10 Defenses 10 Defenses

In the next few sections, we will explore situations in which the commission of what might otherwise be a crime does not result in punishment. Broadly speaking, the doctrines in this area of criminal law are grouped into “justification” and “excuse.” In this section, we will discuss the first kind of justification: self-defense. Self-defense justifies a crime—more than excusing it, it affirms that what would otherwise be a criminal act is in fact desirable in a given situation. In cases of legal self-defense, our system treats a person who kills or injures as morally right, even when they kill intentionally. Legalizing assault, killing, or other forceful actions inevitably devolves the state’s usual monopoly on the legitimate use of force, to individual persons capable of abusing it. Thus, legal self-defense raises several concerns. Should self-defense be a last resort? Must the defender respond with minimal force, or is any amount of force legitimate? Must the threat be actual, subjective, or objectively reasonable? Different jurisdictions have created different systems. Compare the questions raised by situations such as ongoing abusive domestic relationships or an encounter with a stranger on the subway. As you read the following cases, consider the criminal system’s difficulty in managing individuals’ legal use of force, and notice how the law attempts to channel and contain that Pandora’s box.

10.1 General Principles, Third Parties, Defense of Property 10.1 General Principles, Third Parties, Defense of Property

10.1.1 Paul H. Robinson—Criminal Law Defenses: A Systematic Analysis 10.1.1 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 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 * * *.

I.   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 that 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 that 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 an actor forcibly took a wallet from an old man at gunpoint. The crime goes unsolved until 1978 when he is identified and arrested. Although he 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 the 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.

10.1.2 Principles of Justification 10.1.2 Principles of Justification

Cydney Chilimidos & Zachary Nemirovsky—An Overview of Justification   

     Of the various 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 further than merely forgoing punishment. If conduct is justified, it is not considered wrongful, and perhaps even desirable. This is because the law considers a defendant’s justified actions to be at least a, or 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 and stealing the owner’s food is ordinarily bad conduct. But what if X was trying to escape a blizzard and had not 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 the public benefit theory, 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 for its near blanket sanction of public acts committed by public officials, and alternatively 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 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? Or 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 can 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 broke 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 support. 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. For example, without any proportionality, if my right to property is sacred, 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 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 dictate 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.

10.1.4 United States v. Peterson 10.1.4 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.

10.1.5 Notes & Questions (United States v. Peterson) 10.1.5 Notes & Questions (United States v. Peterson)

By Cydney Chilimidos and Zachary Nemirovsky

Notes & Questions

1. Who is the initial Aggressor? As evidenced in the Peterson case, it can be challenging to determine who is an aggressor. Self-defense is available only to one who meets the required conditions Re-read Peterson and Model Penal Code §3.04. Then consider the following fact patterns and identify  the “aggressor” under both Peterson and the MPC.

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 under Peterson? Under MPC? Why?

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 under Peterson? Under MPC? Why?

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 under Peterson? Under MPC? Why?

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.

a. Does Brock now have the right to kill Aviva? (Explain your answer.)

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 he has 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.

a. If you were on the jury, would you acquit the defendant?

b. Does the shooting meet the “necessity” requirement? Were there any reasonable alternatives?

4. Imminency. 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 is the Model Penal Code §3.04’s imminency requirement different from the common law one? 

  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 halfway 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 hypo 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.

a. 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. Abbott, a fight between neighbors led to a wrestle for control of a hatchet and 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 exact calculations as to the amount of hurt, or to ask him to endure any at all. And the issue is not whether, after the fact, that 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 circumstances 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, 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 a “castle” 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.” Note that the workplace exception is more limited than the castle doctrine (not covering the case where the assailant also works there). 

7. Criticisms of the Castle Doctrine. 

In March 2020, police officers in Louisville, Kentucky executed a no-knock warrant (one where police enter the home--often by force--without knocking on the door and announcing that they are police) at the apartment of Breonna Taylor. Taylor's boyfriend, Kenneth Walker, shot at the people invading Taylor's home and Taylor was killed when police returned fire. The castle doctrine does not always require a mens rea component--that is, even unreasonable mistakes are sometimes excused. Even under a regime where mistakes would have to be reasonable, however, could Walker argue that he was reasonably mistaken in thinking that the police were there to rob or assault the two of them? Is it relevant that burglary was not uncommon in Taylor's neighborhood, and that the raid was conducted in the middle of the night?

In an article in the ABA Journal (High-profile killings of unarmed Black people spark calls for reform, ABA Journal, August/September 2020, p15), Ross Barkan argues that the castle doctrine was "interwoven" with race "in the early days of the United States, when only white men could own property and created a legal means to protect it. Native Americans who wanted to defend their homes from colonization and African Americans under attack from lynch mobs did not have the same legal right." He goes on to say that these dynamics "played out in [Breonna] Taylor's case when [Kenneth] Walker was arrested and charged with attempted murder and assault on a police officer for grabbing his gun to defend his home. Those charges have since been dropped."

8. Stand Your Ground Laws. Some states have expanded their self-defense laws by enacting so-called “Stand Your Ground” laws. These laws provide that a person defending themselves never has the requirement to retreat.2 As of 2020, along with the 23 states that retain the “castle” doctrine, 26 states have “Stand Your Ground” laws. Only Vermont and the District of Columbia have neither.

9. Proportionality. 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 non-deadly response to a non-deadly 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 plummet to his death), then the common law requires Tony to suffer Ozzy’s punch, rather than risk the death of the nonlethal aggressor.

a. What goals does this rule accomplish? Do you agree with this rule?

10. 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?

 The Peterson court answers “no,” stating: “[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

a. How does this ruling relate to the Castle Doctrine? 

11. Review of the Peterson Defense. Outline the three-part legal argument made by Peterson’s defense lawyers. What is the retreat rule, at common law, and how does it relate to the “castle” doctrine?  

12. Create your own Defense. Retell the facts as if you were the defense lawyers, applying facts to each of the material elements D must prove, BRD, for his defense to succeed. Which is his best fact? Which is his worst? 

13. Following Precedent. Note the precedent cases mentioned by the court (Laney and Rowe). Which side is helped by each of these cases? If you were the defense, how might you have distinguished Laney? Rowe? 

14. For the future. Summarize the rule/holding coming out of Peterson in a way that you could apply to future fact patterns.

 


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.

10.1.6 State v. Abbott 10.1.6 State v. Abbott

36 N.J. 63 (1961)
174 A.2d 881

STATE OF NEW JERSEY, PLAINTIFF-RESPONDENT,
v.
FRANK ABBOTT, DEFENDANT-APPELLANT.

The Supreme Court of New Jersey.

Argued September 13, 1961.
Decided November 6, 1961.

 

[66] Mr. Charles Handler argued the cause for defendant-appellant (Mr. Joel F. Handler, on the brief).

Mr. Martin L. Greenberg, Assistant Prosecutor, argued the cause for plaintiff-respondent (Mr. Brendan T. Byrne, Essex County Prosecutor, attorney).

The opinion of the court was delivered by WEINTRAUB, C.J.

Frank Abbott was convicted of atrocious assault and battery. The Appellate Division affirmed, 64 N.J. Super. 191 (1960), and we granted certification, 34 N.J. 176 (1961).

Abbott shared a common driveway with his neighbors, Michael and Mary Scarano. The Scaranos engaged a contractor to pave their portion. Abbott obtained some asphalt from the contractor and made a doorstop to keep his garage door from swinging onto the Scaranos' property. Nicholas Scarano, who was visiting with the Scaranos, his parents, objected to Abbott's innovation. After some words between them a fist fight ensued.

Although Abbott managed to land the first punch, with which he sent Nicholas to the ground, a jury could find Nicholas was the aggressor. At this point Michael Scarano came at Abbott with a hatchet. Michael said the tool had just been returned to him by the contractor, and denied he [67] meant to use it as a weapon. According to Abbott, Mary Scarano followed, armed with a carving knife and large fork. The actors gave varying versions of what happened, but the end result was that all of the Scaranos were hit by the hatchet. Nicholas received severe head injuries. Abbott claimed he too suffered a laceration.

Abbott admitted he finally wrested the hatchet from Michael but denied he wielded it at all. Rather he insisted that the Scaranos were injured during a common struggle for the instrument. A jury could, however, find Abbott intentionally inflicted the blows.

Abbott was separately indicted for atrocious assault and battery upon each of the Scaranos. There was a common trial of these indictments. The jury acquitted Abbott of the charges relating to Michael and Mary, but found him guilty as to Nicholas.

I.

 

The principal question is whether the trial court properly instructed the jury upon the issue of self-defense. The trial court charged upon the subject of excessive force, as to which Abbott does not complain. It charged also upon the subject of retreat, and it is here that error is alleged. Although the jury could have found Abbott used excessive force, we cannot know whether the jury found for him on that subject and convicted because he had failed to retreat in accordance with the trial court's instruction.

As to retreat, the trial court charged upon two hypotheses. One was that the critical events occurred upon Abbott's property. Upon that basis, the court said Abbott could stand his ground, and, of course, of this Abbott does not complain. The second hypothesis was that the alleged offense occurred upon the common driveway. Presumably on the authority of State v. Pontery, 19 N.J. 457, 475 (1955), the trial court held that since all the principals were equally entitled to be on the driveway, Abbott could not claim immunity [68] from the ordinary retreat rule. Abbott does not question that thesis, but disputes the court's statement of the conditions under which an obligation to retreat would arise.

A.

 

We have the preliminary question whether defendant must demonstrate "plain error" to question the instruction. As the Appellate Division noted, defendant did not record a protest to the charge as given. But he had requested a charge and did note his objection to the trial court's refusal to grant it. His request was erroneous, but nonetheless it is plain he did not acquiesce in the trial court's version. The important fact is that the trial court was alerted to the basic problem and charged in a manner different from the request made. In such circumstances, especially when the controlling principles are complex or unsettled, it would be unreasonable to deny a review merely because a defendant failed to project a formula which squares with our concept of the true doctrine. We would never deny relief merely because a litigant's position on appeal went beyond the point we found to be correct. We should not demand a greater capacity for prediction during the trial itself. We accordingly reach the meritorious issue.

B.

 

The subject of retreat usually arises in homicide matters. We will first discuss it in that context, and then consider whether the principles apply to a charge of atrocious assault and battery, and if they do, whether the trial court correctly guided the jury in this difficult area.

We should make it clear that we are discussing the doctrine of retreat and not the subject of the use of excessive force. If the force used was unnecessary in its intensity, the claim of self-defense may fall for that reason. In the discussion which follows we assume a defendant used no more force [69] than he believed necessary to protect himself in the circumstances as they reasonably appeared to him, and consider only whether the claim of self-defense should be denied because he could have avoided the use of that force by retreating.

The question whether one who is neither the aggressor nor a party to a mutual combat must retreat has divided the authorities. Self-defense is measured against necessity. Brown v. State, 62 N.J.L. 666, 708 (E. & A.), affirmed, 175 U.S. 172, 20 S.Ct. 77, 44 L.Ed. 119 (1899); State v. Hipplewith, 33 N.J. 300, 316-318 (1960). 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. There is much dispute as to which view commands the support of ancient precedents, a question we think it would be profitless to explore.

Other jurisdictions are closely divided upon the retreat doctrine. It is said that the preponderant view rejects it. Perkins, Criminal Law 899 (1957); 1 Warren, Homicide § 157, at pp. 767-68 (perm. ed. 1938); Model Penal Code § 3.04, comment 3, at p. 24 (Tent. Draft No. 8, 1958). For additional discussions of the contending views see 1 Wharton, Criminal Law and Procedure § 235 (Anderson 1957); Annotation, 2 L.R.A. (N.S.) 49 (1906); Annotation, 18 A.L.R. 1279 (1922). Our Court of Errors and [70] Appeals deliberately adopted the retreat rule with an awareness of the contending views, State v. Di Maria, 88 N.J.L. 416 (Sup. Ct. 1916), affirmed o.b., 90 N.J.L. 341 (E. & A. 1917), and the doctrine has since been invoked. State v. Centalonza, 18 N.J. Super. 154 (App. Div. 1952); cf. State v. Goldberg, 12 N.J. Super. 293 (App. Div. 1951). The Model Penal Code embraces the retreat rule while acknowledging that on numerical balance a majority of the precedents oppose it. Model Penal Code § 3.04, comment 3, at p. 24 (Tent. Draft No. 8, 1958).

We are not persuaded to depart from the principle of retreat. We think it salutary if reasonably limited. Much of the criticism goes not to its inherent validity but rather to unwarranted applications of the rule. For example, it is correctly observed that one can hardly retreat from a rifle shot at close range. But if the weapon were a knife, a lead of a city block might well be enough. Again, the rule cannot be stated baldly, with indifference to the excitement of the occasion. As Mr. Justice Holmes cryptically put it, "Detached reflection cannot be demanded in the presence of an uplifted knife." Brown v. United States, 256 U.S. 335, 343, 41 S.Ct. 501, 65 L.Ed. 961, 963 (1921). Such considerations, however, do not demand that a man should have the absolute right to stand his ground and kill in any and all situations. Rather they call for a fair and guarded statement of appropriate principles.

In Brown, supra, the United States Supreme Court said (256 U.S., at p. 343, 41 S.Ct., at p. 502, 65 L.Ed., at p. 963):

"* * * Rationally the failure to retreat is a circumstance to be considered with all the others in order to determine whether the defendant went farther than he was justified in doing; not a categorical proof of guilt."

 

The comment to § 3.04 of the Model Penal Code (at p. 24) says the passage just quoted "seems to be a median position" and "would apparently remit the issue to the jury, without [71] a legal mandate on the point." We are not sure we correctly understand these observations. We think it clear that Brown accepted the retreat doctrine, but we do not read the opinion of Mr. Justice Holmes to mean that the subject should be submitted without guidance, thus permitting each jury to decide whether the subject of retreat should be considered, and if so, what the ingredients of the doctrine should be. We know of no jurisdiction which leaves to a jury the task of devising the legal principles. Rather we read Brown to hold only that the particular "formula laid down by the [trial] court" was not "adequate to the protection of the defendant's rights" (256 U.S., at pp. 342-343, 41 S.Ct., at p. 502, 65 L.Ed., at pp. 962-63) in the factual pattern which the defendant there asserted.

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)(iii). As defined in § 3.12(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."

Hence it is not the nature of the force defended against which raises the issue of retreat, but rather the nature of the force which the accused employed in his defense. If he does not resort to a deadly force, one who is assailed may hold his ground whether the attack upon him be of a deadly or some lesser character. Although it might be argued that a safe retreat should be taken if thereby the use of any force could be avoided, yet, as the comment in the Model Penal Code observes (at p. 23), "The logic of this position never has been accepted when moderate force is used in self-defense; here all agree that the actor may stand his ground and estimate necessity upon that basis." Cf. Prosser, Torts § 19, at p. 90 (2d ed. 1955); Restatement, Torts § 63 (1934). Hence, in a case like the present one, the jury should be instructed that Abbott could hold his ground when Nicholas [72] came at him with his fists, and also when Michael and Mary came at him with the several instruments mentioned, and that the question of retreat could arise only if Abbott intended to use a deadly force.

2. What constitutes an opportunity to retreat which will defeat the right of self-defense? As § 3.04(2)(b)(iii) 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. We add that upon a retrial the facts as developed in the light of this principle may be such that Abbott would be entitled to an instruction that if his version of the approach by Michael and Mary is accepted, the issue of retreat must be resolved in Abbott's favor.

3. There has been some uncertainty in the language of our cases upon the burden of proof with respect to self-defense. The decisions are treated in State v. Chiarello, 69 N.J. Super. 479 (1961), where the Appellate Division correctly said that although the burden is upon a defendant to adduce evidence to support the defense, yet if such evidence appears either in the State's case or upon the defendant's case, the issue must be left to the jury with this instruction: that the burden is upon the State to prove beyond a reasonable doubt that the defense is untrue, and hence there must be an acquittal if there is a reasonable doubt as to whether defendant did act in self-defense within the definition of that defense. Accordingly, if the issue of [73] retreat is raised in connection with the defense of self-defense, the jury should be instructed that the burden is also the State's to prove beyond a reasonable doubt that defendant knew he could have retreated with complete safety, and that if a reasonable doubt upon that question should exist, the issue of retreat must be resolved in defendant's favor.

C.

 

As we have said, the subject of retreat arises most often in homicide cases. It is equally pertinent if the charge is assault with intent to kill (N.J.S. 2A:90-2). State v. Centalonza, supra (18 N.J. Super. 154). Here the charge is atrocious assault and battery (N.J.S. 2A:90-1), a crime which involves vicious or brutal conduct. State v. Riley, 28 N.J. 188, 197-198 (1958), appeal dismissed and cert. denied, 359 U.S. 313, 79 S.Ct. 891, 3 L.Ed.2d 832 (1959). An intent to kill is not an ingredient of that offense, but an intent to do serious bodily harm would seem to be implicit. The doctrine of retreat reflects a policy with respect to the use of deadly force, and the same policy considerations equally obtain if the end result is something less than murder. The Appellate Division held the doctrine applicable to atrocious assault and battery. The comment to Article 3 of the Model Penal Code (at p. 3) expresses the same view, saying, "If the particular force, for example, would be unjustifiable in a prosecution for homicide it should be equally unjustifiable if the victim survives and what is charged is an assault." This seems sound, and hence an instruction upon the subject is appropriate in a trial for atrocious assault and battery, but the instruction should be expressly centered about the use of deadly force.

D.

 

We turn to the instruction of the trial court. It reads:

"* * * If you find the charges involved or either of them happened on the joint or common driveway and that the defendant [74] had an available opportunity to retreat and you also find that he was or appeared to be threatened by assault and battery with imminent danger of life or serious bodily harm, again there is no duty to retreat. On the other hand, under the latter circumstances, if you find that he did not appear to be threatened by assault and battery with imminent danger of life or great bodily harm, he had a duty to retreat and if he failed to retreat the defense of self-defense would not avail him and would not constitute a defense to these charges or any of these charges if you find that he had a duty to retreat."

 

It is at once apparent that the charge consists of abstract propositions, unanchored to the factual setting. It will be recalled the encounter had two phases, although one quickly followed the other. The first phase was an unarmed attack by Nicholas which Abbott met in kind; the second involved, as the jury could find, an attack or apparent attack by hatchet in the hands of Michael and by kitchen utensils allegedly wielded by Mary, both aided by Nicholas who had arisen from the initial punch. We have no way of knowing whether the jury understood Abbott was required to retreat when first assailed by Nicholas alone. The jury may well have so gathered since the instruction excluded self-defense "if you find that he [Abbott] did not appear to be threatened by assault and battery with imminent danger of life or great bodily harm," and of course Nicholas's attack with his fists readily fitted within those terms.

The State asks us to assume the jury understood an unarticulated premise, i.e., that the court was referring solely to the hatchet affair. If we could so assume, still under the instruction the obligation to retreat would depend upon the nature of the attack upon Abbott rather than the amount of force Abbott intended to employ. In short, there was no reference to the use of a deadly force by Abbott. And if we should read the charge in still another way, to wit, that the court was merely defining its prior reference to "an available opportunity" to retreat and hence meant that the opportunity was not "available" if retreat would have subjected Abbott to imminent danger to his life or of great bodily harm but was "available" if he could get away with [75] a hurt of lesser character, still the charge would be incorrect. This is so because there is no obligation to retreat unless retreat can be effected "with complete safety," and indeed with knowledge that retreat can be so effected. Further, upon that interpretation, the instruction would be devoid of any statement of the facts prerequisite for consideration of the subject, i.e., an intent by the defendant to use a deadly force.

We have said enough to indicate the insufficiency of the charge. Even upon study and restudy we are not sure we can extract the thesis the trial court held. A jury which listens to a single reading of an instruction cannot be expected to debate its meaning and reach a correct view of it. A charge should be a clear, unambiguous guide related to the evidence in the case. The conviction must be reversed.

II.

 

The record of Abbott's direct examination reads in part:

"Q. How much do you weigh, Mr. Abbott? A. At the present time?

Q. At the present time. A. Just close to 200 pounds, right now.

Q. Now, on July 15, 1957 [the date of the alleged crime] do you know how much you weighed? About July 15, not necessarily on that day, say within a few pounds either way. A. About 135, 140 pounds, I guess.

Q. Why was your weight so low at that time?

Mr. Loftus: I object on the ground it is irrelevant. I don't see any relevancy to this situation.

The Court: I will sustain the objection."

Defendant complains he was thereby barred from showing serious medical conditions, pertinent to his ability to defend with lesser force or to retreat with safety. The Appellate Division held defendant failed to comply with R.R. 1:5-1(a) in that he did not object to the ruling, and further held there was no manifest wrong or injury.

The cited rule reads in part:

"* * * Error in the admission or rejection of testimony, or in the charge of the court, or in the refusal to charge as requested by [76] the defendant, or in the denial by the court of any matter resting in discretion, or in any other ruling or order made during the course of the trial, shall be cause for reversal if specific objection thereto was made and it appears from the entire record of the proceedings had upon the trial that the defendant thereby suffered manifest wrong or injury." (Emphasis added)

Read literally, this rule would seem to require a specific objection to be stated after an offer of proof has been rejected, and some casual statements might be read to support that theme. State v. Gibson, 15 N.J. 384, 391 (1954); State v. Huff, 14 N.J. 240, 248 (1954); State v. Hogan, 20 N.J. Super. 1, 9 (App. Div. 1952). Thus understood, the rule could be thought to continue the discredited practice of former days under which error could not be asserted on appeal unless at the trial counsel had intoned "exception."

Our rules do not perpetuate mere ritual. Rather the purpose is to require a litigant to make known his position to the end that the trial court may consciously rule upon it. When that has happened, it would be pure ceremony to require some further protest. This view is embodied in R.R. 3:7-8, which reads as follows and in the light of which R.R. 1:5-1(a), quoted above, must be understood:

"Exceptions to rulings or orders of the court or instructions to the jury are not required in order to reserve the questions involved for review on appeal; and for all purposes for which an exception has heretofore been necessary it suffices that the defendant, at the time the ruling or order of the court is made or sought, makes known to the court the action which he desires the court to take or his objection to the action of the court and the grounds therefor; but if a party has no opportunity to object to a ruling or order, the absence of an objection shall not thereafter prejudice him."

 

Actually in the Tentative Draft (1948) of our rules, the provisions of this rule appeared in Rule 1:2-14(a), the forerunner of R.R. 1:5-1(a).

Applied to the admission and exclusion of evidence, these rules have this effect: If a litigant complains of the admission of evidence, he must show he objected to its receipt and stated the reasons for his opposition. If he did, no more is required to preserve his right to appellate [77] review. If the litigant complains of an exclusion of evidence, it is enough that his adversary's objection was upheld unless he refused an opportunity to tell the court why he thought the evidence should be admitted. Here Abbott complains of the exclusion of proof. The State objected to the offer as "irrelevant." If the trial court wished Abbott to explain his thesis, an opportunity to do so should have been given. The trial court did not, but rather, apparently satisfied it fully appreciated what was involved, upheld the State. We see no reason to require Abbott to utter "I object" or to attempt to argue against a ruling already announced. He made known the ruling he wished, i.e., admission of the evidence he offered. He did not decline an opportunity to enlighten the court. We are satisfied the alleged error is presented without recourse to the doctrine of "plain error."

There is a different question with which the one just discussed should not be confused. That question is whether a litigant must spread on the record the essence of what he would have proved but for the adverse ruling. R.R. 4:44-3 provides "the examining attorney may make a specific offer of what he expects to prove by the answer of the witness." The rule in terms applies to civil matters but is merely declaratory of prior good practice and should be observed as well in criminal proceedings. Without such disclosure, an appellate court cannot readily evaluate whether the exclusion, although erroneous, resulted in manifest wrong or injury. State v. Micci, 46 N.J. Super. 454, 458 (App. Div. 1957); see State v. Gambutti, 36 N.J. Super. 219, 233 (App. Div. 1955); New Jersey Highway Authority v. Rudd, 36 N.J. Super. 1, 5 (App. Div. 1955).

Of course the details of the proffered proof ultimately depend upon the integrity of counsel, and that being so, a representation first made on appeal might be argued to be no less meaningful. But the proffer should be made at trial, for at least the reason that the statement may well induce the trial judge to reconsider and perhaps to reverse his ruling.

[78] Our experience indicates widespread failure to place such offers upon the trial record. Indeed, frequently we receive our first glimpse in response to questions at oral argument. In the present case the disclosure first appeared in the brief on appeal, wherein we are told defendant wanted to prove serious injuries and illness from which he was in the process of recovery at the time of the alleged offense. The admissibility of such proof on the issues of excessive force and of retreat is too evident to require discussion. The question disallowed was on its face suggestive of proof of that kind. Since the judgment must be reversed for other reasons already given, we need not speak further of the sufficiency of the record. But we take this opportunity to remind the bar that a failure to spread the offer on the trial record may lead the appellate court to conclude that it cannot find the error was harmful.

III.

 

Abbott further urges the State could not move the indictment against him because prior thereto it had brought Michael Scarano to trial for assault with intent to kill him, which trial resulted in an acquittal. We think the Appellate Division correctly rejected this contention.

IV.

 

Since the case must be remanded, we refer to a ruling of which Abbott does not here complain, lest it be repeated at a retrial. During direct examination Abbott was asked, "At any time did you intentionally strike anybody with this ax?" The State objected "on the ground it is leading," and was sustained. Curiously, a question essentially the same had already been asked and answered. After that question was answered, the State objected without specifying any ground. The trial court replied, "I think it is admissible and is answered anyway. I will permit it to stand."

The objection that the question was "leading" was unsound. In a sense every question is "leading." If [79] interrogation did not lead, a trial would get nowhere. Indeed one vice of a question such as, "What is your position in this case?," is that it does not lead enough, and thus would deny the opposing party an opportunity to guard against the rankest kind of improper proof. A question must invite the witness's attention to something. No formula can be stated with confidence that it will embrace all situations. But it may be said that ordinarily a question is not improperly leading unless it suggests what the answer should be or contains facts which in the circumstances can and should originate with the witness. See generally McCormick, Evidence § 6 (1954); 3 Wigmore, Evidence §§ 769-72 (3d ed. 1940). The question whether Abbott intentionally struck any of the Scaranos with the ax was perfectly proper; we do not see how else it could be phrased. Cf. State v. Len, 108 N.J.L. 439, 440 (Sup. Ct. 1932).

Since the objection to the earlier question was not particularized, it is appropriate to add that questions addressed to the mental operations of a defendant are thoroughly proper when such operations are an ingredient of the State's case or of a defense. See State v. Myers, 7 N.J. 465, 483 (1951); State v. Len, supra (108 N.J.L. 439). Relevancy and materiality are obvious. And a defendant's competency to testify thereto is equally plain. Indeed no one knows better than he. Of course, he may not be believed, but his self-interest is not a bar, and has not been since the demise of the common-law rule which denied the stand to a party to a controversy. See 2 Wigmore, Evidence § 579, at p. 701 (3d ed. 1940).

The judgment is reversed and the matter remanded for further proceedings not inconsistent herewith.

For reversal and remandment — Chief Justice WEINTRAUB, and Justices JACOBS, FRANCIS, PROCTOR, HALL, SCHETTINO and HANEMAN — 7.

For affirmance — None.

10.1.7 State v. Boyett 10.1.7 State v. Boyett

2008-NMSC-030

185 P.3d 355

STATE of New Mexico, Plaintiff-Appellee, v. Cecil BOYETT, Defendant-Appellant.

No. 29,730.

Supreme Court of New Mexico.

April 28, 2008.

*185John Bigelow, Chief Public Defender, Sheila Lewis, Assistant Appellate Defender, Santa Fe, NM, for Appellant.

Gary K. King, Attorney General, Jacqueline R. Medina, Assistant Attorney General, Santa Fe, NM, for Appellee.

OPINION

SERNA, Justice.

{1} Defendant Cecil Boyett appeals from his conviction for the first degree murder of Deborah Rhodes (Victim), contrary to NMSA 1978, Section 30-2-1(A) (1963, as amended through 1994). He alleges that the trial court erred in refusing to instruct the jury on his theory of the case and in denying his motion for a new trial. We discern no error and affirm Defendant’s conviction.

*186I. BACKGROUND

{2} Defendant and Victim had a rancorous history. The enmity that each harbored for the other apparently had its roots in a romantic interest that both had in Renate Wilder (Wilder).

{3} Wilder and Victim were childhood friends who eventually moved in together and started an intimate relationship. Although their romance ended, the two remained close friends, living and working together. Wilder later met Defendant, and the two became romantically involved. Wilder eventually supplanted Victim’s presence in her life with that of Defendant. She fired Victim from her bar and gave Victim’s former job to Defendant. She ousted Victim from her home with the help of a restraining order and invited Defendant to move in. At one point, Victim discovered the entwined couple near the hot tub behind Wilder’s house. Enraged, Victim retrieved a gun from the house and used it to threaten the couple. Disdain developed between Defendant and Victim, and Victim only occasionally returned to Wilder’s home after she was forced out.

{4} Following a protracted courtship, Wilder and Defendant planned to marry on February 6, 2004. A few days prior to her wedding, Wilder absconded from the home that she shared with Defendant. She spent that time with Victim and did not tell Defendant where she was or what she was doing. Wondering as to her whereabouts, Defendant engaged in a variety of activities aimed at locating her but was unsuccessful in his attempts; he rightfully suspected that she was with Victim although he was unable, at that time, to confirm his suspicions.

{5} On the afternoon of February 5, 2004, Wilder departed Victim’s company to return to her own home but had a car accident along the way. The accident occurred near Victim’s residence and, for a variety of reasons, Victim offered to claim responsibility for it. Wilder accepted and departed the scene on foot, walking back to the house that she shared with Defendant. Shortly after Wilder returned to the house, Victim arrived. Victim’s visit concluded when Defendant shot her in the head with a .357 revolver from approximately four feet away, but the events leading to that end were disputed at trial.

{6} The State successfully argued to the jury that Defendant hated Victim, was furious with her for having kept Wilder away without telling him about it, and shot her that afternoon to put an end to her meddling in the couple’s affairs. The State theorized that Victim went to the house to return Wilder’s keys and makeup bag, which she had forgotten in the wrecked car. The State argued that before Victim could accomplish that goal, Defendant opened the front door, shouted at her to leave the property, and then immediately shot her.

{7} Defendant’s version of events was quite different. He claimed that Victim came to the house that day intent on killing him to prevent his impending marriage to Wilder. Defendant testified that he heard a loud banging at the front door, grabbed the gun that he kept nearby, and opened the door only to find a furious Victim on the doorstep. Defendant said that he shouted at Victim, telling her to get off his property, but in the process of trying to run her off, he observed her draw the gun that he knew she routinely carried. In fear for his life, Defendant raised his revolver and shot Victim. Defendant asserted that if he had not shot her, she would have fired her gun and fatally wounded him.

{8} Defendant had two theories of the ease. First, he argued that he was not guilty because he acted lawfully in shooting Victim, either in self defense, defense of another, or defense of habitation. Second, he argued that he was not guilty because he was unable to form the specific intent necessary to commit first degree murder. To establish his theory that he lacked specific intent, Defendant filed a Notice of Incapacity to Form Specific Intent (Notice) with the trial court. Although his Notice listed three expert witnesses who could have testified in support of the defense, Defendant did not produce an expert witness at trial. The expert that Defendant expected to testify regarding his specific intent, Dr. Lori Martinez, withdrew on the eve of her scheduled testimony after receiving police reports and other records from the State. Defendant did not offer testimony from the other experts listed in his Notice, nor did he *187seek a continuance to procure such testimony.

{9} Defendant requested that the jury be instructed on both theories. The trial court concluded that the jury instruction related to defense of habitation, UJI 14-5170 NMRA, did not apply in this case because Defendant did not shoot Victim inside his home. The trial court denied Defendant’s instruction on inability to form specific intent, UJI 14-5110 NMRA, because it required expert testimony and none had been provided. Based on the instructions that it was given, the jury convicted Defendant of first degree murder.

{10} After the verdict, Defendant filed a motion for a new trial. He alleged that he was surprised by Dr. Martinez’s withdrawal and was unable to replace her when she refused to testify. Defendant also contended that the State had intimidated Dr. Martinez by providing her with the previously unseen reports and statements. Defendant argued that he was “without the ability to obtain another expert to testify to [the specific intent] matter,” and thus he should be granted a new trial in which he could offer such expert testimony. The trial court denied Defendant’s motion for a new trial and sentenced him to life in prison.

{11} Defendant is now before this Court on direct appeal. See N.M. Const, art. VI, § 2 (“Appeals from a judgment of the district court imposing a sentence of ... life imprisonment shall be taken directly to the supreme court.”); accord Rule 12-102(A)(1) NMRA. He challenges the trial court’s refusal to instruct the jury on defense of habitation and inability to form specific intent, as well as its denial of his motion for a new trial. Concluding that the trial court made the proper ruling on those issues, we affirm Defendant’s conviction. We write to clarify the law governing defense of habitation and to elucidate the evidentiary requirement for a jury instruction on inability to form specific intent.

II. DEFENDANT WAS NOT ENTITLED TO THE REQUESTED JURY INSTRUCTIONS

A. Standard of Review

{12} “The propriety of denying a jury instruction is a mixed question of law and fact that we review de novo.” State v. Gaines, 2001-NMSC-036, ¶ 4, 131 N.M. 347, 36 P.3d 438. A defendant is entitled to an instruction on his or her theory of the case if evidence has been presented that is “sufficient to allow reasonable minds to differ as to all elements of the offense.” State v. Gonzales, 2007-NMSC-059, ¶ 19, 143 N.M. 25, 172 P.3d 162. “When considering a defendant’s requested instructions, we view the evidence in the light most favorable to the giving of the requested instructions].” State v. Contreras, 2007-NMCA-119, ¶ 8, 142 N.M. 518, 167 P.3d 966 (alternation in original) (quoted authority omitted). Failure to instruct the jury on a defendant’s theory of the case is reversible error only if the evidence at trial supported giving the instruction. See State v. Gardner, 85 N.M. 104, 107, 509 P.2d 871, 874 (1973) (“[T]he court need not instruct if there is absence of such evidence.”).

{13} We address Defendant’s claim to each of the requested instructions in turn.

B. Defense of Habitation

{14} The trial court denied the defense of habitation instruction based on its conclusion that the defense applies to only those situations in which an intruder is killed within the home. Picking up the torch lit by the trial court, the State now argues that the defense should be limited to situations in which a person forcibly enters a home and is killed while intruding therein. By that argument, the State seeks our endorsement of a bright line rule that would require an intruder to cross the threshold before an occupant’s use of force to repel that entry could be justified by defense of habitation. Despite the State’s contention, we are unwilling to draw such a bright line.

{15} Defense of habitation has long been recognized in New Mexico. See, e.g., State v. Bailey, 27 N.M. 145, 162-63, 198 P. 529, 534 (1921). It gives a person the right to use lethal force against an intruder when such force is necessary to prevent the commission of a felony in his or her home. Id. at 162, 198 P. at 534; see also UJI 14-5170. *188The defense is grounded in the theory that “[t]he home is one of the most important institutions of the state, and has ever been regarded as a place where a person has a right to stand his [or her] ground and repel, force by force, to the extent necessary for its protection.” State v. Couch, 52 N.M. 127, 134, 193 P.2d 405, 409 (1946) (quoted authority omitted). Ultimately, in every purported defense of habitation, the use of deadly force is justified only if the defendant reasonably believed that the commission of a felony in his or her home was immediately at hand and that it was necessary to kill the intruder to prevent that occurrence. Id. at 133-34, 193 P.2d at 409; see also UJI 14-5170.

{16} This Court has refused to extend the defense to situations in which the victim was fleeing from the defendant, Gonzales, 2007-NMSC-059, ¶ 22, 143 N.M. 25, 172 P.3d 162, as well as situations in which the victim had lawfully entered the defendant’s home, see State v. Abeyta, 120 N.M. 233, 244, 901 P.2d 164, 175 (1995) (abrogated on other grounds by State v. Campos, 1996-NMSC-043, 122 N.M. 148, 921 P.2d 1266). But our courts have never held that entry into the defendant’s home is a prerequisite for the defense. On the contrary, the seminal New Mexico case on defense of habitation was clear that, in certain circumstances, it may justify an occupant’s use of lethal force against an intruder who is outside the home. Bailey, 27 N.M. at 162, 198 P. at 534.

{17} In addition to providing a defense for the killing of an intruder already inside the defendant’s home, Bailey explained that defense of habitation justifies killing an intruder who is assaulting the defendant’s home with the intent of reaching its occupants and committing a felony against them. Id. Protecting a defendant’s right to prevent forced entry necessitates that the defense apply when an intruder is outside the home but endeavoring to enter it. See id. This interpretation of defense of habitation is supported by Couch, where the defendant fired a shotgun from within his home at an intruder who was outside, pelting the home with rocks. 52 N.M. at 130, 193 P.2d at 406. Prior to the night of the shooting, the defendant’s home had repeatedly been broken into, which caused he and his wife to “suffer intensely from apprehension of violence at the hands of the unknown intruder.” Id. at 130, 139, 193 P.2d at 406, 412. When the later assault on their home occurred, both the defendant and his wife believed that the attackers were the same people who had previously broken in. Id. at 139, 193 P.2d at 412. This Court concluded that, even though the victim was killed outside the home, the defendant was entitled to an instruction on defense of habitation because he could reasonably have believed that the person attacking it intended to enter and commit violence against the occupants. See id. at 140, 145, 193 P.2d at 412-13, 416.

{18} The proposition that defense of habitation allows one to kill to prevent an intruder’s forced entry is well supported by the law in other jurisdictions and treatises on the subject. See, e.g., People v. Curtis, 30 Cal. App.4th 1337, 37 Cal.Rptr.2d 304, 318 (Ct. App.1994) (“Defense of habitation applies where the defendant uses reasonable force to exclude someone he or she reasonably believes is trespassing in, or about to trespass in, his or her home.” (emphasis added)); State v. Avery, 120 S.W.3d 196, 204 (Mo. 2003) (en banc) (“[D]efense of premises ... authorizes protective acts to be taken ... at the time when and place where the intruder is seeking to cross the protective barrier of the house.” (emphasis added) (quoted authority omitted)); State v. Blue, 356 N.C. 79, 565 S.E.2d 133, 139 (2002) (“[U]nder the defense of habitation, the defendant’s use of force ... would be justified to prevent the victim’s entry...” (emphasis added)); State v. Rye, 375 S.C. 119, 651 S.E.2d 321, 323 (2007) (“[T]he defense of habitation provides that where one attempts to force himself into another’s dwelling, the law permits an owner to use reasonable force to expel the trespasser.” (emphasis added)); see also 40 C.J.S. Homicide § 164 (2006) (“People may defend their dwellings against those who endeavor by violence to enter them and who appear to intend violence to persons inside....” (emphasis added)); 2 Wharton’s Criminal Law § 131 (15th ed. 1994) (“When a dwelling house is entered or attempted to be entered by force ... the occupant may use deadly *189force, if reasonably necessary, to prevent or terminate such entry.’! (emphasis added)).

