of intent and knowledge at issue here. The most common type of schizophrenia, and the one Clark suffered from, is paranoid schizophrenia. See P. Berner et al., Diagnostic Criteria for Functional Psychoses 37 (2d ed. 1992). The existence of this functional psychosis is beyond dispute, but that does not mean the lay witness understands it or that a disputed issue of fact concerning its effect in a particular instance is not something for the expert to address. Common symptoms of the condition are delusions accompanied by hallucinations, often of the auditory type, which can cause disturbances of perception. Ibid. Clark’s expert testified that people with schizophrenia often play radios loudly to drown out the voices in their heads. See App. 32. Clark’s attorney argued to the trial court that this, rather than a desire to lure a policeman to the scene, explained Clark’s behavior just before the killing. Id., at 294-295. The observation that schizophrenics play radios loudly is a fact regarding behavior, but it is only a relevant fact if Clark has schizophrenia.

Even if this evidence were, to use the Court’s term, mental-disease evidence, because it relies on an expert opinion, what would happen if the expert simply were to testify, without mentioning schizophrenia, that people with Clark’s *783symptoms often play the radio loudly? This seems to be factual evidence, as the term is defined by the Court, yet it differs from mental-disease evidence only in forcing the witness to pretend that no one has yet come up with a way to classify the set of symptoms being described. More generally, the opinion that Clark had paranoid schizophrenia—an opinion shared by experts for both the prosecution and defense—bears on efforts to determine, as a factual matter, whether he knew he was killing a police officer. The psychiatrist’s explanation of Clark’s condition was essential to understanding how he processes sensory data and therefore to deciding what information was in his mind at the time of the shooting. Simply put, knowledge relies on cognition, and cognition can be affected by schizophrenia. See American Psychiatric Association, Diagnostic and Statistical Manual of Mental Disorders 299 (4th ed. text rev. 2000) (“The characteristic symptoms of Schizophrenia involve a range of cognitive and emotional dysfunctions that include perception”); ibid. (Symptoms include delusions, which are “erroneous beliefs that usually involve a misinterpretation of perceptions or experiences”). The mental-disease evidence at trial was also intertwined with the observation evidence because it lent needed credibility. Clark’s parents and friends testified Clark thought the people in his town were aliens trying to kill him. These claims might not be believable without a psychiatrist confirming the story based on his experience with people who have exhibited similar behaviors. It makes little sense to divorce the observation evidence from the explanation that makes it comprehensible.

Assuming the Court’s tripartite structure were feasible, the Court is incorrect when it narrows Clark’s claim to exclude any concern about observation evidence. In deciding Clark’s counsel failed to raise this issue, the Court relies on a series of perceived ambiguities regarding how the claim fits within the Court’s own categories. See ante, at 761-765. The Court cites no precedent for construing these ambiguities against the claimant and no prudential reason for ignor*784ing the breadth of Clark’s claim. It is particularly surprising that the Court does so to the detriment of a criminal defendant asserting the fundamental challenge that the trier of fact refused to consider critical evidence showing he is innocent of the crime charged.

The alleged ambiguities are, in any event, illusory. The evidence at trial addressed more than the question of general incapacity or opinions regarding mental illness; it went further, as it included so-called observation evidence relevant to Clark’s mental state at the moment he shot the officer. There was testimony, for example, that Clark thought the people in his town, particularly government officials, were not human beings but aliens who were trying to kill him. See App. 119-121, 131-132, 192-197, 249-256; Tr. of Bench Trial in No. CR 2000-538, pp. 110-112,131-132,136, 226-228 (Aug. 20, 2003); id., at 24-25, 59-60 (Aug. 21, 2003). The Court recognizes the existence of this essential observation evidence. See ante, at 757-759.

The Court holds, nonetheless, that “we cannot be sure” whether the trial court failed to consider this evidence. Ante, at 764-765. It is true the trial court ruling was not perfectly clear. Its language does strongly suggest, though, that it did not consider any of this testimony in deciding whether Clark had the knowledge or intent required for first-degree murder. After recognizing that “much of the evidence that [the defense is] going to be submitting, in fact all of it, as far as I know ... that has to do with the insanity could also arguably be made ... as to form and intent and his capacity for the intent,” the court concluded “we will be focusing, as far as I’m concerned, strictly on the insanity defense.” App. 9. In announcing its verdict, the trial court did not mention any of the mental-illness evidence, observation or otherwise, in deciding Clark’s guilt. Id., at 331-335. The most reasonable assumption, then, would seem to be that the trial court did not consider it, and the Court does not hold otherwise. See ante, at 760-761.

*785Clark’s objection to this refusal by the trier of fact to consider the evidence as it bore on his key defense was made at all stages of the proceeding. In his post-trial motion to vacate the judgment, Clark argued that “prohibiting consideration of any evidence reflecting upon a mentally ill criminal defendant’s ability to form the necessary mens rea violates due process.” Record, Doc. 406, p. 8. Clark pressed the same argument in the Arizona Court of Appeals. See Appellant’s Opening Brief in No. 1CA-CR-03-0851 etc., pp. 46-52 (hereinafter Appellant’s Opening Brief). He also noted that the trial judge had erred in refusing to consider nonexpert testimony—presumably what the Court would call observation evidence—on Clark’s mental illness. Id,., at 47-48 (“The trial court therefore violated [Clark’s] right to present a defense because [the] court refused to consider any evidence, including the multiple testimonials of lay witnesses ... in deciding whether he could form the requisite mens rea”). The appeals court decided the issue on the merits, holding that the trial court was correct not to consider the evidence of mental illness in determining whether Clark had the mens rea for first-degree murder. See App. 351-353. It offered no distinction at all between observation or mental-disease evidence.

Notwithstanding the appeals court’s decision, the Court states that the issue was not clearly presented to the state courts. See ante, at 762-765. According to the Court, Clark only raised an objection based on State v. Mott, 187 Ariz. 536, 931 P. 2d 1046 (1997), cert. denied, 520 U. S. 1234 (1997), see ante, at 762-765, and Mott’s holding was limited to the exclusion of mental-disease and capacity evidence, see ante, at 760. The Court is incorrect, and on both counts.

First, Clark’s claim goes well beyond an objection to Mott. In fact, he specifically attempted to distinguish Mott by noting that the trial court in this case refused to consider all evidence of mental illness. See Record, Doc. 406, at 8; see *786also Appellant’s Opening Brief 48. The Court notices these arguments but criticizes Clark’s counsel for not being specific about the observation evidence he wanted the trial court to consider. See ante, at 763. There was no reason, though, for Clark’s counsel to believe additional specificity was required, since there was no evident distinction in Arizona law between observation evidence and mental-disease testimony.

Second, Mott’s holding was not restricted to mental-disease evidence. The Arizona Supreme Court did not refer to any distinction between observation and mental-disease evidence, or lay and expert testimony. Its holding was stated in broad terms: “Arizona does not allow evidence of a defendant’s mental disorder short of insanity either as an affirmative defense or to negate the mens rea element of a crime.” 187 Ariz., at 541, 931 P. 2d, at 1051; see id., at 540, 931 P. 2d, at 1050 (“The legislature’s decision . . . evidences its rejection of the use of psychological testimony to challenge the mens rea element of a crime”). The Court attempts to divine a fact/opinion distinction in Mott based on Mott’s distinguishing a case, State v. Christensen, 129 Ariz. 32, 628 P. 2d 580 (1981), where evidence about behavioral tendencies was deemed admissible. See ante, at 760. Christensen, though, also addressed an expert opinion; the difference was that the evidence there concerned a “character trait of acting reflexively in response to stress,” not a mental illness. Mott, supra, at 544, 931 P. 2d, at 1054. Since the Court recognizes the Arizona Court of Appeals relied on Mott, the expansive rule of exclusion in Mott— without any suggestion of a limitation depending on the kind of evidence—should suffice for us to reach the so-called observation-evidence issue. Even if, as the Court contends, see ante, at 760, Mott is limited to expert testimony, the Court’s categories still do not properly interpret Mott, because the Court’s own definition of observation evidence includes some expert testimony, see ante, at 757-758.

It makes no difference that in the appeals court Clark referred to the issue as inability to form knowledge or intent. *787See Appellant’s Opening Brief 46-52. He did not insist on some vague, general incapacity. He stated, instead, that he “suffered from a major mental illness and was psychotic at the time of the offense.” Id., at 48. Even if Clark’s arguments were insufficient to apprise the state court of the argument, “[o]ur traditional rule is that ‘[ojnce a federal claim is properly presented, a party can make any argument in support of that claim; parties are not limited to the precise arguments they made below.’” Lebron v. National Railroad Passenger Corporation, 513 U. S. 374, 379 (1995) (quoting Yee v. Escondido, 503 U. S. 519, 534 (1992)). The claim is clear. Though it seems to be obscure to this Court, it was understood by the Arizona Court of Appeals, which stated: “Clark argues that the trial court erred in refusing to consider evidence of his mental disease or defect in determining whether he had the requisite mens rea to commit first-degree murder.” App. 351. When the question is what the state court held, it is not instructive for this Court to recast the words the state court used.

The razor-thin distinction the Court draws between evidence being used to show incapacity and evidence being used to show lack of mens rea directly does not identify two different claims. Clark’s single claim, however characterized, involves the use of the same mental-illness evidence to decide whether he had the requisite knowledge or intent. The various ways in which the evidence is relevant in disproving mens rea hardly qualify as separate claims. The new arguments allowed in Lebrón and Yee, by comparison, were far more disconnected from the initial bases for the alleged violations. See Lebron, supra, at 378, 379 (for purposes of showing state action, petitioner could argue that Amtrak was a Government entity even though he argued below only that it was a private entity with close connections to Government entities, because the claim was simply “that Amtrak did not accord him the rights it was obliged to provide by the First Amendment”); Yee, supra, at 534, 535 (petitioners *788could argue that an ordinance constituted a regulatory taking, even though they arguably asserted in the Court of Appeals only a physical taking, because the claim was simply “that the ordinance effects an unconstitutional taking”). If we give this latitude to litigants in civil cases, surely we must do so here. Furthermore, to the extent any ambiguity remains on whether the claim was raised, the proper course is to remand. See Bradshaw v. Richey, 546 U. S. 74, 80 (2005) (per curiam). Unless the state court clearly decides an issue on state-law grounds, which the Court does not contend occurred here, there is no bar to our review of the federal question. See Harris v. Reed, 489 U. S. 255, 261-262 (1989).

Before this Court Clark framed the issue in broad terms that encompass the question whether the evidence of his mental illness should have been considered to show he did not at the time of the offense have the knowledge or intent to shoot a police officer. See Brief for Petitioner i (“Questions Presented for Review (1) Whether Arizona’s blanket exclusion of evidence and refusal to consider mental disease or defect to rebut the state’s evidence on the element of mens rea violated Petitioner’s right to due process under the United States Constitution, Fourteenth Amendment?”), 22 (“Here, the trial court held that under the Mott rule it was obliged to find as a fact that [Clark] knew he was shooting a police officer to death—a necessary factual element of the only form of first degree murder charged against [Clark]— while simultaneously refusing to consider [Clark’s] evidence that an acute episode of his chronic paranoid schizophrenic illness prevented him from actually having that knowledge” (emphasis deleted)), 31-32 (the Arizona courts erred in holding Clark “could be punished as though he had this knowledge and' intent although he may not in fact have had either”); Reply Brief for Petitioner 3 (challenging the trial judge’s refusal “to give any consideration to the mental-illness evidence in making his factual findings as to whether *789[Clark] did or did not act with the state of mind required for a first-degree murder conviction”). An entire section of Clark’s opening brief argues that the evidence of mental illness should have been considered to rebut the prosecution’s inference of knowledge or intent from the factual circumstances of the crime. See Brief for Petitioner 13-21. This line of argument concerns facts of behavior and amounts to more than a claim of general incapacity.

Clark seeks resolution of issues that can be complex and somewhat overlapping. In the end, however, we must decide whether he had the right to introduce evidence showing he lacked the intent or knowledge the statute itself sets forth in describing a basic element of the crime. Clark has preserved this issue at all stages, including in this Court.

II

Clark was charged with first-degree murder for the shooting of Officer Jeffrey Moritz. “A person commits first-degree murder if,” as relevant here, “[intending or knowing that the person’s conduct will cause death to a law enforcement officer, the person causes the death of a law enforcement officer who is in the line of duty.” Ariz. Rev. Stat. Ann. § 13-1105(A)(3) (West Supp. 2005). Clark challenges the trial court’s refusal to consider any evidence of mental illness, from lay or expert testimony, in determining whether he acted with the knowledge or intent element of the crime. See App. 9; see also Mott, 187 Ariz., at 541, 931 P. 2d, at 1051.