{19} Based on our precedent and the authorities cited above, we cannot accept the position that defense of habitation requires an intruder to cross the threshold of the defendant’s home. Instead, we emphasize that a person has a right to defend his or her residence not only when an intruder is already inside the home, but also when an intruder is outside the home and attempting to enter to commit a violent felony. Bailey, 27 N.M. at 162, 198 P. at 534.

{20} We recognize that “[t]he term felony in former times carried a connotation of greater threat than” it does today. State v. Pellegrino, 577 N.W.2d 590, 596 (S.D.1998). “In the common law, the rule developed that use of lethal force to prevent a felony was only justified if the felony was a forcible and atrocious crime.” Id. (quoted authority omitted). Felonies are no longer constrained to forcible and atrocious crimes, and were we not to update Bailey’s “felony” language, defense of habitation may apply to situations in which an intruder attempts to force entry into a home with the purpose of committing a non-violent felony, such as bribing a public official therein. See NMSA 1978, § 30-24-1 (1963) (bribing a public official is a third degree felony). Seeking to avoid such absurdity, we turn to our prior decisions to determine the meaning of “felony” as it is used in the defense of habitation context.

{21} As noted above, the defendant in Couch was entitled to an instruction on defense of habitation because he could have reasonably believed that the people who were attacking his home intended violence against its occupants. See 52 N.M. at 140, 193 P.2d at 412-13. Later, in Abeyta, this Court held that the defendant did not qualify for a defense of habitation instruction because, among other things, no evidence had been presented that the victim “enter[ed] the house in order to commit a felony involving violence.” 120 N.M. at 244, 901 P.2d at 175. Those authorities show that the term “felony” in the defense of habitation context is properly limited to those felonies involving violence. In other words, the felony that the defendant acted to prevent must have been one that would have resulted in violence against the occupants were it not' prevented; in the event of any other felony, a defense of habitation instruction would be unwarranted. See Bailey, 27 N.M. at 162-63, 198 P. at 534 (“[I]t is not true that a [person] may kill another in his [or her] house when under the same circumstances of danger, or apparent danger, to person or property, he [or she] would not be justified in killing outside [the] house.”); see also Pellegrino, 577 N.W.2d at 596 (“[P]eople may defend their dwellings against those who endeavor by violence to enter them and who appear to intend violence to persons inside.”).

{22} Because defense of habitation is not restricted to instances in which the victim is killed inside the defendant’s home, the trial court in this case erred when it excluded the instruction on that ground. Defendant would have been entitled to an instruction on the defense if some evidence reasonably tended to show that he killed Victim to prevent her from forcing entry into his home and committing a violent felony once inside. Thus, the question we must now answer is whether, when viewed in the light most favorable to giving the instruction, the evidence supports that theory. We decide that it does not.

{23} Defendant asserts that the following evidence is enough to support his theory that he had a reasonable belief that killing Victim was necessary to prevent a felony from occurring within his home: (1) Victim hated Defendant; (2) she knocked on the door to Defendant’s home; (3) she had threatened him with a gun in the past; (4) she was furious that the couple was to be married the next day; and (5) she always carried a loaded gun. Absent from that evidence is any demonstration that Victim was “endeavorpng] by violence to enter” his home or that she “intend[ed] violence to persons inside.” 40 C.J.S. Homicide § 164. Assuming that Defendant reasonably believed that Victim intended to commit a felony in his home, defense of habitation would have justified his actions only if he could show that Victim was attempting to force entry to his home. For example, if the evidence showed that Victim was trying to break through De*190fendant’s front door at the time he killed her, defense of habitation would apply. However, under the facts of this case, there is no evidence reasonably tending to support the theory that Victim was attempting to force entry at the time Defendant killed her. After knocking on the door, Victim had retreated some four feet from it and was waiting for it to open. No evidence shows that, at the time she was killed, Victim was attempting to gain entry to Defendant’s home with the intent to commit a violent felony therein.

{24} Defendant’s argument seems to assert that he should have received the instruction because he could have reasonably believed that Victim was going to shoot him and then enter his home to continue the shooting. While that theory justifies the instructions that Defendant received on self defense, see UJI 14-5171 NMRA, and defense of another, see UJI 14-5172 NMRA, it does not give rise to an instruction on defense of habitation because it does not allege any attempted forced entry on Victim’s part.

{25} Because there is no evidence to support the theory that Defendant killed Victim in defense of his habitation, refusing the instruction was not in error. Although the trial court erred in its reasons for denying the instruction, the end result of its ruling was correct, and thus we affirm. See Meiboom v. Watson, 2000-NMSC-004, ¶ 20, 128 N.M. 586, 994 P.2d 1154 (“[E]ven if the district court offered erroneous rationale for its decision, it will be affirmed if right for any reason.”).

C. Inability to Form Specific Intent

{26} At trial, Defendant theorized that the organic brain damage he suffered years earlier caused him some mental disease or disorder that made him incapable of forming the requisite intent for first degree murder. He did not offer expert witness testimony to support his theory, and, based on the absence of such testimony, the trial court refused to instruct the jury on that theory. Defendant now challenges that ruling, alleging that the instruction does not require expert testimony, and therefore that the trial court erred in denying the instruction.

{27} The defense of inability to form specific intent allows a defendant to avoid culpability for willful and deliberate murder whenever he or she was unable to form the specific intent required to commit the crime. See State v. Padilla, 66 N.M. 289, 295, 347 P.2d 312, 316 (1959); see also UJI 14-5110. The defense requires “evidence of the condition of the mind of the accused at the time of the crime, together with the surrounding circumstances, ... to prove that the situation was such that” the defendant was unable to form specific intent, and thus lacked “any deliberate or premeditated design.” Padilla, 66 N.M. at 295, 347 P.2d at 316 (emphasis and quoted authority omitted). It applies in two situations: (1) when the defendant was intoxicated from the use of alcohol or drugs and (2) when the defendant suffered from a mental disease or disorder. Id.; see also UJI 14-5110. It is the latter that concerns us in this ease.

{28} This Court has previously recognized that expert testimony is not required when the alleged cause of the defendant’s inability to form specific intent is within the realm of common knowledge and experience. See State v. Privett, 104 N.M. 79, 82, 717 P.2d 55, 58 (1986) (holding that expert testimony is not required for jury to understand how defendant’s intoxication may have interfered with his ability to form specific intent because “lay [persons] are capable of assessing the effects of intoxication as a matter within their common knowledge and experience”). Our Court of Appeals has explained that to establish an inability to form specific intent defense, the “defendant ha[s] the burden of introducing at least some competent evidence to support his [or her] claim” and “even the opinion testimony of nonexperts [can] provide the necessary competent evidence.” State v. Najar, 104 N.M. 540, 543, 724 P.2d 249, 252 (Ct.App.1986). Thus, Defendant is correct insofar as he argues that the inability to form specific intent instruction does not require expert testimony, per se. However, Defendant errs by contending that nonexpert testimony will always suffice. When understanding the purported cause of a defendant’s inability to form specific intent goes beyond common knowledge and experience and requires scientific or specialized *191knowledge, lay witnesses are not qualified to testify and expert testimony is required.1 Cf. State v. Day, 2008-NMSC-007, ¶ 31, 143 N.M. 359, 176 P.3d 1091 (requiring scientific retrograde extrapolation evidence to prove defendant’s earlier BAC based on later-obtained BAC test results because lay witness testimony regarding behavioral evidence is insufficient).

{29} In this ease, Defendant argued that his organic brain damage caused his inability to form specific intent. In many cases, such a connection between a defendant’s medical condition and its effect on his or her ability to form specific intent will have to be established by expert testimony because the question often involves complicated medical issues that are beyond the realm of common knowledge and experience. The trial court viewed this case as one in which expert testimony was necessary to link Defendant’s injury to his inability to form the requisite intent, and Defendant has not persuaded us that the trial court was wrong in that conclusion.

{30} Although Defendant contends that his prior nursing experience qualified him as an expert capable of testifying about the cause of his inability to form specific intent, Defendant was never qualified as an expert at trial, and, regardless of whether he could have been so qualified, his testimony about his injury did not establish its effect on his capacity to form specific intent. When an inability to form specific intent defense is based on a mental disease or disorder, an instruction “is proper only when there is evidence that reasonably tends to show that the defendant’s claimed mental disease or disorder rendered the defendant incapable of forming specific intent at the time of the offense.” State v. Balderama, 2004-NMSC-008, ¶ 38, 135 N.M. 329, 88 P.3d 845. The only evidence that Defendant presented linking his organic brain damage to his inability to form specific intent was his own testimony regarding his injury. Defendant testified in detail about a head injury that he had suffered; that he had organic brain damage; that he had problems with amnesia; that he underwent various therapies to recover from his brain injury; that he had been on several different medications; and that his friends sometimes thought he “was out in left field.” Neither Defendant nor any other witness testified about how those facts showed that he was unable to form the requisite intent at the time of the offense, and thus the evidence did not reasonably tend to show that Defendant was unable to form specific intent at the time of the murder. Therefore, we hold that the trial court properly refused to instruct the jury on inability to form specific intent.

III. THE TRIAL COURT PROPERLY DENIED DEFENDANT’S MOTION FOR A NEW TRIAL

{31} Finally, Defendant argues that the trial court erred in refusing to grant him a new trial so that he could present expert witness testimony regarding his inability to form a specific intent defense. We review for abuse of discretion. State v. Chavez, 98 N.M. 682, 684, 652 P.2d 232, 234 (1982).

{32} Defendant argues that the absence of expert testimony concerning his inability to form specific intent resulted in prejudicial error, and thus he is entitled to a new trial. In so doing, he relies heavily on Balderama, in which the trial court excluded expert witness testimony about the defendant’s ability to form specific intent. 2004-NMSC-008, ¶ 18, 135 N.M. 329, 88 P.3d 845. This Court held that excluding the evidence constituted reversible error. Id. ¶2. Analogizing his case to Balderama, Defendant claims in his reply brief that “[t]he only difference between the cases is the reason why the expert could not testify.” Defendant’s reliance Balderama misses the mark. In Balderama, the trial court excluded the expert testimony. Id. In the instant case, Defendant’s expert witness refused to testify on her own accord, and Defendant did not mitigate the loss by *192subpoenaing her or moving for a continuance to secure a replacement expert.

{33} The facts of this case more closely resemble those in State v. Torres, in which this Court granted the defendant a new trial because one of his witnesses failed to testify. 1999-NMSC-010, ¶¶ 1, 6, 9, 127 N.M. 20, 976 P.2d 20. In Torres, when the defendant’s witness did not appear despite having been subpoenaed, he moved for a continuance. Id. ¶ 6. The trial court denied that continuance, which this Court held to be reversible error. Id. ¶ 9. The distinguishing factor between the instant case and Torres is that the defendant in Torres moved for a continuance due to the witness’s absence, whereas here Defendant simply proceeded with trial. After Dr. Martinez refused to testify, Defendant never subpoenaed her or any other expert to testify about his inability to form specific intent, nor did he move for a continuance to secure such testimony.

{34} The record shows that Defendant was on notice that Dr. Martinez might change her opinion in light of the material that the State planned to provide her and that she would not “testify on limited information.” Dr. Martinez also advised the parties that it would be wise to obtain another expert’s opinion about Defendant’s inability to form specific intent, and Defendant had named two other experts on his pretrial Notice that he could have called to testify on the matter. Once he became aware that Dr. Martinez would not testify, Defendant could have moved for a continuance to secure testimony from another expert and Torres would have supported that motion. See id. ¶ 9. However, Defendant chose not to do so.

{35} Furthermore, during the hearing on his motion for a new trial, Defendant merely speculated that he could have found an expert willing to testify about his inability to form specific intent. He did not submit a written diagnosis or evaluation supporting his inability to form specific intent claim, nor did he offer an expert’s testimony or affidavit to that effect. Ultimately, as the State points out, Defendant presented no expert testimony to support his inability to form specific intent claim because he did not pursue the options available to him by which he could have obtained such testimony. And, equally important, Defendant has never demonstrated that, with sufficient time, he could have presented an expert to testify about his diminished capacity. Therefore, we are left to speculate about any prejudice to Defendant caused by his counsel’s decision not to request a continuance.

{36} We conclude that the trial court did not abuse its discretion in denying the motion for a new trial, and we will not disturb its ruling.

IV. CONCLUSION

{37} Based on the forgoing analysis, we affirm Defendant’s conviction.

{38} IT IS SO ORDERED.

WE CONCUR: EDWARD L. CHÁVEZ, Chief Justice, RICHARD C. BOSSON, Justice, and RICHARD E. RANSOM (Pro Tem).

10.2 What Is Reasonable? 10.2 What Is Reasonable?

10.2.1 People v. Goetz 10.2.1 People v. Goetz

68 N.Y.2d 96 (1986)

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

Court of Appeals of the State of New York.

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

 

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

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

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

[99] Chief Judge WACHTLER.

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

I.

 

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

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

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

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

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

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

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

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

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

II.

 

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

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

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

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

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

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

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

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

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

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

III.

 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

IV.

 

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

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

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

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

Order reversed, etc.

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

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

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

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

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

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

10.2.2 Notes and Questions (People v. Goetz) 10.2.2 Notes and Questions (People v. Goetz)

By Cydney Chilimidos and Zachary Nemirovsky

Notes & Questions

1. Who are the Goetz Victims? For a little context regarding who the victims of the Goetz case are, check out this 12 minute story told by Brock Grant, a friend of the victims. Grant speaks on the plans the five youths had made that day and how the tragedy unfolded, profoundly impacting his life.

2. Aftermath. With the reinstatement of the indictment, Goetz went to trial. The jury was composed of eight men and four women, ten whites and two African-Americans. The jury acquitted Goetz of all charges except for possession of a concealed weapon, for which he received a one-year jail sentence. Goetz was released from jail after eight months.

  In 1996, during a civil suit by Darrel Cabey (who was permanently paralyzed in the shooting) a six-member civil jury, with four African-Americans and two Hispanics, found Goetz liable and ordered a payment of 18 million dollars in compensatory damages and 25 million dollars in punitive damages. Goetz, however, declared bankruptcy and never paid. In 2017, he was still living in the same apartment on 14th Street as he was back in the 1980s.

  Episode two of the Netflix docuseries Trial By Media covers these events.

3. Reasonable Belief. The court makes clear that the “reasonable belief” standard is an objective one, and yet simultaneously clarifies that the objective standard “must be based on the ‘circumstances’ facing a defendant or his ‘situation.’” In your view, do any of the following matter in determining whether a reasonable person would have believed they were in serious danger: (1) if two of the youths were armed with screwdrivers, of which Goetz had no knowledge; (2) that Goetz had previously been mugged; (3) the clothing that the youths were wearing (for example, suits and ties as opposed to clothing identified with gangs); (4) that one of them said, “give me five dollars”; (5) that Goetz was a middle-aged white male; and (6) that the victims were young, African-American males?

4. Race - An Implicit or Explicit Role? Should race play an explicit factor in whether a reasonable person would believe themselves to be in danger? Whether or not it should, it often plays at least an implicit factor.

  For example, in the criminal trial of Goetz, race was never explicitly mentioned during the trial.1 Goetz’s attorney instead appealed to the “Black-as-criminal” stereotype in a covert manner, such as by referring to the four victims as “savages,” “predators,” “vultures,” and a “gang of four.”2 When re-creating the subway shooting for the jury, Goetz’s attorney also used implicit racial bias by having four young, fit, large, muscular Black men, dressed in T-shirts, play the parts of the victims.3 In Goetz, the jury instructions did not mention race as a factor for reasonableness.

  By contrast, consider the civil suit between Goetz and Cabey.4 Although issues of race and racism were never directly argued at the criminal trial, they were explicitly explored in the civil case.5 By using character evidence of racism, the attorneys for Cabey were able to paint a picture of the motivations underlying Goetz’s attack, and thereby counterbalance the defense’s appeals to racial stereotypes. The civil case thus painted a very different picture of the events surrounding the subway shooting precisely because race was made explicit, rather than avoided.

5. Reasonable Racism? Can racism ever be reasonable in the context of self-defense? Consider the excerpt from the following article, Race Ipsa Loquitur: Of Reasonable Racists, Intelligent Bayesians, and Involuntary Negrophobes by Jody D. Armour.

     The Reasonable Racist asserts that, even if his belief that blacks are “prone to violence” stems from pure prejudice, he should be excused for considering the victim’s race before using force because most similarly situated Americans would have done so as well. * * * With regard to his claim that average Americans share his fear of black violence, the Reasonable Racist can point to evidence such as a 1990 University of Chicago study which found that over 56 percent of Americans consciously believe that blacks tend to be “violence-prone.” 

The flaw in the Reasonable Racist’s self-defense claim lies in his primary assumption that the sole objective of criminal law is to punish those who deviate from statistically defined norms. If we accept that racial discrimination violates contemporary social morality, then an actor’s failure to overcome his racism for the sake of another’s health, safety, and personal dignity is blameworthy and thus unreasonable, independent of whether or not it is “typical.” * * *

A second argument which a defendant may advance to justify acting on race-based assumptions is that, given statistics demonstrating blacks’ disproportionate involvement in crime, it is reasonable to perceive a greater threat from a black person than a white person, categorized by economist Walter Williams as the intelligent Bayesian. However, a Harvard Law Review survey of race and the criminal process, for example, found that “[a]n examination of empirical studies suggests * * * that racial discrimination by police officers in choosing whom to arrest most likely causes arrest statistics to exaggerate what differences might exist in crime patterns between blacks and whites, thus making any reliance on arrest patterns misplaced.” * * *

* * * In contrast to both the “Reasonable Racist” (whose fear of blacks stems from and is reinforced by the mass media and traditional racial myths) and the “Intelligent Bayesian” (whose racial fears rest on crime statistics), [is a] fear emerg[ing] after a violent personal assault. To what extent, then, should such “involuntary negrophobia” be relevant to claims of self-defense?

* * * The doctrinal foundation of the negrophobe’s claim is the widely accepted “subjective” test of reasonableness, which takes into account both the defendant’s past experiences and the psychological effects of those experiences. Under this standard of reasonableness, the factfinder compares the defendant’s judgments not to those of a typical person drawn from the general population, but to those of a person in the situation of the defendant. Thus, as long as a “typical” person could develop the same misperceptions as did the defendant under exposure to the same external forces, the defendant’s misperceptions will be found reasonable.* * *

* * * [But, we ought to be] concerned * * * were the courts to sanction the claim that race-based fear can be so involuntary as to provide a basis of exculpation. To accept such a claim, the courts would have to equate racism with recognized judgment-impairing conditions--such as insanity and youthfulness--which, when successfully invoked, justify a “not guilty determination.” * * *

* * * Blacks, already concerned with a perceived dual-standard operating in the court system, would justifiably perceive the courts’ crediting of such claims as the advent of a new legal loophole potentially enabling racists to express their venomous prejudices without consequence. Furthermore, to the extent that the legal system signals to either reasonable or “pathological” racists that they may act without fear of serious consequences, it may ultimately inhibit blacks’ full participation in society.

6. The Result for Communities of Color. Consider the following excerpt on what acknowledging racism as an acceptable reason for self-defense perpetuates. It’s Ten O’clock and I Worry About Where My Husband Is, Glamour by Rosemary L. Bray.

     He phoned more than an hour ago, to say he was on his way home. But I have yet to hear the scrape of the iron gate, the rattling keys, so I worry.

     Most married women fret about a tardy husband; young black women like myself worry more. For most people in New York—truth be told—the urban bogeyman is a young black man in sneakers. But we live in Central Harlem, where every young man is black and wears sneakers, so we learn to look into the eyes of young males and discern the difference between youthful bravado and the true dangers of the streets. No, I have other fears. I fear white men in police uniforms; white teenagers driving by in a car with Jersey plates; thin panicky, middle-aged white men on the subway. Most of all, I fear that their path and my husband’s path will cross one night as he makes his way home.

    Bob cracks his knuckles a lot, and wears a peculiar grimace when his mind is elsewhere. He looks dear and gentle to me—but then, I have looked into those eyes for a long time. I worry that some white person will see that grim, focused look of concentration and see the intent to victimize. I fear that some white person will look at him and see only his or her nightmare—another black man in sneakers. In fact, my husband is another black man in sneakers. He’s also a writer, an amateur cyclist, a lousy basketball player, his parents’ son, my life’s companion.

     Once upon a time, I was vaguely ashamed of my paranoia about his safety in the world outside our home. After all, he is a grown man. But he is a grown black man on the streets alone, a menace to white New Yorkers—even the nice, sympathetic, liberal ones who smile at us when we’re together. And I am reminded, when white people are ruled by their fears of everything black, every black woman is an addict, a whore; every black man is a rapist—even a murderer. * * *

     So when it’s ten o’clock and he’s not home yet, my thoughts can’t help but wander to other black men—husbands, fathers, sons, brothers—who never do make it home, and to other black women whose fingers no longer rest at a curtain’s edge. Even after I hear the scrape of our iron gate, the key in the lock, even after I hear that old knapsack hit the floor of the downstairs hallway and Bob’s voice calling to me, my thoughts return to them.6

7. Another Vigilante Killing. In 2012, George Zimmerman shot and killed Trayvon Martin. All of the facts that follow are taken from an archive of the trial. Martin, a 17-year-old African American teen, was wandering a rainy neighborhood in Sanford, Florida, talking on the phone to a friend from Miami. George Zimmerman lived in the neighborhood and had started a “neighborhood watch” program after a series of burglaries.

  Zimmerman saw Martin around the neighborhood and called 9-1-1. When told that an officer was on their way, Zimmerman replied “These assholes, they always get away." When Martin started to leave, Zimmerman followed him in his car, despite the dispatcher saying “we don't need you to do that." An altercation followed. Zimmerman claimed he was knocked to the ground and Martin was on top of him, hitting him in the face and head repeatedly. Zimmerman then shot and killed Martin. A neighbor heard cries of help and called 9-1-1, and on the recording cries of “Help! Help! Help!” can be heard. Martin’s phone had also been dropped during the altercation, and before it cut off, his friend told a different story - saying she could clearly hear that Martin (not Zimmerman) was yelling “Get off, get off!” before the phone shut off.

  Ultimately, Zimmerman shot Martin with his gun, telling jurors that he thought Martin had been reaching for it. At first, the Sanford police closed the case as one of self-defense, until public outcry reignited the investigation. “On March 22, Sanford police chief Bill Lee was placed on paid leave. The following day, State Attorney Angela Corey, appointed by Florida Governor Rick Scott as a special prosecutor, began an independent review of the evidence.” This eventually led to the clear showing that Zimmerman’s pursuit of Martin, if nothing else, was racially motivated, and led to a trial.

  The jury consisted of six women, five white and one who identified as Hispanic. At trial, Zimmerman was acquitted. What happened? Lisa Bloom, a trial attorney and NBC News analyst who covered the murder trial, wrote that the State of Florida lost a “winnable.” Among other things, she noted that the prosecution should have pushed back on claims such as that Martin was “going for” Zimmerman’s gun, which was holstered to his backside and would have been under him if he were truly pinned to the ground.

  Perhaps most importantly, she said that the prosecution erred by attempting "to stay a million miles away" from the "race issue."7 The defense “comfortably handled the race issue,” while the prosecution “had the responsibility to undermine the outrageous association of Trayvon with two [African-American] burglars he’d never met” but “entirely failed to do so.”8

8. Implicit Bias.Take the Implicit Bias “Race” test (select this test from the drop down menu) 

9. Perceived Stereotypes. Read this short Eberhardt study.

10. Goetz Review. What happened in Goetz? Were all the victims armed? Did they brandish weapons? Why were they carrying screwdrivers? 

11. What’s Goetz’s explanation for why he was entitled to use deadly force in this case? 

12. Did Goetz believe they were armed? Was he objectively in danger or did he subjectively believe he was?  How does he use his personal history with mugging to explain his acts?

13. The Goetz case (and all self-defense cases) came down to a battle over the definition of a reasonable person & how subjective a standard is permitted by statute. Explain how the prosecutor and the state, in the lower court, differed in their interpretations of NY Penal Law, Article 35.

NY Penal Law article 35:

“A person may…use physical force upon another person when and to the extent he reasonably believes such to be necessary to defend himself or a 3d person from what he reasonably believes to be the use or imminent use of unlawful physical force by such other person.” 

14. Explain the following, in plain English

a. How did NY law alter the MPC self-defense statute? 

b. What must a defendant show in order to successfully claim self-defense in NY?

c. Is the resulting NY test for self-defense an objective, subjective or both (“hybrid”)?

15. How does Goetz attempt to show his (objective) reasonable belief that DF was necessary? 

16. If implicit bias teaches us that everyone uses race to evaluate risk, does that make Goetz’s fear reasonable? How does the law attempt to draw a line between Goetz’s fear and his response to his fear?

17. Were Goetz’s actions reasonable? Consider this Newsweek article from 1985. Do you think Goetz’s actions would be perceived as reasonable today? 


1 Cynthia Kwei Yung Lee, Race and Self-Defense: Toward A Normative Conception of Reasonableness, 81 Minn. L. Rev. 367, 422–23 (1996).

2 Id.

3 Id.

4 There are, of course, many differences between a civil and criminal trial. Notably, in a civil suit, the burden of proof is “preponderance of the evidence.”

5 Aaron Goldstein, Race, Reasonableness, and the Rule of Law, 76 S. Cal. L. Rev. 1189, 1194–95 (2003).

6 Rosemary L. Bray, It’s Ten O’clock and I Worry About Where My Husband Is, Glamour, Apr. 1990, at 302.

7 RLisa Bloom, Suspicion Nation: The Inside Story of the Trayvon Martin Injustice and Why We Continue to Repeat It, 77-78 (2014).

8 Id.

10.2.3 State v. Norman 10.2.3 State v. Norman

STATE OF NORTH CAROLINA v. JUDY ANN LAWS NORMAN

No. 8729SC676

(Filed 5 April 1988)

Homicide § 28.1— self-defense — sleeping victim — battered spouse syndrome

Defendant was entitled to an instruction on perfect self-defense in a prosecution for the murder of her husband by shooting him while he was sleeping where there was evidence tending to show that defendant suffered from abused spouse syndrome; defendant had been subjected by decedent to beatings, other physical abuse, verbal abuse and threats on her life throughout the day of the killing up to the time when decedent went to sleep; defendant believed it necessary to kill the victim to save herself from death or serious bodily harm; and defendant felt helpless to extricate herself from abuse by defendant. Based on this evidence, the jury could find that decedent’s sleep was but a momentary hiatus in a continuous reign of terror by the decedent, that defendant merely took advantage of her first opportunity to protect herself, and that defendant’s act was not without the provocation required for perfect self-defense.

Appeal by defendant from Gardner (John), Judge. Judgment entered 5 March 1987 in Superior Court, RUTHERFORD County. Heard in the Court of Appeals 10 December 1987.

Defendant, indicted for first degree murder in the shooting death of her husband, was found guilty of voluntary manslaughter by the jury and sentenced to six years’ imprisonment. Defendant appeals from the judgment.

Attorney General Lacy H. Thornburg, by Assistant Attorney General Jeffrey P. Gray, for the State.

Robert W. Wolf and Robert L. Harris for defendant-appellant.

*385PARKER, Judge.

At trial the judge instructed on first degree murder, second degree murder, and voluntary manslaughter. The primary issue presented on this appeal is whether the trial court erred in failing to instruct on self-defense. We answer in the affirmative and grant a new trial.

Facts

At trial the State presented the testimony of a deputy sheriff of the Rutherford County Sheriffs Department who testified that on 12 June 1985, at approximately 7:30 p.m., he was dispatched to the Norman residence. There, in one of the bedrooms, he found decedent, John Thomas “J.T.” Norman (herein decedent or Norman) dead, lying on his left side on a bed. The State presented an autopsy report, stipulated to by both parties, concluding that Norman had died from two gunshot wounds to the head. The deputy sheriff also testified that later that evening, after being advised of her rights, defendant told the officer that decedent, her husband, had been beating her all day, that she went to her mother’s house nearby and got a .25 automatic pistol, that she returned to her house and loaded the gun, and that she shot her husband. The officer noted at the time that there were burns and bruises on defendant’s body.

Defendant’s evidence, presented through several different witnesses, disclosed a long history of verbal and physical abuse leveled by decedent against defendant. Defendant and Norman had been married twenty-five years at the time of Norman’s death. Norman was an alcoholic. He had begun to drink and to beat defendant five years after they were married. The couple had five children, four of whom are still living. When defendant was pregnant with her youngest child, Norman beat her and kicked her down a flight of steps, causing the baby to be born prematurely the next day.

Norman, himself, had worked one day a few months prior to his death; but aside from that one day, witnesses could not remember his ever working. Over the years and up to the time of his death, Norman forced defendant to prostitute herself every day in order to support him. If she begged him not to make her go, he slapped her. Norman required defendant to make a mini*386mum of one hundred dollars per day; if she failed to make this minimum, he would beat her.

Norman commonly called defendant “Dogs,” “Bitches,” and “Whores,” and referred to her as a dog. Norman beat defendant “most every day,” especially when he was drunk and when other people were around, to “show off.” He would beat defendant with whatever was handy — his fist, a fly swatter, a baseball bat, his shoe, or a bottle; he put out cigarettes on defendant’s skin; he threw food and drink in her face and refused to let her eat for days at a time; and he threw glasses, ashtrays, and beer bottles at her and once smashed a glass in her face. Defendant exhibited to the jury scars on her face from these incidents. Norman would often make defendant bark like a dog, and if she refused, he would beat her. He often forced defendant to sleep on the concrete floor of their home and on several occasions forced her to eat dog or cat food out of the dog or cat bowl.

Norman often stated both to defendant and to others that he would kill defendant. He also threatened to cut her heart out.

Witnesses for the defense also testified to the events in the thirty-six hours prior to Norman’s death. On or about the morning of 10 June 1985, Norman forced defendant to go to a truck stop or rest stop on Interstate 85 in order to prostitute to make some money. Defendant’s daughter and defendant’s daughter’s boyfriend accompanied defendant. Some time later that day, Norman went to the truck stop, apparently drunk, and began hitting defendant in the face with his fist and slamming the car door into her. He also threw hot coffee on defendant. On the way home, Norman’s car was stopped by police, and he was arrested for driving under the influence.

When Norman was released from jail the next morning, on 11 June 1985, he was extremely angry and beat defendant. Defendant’s mother said defendant acted nervous and scared. Defendant testified that during the entire day, when she was near him, her husband slapped her, and when she was away from him, he threw glasses, ashtrays, and beer bottles at her. Norman asked defendant to make him a sandwich; when defendant brought it to him, he threw it on the floor and told her to make him another. Defendant made him a second sandwich and brought it to him; Norman again threw it on the floor, telling her to put something on *387her hands because he did not want her to touch the bread. Defendant made a third sandwich using a paper towel to handle the bread. Norman took the third sandwich and smeared it in defendant’s face.

On the evening of 11 June 1985, at about 8:00 or 8:30 p.m., a domestic quarrel was reported at the Norman residence. The officer responding to the call testified that defendant was bruised and crying and that she stated her husband had been beating her all day and she could not take it any longer. The officer advised defendant to take out a warrant on her husband, but defendant responded that if she did so, he would kill her. A short time later, the officer was again dispatched to the Norman residence. There he learned that defendant had taken an overdose of “nerve pills,” and that Norman was interfering with emergency personnel who were trying to treat defendant. Norman was drunk and was making statements such as, “ ‘If you want to die, you deserve to die. I’ll give you more pills,’ ” and “ ‘Let the bitch die ... . She ain’t nothing but a dog. She don’t deserve to live.’ ” Norman also threatened to kill defendant, defendant’s mother, and defendant’s grandmother. The law enforcement officer reached for his flashlight or blackjack and chased Norman into the house. Defendant was taken to Rutherford Hospital.

The therapist on call at the hospital that night stated that defendant was angry and depressed and that she felt her situation was hopeless. On the advice of the therapist, defendant did not return home that night, but spent the night at her grandmother’s house.

The next day, 12 June 1985, the day of Norman’s death, Norman was angrier and more violent with defendant than usual. According to witnesses, Norman beat defendant all day long. Sometime during the day, Lemuel Splawn, Norman’s best friend, called Norman and asked Norman to drive with him to Spartan-burg, where Splawn worked, to pick up Splawn’s paycheck. Norman arrived at Splawn’s house some time later. Defendant was driving. During the ride to Spartanburg, Norman slapped defendant for following a truck too closely and poured a beer on her head. Norman kicked defendant in the side of the head while she was driving and told her he would “ ‘cut her breast off and shove it up her rear end.’ ”

*388Later that day, one of the Normans’ daughters, Loretta, reported to defendant’s mother that her father was beating her mother again. Defendant’s mother called the sheriffs department, but no help arrived at that time. Witnesses stated that back at the Norman residence, Norman threatened to cut defendant’s throat, threatened to kill her, and threatened to cut off her breast. Norman also smashed a doughnut on defendant’s face and put out a cigarette on her chest.

In the late afternoon, Norman wanted to take a nap. He lay down on the larger of the two beds in the bedroom. Defendant started to lie down on the smaller bed, but Norman said, “ ‘No bitch . . . Dogs don’t sleep on beds, they sleep in [sic] the floor.’ ” Soon after, one of the Normans’ daughters, Phyllis, came into the room and asked if defendant could look after her baby. Norman assented. When the baby began to cry, defendant took the child to her mother’s house, fearful that the baby would disturb Norman. At her mother’s house, defendant found a gun. She took it back to her home and shot Norman.

Defendant testified that things at home were so bad she could no longer stand it. She explained that she could not leave Norman because he would kill her. She stated that she had left him before on several occasions and that each time he found her, took her home, and beat her. She said that she was afraid to take out a warrant on her husband because he had said that if she ever had him locked up, he would kill her when he got out. She stated she did not have him committed because he told her he would see the authorities coming for him and before they got to him he would cut defendant’s throat. Defendant also testified that when he threatened to kill her, she believed he would kill her if he had the chance.

The defense presented the testimony of two expert witnesses in the field of forensic psychology, Dr. William Tyson and Dr. Robert Rollins. Based on an examination of defendant and an investigation of the matter, Dr. Tyson concluded that defendant “fits and exceeds the profile, of an abused or battered spouse.” Dr. Tyson explained that in defendant’s case the situation had progressed beyond mere “ ‘Wife battering or family violence’ ” and had become “torture, degradation and reduction to an animal level of existence, where all behavior was marked purely by sur*389vival . . . Dr. Tyson stated that defendant could not leave her husband because she had gotten to the point where she had no belief whatsoever in herself and believed in the total invulnerability of her husband. He stated, “Mrs. Norman didn’t leave because she believed, fully believed that escape was totally impossible. . . . She fully believed that [Norman] was invulnerable to the law and to all social agencies that were available; that nobody could withstand his power. As a result, there was no such thing as escape.” Dr. Tyson stated that the incidences of Norman forcing defendant to perform prostitution and to eat pet food from pet dishes were parts of the dehumanization process. Dr. Tyson analogized the process to practices in prisoner-of-war camps in the Second World War and the Korean War.

When asked if it appeared to defendant reasonably necessary to kill her husband, Dr. Tyson responded, “I think Judy Norman felt that she had no choice, both in the protection of herself and her family, but to engage, exhibit deadly force against Mr. Norman, and that in so doing, she was sacrificing herself, both for herself and for her family.”

Dr. Rollins was defendant’s attending physician at Dorothea Dix Hospital where she was sent for a psychiatric evaluation after her arrest. Based on an examination of defendant, laboratory studies, psychological tests, interviews, and background investigation, Dr. Rollins testified that defendant suffered from “abused spouse syndrome.” Dr. Rollins defined the syndrome in the following way:

The “abused spouse syndrome” refers to situations where one spouse has achieved almost complete control and submission of the other by both psychological and physical domination. It’s, to start with, it’s usually seen in the females who do not have a strong sense of their own adequacy who do not have a lot of personal or occupational resources; it’s usually associated with physical abuse over a long period of time, and the particular characteristics that interest us are that the abused spouse comes to believe that the other person is in complete control; that they themselves are worthless and they cannot get away; that there’s no rescue from the other person.

*390When asked, in his opinion, whether it appeared reasonably necessary that defendant take the life of J. T. Norman, Dr. Rollins responded, “In my opinion, that course of action did appear necessary to Mrs. Norman.” However, Dr. Rollins stated that he found no evidence of any psychotic disorder and that defendant was capable of proceeding to trial.

Legal Analysis

In North Carolina a defendant is entitled to an instruction on perfect self-defense as justification for homicide where, viewed in the light most favorable to the defendant, there is evidence tending to show that at the time of the killing:

(1) it appeared to defendant and he believed it to be necessary to kill the deceased in order to save himself from death or great bodily harm; and
(2) defendant’s belief was reasonable in that the circumstances as they appeared to him at the time were sufficient to create such a belief in the mind of a person of ordinary firmness; and
(3) defendant was not the aggressor in bringing on the affray, i.e., he did not aggressively and willingly enter into the fight without legal excuse or provocation; and
(4) defendant did not use excessive force, i.e., did not use more force than was necessary or reasonably appeared to him to be necessary under the circumstances to protect himself from death or great bodily harm.

State v. Gappins, 320 N.C. 64, 70-71, 357 S.E. 2d 654, 659 (1987).

Under this standard, the reasonableness of defendant’s belief in the necessity to kill decedent and non-aggression on defendant’s part are two essential elements of the defense. The State, relying on State v. Mize, 316 N.C. 48, 340 S.E. 2d 439 (1986); State v. Wallace, 309 N.C. 141, 305 S.E. 2d 548 (1983); and State v. Bush, 307 N.C. 152, 297 S.E. 2d 563 (1982), argues that defendant was not entitled to an instruction on self-defense. The State contends that since decedent was asleep at the time of the shooting, defendant’s belief in the necessity to kill decedent was, as a matter of law, unreasonable. The State further contends that even as*391suming arguendo that the evidence satisfied the requirement that defendant’s belief be reasonable, defendant, being the aggressor, cannot satisfy the third requirement of perfect self-defense or the requirement of imperfect self-defense that the act be committed without murderous intent.

We agree with the State that defendant was not entitled to an instruction on imperfect self-defense. Imperfect self-defense has been defined as follows:

“[I]f defendant believed it was necessary to kill the deceased in order to save herself from death or great bodily harm, and if defendant’s belief was reasonable in that the circumstances as they appeared to her at the time were sufficient to create such a belief in the mind of a person of ordinary firmness, but defendant, although without murderous intent, was the aggressor in bringing on the difficulty, or defendant used excessive force, the defendant under those circumstances has only the imperfect right of self-defense, having lost the benefit of perfect self-defense, and is guilty at least of voluntary manslaughter.”

State v. Wilson, 304 N.C. 689, 695, 285 S.E. 2d 804, 808 (1982) (quoting State v. Norris, 303 N.C. 526, 530, 279 S.E. 2d 570, 573 (1981)) (emphasis in original). As noted in State v. Mize, “Murderous intent means the intent to kill or inflict serious bodily harm.” Mize, 316 N.C. at 52, 340 S.E. 2d at 442. As in Mize, if defendant did not intend to kill decedent, then the first requirement of self-defense, that defendant believed it necessary to kill the victim, would not be met. Id. at 54, 340 S.E. 2d at 443.

The question then arising on the facts in this case is whether the victim’s passiveness at the moment the unlawful act occurred precludes defendant from asserting perfect self-defense.

Applying the criteria of perfect self-defense to the facts of this case, we hold that the evidence was sufficient to submit an issue of perfect self-defense to the jury. An examination of the elements of perfect self-defense reveals that both subjective and objective standards are to be applied in making the crucial determinations. The first requirement that it appear to defendant and that defendant believe it necessary to kill the deceased in order to save herself from death or great bodily harm calls for a subjec*392tive evaluation. This evaluation inquires as to what the defendant herself perceived at the time of the shooting. The trial was replete with testimony of forced prostitution, beatings, and threats on defendant’s life. The defendant testified that she believed the decedent would kill her, and the evidence showed that on the occasions when she had made an effort to get away from Norman, he had come after her and beat her. Indeed, within twenty-four hours prior to the shooting, defendant had attempted to escape by taking her own life and throughout the day on 12 June 1985 had been subjected to beatings and other physical abuse, verbal abuse, and threats on her life up to the time when decedent went to sleep. Both experts testified that in their opinion, defendant believed killing the victim was necessary to avoid being killed. This evidence would permit a finding by a jury that defendant believed it necessary to kill the victim to save herself from death or serious bodily harm.

Unlike the first requirement, the second element of self-defense — that defendant’s belief be reasonable in that the circumstances as they appeared to defendant would be sufficient to create such a belief in the mind of a person of ordinary firmness — is measured by the objective standard of the person of ordinary firmness under the same circumstances. Again, the record is replete with sufficient evidence to permit but not compel a juror, representing the person of ordinary firmness, to infer that defendant’s belief was reasonable under the circumstances in which she found herself. Both expert witnesses testified that defendant exhibited severe symptoms of battered spouse syndrome, a condition that develops from repeated cycles of violence by the victim against the defendant. Through this repeated, sometimes constant, abuse, the battered spouse acquires what the psychologists denote as a state of “learned helplessness,” defendant’s state of mind as described by Drs. Tyson and Rollins. See Eber, The Battered Wife’s Dilemma; To Kill or To Be Killed, 32 Hastings L.J. 895 (1981); Rosen, The Excuse of Self-Defense: Correcting a Historical Accident on Behalf of Battered Women Who Kill, 36 Am. U.L. Rev. 11 (1986). In the instant case, decedent’s excessive anger, his constant beating and battering of defendant on 12 June 1985, her fear that the beatings would resume, as well as previous efforts by defendant to extricate herself from this abuse are circumstances to be considered in judging the reasonableness of defendant’s belief that she would be seriously injured or killed at *393the time the criminal act was committed. The evidence discloses that defendant felt helpless to extricate herself from this intolerable, dehumanizing, brutal existence. Just the night before the shooting, defendant had told the sheriffs deputy that she was afraid to swear out a warrant against her husband because he had threatened to kill her when he was released if she did. The inability of a defendant to withdraw from the hostile situation and the vulnerability of a defendant to the victim are factors considered by our Supreme Court in determining the reasonableness of a defendant’s belief in the necessity to kill the victim. See, e.g., cases compiled by Justice Exum in State v. Mize, 316 N.C. at 53, 340 S.E. 2d at 442.

To satisfy the third requirement, defendant must not have aggressively and willingly entered into the fight without legal excuse or provocation. By definition, aggression in the context of self-defense is tied to provocation. The existence of battered spouse syndrome, in our view, distinguishes this case from the usual situation involving a single confrontation or affray. The provocation necessary to determine whether defendant was the aggressor must be considered in light of the totality of the circumstances. Psychologists and sociologists report that battered spouse syndrome usually has three phases — the tension-building phase, the violent phase, and the quiet or loving phase. See L. Walker, The Battered Woman Syndrome, at 95-104 (1984). During the violent phase, the time when the traditional concept of self-defense would mandate that defendant protect herself, ie., at the moment the abusing spouse attacks, the battered spouse is least able to counter because she is immobilized by fear, if not actually physically restrained. See State v. Kelly, 97 N.J. 178, 220, 478 A.2d 364, 385 n. 23 (1984).

Mindful that the law should never casually permit an otherwise unlawful killing of another human being to be justified or excused, this Court is of the opinion that with the battered spouse there can be, under certain circumstances, an unlawful killing of a passive victim that does not preclude the defense of perfect self-defense. Given the characteristics of battered spouse syndrome, we do not believe that a battered person must wait until a deadly attack occurs or that the victim must in all cases be actually attacking or threatening to attack at the very moment defendant commits the unlawful act for the battered person to act in self-defense. Such a standard, in our view, would ignore the realities of the condition. This position is in accord with other jurisdictions *394that have addressed the issue. See, e.g., State v. Gallegos, 104 N.M. 247, 719 P. 2d 1268 (N.M. Ct. App. 1986); State v. Leidholm, 334 N.W. 2d 811 (N.D. 1983); State v. Allery, 101 Wash. 2d 591, 682 P. 2d 312 (1984).

In the instant case, decedent, angrier than usual, had beaten defendant almost continuously during the afternoon and had threatened to maim and kill defendant. Hence, although decedent was asleep at the time defendant shot him, defendant’s unlawful act was closely related in time to an assault and threat of death by decedent against defendant. Defendant testified that she took the baby to her mother’s house because she was afraid that the child’s crying would wake decedent and the beatings would resume. Based on this evidence, a jury, in our view, could find that decedent’s sleep was but a momentary hiatus in a continuous reign of terror by the decedent, that defendant merely took advantage of her first opportunity to protect herself, and that defendant’s act was not without the provocation required for perfect self-defense.

Finally, the expert testimony considered with the other evidence would permit reasonable minds to infer that defendant did not use more force than reasonably appeared necessary to her under the circumstances to protect herself from death or great bodily harm.

Based on the foregoing analysis, we are of the opinion that, in addition to the instruction on voluntary manslaughter, defendant was entitled to an instruction on perfect self-defense. Weighing the evidence against the four criteria for self-defense, the jury is to regard evidence of battered spouse syndrome merely as some evidence to be considered along with all other evidence in making its determination whether there is a reasonable doubt as to the unlawfulness of defendant’s conduct. See State v. Hanker-son, 288 N.C. 632, 220 S.E. 2d 575 (1975), rev’d on other grounds, 432 U.S. 233, 97 S.Ct. 2339, 53 L.Ed. 2d 306 (1977).

Defendant’s remaining assignment of error that the trial court erred in denying defendant’s motion to dismiss based on un-contradicted exculpatory statements introduced by the State is without merit and is overruled.

New trial.

Judges Wells and Phillips concur.

10.2.4 State v. Norman 10.2.4 State v. Norman

378 S.E.2d 8 (1989)
324 N.C. 253

STATE of North Carolina
v.
Judy Ann Laws NORMAN.

No. 161PA88.

Supreme Court of North Carolina.

April 5, 1989.

 

[9] Lacy H. Thornburg, Atty. Gen., by Steven F. Bryant, and Jeffrey P. Gray, Asst. Atty. Gen., for appellant State.

Robert W. Wolf, Forest City, and Robert L. Harris, Rutherfordton, for defendant-appellee.

MITCHELL, Justice.

The defendant was tried at the 16 February 1987 Criminal Session of Superior Court for Rutherford County upon a proper indictment charging her with the first degree murder of her husband. The jury found the defendant guilty of voluntary manslaughter. The defendant appealed from the trial court's judgment sentencing her to six years imprisonment.

The Court of Appeals granted a new trial, citing as error the trial court's refusal to submit a possible verdict of acquittal by reason of perfect self-defense. Notwithstanding the uncontroverted evidence that the defendant shot her husband three times in the back of the head as he lay sleeping in his bed, the Court of Appeals held that the defendant's evidence that she exhibited what has come to be called "the battered wife syndrome" entitled her to have the jury consider whether the homicide was an act of perfect self-defense and, thus, not a legal wrong.

We conclude that the evidence introduced in this case would not support a finding that the defendant killed her husband due to a reasonable fear of imminent death or great bodily harm, as is required before a defendant is entitled to jury instructions concerning either perfect or imperfect self-defense. Therefore, the trial court properly declined to instruct the jury on the law relating to self-defense. Accordingly, we reverse the Court of Appeals.

At trial, the State presented the testimony of Deputy Sheriff R.H. Epley of the Rutherford County Sheriff's Department, who was called to the Norman residence on the night of 12 June 1985. Inside the home, Epley found the defendant's husband, John Thomas Norman, lying on a bed in a rear bedroom with his face toward the wall and his back toward the middle of the room. He was dead, but blood was still coming from wounds to the back of his head. A later autopsy revealed three gunshot wounds to the head, two of which caused fatal brain injury. The autopsy also revealed a .12 percent blood alcohol level in the victim's body.

Later that night, the defendant related an account of the events leading to the killing, after Epley had advised her of her constitutional rights and she had waived her right to remain silent. The defendant told Epley that her husband had been beating her all day and had made her lie down on the floor while he slept on the bed. After her husband fell asleep, the defendant carried her grandchild to the defendant's mother's house. The defendant took a pistol from her mother's purse and walked the short distance back to her home. She pointed the pistol at the back of her sleeping husband's head, but it jammed the first time she tried to shoot him. She fixed the gun and then shot her husband in the back of the head as he lay sleeping. After one shot, she felt her husband's chest and determined that he was still breathing and making sounds. She then shot him twice more in the back of the head. The defendant told Epley that she killed her husband because "she took all she was going to take from him so she shot him."

The defendant presented evidence tending to show a long history of physical and mental abuse by her husband due to his [10] alcoholism. At the time of the killing, the thirty-nine-year-old defendant and her husband had been married almost twenty-five years and had several children. The defendant testified that her husband had started drinking and abusing her about five years after they were married. His physical abuse of her consisted of frequent assaults that included slapping, punching and kicking her, striking her with various objects, and throwing glasses, beer bottles and other objects at her. The defendant described other specific incidents of abuse, such as her husband putting her cigarettes out on her, throwing hot coffee on her, breaking glass against her face and crushing food on her face. Although the defendant did not present evidence of ever having received medical treatment for any physical injuries inflicted by her husband, she displayed several scars about her face which she attributed to her husband's assaults.

The defendant's evidence also tended to show other indignities inflicted upon her by her husband. Her evidence tended to show that her husband did not work and forced her to make money by prostitution, and that he made humor of that fact to family and friends. He would beat her if she resisted going out to prostitute herself or if he was unsatisfied with the amounts of money she made. He routinely called the defendant "dog," "bitch" and "whore," and on a few occasions made her eat pet food out of the pets' bowls and bark like a dog. He often made her sleep on the floor. At times, he deprived her of food and refused to let her get food for the family. During those years of abuse, the defendant's husband threatened numerous times to kill her and to maim her in various ways.

The defendant said her husband's abuse occurred only when he was intoxicated, but that he would not give up drinking. She said she and her husband "got along very well when he was sober," and that he was "a good guy" when he was not drunk. She had accompanied her husband to the local mental health center for sporadic counseling sessions for his problem, but he continued to drink.

In the early morning hours on the day before his death, the defendant's husband, who was intoxicated, went to a rest area off I-85 near Kings Mountain where the defendant was engaging in prostitution and assaulted her. While driving home, he was stopped by a patrolman and jailed on a charge of driving while impaired. After the defendant's mother got him out of jail at the defendant's request later that morning, he resumed his drinking and abuse of the defendant.

The defendant's evidence also tended to show that her husband seemed angrier than ever after he was released from jail and that his abuse of the defendant was more frequent. That evening, sheriff's deputies were called to the Norman residence, and the defendant complained that her husband had been beating her all day and she could not take it anymore. The defendant was advised to file a complaint, but she said she was afraid her husband would kill her if she had him arrested. The deputies told her they needed a warrant before they could arrest her husband, and they left the scene.

The deputies were called back less than an hour later after the defendant had taken a bottle of pills. The defendant's husband cursed her and called her names as she was attended by paramedics, and he told them to let her die. A sheriff's deputy finally chased him back into his house as the defendant was put into an ambulance. The defendant's stomach was pumped at the local hospital, and she was sent home with her mother.

While in the hospital, the defendant was visited by a therapist with whom she discussed filing charges against her husband and having him committed for treatment. Before the therapist left, the defendant agreed to go to the mental health center the next day to discuss those possibilities. The therapist testified at trial that the defendant seemed depressed in the hospital, and that she expressed considerable anger toward her husband. He testified that the defendant threatened a number of times that night to kill her husband and that she [11] said she should kill him "because of the things he had done to her."

The next day, the day she shot her husband, the defendant went to the mental health center to talk about charges and possible commitment, and she confronted her husband with that possibility. She testified that she told her husband later that day: "J.T., straighten up. Quit drinking. I'm going to have you committed to help you." She said her husband then told her he would "see them coming" and would cut her throat before they got to him.

The defendant also went to the social services office that day to seek welfare benefits, but her husband followed her there, interrupted her interview and made her go home with him. He continued his abuse of her, threatening to kill and to maim her, slapping her, kicking her, and throwing objects at her. At one point, he took her cigarette and put it out on her, causing a small burn on her upper torso. He would not let her eat or bring food into the house for their children.

That evening, the defendant and her husband went into their bedroom to lie down, and he called her a "dog" and made her lie on the floor when he lay down on the bed. Their daughter brought in her baby to leave with the defendant, and the defendant's husband agreed to let her baby-sit. After the defendant's husband fell asleep, the baby started crying and the defendant took it to her mother's house so it would not wake up her husband. She returned shortly with the pistol and killed her husband.

The defendant testified at trial that she was too afraid of her husband to press charges against him or to leave him. She said that she had temporarily left their home on several previous occasions, but he had always found her, brought her home and beaten her. Asked why she killed her husband, the defendant replied: "Because I was scared of him and I knowed when he woke up, it was going to be the same thing, and I was scared when he took me to the truck stop that night it was going to be worse than he had ever been. I just couldn't take it no more. There ain't no way, even if it means going to prison. It's better than living in that. That's worse hell than anything."

The defendant and other witnesses testified that for years her husband had frequently threatened to kill her and to maim her. When asked if she believed those threats, the defendant replied: "Yes. I believed him; he would, he would kill me if he got a chance. If he thought he wouldn't a had to went to jail, he would a done it."

Two expert witnesses in forensic psychology and psychiatry who examined the defendant after the shooting, Dr. William Tyson and Dr. Robert Rollins, testified that the defendant fit the profile of battered wife syndrome. This condition, they testified, is characterized by such abuse and degradation that the battered wife comes to believe she is unable to help herself and cannot expect help from anyone else. She believes that she cannot escape the complete control of her husband and that he is invulnerable to law enforcement and other sources of help.

Dr. Tyson, a psychologist, was asked his opinion as to whether, on 12 June 1985, "it appeared reasonably necessary for Judy Norman to shoot J.T. Norman?" He replied: "I believe that ... Mrs. Norman believed herself to be doomed ... to a life of the worst kind of torture and abuse, degradation that she had experienced over the years in a progressive way; that it would only get worse, and that death was inevitable...." Dr. Tyson later added: "I think Judy Norman felt that she had no choice, both in the protection of herself and her family, but to engage, exhibit deadly force against Mr. Norman, and that in so doing, she was sacrificing herself, both for herself and for her family."

Dr. Rollins, who was the defendant's attending physician at Dorothea Dix Hospital when she was sent there for evaluation, testified that in his opinion the defendant was a typical abused spouse and that "[s]he saw herself as powerless to deal with the situation, that there was no alternative, no way she could escape it." Dr. Rollins was asked his opinion as to whether "on June 12th, 1985, it appeared reasonably [12] necessary that Judy Norman would take the life of J.T. Norman?" Dr. Rollins replied that in his opinion, "that course of action did appear necessary to Mrs. Norman."

Based on the evidence that the defendant exhibited battered wife syndrome, that she believed she could not escape her husband nor expect help from others, that her husband had threatened her, and that her husband's abuse of her had worsened in the two days preceding his death, the Court of Appeals concluded that a jury reasonably could have found that her killing of her husband was justified as an act of perfect self-defense. The Court of Appeals reasoned that the nature of battered wife syndrome is such that a jury could not be precluded from finding the defendant killed her husband lawfully in perfect self-defense, even though he was asleep when she killed him. We disagree.

The right to kill in self-defense is based on the necessity, real or reasonably apparent, of killing an unlawful aggressor to save oneself from imminent death or great bodily harm at his hands. State v. Gappins, 320 N.C. 64, 357 S.E.2d 654 (1987). Our law has recognized that self-preservation under such circumstances springs from a primal impulse and is an inherent right of natural law. State v. Holland, 193 N.C. 713, 718, 138 S.E. 8, 10 (1927).

In North Carolina, a defendant is entitled to have the jury consider acquittal by reason of perfect self-defense when the evidence, viewed in the light most favorable to the defendant, tends to show that at the time of the killing it appeared to the defendant and she believed it to be necessary to kill the decedent to save herself from imminent death or great bodily harm. State v. Gappins, 320 N.C. at 71, 357 S.E. 2d at 659. That belief must be reasonable, however, in that the circumstances as they appeared to the defendant would create such a belief in the mind of a person of ordinary firmness. Id. Further, the defendant must not have been the initial aggressor provoking the fatal confrontation. Id. A killing in the proper exercise of the right of perfect self-defense is always completely justified in law and constitutes no legal wrong.

Our law also recognizes an imperfect right of self-defense in certain circumstances, including, for example, when the defendant is the initial aggressor, but without intent to kill or to seriously injure the decedent, and the decedent escalates the confrontation to a point where it reasonably appears to the defendant to be necessary to kill the decedent to save herself from imminent death or great bodily harm. State v. Mize, 316 N.C. 48, 340 S.E.2d 439 (1986); State v. Wilson, 304 N.C. 689, 285 S.E.2d 804 (1982). Although the culpability of a defendant who kills in the exercise of imperfect self-defense is reduced, such a defendant is not justified in the killing so as to be entitled to acquittal, but is guilty at least of voluntary manslaughter. State v. Mize, 316 N.C. at 52, 340 S.E.2d at 441.

The defendant in the present case was not entitled to a jury instruction on either perfect or imperfect self-defense. The trial court was not required to instruct on either form of self-defense unless evidence was introduced tending to show that at the time of the killing the defendant reasonably believed herself to be confronted by circumstances which necessitated her killing her husband to save herself from imminent death or great bodily harm. Id. No such evidence was introduced in this case, and it would have been error for the trial court to instruct the jury on either perfect or imperfect self-defense. See State v. Gappins, 320 N.C. 64, 73, 357 S.E.2d 654, 660 (1987); State v. Mize, 316 N.C. 48, 53, 340 S.E.2d 439, 442 (1986); State v. Spaulding, 298 N.C. 149, 157, 257 S.E.2d 391, 396 (1979); State v. Marshall, 208 N.C. 127, 129, 179 S.E. 427, 428 (1935); State v. Kidd, 60 N.C.App. 140, 142, 298 S.E.2d 406, 408 (1982) disc. rev. denied, 307 N.C. 700, 301 S.E.2d 393 (1983); State v. Dial, 38 N.C. App. 529, 531, 248 S.E.2d 366, 367 (1978); 40 C.J.S. Homicide § 123(b) (1944).

The jury found the defendant guilty only of voluntary manslaughter in the present case. As we have indicated, an instruction on imperfect self-defense would have entitled [13] the defendant to nothing more, since one who kills in the exercise of imperfect self-defense is guilty at least of voluntary manslaughter. Therefore, even if it is assumed arguendo that the defendant was entitled to an instruction on imperfect self-defense—a notion we have specifically rejected—the failure to give such an instruction was harmless in this case. Accordingly, although we recognize that the imminence requirement applies to both types of self-defense for almost identical reasons, we limit our consideration in the remainder of this opinion to the issue of whether the trial court erred in failing to instruct the jury to consider acquittal on the ground that the killing was justified and, thus, lawful as an act of perfect self-defense.

The killing of another human being is the most extreme recourse to our inherent right of self-preservation and can be justified in law only by the utmost real or apparent necessity brought about by the decedent. For that reason, our law of self-defense has required that a defendant claiming that a homicide was justified and, as a result, inherently lawful by reason of perfect self-defense must establish that she reasonably believed at the time of the killing she otherwise would have immediately suffered death or great bodily harm. Only if defendants are required to show that they killed due to a reasonable belief that death or great bodily harm was imminent can the justification for homicide remain clearly and firmly rooted in necessity. The imminence requirement ensures that deadly force will be used only where it is necessary as a last resort in the exercise of the inherent right of self-preservation. It also ensures that before a homicide is justified and, as a result, not a legal wrong, it will be reliably determined that the defendant reasonably believed that absent the use of deadly force, not only would an unlawful attack have occurred, but also that the attack would have caused death or great bodily harm. The law does not sanction the use of deadly force to repel simple assaults. State v. Watkins, 283 N.C. 504, 196 S.E.2d 750 (1973).

The term "imminent," as used to describe such perceived threats of death or great bodily harm as will justify a homicide by reason of perfect self-defense, has been defined as "immediate danger, such as must be instantly met, such as cannot be guarded against by calling for the assistance of others or the protection of the law." Black's Law Dictionary 676 (5th ed. 1979). Our cases have sometimes used the phrase "about to suffer" interchangeably with "imminent" to describe the immediacy of threat that is required to justify killing in self-defense. State v. Holland, 193 N.C. 713, 718, 138 S.E. 8, 10 (1927).

The evidence in this case did not tend to show that the defendant reasonably believed that she was confronted by a threat of imminent death or great bodily harm. The evidence tended to show that no harm was "imminent" or about to happen to the defendant when she shot her husband. The uncontroverted evidence was that her husband had been asleep for some time when she walked to her mother's house, returned with the pistol, fixed the pistol after it jammed and then shot her husband three times in the back of the head. The defendant was not faced with an instantaneous choice between killing her husband or being killed or seriously injured. Instead, all of the evidence tended to show that the defendant had ample time and opportunity to resort to other means of preventing further abuse by her husband. There was no action underway by the decedent from which the jury could have found that the defendant had reasonable grounds to believe either that a felonious assault was imminent or that it might result in her death or great bodily injury. Additionally, no such action by the decedent had been underway immediately prior to his falling asleep.

Faced with somewhat similar facts, we have previously held that a defendant who believed himself to be threatened by the decedent was not entitled to a jury instruction on either perfect or imperfect self-defense when it was the defendant who went to the decedent and initiated the final, fatal confrontation. State v. Mize, 316 N.C. 48, [14] 340 S.E.2d 439 (1986). In Mize, the decedent Joe McDonald was reported to be looking for the defendant George Mize to get revenge for Mize's alleged rape of McDonald's girl friend, which had exacerbated existing animosity between Mize and McDonald. After hiding from McDonald for most of the day, Mize finally went to McDonald's residence, woke him up and then shot and killed him. Mize claimed that he feared McDonald was going to kill him and that his killing of McDonald was in self-defense. Rejecting Mize's argument that his jury should have been instructed on self-defense, we stated:

Here, although the victim had pursued defendant during the day approximately eight hours before the killing, defendant Mize was in no imminent danger while McDonald was at home asleep. When Mize went to McDonald's trailer with his shotgun, it was a new confrontation. Therefore, even if Mize believed it was necessary to kill McDonald to avoid his own imminent death, that belief was unreasonable.

 

316 N.C. at 53, 340 S.E.2d at 442 (citations omitted). The same reasoning applies in the present case.

Additionally, the lack of any belief by the defendant—reasonable or otherwise—that she faced a threat of imminent death or great bodily harm from the drunk and sleeping victim in the present case was illustrated by the defendant and her own expert witnesses when testifying about her subjective assessment of her situation at the time of the killing. The psychologist and psychiatrist replied affirmatively when asked their opinions of whether killing her husband "appeared reasonably necessary" to the defendant at the time of the homicide. That testimony spoke of no imminent threat nor of any fear by the defendant of death or great bodily harm, imminent or otherwise. Testimony in the form of a conclusion that a killing "appeared reasonably necessary" to a defendant does not tend to show all that must be shown to establish self-defense. More specifically, for a killing to be in self-defense, the perceived necessity must arise from a reasonable fear of imminent death or great bodily harm.

Dr. Tyson additionally testified that the defendant "believed herself to be doomed... to a life of the worst kind of torture and abuse, degradation that she had experienced over the years in a progressive way; that it would only get worse, and that death was inevitable." Such evidence of the defendant's speculative beliefs concerning her remote and indefinite future, while indicating she had felt generally threatened, did not tend to show that she killed in the belief—reasonable or otherwise—that her husband presented a threat of imminent death or great bodily harm. Under our law of self-defense, a defendant's subjective belief of what might be "inevitable" at some indefinite point in the future does not equate to what she believes to be "imminent." Dr. Tyson's opinion that the defendant believed it was necessary to kill her husband for "the protection of herself and her family" was similarly indefinite and devoid of time frame and did not tend to show a threat or fear of imminent harm.

The defendant testified that, "I knowed when he woke up, it was going to be the same thing, and I was scared when he took me to the truck stop that night it was going to be worse than he had ever been." She also testified, when asked if she believed her husband's threats: "Yes.... [H]e would kill me if he got a chance. If he thought he wouldn't a had to went to jail, he would a done it." Testimony about such indefinite fears concerning what her sleeping husband might do at some time in the future did not tend to establish a fear— reasonable or otherwise—of imminent death or great bodily harm at the time of the killing.

We are not persuaded by the reasoning of our Court of Appeals in this case that when there is evidence of battered wife syndrome, neither an actual attack nor threat of attack by the husband at the moment the wife uses deadly force is required to justify the wife's killing of him in perfect self-defense. The Court of Appeals concluded that to impose such requirements [15] would ignore the "learned helplessness," meekness and other realities of battered wife syndrome and would effectively preclude such women from exercising their right of self-defense. 89 N.C.App. 384, 392-393, 366 S.E.2d 586, 591-592 (1988). See Mather, The Skeleton in the Closet: The Battered Woman Syndrome, Self-Defense, and Expert Testimony, 39 Mercer L.Rev. 545 (1988); Eber, The Battered Wife's Dilemma: To Kill Or To Be Killed, 32 Hastings L.J. 895 (1981). Other jurisdictions which have addressed this question under similar facts are divided in their views, and we can discern no clear majority position on facts closely similar to those of this case. Compare, e.g., Commonwealth v. Grove, 363 Pa.Super. 328, 526 A.2d 369, appeal denied, 517 Pa. 630, 539 A.2d 810 (1987) (abused wife who killed her sleeping husband not entitled to self-defense instruction as no immediate threat was posed by the decedent), with State v. Gallegos, 104 N.M. 247, 719 P.2d 1268 (1986) (abused wife could claim self-defense where she walked into bedroom with gun and killed husband who was awake but lying on the bed).

The reasoning of our Court of Appeals in this case proposes to change the established law of self-defense by giving the term "imminent" a meaning substantially more indefinite and all-encompassing than its present meaning. This would result in a substantial relaxation of the requirement of real or apparent necessity to justify homicide. Such reasoning proposes justifying the taking of human life not upon the reasonable belief it is necessary to prevent death or great bodily harm—which the imminence requirement ensures—but upon purely subjective speculation that the decedent probably would present a threat to life at a future time and that the defendant would not be able to avoid the predicted threat.

The Court of Appeals suggests that such speculation would have been particularly reliable in the present case because the jury, based on the evidence of the decedent's intensified abuse during the thirty-six hours preceding his death, could have found that the decedent's passive state at the time of his death was "but a momentary hiatus in a continuous reign of terror by the decedent [and] the defendant merely took advantage of her first opportunity to protect herself." 89 N.C.App at 394, 366 S.E.2d at 592. Requiring jury instructions on perfect self-defense in such situations, however, would still tend to make opportune homicide lawful as a result of mere subjective predictions of indefinite future assaults and circumstances. Such predictions of future assaults to justify the defendant's use of deadly force in this case would be entirely speculative, because there was no evidence that her husband had ever inflicted any harm upon her that approached life-threatening injury, even during the "reign of terror." It is far from clear in the defendant's poignant evidence that any abuse by the decedent had ever involved the degree of physical threat required to justify the defendant in using deadly force, even when those threats were imminent. The use of deadly force in self-defense to prevent harm other than death or great bodily harm is excessive as a matter of law. State v. Hunter, 315 N.C. 371, 338 S.E.2d 99 (1986).

As we have stated, stretching the law of self-defense to fit the facts of this case would require changing the "imminent death or great bodily harm" requirement to something substantially more indefinite than previously required and would weaken our assurances that justification for the taking of human life remains firmly rooted in real or apparent necessity. That result in principle could not be limited to a few cases decided on evidence as poignant as this. The relaxed requirements for perfect self-defense proposed by our Court of Appeals would tend to categorically legalize the opportune killing of abusive husbands by their wives solely on the basis of the wives' testimony concerning their subjective speculation as to the probability of future felonious assaults by their husbands. Homicidal self-help would then become a lawful solution, and perhaps the easiest and most effective solution, to this problem. See generally Rosen, The Excuse of Self-Defense: Correcting A Historical [16] Accident on Behalf of Battered Women Who Kill, 36 Am.U.L.Rev. 11 (1986) (advocating changing the basis of self-defense acquittals to excuse rather than justification, so that excusing battered women's killing of their husbands under circumstances not fitting within the traditional requirements of self-defense would not be seen as justifying and therefore encouraging such self-help killing); Mitchell, Does Wife Abuse Justify Homicide?, 24 Wayne L.Rev. 1705 (1978) (advocating institutional rather than self-help solutions to wife abuse and citing case studies at the trial level where traditional defenses to homicide appeared stretched to accommodate poignant facts, resulting in justifications of some killings which appeared to be motivated by revenge rather than protection from death or great bodily harm). It has even been suggested that the relaxed requirements of self-defense found in what is often called the "battered woman's defense" could be extended in principle to any type of case in which a defendant testified that he or she subjectively believed that killing was necessary and proportionate to any perceived threat. Rosen, The Excuse of Self-Defense: Correcting A Historical Accident on Behalf of Battered Women Who Kill, 36 Am.U.L. Rev. 11, 44 (1986).

In conclusion, we decline to expand our law of self-defense beyond the limits of immediacy and necessity which have heretofore provided an appropriately narrow but firm basis upon which homicide may be justified and, thus, lawful by reason of perfect self-defense or upon which a defendant's culpability may be reduced by reason of imperfect self-defense. As we have shown, the evidence in this case did not entitle the defendant to jury instructions on either perfect or imperfect self-defense.

For the foregoing reasons, we conclude that the defendant's conviction for voluntary manslaughter and the trial court's judgment sentencing her to a six-year term of imprisonment were without error. Therefore, we must reverse the decision of the Court of Appeals which awarded the defendant a new trial.

REVERSED.

MARTIN, Justice, dissenting.

At the outset it is to be noted that the peril of fabricated evidence is not unique to the trials of battered wives who kill. The possibility of invented evidence arises in all cases in which a party is seeking the benefit of self-defense. Moreover, in this case there were a number of witnesses other than defendant who testified as to the actual presence of circumstances supporting a claim of self-defense. This record contains no reasonable basis to attack the credibility of evidence for the defendant.

Likewise, the difficulty of rebutting defendant's evidence because the only other witness to many of the events is deceased is not unique to this type of case. This situation is also commonplace in cases in which self-defense is raised, although, again, in the case sub judice there was more than one surviving witness to such events. In considering the argument that the state is faced with a difficult burden in attempting to rebut evidence of which defendant is the only surviving witness, one must not overlook the law: the burden is always on the state to prove that the killing was intentional beyond a reasonable doubt. "Defendant may always rest ultimately on the weakness of the state's case and the state's failure to carry its burden of proof." State v. Patterson, 297 N.C. 247, 256, 254 S.E.2d 604, 610 (1979).

At the heart of the majority's reasoning is its unsubstantiated concern that to find that the evidence presented by defendant would support an instruction on self-defense would "expand our law of self-defense beyond the limits of immediacy and necessity." Defendant does not seek to expand or relax the requirements of self-defense and thereby "legalize the opportune killing of allegedly abusive husbands by their wives," as the majority overstates. Rather, defendant contends that the evidence as gauged by the existing laws of self-defense is sufficient to require the submission of a self-defense instruction to the [17] jury. The proper issue for this Court is to determine whether the evidence, viewed in the light most favorable to the defendant, was sufficient to require the trial court to instruct on the law of self-defense. I conclude that it was.

In every jury trial, it is the duty of the court to charge the jury on all substantial features of the case arising on the evidence, whether or not such instructions have been requested. See State v. Dooley, 285 N.C. 158, 203 S.E.2d 815 (1974). All defenses presented by the defendant's evidence are substantial features of the case, even if that evidence contains discrepancies or is contradicted by evidence from the state. Id. This rule reflects the principle in our jurisprudence that it is the jury, not the judge, that weighs the evidence.

A defendant is entitled to an instruction on self-defense when there is evidence, viewed in the light most favorable to the defendant, that these four elements existed at the time of the killing:

(1) it appeared to defendant and he believed it to be necessary to kill the deceased in order to save himself from death or great bodily harm; and
(2) defendant's belief was reasonable in that the circumstances as they appeared to him at the time were sufficient to create such a belief in the mind of a person of ordinary firmness; and
(3) defendant was not the aggressor in bringing on the affray, i.e., he did not aggressively and willingly enter into the fight without legal excuse or provocation; and
(4) defendant did not use excessive force, i.e., did not use more force than was necessary or reasonably appeared to him to be necessary under the circumstances to protect himself from death or great bodily harm.

 

State v. Gappins, 320 N.C. 64, 71, 357 S.E.2d 654, 659 (1987). See also State v. McCray, 312 N.C. 519, 324 S.E.2d 606 (1985) (to be entitled to an instruction on self-defense defendant must produce evidence tending to show he was free from fault and it was necessary or reasonably appeared to be necessary to kill in order to protect himself from great bodily harm or death). See generally State v. Wallace, 309 N.C. 141, 305 S.E.2d 548 (1983); State v. Bush, 307 N.C. 152, 297 S.E.2d 563 (1982); State v. Wilson, 304 N.C. 689, 285 S.E.2d 804 (1982); State v. Norris, 303 N.C. 526, 279 S.E.2d 570 (1981); State v. Potter, 295 N.C. 126, 244 S.E.2d 397 (1978) (cases setting out these elements as requisites of proof of self-defense). The first element requires that there be evidence that the defendant believed it was necessary to kill in order to protect herself from serious bodily harm or death; the second requires that the circumstances as defendant perceived them were sufficient to create such a belief in the mind of a person of ordinary firmness. Both elements were supported by evidence at defendant's trial.

Evidence presented by defendant described a twenty-year history of beatings and other dehumanizing and degrading treatment by her husband. In his expert testimony a clinical psychologist concluded that defendant fit "and exceed[ed]" the profile of an abused or battered spouse, analogizing this treatment to the dehumanization process suffered by prisoners of war under the Nazis during the Second World War and the brainwashing techniques of the Korean War. The psychologist described the defendant as a woman incarcerated by abuse, by fear, and by her conviction that her husband was invincible and inescapable:

Mrs. Norman didn't leave because she believed, fully believed that escape was totally impossible. There was no place to go. He, she had left before; he had come and gotten her. She had gone to the Department of Social Services. He had come and gotten her. The law, she believed the law could not protect her; no one could protect her, and I must admit, looking over the records, that there was nothing done that would contradict that belief. She fully believed that he was invulnerable to the law and to all social agencies that were available; that nobody could withstand his power. As a result, there was no such thing as escape.

 

[18] When asked if he had an opinion whether it appeared reasonably necessary for Judy Norman to shoot her husband, this witness responded:

Yes.... I believe that in examining the facts of this case and examining the psychological data, that Mrs. Norman believed herself to be doomed ... to a life of the worst kind of torture and abuse, degradation that she had experienced over the years in a progressive way; that it would only get worse, and that death was inevitable; death of herself, which was not such, I don't think was such an issue for her, as she had attempted to commit suicide, and in her continuing conviction of J.T. Norman's power over her, and even failed at that form of escape. I believe she also came to the point of beginning to fear for family members and her children, that were she to commit suicide that the abuse and the treatment that was heaped on her would be transferred onto them.

 

This testimony describes defendant's perception of circumstances in which she was held hostage to her husband's abuse for two decades and which ultimately compelled her to kill him. This testimony alone is evidence amply indicating the first two elements required for entitlement to an instruction on self-defense.

In addition to the testimony of the clinical psychologist, defendant presented the testimony of witnesses who had actually seen defendant's husband abuse her. These witnesses described circumstances that caused not only defendant to believe escape was impossible, but that also convinced them of its impossibility. Defendant's isolation and helplessness were evident in testimony that her family was intimidated by her husband into acquiescing in his torture of her. Witnesses also described defendant's experience with social service agencies and the law, which had contributed to her sense of futility and abandonment through the inefficacy of their protection and the strength of her husband's wrath when they failed. Where torture appears interminable and escape impossible, the belief that only the death of the oppressor can provide relief is reasonable in the mind of a person of ordinary firmness, let alone in the mind of the defendant, who, like a prisoner of war of some years, has been deprived of her humanity and is held hostage by fear.

In State v. Mize, 316 N.C. 48, 53, 340 S.E.2d 439, 442 (1986), this Court noted that if the defendant was in "no imminent danger" at the time of the killing, then his belief that it was necessary to kill the man who had pursued him eight hours before was unreasonable. The second element of self-defense was therefore not satisfied. In the context of the doctrine of self-defense, the definition of "imminent" must be informed by the defendant's perceptions. It is not bounded merely by measurable time, but by all of the facts and circumstances. Its meaning depends upon the assessment of the facts by one of "ordinary firmness" with regard to whether the defendant's perception of impending death or injury was so pressing as to render reasonable her belief that it was necessary to kill.