States have substantial latitude under the Constitution to define rules for the exclusion of evidence and to apply those rules to criminal defendants. See United States v. Scheffer, 523 U. S. 303, 308 (1998). This authority, however, has constitutional limits. “Whether rooted directly in the Due Process Clause of the Fourteenth Amendment or in the Compulsory Process or Confrontation Clauses of the Sixth Amendment, the Constitution guarantees criminal defendants “a meaningful opportunity to present a complete de*790fense.”’” Holmes v. South Carolina, 547 U. S. 319, 324 (2006) (quoting Crane v. Kentucky, 476 U. S. 683, 690 (1986), in turn quoting California v. Trombetta, 467 U. S. 479, 485 (1984)). “This right is abridged by evidence rules that ‘infring[e] upon a weighty interest of the accused’ and are ‘“arbitrary” or “disproportionate to the purposes they are designed to serve.” ’ ” Holmes, supra, at 324 (quoting Scheffer, supra, at 308, in turn citing and quoting Rock v. Arkansas, 483 U. S. 44, 58, 56 (1987)).

The central theory of Clark’s defense was that his schizophrenia made him delusional. He lived in a universe where the delusions were so dominant, the theory was, that he had no intent to shoot a police officer or knowledge he was doing so. It is one thing to say he acted with intent or knowledge to pull the trigger. It is quite another to say he pulled the trigger to kill someone he knew to be a human being and a police officer. If the trier of fact were to find Clark’s evidence sufficient to discount the case made by the State, which has the burden to prove knowledge or intent as an element of the offense, Clark would not be guilty of first-degree murder under Arizona law.

The Court attempts to diminish Clark’s interest by treating mental-illness evidence as concerning only “judgment,” rather than fact. Ante, at 776-777. This view appears to derive from the Court’s characterization of Clark’s claim as raising only general incapacity. See ibid. This is wrong for the reasons already discussed. It fails to recognize, moreover, the meaning of the offense element in question here. The mens rea element of intent or knowledge may, at some level, comprise certain moral choices, but it rests in the first instance on a factual determination. That is the fact Clark sought to put in issue. Either Clark knew he was killing a police officer or he did not.

The issue is not, as the Court insists, whether Clark’s mental illness acts as an “excuse from customary criminal responsibility,” ante, at 771, but whether his mental illness, as *791a factual matter, made him unaware that he was shooting a police officer. If it did, Clark needs no excuse, as then he did not commit the crime as Arizona defines it. For the elements of first-degree murder, where the question is knowledge of particular facts—that one is killing a police officer— the determination depends not on moral responsibility but on empirical fact. Clark’s evidence of mental illness had a direct and substantial bearing upon what he knew, or thought he knew, to be the facts when he pulled the trigger; this lay at the heart of the matter.

The trial court’s exclusion was all the more severe because it barred from consideration on the issue of mens rea all this evidence, from any source, thus preventing Clark from showing he did not commit the crime as defined by Arizona law. Quite apart from due process principles, we have held that a bar of this sort can be inconsistent with the Confrontation Clause. See Delaware v. Van Arsdall, 475 U. S. 673 (1986). In Van Arsdall the Court held a state court erred in making a ruling that “prohibited all inquiry into” an event. Id., at 679. At issue was a line of defense questioning designed to show the bias of a prosecution witness. In the instant case the ruling in question bars from consideration all testimony from all witnesses necessary to present the argument that was central to the whole case for the defense: a challenge to the State’s own proof on an element of the crime. The Due Process and Compulsory Process Clauses, and not the Confrontation Clause, may be the controlling standard; but the disability imposed on the accused is every bit as substantial and pervasive here as it was in Van Arsdall.

Arizona’s rule is problematic because it excludes evidence no matter how credible and material it may be in disproving an element of the offense. The Court’s cases have noted the potential arbitrariness of per se exclusions and, on this rationale, have invalidated various state prohibitions. See Holmes, supra, at 329 (rule excluding, in certain cases, evidence that a third party may have committed the crime *792“even if that evidence, if viewed independently, would have great probative value and even if it would not pose an undue risk of harassment, prejudice, or confusion of the issues”); Rock, supra, at 56 (rule excluding all hypnotically refreshed testimony “operates to the detriment of any defendant who undergoes,hypnosis, without regard to the reasons for it, the circumstances under which it took place, or any independent verification of the information it produced”); Washington v. Texas, 388 U. S. 14, 22 (1967) (rule excluding accomplice testimony “prevent[s] whole categories of defense witnesses from testifying on the basis of a priori categories that presume them unworthy of belief”).

This is not to suggest all general rules on the exclusion of certain types of evidence are invalid. If the rule does not substantially burden the defense, then it is likely permissible. See Scheffer, 523 U. S., at 316-317 (upholding exclusion of polygraph evidence in part because this rule “does not implicate any significant interest of the accused”); id., at 318 (Kennedy, J., concurring in part and concurring in judgment) (“[S]ome later case might present a more compelling case for introduction of the testimony than this one does”). Where, however, the burden is substantial, the State must present a valid reason for its per se evidentiary rule.

In the instant case Arizona’s proposed reasons are insufficient to support its categorical exclusion. While the State contends that testimony regarding mental illness may be too incredible or speculative for the jury to consider, this does not explain why the exclusion applies in all cases to all evidence of mental illness. “A State’s legitimate interest in barring unreliable evidence does not extend to per se exclusions that may be reliable in an individual case.” Rock, supra, at 61. States have certain discretion to bar unreliable or speculative testimony and to adopt rules to ensure the reliability of expert testimony. Arizona has done so, and there is no reason to believe its rules are insufficient to avoid *793speculative evidence of mental illness. See Ariz. Rules Evid. 403, 702 (2006). This is particularly true because Arizona applies its usual case-by-case approach to permit admission of evidence of mental illness for a variety of other purposes. See, e. g., State v. Lindsey, 149 Ariz. 472, 474-475, 720 P. 2d 73, 75-76 (1986) (en banc) (psychological characteristics of molestation victims); State v. Hamilton, 177 Ariz. 403, 408-410, 868 P. 2d 986, 991-993 (App. 1993) (psychological evidence of child abuse accommodation syndrome); Horan v. Industrial Common of Ariz., 167 Ariz. 322, 325-326, 806 P. 2d 911, 914-915 (App. 1991) (psychiatric testimony regarding neurological deficits).

The risk of jury confusion also fails to justify the rule. The State defends its rule as a means to avoid the complexities of determining how and to what degree a mental illness affects a person’s mental state. The difficulty of resolving a factual issue, though, does not present a sufficient reason to take evidence away from the jury even when it is crucial for the defense. “We have always trusted juries to sort through complex facts in various areas of law.” United States v. Booker, 543 U. S. 220, 289 (2005) (Stevens, J., dissenting in part). Even were the risk of jury confusion real enough to justify excluding evidence in most cases, this would provide little basis for prohibiting all evidence of mental illness without any inquiry into its likely effect on the jury or its role in deciding the linchpin issue of knowledge and intent. Indeed, Arizona has a rule in place to serve this very purpose. See Rule 403.

Even assuming the reliability and jury-confusion justifications were persuasive in some cases, they would not suffice here. It does not overcome the constitutional objection to say that an evidentiary rule that is reasonable on its face can be applied as well to bar significant defense evidence without any rational basis for doing so. In Van Arsdall, for example, the Court rejected the application of Delaware Rule of Evidence 403, which allows relevant evidence to be excluded *794where its probative value is substantially outweighed by the risk of unfair prejudice or other harms to the trial process. 475 U. S., at 676, and n. 2. While the Rule is well established and designed for a legitimate function, the Constitution prevented an application that deprived the defendant of all inquiry into an important issue. Id., at 679. Other cases have applied this same ease-specific analysis in deciding the legitimacy of an exclusion. See, e. g., Rock, 488 U. S., at 62 (the “circumstances present an argument for admissibility of petitioner’s testimony in this particular case, an argument that must be considered by the trial court”); Chambers v. Mississippi, 410 U. S. 284, 302 (1973) (“In these circumstances, where constitutional rights directly affecting the ascertainment of guilt are implicated, the hearsay rule may not be applied mechanistically to defeat the ends of justice”); cf. Scheffer, supra, at 318 (Kennedy, J., concurring in part and concurring in judgment).

The Court undertakes little analysis of the interests particular to this case. By proceeding in this way it devalues Clark’s constitutional rights. The reliability rationale has minimal applicability here. The Court is correct that many mental diseases are difficult to define and the subject of great debate. See ante, at 774-775. Schizophrenia, however, is a well-documented mental illness, and no one seriously disputes either its definition or its most prominent clinical manifestations. The State’s own expert conceded that Clark had paranoid schizophrenia and was actively psychotic at the time of the killing. See App. 254-257. The jury-confusion rationale, if it is at all applicable here, is the result of the Court’s own insistence on conflating the insanity defense and the question of intent. Considered on its own terms, the issue of intent and knowledge is a straightforward factual question. A trier of fact is quite capable of weighing defense testimony and then determining whether the accused did or did not intend to kill or knowingly kill a human being who was a police officer. True, the issue can be diffi*795cult to decide in particular instances, but no more so than many matters juries must confront.

The Court says mental-illness evidence “can easily mislead,” ante, at 776, and may “tel[l] us little or nothing about the ability of the defendant to form mens rea,” ante, at 775. These generalities do not, however, show how relevant or misleading the evidence in this case would be (or explain why Arizona Rule of Evidence 403 is insufficient for weighing these factors). As explained above, the evidence of Clark’s mental illness bears directly on mens rea, for it suggests Clark may not have known he was killing a human being. It is striking that while the Court discusses at length the likelihood of misjudgment from placing too much emphasis on evidence of mental illness, see ante, at 773-778, it ignores the risk of misjudging an innocent man guilty from refusing to consider this highly relevant evidence at all. Clark’s expert, it is true, said no one could know exactly what was on Clark’s mind at the time of the shooting. See ante, at 777. The expert testified extensively, however, about the effect of Clark’s delusions on his perceptions of the world around him, and about whether Clark’s behavior around the time of the shooting was consistent with delusional thinking. This testimony was relevant to determining whether Clark knew he was killing a human being. It also bolstered the testimony of lay witnesses, none of which was deemed unreliable or misleading by the state courts.

For the same reasons, the Court errs in seeking support from the American Psychiatric Association’s statement that a psychiatrist may be justifiably reluctant to reach legal conclusions regarding the defendant’s mental state. See ante, at 777-778. In this very ease, the American Psychiatric Association made clear that psychiatric evidence plays a crucial role regardless of whether the psychiatrist testifies on the ultimate issue: “Expert evidence of mental disorders, presented by qualified professionals and subject to adversarial testing, is both relevant to the mental-state issues raised by *796mens rea requirements and reliable.... Such evidence could not be condemned wholesale without unsettling the legal system’s central reliance on such evidence.” Brief for American Psychiatric Association et al. as Amici Curiae 15.

Contrary to the Court’s suggestion, see ante, at 776, the fact that the state and defense experts drew different conclusions about the effect of Clark’s mental illness on his mental state only made Clark’s evidence contested; it did not make the evidence irrelevant or misleading. The trial court was capable of evaluating the competing conclusions, as factfinders do in countless cases where there is a dispute among witnesses. In fact, the potential to mislead will be far greater under the Court’s new evidentiary system, where jurors will receive observation evidence without the necessary explanation from experts.

The fact that mental-illness evidence may be considered in deciding criminal responsibility does not compensate for its exclusion from consideration on the mens rea elements of the crime. Cf. ante, at 773-774. The evidence addresses different issues in the two instances. Criminal responsibility involves an inquiry into whether the defendant knew right from wrong, not whether he had the mens rea elements of the offense. While there may be overlap between the two issues, “the existence or nonexistence of legal insanity bears no necessary relationship to the existence or nonexistence of the required mental elements of the crime.” Mullaney v. Wilbur, 421 U. S. 684, 706 (1975) (Rehnquist, J., concurring).