Evidence presented in the case sub judice revealed no letup of tension or fear, no moment in which the defendant felt released from impending serious harm, even while the decedent slept. This, in fact, is a state of mind common to the battered spouse, and one that dramatically distinguishes Judy Norman's belief in the imminence of serious harm from that asserted by the defendant in Mize. Psychologists have observed and commentators have described a "constant state of fear" brought on by the cyclical nature of battering as well as the battered spouse's perception that her abuser is both "omnipotent and unstoppable." See Comment, The Admissibility of Expert Testimony on the Battered Woman Syndrome in Support of a Claim of Self-Defense, 15 Conn.L.Rev. 121, 131 (1982). Constant fear means a perpetual anticipation of the next blow, a perpetual expectation that the next blow will kill. "[T]he battered wife is constantly in a heightened state of terror because she is certain that one day her husband will kill her during the course of a beating.... Thus from the perspective of the battered wife, the danger is constantly `immediate.' " Eber, The Battered Wife's Dilemma: [19] To Kill or To Be Killed, 32 Hastings L.J. 895, 928-29 (1981). For the battered wife, if there is no escape, if there is no window of relief or momentary sense of safety, then the next attack, which could be the fatal one, is imminent. In the context of the doctrine of self-defense, "imminent" is a term the meaning of which must be grasped from the defendant's point of view. Properly stated, the second prong of the question is not whether the threat was in fact imminent, but whether defendant's belief in the impending nature of the threat, given the circumstances as she saw them, was reasonable in the mind of a person of ordinary firmness.[1]

Defendant's intense fear, based on her belief that her husband intended not only to maim or deface her, as he had in the past, but to kill her, was evident in the testimony of witnesses who recounted events of the last three days of the decedent's life. This testimony could have led a juror to conclude that defendant reasonably perceived a threat to her life as "imminent," even while her husband slept. Over these three days, her husband's anger was exhibited in an unprecedented crescendo of violence. The evidence showed defendant's fear and sense of hopelessness similarly intensifying, leading to an unsuccessful attempt to escape through suicide and culminating in her belief that escape would be possible only through her husband's death.

Defendant testified that on 10 June, two days before her husband's death, he had again forced her to go to a reststop near Kings Mountain to make money by prostitution. Her daughter Phyllis and Phyllis's boyfriend Mark Navarra accompanied her on this occasion because, defendant said, whenever her husband took her there, he would beat her. Phyllis corroborated this account. She testified that her father had arrived some time later and had begun beating her mother, asking how much money she had. Defendant said they all then drove off. Shortly afterwards an officer arrested defendant's husband for driving under the influence. He spent the night in jail and was released the next morning on bond paid by defendant's mother.

Defendant testified that her husband was argumentative and abusive all through the next day, 11 June. Mark Navarra testified that at one point defendant's husband threw a sandwich that defendant had made for him on the floor. She made another; he threw it on the floor, as well, then insisted she prepare one without touching it. Defendant's husband had then taken the third sandwich, which defendant had wrapped in paper towels, and smeared it on her face. Both Navarra and Phyllis testified that they had later watched defendant's husband seize defendant's cigarette and put it out on her neck, the scars from which defendant displayed to the jury.

A police officer testified that he arrived at defendant's home at 8:00 that evening in response to a call reporting a domestic quarrel. Defendant, whose face was bruised, was crying, and she told the officer that her husband had beaten her all day long and that she could not take it any longer. The officer told her that he could do nothing for her unless she took out a warrant on her husband. She responded that if she did, her husband would kill her. The officer left but was soon radioed to return because defendant had taken an overdose of pills. The officer testified that defendant's husband was interfering with ambulance attendants, saying "Let the bitch die." When he refused to respond to the officer's warning that if he continued to hinder the attendants, he would be arrested, the officer was compelled to chase him into the house.

Defendant's mother testified that her son-in-law had reacted to the discovery that her daughter had taken the pills with cursing and obscenities and threats such as, "Now, you're going to pay for taking those pills," and "I'll kill you, your mother and your grandmother." His rage was such that defendant's mother feared he might kill the whole family, and knowing defendant's [20] sister had a gun in her purse, she took the gun and placed it in her own.

Defendant was taken to the hospital, treated, and released at 2:30 a.m. She spent the remainder of the night at her grandmother's house. Defendant testified that the next day, 12 June, she felt dazed all day long. She went in the morning to the county mental health center for guidance on domestic abuse. When she returned home, she tried to talk to her husband, telling him to "straighten up. Quit drinking.... I'm going to have you committed to help you." Her husband responded, "If you do, I'll see them coming and before they get here, I'll cut your throat."

Later, her husband made her drive him and his friend to Spartanburg to pick up the friend's paycheck. On the way, the friend testified, defendant's husband "started slapping on her" when she was following a truck too closely, and he periodically poured his beer into a glass, then reached over and poured it on defendant's head. At one point defendant's husband lay down on the front seat with his head on the arm rest, "like he was going to go to sleep," and kicked defendant, who was still driving, in the side of the head.

Mark Navarra testified that in the year and a half he had lived with the Normans, he had never seen defendant's husband madder than he was on 12 June, opining that it was the DUI arrest two days before that had ignited J.T.'s fury. Phyllis testified that her father had beaten her mother "all day long." She testified that this was the third day defendant's husband had forbidden her to eat any food. Phyllis said defendant's family tried to get her to eat, but defendant, fearing a beating, would not. Although Phyllis's grandmother had sent over a bag of groceries that day, defendant's husband had made defendant put them back in the bag and would not let anyone eat them.

Early in the evening of 12 June, defendant's husband told defendant, "Let's go to bed." Phyllis testified that although there were two beds in the room, her father had forbidden defendant from sleeping on either. Instead, he had made her lie down on the concrete floor between the two beds, saying, "Dogs don't lay in the bed. They lay in the floor." Shortly afterward, defendant testified, Phyllis came in and asked her father if defendant could take care of her baby while she went to the store. He assented and eventually went to sleep. Defendant was still on the floor, the baby on the small bed. The baby started to cry and defendant "snuck up and took him out there to [her] mother's [house]." She asked her mother to watch the baby, then asked if her mother had anything for headache, as her head was "busting." Her mother responded that she had some pain pills in her purse. Defendant went in to get the pills, "and the gun was in there, and I don't know, I just seen the gun, and I took it out, and I went back there and shot him."

From this evidence of the exacerbated nature of the last three days of twenty years of provocation, a juror could conclude that defendant believed that her husband's threats to her life were viable, that serious bodily harm was imminent, and that it was necessary to kill her husband to escape that harm. And from this evidence a juror could find defendant's belief in the necessity to kill her husband not merely reasonable but compelling.

The third element for entitlement to an instruction on self-defense requires that there be evidence that the defendant was not the aggressor in bringing on the affray. If the defendant was the aggressor and killed with murderous intent, that is, the intent to kill or inflict serious bodily harm, then she is not entitled to an instruction on self-defense. State v. Mize, 316 N.C. 48, 340 S.E.2d 439. A hiatus between provocation by the decedent and the killing can mark the initiation of a new confrontation between the defendant and the decedent, such that the defendant's earlier perception of imminent danger no longer appears reasonable and the defendant becomes the aggressor. For example, in Mize, the defendant, who had been told the day before that the decedent was "out to get" him, went to the decedent's trailer with a shotgun, knocked on the front door, and hid under the steps when the decedent opened the door and asked who was there. Defendant then went to the back door, [21] knocked again, and shot the decedent. When the defendant went with his shotgun to the decedent's trailer, this Court said, it was a new confrontation, and if the defendant still believed that it was necessary to kill the decedent to avoid his own imminent death, that belief was unreasonable.

Where the defendant is a battered wife, there is no analogue to the victim-turned-aggressor, who, as in Mize, turns the tables on the decedent in a fresh confrontation. Where the defendant is a battered wife, the affray out of which the killing arises can be a continuing assault. There was evidence before the jury that it had not been defendant but her husband who had initiated "the affray," which the jury could have regarded as lasting twenty years, three days, or any number of hours preceding his death. And there was evidence from which the jury could infer that in defendant's mind the affray reached beyond the moment at which her husband fell asleep. Like the ongoing threats of death or great bodily harm, which she might reasonably have perceived as imminent, her husband continued to be the aggressor and she the victim.

Finally, the fourth element of self-defense poses the question of whether there was any evidence tending to show that the force used by defendant to repel her husband was not excessive, that is, more than reasonably appeared to be necessary under the circumstances. This question is answered in part by abundant testimony describing defendant's immobilization by fear caused by abuse by her husband. Three witnesses, including the decedent's best friend, all recounted incidents in which defendant passively accepted beating, kicks, commands, or humiliating affronts without striking back. From such evidence that she was paralyzed by her husband's presence, a jury could infer that it reasonably appeared to defendant to be necessary to kill her husband in order ultimately to protect herself from the death he had threatened and from severe bodily injury, a foretaste of which she had already experienced.

In State v. Wingler, 184 N.C. 747, 115 S.E. 59 (1922), in which the defendant was found guilty for the murder of his wife, Justice (later Chief Justice) Stacy recognized the pain and oppression under which a woman suffers at the hands of an abusive husband: "The supreme tragedy of life is the immolation of woman. With a heavy hand, nature exacts from her a high tax of blood and tears." Id. at 751, 115 S.E. at 61. By his barbaric conduct over the course of twenty years, J.T. Norman reduced the quality of the defendant's life to such an abysmal state that, given the opportunity to do so, the jury might well have found that she was justified in acting in self-defense for the preservation of her tragic life.

It is to be remembered that defendant does not have the burden of persuasion as to self-defense; the burden remains with the state to prove beyond a reasonable doubt that defendant intentionally killed decedent without excuse or justification. See State v. Mash, 323 N.C. 339, 346, 372 S.E.2d 532, 537 (1988) (the state must satisfy the jury beyond a reasonable doubt that, despite evidence of intoxication, defendant did form a deliberate and premeditated intent to kill). If the evidence in support of self-defense is sufficient to create a reasonable doubt in the mind of a rational juror whether the state has proved an intentional killing without justification or excuse, self-defense must be submitted to the jury. This is such a case.

[1] This interpretation of the meaning of "imminent" is reflected in the Comments to the Model Penal Code: "The actor must believe that his defensive action is immediately necessary and the unlawful force against which he defends must be force that he apprehends will be used on the present occasion, but he need not apprehend that it will be immediately used." Model Penal Code § 3.04 comment (ALI 1985).

10.2.5 Notes & Questions (State v. Norman) 10.2.5 Notes & Questions (State v. Norman)

By Cydney Chilimidos and Zachary Nemirovsky

Notes & Questions

1. The Norman Trial and its Aftermath: When Judy Norman was asked why she killed her husband, she told the court:

“Because I was scared of him and I knowed when he woke up, it was going to be the same thing, and I was scared when he took me to the truck stop that night it was going to be worse than he had ever been. I just couldn’t take it no more. There ain’t no way [crying], even if it means going to prison. It’s better than living in that. That’s worse hell than anything [crying].”1

Norman was subsequently convicted of manslaughter and sentenced to prison for six years. After the trial, attorney Robert Wolf collected several thousand signatures on a petition for clemency, which he submitted to the Governor of North Carolina, James T. Martin. Norman was in prison for two months when Governor Martin commuted her sentence to time served.

2. More on Battered Spouse Syndrome: According to Sue Osthoff & Holly Maguigan:

“Over the years, experiences in criminal courts [have] persuaded advocates, lawyers, and researchers to move beyond the “battered woman syndrome” formulation to more comprehensive testimony. They came to understand that BWS fails to capture the full experience of battered women, and that its risks subjecting women who are battered to labels that deny their diversity and that portray them as helpless and incapacitated * * *.

The “syndrome” label may encourage jurors to perceive the defendant as pathological. Such a perception is at odds with a defense argument that the woman’s actions were actually reasonable in light of the circumstances. * * *

More recent work has made it clear that BWS is no longer the appropriate term to describe either the state of our knowledge or the content of expert testimony. The phrase, “testimony on battering and its effects” more accurately describes the expert evidence because it focuses on battered women’s experiences, moves their social context to the foreground, emphasizes the diversity of their range of reactions, and highlights the utility of expert testimony to explain the psychological sequelae of living with violence.”2

3. Intimate Partner Violence Statistics: According to the Family Safety Center, approximately 92% of all women in California prisons have been battered or abused in their lifetimes. As many as 90% of women in jail today for killing men had been battered by those men, and, in 60% of cases where a woman killed her significant other, the woman claims that the victim abused her or assaulted her at the time of the crime. Among victims of abuse, women are 75% of the total, while victims of self-defense were 96% male. Despite the fact that women are commonly victims of abuse before murdering their significant other, the average prison sentence of women who kill their male partners is 15 years, whereas the average sentence for men who kill their female partners is 2-6 years.

While women are more commonly perceived as the victims of intimate partner violence, it is important to note that men are not exempt from experiencing intimate partner violence. The National Coalition Against Domestic Violence (NCADV) reports that 1 in 3 women and 1 in 4 men have experienced some form of physical violence by an intimate partner. It goes further to report that 1 in 4 women and 1 in 7 men have been victims of severe physical violence by an intimate partner in their lifetime. 

4. Intimate Partner Violence and the Imminency Requirement: Consider the following observation by Professor Richard Rosen:

“On one level the view of the majority of the North Carolina Supreme Court is unassailable—the threat of death or great bodily harm was not imminent when Ms. Norman shot her husband, not, at least, by any reasonable interpretation of the word imminent. At the time she killed her husband, Ms. Norman had at least several hours of peace and safety before her, and even more if she chose to be absent when her husband awoke. Thus, to the extent the court was simply applying the settled law * * * its decision was surely correct. The attempt by the dissent to wrestle the facts of this case into the confines of the imminence requirement, while understandable and perhaps even laudable, was unpersuasive. * * *”

Richard A. Rosen, On Self-Defense, Imminence, and Women Who Kill Their Batterers, 71 N.C. L. Rev. 371, 375–76 (1993).

  In order to successfully utilize self-defense as a justification the necessity element, which states that lethal force against an aggressor may not be used unless necessary, must be satisfied. Do you think that the application of necessity or imminency should bear more weight when considering abuse as a precedent for a self-defense claim? Did the Norman court err in emphasizing imminence over necessity?

5. Brief History of the use of BWS Testimony in California: Rosemary Dyer was sentenced to life without parole in 1989 for killing her husband. Her conviction rested on two pieces of evidence: lying in wait and murder for financial gain. The facts of the case resemble those in Norman, except this case included the additional fact that Dyer purchased a life insurance policy for her husband several weeks before she shot him. Her explanation was that he ordered her to purchase policies for both of them, but that she was denied coverage because of her long history of health problems, stemming in part from abuse. Her case, in part, led to the passage of legislation known as the Sin by Silence Bills.3

  Prior to 1996, judges did not allow expert testimony related to battered woman syndrome as part of the defense. The California Penal Code stated in relevant part:

“Homicide is … justifiable when committed by any person in any of the following cases:

    1. When resisting any attempt to murder any person, or to commit a felony, or to do some great bodily injury upon any person; or, …
    2. When committed in the lawful defense of such person, … when there is reasonable ground to apprehend a design to commit a felony or to do some great bodily injury, and imminent danger of such design being accomplished; but such person, … must really and in good faith have endeavored to decline any further struggle before the homicide was committed; …”

  After Dyer's conviction, California Evidence Code 1107 was passed, which states:

“(a) In a criminal action, expert testimony is admissible by either the prosecution or the defense regarding intimate partner battering and its effects, including the nature and effect of physical, emotional, or mental abuse on the beliefs, perceptions, or behavior of victims of domestic violence, except when offered against a criminal defendant to prove the occurrence of the act or acts of abuse which form the basis of the criminal charge.

(b) The foundation shall be sufficient for admission of this expert testimony if the proponent of the evidence establishes its relevancy and the proper qualifications of the expert witness. Expert opinion testimony on intimate partner battering and its effects shall not be considered a new scientific technique whose reliability is unproven.”

  While Dyer’s case gave rise to legal reform when considering intimate partner violence cases, it did not retroactively change the outcome of her case. How might these new statutes and evidentiary rules have changed the outcome of the Norman case? Do you think Dyer’s case would have turned out differently had these statutes been passed prior to her conviction?

6. In People v. Humphrey (1996), the defendant, Evelyn Humphrey, killed Albert Hampton, a man with whom she had been living with. She testified about the abuse he inflicted on her while they lived together. After her testimony was corroborated and an expert witness testified that her abuse led to the defendant suffering from an extreme pattern of battered women’s syndrome, the trial court instructed the jury to consider the evidence regarding battered women's syndrome only in deciding whether the defendant actually believed it was necessary to kill in self-defense, and not in deciding whether that belief was reasonable.

  The Supreme Court of California reversed the trial and appellate court judgments indicating that the trial court erred in its instruction because “evidence of battered women's syndrome is generally relevant to the reasonableness, as well as the subjective existence, of a defendant's belief in the need to defend, and, to the extent it is relevant, the jury may consider it in deciding both questions.”4 Consider the following excerpt from People v. Humphrey:

“For killing to be in self-defense, the defendant must actually and reasonably believe in the need to defend. *** If the belief subjectively exists but is objectively unreasonable, there is ‘imperfect self-defense,’ i.e., ‘the defendant is deemed to have acted without malice and cannot be convicted of murder,’ but can be convicted of manslaughter. *** To constitute ‘perfect self-defense,’ i.e., to exonerate the person completely, the belief must also be objectively reasonable.*** As the Legislature has stated, ‘[T]he circumstances must be sufficient to excite the fears of a reasonable person ....’ *** Moreover, for either perfect or imperfect self-defense, the fear must be of imminent harm. ‘Fear of future harm-no matter how great the fear and no matter how great the likelihood of the harm-will not suffice. The defendant's fear must be of imminent danger to life or great bodily injury.’”5

Assume that in the Norman case, because the defendant killed the decedent while he was sleeping, her self-defense claim becomes an imperfect self-defense. This should not have surprised her lawyer, who surely understood that the imminence requirement was not met. Do you think her self-defense claim was made in error?

7. Consider three different scenarios:

a. Taylor is routinely physically and mentally abused by their partner. After ten years of escalating abuse, Taylor kills their partner by poisoning his food.

b. David is routinely physically and emotionally abused by his wife. Every time he does something innocuous that she perceives to be wrong, she berates him and threatens him. Sometimes, it escalates to her hitting him with objects. One day, when David is getting screamed at, he stabs his wife, killing her.

c. Allison is routinely physically and emotionally abused by her husband, Steve. One day, Steve lunges toward her with a meat cleaver. She has been hit by him before, and in her state of panic, she stabs Steve, killing him.

 

  Each of these scenarios involves prior abuse, with varying degrees of imminent danger. Assume each of these individuals experienced the effects of “battered spouse syndrome.” If the defendant in each situation claimed self defense, under the rule outlined in Norman, would they be successful?  Under MPC § 3.04? What if imminence was not required? 

8. How would you change the ruling from Norman? Create your own statutory language for self defense.

Now consider this scenario:

Noel is driving down Main Street, when she receives a text message. She looks down at her phone, and unintentionally runs a red light. Noel looks back at the road and narrowly misses hitting Jimmy, who had the green light. After this near collision, Jimmy turns his car around to follow Noel. He catches up to her, rams into her, and her car flips multiple times. Noel died instantly.

What outcome under your new self-defense statute? 

9. Review of Norman. Without a self-defense instruction, explain why Norman is guilty of murder. 

10. Why did the jury convict on voluntary manslaughter without a self-defense instruction?  Would there have been provocation or heat of passion?

11. If Judy Norman was entitled to use deadly force in self-defense, what would this do to JT’s ability to claim self-defense?


1 State v. Norman, Transcript, File No. 85-CRS-3890, page 142.

2 Sue Osthoff & Holly Maguigan, Explaining Without Pathologizing: Testimony on Battering and Its Effects, in Current Controversies on Family Violence 225, 229–31 (Donileen R. Loseke et al. eds., 2005)

3 For those interested, Rosemary Dyer’s case (amongst others) has been captured in Sin by Silence, a documentary film about domestic violence.

4 People v. Humphrey, 13 Cal. 4th 1073, 921 P.2d 1 (1996)

5 Id.

 

 

 

 

10.2.6 Florida Statute on Justifiable Use of Force 10.2.6 Florida Statute on Justifiable Use of Force

CHAPTER 776

JUSTIFIABLE USE OF FORCE

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

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

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

10.3 Necessity and Duress 10.3 Necessity and Duress

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?

The defense of necessity: 

“The defense of necessity can arise in a myriad of circumstances, but is rarely successful. It is most often invoked successfully when an actor encounters the following dilemma: As a result of some natural (non-human) force or condition, he must choose between violating a relatively minor offense, on the one hand, and suffering (or allowing others to suffer) substantial harm to person or property, on the other hand. For example, the necessity defense applies if a sailor violates an embargo by putting into a foreign port due to dangerous and unforeseeable weather conditions, a person drives on a suspended license in order to take a loved one to the hospital in a life-endangering emergency, or a motorist exceeds the speed limit in order to pass another car and move to the right lane, so that an emergency vehicle can pass.”

The defense of duress:

“The contours of duress defense differ by jurisdiction. However, very generally speaking, a person will be acquitted of any offense except murder if the criminal act was committed under the following circumstances: (1) another person threatened to kill or grievously injure the actor or a third party unless she committed the offense; (2) the actor reasonably believed that the threat was genuine; (3) the threat was “present, imminent, and impending” at the time of the criminal act; (4) there was no reasonable escape from the threat except through compliance with the demands of the coercer; and (5) the actor was not at fault in exposing herself to the threat.” [1]

 

 

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

10.3.2 Notes and Questions (MPC 2.09) 10.3.2 Notes and Questions (MPC 2.09)

1. See California’s definition of duress, below. How does it compare with the MPC's definition?

California Criminal Jury Instructions 

  1. Duress or Threats

The defendant is not guilty of <insert crime[s]> if (he/she) acted under duress. The defendant acted under duress if, because of threat or menace, (he/she) believed that (his/her/ [or] someone else’s) life would be in immediate danger if (he/she) refused a demand or request to commit the crime[s]. The demand or request may have been express or implied.

The defendant’s belief that (his/her/ [or] someone else’s) life was in immediate danger must have been reasonable. When deciding whether the defendant’s belief was reasonable, consider all the circumstances as they were known to and appeared to the defendant and consider what a reasonable person in the same position as the defendant would have believed.

A threat of future harm is not sufficient; the danger to life must have been immediate.

2. How does the defense of duress comport with what we’ve read and discussed about the purposes of punishment? 

3. In your opinion, should duress be a general defense, or an offense specific defense? Why? 

4. In what situations do you think a duress defense would be successful? 

5. In what situations do you think a duress defense would be unsuccessful?

 

10.3.3 Nelson v. State 10.3.3 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.

10.3.4 Notes and Questions (Nelson v. State) 10.3.4 Notes and Questions (Nelson v. State)

1. What does Nelson have to be reasonable about to have a successful defense?

2. Consider this excerpt from United States v. Schoon:

The law could not function were people allowed to rely on their subjective beliefs and value judgments in determining which harms justified the taking of criminal action. See United States v. Moylan, 417 F.2d 1002, 1008-09 (4th Cir.1969) (“[E]xercise of a moral judgment based upon individual standards does not carry with it legal justification or immunity from punishment for breach of the law.... Toleration of such conduct would [be] inevitably anarchic.”), cert, denied, 397 U.S. 910, 90 S.Ct. 908, 25 L.Ed.2d 91 (1970).[1]

What is the court saying about the defense of necessity? 

 

[1] United States v. Schoon, 971 F.2d 193 (9th Cir. 1991), as amended (Aug. 4, 1992)

 

10.3.5 United States v. Contento-Pachon 10.3.5 United States v. Contento-Pachon

UNITED STATES of America, Plaintiff-Appellee, v. Juan Manuel CONTENTO-PACHON, Defendant-Appellant.

No. 82-1687.

United States Court of Appeals, Ninth Circuit.

Submitted July 8, 1983.

Decided Jan. 12, 1984.

*692Nicholas DeWitt, Asst. U.S. Atty., Los Angeles, Cal., for plaintiff-appellee.

Samuel Jackson, Los Angeles, Cal., for defendant-appellant.

Before FERGUSON and BOOCHEVER, Circuit Judges, and COYLE, District Judge*.

BOOCHEVER, Circuit Judge.

This case presents an appeal from a conviction for unlawful possession with intent to distribute a narcotic controlled substance in violation of 21 U.S.C. § 841(a)(1) (1976). At trial, the defendant attempted to offer *693evidence of duress and necessity defenses. The district court excluded this evidence on the ground that it was insufficient to support the defenses. We reverse because there was sufficient evidence of duress to present a triable issue of fact.

I. FACTS

The defendant-appellant, Juan Manuel Contento-Pachon, is a native of Bogota, Colombia and was employed there as a taxicab driver. He asserts that one of his passengers, Jorge, offered him a job as the driver of a privately-owned car. Contento-Pachon expressed an interest in the job and agreed to meet Jorge and the owner of the car the next day.

Instead of a driving job, Jorge proposed that Contento-Pachon swallow cocaine-filled balloons and transport them to the United States. Contento-Pachon agreed to consider the proposition. He was told not to mention the proposition to anyone, otherwise he would “get into serious trouble.” Contento-Pachon testified that he did not contact the police because he believes that the Bogota police are corrupt and that they are paid off by drug traffickers.

Approximately one week later, Contento-Pachon told Jorge that he would not carry the cocaine. In response, Jorge mentioned facts about Contento-Pachon’s personal life, including private details which Contento-Pachon had never mentioned to Jorge. Jorge told Contento-Pachon that his failure to cooperate would result in the death of his wife and three year-old child.

The following day the pair met again. Contento-Pachon’s life and the lives of his family were again threatened. At this point, Contento-Pachon agreed to take the cocaine into the United States.

The pair met two more times. At the last meeting, Contento-Pachon swallowed 129 balloons of cocaine. He was informed that he would be watched at all times during the trip, and that if he failed to follow Jorge’s instruction he and his family would be killed.

After leaving Bogota, Contento-Pachon’s plane landed in Panama. Contento-Pachon asserts that he did not notify the authorities there because he felt that the Panamanian police were as corrupt as those in Bogota. Also, he felt that any such action on his part would place his family in jeopardy-

When he arrived at the customs inspection point in Los Angeles, Contento-Pachon consented to have his stomach x-rayed. The x-rays revealed a foreign substance which was later determined to be cocaine.

At Contento-Pachon’s trial, the government moved to exclude the defenses of duress and necessity. The motion was granted. We reverse.

A. DURESS

There are three elements of the duress defense: (1) an immediate threat of death or serious bodily injury, (2) a well-grounded fear that the threat will be carried out, and (3) no reasonable opportunity to escape the threatened harm. United States v. Shapiro, 669 F.2d 593, 596 (9th Cir.1982). Sometimes a fourth element is required: the defendant must submit to proper authorities after attaining a position of safety. United States v. Peltier, 693 F.2d 96 (9th Cir.1982) (per curiam).

Factfinding is usually a function of the jury, and the trial court rarely rules on a defense as a matter of law. See Sandstrom v. Montana, 442 U.S. 510, 523, 99 S.Ct. 2450, 2459, 61 L.Ed.2d 39 (1979). If the evidence is insufficient as a matter of law to support a duress defense, however, the trial court should exclude that evidence. United States v. Glaeser, 550 F.2d 483, 487 (9th Cir.1977).

The trial court found Contento-Pachon’s offer of proof insufficient to support a duress defense because he failed to offer proof of two elements: immediacy and inescapability.1 We examine the elements of duress.

*694Immediacy: The element of immediacy requires that there be some evidence that the threat of injury was present, immediate, or impending. “[A] veiled threat of future unspecified harm” will not satisfy this requirement.- Rhode Island Recreation Center v. Aetna Casualty and Surety Co., 177 F.2d 603, 605 (1st Cir.1949). See also United States v. Atencio, 586 F.2d 744, 746 (9th Cir.1978) (per curiam) (citing United States v. Patrick, 542 F.2d 381 (7th Cir.1976)). The district court found that the initial threats were not immediate because “they were conditioned on defendant’s failure to cooperate in the future and did not place defendant and his family in immediate danger.”

Evidence presented on this issue indicated that the defendant was dealing with a man who was deeply involved in the exportation of illegal substances. Large sums of money were at stake and, consequently, Contento-Pachon had reason to believe that Jorge would carry out his threats. Jorge had gone to the trouble to discover that Contento-Pachon was married, that he had a child, the names of his wife and child, and the. location of his residence. These were not vague threats of possible future harm. According to the defendant, if he had refused to cooperate, the consequences would have been immediate and harsh.

Contento-Pachon contends that he was being watched by one of Jorge’s accomplices at all times during the airplane trip. As a consequence, the force of the threats continued to restrain him. Contento-Pachon’s contention that he was operating under the threat of immediate harm was supported by sufficient evidence to present a triable issue of fact.

Escapability: The defendant must show that he had no reasonable opportunity to escape. See United States v. Gordon, 526 F.2d 406, 407 (9th Cir.1975). The district court found that because Contento-Pachon was not physically restrained prior to the time he swallowed the balloons, he could have sought help from the police or fled. Contento-Pachon explained that he did not report the threats because he feared that the police were corrupt. The trier of fact should decide whether one in Contento-Pachon’s position might believe that some of the Bogota police were paid informants for drug traffickers and that reporting the matter to the police did not represent a reasonable opportunity of escape.

If he chose not to go to the police, Contento-Pachon’s alternative was to flee. We reiterate that the opportunity to escape must be reasonable. To flee, Contento-Pachon, along with his wife and three year-old child, would have been forced to pack his possessions, leave his job, and travel to a place beyond the reaches of the drug traffickers. A juror might find that this was not a reasonable avenue of escape. Thus, Contento-Pachon presented a triable issue on the element of escapability.

Surrender to Authorities: As noted above, the duress defense is composed of at least three elements. The government argues that the defense also requires that a defendant offer evidence that he intended to turn himself in to the authorities upon reaching a position of safety. Although it has not been expressly limited, this fourth element seems to be required only in prison escape cases. United States v. Peltier, 693 F.2d 96, 98 (9th Cir.1982) (per curiam); United States v. Michelson, 559 F.2d 567, 570 (9th Cir.1977). Under other circumstances, the defense has been defined to include only three elements. United States v. Shapiro, 669 F.2d 593, 596 (9th Cir.1982) (sale of drugs); United States v. Atencio, 586 F.2d 744, 746 (9th Cir.1978) (per curiam) (failure to appear for trial); and United States v. Wood, 566 F.2d 1108, 1108 (9th Cir.1977) (per curiam) (carrying a knife in a federal prison).

The Supreme Court in United States v. Bailey, 444 U.S. 394, 413, 100 S.Ct. 624, 636, 62 L.Ed.2d 575 (1980), noted that “escape from federal custody ... is a continuing offense and ... an escapee can be held liable for failure to return to custody as *695well as for his initial departure.” This factor would not be present in most crimes other than escape.

In cases not involving escape from prison there seems little difference between the third basic requirement thát there be no reasonable opportunity to escape the threatened harm and the obligation to turn oneself in to authorities on reaching a point of safety. Once a defendant has reached a position where he can safely turn himself in to the authorities he will likewise have a reasonable opportunity to escape the threatened harm.

That is true in this case. Contento-Pachon claims that he was being watched at all times. According to him, at the first opportunity to cooperate with authorities without alerting the observer, he consented to the x-ray. We hold that a defendant who has acted under a well-grounded fear of immediate harm with no opportunity to escape may assert the duress defense, if there is a triable issue of fact whether he took the opportunity to escape the threatened harm by submitting to authorities at the first reasonable opportunity.

B. NECESSITY

The defense of necessity is available when a person is faced with a choice of two evils and must then decide whether to commit a crime or an alternative act that constitutes a greater evil. United States v. Richardson, 588 F.2d 1235, 1239 (9th Cir.1978), cert. denied, 441 U.S. 931, 99 S.Ct. 2049, 60 L.Ed.2d 658, 440 U.S. 947, 99 S.Ct. 1426, 59 L.Ed.2d 636 (1979). Contento-Pachon has attempted to justify his violation of 21 U.S.C. § 841(a)(1) by showing that the alternative, the death of his family, was a greater evil.

Traditionally, in order for the necessity defense to apply, the coercion must have had its source in the physical forces of nature. The duress defense was applicable when the defendant’s acts were coerced by a human force. W. LaFave & A. Scott, Handbook on Criminal Law § 50 at 383 (1972). This distinction served to separate the two similar defenses. But modern courts have tended to blur the distinction between duress and necessity.

It has been suggested that, “the major difference between duress and necessity is that the former negates the existence of the requisite mens rea for the crime in question, whereas under the latter theory there is no actus reus.” United States v. Micklus, 581 F.2d 612, 615 (7th Cir.1978). The theory of necessity is that the defendant’s free will was properly exercised to achieve the greater good and not that his free will was overcome by an outside force as with duress.

The defense of necessity is usually invoked when the defendant acted in the interest of the general welfare. For example, defendants have asserted the defense as a justification for (1) bringing laetrile into the United States for the treatment of cancer patients, Richardson, 588 F.2d at 1239; (2) unlawfully entering a naval base to protest the Trident missile system, United States v. May, 622 F.2d 1000, 1008-09 (9th Cir.), cert. denied, 449 U.S. 984, 101 S.Ct. 402, 66 L.Ed.2d 247 (1980); (3) burning Selective Service System records to protest United States military action, United States v. Simpson, 460 F.2d 515, 517 (9th Cir.1972).

Contento-Pachon’s acts were allegedly coerced by human, not physical forces. In addition, he did not act to promote the general welfare. Therefore, the necessity defense was not available to him. Contento-Pachon mischaracterized evidence of duress as evidence of necessity. The district court correctly disallowed his use of the necessity defense.

II. CONCLUSION

Contento-Pachon presented credible evidence that he acted under an immediate and well-grounded threat of serious bodily injury, with no opportunity to escape. Because the trier of fact should have been allowed to consider the credibility of the proffered evidence,2 we reverse. The dis*696trict court correctly excluded Contento-Pachon’s necessity defense.

REVERSED and REMANDED.

COYLE, District Judge

(dissenting in part and concurring in part):

In order to establish a defense of duress, the trial court in this case required Contento-Pachon to show (1) that he or his family was under an immediate threat of death or serious bodily injury; (2) that he had a well grounded fear that the threat would be carried out; and (3) that he had no reasonable opportunity to escape the threat. Applying this three-part test, the trial court found that the defendant’s offer of proof was insufficient to support a defense of duress. The government argues that this holding should be affirmed and I agree.

The government also contends that the defense of duress includes a fourth element: That a defendant demonstrate that he submitted to proper authorities after attaining a position of safety. This is not an unreasonable requirement and I believe it should be applied. I do not agree with the majority’s conclusion that the fourth element of the duress defense is only required in prison escape cases. Cases applying the fourth element have not so expressly limited its application. See, e.g., United States v. Peltier, 693 F.2d 96, 98 (9th Cir.1982); United States v. Campbell, 609 F.2d 922, 924 (8th Cir.1979), cert. denied, 445 U.S. 918, 100 S.Ct. 1282, 63 L.Ed.2d 604 (1980); United States v. Michelson, 559 F.2d 567, 569-70 (9th Cir.1977). The distinction which the majority attempts to draw between prison escape cases and non-prison escape cases is not persuasive. The force of threats which allegedly excused the defendant’s failure to submit to proper authorities upon his arrival in Los Angeles are no more present, immediate, or impending than the force of threats or fear of retaliation faced by a “snitch” upon his return to prison after an escape.

In granting the government’s motion in limine excluding the defense of duress, the trial court specifically found Contento-Pachon had failed to present sufficient evidence to establish the necessary elements of immediacy and inescapability. In its Order the district court stated:

The first threat made to defendant and his family about three weeks before the flight was not immediate; the threat was conditioned upon defendant’s failure to cooperate in the future and did not place the defendant and his family in immediate danger or harm. Moreover, after the initial threat and until he went to the house where he ingested the balloons containing cocaine, defendant and his family were not physically restrained and could have sought help from the police or fled. See United States v. Gordon, 526 F.2d 406 (9th Cir.1975). No such efforts were attempted by defendant. Thus, defendant’s own offer of proof negates two necessary elements of the defense of duress.

In cases where the defendant’s duress has been raised, the courts have indicated that the element of immediacy is of crucial importance. See, e.g., United States v. Atencio, 586 F.2d 744, 746 (9th Cir.1978); United States v. Patrick, 542 F.2d 381, 388 (7th Cir.1976); see also United States v. Polytarides, 584 F.2d 1350 (4th Cir.1978). The trial court found that the threats made against the defendant and his family lacked the requisite element of immediacy. This finding is adequately supported by the record. The defendant was outside the presence of the drug dealers on numerous occasions for varying lengths of time. There is no evidence that his family was ever directly threatened or even had knowledge of the threats allegedly directed against the defendant.

*697Moreover, the trial court found that the defendant and his family enjoyed an adequate and reasonable opportunity to avoid or escape the threats of the drug dealers in the weeks before his flight. Until he went to the house where he ingested the balloons containing cocaine, defendant and his family were not physically restrained or prevented from seeking help. The record supports the trial court’s findings that the defendant and his family could have sought assistance from the authorities or have fled. Cases considering the defense of duress have established that where there was a reasonable legal alternative to violating the law, a chance to refuse to do the criminal act and also to avoid the threatened danger, the defense will fail. Duress is permitted as a defense only when a criminal act was committed because there was no other opportunity to avoid the threatened danger. United States v. Hernandez, 608 F.2d 741, 750 (9th Cir.1979); United States v. Wood, 566 F.2d 1108, 1109 (9th Cir.1977); United States v. Michelson, 559 F.2d 567, 569 (9th Cir.1977).

The district court is vested with broad discretion whether to admit or exclude proffered evidence and its rulings will not be overturned on review without a clear showing of abuse of discretion. United States v. Brannon, 616 F.2d 413, (9th Cir.) cert. denied sub nom. Cox v. United States, 447 U.S. 908, 100 S.Ct. 2993, 64 L.Ed.2d 858 (1980); United States v. Castillo, 615 F.2d 878 (9th Cir.1980); United States v. Kearney, 560 F.2d 1358 (9th Cir.) cert. denied, 434 U.S. 971, 98 S.Ct. 522, 54 L.Ed.2d 460 (1977). Because the district court’s decision granting the government’s motion in limine is fully and adequately supported by the record, I cannot agree that the district court abused its discretion and I therefore respectfully dissent.