Even if the analyses were equivalent, there is a different burden of proof for insanity than there is for mens rea. Arizona requires the defendant to prove his insanity by clear and convincing evidence. See Ariz. Rev. Stat. Ann. § 13— 502(C) (West 2001). The prosecution, however, must prove all elements of the offense beyond a reasonable doubt. See Mullaney, supra, at 703-704; In re Winship, 397 U. S. 358, 364 (1970). The shift in the burden on the criminal responsibility issue, while permissible under our precedent, see Le*797land v. Oregon, 343 U. S. 790 (1952), cannot be applied to the question of intent or knowledge without relieving the State of its responsibility to establish this element of the offense. See Sandstrom v. Montana, 442 U. S. 510, 524 (1979) (jury instruction that had the effect of placing the burden on the defendant to disprove that he had the requisite mental state violates due process). While evidentiary rules do not generally shift the burden impermissibly, where there is a right to have evidence considered on an element of the offense, the right is not respected by allowing the evidence to come in only on an issue for which the defendant bears the burden of proof. See Cool v. United States, 409 U. S. 100, 103 (1972) (per curiam) (jury instruction that allowed jury to consider accomplice’s testimony only if it was true beyond a reasonable doubt “places an improper burden on the defense and allows the jury to convict despite its failure to find guilt beyond a reasonable doubt”); Martin v. Ohio, 480 U. S. 228, 233-234 (1987) (State can shift the burden on a claim of self-defense, but if the jury were disallowed from considering self-defense evidence for purposes of deciding the elements of the offense, it “would relieve the State of its burden and plainly run afoul of Winship’s mandate”). By viewing the Arizona rule as creating merely a “presumption of sanity (or capacity or responsibility),” ante, at 771, rather than a presumption that the mens rea elements were not affected by mental illness, the Court fails to appreciate the implications for Winship.

The State attempts to sidestep the evidentiary issue entirely by claiming that its mental-illness exclusion simply alters one element of the crime. The evidentiary rule at issue here, however, cannot be considered a valid redefinition of the offense. Under the State’s logic, a person would be guilty of first-degree murder if he knowingly or intentionally killed a police officer or committed the killing under circumstances that would show knowledge or intent but for the defendant’s mental illness. To begin with, Arizona law does *798not say this. And if it did, it would be impermissible. States have substantial discretion in defining criminal offenses. In some instances they may provide that the accused has the burden of persuasion with respect to affirmative defenses. See Patterson v. New York, 432 U. S. 197, 210 (1977). “But there are obviously constitutional limits beyond which the States may not go in this regard.” Ibid. If it were otherwise, States could label all evidentiary exclusions as redefinitions and so evade constitutional requirements. There is no rational basis, furthermore, for criminally punishing a person who commits a killing without knowledge or intent only if that person has a mental illness. Cf. Robinson v. California, 370 U. S. 660, 666 (1962). The State attempts to bring the instant case within the ambit of Montana v. Egelhoff, 518 U. S. 37 (1996); but in Egelhoff the excluded evidence concerned voluntary intoxication, for which a person can be held responsible. Viewed either as an evidentiary rule or a redefinition of the offense, it was upheld because it “comports with and implements society’s moral perception that one who has voluntarily impaired his own faculties should be responsible for the consequences.” Id., at 50 (plurality opinion). An involuntary mental illness does not implicate this justification.

Future dangerousness is not, as the Court appears to conclude, see ante, at 778-779, n. 45, a rational basis for convicting mentally ill individuals of crimes they did not commit. Civil commitment proceedings can ensure that individuals who present a danger to themselves or others receive proper treatment without unfairly treating them as criminals. The State presents no evidence to the contrary, and the Court ought not to imply otherwise.

The State gains little support from Fisher v. United States, 328 U. S. 463 (1946). There the defendant requested an instruction from the trial court that the jury consider his mental deficiencies in determining his capacity for premeditation and deliberation. Id., at 470. The Court noted that *799“[i]n view of the status of the defense of partial responsibility in the District and the nation no contention is or could be made of the denial of due process.” Id., at 466. This dictum may be attributable to the fact that the cases recognizing a defendant’s evidentiary rights and the prosecution’s duty to prove all elements beyond a reasonable doubt were still decades away. It may also reflect the fact that the jury instructions as given did seem to allow the jury to consider evidence of mental deficiency if it disproved the elements of the offense. See id., at 467, n. 3 (The jury instructions stated, “Tt is further contended that even if sane and responsible, there was no deliberate intent to kill, nor in fact any actual intent to kill. Therefore if not guilty by reason of insanity, the defendant at most is guilty only of second degree murder or manslaughter’ ”). Even further ambiguity comes from the fact that the defense in Fisher concerned a claim that the petitioner was “mentally somewhat below the average” with a “psychopathic personality” of aggression. Id., at 467. This general claim of mental deficiencies was relevant to the “theory of partial responsibility,” id., at 470, he wanted the jury to consider. Unlike the mental illness here, though, which concerns inadequacy of perception and information processing, the petitioner’s claim may not have been relevant to mens rea unless mens rea were redefined to include an element of responsibility. Fisher’s language, then, does not control this case.

While Arizona’s rule is not unique, either historically or in contemporary practice, this fact does not dispose of Clark’s constitutional argument. To the extent Fisher may have suggested the contrary, subsequent cases make clear that while the existence of the rule in some jurisdictions is a significant factor to consider, see Egelhoff, supra, at 43 (plurality opinion), it is not dispositive for evaluation of a claim that the accused was foreclosed from introducing evidence crucial to the defense. The evidentiary exclusion of accomplice testimony the Court invalidated in Washington was, in fact, *800well established. See 388 U. S., at 21-22. The exclusion of hypnotically refreshed testimony likewise had some support when the Court held it unconstitutional as applied to a defendant’s own testimony. Rock, 483 U. S., at 57. While 13 States still impose significant restrictions on the use of mental-illness evidence to negate mens rea, a substantial majority of the States currently allow it. Brief for United States as Amicus Curiae 22-23, and n. 13. The fact that a reasonable number of States restrict this evidence weighs into the analysis, but applying the rule as a per se bar, as Arizona does, is so plainly unreasonable that it cannot be sustained.

Putting aside the lack of any legitimate state interest for application of the rule in this case, its irrationality is apparent when considering the evidence that is allowed. See Washington, supra, at 22 (“The absurdity of the rule is amply demonstrated by the exceptions that have been made to it”). Arizona permits the defendant to introduce, for example, evidence of “behavioral tendencies” to show he did not have the required mental state. See Mott, 187 Ariz., at 544, 931 P. 2d, at 1054; Christensen, 129 Ariz., at 35-36, 628 P. 2d, at 583-584. While defining mental illness is a difficult matter, the State seems to exclude the evidence one would think most reliable by allowing unexplained and uncategorized tendencies to be introduced while excluding relatively well-understood psychiatric testimony regarding well-documented mental illnesses. It is unclear, moreover, what would have happened in this case had the defendant wanted to testify that he thought Officer Moritz was an alien. If disallowed, it would be tantamount to barring Clark from testifying on his behalf to explain his own actions. If allowed, then Arizona’s rule would simply prohibit the corroboration necessary to make sense of Clark’s explanation. In sum, the rule forces the jury to decide guilt in a fictional world with undefined and unexplained behaviors but without mental illness. This rule has no rational justification and *801imposes a significant burden upon a straightforward defense: He did not commit the crime with which he was charged.

These are the reasons for my respectful dissent.

14.4.4.9 State v. Johnson 14.4.4.9 State v. Johnson

399 A.2d 469.

State vs. Bruce L. Johnson.

FEBRUARY 9, 1979.

Present: Bevilacqua, C.J., Joslin, Kelleher, Doris and Weisberger, JJ.

*256Doris, J.

The sole issue presented by this appeal is whether this court should abandon the M’Naghten test in favor of a new standard for determining the criminal responsibility of those who claim they are blameless by reason of mental illness.1 State v. Johnson, 119 R.I. 749, 383 A.2d 1012, 1013 (1978). For the reasons stated herein, we have concluded that the time has arrived to modernize our rule governing this subject.

Before punishing one who has invaded a protected interest, the criminal law generally requires some showing of culpability in the offender. The requirement of a mens rea, or guilty mind, is the most notable example of the concept that before punishment may be exacted, blameworthiness must be demonstrated. That some deterrent, restraint, or rehabilitative purpose may be served is alone insufficient. It has been stated that the criminal law reflects the moral sense of the community. “The fact that the law has, for centuries, regarded certain wrongdoers as improper subjects for punishment is a testament to the extent to which that moral sense has developed. Thus, society has recognized over the years that none of the three asserted purposes of the criminal law — rehabilitation, deterrence, and retribution — is satisfied when the truly irresponsible, those who lack substantial capacity to control their actions, are punished.” United States v. Freeman, 357 F.2d 606, 615 (2d Cir. 1966). The law appreciates that those who are substantially unable to restrain their conduct are, by definition, incapable of being *257deterred and their punishment in a correctional institution provides no example for others.

The law of criminal responsibility has its roots in the concept of free will. As Mr. Justice Jackson stated:

“How far one by an exercise of free will may determine his general destiny or his course in a particular matter and how far he is the toy of circumstance has been debated through the ages by theologians, philosophers, and scientists. Whatever doubts they have entertained as to the matter, the practical business of government and administration of the law is obliged to proceed on more or less rough and ready judgments based on the assumption that mature and rational persons are in control of their own conduct.” Gregg Cartage & Storage Co. v. United States, 316 U.S. 74, 78-80, 62 S.Ct. 932, 935, 86 L.Ed. 1283, 1288 (1942).

Our law proceeds from this postulate and seeks to fashion a standard by which criminal offenders whose free will has been sufficiently impaired can be identified and treated in a manner that is both humane and beneficial to society at large. The problem has been aptly described as distinguishing between those cases for which a correctional-punitive disposition is appropriate and those in which a medical-custodial disposition is the only kind that is legally permissible. See Model Penal Code, §4.01, Comment at 156 (Tent. Draft. No. 4, 1955).

Because language is inherently imprecise and there is a wide divergence of opinion within the medical profession, no exact definition of “insanity” is possible. Goldstein, The Insanity Defense 87 (1967). Every legal definition comprehends elements of abstraction and approximation that are particularly difficult to apply in marginal cases. Our inability to guarantee that a new rule will always be infallible, however, cannot justify unyielding adherence to an outmoded standard, sorely at variance with contemporary medical and legal knowledge. Any legal standard designed to assess criminal responsibility must satisfy several objectives. *258It must accurately reflect the underlying principles of substantive law and community values while comporting with the realities of scientific understanding. The standard must be phrased in order to make fully available to the jury such psychiatric information as medical science has to offer regarding the individual defendant, yet be comprehensible to the experts, lawyers, and jury alike. Finally, the definition must preserve to the trier of facts, be it judge or jury, its full authority to render a final decision. See United States v. Smith, 404 F.2d 720, 726 (6th Cir. 1968); Bethea v. United States, 365 A.2d 64, 76 (D.C.Ct.App. 1976). These considerations are paramount in our consideration of the rule to be applied in this jurisdiction in cases in which the defense of lack of criminal responsibility due to a mental illness is raised.

I

The historical evolution of the law of criminal responsibility is a fascinating, complex story. For purposes of this opinion, however, an exhaustive historical discussion is unnecessary; a brief sketch will therefore suffice. The renowned “right-wrong” test had antecedents in England as early as 1582. In that year the Eirenarcha, written by William Lambard of the Office of the Justices of Peace, laid down as the test or criminal responsibility “knowledge of good or evil.” See United States v. Currens, 290 F.2d 751, 764 (3dCir. 1961). During the 1700’s the language of the test shifted its emphasis from “good or evil” to “know.” See United States v. Freeman, 357 F.2d at 616. During the eighteenth century, when these tests and their progeny were evolving, psychiatry was hardly a profession, let alone a science. Belief in demonology and witchcraft was widespread and became intertwined with the law of responsibility. So eminent a legal scholar as Blackstone adamantly insisted upon the existence of witches and wizards as late as the later half of the eighteenth centruy. Biggs, The Guilty Mind 61-62 (1955). The psychological theories of phrenology and monomania thrived and influenced the development of the “right *259and wrong” test.2 Both of these compartmentalized concepts have been soundly rejected by modern medical science which views the human personality as a fully integrated system. By historical accident, however, the celebrated case of Daniel M’Naghten froze these concepts into the common law just at the time when they were beginning to come into disrepute. See generally id. at 81-107.

Daniel M’Naghten attempted to assassinate Sir Robert Peel, Prime Minister of England, but mistakenly shot Peel’s private secretary instead. This assassination had been preceded by several attempts on the lives of members of the English Royal House, including Queen Victoria herself. When M’Naghten was tried in 1843 the jury was charged with a test heavily influenced by the enlightened work of Dr. Isaac Ray who was severely critical of the “right and wrong” rule. See Ray, Medical Jursiprudence of Insanity (1838). After the jury acquitted M’Naghten the public indignation, spearheaded by the Queen, was so pronounced that the Judges of England were summoned before the House of Lords to justify their actions. In an extraordinary advisory opinion, issued in a pressure-charged atmosphere, Lord Chief Justice Tindal, speaking for all but one of the 15 judges, reversed the charge used at trial and articulated what has become known as the M’Naghten rules. See, e.g., United States v. Freeman, 357 F.2d at 617; United States v. Currens, 290 F.2d at 763-64; Biggs, supra at 95-102; Glueck, Mental Disorder and the Criminal Law 162-163 (1925). The principal rule in M’Naghten’s Case, 8 Eng. Rep. 718 (1843) states:

“To establish a defense on the ground of insanity it must be clearly proved that, at the time of committing *260the act, the party accused was laboring under such a defect of reason, from disease of the mind, as not to know the nature and quality of the act he was doing, or if he did know it, that he did not know that what he was doing was wrong.” 8 Eng. Rep. at 722.