I agree with the majority, however, that the district court properly excluded Contento-Pachon’s necessity defense.

10.3.6 The Queen v. Dudley and Stephens 10.3.6 The Queen v. Dudley and Stephens

See Casebook 1.4

Read the edited version in section 1.4 of this casebook.


THE QUEEN v. DUDLEY AND STEPHENS

December 9, 1884

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

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

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

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

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

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

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

Dec. 4.

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

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

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

[He was stopped.]

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

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

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

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

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

-- -- --

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

"So spake the Fiend, and with necessity

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

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

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

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

Solicitors for the Crown: The Solicitors for the Treasury. 

Solicitors for the prisoners: Irvine & Hodges.

NOTES

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

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

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

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

10.3.7 Notes and Questions (Duress and Necessity) 10.3.7 Notes and Questions (Duress and Necessity)

1. After a night of drinking with her abusive ex-boyfriend, B, A overhears B mumbling that he is going to burn down her home and his parents’ home. A screams for help and calls 911. She then gets in her car and drives to B’s parents’ house to warn them of B’s plan. After honking in front of their home, A drives to the nearest highway to wait for the state troopers that were dispatched after her 911 call. A had been drinking before she got in her car, and troopers arrest her for a felony DUI. [1]

a. Is A entitled to a defense of necessity under MPC 3.02? 

b. Would your answer change if A lived in rural Alaska? What if she lived in a crowded neighborhood in San Francisco?

2. 30 people, including C and D, decide to protest the United States’ involvement in El Salvador. The protestors enter the IRS office in Arizona, where they chant “Keep America’s tax dollars out of El Salvador” and splash fake blood over the walls, floors, and counters of the IRS offices. After several warnings to leave, the group is arrested by federal police officers. At trial, C and D argue that the conditions in El Salvador motivated their conduct and that their actions in the IRS office were necessary to prevent further bloodshed in the country. The judge denied their defense and convicted them.[2]

a. If you were an appellate judge, would you affirm C’s and D’s conviction using this necessity statute: 

To invoke the necessity defense, therefore, the defendants colorably must have shown that: (1) they were faced with a choice of evils and chose the lesser evil; (2) they acted to prevent imminent harm; (3) they reasonably anticipated a direct causal relationship between their conduct and the harm to be averted; and (4) they had no legal alternatives to violating the law. United States v. Aguilar, 883 F.2d 662, 693 (9th Cir.1989), cert. denied, — U.S. -, 111 S.Ct. 751, 112 L.Ed.2d 771 (1991)

b. What about under the MPC? 

3. Courts often deny the necessity defense because, (1) the requisite immediacy was lacking; (2) the actions taken would not abate the evil; and (3) other legal alternatives existed.  Some examples where necessity defenses could be successful include:

    1. The policy underlying the necessity defense is the promotion of greater values at the expense of lesser values” Dorrell, 758 F.2d at 432.
    2. Pursuant to the defense, prisoners could escape a burning prison, see, e.g., Baender v. Barnett, 255 U.S. 224, 226, 41 S.Ct. 271, 272, 65 L.Ed. 597 (1921)
    3. A person lost in the woods could steal food from a cabin to survive, see Posner, An Economic Theory of the Criminal Law, 85 Colum.L.Rev. 1193, 1205 (1985); 
    4. An embargo could be violated because adverse weather conditions necessitated sale of the cargo at a foreign port, see The William Gray, 29 F.Cas. 1300, 1302 (C.C.D.N.Y. 1810); 
    5. A crew could mutiny where their ship was thought to be unseaworthy, see United States v. Ashton, 24 F.Cas. 873, 874 (C.C.D.Mass. 1834); 
    6. Property could be destroyed to prevent the spread of fire, see, e.g., Surocco v. Geary, 3 Cal. 69, 74 (1853).

a. Should there be an exception for civil disobedience? Why or why not?

b. Recall Navarro where the defendant was acquitted because he lacked the specific intent to steal the wooden beams. What are the purposes for these rules that only punish specific intent? Are these policy-based judgments? Value judgments? Explain your reasoning. 

4. Consider these two formulations of the trolley problem (for an academic version, see this article; the formulations below were taken from this article):

Version one:

A runaway trolley is heading down the tracks toward five workers who will all be killed if the trolley proceeds on its present course. Adam is standing next to a large switch that can divert the trolley onto a different track. The only way to save the lives of the five workers is to divert the trolley onto another track that only has one worker on it. If Adam diverts the trolley onto the other track, this one worker will die, but the other five workers will be saved.

Should Adam flip the switch, killing the one worker but saving the other five? 

Version two:

A runaway trolley is heading down the tracks toward five workers who will all be killed if the trolley proceeds on its present course. Adam is on a footbridge over the tracks, in between the approaching trolley and the five workers. Next to him on this footbridge is a stranger who happens to be very large. The only way to save the lives of the five workers is to push this stranger off the footbridge and onto the tracks below where his large body will stop the trolley. The stranger will die if Adam does this, but the five workers will be saved.

Should Adam push the stranger off the footbridge, killing him but saving the five workers?

a. Would Adam have a successful defense under MPC 3.02?

b. Should society allow for someone to be acquitted of murder due to necessity? 

5. In People v. Anderson, the court rejected the defendant’s duress defense to murder. In its ruling, the court considered the following scenario: California is struggling to respond to the problem of gang violence. If duress is recognized as a defense to the killing of innocents, then persons who know they can claim duress will be more likely to follow a gang order to kill instead of resisting than would those who know they must face the consequences of their acts. Accepting the duress defense for any form of murder would thus encourage killing. [3]

a. Under these circumstances, using MPC 2.09, what degree of murder might apply to a person who killed someone else under gang order to kill? (i.e. is it premeditation? Or is it disturbed by hot blood? Or is it provocation--even if not provoked by the person killed?).

b. Should duress mitigate a murder charge to manslaughter? Why or why not? 

6. Felony murder defense. F’s dog is kidnapped from his home. The perpetrators tell F he must help them rob a bank at gunpoint if he ever wants to see his dog again. F aids in the commission of the armed robbery, but one of the perpetrators shoots and kills a guard. F is charged with felony murder and armed robbery. The jury acquits him of the armed robbery charge due to duress. Can F still be charged with felony murder? (i.e. does duress provide a defense to felony murder?3  Use MPC 2.09 in your analysis. 

7. The court in Anderson also held that “the defense of duress is not available to a defendant who recklessly or intentionally placed himself in a situation where coercion to commit criminal acts could reasonably be anticipated.” 3

a. Consider this problem:  Two armed robbers fleeing the scene of a store robbery force their way into a car that is leaving the parking lot. One robber holds a gun to the driver’s head, while the other places a gun against the head of the driver’s wife. They order the driver to take off at high speed and not to stop or "slow down for stop signs or signal lights, threatening immediate death to the driver and his wife.” Would the driver have a duress defense to breaking the traffic laws? 

 

[1] Greenwood v. State, 237 P.3d 1018 (Alaska 2010).

[2] United States v. Schoon, 971 F.2d 193, 197 (9th Cir. 1991), as amended (Aug. 4, 1992)

[3] People v. Anderson, 28 Cal. 4th 767 (2002)

10.4 Intoxication 10.4 Intoxication

10.4.1 United States v. Veach 10.4.1 United States v. Veach

UNITED STATES of America, Plaintiff-Appellee, v. Darwin E. VEACH, Defendant-Appellant.

No. 05-6268.

United States Court of Appeals, Sixth Circuit.

Argued: June 7, 2006.

Decided and Filed: Aug. 1, 2006.

*629ARGUED: Bruce R. Bentley, Zoellers, Hudson & Bentley, London, Kentucky, for Appellant. David P. Grise, Assistant United States Attorney, Lexington, Kentucky, for Appellee. ON BRIEF: Bruce R. Bentley, Zoellers, Hudson & Bentley, London, Kentucky, for Appellant. David P. Grise, Charles P. Wisdom, Jr., Assistant United States Attorney, Lexington, Kentucky, for Appellee.

Before: DAUGHTREY and COLE, Circuit Judges; GRAHAM, District Judge.*

OPINION

MARTHA CRAIG DAUGHTREY, Circuit Judge.

The defendant, Darwin Veach, appeals from his conviction and sentence for resisting a federal law enforcement officer and threatening to assault and murder two fed*630eral law enforcement officers with intent to impede the performance of their official duties. The district court determined that Veach was a career offender and thus sentenced him to an effective prison term of 80 months. The defendant now asserts that the district court erred in preventing him from presenting a diminished capacity defense, in restricting his cross-examination of one of the victims, and in counting his prior conviction for a fourth offense of driving under the influence of intoxicants as a crime of violence. Because we conclude that the district judge improperly restricted Veach’s ability to present a diminished capacity defense to a specific-intent crime, we reverse the defendant’s convictions for threatening to assault and murder law enforcement officers with intent to impede the performance of their official duties and remand this matter for retrial on those counts. Because we are remanding this case for a new trial, we address the remaining evidentiary and sentencing issues merely as a matter of guidance to the district court.

I. FACTUAL AND PROCEDURAL BACKGROUND

There is no dispute concerning the relevant facts underlying the defendant’s convictions. The record establishes that Veach’s automobile was involved in a collision with another vehicle in Cumberland Gap National Historic Park. When United States Park Rangers Greg Mullin and Karen Bradford arrived on the scene, they suspected that the defendant was intoxicated and performed various field sobriety tests and a portable breath test on Veach that confirmed their initial impressions.

While securing the defendant for transport, Ranger Mullin was forced to struggle with Veach, who “attempted to pull away from” Mullin. The defendant also pulled the officer “down to one knee, causing an abrasion on that knee.” Furthermore, as Mullin drove the defendant to the police station for booking, Veach stated, “I’m going to mess with you; if I get a shot at you[,] God dammit I’ll kill you, I will; and I’m going to cut your head off.” Veach was later transported to a local hospital for treatment of a facial cut, and once there he again threatened to decapitate one of the rangers. On the way back to the detention center, Veach threatened Mullin and Bradford once more, saying, “I will put a fuckin’ bullet straight in your fuckin’ head. The sheriff won’t always be in office and 15 years later I’ll walk up on you .... I’m going to drive you’ans all straight to hell.”

Based on these facts, the jury convicted Veach of one count of resisting a federal law enforcement officer, 18 U.S.C. § 111(a)(1), and two counts of threatening to assault and murder a federal law enforcement officer with intent to impede such officer in the performance of official duties, 18 U.S.C. § 115(a)(1)(B). At sentencing, the district judge ruled that Veach’s prior convictions for second-degree manslaughter and for a fourth offense of driving under the influence within five years were crimes of violence that subjected the defendant to sentencing as a career offender. Consequently, the court imposed prison terms of 12 months, 80 months, and 80 months for the respective offenses, to be served concurrently.

II. DISCUSSION

A. Evidentiary Challenges

On appeal, Veach first challenges two evidentiary rulings made by the district court. Specifically, he maintains that the court erred in granting the government’s motion in limine to exclude presentation of a defense of diminished capacity based upon voluntary intoxication. Veach also contends that the district court erred in *631preventing him from cross-examining Ranger Bradford regarding her perception of the threats made by the defendant.

1. Presentation of a Diminished Capacity Defense

As we have held, “[i]t is well established that intoxication, whether voluntary or involuntary, may preclude the formation of specific-intent and thus serve to negate an essential element of certain crimes.” United States v. Newman, 889 F.2d 88, 92 (6th Cir.1989). It is, however, only “the mens rea of a specific-intent crime” that may be negated by a diminished capacity or voluntary intoxication defense; such defenses have no applicability to general intent crimes. See United States v. Gonyea, 140 F.3d 649, 650 (6th Cir.1998) (citations and footnote omitted). To determine whether the district judge properly excluded the defendant’s testimony relating to his level of intoxication at the time of the crimes charged, it is thus necessary to decide, first, whether 18 U.S.C. §§ 111(a)(1) and 115(a)(1)(B) are general or specific intent offenses.

In Gonyea, we highlighted the differences between the two classes of crimes:

[A] specific intent crime is one that requires a defendant to do more than knowingly act in violation of the law. The defendant must also act with the purpose of violating the law. The violation of a general intent crime, by contrast, requires only that a defendant intend to do the act that the law proscribes.

Id. at 653 (citations and internal quotation marks omitted).

Pursuant to the provisions of 18 U.S.C. § 111(a)(1):

Whoever forcibly assaults, resists, opposes, impedes, intimidates, or interferes with [any officer or employee of the United States or of any agency in any branch of the United States Government, or any person assisting such an officer or employee] while engaged in or on account of the performance of official duties ... shall, where the acts ... constitute only simple assault, be fined ... or imprisoned not more than one year, or both ....

This statutory provision clearly indicates that any violator will be punished solely for the forcible assault on, resistance to, opposition to, impedance of, intimidation of, or interference with a designated individual. No other intent on the part of a defendant need be shown; the mere intentional performance of the prohibited act is sufficient to subject the perpetrator to federal criminal liability. The plain language of the statute thus supports the district judge’s conclusion that voluntary intoxication or diminished functional capacity is not a viable defense to a charge of a violation of § 111.

Indeed, we have previously recognized as much in United States v. Kimes, 246 F.3d 800, 808-09 (6th Cir.2001), in which we examined the language and overall purpose of the statute before concluding “that the crime established in 18 U.S.C. § 111(a) is a general intent crime as to which evidence of diminished capacity is not admissible.” Because Kimes is thus the law of the circuit, the district court was not at liberty to disregard that holding and this panel may not now overturn that decision absent intervening Supreme Court direction or an en banc decision of this court. See, e.g., United States v. Seltzer, 794 F.2d 1114, 1123 (6th Cir.1986).

Unlike 18 U.S.C. § 111, however, § 115(a)(1)(B) does contain additional language not found in the former general intent statute. That latter statutory provision reads:

*632Whoever threatens to assault, kidnap, or murder, a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under [18 U.S.C. § 1114], with intent to impede, intimidate, or interfere with such official, judge, or law enforcement officer while engaged in the performance of official duties, or with intent to retaliate against such official, judge, or law enforcement officer on account of the performance of official duties, shall be punished as provided in subsection (b). (Emphasis added.)

Despite the clear linguistic differences in the two statutes, the government argues that § 115, like § 111, contains no element of specific intent. In support of its position, the government cites the holding of the Eleventh Circuit in United States v. Berki, 936 F.2d 529, 532 (11th Cir.1991), “that 18 U.S.C.A. section 115(a)(1)(B) (West Supp.1990) is not a specific intent crime.” See also United States v. Ettinger, 344 F.3d 1149, 1157 (11th Cir.2003). But see United States v. Stewart, 420 F.3d 1007, 1017 (9th Cir.2005) (“Moreover, by its express language, section 115(a)(1)(B) contains a specific intent element: it punishes only threats made regarding enumerated officials with the intent to impede, intimidate, interfere with, or retaliate against such officials on account of the officials’ performance of official duties.”).

The Sixth Circuit has not spoken directly to this issue in a published opinion. Nevertheless, we have recognized “that Congress is fully cognizant of the general intent/specific intent dichotomy,” Kimes, 246 F.3d at 808, and that “[w]here a statute does not specify a heightened mental element such as specific intent, general intent is presumed to be the required element.” United States v. DeAndino, 958 F.2d 146, 148 (6th Cir.1992) (quoting United States v. Brown, 915 F.2d 219, 225 (6th Cir.1990)). Conversely, when the legislative branch “intends to create a specific intent crime, Congress explicitly says so.” Kimes, 246 F.3d at 808. For example:

18 U.S.C. § 113(a)(1), which provides that “assault with intent to commit murder” in the special maritime and territo-i-ial jurisdiction of the United States is a crime punishable by up to 20 years imprisonment. (Emphasis supplied.) Under 18 U.S.C. § 113(a)(3), similarly, “[a]ssault with a dangerous weapon, ivith intent to do bodily harm, and without just cause or excuse ...” is made punishable by up to 10 years imprisonment. (Emphasis supplied.)

Id. In Kimes, we also discussed the situation in Gonyea, noting that in that case:

... the trial court, believing that bank robbery in violation of the first paragraph of 18 U.S.C. § 2113(a) is a general intent crime, had declined to let a defendant charged under that paragraph present evidence of his diminished mental capacity. The first paragraph of 18 U.S.C. § 2113(a) begins thus:
“Whoever, by force and violence, or by intimidation, takes, or attempts to take, from the person or presence of another, or obtains or attempts to obtain by extortion any property or money or any other thing of value belonging to, or in the care, custody, control, management, or possession of, any bank, credit union, or any savings and loan association .... ”

In contrast, the second paragraph begins thus:

“Whoever enters or attempts to enter any bank, credit union, or any savings and loan association, or any building used in whole or in part as a bank, credit union, or as a savings and loan association, with intent to commit in such bank, credit union, or in such *633savings and loan association, or building, or part thereof, so used, any felony affecting such bank, credit union, or such savings and loan association and in violation of any statute of the United States, or any larceny .... ” (Emphasis supplied.)
Based on the differing language in the two paragraphs, we upheld the district court’s evidentiary ruling: because “Congress showed ‘careful draftsmanship’ by including an intent requirement in the second paragraph, but not the first paragraph, of § 2113(a), we hold that the first paragraph of § 2113(a) describes a general intent crime.” Gonyea, 140 F.3d at 654 (Citations omitted.)

Id. at 808-09.

By the same token, the additional, specific intent requirement in 18 U.S.C. § 115(a)(1)(B) differentiates that statute from 18 U.S.C. § 111(a)(1). Not only does § 115(a)(1)(B) require the government to prove beyond a reasonable doubt that the defendant threatened certain action against a government official but also that the defendant made such a threat for the specific purpose of interfering with the performance of official duties or of retaliating for the performance of such duties. Indeed, we have assumed the requirement of specific intent in numerous opinions, both published and unpublished, involving § 115 prosecutions. See, e.g., United States v. Snelenberger, 24 F.3d 799, 803 (6th Cir.1994) (holding that the second part of 18 U.S.C. § 115(a)(1)(B) requires that a threat “be made with the intent to retaliate against the judge after the judge has acted”), overruled on other grounds in United States v. Hayes, 227 F.3d 578, 586 (6th Cir.2000); United States v. Andrews, 48 Fed.Appx. 151, 154-55 (6th Cir. 2002) (requiring the government to prove in a § 115 prosecution that “(1) the defendant conveyed a threat of physical harm to a federal official or his family; (2) the threat was intended as an act of retaliation against the federal official; and (3) this threat could reasonably be construed by the person in receipt of the threat to be actually carried out” (emphasis added)); United States v. Williams, No. 98-2010, 2000 WL 32006 at *2 (6th Cir. Jan.3, 2000) (recognizing that, to be in violation of 18 U.S.C. § 115(a)(1)(B), “the defendant must act ‘with the intent to retaliate against a government employee on account of the performance of his or her official duties’ ”); United States v. Kamen, Nos. 98-5170/5171, 1999 WL 232685 at *2 (6th Cir. Apr.16, 1999) (ratifying the district court’s finding in a § 115(a)(1)(B) prosecution that the defendant “threatened to assault or murder a federal law enforcement officer with the specific intent to intimidate [an Assistant United States Attorney] on account of her performance or to impede her in her performance of her official duties”) (emphasis added); United States v. Marcilous, No. 97-2108, 1998 WL 964240 at *1-2 (6th Cir. Dec.29, 1998) (finding sufficient evidence of defendant’s specific intent “to threaten his supervisors in retaliation for the performance of them duties”); United States v. Conner, No. 94-6657, 1995 WL 734479 at *1 (6th Cir. Dec.11, 1995) (finding sufficient evidence that the defendant’s communication of a threat to a federal law enforcement officer was in retaliation for the officer’s performance of his official duties).

Both the actual language of the statute itself and our allusions to the requirements for conviction under that provision lead to the inescapable conclusion that 18 U.S.C. § 115(a)(1)(B) contains a specific intent element that must be proven by the government beyond a reasonable doubt. Consequently, because a defendant must possess a particular mens rea in order to be guilty of the crimes described in that statute, in *634this case Veach should have been allowed to present evidence to the jury that he was too intoxicated at the time of his arrest to form the requisite specific intent. Instead, the district judge specifically forbade the defendant from “making intoxication ... a defense” or from attempting to show “that he could not form an opinion.”

That ruling was in error and prevented Veach from challenging effectively the government’s assertion that it had proved all essential elements of a charge under 18 U.S.C. § 115(a)(1)(B) beyond a reasonable doubt. Because the admitted evidence thus does not establish all offense elements, we must reverse Veach’s § 115 convictions and remand this matter to the district court for retrial on those charges only.

2. Restriction on Cross-Examination of Ranger Bradford Regarding Threats

During the presentation of the government’s case, the prosecution asked Ranger Karen Bradford whether she took as a threat the defendant’s comment to her that “I will put a fucking bullet straight into your head and won’t give a fucking thought about it.” Bradford answered in the affirmative and further indicated that she was intimidated by the comment because, as she testified, “I take all threats seriously, especially if I’ve arrested someone and deprived them of freedom.” In response to that testimony, defense counsel sought to cross-examine Bradford about her apparent lack of apprehension the following day when Veach returned to her office to retrieve his driver’s license. The district judge sustained an objection to that line of questioning, however. Veach now contends that he should have been allowed to pursue his inquiry into whether Bradford truly felt threatened by the defendant’s drunken comments. We review such an evidentiary ruling by the district court for an abuse of discretion. See Gen. Elec. Co. v. Joiner, 522 U.S. 136, 141, 118 S.Ct. 512, 139 L.Ed.2d 508 (1997).

Here, the district judge restricted questioning by which defense counsel sought to elicit evidence concerning Bradford’s reaction to a situation that occurred the day after the threat was communicated, holding that the defendant “had clearly recovered and was under control.” The judge held that this line of cross-examination was not relevant to “what was going on through the process of taking Mr. Veach into custody.” Nevertheless, the court did permit defense counsel, in an attempt to demonstrate that Bradford’s fear was unreasonable, to cross-examine the witness about the fact that, shortly after arresting Veach, she let the defendant out of the car and readjusted his handcuffs, that Veach was physically restrained at the time of the threat, that he was obviously intoxicated, and that he had initially been “relatively cooperative.”

We conclude that the the district court’s limitation on cross-examination would not have been in error had the threats made by the defendant been limited to his intent to harm the rangers at the time of his arrest. But the defendant’s declarations evidenced an intention to inflict future harm on the rangers (“15 years later I’ll walk up on you .. [and] I’m going to mess with you if I get a shot at you”). It therefore became relevant that less than 24 hours later, Veach exhibited no hostility or aggression toward Karen Bradford. Were this ruling by the district court the only error in the record, it might well be considered harmless. But in view of the need to retry the defendant, we conclude that the original ruling should be reconsidered by the district court in the event that the defendant seeks to cross-examine Ranger Bradford on this ground.

*635B. Sentencing Challenge

In his final appellate issue, Veaeh contends that the district court erred in sentencing him as a career offender. He insists that one of the predicate convictions used to justify his career offender status— driving under the influence (fourth offense) — 'is not a crime of violence and thus cannot support the enhanced punishment imposed in this case.

Pursuant to the provisions of § 4Bl.l(a) of the United States Sentencing Guidelines, a defendant will qualify as a “career offender” if:

(1) the defendant was at least eighteen years old at the time the defendant committed the instant offense of conviction;
(2) the instant offense of conviction is a felony that is either a crime of violence or a controlled substance offense; and
(3) the defendant has at least two prior felony convictions of either a crime of violence or a controlled substance offense.

Veaeh does not dispute the facts that he was over the age of 18 when he committed the instant offense, that one of the instant offenses of conviction (threatening to murder a federal law enforcement officer with intent to impede the performance of official duties) can be classified as a “crime of violence,” or that his prior conviction for manslaughter is also a “crime of violence.” Consequently, the sole sentencing issue remaining to be resolved is whether Veach’s driving under the influence (fourth offense) conviction also constitutes a “crime of violence” for guidelines purposes so as to serve as the second of the required “two prior felony convictions of ... a crime of violence.”

The term “crime of violence” has been specifically defined in § 4B1.2(a) of the guidelines to mean:

any offense under federal or state law, punishable by imprisonment for a term exceeding one year, that—
(1) has as an element the use, attempted use, or threatened use of physical force against the person of another, or
(2) is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.

Furthermore, application note 1 to the commentary to that provision further defines the term by including examples of “crimes of violence.” The application note states:

“Crime of violence” includes murder, manslaughter, kidnapping, aggravated assault, forcible sex offenses, robbery, arson, extortion, extortionate extension of credit, and burglary of a dwelling. Other offenses are included as “crimes of violence” if (A) that offense has as an element the use, attempted use, or threatened use of physical force against the person of another, or (B) the conduct set forth (i.e., expressly charged) in the count of which the defendant was convicted involved use of explosives (including any explosive material or destructive device) or, by its nature, presented a serious potential risk of physical injury to another.

U.S. SENTENCING GUIDELINES MANUAL § 4B1.2, comment, (n.l). Thus, considering the relevant guidelines provision and the relevant portion of its application note, we can find Veach’s conviction for driving under the influence (fourth offense) to be a “crime of violence” only if we determine that the conduct involved in the commission of the offense, by its nature, presents a serious potential risk of physical injury to another.

*636In arguing that a fourth offense of driving under the influence does not constitute a “crime of violence,” Veach points the court to the United States Supreme Court’s opinion in Leocal v. Ashcroft, 543 U.S. 1, 9-10, 125 S.Ct. 377, 160 L.Ed.2d 271 (2004), in which the Court determined that driving under the influence is not a “crime of violence” as that term is defined in 18 U.S.C. § 16. In that statute, however, the definition of “crime of violence” encompasses only offenses involving the use of physical force against another person. Indeed, in Leocal, the Court specifically noted:

[Section] 16(b) plainly does not encompass all offenses which create a “substantial risk” that injury will result from a person’s conduct. The “substantial risk” in § 16(b) relates to the use of force, not to the possible effect of a person’s conduct. Compare § 16(b) (requiring a “substantial risk that physical force against the person or property of another may be used”) with United States Sentencing Commission, Guidelines Manual § 4B1.2(a)(2) (Nov.2003) (in the context of a career-offender sentencing enhancement, defining “crime of violence” as meaning, inter alia, “conduct that presents a serious potential risk of physical injury to another”). The risk that an accident may occur when an individual drives while intoxicated is simply not the same thing as the risk that the individual may “use” physical force against another in committing the DUI offense.

Id. at 10 n. 7, 125 S.Ct. 377 (citations omitted). The Court thus realized that the guidelines definition of the relevant term encompassed additional conduct that the statutory definition does not.

The defendant also directs our attention to the Eighth Circuit decision in United States v. Walker, 393 F.3d 819 (8th Cir. 2005), analysis rejected by United States v. McCall, 439 F.3d 967, 971 (8th Cir.2006). In that case, a sister circuit held that the Iowa offense of “operating while intoxicated” is not a “crime of violence” for sentencing purposes because the violation does not “otherwise involve conduct that presents a serious potential risk of physical injury to another,” as required by § 4B1.2(a)(2) of the guidelines. See id. at 824. In reaching that conclusion, the court employed the statutory interpretation canons of noscitur a sociis and ejusdem gen-eris, which “provide that the general words are construed to embrace only objects similar in nature to those objects enumerated by the preceding specific words.” Id. Thus, according to the Eighth Circuit, the phrase in § 4B1.2(a)(2) of the guidelines that “crimes of violence” include offenses that “otherwise involve[ ] conduct that presents a serious potential risk of physical injury to another” brings within the provision’s coverage only crimes similar to the previously-listed offenses of burglary, arson, extortion, and use of explosives. See id. Because even a fourth conviction for driving under the influence does not rise to such a level, the court refused to consider operating while intoxicated a “crime of violence.”

Every other circuit to have addressed the issue, however, has found driving under the influence convictions to constitute “crimes of violence.” See, e.g., United States v. Moore, 420 F.3d 1218, 1221 (10th Cir.2005) (“Driving while intoxicated clearly presents ‘serious potential risk of physical injury to another’ and therefore is a crime of violence under § 4B1.2(a)(2).”); United States v. DeSantiago-Gonzalez, 207 F.3d 261, 264 (5th Cir.2000) (“the very nature of the crime of DWI presents a ‘serious risk of physical injury’ to others, and makes DWI a crime of violence”); United States v. Rutherford, 54 F.3d 370, 376-77 (7th Cir.1995) (“Drunk driving is a *637reckless act that often results in injury, and the risks of driving while intoxicated are well-known. This is sufficient to satisfy the ‘serious risk’ standard of the ‘otherwise’ clause.”). The Moore decision even explains why the Eighth Circuit’s Walker rationale, although initially appealing, is ultimately flawed. As the Tenth Circuit noted:

At the outset, the analysis in Walker ignores the more flexible articulation of § 4B1.2’s “crime of violence” definition explained in its commentary section. See USSG § 4B1.2, cmt. n. 1. There, this “or otherwise” language is removed, and the inclusion of offenses with conduct posing a serious potential risk of physical injury is delinked from any preceding specific sequence of offenses. Id. Instead, the commentary gives a long list of crimes of violence ranging from murder to kidnapping to extortion and then, in a separate sentence, explains that “[ojther offenses are included as ‘crimes of violence’ if ... the conduct set forth (ie., expressly charged) in the count of which the defendant was convicted involved use of explosives (including any explosive material or destructive device) or, by its nature, presented a serious potential risk of physical injury to another.” Id.

Moore, 420 F.3d at 1221-22.

Despite the arguments of the defendant and the Eighth Circuit to the contrary, the Moore-DeSantiago-Gonzalez-Rutherford rationale provides the more persuasive position on this sentencing issue. The “crime of violence” enhancement involved in this appeal is a creature of the sentencing guidelines and, as such, should adhere to definitions and explanations set forth in that sentencing scheme. Consequently, a conviction for driving under the influence of intoxicants can properly be considered a “crime of violence” if it: (1) is a felony punishable by a term of imprisonment of at least one year; and (2) involves conduct presenting a serious potential risk of physical injury to another individual. Without question, a fourth conviction for driving under the influence is considered in Kentucky to be a felony offense punishable by imprisonment of one to five years. See K.R.S. §§ 189A.010(5)(d); 532.020(l)(a). Equally undisputed is the fact that driving while under the influence of intoxicants presents, at the very least, a serious potential risk that the driver will cause physical injury to another person. Under the sentencing system established by the guidelines, therefore, the defendant’s fourth Kentucky conviction within a five-year period for driving under the influence should be considered a “crime of violence” that subjects Veach to sentencing as a career offender.

III. CONCLUSION

For the reasons set out above, we REVERSE the judgment of the district court on Counts 1 and 2 of the indictment and REMAND this case for retrial on those charges only. The remainder of the district court’s judgment is AFFIRMED.

10.4.2 Notes and Questions (US v. Veach) 10.4.2 Notes and Questions (US v. Veach)

D was charged on 2 charges below:

Statutes: 

18 USC 111, p. 635: “Whoever …impedes any officer…while engaged in or on account of the performance of official duties…. shall, where acts constitute only simple assault, be fined….”

18 USC 115, (p. 636): “Whoever threatens to …murder a US official…with intent to impede…or on account of the performance of official duties, shall be punished…”

1. What must the government prove in each of the above statutes (beyond a reasonable doubt)? Focus on the mens rea.

2. How might Mr. Veach’s defense lawyer have attempted to use the fact of Mr. Veach’s intoxication to respond to these charges? (i.e. How drunk would Veach need to be in order to impede the state’s ability to convict him?)

3. What’s the worst fact for Veach? What is the best fact to help his defense? Note the MPC approach: 2.08(2): “If the actor, due to self-intoxication, is unaware of a risk of which he would have been aware had he been sober, such unawareness is immaterial.” 

 

10.5 Insanity 10.5 Insanity

10.5.1 Stephen Morse, Excusing the Crazy: The Insanity Defense Reconsidered 10.5.1 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.4 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. For hundreds of years, the common law has recognized the unfairness of holding some crazy persons responsible for their criminal behavior.

    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.

...

     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.

10.5.3 Report to Minnesota Legislature: Mentally Ill Criminals and the Insanity Defense (excerpt), pp.2-14 10.5.3 Report to Minnesota Legislature: Mentally Ill Criminals and the Insanity Defense (excerpt), pp.2-14

https://www.researchgate.net/publication/329453919_MENTALLY_ILL_CRIMINALS_AND_THE_INSANITY_DEFENSE_A_Report_to_the_Minnesota_Legislature

This report discusses how the criminal justice system deals with people who have severe mental illness.

10.5.5 18 U.S.C.A. § 17. Federal Insanity defense 10.5.5 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.

10.5.8 Notes and Questions (Kahler v. Kansas) 10.5.8 Notes and Questions (Kahler v. Kansas)

1. Explain why Kahler deduced that Kansas has effectively abolished the insanity defense.

2. Explain the majority’s response to Kahler's assertion. 

3. Explain the dissent’s argument. 

4. The dissent offers a hypothetical involving two similar prosecutions for murder. 

a. In Prosecution One, the accused person has shot and killed another person. The evidence at trial proves that, as a result of severe mental illness, he thought the victim was a dog. 

b. Prosecution Two is similar but for one thing: The evidence at trial proves that, as a result of severe mental illness, the defendant thought that a dog ordered him to kill the victim. Under the insanity defense as traditionally understood, the government cannot convict either defendant. 

Is the dissent correct that, under Kansas’ rule, it can convict the second but not the first?

5. In the wake of the Kahler v. Kansas decision, what must a profoundly mentally ill defendant in Kansas show in order to avoid conviction of a crime on the grounds of insanity?

10.5.9 Clark v. Arizona 10.5.9 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.

10.5.10 State v. Wilson 10.5.10 State v. Wilson

STATE OF CONNECTICUT v. ANDREW D. WILSON

(SC 15310)

Borden, Berdon, Norcott, Katz, Palmer, McDonald and Peters, Js.1

*606Argued February 20

officially released August 26, 1997

Wesley W. Horton, with whom were Susan M. Cormier, Joseph G. Bruckmann, public defender, and, on the brief, Monte P. Radler, assistant public defender, for the appellant (defendant).

Mitchell S. Brody, assistant state’s attorney, with whom, on the brief, were Eugene J. Callahan, state’s attorney, and David I. Cohen, senior assistant state’s attorney, for the appellee (state).

Opinion

PALMER, J.

This appeal requires us to define the term “wrongfulness” for purposes of the affirmative defense of insanity under General Statutes § 53a-13 (a).2 *607A jury convicted the defendant, Andrew Wilson, of murder in violation of General Statutes § 53a-54a.3 On appeal,4 the defendant claims that the trial court improperly instructed the jury regarding the insanity defense. We agree and, consequently, we reverse the judgment of conviction.5

The following facts are undisputed. The defendant and the victim, Jack Peters, were acquainted through *608the victim’s son, Dirk Peters, with whom the defendant had attended high school. In early 1993, the defendant began to exhibit symptoms of a mental disorder manifested by a delusional belief that Dirk, assisted by the victim, systematically was destroying the defendant’s life.6 Specifically, the defendant believed that, in 1981, Dirk had poisoned him with methamphetamine and had hypnotized him in order to obtain control of his thoughts. The defendant believed that Dirk had been acting with the approval of the victim, who, the defendant also believed, was the mastermind of a large organization bent on controlling the minds of others. The defendant further believed that Dirk and the victim were responsible for the defendant’s loss of employment, sexual inadequacy, physical weakness and other incapacities, as well as the deaths of the defendant’s mother and several family dogs. In addition, the defendant blamed the victim and Dirk for the breakup of the defendant’s relationship with a former girlfriend.

Beginning in approximately February, 1993, the defendant began contacting law enforcement authorities to inform them of the conspiracy by the victim and Dirk to destroy his fife and the lives of others. He informed the police that Dirk was continuing to drug and brainwash people, and that Dirk should be stopped. He blamed the victim and Dirk for his own drug involvement and claimed that they were ruining other people’s lives as well.7 In May and June, 1993, the defendant *609repeatedly called the police, requesting their assistance in combatting the mind control conspiracy by the victim and Dirk. The police informed him that it was impossible to investigate his allegations.

On August 5, 1993, the defendant went to see the victim at his home in the city of Greenwich. He quarreled with the victim and then shot him numerous times with a semiautomatic handgun that he had purchased two days earlier from a gun dealer in the city of New Haven.

Later that day, the defendant entered the Greenwich police headquarters and stated that he had shot the victim because he “had to do it.” The defendant thereafter gave a sworn statement to the police in which he indicated, among other things, that: (1) his life had been ruined by Dirk, who had drugged, hypnotized and brainwashed him; (2) the victim had assisted Dirk in these activities; (3) Dirk and the victim were responsible for the defendant’s schizophrenia; (4) the conduct of Dirk and the victim required “drastic action” and “drastic retribution”; and (5) the defendant had shot the victim repeatedly at the victim’s home earlier that day.

At trial, the defendant raised his mental illness as an affirmative defense under § 53a-13. The jury, however, rejected the defendant’s claim of insanity and convicted him of murder. The trial court rendered judgment sentencing the defendant to sixty years imprisonment. This appeal followed.8

The primary issue raised by this appeal is whether the trial court improperly failed to give an instruction defining the term “wrongfulness” under § 53a-13 (a). Section 53a-13 (a) provides that “[i]n any prosecution *610for an offense, it shall be an affirmative defense that the defendant, at the time he committed the proscribed act or acts, lacked substantial capacity, as a result of mental disease or defect, either to appreciate the wrongfulness of his conduct or to control his conduct within the requirements of the law.” (Emphasis added.) In this case, the defendant requested that the trial court instruct the jury that wrongfulness is comprised of a moral element, so that “an accused is not criminally responsible for his offending act if, because of mental disease or defect, he believes that he is morally justified in his conduct — even though he may appreciate that his act is criminal.”9 The trial court, however, refused to instruct the jury that the defendant was entitled to prevail under § 53a-13 (a) if the evidence established that the defendant believed his conduct to be morally justified.10 The defendant argues that the court’s failure *611to charge the juiy on this moral component of the insanity defense requires reversal. The state, on the other hand, contends that the defendant was not entitled to such an instruction but that, even if he were, the trial court’s failure to give this instruction did not constitute harmful error.

Our resolution of the defendant’s claim requires us to answer three subordinate questions: (1) How should a trial court define the term “wrongfulness” as it is used in § 53a-13 (a) when a definitional instruction of that term is requested?11 (2) Was such an instruction necessary in this case in view of the evidence presented at trial and the defendant’s request to charge? and (3) Did the trial court’s failure to give a jury instruction properly defining “wrongfulness” constitute harmful error? We conclude that the defendant was entitled to receive an instruction properly defining the term “wrongfulness” and, further, that the trial court’s failure to give such an instruction was harmful. Accordingly, we reverse the judgment of the trial court.