This dual-pronged test, issued in response to the outrage of a frightened Queen, rapidly became the predominant rule in the United States.

This jurisdiction has long adhered to the M’Naghten standard for determining criminal responsibility. In State v. Quigley, 26 R.I. 263, 58 A. 905 (1904), this court intimated that the dual-pronged test of M’Naghten was the prevailing view in Rhode Island. Yet, in State v. Andrews, 86 R.I. 341, 134 A.2d 425 (1957), where we expressly adopted M’Naghten, reference was made only to the knowledge of “right and wrong” portion of that test. Id. at 352, 134 A.2d at 432. Although it has not always been clear whether the “nature and quality” component of M’Naghten is included as part of the formal rule in this jurisdiction,3 compare State v. Page, 104 R.I. 323, 332, 244 A.2d 258, 263 (1968) and State v. Jefferds, 91 R.I. 214, 216, 162 A.2d 536, 538 (1960) with State v. Nault, 112 R.I. 687, 690, 314 A.2d 627, 629 (1974), as a matter of practice expert witnesses testify concerning both parts of the rule. See State v. Page, 104 R.I. at 332, 244 A.2d at 263. Unlike several other jurisdictions, Rhode Island has never augmented M’Naghten with the “irresistible impulse doctrine.”

*261II

The M’Naghten rule has been the subject of considerable criticism and controversy for over a century. See generally United States v. Currens, 290 F.2d at 765-66. The test’s emphasis upon knowledge of right or wrong abstracts a single element of personality as the sole symptom or manifestation of mental illness. M’Naghten refuses to recognize volitional or emotional impairments, viewing the cognitive element as the singular cause of conduct. See United States v. Freeman, 357 F.2d at 618; Durham v. United States, 214 F.2d 862, 871-72 (D.C.Cir. 1954); Glueck, supra at 226-27, 428-29. One scholar has stated that:

“[t]he principle behind M’Naghten, namely, that defect of cognition as a consequence of mental disease is the primary exculpating factor in the determination of legal insanity, has probably never been other than a legal fiction.” Diamond, From M’Naghten to Currens, and Beyond, 50 Calif.L.Rev. 189, 189 (1962).

M’Naghten has been further criticized for being predicated upon an outmoded psychological concept because modern science recognizes that “insanity” affects the whole personality of the defendant, including the will and emotions. Durham v. United States, 214 F.2d at 871; Royal Commission on Capital Punishment, Report 80, (1953). One of the most frequent criticisms of M’Naghten has been directed at its all- or-nothing approach, requiring total incapacity of cognition. See Wade v. United States, 426 F.2d 64, 71 (9th Cir. 1970); People v. Drew, 22 Cal.3d 338, 337, 583 P.2d 1318, 1322, 149 Cal.Rptr. 275, 279 (1978); Hill v. State, 252 Ind. 601, 607, 251 N.E.2d 429, 432 (1969). We agree that:

“Nothing makes the inquiry into responsibility more unreal for the psychiatrist than limitation of the issue to some ultimate extreme of total incapacity, when clinical experience reveals only a graded scale with marks along the way. * * *

“The law must recognize that when there is no black and *262white it must content itself with different shades of gray.” Model Penal Code, §4.01, Comment at 158 (Tent. Draft No. 4, 1955).

By focusing upon total cognitive incapacity, the M’Naghten rule compels the psychiatrist to testify in terms of unrealistic concepts having no medical meaning. Instead of scientific opinions, the rule calls for a moral or ethical judgment from the expert which judgment contributes to usurpation of the jury’s function as decision maker. See United States v. Currens, 290 F.2d at 767; Weihofen, Mental Disorder as a Criminal Defense 65 (1954).

Probably the most common criticism of M’Naghten is that it severely restricts expert testimony, thereby depriving the jury of a true picture of the defendant’s mental condition. See, e.g., United States v. Freeman, 357 F.2d at 620; Hill v. State, 252 Ind. at 606, 251 N.E.2d at 432. This contention has been seriously questioned by some commentators who find no support for the argument that M’Naghten inhibits the flow of testimony on the responsibility issue. Goldstein, supra, at 53; accord, Matthews, Mental Disability and the Criminal Law 44-46 (1970). As a matter of practice in this jurisiction, expert testimony under M’Naghten has been unrestricted and robust. Nevertheless, we are convinced that this testimony would be more meaningful to the jury were it not for the narrow determination demanded by M’Naghten.

That these criticisms have had a pronounced effect is evidenced by the large and growing number of jurisdictions that have abandoned their former allegiance to M’Naghten in favor of the Model Penal Code formulation. See notes at 6 & 7 infra. We also find these criticisms persuasive and agree that M’Naghten’s serious deficiencies necessitate a new approach.4

*263III

Responding to criticism of M’Naghten as a narrow and harsh rule, several courts supplemented it with the “irresistible impulse” test. E.g., Parsons v. State, 81 Ala. 577, 2 So. 854 (1886); See Annot. Irresistible Impulse as an Excuse for Crime, 173 A.L.R 391 (1948); Keedy, Irresistible Impulse as a Defense in the Criminal Law, 100 U.Pa.L.Rev. 956 (1952). Under this combined approach, courts inquire into both the cognitive and volitional components of the defendant’s behavior. Although a theoretical advance over the stringent right and wrong test, the irresistible impulse doctrine has also been the subject of wide-spread criticism. Similar to M’Naghten’s absolutist view of capacity to know, the irresistible impulse is considered in terms of a complete destruction of the governing power of the mind. See United States v. Frazier, 458 F.2d 911, 917 (8th Cir. 1972); United States v. Freeman, 357 F.2d at 620. A more fundamental objection is that the test produces the misleading notion that a crime impulsively committed must have been perpetrated in a sudden and explosive fit. Thus, the irrestible impulse test excludes those “far more numerous instances of crimes committed after excessive brooding and melancholy by one who is unable to resist sustained psychic compulsion or to make any real attempt to control his conduct.” Id. at 620-21; see United States v. Smith, 404 F.2d at 725.

The most significant break in the century-old stranglehold of M’Naghten came in 1954 when the Court of Appeals for the District of Columbia declared that, “an accused is not criminally responsible if his unlawful act was the product of *264mental disease or mental defect.” Durham v. United States, 214, F.2d 862, 874-75 (D.C.Cir. 1954). The “product” test, first pioneered by the Supreme Court of New Hampshire in State v. Pike, 49 N.H. 399, 402 (1869), was designed to facilitate full and complete expert testimony and to permit the jury to consider all relevant information, rather than restrict its inquiry to data relating to a sole symptom or manifestation of mental illness. Durham generated voluminous commentary and made a major contribution in recasting the law of criminal responsibility. In application, however, the test was plagued by significant deficiencies. The elusive, undefined concept of productivity posed serious problems of causation and gave the jury inadequate guidance. United States v. Freeman, 357 F.2d at 621. Most troublesome was the test’s tendency to result in expert witnesses’ usurpation of the jury function. As a result, in Washington v. United States, 390 F.2d 444, 455-56 (D.C. Cir. 1967), the court took the extreme step of proscribing experts from testifying concerning productivity altogether. Finally, in United States v. Brawner, 471 F.2d 969 (D.C. Cir. 1972), the court abandoned Durham, decrying the “trial by label” that had resulted. Id. at 977. The author of Durham, Chief Judge Bazelon, stated that testimony couched in terms of the legal conclusion that an act was or was not the product of mental disease invited the jury to abdicate its responsibility as ultimate decision maker and acquiesce in the experts’ conclusions. Id. at 1017 (Bazelon, C.J., concurring & dissenting).

Several commentators have advocated abolition of the separate defense of lack of criminal responsibility due to a mental illness. See, e.g., Dershowitz, Abolishing the Insanity Defense; The Most Significant Feature of the Administration’s Criminal Code-An Essay, 9 Crim.L.Bull. 434 (1973); Goldstein & Katz, Abolish the “Insanity Defense” Why Not?, 72 Yale L.J. 853 (1963). Proponents contend that abolition would result in the responsibility issue being more properly considered as the existence vel non of the mens rea. Under a common proposal the criminal process would be bifurcated; first, the jury would resolve the question of guilt, *265and second, a panel of experts would determine, the appropriate disposition. Arguably, abolition of the, separate defense is subject to constitutional objections because it potentially abrogates the right to trial by jury and’ offends the guarantee of due process. We believe that such a drastic measure, if advisable at all, is appropriately left to the legislative process. Accord., United States v. Browner, 471 F.2d at 985; Bethea v. United States, 365. A.2d at 73 n.19.

IV

Responding to the criticism of the M’Naghten and irresistible impulse rules, the American Law Institute incorporated a new test of criminal responsibility into its Model Penal Code.5 The Model Penal Code has received widespread and evergrowing acceptance. It has been adopted with varying degrees of modification in 26 states6 *266and by every federal court of appeals that has addressed the issue.7 Although no definition can be accurately described as the perfect or ultimate pronouncement, we believe that the Model Penal Code standard represents a significant, positive improvement over our existing rule. Most importantly, it acknowledges that volitional as well as cognitive impairments must be considered by the jury in its resolution of the responsibility issue. The test replaces M’Naghtens unrealistic all-or-nothing approach with the concept of “substantial” capacity. Additionally, the test employs vocabulary sufficiently in the common ken that its use at trial will permit a reasonable three-way dialogue between the law-trained judges and lawyers, the medical-trained experts, and the jury. See United States v. Brawner, 471 F.2d at 983.

Without question the essential dilemma in formulating any standard of criminal responsibility is encouraging a maximum informational input from the expert witnesses while preserving to the jury its role as trier of fact and ultimate decision maker. As one court has aptly observed:

“At bottom, the determination whether a man is or is not held responsible for his conduct is not a medical but a legal, social or moral judgment. Ideally, psychiatrists *267— much like experts in other fields — should provide grist for the legal mill, should furnish the raw data upon which the legal judgment is based. It is the psychiatrist who informs as to the mental state of the accused — his characteristics, his potentialities, his capabilities. But once this information is disclosed, it is society as a whole, represented by judge or jury, which decides whether a man with the characteristics described should or should not be held accountable for his acts.” United States v. Freeman, 357 F.2d at 619-20.

Because of our overriding concern that the jury’s function remain inviolate, we today adopt the following formulation of the Model Penal Code test:

A person is not responsible for criminal conduct if at the time of such conduct, as a result of mental disease or defect, his capacity either to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of law is so substantially impaired that he cannot justly be held responsible.
The terms “mental disease or defect” do not include an abnormality manifested only by repeated criminal or otherwise antisocial conduct.8

There are several important reasons why we prefer this formulation. The greatest strength of our test is that it clearly *268delegates the issue of criminal responsibility to the jury, thus precluding possible usurpation of the ultimate decisioniby the expert witnesses. Under the test we have adopted, the jury’s attention is appropriately focused upon the legal and moral aspects of responsibility because it must evaluate the defendant’s blameworthiness in light of prevailing community standards. Far from setting the jury at large, as in the majority Model Penal Code test the defendant must demonstrate a certain form of incapacity. That is, the jury must find that a mental disease or defect caused a substantial impairment of the defendant’s capacity to appreciate the wrongfulness of his act or to conform his conduct to legal requirements. Our new test emphasizes that the degree of “substantial” impairment required is essentially a legal rather than a medical question. Where formerly under M’Naghten total incapacity was necessary for exculpation, the new standard allows the jury to find that incapacity less than total is sufficient. Because impairment is a matter of degree, the precise degree demanded is necessarily governed by the community sense of justice as represented by the trier of fact.

Several other components of our new test require elucidation. Our test consciously employs the more expansive term “appreciate” rather than “know.” Implicit in this choice is the recognition that mere theoretical awareness that a certain course of conduct is wrong, when divorced from appreciation or understanding of the moral or legal impact of behavior, is of little import. See United States v. Freeman, 357 F.2d at 623. A significant difference from our former rule is inclusion in the new test of the concept that a defendant is not criminally responsible if he lacked substantial capacity to conform his conduct to the requirements of law. As we noted at the outset, our law assumes that a normal individual has the capacity to control his behavior; should an individual manifest free will in the commission of a criminal act, he must be held responsible for that conduct. Mental illness, however, can effectively destroy an individual’s capacity for choice and impair behavioral controls.

*269The drafters of the Model Penal Code left to each jurisdiction a choice between the terms “wrongfulness” and “criminality.” We prefer the word “wrongfulness” because we believe that a person who, knowing an act, to be criminal, committed it because of a delusion that the act was morally justified, should not be automatically foreclosed from raising the defense of lack of criminal responsibility.9

The second paragraph of our test is designed to exclude from the concept of “mental disease or defect” the so-called psychopathic or sociopathic personality. See Model Penal Code, §4.01, Comment at 160, (Tent. Draft. No. 4, 1955). We have included this language in our test to make clear that mere recidivism alone does not justify acquittal. See United States v. Freeman, 357 F.2d at 625; Bethea v. United States, 365 A.2d at 80-81. We recognize that this paragraph has been the source of considerable controversy. See, e.g., Wade v. United States, 426 F.2d 64, 72-73 (9th Cir. 1970); United States v. Smith, 404 F.2d at 727, n.8; Diamond,. From M’Naughten to Currens, and Beyond, 50 Calif. L. Rev. 189, 194 (1962). Nevertheless, we believe that its inclusion in our test is necessary to minimize the likelihood of the improper exculpation of defendants who are free of mental disease but who knowingly and deliberately pursue a life of crime.10

V

As we have emphasized previously, preserving the respective provinces of the jury and experts is an important concern. Consonant with modern medical understanding, *270our test is intended to allow the psychiatrist to place before the jury all of the relevant information that is must consider in reaching its decision. We adhere to Dean Wigmore’s statement that when criminal responsibility is in issue, “any and all conduct of the person is admissible in evidence.” 2 Wigmore, Evidence §228 (1940). Nevertheless, the charge to the jury must include unambiguous instructions stressing that regardless of the nature and extent of the experts’ testimony, the issue of exculpation remains at all times a legal and not a medical question. In determining the issue of responsibility the jury has two important tasks. First, it must measure the extent to which the defendant’s mental and emotional processes were impaired at the time of the unlawful conduct. The answer to that inquiry is a difficult and elusive one, but no more so than numerous other facts that a jury must find in a criminal trial. Second, the jury must assess that impairment in light of community standards of blameworthiness. The jury’s unique qualifications for making that determination justify our unusual deference to the jury’s resolution of the issue of responsibility. See United States v. Eichberg, 439 F.2d 620, 624-25 (D.C. Cir. 1971) (Bazelton, C.J., concurring & dissenting). For it has been stated that the essential feature of a jury “lies in the interposition between the accused and his accuser of the commonsense judgment of a group of laymen, and in the community participation and shared responsibility that results from that group’s determination of guilt or innocence.” Williams v. Florida, 399 U.S. 78, 100, 90 S.Ct. 1893, 1906, 26 L.Ed.2d 446, 460 (1970). Therefore, the charge should leave no doubt that it is for the jury to determine: 1) the existence of a cognizable mental disease or defect, 2) whether such a disability resulted in a substantial impairment at the time of the unlawful conduct of the accused’s capacity either to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of the law, and consequently, 3) whether there existed a sufficient relationship between the mental abnormality and the condemned behavior to warrant the *271conclusion that the defendant cannot justly be held responsible for his acts.

VI

So there will be no misunderstanding of the thrust of this opinion, mention should be made of the treatment to be afforded individuals found lacking criminal responsibility due to a mental illness under the test we have adopted. Unquestionably the security of the community must be the paramount interest. Society withholds criminal sanctions out of a sense of compassion and understanding when the defendant is found to lack capacity. It would be an intolerable situation if those suffering from a mental disease or defect of such a nature as to relieve them from criminal responsibility were to be released to continue to pose a threat to life and property. The General Laws provide that a person found not guilty because he was “insane”11 at the time of the commission of a crime shall be committed to the Director of the State Department of Mental Health for observation. At a subsequent judicial hearing if he is found to be dangerous, the person must be committed to a public institution for care and treatment. G.L. 1956 (1968 Reenactment) §26-4-4. This procedure insures society’s protection and affords the incompetent criminal offender necessary medical attention.

Our test as enunciated in this opinion shall apply to all trials commenced after the date of this opinion. The defendant in the instant case is entitled to a new trial solely on the issue of criminal responsibility.

The defendant’s appeal is sustained and the case is remanded to the Superior Court for a new trial in accordance with the opinions expressed herein.

*272Dennis J. Roberts II, Attorney General, Nancy Marks Rahmes, Special Assistant Attorney General, E. Martin Stutchfield, Special Assistant Attorney General, for plaintiff.

Cappuccio <Lr Cappuccio, Frank S. Cappuccio, William F. Reilly, Public Defender, Barbara Hurst, Chief Appellate Attorney, Lise J. Gescheidt, Assistant Public Defender - Amicus Curiae, for defendant.

14.4.5 Environmental Deprivation and Psychological Injury- Optional Reading 14.4.5 Environmental Deprivation and Psychological Injury- Optional Reading

If insanity and duress can excuse criminal behavior, why can’t social and economic distress affect culpability? The theory that environmental deprivation or a “rotten social background” should excuse criminal liability has been widely discussed. Some research indicates that growing up in impoverished, unstable, and violent environments can affect moral judgment—implicating the M’Naghten test—or other attributes such as self-control—perhaps implicating the irresistible impulse test. Nevertheless, the idea of an environmental deprivation excuse remains highly controversial, and there are many distinctions between insanity and environmental deprivation. As you read the following passages, consider both the similarities and the differences between environmental deprivation and the excuses we have studied. Remember, too, that criminal law is partly moral, and partly instrumental. What would be the practical effects of recognizing an environmental deprivation defense?

14.4.5.1 Buck v. Bell 14.4.5.1 Buck v. Bell

274 U.S. 200
47 S.Ct. 584
71 L.Ed. 1000
BUCK

v.

BELL, Superintendent of State Colony Epileptics and Feeble Minded.

No. 292.
Argued April 22, 1927.
Decided May 2, 1927.

Page 201

                    Mr. I. P. Whitehead, of Lynchburg, Va., for plaintiff in error.

  [Argument of Counsel from pages 201-202 intentionally omitted]

Page 203

          Mr. A. E. Strode, of Lynchburg, Va., for defendant in error.

  [Argument of Counsel from pages 203-205 intentionally omitted]

Page 205

           Mr. Justice HOLMES delivered the opinion of the Court.

          This is a writ of error to review a judgment of the Supreme Court of Appeals of the State of Virginia, affirming a judgment of the Circuit Court of Amherst County, by which the defendant in error, the superintendent of the State Colony for Epileptics and Feeble Minded, was ordered to perform the operation of salpingectomy upon Carrie Buck, the plaintiff in error, for the purpose of making her sterile. 143 Va. 310, 130 S. E. 516. The case comes here upon the contention that the statute authorizing the judgment is void under the Fourteenth Amendment as denying to the plaintiff in error due process of law and the equal protection of the laws.

          Carrie Buck is a feeble-minded white woman who was committed to the State Colony above mentioned in due form. She is the daughter of a feeble-minded mother in the same institution, and the mother of an illegitimate feeble-minded child. She was eighteen years old at the time of the trial of her case in the Circuit Court in the latter part of 1924. An Act of Virginia approved March 20, 1924 (Laws 1924, c. 394) recites that the health of the patient and the welfare of society may be promoted in certain cases by the sterilization of mental defectives, under careful safeguard, etc.; that the sterilization may be effected in males by vasectomy and in females by salpingectomy, without serious pain or substantial danger to life; that the Commonwealth is supporting in various institutions many defective persons who if now discharged would become

Page 206

a menace but if incapable of procreating might be discharged with safety and become self-supporting with benefit to themselves and to society; and that experience has shown that heredity plays an important part in the transmission of insanity, imbecility, etc. The statute then enacts that whenever the superintendent of certain institutions including the abovenamed State Colony shall be of opinion that it is for the best interest of the patients and of society that an inmate under his care should be sexually sterilized, he may have the operation performed upon any patient afflicted with hereditary forms of insanity, imbecility, etc., on complying with the very careful provisions by which the act protects the patients from possible abuse.

          The superintendent first presents a petition to the special board of directors of his hospital or colony, stating the facts and the grounds for his opinion, verified by affidavit. Notice of the petition and of the time and place of the hearing in the institution is to be served upon the inmate, and also upon his guardian, and if there is no guardian the superintendent is to apply to the Circuit Court of the County to appoint one. If the inmate is a minor notice also is to be given to his parents, if any, with a copy of the petition. The board is to see to it that the inmate may attend the hearings if desired by him or his guardian. The evidence is all to be reduced to writing, and after the board has made its order for or against the operation, the superintendent, or the inmate, or his guardian, may appeal to the Circuit Court of the County. The Circuit Court may consider the record of the board and the evidence before it and such other admissible evidence as may be offered, and may affirm, revise, or reverse the order of the board and enter such order as it deems just. Finally any party may apply to the Supreme Court of Appeals, which, if it grants the appeal, is to hear the case upon the record of the trial

Page 207

in the Circuit Court and may enter such order as it thinks the Circuit Court should have entered. There can be no doubt that so far as procedure is concerned the rights of the patient are most carefully considered, and as every step in this case was taken in scrupulous compliance with the statute and after months of observation, there is no doubt that in that respect the plaintiff in error has had due process at law.

          The attack is not upon the procedure but upon the substantive law. It seems to be contended that in no circumstances could such an order be justified. It certainly is contended that the order cannot be justified upon the existing grounds. The judgment finds the facts that have been recited and that Carrie Buck 'is the probable potential parent of socially inadequate offspring, likewise afflicted, that she may be sexually sterilized without detriment to her general health and that her welfare and that of society will be promoted by her sterilization,' and thereupon makes the order. In view of the general declarations of the Legislature and the specific findings of the Court obviously we cannot say as matter of law that the grounds do not exist, and if they exist they justify the result. We have seen more than once that the public welfare may call upon the best citizens for their lives. It would be strange if it could not call upon those who already sap the strength of the State for these lesser sacrifices, often not felt to be such by those concerned, in order to prevent our being swamped with incompetence. It is better for all the world, if instead of waiting to execute degenerate offspring for crime, or to let them starve for their imbecility, society can prevent those who are manifestly unfit from continuing their kind. The principle that sustains compulsory vaccination is broad enough to cover cutting the Fallopian tubes. Jacobson v. Massachusetts, 197 U. S. 11, 25 S. Ct. 358, 49 L. Ed. 643, 3 Ann. Cas. 765. Three generations of imbeciles are enough.

Page 208

          But, it is said, however it might be if this reasoning were applied generally, it fails when it is confined to the small number who are in the institutions named and is not applied to the multitudes outside. It is the usual last resort of constitutional arguments to point out shortcomings of this sort. But the answer is that the law does all that is needed when it does all that it can, indicates a policy, applies it to all within the lines, and seeks to bring within the lines all similary situated so far and so fast as its means allow. Of course so far as the operations enable those who otherwise must be kept confined to be returned to the world, and thus open the asylum to others, the equality aimed at will be more nearly reached.

          Judgment affirmed.

          Mr. Justice BUTLER dissents.

14.4.5.2 People v Kobayashi 14.4.5.2 People v Kobayashi

California Rules of Court, rule 8.1115, restricts citation of unpublished opinions in California courts.

Court of Appeal, Second District,
Division 8.

The PEOPLE, Plaintiff and Respondent,
v.
Harvey KOBAYASHI, Defendant and Appellant.

No. B157685.

(Los Angeles County Super. Ct. No. NA049139).

March 26, 2003.

 

Affirmed.

APPEAL from a judgment of the Superior Court of Los Angeles County. Charles D. Sheldon, Judge. Affirmed.

Attorneys and Law Firms

Thomas T. Ono, under appointment by the Court of Appeal, for Defendant and Appellant.

Bill Lockyer, Attorney General, Robert R. Anderson, Chief Assistant Attorney General, Pamela C. Hamanaka, Senior Assistant Attorney General, Victoria B. Wilson and Jamie L. Fuster, Supervising Deputy Attorneys General, for Plaintiff and Respondent.

Opinion

COOPER, P.J.

*1 Following a jury trial, Harvey Kobayashi was convicted of the second degree murder of Sheila Ann Randle, a woman he met through a telephone dating service. He admits stabbing her to death with her eight-year-old son in the apartment, cleaning the bloody scene, and then burning her body after moving it to his family’s farm in Dinuba. Appellant proffered principally a defense of imperfect self-defense, i.e., the victim made threats to kill him and his parents after he could or would not continue making payments to her or buy her a house; instructions on heat of passion and provocation were also given. The trial court excluded testimony of appellant’s expert witness, a psychologist, and gave or failed to give instructions appellant now contests. Sentenced to 16 years to life in prison, appellant appeals the judgment of conviction.1 We shall affirm the judgment.