I

In determining the appropriate definition of the term “wrongfulness” under § 53a-13 (a), we are guided by familiar principles of statutory construction. “Our fundamental objective is to ascertain and give effect to the *612apparent intent of the legislature. ... In seeking to discern that intent, we look to the words of the statute itself, to the legislative history and circumstances surrounding its enactment, to the legislative policy it was designed to implement, and to its relationship to existing legislation and common law principles governing the same general subject matter.” (Citations omitted; internal quotation marks omitted.) State v. Metz, 230 Conn. 400, 409, 645 A.2d 965 (1994). The language of the statute itself does not illuminate our inquiry. In ascertaining the meaning of the language of § 53a-13 as it applies to this case, therefore, we look, in the first instance, to the relevant legislative history for guidance. That legislative history includes the genealogy of the insanity defense in this state, the history of the Model Penal Code provision upon which § 53a-13 is based and the legislative debate surrounding the enactment of § 53a-13.

Prior to the enactment of § 53a-13, legal insanity was determined on the basis of a two part test established under our common law.12 In 1967, as a result of growing dissatisfaction with the standards from which this common-law test derived, the General Assembly adopted *613the American Law Institute’s Model Penal Code test for insanity, now codified at § 53a-13,13 as a statutory standard to be invoked in lieu of the common-law test. State v. Toste, 178 Conn. 626, 631, 424 A.2d 293 (1979). The Model Penal Code test provides, in language nearly identical to that now contained in § 53a-13 (a), that “[a] person is not responsible for criminal conduct if at the time of such conduct as a result of mental disease or defect he lacks substantial capacity either to appreciate the criminality [wrongfulness] of his conduct or to conform his conduct to the requirements of law.” (Brackets in original.) I A.L.I., Model Penal Code and Commentaries (1985) § 4.01 (1), p. 163 (hereinafter Model Penal Code).

For purposes of this appeal, three features of the Model Penal Code test are noteworthy. First, like our prior common-law standard, this test encompasses, albeit in a different form, both a cognitive and a volitional prong. Under the cognitive prong, a person is considered legally insane if, as a result of mental disease or defect, “he lacks substantial capacity ... to appreciate the criminality [wrongfulness] of his conduct.” Id. Under the volitional prong, a person also would be considered legally insane if “he lacks substantial capacity ... to conform his conduct to the requirements of law.” Id. Because the defendant does not claim that the trial court misinstructed the jury on the volitional prong of the insanity test, we need not consider the application of the volitional prong in our analysis.

Second, the Model Penal Code test focuses on the defendant’s actual appreciation of, rather than merely his knowledge of, the wrongfulness of his conduct. Cf. General Statutes § 53a-13 (a) (defendant must lack “sub*614stantial capacity, as a result of mental disease or defect ... to appreciate the wrongfulness of his conduct”). The drafters of the Model Penal Code purposefully adopted the term “appreciate” in order to account for the defendant whose “detached or abstract awareness” of the wrongfulness of his conduct “does not penetrate to the affective level.” I Model Penal Code, supra, § 4.01, comment 2, p. 166. As Herbert Wechsler, chief reporter for the Model Penal Code, stated in his model jury charge: “To appreciate the wrongfulness of conduct is, in short, to realize that it is wrong; to understand the idea as a matter of importance and reality; to grasp it in a way that makes it meaningful in the life of the individual, not as a bare abstraction put in words.” Id., § 4.01, appendix C, p. 215.

The third important feature of the Model Penal Code test, and the most relevant for purposes of this appeal, is its alternative phrasing of the cognitive prong. By bracketing the term “wrongfulness” and juxtaposing that term with “criminality,” the drafters purposefully left it to the individual state legislatures to decide which of these two standards to adopt to describe the nature of the conduct that a defendant must be unable to appreciate in order to qualify as legally insane. See id., § 4.01, explanatory note, p. 164; A.L.I., 38th Annual Meeting, Proceedings (1961) p. 315 (hereinafter Annual Meeting), remarks of Wechsler (“it seems to me appropriate that the final formulation [by the American Law Institute] presents] these [terms] as alternatives”). The history of the Model Penal Code indicates that “wrongfulness” was offered as a choice so that any legislature, if it wishes, could introduce a “moral issue” into the test for insanity. Annual Meeting, supra, p. 315, remarks of Wechsler.14

*615There is little dispute in this case that, by choosing the term “wrongfulness” instead of “criminality,” the legislature intended to import this moral element into Connecticut’s insanity statute. Indeed, Representative David H. Neiditz, the principal proponent of the public act later codified at § 53a-13, stated that the term “wrongfulness” was used in order to “include the case where the perpetrator appreciates that his conduct is criminal but because of [his] illusion believes it be morally justified. I think it’s the better formulation . . . .” (Emphasis added.) 12 H.R. Proc., Pt. 6, 1967 Sess., p. 2585. Representative Neiditz based his interpretation of the Model Penal Code test on the analysis employed by the Court of Appeals for the Second Circuit in United States v. Freeman, 357 F.2d 606, 622 n.52 (2d Cir. 1966). In Freeman, the court adopted the “wrongfulness” standard and concluded that the term applied to a defendant who knew his conduct to be illegal but who believed that it was morally justified due to his delusion or mental defect. Id.; see 12 H.R. Proc., supra, p. 2585, remarks of Representative Neiditz (“the wording that was adopted ... is the exact formulation as used in the 'Freeman’ case”).

The more difficult question, and the issue that we asked the parties to address at the reargument of this appeal; see footnote 11 of this opinion; is how properly to define the moral element inherent in the term “wrongfulness” under § 53a-13 (a).15 The defendant contends *616that morality must be defined in purely personal terms, such that a defendant is not responsible for his criminal acts as long as his mental disease or defect causes him personally to believe that those acts are morally justified, even though he may appreciate that his conduct is wrong in the sense that it is both illegal and contrary to societal standards of morality. See United, States v. Segna, 555 F.2d 226, 232-33 (9th Cir. 1977) (adopting personal standard). The state, on the other hand, contends that morality must be defined by societal standards, such that a defendant is responsible for his criminal acts unless, because of mental disease or defect, he lacks substantial capacity to appreciate that his actions were wrong under society’s moral standards. Although we agree with the state that the proper test must incorporate principles of societal morality, we conclude that the state’s interpretation of the cognitive prong of § 53a-13 (a) does not sufficiently account for a delusional defendant’s own distorted perception of society’s moral standards. Accordingly, we conclude that a defendant may establish that he lacked substantial capacity to appreciate the “wrongfulness” of his conduct if he can prove that, at the time of his criminal act, as a result of mental disease or defect, he substantially misperceived reality and harbored a delusional belief that society, under the circumstances as the defendant honestly but mistakenly understood them, would not have morally condemned his actions.

Before addressing the legislative and jurisprudential principles that undergird our interpretation of § 53a-13 (a), however, we first must consider the contrary view *617advanced by the defendant. We conclude that the defendant’s efforts to define morality in purely personal terms are inconsistent with the Model Penal Code,16 judicial precedent, and the assumptions underlying our criminal law.

The text accompanying § 4.01 of the Model Penal Code, upon which § 53a-13 is modeled, suggests that its drafters intended that the moral element of “wrongfulness” be measured by a defendant’s capacity to understand society’s moral standards. In his model jury charge, for example, Professor Wechsler suggests the following language: “[A] person may have knowledge of the facts about his conduct and of the immediate surrounding circumstances and still be rendered quite incapable of grasping the idea that it is wrong, in the sense that it is condemned by the law and commonly accepted moral standards.” (Emphasis added.) I Model Penal Code, supra, § 4.01, appendix C, p. 214. Similarly, the commentary on the insanity test of the Model Penal Code emphasizes a defendant’s capacity to appreciate “society’s moral disapproval of his conduct,” noting that “ [appreciating ‘wrongfulness’ may be taken to mean appreciating that the community regards the behavior as wrongful.” (Emphasis added.) Id., § 4.01, comment 3, p. 169. Although the rejection under the Model Penal Code of the personal standard is not beyond debate,17 *618we conclude that the drafters of § 4.01 did not intend that a defendant who appreciates both the illegality and the societal immorality of his actions be relieved of criminal responsibility due to his purely personal, albeit delusional, moral code.

Moreover, the large majority of other jurisdictions that have considered the cognitive prong of the insanity defense has chosen a societal, rather than a personal, standard. See State v. Corley, 108 Ariz. 240, 242-43, 495 P.2d 470 (1972) (en banc); People v. Skinner, 39 Cal. 3d 765, 781, 704 P.2d 752, 217 Cal. Rptr. 685 (1985); People v. Serravo, 823 P.2d 128, 137-38 (Colo. 1992) (en banc); State v. Hamann, 285 N.W.2d 180, 183 (Iowa 1979); State v. Worlock, 117 N.J. 596, 602, 569 A.2d 1314 (1990); State v. Crenshaw, 98 Wash. 2d 789, 797-98, 659 P.2d 488 (1983). Although these courts generally have made this determination in the context of the M’Naghten test; see footnote 12 of this opinion; to the extent that the use of the term “wrongfulness” in the Model Penal Code can be traced back to M’Naghten-, see footnote 14 of this opinion; the evolution of the M’Naghten test and the reasoning employed by courts interpreting that test inform an interpretation of our own insanity defense.18

*619Finally, with respect to the fundamental policies that undergird our criminal law, defining the moral element of wrongfulness according to a purely personal standard tends to undermine the “moral culture on which our societal norms of behavior are based.” People v. Serravo, supra, 823 P.2d 138. There may well be cases in which a defendant’s delusional ideation causes him to harbor personal beliefs that so cloud his cognition as to render him incapable of recognizing the broader moral implications of his actions. In such cases, the defendant would be entitled to be acquitted under the cognitive prong of the defense.

Those cases involving the so-called “deific command,” in our view, fall into this category. Contrary to the defendant’s position at oral argument, we are hard pressed to envision an individual who, because of mental disease or defect, truly believes that a divine power has authorized his actions, but, at the same time, also truly believes that such actions are immoral. An individual laboring under a delusion that causes him to believe in the divine approbation of his conduct is an individual who, in all practicality, is unlikely to be able fully to appreciate the wrongfulness of that conduct. See id., *620139-40; People v. Schmidt, 216 N.Y. 324, 337, 110 N.E. 945 (1915) (if a person, because of disease or delusion, “believes that he has a command from the Almighty to kill, it is difficult to understand how such a man can know that it is wrong for him to do it” [emphasis in original; internal quotation marks omitted]), reh. denied, 216 N.Y. 762, 111 N.E. 1095 (1916); I Model Penal Code, supra, § 4.01, appendix C.

A defendant should not be relieved of criminal liability, however, if his mental illness does not deprive him of substantial capacity to appreciate the boundaries of societal morality and if he elects to transgress those boundaries in pursuit of a delusional personal belief system that he appreciates society would not itself accept. To permit otherwise “would seriously undermine the criminal law [by allowing] one who violated the law to be excused from criminal responsibility solely because, in his own conscience, his act was not morally wrong.” State v. Crenshaw, supra, 98 Wash. 2d 797.

Accordingly, we reject the personal test as an improper method of measuring a defendant’s capacity to appreciate the moral element inherent in the term “wrongfulness.” Consistent with the considerations discussed above, this test is flawed because it fails to account for principles of societal morality that the Model Penal Code test incorporated, other jurisdictions have embraced, and our criminal law assumes.19

*621In this regard, the test endorsed by the state is superior to the personal test. According to the state, a defendant can succeed under the cognitive prong of the insanity defense if he can demonstrate that, at the time of the prohibited conduct, he lacked substantial capacity to appreciate that his actions were contrary to societal morality. Although we agree with the state that the defendant’s appreciation of morality must be defined in terms of his appreciation of society’s moral standards; see I Model Penal Code, supra, § 4.01, appendix C, p. 214; the state’s test is insufficient in one important respect. Consider, for example, a defendant who, because of a mental delusion, misperceives reality and, on the basis of that misperception, engages in criminal conduct that he believes is necessary to advance a greater social good, but who, at the same time, also appreciates that society is unaware of the need to bring about this social good and, because of this ignorance, would not condone his actions.20 Under the state’s test, such an individual would probably not be considered legally insane because he retains substantial capacity *622to appreciate that, objectively speaking, society does not approve of his actions.

In our view, such an approach represents an overly restrictive interpretation of what the legislature intended by choosing the term “wrongfulness” instead of the term “criminality-” Representative Neiditz’ statements in support of the legislation later codified at § 53a-13 indicate that “wrongfulness” was chosen in order to connote a moral element with a meaning independent of illegality. Under the state’s test, however, moral wrongfulness would be measured strictly in terms of society’s objective disapproval; to the extent that this objective disapproval is embodied in the criminal code, the state’s test renders morality and criminality virtually synonymous.21 We are unwilling to negate the legislature’s choice of the term “wrongfulness” by treating these otherwise distinct terms as virtually identical.

We conclude, rather, that a defendant does not truly “appreciate the wrongfulness of his conduct” as stated in § 53a-13 (a) if a mental disease or defect causes him both to harbor a distorted perception of reality and to believe that, under the circumstances as he honestly perceives them, his actions do not offend societal morality, even though he may also be aware that society, on the basis of the criminal code, does not condone his actions. Thus, a defendant would be entitled to prevail under § 53a-13 (a) if, as a result of his mental disease or defect, he sincerely believes that society would *623approve of his conduct if it shared his understanding of the circumstances underlying his actions. This formulation appropriately balances the concepts of societal morality that underlie our criminal law with the concepts of moral justification that motivated the legislature’s adoption of the term “wrongfulness” in our insanity statute.22

A jury instruction on the cognitive prong of § 53a-13 (a) should set forth this formulation as clearly as possible. The trial court should inform the jury that a person may establish that he was legally insane if he proves that, at the time he committed the prohibited conduct, due to mental disease or defect he suffered from a misperception of reality and, in acting on the basis of that misperception, he did not have the substantial capacity to appreciate that his actions were contrary to societal morality, even though he may have been aware that the conduct in question was criminal. The trial court should instruct the jury further that, in deciding whether the defendant had substantial capacity to appreciate that his conduct was contrary to societal morality, it must not limit its inquiry merely to the *624defendant’s appreciation that society, objectively speaking, condemned his actions. Rather, the jury should be instructed that it must also determine whether the defendant maintained a sincere belief that society would condone his actions under the circumstances as the defendant honestly perceived them. Finally, the trial court also should instruct the jury that, if it finds that the defendant had the substantial capacity to appreciate that his conduct both violated the criminal law and was contrary to society’s moral standards, even under the circumstances as he honestly perceives them, then he should not be adjudged legally insane simply because, as a result of mental disease or defect, he elected to follow his own personal moral code.

II

We have based our discussion thus far on a defendant who is eligible to receive a jury instruction properly defining the term “wrongfulness.” One of the questions raised by this appeal, however, is whether the defendant was entitled to receive such an instruction under the facts and circumstances of this case. In answering this question, we focus our attention on two key aspects of the trial: (1) the evidence adduced by the defendant relative to his insanity defense; and (2) the jury instruction that the defendant requested regarding his insanity claim.

A

The state contends that the defendant was not entitled to an instruction defining the term “wrongfulness” under § 53a-13 (a) because he failed to adduce sufficient evidence to support such an instruction. According to the state, the evidence submitted on the defendant’s behalf did not establish, in accordance with the wrongfulness test discussed above, that his “delusion deprived him of a substantial capacity to appreciate that the [killing] of the victim was wrong under society’s moral *625standards.” Although the state does not seriously dispute that the defendant suffered from a mental disease that caused him to misperceive reality,23 the state claims that the evidence merely tended to show, in accordance with the purely personal standard we have rejected, that the defendant had followed his own subjective moral calculus in seeking revenge for the perceived actions of the victim and Dirk. Although the defendant primarily endorses a personal standard of morality; see part I of this opinion; he also contends that even under the societal standard that we have adopted today, the psychiatric testimony he presented was sufficient for the jury reasonably to have found that his criminal acts were committed under an honest, albeit irrational, belief that society would have condoned his actions.

We decide this issue on the basis of established legal principles. “If there is sufficient evidence of a legal defense, the defendant is entitled, as a matter of law, to a requested jury charge on that defense.” State v. Person, 236 Conn. 342, 352, 673 A.2d 463 (1996). Because legal insanity is an affirmative defense for which the defendant bears the burden of proof, a defendant is entitled to receive a juiy instruction on legal insanity only if he has adduced sufficient evidence from which a reasonable trier of fact could find that the defense has been established by a preponderance of the evidence. State v. Joyner, 225 Conn. 450, 471, 625 A.2d 791 (1993); see also State v. Person, supra, 353 (applying standard to affirmative defense of extreme emotional disturbance). In this case, the issue is not whether the defendant presented sufficient evidence to warrant a general charge on the insanity defense. The state does not contend otherwise. The issue, rather, is *626whether the defendant adduced sufficient evidence to warrant an instruction defining the term “wrongfulness” under § 53a-13 (a), as we have elucidated that term. We conclude that the defendant has met this burden.

At trial, the defense called several expert witnesses to testify regarding their examinations of the defendant and the conclusions drawn therefrom. Jay Berkowitz, a psychiatrist employed by the department of correction and working at the Bridgeport correctional center (center), testified that he had conducted a ninety minute interview and psychiatric evaluation of the defendant after the defendant’s arrival at the center. Berkowitz testified that the defendant had expressed remorse for killing the victim but felt that it was something that he had to do in order to save other people. Sue Anne O’Brien, a psychiatric nurse who also worked at the center, testified that she had spoken with the defendant for approximately ninety minutes. O’Brien testified that the defendant believed that he had “saved all of us from this evil thing [that] was occurring,” and she quoted the defendant as stating, “ ‘I saved you. I saved everyone here. I’ve saved the world.’ ”

Another expert witness, Leslie Kurt, a forensic psychiatrist, testified extensively with respect to her examination and diagnosis of the defendant, with whom she had met in a series of six interviews for a total of nearly twelve hours. Kurt stated that the defendant believed that the victim had used methamphetamine and hypnosis to gain control over people and had done nothing to prevent the intensely evil crimes of Dirk. According to Kurt, the defendant likened the victim to Sirhan Sirhan, Jim Jones and Charles Manson, and expressed a belief that he had a higher moral duty to stop the victim and Dirk. Kurt described the defendant’s belief in a higher moral duty as something akin to a person believing, during World War II, that he or she had a *627moral obligation to assassinate Adolf Hitler even though that person understood that this killing would be illegal.

On the basis of this testimony, we conclude that the defendant presented sufficient evidence from which a jury reasonably could have found, by a preponderance of the evidence, that, due to a mental disease or defect, the defendant misperceived reality and, in acting on the basis of that misperception, did not substantially appreciate that his actions were contrary to societal morality.24 See State v. Person, supra, 236 Conn. 353. It is true, as the state maintains, that the defendant tried repeatedly, albeit unsuccessfully, to convince the police that the activities conducted by the victim and Dirk were dangerous and unlawful. Thus, it reasonably could be said that the defendant understood that society, unpersuaded of the danger posed by the victim, did not condone his actions. The test that we have adopted, however, requires a fact finder to look beyond the defendant’s appreciation of society’s objective disapproval of his actions and to inquire whether the defendant, as a result of mental disease or defect, truly *628believed that society, if it were aware of the circumstances as he honestly perceived them, would have condoned his actions.

It is also true, as the state argues, that other evidence tended to show that the defendant might not have acted in furtherance of society’s moral standards at all, but was instead motivated by a desire to seek retribution for wrongs he mistakenly believed the victim and Dirk had perpetrated against him. This countervailing evidence, however, goes to the weight of the defendant’s proof, and not to whether the defendant was entitled to a jury instruction correctly defining the term “wrongfulness.” See State v. Person, supra, 236 Conn. 347—51; see also State v. DeJesus, 236 Conn. 189, 201, 672 A.2d 488 (1996) (trier of fact determines weight of evidence); State v. Sivri, 231 Conn. 115, 132-33, 646 A.2d 169 (1994) (“the jury’s function is to draw whatever inferences from the evidence or facts established by the evidence it deems to be reasonable and logical” [internal quotation marks omitted]). Accordingly, we conclude that the evidence presented at trial warranted an instruction defining the term “wrongfulness” in terms of societal morality consistent with our explication of that definition in part I of this opinion.

B

Having concluded that, as a factual matter, the evidence presented by the defendant was sufficient to support an instruction properly defining the term “wrongfulness,” we next must determine whether, as a legal matter, the fact that the defendant’s request to charge did not comport precisely with the standard we articulate today forecloses his claim for a new trial. A trial court is under no obligation to give a requested jury instruction that does not constitute an accurate statement of the law. See, e.g., Holbrook v. Casazza, 204 Conn. 336, 354, 528 A.2d 774 (1987), cert. denied, *629484 U.S. 1006, 108 S. Ct. 699, 98 L. Ed. 2d 651 (1988); see also State v. Gant, 231 Conn. 43, 47, 646 A.2d 835 (1994), cert. denied, 514 U.S. 1038, 115 S. Ct. 1404, 131 L. Ed. 2d 291 (1995); State v. Gabriel, 192 Conn. 405, 418, 473 A.2d 300 (1984). At oral argument, we raised the question, suasponte, whether the defendant’s requested instruction was legally inaccurate in that it did not address the societal standard for measuring a defendant’s appreciation of morality. Although the requested instruction failed to encompass fully principles of societal morality that we conclude are embodied in the cognitive prong of the insanity defense, we nevertheless are persuaded that, under the circumstances of this case, the defendant should not be penalized for this failure.

The defendant timely requested that the trial court instruct the jury that, under the cognitive prong of § 53a-13 (a), “an accused is not criminally responsible for his offending act if, because of mental disease or defect, he believes that he is morally justified in his conduct— even though he may appreciate that his act is criminal. A defendant lacks substantial capacity to appreciate the wrongfulness of his conduct if he knows his act to be criminal but commits it because of a delusion that it is morally justified. Thus, if you find that the defendant, at the time of the offense, suffered from a delusion rendering his act morally justified in his mind, he has established the affirmative defense and you must return a verdict of not guilty by reason of lack of capacity due to mental disease or defect.” The trial court refused to give this instruction and, although the court sought to explain the meaning of the term “wrongfulness,” it did so without addressing the issue of moral justification. See footnote 10 of this opinion.

Although the defendant challenges the trial court’s refusal to grant his requested instruction, he does not contend that the requested instruction explicitly *630addresses the concept of societal morality that, we have concluded, forms an integral part of the definition of “wrongfulness.” The defendant contends, rather, that the requested instruction replicates the legislative history of § 53a-13 and, therefore, implicitly adopts whatever standard the legislature intended that statutory provision to incorporate. We agree with the defendant that the operative language of the requested instruction is similar to that used by Representative Neiditz in support of the public act now codified at § 53a-13. See 12 H.R. Proc., supra, p. 2585, remarks of Representative Neiditz (wrongfulness chosen over criminality to accommodate defendant who believes his conduct “to be morally justified”). We have never held, however, that substantial reproduction of legislative history, without more, is sufficient to constitute an accurate statement of the law, and decline to do so today.

The defendant’s failure to proffer a request to charge that fully articulated the applicable law25 ordinarily would preclude him from attacking any insufficiency or inaccuracy in the charge actually given by the trial court. See State v. Chetcuti, 173 Conn. 165, 170-71, 377 A.2d 263 (1977); State v. Green, 172 Conn. 22, 25, 372 A.2d 133 (1976). Although we reaffirm the general appli*631cability of this rule, we are persuaded that, for two overriding reasons, principles of fundamental fairness militate against its strict application under the unique circumstances of this case. First, the defendant’s requested instruction was correct in a fundamental and important respect: it attempted to link the definition of “wrongfulness” to concepts of moral justification. Because there is no dispute in this case that a moral element inheres in the definition of “wrongfulness”; see 12 H.R. Proc., supra, p. 2585, remarks of Representative Neiditz; the defendant was, at the least, entitled to an instruction explaining the relationship between wrongfulness and morality under § 53a-13. Second, we recognize that the standard for measuring a defendant’s appreciation of morality is not explicit either on the face of the statute or in its legislative history. Although we have explicated that standard in light of the Model Penal Code and the jurisprudential concerns expressed therein, we decline to penalize the defendant for having failed to have anticipated our holding in this case.26 Accordingly, we conclude that, having submitted evidence sufficient to support an instruction defining wrongfulness in accordance with the standard set forth in part I of this opinion, the defendant was not disqualified from receiving such an instruction on the basis of his request to charge.

III

Finally, we must decide whether the fact that the defendant did not receive an instruction properly defining the term “wrongfulness” constituted harmful error. *632Because an instructional omission with respect to an affirmative defense such as legal insanity does not rise to the level of a constitutional violation; see State v. Foreshaw, 214 Conn. 540, 546, 572 A.2d 1006 (1990); State v. Preyer, 198 Conn. 190, 196-97, 502 A.2d 858 (1985); the defendant bears the burden of persuasion, on appeal, that “it is more probable than not that [the instructional omission] affected the result of the trial.” State v. Esposito, 235 Conn. 802, 825, 670 A.2d 301 (1996). We conclude that the defendant has satisfied this burden.

It is undisputed that the insanity defense instruction given in this case neither defined “wrongfulness” in terms of morality nor defined morality in relation to the defendant’s appreciation of societal morals. These omissions went to the heart of the defendant’s affirmative defense. The primary issue at trial was whether the defendant had satisfied the standards for legal insanity under § 53a-13 (a). Specifically, the defendant’s case focused largely on establishing that, although the defendant may have understood the illegality or criminality of his action, he did not truly appreciate its wrongfulness because he honestly believed that he was acting in furtherance of societal morality. See part II A of this opinion; compare State v. Thurman, 10 Conn. App. 302, 321, 523 A.2d 891, cert. denied, 204 Conn. 805, 528 A.2d 1152 (1987) (failure to instruct on wrongfulness constitutes harmless error because defendant did not produce evidence of perceived moral justification). Because the defendant’s appreciation of the criminal law was not at issue, the success of his defense hinged on whether the jury found that, at the time of the killing, he appreciated the immorality of his. actions. As a result, because the jury was not instructed that it could consider principles of morality in determining whether the defendant appreciated the wrongfulness of his actions, the instruc*633tion given to the jury did not sufficiently address the defendant’s principal defense.27

The state contends that regardless of the “possible confusion” engendered by the failure to define “wrongfulness” in terms of morality, the defendant’s closing arguments, taken together with the evidence presented, would have “guided the jury to a proper understanding of the word ‘wrongfulness’ in relation to morality.” We are unpersuaded. Although the defendant argued to the jury that he did not appreciate the moral wrongfulness of his actions because he believed that society would have approved of them, and although he adduced evidence to support this proposition, we must presume that the jury followed the instructions of the trial court, rather than the argument of the defendant, with respect to the meaning of the term “wrongfulness.” See State v. Just, 185 Conn. 339, 357, 441 A.2d 98 (1981). Because the meaning of wrongfulness under § 53a-13 (a) was left unclear and because that lack of clarity affected a central element of the defendant’s claim of insanity, we conclude that the trial court’s failure to define “wrongfulness” in terms of the defendant’s appreciation of societal morality constituted harmful error.

The judgment is reversed and the case is remanded for a new trial.

In this opinion BORDEN, NORCOTT and PETERS, Js., concurred.

*634BERDON, J.,

concurring in the result. I agree with the result reached by the majority, but I disagree with the standard established for a defendant to prove that he or she failed “to appreciate the wrongfulness of his [or her] conduct,” in order to satisfy the cognitive prong of the insanity defense under General Statutes § 53a-13. Although I agree generally with part I of the concurring opinion of Justice Katz, with respect to her interpretation of § 53a-13,1 write separately because I reach that result through a slightly different route.

The majority poses what it terms as the difficult question of “how properly to define the moral element inherent in the term ‘wrongfulness’ under § 53a-13 (a).” The legislature clearly answered this so-called difficult question in 1967 when it adopted § 4.01 of the American Law Institute’s Model Penal Code (Model Penal Code), now codified at § 53a-13 (a). When the legislature adopted the American Law Institute’s test, it also chose the alternate phrasing offered by the Model Penal Code-—“wrongfulness” instead of “criminality.” At the time that the legislature adopted this standard, Representative David H. Neiditz, the sponsor of the bill, explained: “[T]he wording that was adopted before us now is the exact formulation as used in [United States v. Freeman, 357 F.2d 606 (2d Cir. 1966)] .... [W]hen the American Law Institute made this formulation, they interchangeably [used] two words, in section one, they referred to ‘the substantial capacity either to appreciate the criminality or the wrongfulness of his conduct,’ they allowed for either use . . . . The Freeman case adopted the word ‘wrongfulness’for the reason that [it would] include the case where the perpetrator appreciates that his conduct is criminal but because of [his delusion] believes it to be morally justified. I think it’s the better formula and most of the other states that have adopted *635have used the word ‘wrongfulness.’ In addition ... I think it’s important that we have the uniformity with our own federal courts and lastly, I think the reason we should change [the] law in this area ... is so as not to leave the decision to a particular judge sitting on a particular case. I think that we have developed the uniformity and I firmly believe that with certain legislation now before the Congress involving a ‘not guilty by reason of insanity’ plea that most of the federal courts, throughout the country, will adopt the Model Penal Code rule as the [Second] Circuit has in . . . [t]he Freeman case.” (Emphasis added.) 12 H.R. Proc., Pt. 6, 1967 Sess., p. 2585.

Turning to Freeman, it is clear that that case formulated a “subjective” test in order to define the term “wrongfulness” encompassed within the test that it was judicially adopting from § 4.01 of the Model Penal Code. Specifically, the court in Freeman stated that “[w]e have adopted the word ‘wrongfulness’ in Section 4.01 as the American Law Institute’s suggested alternative to ‘criminality’ because we wish to include the case where the perpetrator appreciates that his conduct is criminal, but, because of a delusion, believes it to be morally justified. 1 (Emphasis added.) United States *636v. Freeman, supra, 357 F.2d 622 n.52.; see also United States v. Segna, 555 F.2d 226, 233 (9th Cir. 1977) (with standard indistinguishable from Freeman, indicating that Ninth Circuit had previously adopted word “wrongfulness” from American Law Institute’s test because “[i]n [the court’s view], use of the word wrongfulness in the test of legal insanity would exclude from the criminally responsible category those who, knowing an act to be criminal, committed it because of a delusion that the act was morally justified” [internal quotation marks omitted]);2 I A.L.I., Model Penal Code and Commentaries (1985), § 4.01, comment, pp. 178-79 (revised comments looking back at developing case law and indicating that “[m]ost federal courts of appeals have adopted a wrongfulness standard, with one leading case [Freeman] clearly indicating that an actor may be excused who, because of a delusion, believes what he is doing is morally right even though he knows it is criminal and condemned by society”).

We have long held that we interpret our statutes in part based upon their legislative history. Statutory interpretation “is guided by well established principles of statutory construction. Statutory construction is a question of law and therefore our review is plenary. . . . [0]ur fundamental objective is to ascertain and give effect to the apparent intent of the legislature. . . . In seeking to discern that intent, we look to the words of the statute itself, to the legislative history and circumstances surrounding its enactment, to the legislative policy it was designed to implement, and to its relationship to existing legislation and common law principles governing the same general subject matter.” (Internal *637quotation marks omitted.) State v. Burns, 236 Conn. 18, 22-23, 670 A.2d 851 (1996). The majority, at the very beginning of part I of its opinion, pays homage to this fundamental principle, yet it glosses over the definitive legislative statements that expressly illustrate that the legislative intent was to incorporate by reference the subjective standard, defining the word wrongfulness, as formulated in Freeman. In my view, therefore, Freeman is dispositive of the issue in this case and the standard set forth in the majority opinion overrides the legislature’s unequivocally expressed intent.

KATZ, J.,

concurring. “No aspect of the criminal justice system is more controversial than is the insanity defense. Nowhere else does the successful employment of a defense regularly bring about cries for its abolition; no other aspect of the criminal law inspires position papers from trade associations spanning the full range of professional and political entities. When the defense is successful in a high-level publicity case (especially when it involves a defendant whose ‘factual guilt’ is clear), the acquittal triggers public outrage and serves vividly as a screen upon which each relevant interest group can project its fears and concerns.” M. Perlin, The Jurisprudence of the Insanity Defense (1994) p. 3. It would serve this court well to bear these thoughts in mind as we navigate the ever murkier waters of insanity jurisprudence in our attempt to set forth a standard for criminal responsibility that readily may be understood and applied by our courts and juries and that is also fair to the defendant who seeks to invoke its protection.

I concur in the result reached by the majority, and applaud what is obviously a carefully considered and thoughtfully drafted exegesis of the standard set forth in the American Law Institute’s Model Penal Code as incorporated by General Statutes § 53a-13. I am concerned, nonetheless, that the test as interpreted by the *638majority may exclude certain defendants who are obviously impaired and for whom the interests of justice would not be served by a criminal conviction; specifically, those defendants who, because of their mental illness, adhere to a personal code of morality.

Because the test established by the majority unjustifiably withholds the insanity defense from certain mentally ill defendants who, I believe, should not be held criminally responsible for their actions, I am unable to agree with the majority’s adoption of that test. Moreover, apart from my conclusion that the test embraced by the majority is too restrictive, I must confess that I am perplexed by the majority’s conclusion that, given that test, the defendant is entitled to a new trial.

I

In declaring that a defendant whose mental illness does not deprive him of the substantial capacity to appreciate social boundaries yet who nonetheless chooses to transgress those boundaries must be held criminally responsible, the majority seeks to exclude those otherwise sane individuals who would use the insanity defense as a shield when seeking to satisfy personal grudges or to impose personal political beliefs, a goal I wholeheartedly share. I disagree with the majority, however, that the defense should not apply to an individual who is mentally ill and because of that illness believes that society’s rules do not apply to his or her actions. It is my belief that such a person is not capable of appreciating the legal and social import of his or her acts, and, therefore, should not be held criminally responsible.

Societal morals are reflected by the criminal code. “Knowledge that an act is forbidden by law will in most cases permit the inference of knowledge that ... it is also condemned as an offense against good morals.” People v. Schmidt, 216 N.Y. 324, 340, 110 N.E. 945 (1915). *639Because murder is an offense against good morals, it has been made a crime. The test adopted by the court today attempts to create a distinction between issues of legality and morality, but by focusing on a societal standard it has, I believe, conflated the two in much the same way as does the state in its test, which this court has properly rejected.

The majority has determined that under the Model Penal Code, a defendant who “appreciates”1 that society would not approve of his or her actions cannot invoke the insanity defense, even though that defendant is mentally ill and has acted under a delusional adherence to apersonal moral code. I fail to understand the majority’s reasoning, however, in light of statements by Herbert Wechsler, the chief reporter for the Model Penal Code, in which he clarifies what it means to “appreciate” the wrongfulness of one’s actions. The majority cites to Wechsler’s model jury instructions, which provide: “To appreciate the wrongfulness of conduct is, in short, to realize that it is wrong; to understand the idea as a matter of importance and reality; to grasp it in a way that makes it meaningful to the life of the individual, not as a bare abstraction put in words.” (Emphasis added.) I A.L.I., Model Penal Code and Commentaries (1985) § 4.01, appendix C, p. 215 (hereinafter Model Penal Code). Although recognizing that a defendant’s personal moral code may be delusional, the majority underestimates the pivotal role of that defendant’s men*640tal illness. In other words, if the defendant’s personal code is the direct result of the mental illness, then I am hard-pressed to understand how that defendant’s knowledge of society’s disapproval could be “a matter of importance and reality . . . meaningful in the life of the [defendant] . . . .’’Id. I believe that such a defendant is unable to truly appreciate, as defined by Wechsler, the “wrongfulness” of his or her action. Nor am I alone in that belief — I need go no further than the aforementioned model jury instructions.

The majority cites to the model jury instructions in the Model Penal Code in support of its conclusion that “wrongfulness” incorporates societal standards. Reading one sentence further, however, I note that Wechsler provides the jury with an example of a defendant who cannot appreciate the wrongfulness of his actions: “If, for example, one has such a diseased conception of his own relationship to other people that he thinks himself to be an Oriental monarch, with absolute dominion over those about him, including the privilege to deal with or to terminate their lives as he sees fit, it hardly could be thought that such a person has substantial power to appreciate that conduct of that kind is contrary to both the law and moral standards that obtain in our community.” Id., p. 214. This, I would argue, is precisely the person to whom the majority refers when it describes that individual who adheres to a “personal, albeit delusional, moral code.”

Those same instructions, in a passage immediately following a passage extracted by the majority, describe “[a] person . . . who is so far disoriented by disease that he is incapable of any feeling for the other people in the world or of realizing their existence and importance, or of distinguishing between his own identity and theirs, such a person might be deemed to be without significant capacity to appreciate that it is wrong to kill another man, although he says he knows that it is *641wrong.” I Model Penal Code, supra, § 4.01, appendix C, p. 215. Again, this describes a defendant who, as a, result of mental illness, believes himself removed from the mores of society.

I find further support for my inteipretation in the analysis employed by the Second Circuit Court of Appeals in United States v. Freeman, 357 F.2d 606 (2d Cir. 1966). In that case, the court sought to adopt a test that was “in harmony with modern medical science”; id., 622; and by which “an inquiry based on meaningful psychological concepts can be pursued.” Id., 623. The court was not concerned with deciding whether the defendant should be held criminally responsible for his acts but, rather, sought only to determine whether that circuit should adopt a new test for criminal responsibility. Id., 615. The court recognized that such a test was necessary because “none of the three asserted purposes of the criminal law — rehabilitation, deterrence and retribution — is satisfied when the truly irresponsible . . . are punished”; id.; and for that reason adopted a test that required a defendant to truly appreciate the import of his or her actions before he or she could be held responsible. Id., 622. In other words, “mere intellectual awareness that conduct is wrongful, when divorced from appreciation or understanding of the moral or legal import of behavior, can have little significance [in establishing responsibility].” Id., 623.1 believe that the majority has given this aspect of Freeman and the Model Penal Code test short shrift when it assumes, a priori, that there can exist a defendant who, because of a mental disease or defect, adheres to a personal code of morality, yet is capable of not just an intellectual awareness of societal norms but fully appreciates those norms. If an individual is so disturbed that he or she honestly believes in the moral justification of his or her *642actions by any standard, how can we say that he or she can appreciate the wrongfulness of those actions?2

A careful reading of Freeman and its progeny, as well as of the state cases that deal with the distinction between criminality and wrongfulness, makes it clear that those courts were concerned with the mentally disturbed defendant who has a mere intellectual awareness of society’s mores but who fails to appreciate how those mores apply to him — in other words, the mentally disturbed defendant who follows a personal code because it is the only code that is “a matter of importance and reality . . . meaningful in [his] life . . . .”3 I Model Penal Code, supra, § 4.01 (1), appendix C, p. 215. Therefore, the focus in those opinions on the distinction between personal and societal concepts of morality was less precise than anyone currently struggling with this issue would like. In light of my concerns, I am therefore unable to agree with the test adopted by the majority, a test that excludes a defendant who, because of a mental disease or defect, is guided by a personal sense of morality.4

*643II

The majority has acknowledged, as it must, that it is the law in this state that a defendant is not entitled to a jury instruction that is not an accurate statement of the law. See State v. Pinnock, 220 Conn. 765, 788, 601 A.2d 521 (1992); State v. Gabriel, 192 Conn. 405, 418, 473 A.2d 300 (1984); State v. Chetcuti, 173 Conn. 165, 171, 377 A.2d 263 (1977); State v. Green, 172 Conn. 22, 25, 372 A.2d 133 (1976); State v. Brown, 163 Conn. 52, 60, 301 A.2d 547 (1972); State v. Harrison, 32 Conn. App. 687, 694, 631 A.2d 324, cert. denied, 227 Conn. 932, 632 A.2d 708 (1993). The majority avoids reaching that conclusion in the present case, however, by determining that the charge requested by the defendant was not an inaccurate statement of the law but, rather, merely was incomplete. The majority finds, therefore, that although the requested instruction did not fully articulate the applicable law, it nevertheless correctly linked “wrongfulness”. with morality, and was thus sufficient.

If it were truly the case that the defendant had merely requested a charge that was incomplete, I would be more inclined to agree with the majority’s conclusion that he is entitled to a charge “explaining the relation*644ship between wrongfulness and morality under § 53a-13.” See State v. Thurman, 10 Conn. App. 302, 321, 523 A.2d 891, cert. denied, 204 Conn. 805, 528 A.2d 1152 (1987) (“The meaning of the word ‘wrongfulness’ . . . is subject to varying interpretations. . . . [T]he trial court must, when properly requested, provide this definition ... if ‘the record contains evidentiary support for the defendant’s theory that, although he realized the offending act was illegal, because of mental disease he possessed a false belief that the act was morally justified.’ ” [Citations omitted.]). The court in Thurman considered a jury charge that defined wrongfulness as moral wrongfulness and that informed the jury that if it found “ ‘that the defendant, because of a mental disease or defect, lacked substantial capacity to appreciate the wrongfulness of his conduct even if he knows his conduct to be criminal but so commits it because of a delusion that he was morally justified, then [its] verdict must be not guilty.’ ” Id., 318 n.15.5 This charge, I believe, is an example of a charge that, under the test as established by the majority today, would be incomplete but nevertheless sufficient to support on retrial an instruction more fully articulating the appropriate test. This charge is not, however, the charge requested by the defendant in the present case.

There is a fundamental difference between the charge discussed in Thurman and the charge requested by the defendant in the present case. The defendant here requested a charge that absolved him of criminal responsibility if the jury found that he “at the time of the offense, suffered from a delusion rendering his act morally justified in his mind (Emphasis added.) Such a request clearly references a personal concept of moral justification, a concept that explicitly has been rejected by the majority in today’s decision. *645The requested instruction more closely resembles the broader test I propose in part I of this opinion. Under these circumstances, I am unable, therefore, to agree with the majority’s conclusion that the defendant is entitled to a new trial based on the trial court’s refusal to give the requested instruction, because I believe that that conclusion cannot logically be drawn from the law of criminal responsibility as articulated by the court today.

MCDONALD, J.,

dissenting. The jury heard evidence that the defendant prepared for this homicide by legally purchasing a handgun after a waiting period. On the day of the homicide, he visited his mother’s grave to apologize for what he was going to do, and then drove to the home of the victim. There, the defendant found the victim in his swimming pool where the defendant repeatedly shot him. The defendant then drove to the local police station, locked his gun in the trunk of his automobile and turned himself over to the police.

At his trial, the defendant raised the defense of insanity, claiming he was thereby fixated to destroy the victim because the victim was evil.

I

The majority reverses the defendant’s conviction of murder and orders a new trial because of the trial judge’s charge to the jury. The defendant did file a request to charge which the trial judge refused to give. The instruction requested by the defendant read as follows: “[A]n accused is not criminally responsible for his offending act if, because of mental disease or defect, he believes that he is morally justified in his conduct— even though he may appreciate that his act is criminal.”

The requested charge swept away any consideration of an objective moral standard. It incorporated a per*646sonal and subjective standard of moral wrong rather than a societal standard. It did not clearly state that as related to the homicide, wrong refers to the defendant’s cognitive inability due to mental disease or defect to distinguish right from wrong as measured by a societal standard of morality. The request, rather, referred to the defendant’s purely personal standard of morality.

In People v. Serravo, 823 P.2d 128, 138 (Colo. 1992), the Supreme Court of Colorado recognized that a request to charge cast in terms similar to those requested by the defendant could have been interpreted by the jury to incorporate a personal and subjective standard of moral wrong rather than a societal standard of right and wrong.1 That court disapproved of such an instruction because it failed to “expressly inform the jury that [wrong] does not refer to a purely personal and subjective standard of morality.” Id., 139.1 believe the trial court properly refused the defendant’s request.

II

In ordering a new trial, the majority states that the defendant was not disqualified from receiving an instruction that he may be excused from criminal liability if because of a mental defect he believed in some nonobjective sense that his conduct, though knowingly illegal, was not against society’s standards of morality. No such request, however, was made to the trial judge whom we now reverse.

Furthermore, not once in its charge did the trial court state that the defendant would be criminally hable if he knew his acts were against the criminal law. The jury instruction did ahow the jury to measure wrongfulness by its common and understood meaning of morally wrong. Id., 137-38; see also State v. Corley, 108 *647Ariz. 240, 243, 495 P.2d 470 (1972); People v. Skinner, 39 Cal. 3d 765, 780-81, 704 P.2d 752, 217 Cal. Rptr. 685 (1985); Moses v. State, 245 Ga. 180, 184, 263 S.E.2d 916 (1980); People v. Wood, 12 N.Y.2d 69, 76-77, 187 N.E.2d 116, 236 N.Y.S.2d 44 (1962). An average juror would understand without difficulty that wrong is a bedrock moral term. It is defined as “something . . . immoral.” Webster’s Third New International Dictionary. That wrong and right are moral terms was pointed out by another famous Connecticut author. Although not a psychiatrist, Samuel Clemens simply stated: “Always do right. This will gratify some people and astonish the rest.” J. Bartlett, Familiar Quotations (16th Ed. 1992) p. 528, quoting from a card sent by S. Clemens to the Young People’s Society, Greenpoint Presbyterian Church, Brooklyn, New York, on February 16, 1901.

We break new ground to say this trial judge should be reversed because he failed to honor a defective request to charge, and because he, the defendant and the state all failed to anticipate that we would use this case in uniquely redefining the insanity defense. This is not in keeping with our role as an appellate court as demonstrated by our cases through the years. See Keating v. New London, 104 Conn. 528, 534, 133 A. 586 (1926); see also, e.g., State v. Payne, 240 Conn. 766, 781, 695 A.2d 525 (1997); State v. Gant, 231 Conn. 43, 48, 646 A.2d 835 (1994), cert. denied, 514 U.S. 1038, 115 S. Ct. 1404, 131 L. Ed. 2d 291 (1995); State v. Watlington, 216 Conn. 188, 198, 579 A.2d 490 (1990).

Ill

The majority now approves a jury instruction that provides a definition of wrong as something against societal morality, but not objectively speaking. The majority approves this language: “[I]n deciding whether the defendant had substantial capacity to appreciate *648that his conduct was contrary to societal morality, [the jury] must not limit its inquiry merely to the defendant’s appreciation that society, objectively speaking, condemned his actions. Rather, the jury must also determine whether the defendant maintained a sincere belief that society would condone his actions under the circumstances as the defendant honestly perceived them.” Under this formula, a person who knows murder is wrong in the eyes of society and knows society does not share his perception that his victim needs to be killed may be excused if he believes, because of mental illness, that society would condone the killing if it, too, saw that need. This should not be written into our law. If the defendant recognizes his conduct is both criminal and wrong in the eyes of society, as murder clearly is; see footnote 1 of this dissent; public safety demands that he be held responsible for his actions. I do not agree that it should be a defense that the defendant believes society did not approve of his conduct only because society failed to appreciate a needed “greater social good” which would come from those same actions.

It is hoped that we can still rely on the common sense of jurors, coping with these enigmatic instructions, to safeguard us.

Accordingly, I respectfully dissent.

10.5.11 Notes and Questions (Applying the Insanity Defense) 10.5.11 Notes and Questions (Applying the Insanity Defense)

A. Consider the defenses below, each reflecting the way different jurisdiction(s) test eligibility for the insanity defense:

  1. M’Naghten: At the time of the committing of the act, the party accused was laboring under such a defect of reason, from a 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. 
  2. Irresistible Impulse: At the time of the act, D was mentally ill, and the mental illness caused the inability to control D's actions or conform D's conduct to the law.
  3. MPC: D is not criminally responsible if, at time of conduct, as result of mental disorder, D lacked substantial capacity either to appreciate the criminality of conduct or to conform conduct to requirements of law.
  4. Texas Law Section 8.01 of the Texas Penal Code: "at the time of the conduct charged...as a result of severe mental disease or defect, the defendant did not know that [her] conduct was wrong."
  5. 18 U.S.C.A. § 17. Federal 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.

  1. Kansas (mental illness relevant only to defeat mens rea)

B. Test your understanding of each of the standards above by analyzing guilt for the D in the hypothetical below (for purposes of homicide law, assume it takes place in MPC land):

Hypothetical: Old Testament Story of Abraham, Sarah, Hagar, Ishmael and Isaac:

Abraham and Sarah, his wife, are unable to have children. Abraham has a son, Ishmael, fathered out of wedlock with Hagar, a domestic servant. Years later, when Abraham and Sarah manage to conceive and have a son, Sarah comes to view Ishmael as a problem. She demands that Abraham send Hagar and Ishmael into the desert. He does so, knowing that absent some miracle, both will die. (Genesis 21, NIV)

Some years later, Abraham hears a voice telling him to take his son, Isaac, and kill him as a sacrifice to god. He obeys the voice and sets out at once. He reaches the spot where he intends to sacrifice his son. He dismisses his servants and proceeds alone with his son. He builds an altar, ties his son to it, and is ready to kill him when he hears a voice commanding him to stop. He stops, sparing Isaac’s life, but leaving him permanently scarred by the experience. (Genesis 22, NIV)

Prosecutors want to press attempt murder charges against Abraham. (Notice, for review, how they would argue the facts, whether it’s a proximity standard or a substantial step). How might Abraham’s defense lawyer argue his case were it to arise in each of the 6 jurisdictions above? 

 

10.5.12 AN END TO INSANITY: RECASTING THE ROLE OF MENTAL DISABILITY IN CRIMINAL CASES, Christopher Slobogin 10.5.12 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 disorders 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 crimes. 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 the 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.

     The central assertion of this article, however, is that the insanity defense does not adequately carry out this definitional task. At least in its modern guises, the insanity defense is overbroad. Instead, mental disorders 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. 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. 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, 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 result (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. 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, 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 examples. Jeffrey Dahmer killed and cannibalized thirteen individuals. The jury was right to convict him. 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. 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, 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. 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, the mere fact that the defendant honestly believed God ordained a crime would not automatically be an excuse.

     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.

     First, a person may engage in motor activity without intending it to occur (e.g., a reflex action that results in a gun firing and killing someone). Criminal law typically classifies such events as involuntary acts. 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.

     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 person or a person who exerts control over property he delusionally believes to be his 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. 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.

     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. However, for reasons discussed in more detail later in this article, 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 disorders 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.

10.5.13 State v. Singleton 10.5.13 State v. Singleton

—N.J.—

STATE OF NEW JERSEY, Plaintiff-Appellant, 

v.

BOYCE SINGLETON, JR., Defendant-Respondent.

SUPREME COURT OF NEW JERSEY

No. 067756

Argued January 31, 2012 – Decided July 30,2012   

 

On certification to the Superior Court,   Appellate Division, whose opinion is   reported at 418 N.J. Super. 177 (2011).   

Frank J. Ducoat, Deputy Attorney General,   argued the cause for appellant (Jeffrey S.   Chiesa, Attorney General of New Jersey,   attorney).   

John W. Douard, Assistant Deputy Public   Defender, argued the cause for respondent   (Joseph E. Krakora, Public Defender,   attorney).  

 

JUSTICE LaVECCHIA delivered the opinion of the Court.

In New Jersey, we adhere to the general proposition that a defendant who has the mental capacity to know basic societal mores that distinguish objectively between right and wrong is legally responsible for his criminal conduct.  See State v. Sikora, 44 N.J. 453, 470 (1965).  Mental illness does not in and of itself eliminate moral blameworthiness under the test for criminal insanity enshrined in the Code of Criminal Justice 2  (Code).  See N.J.S.A. 2C:4-1.  As our Model Jury Charge illuminates for jurors, “[t]he law adopts a standard of its own as a test of criminal responsibility, a standard not always in harmony with the views of psychiatrists.”  Model Jury Charges (Criminal), § 2C:4-1 Insanity (Oct. 17, 1988).  And, moreover, jurors are informed that the law does not require that the defendant actually consider the wrongness of his act when accomplishing the deed.  Rather,  

[t]he question is not whether the defendant, when (he/she) engaged in the deed, in fact actually thought or considered whether the act was right or wrong, but whether defendant had sufficient mind and understanding to have enabled (him/her) to comprehend that it was wrong if defendant had used (his/her) faculties for that purpose.

 

[Ibid.] 

Thus, the test hinges on a defendant’s general knowledge of society’s mores and objective expectations about behavior.  In State v. Worlock, 117 N.J. 596 (1990), a narrow caveat was added for the delusional defendant who, at the time of a homicidal act, affirmatively acts under a direct command from God to kill the victim.  This appeal raises an issue concerning Worlock’s applicability.   

In September 2005, defendant Boyce Singleton Jr. killed his pregnant girlfriend, Michelle Cazan.  He was indicted and tried in June 2008, on a charge of first-degree murder and other 3 related offenses, including tampering with evidence and hindering.  Defendant has never disputed that he killed Cazan.  His defense at trial was keyed to whether he should be found not guilty by reason of insanity.  Afflicted with schizoaffective disorder, defendant had developed the delusional religious belief that he was in a form of communication with God and that he was authorized to kill those who violated “God’s word.” Defendant’s mental illness was the centerpiece of the parties’ summations and the trial court included the model charge on the insanity defense, which refers to the defendant’s ability to comprehend that his action is wrong, in its instructions to the jury.  Defendant interposed no objection to the insanity charge’s content.

Defendant’s insanity defense proved unsuccessful as the  jury convicted him of murder, as well as the other charged  offenses.  In a motion for a new trial, defendant claimed for the first time that the jury should have been provided with a variant of the insanity-defense jury charge informing the jury  that a defendant can be found not guilty by reason of insanity  if he lacks the capacity to understand that his actions are  morally wrong, even if he understands that they are legally  wrong.  In Worlock, supra, we recognized in dicta that such a  jury charge might be necessary in cases where a defendant claims  to have been compelled by a “command from God.”  117 N.J. at 4611; cf. State v. Winder, 200 N.J. 231 (2009) (rejecting  Worlock’s applicability to facts of case).  Finding no evidence  that defendant acted under compulsion of a command from God when  he murdered Cazan, the trial court concluded that circumstances  warranting a “Worlock” variation to the model charge were not  present.  The court denied the motion for a new trial and  imposed sentence on September 12, 2008.

Defendant appealed and a panel of the Appellate Division reversed the conviction and remanded for a new trial based on finding the insanity-defense jury charge to have been incomplete.  State v. Singleton, 418 N.J. Super. 177, 204-05 (App. Div. 2011).  

The State filed a petition for certification, which was granted.  207 N.J. 188 (2011).  We now reverse.

 

I.

 

A. Background   

 

Defendant’s expert in forensic psychology and the State’s   expert agree that defendant suffers from schizoaffective   disorder.[1] At trial defendant produced lay witnesses –- five family members and one friend –- and testified on his own behalf  to provide insight into his mental illness prior to and during the events related to Cazan’s death.  That testimony showed that defendant had developed a set of delusional religious beliefs derived from his perspective on scripture.  Importantly, he believes that he has an obligation to kill sinners, especially sinners who attempt to deter him from honoring God’s word according to his strongly held, personal interpretation of the Bible’s Old Testament.  

Defendant’s mental illness significantly manifested itself during his relatively brief period of attendance at college.  In 2003, he turned to religious study for guidance, discipline, and a means of control over his life, but soon developed a preoccupation with the Bible and God and became obsessed with the Old Testament.  His interpretation of scripture developed into a delusional system that, the experts agree, distorts his logical reasoning.  For example, defendant came to believe that money was the root of all evil because people idolized it, rather than God.  On one occasion, his distaste for money led him to choose imprisonment for failure to pay a court fine over violating his belief in the wrongness of using money.  His mother obtained his release by paying the fine herself.  

According to defendant, over time, he became convinced that he was a “soldier” for God.  He testified that he came to believe that God communicates with him, although he does not 6  claim to hear a distinct voice speaking or commanding him.  Rather, he receives messages or communications from God while asleep.[2]  As he explained in his testimony, and in a statement to police after Cazan’s death, he felt a general obligation to kill sinners who did not comport themselves in accordance with his beliefs about God’s expectations, once he explained those expectations to them.  Indeed, in 2005, not long before Cazan’s murder, defendant, who had moved back into his parents’ home, told his older sister, Lakeisha, “if I didn’t love you so much, you would have already been dead, because the voices told me to kill all of you all because you’re sinning.” 

On another occasion, during the spring of 2005, defendant threatened the gay friend of his younger sister Shakia, who was staying at their parents’ home.  Defendant claimed that he “heard something say to me go downstairs and kill him because he was homosexual.”  Shakia’s friend left the home without being physically harmed, but by July 2005, defendant’s beliefs and behaviors had become too extreme for his mother and siblings. Although defendant had not yet acted on his beliefs, he was asked to leave the home.[3]

On July 27, 2005, he moved in with Michelle Cazan, a friend of Shakia and a participant in the same bible studies group as defendant’s mother and Shakia.  The relationship became intimate within one week’s time and, on September 12, 2005, Cazan told defendant that a home pregnancy test had confirmed that she was pregnant.  Defendant killed her the next day.  We turn next to the murder and subsequent events. 

 

B. Cazan’s murder

 

On September 13, 2005, while Cazan was at work, defendant went with a friend to an Air Force and Army recruiting center to discuss enlistment, which he explained was motivated by a desire to help his “family,” meaning his parents and siblings who were struggling, not Cazan.  He claimed that he trusted in God to look after Cazan and the baby that was on the way.  Still, he was conflicted about enlisting even to help his parents and siblings because he would be working for money, which would be contrary to his religious beliefs.  

That afternoon defendant picked up Cazan from work later than she expected, causing her to miss an appointment she had  scheduled with an organization that might have provided a source of employment for defendant.  He knew that she was not happy about missing the appointment, but testified that they did not argue about it.  However, there was tension between the two and they had a discussion during which he considered leaving Cazan’s vehicle, but did not.  Instead, he agreed to accompany her on a visit to her hometown of East Rutherford to see places that were important to her, including her brother’s gravesite.  

During the trip north, the two quarreled over their future.  Cazan was concerned about his ability to provide for the baby.  As for defendant, he had reached the conclusion that he would not enlist in military service because he was uncomfortable with the idea of serving “a God other than my God” by earning “evil” money.  And, he became increasingly disturbed over Cazan’s change of heart from earlier discussions in which they had talked about going “into the woods” and living apart from a money-based civilization.  He felt she had turned from the religious beliefs and principles he thought they shared.  He grew more upset with Cazan during that conversation because he felt as though she had not fully adopted his religious beliefs and, worse, she was driving a wedge between him and God.  He testified that he began to view Cazan “[a]s a prostitute,” because “she was prostituting herself to another God.”  Defendant said he “didn’t trust her,” and that he “didn’t want 9  to be around her . . . [or] with her anymore.”  Moreover, on arriving in East Rutherford, defendant did not respond favorably as Cazan showed him the area.  He said he became “enraged” by her “stories of mob activity” that allegedly had occurred in the vicinity.  He regarded her as “bragging” about it, which offended him.

At approximately 10:30 p.m., the two arrived home at Cazan’s condominium in Mansfield.  Defendant claims that, at this point, he was very upset.  After using the first-floor bathroom, he went upstairs to the bedroom where Cazan was and asked her to give him the keys to her BMW.  She refused.  He admitted at trial that had she given him the keys he would have left.  However, when she would not give him the car keys, he pulled a revolver from his waistband and shot her four times, emptying the gun.  One bullet went through her face and out behind her ear, another entered her chest and passed through her rib cage, chest cavity, and lungs, exiting through her lower back.  Forensic evidence showed that Cazan was shot twice more in the back while on her hands and knees.  One bullet traveled through her trachea and exited through her neck.  Cazan began to choke on her own blood.  Defendant said he “didn’t want her to suffer,” so he stabbed her, four times, in the chest and abdomen, one of which pierced her lung.  The stab wounds were between three and six inches in depth.  She died within minutes.

Defendant took the knife, but left behind the handgun, and drove Cazan’s car to the home of his friend William Britt, where both William and his brother John were.  There he washed his hands of blood and gunshot residue and changed his clothes.  During the next few hours, defendant and his friends drank alcohol and smoked marijuana.  Although defendant told William and John that he had killed Cazan, neither believed him.  

Early the next morning, defendant left Cazan’s car around the corner from Britt’s home in Trenton and walked to Morrisville, Pennsylvania where his parents lived.  Along the way, he threw the knife into a canal.  He did so because he said he had learned from “movies” that “you’re supposed to get rid of the murder weapon.”  According to defendant, at that time, he “planned on running” and “kill[ing] everybody . . . until [he] got killed.”  However, when he arrived in Morrisville at about 2:00 a.m., he met his older sister Lakeisha also arriving home and asked her to drive him to Cazan’s house.  According to Lakeisha, he told her that he had shot and stabbed Cazan, that she was dead, and that he had left the gun behind at the house.  Lakeisha testified that during this trip, defendant had “many rambling conversations” in which he was not talking directly to her:  “Whoever he was talking to or whatever he was hearing, he was responding to.  But the conversation wasn’t for me.”  At Cazan’s home, he asked Lakeisha to let him out in the back of the home and to wait for him in the car.

According to defendant, after determining that no police or others were in or around Cazan’s home, he went inside, retrieved his gun, wiped down the door handles, and otherwise attempted to clean the blood splatter.  He placed the gun and the cleaning materials he had used in a garbage bag and left, returning to Lakeisha’s car.  He asked her to take him to Britt’s home.  Along the way she convinced him to go instead to their parents’ home in Morrisville.  There he told his father what he had done and fled the area, intending to go to a family member’s home in North Carolina, along the way retrieving his duffle bag from Britt’s home.  In his later statements he explained that the police were his enemy because, if he was captured, he could not serve God.  However, when he reached Baltimore, he abandoned his plan and returned home after talking with his mother.  

Arriving back at his parents’ home, he told his family that he planned to turn himself in but wanted to “hold Cazan” before doing so.  So, on September 15, he drove Cazan’s BMW to her home.  His brother, Damon, rode with him, and Lakeisha and his mother followed in a separate car.  Damon testified that during the trip defendant “was talking to someone” other than him.  Defendant entered Cazan’s home alone, repositioned her body and clothing, and placed a stuffed animal, sprayed with perfume, at her side.  Concerned by the amount of time that had elapsed, Damon entered the condo and said that he found defendant holding Cazan’s body, “trying to wake her [and] telling her [to] wake up.”  Meanwhile, defendant’s mother had arranged for the police to be contacted by one of Cazan’s neighbors.

Mansfield Patrolman Jason Abadia responded and, after backup arrived, he arrested defendant.  Abadia testified that defendant stated, “I killed her.  I killed her.  Don’t leave her like that.  Cover her up.  I killed her.”  Abadia read defendant his Miranda[4] rights and defendant again stated that he had killed Cazan, explaining also what he had done with the knife and gun.  

Detective Sergeant Lindsey Cooper of the New Jersey State Police took over the investigation approximately one hour later.  To obtain a recorded statement from defendant, Cooper reread the Miranda rights to defendant.  During the interrogation, defendant admitted killing Cazan and claimed that he could see a vision of her smiling through the window of the squad car when he was first placed under arrest, and later from the vantage of the room in which he was interrogated.  In explaining his killing of Cazan, he stated that he was angry because of “that damn book,” which he clarified as referring to the Bible.  Defendant told the officers, “I lost it and the devil kept f...ing with me, he just kept f...ing with me and I lost it . .   . .”  When asked if anyone else was involved in Cazan’s killing, defendant answered, “No, the devil, god and the devil (inaudible) inside of me, outside of me, all over the place, all over the place.”  

  

C.  Trial

 

Defendant was charged with first-degree murder, N.J.S.A.  2C:11-3(a)(1) and (2); second-degree possession of a weapon (handgun) for an unlawful purpose, N.J.S.A. 2C:39-4(a); thirddegree possession of a weapon (knife) for an unlawful purpose, N.J.S.A. 2C:39-4(d); third-degree unlawful possession of a weapon (handgun), N.J.S.A. 2C:39-5(b); third-degree hindering apprehension, N.J.S.A. 2C:29-3(b)(1); and fourth-degree tampering with physical evidence, N.J.S.A. 2C:28-6(1).

At trial, in addition to the family members who testified, Dr. Maureen Santina, a clinical and forensic psychologist, testified as an expert for defendant.  She diagnosed defendant with schizoaffective disorder which causes hallucinatory experiences and delusional perceptions. [5]  She testified that as a result of his delusional system, defendant lost his “ability to regulate his interpretation of the world and his reaction to the world.”  She explained that defendant became obsessed with his delusions, including his belief that God wanted him to kill sinners, even his own family, and concluded as follows: 

I think that he knew that he was killing her but I don’t think that he understood the nature of his killing her.  In other words, I think that he believed that he was supposed to kill her.  Whether he wanted to or not, he was supposed to kill her.  And that he was supposed to kill her because God was ordering it.

 

On redirect, Dr. Santina clarified,

As I said, [defendant] believed that God was telling him to do it.  He said, I didn’t want to kill her.  He in the past, had family members that he had said God was telling him to kill them because he was seeing these people as being bad.  And saying I don’t want to do it but feeling he had to.  He even talked to himself as not having the courage to do what God wanted.

So in that moment  when he feels that God wants him to do it he says I have to do it, I’m supposed to do it because God wants me to do it.  He believed that he was following God’s word.  And God as being the supreme authority who has the right to decide what’s right or wrong.

 

The State’s expert, Dr. Elliot Atkins, agreed with Dr. Santina’s conclusion that defendant suffered from the severe mental illness of schizoaffective disorder.  The State’s expert further agreed that defendant operated under a delusional system.  However, Dr. Atkins disagreed with Dr. Santina’s conclusion that defendant was legally insane at the time of the killing.  Dr. Atkins emphasized that defendant admitted to not  hearing voices at the time of the killing.  Rather, Dr. Atkins testified that defendant was merely acting on his interpretation of what God wanted.  On direct examination, Dr. Atkins testified:  

For example, he said that he only really heard the voices when he was sleeping.  He said that most of these were really not voices, but just thoughts in his head.  That he wasn’t even able to describe the voice.  And he said to me it was probably just some subconscious thing going on rather than a voice.

That the last time God had spoken to him was two years before the killing.  That although he indicated that the idea that he should hurt someone came from God, he said that that information had never been transmitted to him from any voices.  And he said it was just my interpretation.  I never heard the voice of God.

When I asked him whether he had heard any voices on the night of the incident, he said no.  So, although I agree that he was mentally ill at the time, what was going on at that time was not a psychotic episode where a voice is saying this is what you’ve got to do.  

 

 When asked on cross-examination whether defendant believed he could talk to God, Dr. Atkins responded, “he clarified for me that he didn’t believe God was actually talking to him.  But he believed in this delusional system that what he was thinking was God’s wishes or God’s will.”

Dr. Atkins also pointed to several considerations that, in his opinion, indicated defendant knew what he was doing was wrong.  First, defendant had a history of violence and aggression toward women, pointing to defendant’s experiences with the mother of one of his children, and to the fact that he had been fighting with Cazan on the day of the killing.  Second, defendant had stated that he stabbed Cazan, not to serve God, but to put her out of her misery.  Third, Defendant drank alcohol and smoked marijuana at the Britts’ apartment, which could indicate that defendant sought to dull the guilt he felt.  Last, defendant’s forensic evaluation test results indicated he was trying to “make himself look better . . . by claiming that it was God that had him do this.”  Dr. Atkins also noted that defendant’s decision to evade police was inconsistent with his claims of righteousness.  Based on his evaluation of those considerations, Dr. Atkins opined that defendant was not acting in accordance with his delusional system at the time of the killing and that, therefore, “he knew that what he was doing was wrong.”  

The jury instruction that the court and all parties agreed would be given in this matter was the Model Jury Charge for the insanity defense.  Drawing from the model charge, the court instructed the jury as follows:

Apart from his general denial of guilt, the defendant maintains that he is not guilty of the crimes charged by reason of insanity. . . .  

 . . . .   

A hostile act, that is an illegal act, may in one case spring from wickedness, and in another from some infirmity or sickness of the mind, which the  individual did not design. . . .

. . . .  

The law adopts a standard of its own as a test of criminal responsibility, a standard not always in harmony with the views of psychiatrist[s].  If, at the time of committing the act, the defendant 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 defendant did know it, that he did not know what he was doing was wrong, defendant –- the defendant is then legally insane, and therefore, not criminally responsible for his conduct.  

As you can see, the law regards insanity as a disease of the mind.  It may be temporary or permanent in its nature, but the condition must be a mental disease.  An accused may have the most absurd and irrational notions on some subject.  He may be unsound in mind and be a fit subject for confinement and treatment in a mental hospital, but if at the time of the offenses, the defendant had the mental capacity to distinguish right from wrong, and to understand the nature and quality of the acts done by him, he is subject to the criminal law.

 . . . .

The question is not whether the defendant, when he engaged in the deed, in fact actually thought or considered whether the act was right or wrong, but whether the defendant had sufficient mind and understanding to have enabled him to comprehend that it was wrong, if the defendant has used –- had used his faculties for that purpose. 

 

The jury rejected defendant’s insanity defense and convicted him of murder and the other charges.  His post-trial challenge to the insanity-defense jury instruction was denied by the court.  At sentencing, the court imposed a fifty-year term of imprisonment, with an eighty-five percent period of parole ineligibility, pursuant to the No Early Release Act, N.J.S.A.  2C:43-7.2, on the murder conviction, and a five-year prison term for the hindering conviction, to be served consecutively to the fifty-year term.  The judge also imposed lesser terms that were made concurrent to the sentences for the murder and hindering convictions.

On appeal, the Appellate Division reversed the conviction and remanded for a new trial.  Singleton, supra, 418 N.J. Super.  177.  The panel held that defendant had presented sufficient evidence at trial to have required the trial court, sua sponte, to fashion a deific-command variant to the insanity-defense jury charge based on Worlock.  Id. at 202-04.  The panel was persuaded that the instruction was necessary because defendant testified that he believed killing his girlfriend was “the right thing because it was something God was telling [him] to do.” Id. at 202.  The panel noted also the confirming expert testimony that defendant believed he was compelled to obey what he perceived to be a command from God.  Id. at 201.  In light of that evidence, the panel concluded that failure to provide a deific-command instruction constituted plain error requiring reversal of the conviction.  Id. at 203-04.  On remand for a new trial, the panel held that “the judge must instruct that the defendant may not be held responsible for his actions ‘where a delusional command could be objectively recognized to confound the difference between lawful behavior and a moral imperative.’”  Id. at 204 (quoting Winder, supra, 200 N.J. at 251).[6]    

We granted the State’s petition for certification.  207 N.J. 188 (2011).

 

II.  

 

The State offers alternative arguments why the decision of the Appellate Division should be reversed.  First, the State maintains that the evidence presented at trial supports the trial court’s decision to give only the model charge for the insanity defense and forego the deific-command variation described in Worlock.  The Worlock charge is only appropriate in the “clearest and narrowest category of cases” in which a defendant believes that he or she has received a direct command from God ordering the defendant to commit an illegal act.  Winder, supra, 200 N.J. at 251.  The State contends that defendant’s decision to kill Cazan sprang not from a perception that he had received a direct deific command, but rather from defendant’s subjective, religiously derived, moral code under which he was generally obligated to kill those who did not interpret the Bible and follow God in the way that he did.  Moreover, the State emphasizes that the circumstances surrounding the killing indicate that defendant’s immediate motivation for murdering Cazan was his anger over Cazan’s pregnancy and refusal to hand over her car keys, not his religious beliefs.  

In the alternative, the State asks that we reject Worlock, “abandon the ‘deific decree’ variation of the insanity defense and abolish the distinction between legal and moral wrong.”  The State argues that Worlock introduced uncertainty and subjectivity into the operation of the insanity defense.  The State contends that reinterpreting the insanity test, so that a defendant who is able to understand the nature and quality of his acts can only invoke the defense if he is unable to comprehend that his acts are illegal, would create a more objective and workable standard.

Defendant argues that the Appellate Division correctly concluded that a Worlock jury charge was necessary in this matter.  He points to several instances in the record, many relied on by the Appellate Division, where he claimed to have received direct communications from God.  Defendant also contends that Worlock does not require a defendant to experience actual auditory hallucinations of the voice of God to secure a deific-decree jury charge; rather, he argues that it is enough that a defendant delusionally believes that God wants him to kill.  In this case, defendant claims that there is no real dispute that he “suffered from a relatively stable delusion, over a period of years, that he was communicating with God, and that God was telling him to kill those who violated the Word.”  

In response to the State’s argument that the deific decree jury charge should be abandoned, defendant contends that the charge is required by the statutory language of the test for legal insanity in New Jersey.  Because the Legislature adopted that language, defendant argues that only the Legislature can discard the Worlock charge.  Moreover, even if the courts were free to abandon it, to do so in this case would violate the Ex Post Facto clauses of the United States and New Jersey Constitutions. See U.S. Const. art. I, § 10, cl. 1; N.J. Const.  art. IV, § 7, ¶ 3.  

 

III.

 

A.  

 

The insanity defense exists in criminal law not to identify the mentally ill, but rather to determine who among the mentally ill should be held criminally responsible for their conduct.  Sikora, supra, 44 N.J. at 470.  As a sister jurisdiction has observed, “[t]he insanity defense is not available to all who are mentally deficient or deranged; legal insanity has a different meaning and a different purpose than the concept of medical insanity.”  State v. Crenshaw, 659 P.2d 488, 491 (Wash. 1983) (en banc).  In New Jersey, N.J.S.A. 2C:4-1 sets forth the test for legal insanity:

A person is not criminally responsible for conduct if at the time of such conduct he 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 what he was doing was wrong.  Insanity is an affirmative defense which must be proved by a preponderance of the evidence.

 

N.J.S.A. 2C:4-1 codifies the common-law M’Naghten[7] test for legal insanity, which was originally formulated in England in the 1840s.  See Winder, supra, 200 N.J. at 242-45 (discussing history of M’Naghten test in England and New Jersey); Worlock, supra, 117 N.J. at 602-04 (same).  Our state adopted the M’Naghten test shortly after it was introduced in England, see  State v. Spencer, 21 N.J.L. 196, 204-05 (Oyer and Terminer 1846), and has employed it consistently thereafter, see, e.g., State v. Coleman, 46 N.J. 16, 39 (1965); State v. Lucas, 30 N.J.  37, 72 (1959); State v. Maioni, 78 N.J.L. 339, 341-42 (E. & A. 1909).  When the Legislature adopted N.J.S.A. 2C:4-1 in 1978, L.  1978, c. 95, it chose to preserve the M’Naghten test in spite of a recommendation from the New Jersey Criminal Law Commission to abandon it in favor of the Model Penal Code test.  See 2 Final Report of the New Jersey Criminal Law Revision Commission, commentary to § 2C:4-1, at 96-97 (1971).  

The M’Naghten test provides two distinct paths for a defendant to demonstrate that he was legally insane at the time he committed an act and therefore not criminally responsible for his conduct.  First, a defendant can show that “he 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.”  N.J.S.A. 2C:4-1.  Second, even if the defendant did know the nature and quality of the act, he can still establish legal insanity if, because of a “disease of the mind,” “he did not know what he was doing was wrong.”  Ibid.

In the century-and-a-half since the M’Naghten test was formulated, courts have recognized that the term “wrong” in the second part of the test is susceptible of multiple interpretations.  See People v. Schmidt, 110 N.E. 945, 946-49 (N.Y. 1915) (recognizing ambiguity and discussing possible interpretations); see also Diestel v. Hines, 506 F.3d 1249, 1271-73 (10th Cir. 2007), cert. denied, 553 U.S. 1079, 128 S. Ct. 2875, 171 L. Ed. 2d 812 (2008) (same); Crenshaw, supra, 659 P.2d at 492-94 (same).  One interpretation would equate the term “wrong” with illegality.  Under that understanding, a defendant invoking the insanity defense must demonstrate that despite knowing “the nature and quality of the act he was doing,” he suffered a disease of the mind that prevented him from understanding that the act was illegal.  See N.J.S.A. 2C:4-1.  A minority of states that follow the M’Naghten test have adopted that interpretation.  See State v. Hamann, 285 N.W.2d 180, 183 (Iowa 1979); State v. Boan, 686 P.2d 160, 168 (Kan. 1984); see also Regina v. Windle, 2 Q.B. 826 (1952) (interpreting “wrong” to mean legal wrong in England).   

However, a majority of states following the M’Naghten test have interpreted “wrong” as encompassing legal as well as moral wrong.  See State v. Skaggs, 586 P.2d 1279, 1284 (Ariz. 1978); People v. Skinner, 704 P.2d 752, 764 (Cal. 1985); People v. Serravo, 823 P.2d 128, 137 (Colo. 1992) (en banc); State v. Cole, 755 A.2d 202, 210 (Conn. 2000); Schmidt, supra, 110 N.E.  at 949; State v. Pittman, 647 S.E.2d 144, 170 (S.C. 2007); State v. Cameron, 674 P.2d 650, 653–54 (Wash. 1983) (en banc); Wilson v. State, 78 N.W.2d 917, 920 (Wis. 1956); see also United States v. Ewing, 494 F.3d 607, 617 (7th Cir. 2007) (discussing federal courts’ position that wrong encompasses “the broader meaning of moral rather than criminal wrongfulness” (citation omitted)).  Under that interpretation, a defendant who understands that his actions are contrary to law nonetheless may successfully invoke the insanity defense if he lacked the capacity to understand that his actions were morally wrong.  Courts that follow that approach generally assess moral wrong from a societal, and not a personal, standard, requiring a defendant to show that he did not understand that his actions contravened generally accepted objective societal notions of morality.  See, e.g., Serravo, supra, 823 P.2d at 137-38 (adopting that standard and citing other jurisdictions adopting same approach); Crenshaw, supra, 659 P.2d at 493-94 (same). 