PROCEDURAL HISTORY AND STATEMENT OF FACTS

Appellant stabbed the victim to death with a buck knife on April 7, 2001. She was on the bed in her bedroom, where appellant had spent the previous night, in the apartment provided to her by appellant. Injuring his own left hand in the attack, appellant took the victim’s son with him to a hospital where he was treated and then dropped the boy off at the home of the boy’s grandmother, the victim’s mother.2 Appellant stopped to get boxes and cleaned up the master bedroom; he spent the night at a motel in Torrance. The next morning appellant rented storage space in Torrance for the bloody mattress and other incriminating items and paid someone to help him move the victim’s body, encased in boxes and bed linens, so that he could take it to his parents’ home and burn her remains beyond recognition. The body was identified from her dental records. Appellant’s and the victim’s blood were found in the apartment and on the items stored by appellant.

Contacted by the victim’s mother and friend as well as by the police when she was found to be missing, appellant denied knowing what had happened to her, gave a phony story about wanting to buy her a new mattress, and falsely declared she was alive when he went to the hospital. Officers who investigated a week after the homicide found spots of blood in the apartment and bleached areas in the carpet padding. The victim’s purse and jewelry were missing; her mother saw that the victim’s underwear was also gone. 

When the police arrived at the family farm on May 17, appellant in a two-hour conversation initially denied any involvement and lied about his relationship with Sheila Randle, claiming to be her mentor. After being told the detectives did not believe him and that he was under arrest, appellant asked them not to tell his mother.3

Within hours appellant confessed to the homicide. The tale he told the detectives at the station, essentially the same as his testimony at trial and consistent with the testimony of the victim’s best friend and documentary evidence of monies paid to the victim by appellant, attempted to explain why he killed her.4 As defense counsel noted, the issue for the jury was not “what” happened, but “why.” Appellant’s state of mind was the key to the defense, which sought a conviction of manslaughter instead of murder.5

*2 Appellant’s relationship with the victim was complicated. He first contacted her in about June 1999 and began to know her on the telephone as “Frankie,” a woman on a date phone line. There was a lot of talk about sex, which he liked, and he wanted to meet Frankie .6 Within a short time, Frankie began asking appellant for increasing amounts of money. Appellant provided the money but never met Frankie; instead, the funds were given to Ebony, who pretended to be Frankie’s good friend but was really the same woman as Frankie and as the victim, Sheila Randle. Soon, Frankie’s requests escalated from babysitting money, to rental cars, leasing a Honda and then a Monte Carlo, clothes, expensive jewelry, alleged medical expenses,7 and thousands of dollars in loans or gifts.8 However, it was “Ebony” who received much of this money, went to lease the Honda in November 1999, and was then in the middle of these transactions.9

Appellant’s financial circumstances became worse and worse. He filed for bankruptcy in November or December 1999 but continued his financing of Frankie’s wishes. In February 2000, he moved back to Dinuba to take care of his elderly parents and thought he could get rid of the stress from Frankie and Ebony by moving out of the area. Thinking Frankie could not trace him, appellant had the Honda repossessed. “Ebony” called him in Dinuba and said the car was stolen; when she figured out he had it taken, appellant testified she said “he’d better get the fucking car or they are going to come and kill his mother and father.”10 Appellant then returned the car to Ebony. 

At one point, according to appellant, a Black female (but not Ebony) called and said Frankie had committed suicide because appellant left without letting her know where he was going. Ebony called later that night and said Frankie, whom he still believe existed, had attempted to commit suicide and tried to get him to pay for the funeral expenses. According to appellant, Frankie was threatening to kill his mother and father so he paid her thousands for alleged medical bills. 

In July 2000, he went with Sheila to trade the Honda for a Monte Carlo; appellant borrowed $8000 from his mother and a friend. He testified he felt he had “no choice” but to make the payments; Frankie/Sheila was threatening to hurt his mother and father, saying she would make appellant watch as her friends shot his parents. 

In November 2000, appellant testified he was scared by Frankie’s threats and called the Tulare County Sheriff, told of very vague threats, and asked for someone to drive by. A tape of that call was played for the jury. He made no other calls to law enforcement.

The demands became more pressing. They had looked at homes in Palmdale. He did not want to buy a place for Sheila and Frankie in Palmdale, but he did not want to make a scene. He also did not and could not buy the expensive house the victim wanted him to buy her in Carson shortly before her death.

*3 Although the point when he realized that all three women were the same is in dispute, even appellant admits suspecting that reality and knowing it by January 2001, when Sheila purportedly told him.11 Appellant signed rental papers for an apartment in Long Beach for Sheila Randle and himself in February 2001. There is evidence he visited her on weekends.

According to the apartment manager, appellant was at the apartment roughly every other weekend. The victim’s mother testified he slept on the sofa on one visit and in Sheila’s bed at the mother’s house once before Sheila moved to the Long Beach apartment. Appellant vehemently denied any type of sexual or romantic relationship with Sheila or discussions about having a baby with her.12 He admitted initial romantic thoughts about Frankie but testified her threats and anger changed that. 

Danella Wright, the victim’s friend who lived in Palmdale, met appellant on several occasions, including a visit to Palmdale for appellant and Sheila to look at a home to buy or an apartment for Sheila and her son to rent. She saw no stress in the relationship, and appellant and Sheila seemed friendly to each other. At one point in 2000, Sheila told her that Harvey was buying her a town home but later reported that he could not get it in his name so he was going to try to get it for her in a friend’s name. Near the holidays in 2000, Sheila showed her friend a ring that looked like an engagement ring and said appellant gave it to her; asked if she was going to marry him, Sheila replied “I’m not sure.” On another visit, in 2001, appellant drove the two women and a friend to shop in Chinatown. Ms. Wright later helped Sheila decorate her new apartment in Long Beach; she used an Asian theme in the living room, just as Ms. Wright had in her own house. Sheila later bought a Buddha for the living room table.

Sheila was about 5′2″ to 5′4″ and between 160 and 198 pounds. Danella Wright described her friend as “Wild. Fast, a lot of life to her” and very vocal. Her mother described Sheila as an outspoken individual, a talker, who completed 11th grade and was 28 years old when she died. Makeba Fielding, her best friend, told detectives that Sheila was quite a mouthpiece, a loud person, could get physical very easily and could be easily provoked.

Appellant testified that he came to Long Beach at Sheila’s demand on the night of April 6. She threatened to kill his mother if he did not come down from Dinuba.13 They shared a bed that night, at her insistence; appellant denies any romantic touching. On the morning of her death, Sheila got upset and said he should buy her the $340,000 “fucking” house even if he had to force his mother to sell the ranch or if she had to dig up his father, who had died in October 2000, out of the grave. She swore at him and asked where the $8000 was.

Appellant’s version of the killing is that he went to the kitchen drawer, saw the knife, and took it for his own protection, thinking Sheila had talked about a gun before and he did not know if one was in the house. Hiding the knife behind him, he returned to the master bedroom and listened to her yell about the house, the $8000, and her threats to send friends to his mother’s house to make him watch while they killed his mother and then killed him. She allegedly then said “you better fucking do it” and “I’m going to kill you.” When she came towards him with a fist, he displayed the knife and without warning stuck her in the chest. They struggled and he stabbed her three to five times.14 He testified he had no intention to kill her the night before, the morning when he woke up, or even when he went to the kitchen to get the knife. Rather, he was “freaking out” and in a daze and panic. He covered her up, and her son Michael saw her from the bedroom doorway before they left for the hospital.

*4 Old friends from Dinuba testified as to appellant’s reputation for honesty and nonviolence.

Defense psychologist

The defense wished to present testimony by psychologist Adrienne Davis, an assistant clinical professor in the Department of Psychology at the University of Southern California who had examined appellant and prepared an 8-page report. The People moved to limit the testimony of the defense psychologist and exclude hearsay statements. The report was used as the defense offer of proof. Defense counsel described imperfect self-defense as the primary issue in the case and argued appellant’s state of mind was critical to that defense. The prosecutor argued that the report did not contain what the Penal Code allows as a defense. The trial court initially deferred ruling until hearing appellant’s testimony and stated it would review authority on cultural defenses. 

During the defense phase of trial, appellant’s counsel stated he told Dr. Davis to stay home based on the court’s tentative ruling. He submitted her report, and the court found Penal Code sections 25 and 29 excluded the testimony and the court could not “see admissible testimony insofar as the psychiatric opinion from the report. If you don’t have anything to add to her report, that would be the court’s ruling.”15 Dr. Davis was not called by the defense, which urges on appeal that the exclusion of her testimony was reversible error.

The report, dated February 1, 2002, states that Dr. Davis met with appellant several times to interview him, collect personal history information and administer several psychological tests. The report summarized the crime, including appellant’s statement to the police that “he became increasingly fearful of the victim who he reports threatened him and his mother with death if he did not comply with her wishes for continuing financial support. Mr. Kobayashi reported that eventually her demands and his refusals led to a violent argument during which he stabbed her, after which he took her remains to his mother’s home in central California and burned them.” She set forth appellant’s family history, including that he is a 46-year-old “second-generation Japanese man” who never married and has no children. He was raised by his parents in the Central California town of Dinuba. His two brothers were at least 15 years older than appellant and by the time he reached his teenage years they had each started their own families. His parents “were ‘from the old school’ in terms [of] values, discipline, the importance of working hard, independence, academic achievement and commitment to family.”

Appellant was shy and reserved and did not date in high school. His parents were active in church, and he was involved in the Young Buddhist Association. He completed high school in 1973, went to community college, and then graduated from Cal State Long Beach. He worked for UPS and eventually for Hughes Aircraft, Magnavox, Rockwell, and TRW. He was an avid bass fisherman and spent more time developing his fishing hobby than pursuing relationships. However, he was “curious” about on-line relationships and contacted the victim, leading her taking thousands of dollars from him while representing herself as someone else. The report continued: “When asked why he continued to given even when he felt he was being exploited, he reported that she was so demanding, and he felt sorry for her and wanted to help her out even at his own expense. When he finally could not longer meet her demands, he tried to extricate himself from the relationship but to no avail.” According to the report, he became increasingly afraid and feared the worst. When his bankruptcy, moving away, and repossession of the car did not stop the demands as he had hoped, her demands became even more intense. From his report “he found himself in a situation for which he had no frame of reference, no experience and no solution, and about which he felt vulnerable, fearful and embarrassed.”

*5 Dr. Davis reported on her observations of appellant and his test results. His one significant elevation in a certain subscale was for “over-controlled hostility,” a scale used “in the late 1960s to define and describe a group of inmates who had [no] prior history of violence, in fact, were model citizens until one day they erupted into uncontrollable violence that everyone who knew them argued was ‘out of character.’ “

Another clinical scale that was significantly elevated was one for compulsiveness. According to the report, such individuals “exhibit an unusual adherence to social conventions,” deny any internal conflict and tend to be hard working and conscientious.

Dr. Davis opined: “These results seem to describe [appellant] quite well. Certainly there are cultural issues that contribute to his personality development including a tendency to over-value emotional control, strong work ethic, deference to authority, denial of needs, the experience of shame when one is unable to meet the expectations of others and violates one’s own personal standards. The combination of these factors contributed to [his] mental state at the time of this offense. He was angry, overwhelmed, confused and without appropriate outlets for managing this situation.” (Italics added.)

Dr. Davis’s summary and discussion again set forth his lack of relationships with women and his family background in a “strict, conservative, traditional Asian family with hard-working parents who set a positive example for their three sons.” (Italics added.) She opined that because of his inadequacy in relationships “and equally strong sense of loyalty, trust and generosity, [he] was vulnerable to the potential exploits of anyone with more street smarts than himself, who would recognize his vulnerability and his gullibility and take full advantage. The fact that the victim could pose as another person over many, many months and continue to get money from him when he had yet to meet her is a testament to his naiveté, his desperate need to be needed, strong denial mechanisms, his inexperience and failure to recognize and appreciate the pathology and danger in this relationship early on.”

Moreover, “It is not at all surprising that [appellant] could not bring himself to contact police when the victim began to threaten him. His feelings of shame and embarrassment about the entire situation far outweighed any rational thinking and thereby further isolated him from those who may have been able to assist him. Just as salient were underling feelings of frustration and outrage, feelings for which he had no appropriate outlet. [He] was quite simply, overwhelmed. He was isolated, alone and frightened, left to cope with a novel escalating situations that had become wildly out of control. The dynamics of [his] personality, which are influenced by Asian culture, dictate a certain amount of emotional suppression, self-sacrifice and self-blame.” (Italics added.)

*6 Dr. Davis concluded: “Up until the time of this offense, [appellant] was a law-abiding, productive citizen with a responsible job, who found peace, satisfaction and fulfillment through competitive bass-fishing. He was a devoted son who had recently lost his father. However, having a successful relationship with a woman continued to elude him and his inept efforts to resolve this area of his life led to a tragic ending.”

Arguments to the jury

The People urged the jury to return a verdict of first degree murder. Arguing that appellant was fed up with being played like a yo yo for two years, appellant brought the buck knife from fishing, not from the victim’s kitchen drawer, and intended to kill her that weekend. At the very least, he hid the knife behind his back and stabbed her, probably when she was asleep in bed, in conscious disregard for her life, for second degree murder. The prosecutor also explained voluntary manslaughter, a killing without malice aforethought but upon a sudden quarrel, heat of passion, or conscious disregard for human life. He told the jury that there is an objective test for heat of passion/provocation and that appellant is not permitted to set up his own standard of conduct and justify or excuse himself because his passions were aroused. Neither, argued the prosecutor, can appellant create his own provocation.

Contending that appellant was trying to use physical evidence to contrive a lesser offense of voluntary manslaughter, he urged the jury to see appellant as someone whose lust took him off base. The prosecutor referred to appellant’s attendance at the pornographic convention and argued Sheila Randle was his fantasy girl: it was fine “[a]s long as he was getting what he wanted” but if “she didn’t put out, or ... it wasn’t the right kind or enough[,][s]he’s dead.”16 The prosecutor cited many alternatives short of killing Sheila in her bed when she was not looking that were available to appellant but were not taken.

The defense acknowledged the “pretty absurd” story but emphasized it was true, was “too stupid to make up,” and matched the tale told by the victim’s best friend. The defense asked for a verdict of manslaughter, emphasizing the all-enveloping and all-engrossing fear that had built up for almost two years, appellant’s actual fear of Sheila Randle, a woman who realized she had herself a pigeon and was “picking the wings off of a fly.”

Apparently utilizing the information in Dr. Davis’s report without mentioning the source, defense counsel argued: “Everything he does along the way here is consistent. It’s consistent with a personality that is experiencing shame and guilt. It is consistent with a personality that has difficulty dealing directly with problems.” Moreover, appellant “is a man who, in that sort of Buddhist way is concerned about harmony and interpersonal relationship. This harmony (sic ) doesn’t fit. Cognitive disdain doesn’t make any sense to him. He has no way of dealing with it. He can feel fear but he can’t confront anger and he never does. We have no report of him ever getting angry.” Addressing his relationship with the victim, she “doesn’t fit anything he knows or anything he was trained for. She doesn’t fit how he was brought up in a Japanese-American farm family.”

*7 The victim, a convicted felon, was portrayed as an evil person who pushed and pushed, threatened his mother, and told appellant Frankie had died. He was trying to get out of this horrible situation by moving back to Dinuba, but he could not escape her. Socially isolated, his whole life was “wrapped up in that completely dysfunctional relationship that started out thinking that he was going to be saved by a voice mailbox and he is completely enveloped in shame and embarrassment.” The defense argued the case is “not about sex” but about a person who killed in the actual but unreasonable belief in the necessity to defend against imminent peril. Defense counsel briefly mentioned the alternative of heat of passion/provocation.

Before reaching its verdict, the jury asked for a readback of “Harvey’s testimony about what happened the morning of April 7th from the point of waking up to when Harvey & Michael left to go to the emergency [room] the first time.” The entire deliberation took a day and a half.

 

CONTENTIONS ON APPEAL

Appellant contends: 1. The trial court’s exclusion of the proffered cultural evidence by the defense expert deprived appellant of his constitutional rights to due process and to a jury trial. 2. Multiple jury instruction errors compel a reversal of the judgment: a. The trial court had a sua sponte duty to modify CALJIC No. 8.42 to instruct that the jury should consider cultural evidence in determining the sufficiency of the provocation. b. There is an equal protection and due process right to a culturally specific evaluation of the element of provocation as it relates to the crime of manslaughter. c. The error in giving CALJIC No. 8.51 was compounded by the trial court’s extemporaneous comments which where tantamount to a directed verdict against a manslaughter finding. d. Cumulative prejudice from the multiple instructional errors constitutes reversible error. 3. Because the trial court abused its discretion in admitting the photograph depicting appellant at the adult entertainment convention, appellant’s constitutional rights to a fair trial and to due process were violated, compelling a reversal of the judgment.

Respondent contends that the award of 157 days of presentence custody credits was erroneous. Appellant counters that the issue is moot in that the Department of Corrections has brought the issue to the trial court’s attention. (People v. Hill (1986) 185 Cal.App.3d 831, 834, 230 Cal.Rptr. 109.) Having received no contrary information from respondent, we do not address that issue. In addition, at oral argument, appellant’s counsel provided a minute order of May 31, 2002, demonstrating the trial court’s correction of the credits. We therefore do not address that issue.

DISCUSSION

1. Dr. Davis’s report and appellant’s testimony do not support the cultural defense appellant posits on appeal.

Appellant wanted to use the expert’s report in order to negate malice and have his crime reduced to voluntary manslaughter (People v. Blakeley (2000) 23 Cal.4th 82, 88, 96 Cal.Rptr.2d 451, 999 P.2d 675) and on appeal claims its exclusion deprived him of his constitutional rights to due process and to a jury trial. He recognizes that evaluation of heat of passion or provocation is dependent on the reaction of the hypothetical “reasonable person of average disposition” and cites cases stating that the jurors must place themselves in the shoes of the defendant and then judge whether his conduct was reasonable. (People v. Humphrey (1996) 13 Cal.4th 1073, 1086, 56 Cal.Rptr.2d 142, 921 P.2d 1 [expert testimony that defendant was suffering from battered women’s syndrome admissible in murder prosecution both on question of whether defendant actually believed that it was necessary to kill in self-defense and on the reasonableness of her belief]; People v. Minifie (1996) 13 Cal.4th 1055, 1065, 56 Cal.Rptr.2d 133, 920 P.2d 1337.) He argues that the jurors, in placing themselves in “like circumstances,” are able to consider the physical, mental, and cultural characteristics of the defendant.

*8 Appellant analogizes his predicament to the defense of battered women’s syndrome, arguing: “It is understandable that a Japanese man may react violently to the latest in a series of threats over two years after hiding the festering shame and embarrassment of having cause his own desperate predicament. A predicament initiated by his loneliness and resulting in further anomie when bullied and extorted by death threats to himself and to his parents. For in Japanese culture, intense shame attaches to males who lack emotional control, who are unable to meet the expectations of others, and who violate their personal standards. (Davis Report, pp. 7-8.) Certainly, appellant’s cultural standards for filial piety were repeatedly trashed by Sheila Randle’s orders to borrow money from his elderly mother, to give her a share of his father’s funeral proceeds, to sell the farm from under his mother, and even to dig his father up from his grave if that [is] what it took to get her a house.” Moreover, “[h]ere, there was evidence that appellant had experienced a series of events over two-year period which culminated in the heated argument where Sheila threatened to make him watch as her friends killed his mother and then threatened to kill him as she charged at him with her fist even after he brandished the knife.” Thus, “[t]he expert testimony concerning Japanese culture was relevant to explain the significance of these events on appellant’s state of mind, and to show how Sheila’s verbal threats and physical assault could have constituted ‘sufficient provocation’ to cause appellant to kill her in a ‘heat of passion’ or how he acted in an unreasonable, but good faith, belief to act in self-defense.” Furthermore, he contends that that theory “could not be fully understood by the jury without reference to the expert testimony explaining the cultural evidence factors affecting appellant’s state of mind.”

[1] Appellant’s argument on appeal reads more into both the Davis report and the arguments for its admissibility at trial than is supported by the record. The argument below focused on appellant’s effort to demonstrate his actual, if perhaps objectively unreasonable, belief that “he had no option but to do what he did at the time it happened.” In arguing the admissibility of Dr. Davis’s testimony, trial counsel clearly focused on imperfect self-defense and not provocation or heat of passion.17 (See In re Christian S. (1994) 7 Cal.4th 768, 30 Cal.Rptr.2d 33, 872 P.2d 574 [imperfect self-defense survives the abolition of diminished capacity defense].) The argument now made, that “like circumstances” for provocation/heat of passion must consider one’s cultural background, was not articulated in the trial court.

Our reading of Dr. Davis’s report, which was the sole offer of proof to the trial court, is that she mentioned appellant’s family background and Japanese culture, found his personality was decisive in his actions, but only vaguely tied his personality characteristics to his cultural background, e.g., “The dynamics of Mr. Kobayashi’s personality, which are influenced by Asian culture, dictate a certain amount of emotional suppression, self-sacrifice and self-blame.” Neither the report nor appellant’s own testimony adequately related his cultural background to evidence that would be admissible as to his state of mind. Furthermore, defense counsel was allowed to argue appellant’s personality traits, in evidence through appellant’s own testimony and reports of his conduct from others, in urging the jury to find imperfect self-defense.18

*9 Thus, on the record before us, the trial court did not err in excluding Dr. Davis’s testimony as it was presented in the offer of proof. We need not and do not decide if a different offer of proof with a more thorough analysis of a defendant’s cultural background and beliefs, tied in with a defendant’s testimony that would support the expert’s opinion, would compel admission of such expert testimony. In addition, we cannot conclude that a result more favorable to appellant would have resulted from any cumulative evidence in Dr. Davis’s report.

2. There was no prejudicial instructional error.

Appellant claims that the trial court erred by failing to modify CALJIC No. 8.42 and by giving CALJIC No. 8.51. He argues that the “prejudice flowing from these instructional errors, separately and cumulatively, compels reversal of the judgment....”

a. The trial court did not have a sua sponte duty to modify CALJIC No. 8.42 to instruct that the jury should consider cultural evidence in determining the sufficiency of the provocation.

[2] The trial court instructed the jury in terms of CALJIC No. 8.42, the standard instruction on regarding sudden quarrel or heat of passion and provocation. Appellant contends that such an instruction is “insufficient standing alone to inform the jury that it should evaluate the sufficiency of provocation from the standpoint of a reasonable person in terms of defendant’s position as a Japanese American;” that there “was a reasonable possibility that the jurors could have interpreted CALJIC No. 8.42 to preclude consideration of the sufficiency of provocation from the defendant’s perspective;” and the court prejudicially erred in failing to give a sua sponte instruction on the relevancy of cultural evidence to the reasonable person standard.19

The instructions given were correct. Appellant was allowed to present fully his defenses, with a complete rendition of his own state of mind due to the victim’s escalating demands and threats and his reaction to her. (See People v. Minifie (1996) 13 Cal.4th 1055, 1065-1068, 56 Cal.Rptr.2d 133, 920 P.2d 1337.) If the instructions were confusing, appellant must request clarification. “Because defendant did not request clarification of the otherwise adequate instructions below, he may not complain here. (E.g., People v. Sanders [ (1995) ] 11 Cal.4th [475,] 533, 46 Cal.Rptr.2d 751, 905 P.2d 420.)” (People v. Alvarez (1996) 14 Cal.4th 155, 223, 58 Cal.Rptr.2d 385, 926 P.2d 365, fn. omitted; see also People v. Saille (1991) 54 Cal.3d 1103, 1117, 2 Cal.Rptr.2d 364, 820 P.2d 588 [pinpoint instructions need be given only on request, not sua sponte].) We need not and do not reach the issue of whether appellant’s proposed instruction, provided for the first time on appeal, is either an accurate statement of law or supported by the record in the case at bench.

b. Given the record before this court, we decline to reach the issue of whether there is an equal protection and due process right to a culturally specific evaluation of the element of provocation as it relates to the crime of manslaughter.

*10 [3] Appellant argues that “Equal treatment of ethnic minority defendants requires that if certain provocative acts are sufficiently offensive in mainstream American culture to reduce murder to manslaughter [citations], then certain acts that are equally provocative in appellant’s culture should be treated as equally mitigating.” He asks us to decide this as an issue of first impression. (See People v. Romero (1999) 69 Cal.App.4th 846, 853-855, 81 Cal.Rptr.2d 823 [finding no error and no prejudice from excluding proposed testimony of a sociology professor on Hispanic culture].) Given the record before us, we do not find that this particular issue was specifically raised in the trial court and we decline to address it on appeal.

c. There was no reversible error in giving CALJIC No. 8.51 or in the trial court’s extemporaneous comments about involuntary manslaughter.

[4] The involuntary manslaughter instructions had been withdrawn by both counsel. Appellant argues that CALJIC No. 8.51, which distinguishes murder and manslaughter, was irrelevant to the trial issues and only served to confuse the jury. Appellant claims the concluding language of 8.51 “confused and effectively eviscerated any exculpatory jury interpretation of the preceding CALJIC No. 8.50 .” 

CALJIC No. 8.50 told the jury: “The distinction between murder and manslaughter is that murder requires malice while manslaughter does not. [¶] When the act causing the death, though unlawful, is done in the heat of passion or is excited by a sudden quarrel that amounts to adequate provocation, or in the actual but unreasonable belief in the necessity to defend against imminent peril to life or great bodily injury, the offense is manslaughter. In that case, even if an intent to kill exists, the law is that malice, which is an essential element of murder, is absent. 

“To establish that a killing is murder and not manslaughter, the burden is on the People to prove beyond a reasonable doubt each of the elements of murder and that the act which caused the death was not done in the heat of passion or upon a sudden quarrel or in the actual, even though unreasonable, belief in the necessity to defend against imminent peril to life or great bodily injury.”

The written version of CALJIC No. 8.51 adds: “If a person causes another’s death, while committing a felony which is dangerous to human life, the crime is murder. If a person causes another’s death, while committing a misdemeanor ... which is dangerous to human life under the circumstances of its commission, the crime is involuntary manslaughter.

“There are many acts which are lawful but nevertheless endanger human life. If a person causes another’s death by doing an act or engaging in conduct in a criminally negligent manner, without realizing the risk involved, he is guilty of involuntary manslaughter. If, on the other hand, the person realized the risk and acted in total disregard of the danger to life involved, malice is implied, and the crime is murder.20

*11 We have read the instructions as a whole, as the jury was instructed to do, and conclude the jury was properly instructed on the difference between murder and manslaughter and we do not find the charge misleading. (People v. Ochoa (1999) 19 Cal.4th 353, 421, 79 Cal.Rptr.2d 408, 966 P.2d 442 [jury and appellate court look at instructions as a whole]; People v. Castillo (1997) 16 Cal.4th 1009, 1015, 68 Cal.Rptr.2d 648, 945 P.2d 1197.) Even assuming arguendo the jury considered the second paragraph of 8.51 in the written instructions, that paragraph in context does not misstate the law. Malice may indeed be implied when a “person realized the risk and acted in total disregard of the danger to life involved.” (See People v. Blakeley, supra, 23 Cal.4th 82, 87, 96 Cal.Rptr.2d 451, 999 P.2d 675 [juries should be instructed that malice is implied “ ‘when the killing results from an intentional act, the natural consequences of which are dangerous to life, which act was deliberately performed by a person who knows that his conduct endangers the life of another and who acts with conscious disregard for life.’ [Citation.] ... [F]or convenience we shall describe this mental state as ‘conscious disregard for life.’ “] See also People v. Rios (2000) 23 Cal.4th 450, 461, fn. 7, 97 Cal.Rptr.2d 512, 2 P.3d 1066 [“voluntary manslaughter, but no lesser offense, is also committed when one kills unlawfully, and with conscious disregard for life, but lacks malice because of provocation or imperfect self-defense.”].)

There was neither error nor prejudice in the instructions or the trial court’s remarks. The claim of cumulative prejudice from multiple instructional errors is likewise without merit.

3. The trial court did not abuse its discretion in admitting the photograph depicting appellant at the adult entertainment convention.

[5] [6] Appellant unsuccessfully objected, on the grounds of relevance and Evidence Code section 352, to the prosecutor’s use of a photograph seen by the detectives in appellant’s bedroom in Dinuba. He contends that the trial court abused its discretion in admitting evidence of the photograph, which is described as depicting a pornographic star in a bikini at an adult entertainment convention sitting on appellant’s lap. Appellant contends his rights to a fair trial and due process were violated.

The trial court did not abuse its discretion in admitting evidence of the photograph the detectives had seen in appellant’s bedroom. (People v. Barnett (1998) 17 Cal.4th 1044, 1118-1119, 74 Cal.Rptr.2d 121, 954 P.2d 384 [abuse of discretion standard of review for Evidence Code section 352 admission of evidence].) The photograph was relevant in light of appellant’s vehement denial of any sexual or romantic relationship with the victim despite his visits to her and sleeping in the same bed on several occasions. The photograph and evidence of his attendance at the adult entertainment convention contradicted his portrayal of himself as a man who had to be asked to share the victim’s bed and then expected and wanted no sexual contact with her. It also corroborated his interest in Frankie, whom he thought as a stripper, perhaps explaining why he continued such an unfulfilling relationship with a woman he never even met. “Conversely, the evidence was not unduly prejudicial within the meaning of Evidence Code section 352 because it did not amount to ‘ “ ‘evidence which uniquely tends to evoke an emotional bias against the defendant as an individual and which has very little effect on the issues.’ “ ‘ [Citations.]” (Id. at pp. 1118-1119, 74 Cal.Rptr.2d 121, 954 P.2d 384.)

*12 [7] The constitutional and other grounds raised on appeal were not raised in the trial court and may be rejected on appeal. (People v.. Rodrigues (1994) 8 Cal.4th 1060, 1116, fn. 20, 36 Cal.Rptr.2d 235, 885 P.2d 1.) As explained, above, the evidence was admissible. Given the cumulative testimony of appellant’s interested in Frankie as a stripper and liking to talk to her about sex on the phone, error if any in admitting the challenged evidence was harmless.

DISPOSITION

The judgment is affirmed.

 

We concur: RUBIN and BOLAND, JJ.

All Citations

Footnotes

 

1

 

The trial court imposed 15 years to life for the second degree murder plus a consecutive one-year sentence for personal use of a knife pursuant to Penal Code section 12022, subdivision (b)(1). Denying a motion for new trial or a request to reduce the offense, the court stated “I cannot find, either factually or in an equitable sense, that I should do that. The jury verdict will stand .” Unless otherwise indicated, all further statutory references are to the Penal Code.

 

2

 

Appellant, knowing the victim was dead, pretended to call her on his cell phone while taking the boy to his grandmother’s home. Appellant told the boy he cut himself with a hunting knife. Appellant testified he did not bring the knife with him but obtained it from the victim’s kitchen and hid it behind his back as he reentered the bedroom.

On the morning of the homicide, appellant told the nurse practitioner at the hospital that he was opening a box with a buck knife. He was alert, oriented, and in no distress.

 

3

 

The officers could smell the odor of rotting flesh and found a human torso in the barn; several pieces of a burned human body and a knife were inside a duffel bag.

 

4

 

However, he did not mention Sheila’s threat to dig up his father. In the taped confession, unlike in court, he may have told the detectives that he and the victim were just off the bed.

 

5

 

The jury was instructed on first degree murder, second degree murder, and voluntary manslaughter. The parties agreed not to instruct on involuntary manslaughter. In reading the instructions, the trial court, apparently inadvertently and without objection by defense counsel, started to instruct on involuntary manslaughter before retracting that instruction. Appellant contends that the comments made by the court at that time amounted to a directed verdict against manslaughter.

 

6

 

After appellant testified he liked to talk about sex on the phone, the People sought to introduce evidence that the investigators found a picture in appellant’s Dinuba bedroom of appellant with a “porn film star” in a bikini sitting on his lap. The court initially was not going to admit the photograph or evidence of appellant’s attendance at the convention. After the age of appellant was established at near to that in the photograph, the court decided to allow the testimony. Appellant then testified he went to the adult entertainment convention in June 1999 and the detectives did find a photo of him with a scantily clad young lady sitting on his lap. In addition, he admitted Frankie said she was an exotic dancer, which was “just more curiosity.”

 

7

 

Appellant testified that Frankie screamed at him in Spanish and threatened to pour battery acid over his car when he denied her money for alleged cancer treatments. He took out a loan to get her the $2000. According to appellant, she also told him she knew Mexican gang bangers and some Crips who would come after him.

 

8

 

The victim’s best friend estimated his total gifts to Sheila Randle at $250,000. She was equivocal about whether there was a sexual relationship between appellant and the victim, initially telling the detectives there was not. She knew that the victim had an actual boyfriend, Eugene, who at some point was serving 35 years in prison for murder.

 

9

 

Sheila’s best friend, Makeba Fielding, verified the scam of using the name “Frankie” and getting money, gifts, and cards from appellant. She also corroborated Sheila’s profanity laden demands on appellant, Sheila’s lies to the phone company to get his address and phone number in Dinuba when the Honda was repossessed, her telling appellant that Frankie was dead, and even her request for part of the money received by the Kobayashi family when appellant’s father died. Hoping to help find her friend, she reported all this to the detectives on April 17, a month before they interviewed appellant in Dinuba. She did not remember telling the detectives of any threat by Sheila to kill appellant’s mother, but Detective Edwards reported that Makeba Fielding said she heard Sheila tell appellant she knew where he lived and would go and kill his mother if he did not give her the car back.

 

10

 

He did not know how he got his unlisted number and was surprised to hear from her.

 

11

 

Appellant also testified he knew Sheila Randle was also Ebony in the latter part of 1999 or early spring 2000, prior to calling the Tulare sheriff. Indeed, his knowledge of Sheila/Ebony’s address, where he had the Honda repossessed, seems to indicate he knew someone aside from Frankie was the primary user of the Honda. In addition, despite his professed fondness for “Frankie,” he made no effort to visit her in a named hospital after her reported suicide attempt.

Despite the announcement by Sheila in January 2001, which appellant found to be a shocker, he continued the relationship with Sheila. He again felt “no choice” and the threats were occurring more often.

 

12

 

Sheila’s best friend testified that Sheila once asked what she would think if Sheila was to have a baby by appellant.

 

13

 

Nevertheless, he left his mother alone in Dinuba and did not move her to a safer place or ask anyone to look in on her.

 

14

 

Despite the struggle testified to by appellant, he had no injuries other than the cut to his hand.

 

15

 

Penal Code section 25, added by initiative in 1982, abolished the defense of diminished capacity.

Section 28, subdivision (a), proscribes evidence of mental disease, mental defect or mental disorder to show or negate the capacity to form any mental state, including premeditation, deliberation, and malice aforethought. However, such evidence “is admissible solely on the issue of whether or not the accused actually formed a required specific intent, premeditated, deliberated, or harbored malice aforethought, when a specific intent crime is charged.”

Section 29 provides: “In the guilt phase of a criminal action, any expert testifying about a defendant’s mental illness, mental disorder, or mental defect shall not testify as to whether the defendant had or did not have the required mental states, which include, but are not limited to, purpose, intent, knowledge, or malice aforethought, for the crimes charged. The question as to whether the defendant had or did not have the required mental states shall be decided by the trier of fact.” (See People v. Nunn (1996) 50 Cal.App.4th 1357, 1364-1366, 58 Cal.Rptr.2d 294 [permissible to allow presentation of detailed expert testimony relevant to whether defendant harbored a required mental state, but not to conclude the ultimate question of whether defendant had or did not have a particular mental state at the time he acted]; People v. Erickson (1997) 57 Cal.App.4th 1391, 1401, 67 Cal.Rptr.2d 740 [applying same general rule to allow evidence of battered women’s syndrome but not “to predict the actual state of mind of a particular individual at a given moment”].)

 

16

 

In his closing argument, the prosecutor repeated the theme, stating appellant is a monster who could not control his lust and was blinded by it. He wanted sex, wanted a stripper, and was characterized by the prosecution as “a lust hound.”

 

17

 

His comment to the court was “I think there is a just, a traditional manslaughter argument as well as provocation and heat of passion but I think this case is a, if I were going to center this case on any single thing, imperfect self-defense would be it, and I submit that Mr. Kobayashi’s state of mind at the time of the killing is critical to whether or not he successfully makes an imperfect self-defense case. [¶] That is to say, from his point of view, and I will repeat myself right up to the present moment, he is absolutely convinced he had no option but to do what he did at the time it happened.”

 

18

 

Defense counsel’s closing argument made references to appellant’s “Buddhist way” and being “brought up in a Japanese-American farm family.”

 

19

 

Appellant proposes an instruction in his opening brief: “The [defendant] [and][or] [the prosecution] has introduced evidence that the defendant has a cultural background that may be unique to you. Such cultural evidence may be relevant to your evaluation of whether the provocation in this case was of such a character and degree as to cause a reasonable person in the position of the defendant to have lost self-control and to have acted upon impulse rather than deliberation and reflection. You should give this evidence whatever weight you think it deserves. However, you may not reject this evidence out of caprice or prejudice because the defendant has cultural beliefs or practices different from your own.”

 

20

 

This second paragraph was not read to the jury but was in the packet of written instructions available to them. The first paragraph was read as follows: “If a person causes another’s death while committing a felony dangerous to human life, the crime is murder. If a person causes another’s death while committing a misdemeanor ... which is dangerous to human life under the circumstances of its commission, the crime is involuntary manslaughter. [¶] I don’t need to define involuntary manslaughter because that is not part of what you are going to be asked to decide. You have four things before you. Murder 1, Murder 2, voluntary manslaughter and manslaughter. [¶] If a person causes death while committing a felony-I just read to constitute murder or manslaughter there must be, in addition to the death of a human being-I’m going to strike that.”