 

B.  

 

Our Court addressed the ambiguity in the term “wrong” for the first time in Worlock.  In that case, the defendant was convicted of murder after shooting and killing two friends.  Worlock, supra, 117 N.J. at 599-01.  At trial, the defendant did not deny his involvement in the killings, but relied instead on a defense of legal insanity.  Id. at 601.  He claimed to have believed the killings were justified because “might makes right” and the laws of society are only meant for “subservient people,” and the defendant did not consider himself to be in that category.  Id. at 614.  After the defendant presented his defense, the trial court charged the jury with the legal definition of insanity, but did not define the meaning of the term “wrong.”  Id. at 612.  On appeal, the defendant argued that the trial court should have instructed the jury that the term “wrong” can mean either legal or moral wrong, so that the jury would have known that it could acquit in the event it found that he did not understand that his actions were morally wrong, even if he knew them to be against the law.  Id. at 606.

We held that the term “wrong” embraces more than just the concept of legal wrong, id. at 610, and that “a defendant’s ability to appreciate society’s morals may be relevant to the determination of his sanity,” id. at 609.  Importantly, we added that

[i]n the vast majority of cases, if the defendant was capable of understanding that he was acting contrary to law, he would also have sufficient capacity to understand that he was acting contrary to the morals of society.  Law is largely the crystallization of societal morals.  Rarely would an allegedly illegal act not also be wrongful morally.  Thus, “wrong” as used in the insanity defense will generally incorporate notions of both legal and moral wrong. [Id. at 609-10.]

 

Because legal and moral wrong are usually “coextensive,” especially when the criminal act at issue is murder, we held that a jury charge explaining that “wrong” encompasses both legal and moral wrong is almost always unnecessary and would more often than not only serve to confuse the jury.  Id. at 610-11.  But, in the odd case in which a defendant is able to recognize that his actions are legally wrong but is nonetheless incapable of understanding that they are morally wrong, we held that “the court should instruct the jury that ‘wrong’ encompasses both legal and moral wrong.”  Id. at 611.  

We emphasized that the insanity defense has always been premised on a “defendant’s ability to comprehend whether his or her actions would ordinarily be disapproved by society.”  Id. at 610.  Thus, we held that “the concept of moral wrong must be judged by societal standards, not the personal standard of the individual defendant.  As a general rule, it will not be sufficient, therefore, that a defendant’s personal moral code justified a killing otherwise prohibited by law and societal morals.”  Ibid. (citations omitted).  In other words, in order to warrant a jury charge explaining the concepts of legal and moral wrong, a defendant would have to show that, at the time he committed the crime, he believed that his actions were morally right under prevailing social norms, not just his own “idiosyncratic code of morality.”  Id. at 614.

We observed that there is only one “generally-recognized” situation in which legal and moral wrong become sufficiently distinct to necessitate a jury charge defining the term wrong:  when “the defendant contends that he or she knowingly killed another in obedience to a command from God.”  Id. at 611.  In such a scenario, a defendant could justifiably believe that although he acted contrary to law, society would consider his actions to have been morally right.  Ibid.  We noted that there might be situations other than a deific decree to kill in which a defendant could at the same time understand that his actions were legally wrong but believe them to be morally right under prevailing social values, but declined to speculate on what those scenarios might be.  Ibid. 

Applying the above standard to the facts of the case, we held that Worlock had not demonstrated that he believed society would have approved of his killings.  Id. at 614.  Indeed, we noted that he “viewed society with contempt” and candidly admitted that the moral code by which he lived was not for “the folly-ridden mass.”  Ibid.  Thus, because it was clear that Worlock had the capacity to understand that his actions were morally wrong under conventional notions of morality, we held that the trial court did not err in declining to define the word “wrong” for the jury.  Ibid. 

Recently, we had occasion to revisit the standard introduced in Worlock and again consider whether a defendant had presented the kind of insanity defense that would necessitate a jury charge defining the term “wrong.”  In Winder, supra, the defendant shot and killed a cab driver outside of a police station, and immediately turned himself in to confess to the crime.  200 N.J. at 238.  The defendant maintained that he killed the driver because he believed that his parents were trying to kill him and was convinced that prison was the only place he could be safe from them.  Id. at 238, 249.  The defendant pursued an insanity defense at trial, presenting an expert witness who testified that he suffered from paranoid schizophrenia and heard voices compelling him to kill.  Id. at 239.  At the charge conference, defense counsel requested that the jury be given an insanity instruction that, following Worlock, included an explanation that the term “wrong” encompasses both legal and moral wrong.  Id. at 240.  The trial court denied the request and instructed the jury with the model insanity charge.  Ibid.  The jury found the defendant guilty of first-degree murder and related weapons offenses.  Ibid. 

On appeal, the defendant challenged the trial court’s decision to forego the Worlock charge, contending that his case presented one of the “‘other delusion-based exceptions’” that we intimated could necessitate a jury charge on the definition of “wrong.”  Id. at 249 (quoting Worlock, supra, 117 N.J. at 611).  We disagreed, and reemphasized that, outside of the “deificcommand delusion” discussed in dicta in Worlock, situations in which a defendant could understand that his actions were illegal but be incapable of understanding that society would disapprove of them are exceedingly rare.  Id. at 249-50.  We explained that

[o]ur reference to other delusion-based exceptions in Worlock was not meant to expand the narrow field of potential exceptions to the general understanding that legal and moral wrong, particularly in murder cases, are coextensive.  The hurdle to overcoming societal disapproval of the killing of another human being cannot be accomplished easily by references to subjective beliefs, personal preferences, or even alternative notions of morality, unrelated to mental illness, that clash with the law and the mores of society. [Id. at 250.]  

 

We held that the defendant in Winder was not entitled to a Worlock charge because his actions immediately before and after the killing “demonstrated knowledge of the social unacceptance of his deed.”  Id. at 249.  Moreover, the defendant’s delusions had no apparent impact on his ability to appreciate the way in which society would view the murder.  Id. at 250.  The defendant believed that the only way he could be safe from his parents’ machinations was to go to prison, and settled on murder as the best way to effect his entry.  Id. at 249.  There was no indication that the defendant delusionally believed that society would give its blessing to his use of murder to escape his parents.  Id. at 250.  Thus, because we could discern “no credible claim of moral rightness” flowing from the defendant’s delusions, we upheld the trial court’s decision to give the standard insanity charge.  Ibid.  

 

IV.

 

We dispense at the outset with the State’s argument that we should abandon Worlock’s recognition of a deific-command exception to the general charge covering criminal insanity.  Stare decisis and other stabilizing principles of the law compel us to reject that request.

As recently as this term we noted that “[s]tare decisis is a principle to which we adhere for the sake of certainty and stability.”  State v. Shannon, 210 N.J. 225, 226 (2012) (citations omitted).  Nonetheless, stare decisis is not so inviolate that it should “foreclose reanalysis” when warranted.  Ibid. (citations omitted).  It is undeniably a healthy practice for a court of last resort to re-examine its own doctrine, but, consistent with the practice of other courts of last resort, we have required “special justification” to overturn the persuasive force of precedent.  See Luchejko v. City of Hoboken, 207 N.J.  191, 208-09 (2011) (citations omitted); State v. Brown, 190 N.J.  144, 157 (2007).  Finding such circumstances can depend on whether a particular decision has proven to be unsound or unworkable in practice, as the State here argues.  See AlliedSignal, Inc. v. Dir., Div. of Taxation, 504 U.S. 768, 783, 112 S. Ct. 2251, 2261, 119 L. Ed. 2d 533, 549 (1992).  However, in matters where a judiciary may rely on legislative correction, special justification for disturbing precedent is difficult to establish.   

Statutory-based decisions are less likely to be subject to reconsideration because the legislative branch can correct a mistaken judicial interpretation of a legislative enactment.  Indeed, as a principle of statutory construction, the legislative branch is presumed to be aware of judicial constructions of statutory provisions.  See White v. Twp. of N. Bergen, 77 N.J. 538, 556 (1978) (“[T]here is ample precedent in New Jersey to support the proposition that, where a statute has been judicially construed, the failure of the Legislature to subsequently act thereon evidences legislative acquiescence in the construction given the statute.”); 2B Norman J. Singer & J.D. Shambie Singer, Sutherland Statutory Construction § 49:10 at 137 (7th ed. 2008) (“A number of decisions have held that legislative inaction following a contemporaneous and practical interpretation is evidence that the legislature intends to adopt such an interpretation.”).  Thus, legislative acquiescence to an interpretation of a statute renders the judicial decision an unlikely candidate for abandoning stare decisis.  That is precisely the circumstance here.   

Worlock’s explanation of the general confluence of legal wrong with moral wrong in the legislative use of the single term, “wrong,” in N.J.S.A. 2C:4-1, and our holding out of the possibility that a special instruction may be necessary to explain a divergence of the two only in the clearest and narrowest category of class of cases, occurred more than two decades ago.  Worlock’s interpretation of the M’Naghten test, adopted by the Legislature in N.J.S.A. 2C:4-1, has stood since, without reaction by the legislative branch in the interim.  Nor has there been a legislative reaction since Winder reinforced a restrictive approach to the application of Worlock, not a more expansive one as the concurrence in Winder had urged.  Due to the Legislature’s longstanding acceptance of Worlock, and the fact that we are addressing a settled interpretation of case law, we decline to accept the invitation to overturn Worlock at this point in time, even were we to concede some merit to the argument.

We turn therefore to consider whether there was plain error in the trial court’s jury instruction on the insanity defense in this matter.  

 

V.   

 

A.

 

Certain principles pertain in the review of jury instructions.  Jury charges must provide a “comprehensible explanation of the questions that the jury must determine, including the law of the case applicable to the facts that the jury may find.”  State v. Green, 86 N.J. 281, 287–88 (1981).  The charge as a whole must be accurate.  State v. Wilbely, 63 N.J. 420, 422 (1973); State v. Thompson, 59 N.J. 396, 411 (1971).  If the defendant does not object to the charge at the time it is given, there is a presumption that the charge was not error and was unlikely to prejudice the defendant’s case.  State v. Macon, 57 N.J. 325, 333–34 (1971).  

At trial, defendant did not challenge the jury instruction that used the model charge on insanity until after a guilty verdict had been returned.  Thus, the question here presented is whether the trial court erred in not sua sponte including additional language separating defendant’s ability to appreciate legal wrong from moral wrong based on “deific commands” to kill. [8]   

Appellate review applies the plain-error standard when a defendant fails to object to a given jury charge.  See R. 1:7-2; State v. Wakefield, 190 N.J. 397, 473 (2007) (“[T]he failure to object to a jury instruction requires review under the plain error standard.”).  Plain error is that which is “clearly capable of producing an unjust result.”  R. 2:10-2.  In respect of a late claim of error in a jury instruction, “plain error requires demonstration of ‘legal impropriety in the charge prejudicially affecting the substantial rights of the defendant and sufficiently grievous to justify notice by the reviewing court and to convince the court that of itself the error possessed a clear capacity to bring about an unjust result.’”   State v. Chapland, 187 N.J. 275, 289 (2006) (quoting State v. Hock, 54 N.J. 526, 538 (1969), cert. denied, 399 U.S. 930, 90 S. Ct. 2254, 26 L. Ed. 2d 797 (1970)).   

 

B.

 

In State v. Walker, 203 N.J. 73 (2010), we recently addressed the issue of “when a trial court should instruct the jury on the defense to statutory felony murder in the absence of a request to charge from counsel.”  Id. at 86.  We determined that a requested jury instruction should be given if “there is a rational basis in the record to give it . . . .  On the other hand, if counsel does not request the instruction, it is only when the evidence clearly indicates the appropriateness of such a charge that the court should give it.”  Id. at 87.

The delusional command variation of the insanity defense is a much more limited defense than that which we considered in Walker.  See Winder, supra, 200 N.J. at 250-51; Worlock, supra, 117 N.J. at 611.  We said clearly in Worlock that “[b]elief in an idiosyncratic code of morality does not constitute the defense of criminal insanity.”  117 N.J. at 614; see also  Crenshaw, supra, 659 P.2d at 493-94 (concluding that personal moral beliefs will not exculpate defendant when he or she knew killing was contrary to societal moral and legal norms).  “Worlock cracked open the door only to a command delusion that, objectively viewed, could have rendered it impossible for its hearer to know the difference between right and wrong.”  Winder, supra, 200 N.J. at 249.  A rigorous standard was expressed and applied in Winder consistent with the few decisions around the country to have grappled with such circumstances. [9] 

Applying to this case that stringent standard for qualification into the narrow and clear class of case envisioned to satisfy a deific command to kill, we conclude that the evidence does not clearly indicate that it was impossible for defendant to appreciate that killing Cazan was contrary to society’s morals.  The Worlock variation of the insanity-defense jury charge is not available to all those who intuit reprehensible obligations or develop idiosyncratic moral compulsions from interpreting religious material.  Were that all that was required in order to constitute a deific “command,” then acting pursuant to any such personal belief system would qualify as lack of knowledge of having committed “moral” wrong and a defendant would no longer have to show that he believed that society would not objectively disapprove of the moral wrongness of the action.  The decision in Winder was circumscribed carefully to ensure that such a result would not come to fruition.  See Winder, supra, 200 N.J. at 248-51.

Here, defendant claimed to have formed a general belief that he ought to kill sinners who refused to follow his explanation of God’s expectations.  In essence, defendant had an idiosyncratic personal belief system analogous, albeit in different form, to that in Worlock.  See also State v. DiPaolo, 34 N.J. 279, 292-93 (1961) (distinguishing between insane delusion that negates consciousness of immorality of act from delusion that does not prevent defendant from simultaneously appreciating that deed was contrary to law); Crenshaw, supra, 659 P.2d at 494-95 (holding that defendant claiming Moscovite belief system that calls for killing as retribution for adultery is not entitled to deific-command adjustment to jury charge on criminal insanity).

Defendant’s personal belief system was based on his own interpretation of scripture, fortified through dreams in which he believed to receive communications from God, which does not render his belief system in his “right to kill” certain sinners the equivalent of a command from God to kill.

Moreover, defendant had demonstrated on prior occasions the ability to exercise his own will and resist the obligation he perceived from God’s teachings.  Defendant had chosen not to kill his family or their friends despite his religious delusions generally and his specific belief, expressed on occasion, that they were sinners.  Defendant also determined that he would not kill anyone to whom he had not had a chance to explain his religious beliefs.  For example, he decided that he would not attempt to hurt or kill Britt’s brother because defendant had not taught him to believe in God’s word as defendant interpreted it, and also because he was bigger and apparently stronger than defendant.  Defendant’s inconsistent application of “God’s will” and the concomitant deific desire that he kill sinners, which he claims to have perceived, and his reluctance to kill those whom he had not tried to convert, indicates his awareness of an objective societal disapproval of the personal religious belief system he had developed.  

Defendant also has failed to demonstrate entitlement to a Worlock charge because the evidence does not clearly indicate that he was acting pursuant to a delusional command at the time of the killing.  As explained in Winder, an amplified criminal insanity charge differentiating between legal and moral wrong is available only to a defendant whose will is overborne by a perceived divine command that overcomes the ability to be conscious of society’s law and mores disapproving of that “command.”  See Winder, supra, 200 N.J. at 247-48 (citing Crenshaw, supra, 659 P.2d at 494-95; DiPaolo, supra, 34 N.J. at 293).  There is a necessary temporal proximity to the action for which a defendant is charged and the overbearing of his will by God’s order or command at the time of the action.  In rejecting a Worlock instruction in Winder, we curbed expansion of Worlock  in part because there was no showing that the defendant was operating under a direct command from God at the time of the killing.  Here, defendant admitted that he never heard a voice or saw a vision that commanded him to kill Cazan when he committed the murderous act. [10]  Moreover defendant admitted that he had not received any specific command to kill Cazan at the moment of the killing, and indeed had not received any communications from God for some time.

Nothing in Winder’s application of the law to its facts supports the extrapolation made by the appellate panel in this matter, which would permit anyone who interprets a religious text in an outrageous and violent manner to a deific-command, insanity-defense charge.  Isolated references to voices, and to communication with God through scripture and in dreams, are not the equivalent of a command from God, at the time of the killing, sufficient to demonstrate that it deprived defendant of his ability to appreciate society’s disapproval of his action.  The appellate panel mistakenly accepted defendant’s belated argument that the charge, given in its classic form, was insufficient for the jury to consider his insanity defense.  Plain error is not present in the charge given here on this record.

Defendant’s complaints post-trial and on appeal that, in light of Worlock and Winder, the charge required clarification are not consistent with precedent as to the factual requirements needed to trigger a deific command variation to the insanity defense jury charge. [11]   What the record shows is that, based on defendant's interpretation of the Bible, he believed Cazan was a sinner.  And, he similarly interpreted “God’s word” to direct that he kill sinners.  That is not the type of case to which we referred in Winder when we discussed a deific-command clarification to the insanity-defense charge.  And, more pointedly, there is too tenuous a connection between any “alleged” deific-command and the murder that occurred in this matter on which to base a reversal on plain error.  Defendant admitted that he would have left and not killed Cazan if she only had given him the car keys.  He thereafter stated that he stabbed Cazan, not to kill her, but to put her out of her misery.  Since the killing, defendant has questioned whether it was God’s will for him to kill Cazan. [12]

In sum, we conclude that the evidence does not clearly indicate defendant killed Cazan as a result of a deific command.  Defendant was entitled to assert an insanity defense, and he did.  He received an insanity jury charge.  The trial court did not commit plain error by failing to give, sua sponte, a Worlock  charge as part of the insanity-defense jury instruction.  Defendant’s conviction should not have been reversed on appeal on that basis.  We express no view on the other claims of error raised on appeal that were not addressed by the Appellate Division.  Those issues can be addressed on remand.   

 

VI.

 

The judgment of the Appellate Division is reversed and the matter is remanded to the Appellate Division for consideration of defendant’s remaining claims of error.

 

JUDGE WEFING (temporarily assigned) joins in JUSTICE LaVECCHIA’s opinion.  JUSTICE PATTERSON, joined by CHIEF JUSTICE RABNER, filed a separate opinion concurring in the judgment. JUSTICE HOENS filed a separate, dissenting opinion in which JUSTICE ALBIN joins.

 

JUSTICE PATTERSON, concurring.

 

I concur with the majority opinion, which reverses the determination of the Appellate Division panel and holds that defendant Boyce Singleton, Jr. was not entitled to the deific command jury instruction addressed by this Court in State v. Worlock, 117 N.J. 596, 611 (1990).  The majority opinion faithfully follows the reasoning in Worlock and State v. Winder, 200 N.J. 231 (2009).  For the reasons articulated by Justice LaVecchia, I agree that defendant’s belated invocation of the deific command variation of the insanity defense was unsupported in the circumstances of his crime.  

I write separately because in my opinion, the deific command concept is neither mandated by the Legislature in N.J.S.A. 2C:4-1 nor firmly rooted in our jurisprudence, and should not be part of our law.  It invites a defendant to exploit a core value of our society, respect for the religious beliefs of others, for tactical advantage.  The deific command concept does not meaningfully guide a jury’s exploration of the intricate issues raised by the insanity defense.  Instead, it can reduce the dispassionate analysis of a defendant’s mental state, envisioned by the Legislature when it codified the insanity defense, to a superficial review of the defendant’s religious utterances.  Application of the deific command results in inequitable treatment of defendants who have committed similar crimes based on nothing more than one person’s assertion of a religious delusion.  In my view, a defendant’s claim that he or she heeded a deity’s purported instruction to commit a murder or other crime should not prompt a jury instruction that suggests a finding of legal insanity within the meaning of N.J.S.A. 2C:4-1.

Neither the plain language nor the legislative history of N.J.S.A. 2C:4-1 warrants special consideration for defendants who claim that deific commands prompted their crimes.  The statute at issue bars the imposition of criminal responsibility for conduct if, at the time of the crime, the defendant “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 what he was doing was wrong.”  N.J.S.A. 2C:4-1.  The Legislature did not expressly or by implication define the word “wrong” as used in N.J.S.A. 2C:4-1.  It provided no instruction that a defendant’s failure to comprehend that his or her act was “wrong” should mean anything other than he or she did not understand that it was an illegal act.

As the majority notes, the statute codified the test articulated by the House of Lords in M’Naghten’s Case, 8 Eng. Rep. 718 (H.L. 1843), long accepted as the formulation of the insanity defense in New Jersey case law.  Statement to Senate Bill No. 738, at 3 (May 15, 1978).  The M’Naghten rule, reflected in our statute, did not differentiate between defendants who invoke deific commands and defendants who do not.  In this Court’s articulation of the M’Naghten rule -- relied on by the drafters of New Jersey’s Penal Code, 2 Final Report of the New Jersey Criminal Law Revision Commission, commentary to § 2C:4-1, at 96 (1971) -- the Court held that a defendant could invoke the insanity defense if “the 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 what he was doing was wrong.”  State v. Coleman, 46 N.J. 16, 39 (1965).  That construction, adopted nearly verbatim by the Legislature in N.J.S.A. 2C:4-1, refers to “wrong” without reference to religious belief.  It does not contemplate a deific delusion as part of the test for insanity. 

To the extent that the deific command permutation of the insanity defense has gained a foothold in New Jersey law, it has done so through this Court’s dicta, not legislative action.  The concept originated in the New York Court of Appeals, finding its source in dicta written by Judge Cardozo in People v. Schmidt, 110 N.E. 945 (N.Y. 1915).  There, the defendant concocted -- and later recanted -- an elaborate account of visions and voices conveying directions from God that he should kill a woman “as a sacrifice and atonement.”  Id. at 945.  Although the defendant conceded “that he never saw the vision and never heard the command,” id. at 950, Judge Cardozo nonetheless introduced to New York law a distinction between legal and moral “wrong” illustrated by a hypothetical scenario:

A mother kills her infant child to whom she has been devotedly attached.  She knows the nature and quality of the act; she knows that the law condemns it; but she is inspired by an insane delusion that God has appeared to her and ordained the sacrifice.  It seems a mockery to say that, within the meaning of the statute, she knows that the act is wrong. [Id. at 949.]   

 

Schmidt was first noted by this Court in State v. DiPaolo, 34 N.J. 279, 292-93, cert. denied, 368 U.S. 880, 82 S. Ct. 130, 7 L. Ed. 2d 80 (1961).  However, it was not until 1990, more than a decade after the enactment of N.J.S.A. 2C:4-1, that the Court  suggested in Worlock that the statute could be construed to incorporate the deific command concept.  

As the majority recounts, the principle that a deific delusion could illustrate a potential distinction between legal and moral wrong was addressed for the first time by this Court in Worlock, supra, 117 N.J. at 608-09.  Like the discussion of the deific command in Schmidt, the Court’s first articulation of this theory was in dicta and did not apply to the facts of the case.  The defendant in Worlock attributed his killing of two friends not to a purported deific command, but to his stated belief that he was exempt from the laws of society, which in his view were intended to govern only the “subservient.”  Id. at 614.  The Court discussed the distinction between “legal” and “moral” wrong, noting that in most cases the two concepts converge.  Id. at 610-11.  The Court made the following observation:   

Occasionally, however, the distinction between moral and legal wrong may be critical.  For example, if the defendant contends that he or she knowingly killed another in obedience to a command from God, a jury could find that the defendant was insane.  Schmidt, supra, 110 N.E. at 949; see also DiPaolo, supra, 34 N.J. at 291-93 (“The experts disagreed upon whether there was evidence of a psychosis to support the alleged delusion, but none suggested that if defendant in fact suffered an insane delusion that God commanded the deed, he nonetheless was legally sane if he simultaneously appreciated that the deed was contrary to law.”). [Id. at 611.]

 

Although the Worlock defendant had not suggested that the murders he committed were directed by any deity, the Court postulated that in an “exceptional case, such as the deific exception in which the defendant claims that he or she acted under a command from God, the court should instruct the jury that ‘wrong’ encompasses both legal and moral wrong.”  Ibid.  For defendant Worlock, the Court found no such exceptional circumstances.  Id. at 613-14.  

In Winder, the Court recognized its prior discussion of the deific command, but nonetheless rejected the defendant’s claim that he was entitled to a jury charge regarding the distinction between legal and moral wrong in his trial for the murder of a taxi driver.  Winder, supra, 200 N.J. at 250.  The Court concluded that the defendant in Winder, who attempted to justify his act by professing his belief that his parents were trying to kill him, was not entitled to the jury instruction that he sought.  In doing so, the Court reiterated the narrow scope of any “delusion-based” exceptions to the rule that legal wrong and moral wrong are coextensive.  Id. at 248.  Thus, in the three cases in which it has considered the “deific command” issue –- Worlock, Winder, and the present case -- the Court has never concluded that a defendant is entitled to a deific command charge.

Given this history, I respectfully submit that the deific command concept has a tenuous connection to New Jersey law.  Special consideration for defendants relying on a deific command theory is not, in my view, compelled by the Legislature’s use of the term “wrong” in N.J.S.A. 2C:4-1, which codifies M’Naghten  but makes no reference to the notion of a defendant’s inability to perceive “moral wrong.”  The concept was not introduced to our law by the circumstances of an actual case involving a deific delusion.  Instead, in both New York and New Jersey, it originated as nothing more than a hypothetical illustration of a setting in which a defendant could perceive an act as legally but not morally wrong.  Schmidt, supra, 110 N.E. at 949;  Worlock, supra, 117 N.J. at 608-09.  Its limits were further underscored by the Court in Winder, supra, 200 N.J. at 248.

The jury instruction formulated by the Appellate Division panel below -- to be given in a retrial of defendant -- would direct the jury to find defendant not guilty by reason of insanity if he proved by a preponderance of the evidence that he acted pursuant to a delusion of receiving a deific command, or “‘where a delusional command could be objectively recognized to confound the difference between lawful behavior and a moral imperative.’”  State v. Singleton, 418 N.J. Super. 177, 204 (App. Div. 2011) (quoting Winder, supra, 200 N.J. at 251).  The Appellate Division’s proposed jury instruction demonstrates the hazards of the deific command concept.  The instruction could be construed to suggest that a defendant’s invocation of a deific command presumptively resolves what should be a fact-sensitive, dispassionate inquiry into the psychiatric condition of a criminal defendant.  It poses the real danger of confusing and distracting a jury, and could reward the defendant who fabricates an account of visions, voices and divine commands.  In my opinion, the insanity defense should be reserved for a defendant whose psychiatric condition renders him or her unable to appreciate the illegality of the crime at issue, and the deific command theory should be jettisoned.

I fully subscribe to the majority’s observations about the principle of stare decisis; it is an important foundation of our legal system, “‘to which we adhere for the sake of certainty and stability.’”  Ante at ___ (slip op. at 31) (quoting State v. Shannon, 210 N.J. 225, 226 (2012)).  However, I consider this case to present the unusual setting in which the principle of stare decisis does not compel the Court to precisely conform its holding to prior decisions.

Given the factual setting of Worlock, its discussion of the deific command is dicta.  In Winder, the Court also declined to apply the deific command theory to the defendant in that case.  Winder, supra, 200 N.J. at 250-51.  As a result, the discussions are authoritative even though they were not essential to the disposition of either case.  See State v. Rose, 206 N.J. 141, 182-84 (2011).

But even if we were to treat the dicta in Worlock and Winder as though they had the full weight of precedent, there are still “special justifications” that would warrant overturning the deific command construct.  Luchejko v. City of Hoboken, 207 N.J. 191, 209 (2011).  Such justifications include “when a rule creates unworkable distinctions [or] when a standard defies consistent application by lower courts,” ibid., or when “‘conditions change and as past errors become apparent,’” White v. Twp. of N. Bergen, 77 N.J. 538, 551 (1978) (quoting Fox v. Snow, 6 N.J. 12, 27 (1950) (Vanderbilt, C.J., dissenting)).  In my opinion, that standard is easily met here.  The deific command concept is not required by the text of the statute or its legislative history.  Our Court has not once held that the facts before it have entitled a defendant to an expanded jury instruction based on this theory.  Such an instruction has the tendency to mislead and confuse jurors, and raises the specter of rewarding the fabrication of deific delusions.  Its arguable utility is therefore offset by its potential to lead to inequitable results.  

The majority characterizes this case as one in which the judiciary may rely on legislative correction, and finds the deific command concept to be fortified by the Legislature’s failure over the years to nullify it by statute.  Ante at ___ (slip op. at 32) (citing White, supra, 77 N.J. at 556).  In this regard, I must part company with the majority.  As we have held, “[t]he Legislature need not explicitly amend a statute . . . every time [a court] takes action inconsistent with it in order to avoid the implication that the Legislature concurs.”  State v. Cannon, 128 N.J. 546, 566-67 (1992).  The Court has noted in other contexts that “[l]egislative inaction has been called a ‘weak reed upon which to lean’ and a ‘poor beacon to follow’ in construing a statute.”  GE Solid State, Inc. v. Dir., Div. of Taxation, 132 N.J. 298, 313 (1993) (citations omitted); see also  Amerada Hess Corp. v. Dir., Div. of Taxation, 107 N.J. 307, 322 (1987), aff’d, 490 U.S. 66, 109 S. Ct. 1617, 104 L. Ed. 2d 58 (1989). 

Here, the Legislature enacted N.J.S.A. 2C:4-1 before this Court construed the simple word “wrong” to permit an insanity defense based on deific command delusions, whether in dicta or in any holding.  I cannot presume that the Legislature’s failure to address this specific issue, given its many priorities, amounts to an endorsement of the deific command.  In my view, the inclusion of a deific command notion as part of N.J.S.A.  2C:4-1 is the creation of our case law.  The principles of stare decisis do not require that we apply it now or in the future.  

Except as noted above, I join in the majority’s decision to reverse the determination of the Appellate Division panel and remand to the Appellate Division for consideration of defendant’s remaining arguments.  

CHIEF JUSTICE RABNER joins in this opinion. SUPREME COURT OF NEW JERSEY

 

JUSTICE HOENS, dissenting.

 

A man, having given himself over to the study of religious texts and tracts, believes that he is called by God to carry out various acts that no sane man would perform.  His family grows fearful of his numerous expressions of what he believes he has been called to do in order to cleanse the world of them or to cleanse them of their sins.  Some of his pronouncements include expressions that he is resisting God’s orders; others make it plain that he is intent on complying with God’s will as he understands it, even to the point of putting others to death.   

His family first tries to use the powers of reason in an effort to convince him that his views do not comport with traditional religious teachings and in order to convince him of the errors in his increasingly bizarre and frightening pronouncements.  Failing that, they essentially force him from their home.  He moves in with a woman who then becomes pregnant with his child.  Believing that she is nothing more than a harlot in the eyes of God and that she is in need of cleansing, he kills her.  In the aftermath of that horrific act, his behavior includes some actions that appear to be consistent with efforts to elude detection and some lucid statements, but his family members report that he is babbling, obviously talking to and hearing the voice of someone they can neither see nor hear.   

By the time of his trial, the explanations he has given about his behavior to the mental health professionals include both assertions that he was acting in accordance with what he believed to be the will of God and expressions of remorse that he now recognizes that he was duped by the devil into doing things contrary to the will of God.  Nonetheless, his own testimony at trial explained that sometimes he heard directives and sometimes the “Spirit ministered to me and that I received like — a talk from Him” and that killing his girlfriend “was the right thing because it was something God was telling me to do.”  Expert testimony included the opinion that defendant killed his girlfriend because he “believed that he was being compelled to do this by God and that therefore he had to obey that belief.”

No one disputes that defendant Boyce Singleton is mentally ill.  The question before the Court today is whether the factual setting in which he acted and the expert testimony concerning his mental status is sufficient to meet the test that we have devised for the deific command variation on the traditional insanity defense.  See State v. Winder, 200 N.J. 231, 246-48 (2009) (considering difference between deific command and personal moral code); State v. Worlock, 117 N.J. 596, 611 (1990) (recognizing deific command variation on insanity defense).  More to the point, the question before this Court is whether, in light of that record, the trial court’s failure to charge the jury in accordance with Worlock was an error that entitles defendant to a new trial.  The Appellate Division concluded that it was, as do I.  Therefore, I respectfully dissent.   

 

I.

 

We have long recognized that “clear and correct jury instructions are fundamental to a fair trial.”  State v. Adams, 194 N.J. 186, 207 (2008).  In the context of a criminal trial in particular, we have cautioned that erroneous jury charges presumptively constitute reversible error, State v. Jordan, 147 N.J. 409, 422 (1997), and are “poor candidates for rehabilitation under the harmless error philosophy,” State v. Vick, 117 N.J. 288, 289 (1989) (citation omitted).  Those expressions of our deeply held concern for ensuring that all defendants are accorded a fair trial are no more compelling than they are in the case of one facing a charge of murder.

To be sure, we have fixed different standards against which to test such errors based upon whether a defendant requested a charge or failed to do so.  In the latter circumstance, we have established a stringent standard, one that requires the defendant to demonstrate that the failure to include the charge was plain error and therefore clearly capable of producing an unjust result.  R. 2:10-2; see State v. Burns, 192 N.J. 312, 341 (2007).  Although the plain error standard is an exacting one, the record in this case, fairly and objectively viewed, surely meets it.

Indeed, it is only by redefining the meaning of Worlock’s deific command variation on the insanity defense, by imposing a new and exceedingly narrow view of the type of command that will qualify for that defense, by altering our previously-accepted notion of the difference between a true deific command and acts based on a personal moral code, and by ignoring the abundant evidence adduced at trial through fact and expert testimony in support of the conclusion that defendant fit within the traditional bounds of the deific command defense, that the majority can conclude that the failure to give the charge sua sponte did not amount to reversible error.  In adopting this approach, the majority has created a test so narrow as to be essentially non-existent.  It is, therefore, a new test that stands in clear disregard of the statutory definition of insanity, that is contrary to our previous decisions explaining the sources from which that statute was drawn and that is at odds with both religious practices and psychiatry.   

Whether a jury would find that defendant met the definition of insanity had they been correctly charged we cannot know; that defendant has been deprived of the chance to be judged fairly in accordance with the statutory commands that define insanity in terms of both legal and moral wrong is the essence of injustice.  

 

II.

 

The essential reasons for my disagreement with the majority’s reasoning and conclusion can be explained succinctly.  First, the majority fails to recognize that the issue presented in Worlock, as to which the deific command discussion was but a small component, was nothing less than this Court’s clear articulation of the fundamental basis upon which we, and our Legislature, have embraced a definition of insanity that includes both legal and moral wrong.  Worlock, supra, 117 N.J.  at 606 (describing issue as one of first impression).  It was there that this Court traced the concept back to its roots in M’Naghten, see id. at 603-07, there that the Court described the evolution of the concept here and around the country, id. at 608-09, and there that this Court adopted Judge Cardozo’s reasoning that serves as the essential underpinning of our now well-established recognition of the deific command defense, ibid. (quoting People v. Schmidt, 110 N.E. 945, 949 (1915)).  To dismiss that scholarly explanation on such an important subject as a “narrow caveat,” ante at ___ (slip op. at 2), suggests that the majority deems both this Court’s decision in Worlock and the entire notion of the deific command defense to be unworthy of our attention.  

Second, the majority overemphasizes the confined focus that this Court had in the more recent Winder decision, implying that Winder forged new ground.  In fact, this Court in Winder merely recognized that a defendant who acts based on a personal moral code cannot claim the benefit of the deific command defense that we authorized in Worlock.  The defendant in Winder made little effort to suggest that he acted pursuant to a deific command.  Rather, his defense was that there were “other delusion-based exceptions” that Worlock suggested might be available and for which he qualified.  Winder, supra, 200 N.J. at 249.  Although the Court referred to the deific command defense as a narrow one, the Court did so in the context of a refusal to expand it to one who failed to demonstrate that the delusion he identified could or did fall into the category of legal but not moral wrong.  Id. at 249-50.  Nothing in that decision suggests, as the majority today prefers, that the true deific command has lost any of its vitality as a variant of the insanity defense.  

Third, the majority’s analysis of the record today alters the distinction we recognized and applied both in Winder and in Worlock between defendants who respond to true deific commands and those whose criminal acts are instead motivated by adherence to a personal moral code.  The defendant in Worlock believed that he was permitted to kill his victims because “they’re the folly-ridden mass, they’re controlled by their popular beliefs” and because he lived by the code of “might makes right,” not because he was responding to any deific directive.  Worlock, supra, 117 N.J. at 614.  The defendant in Winder contended that he feared his parents were planning to kill him and murdered an innocent cab driver in order to be sent to prison where he would be safe from them.  Winder, supra, 200 N.J. at 236-39.  That logic, too, had all of the hallmarks of a purely personal code of conduct and none of the criteria by which a deific command can be identified.  It was in that context that we cited precedents of our own, see id. at 247-48 (citing State v. DiPaolo, 34 N.J. 279, 293 (1961)), as well as the leading authority from another jurisdiction, id. at 247 n.6 (discussing State v. Crenshaw, 659 P.2d 488, 494-95 (Wash. 1983)), that demonstrate that a belief system that is contrary to societal mores is not sufficient.

This accepted distinction between deific commands and personal moral codes is best illustrated by the decision of the Supreme Court of Washington.  See Crenshaw, supra, 659 P.2d at 494-95.  There, the defendant acted in conformance with his Muscovite beliefs which, he contended, obligated him to kill his wife for her infidelity.  Rejecting his assertion that he was entitled to claim the “sanctuary of the insanity defense,” the court held that “some notion or morality, unrelated to a mental illness, which disagrees with the law and mores of our society is not an insane delusion.”  Id. at 495.  Such a set of beliefs would no more be insane and would no more be a defense than the man who, coming from a culture where women are property and beating them is the accepted norm, claimed entitlement to walk free from the crime of assault if he beat his wife here.  See  S.D. v. M.J.R., 415 N.J. Super. 417, 431-33 (App. Div. 2010) (rejecting contention that asserted religious beliefs about husband’s marital rights negated ability to form criminal intent); see also Reynolds v. United States, 98 U.S. 145, 166, 25 L. Ed. 244, 250 (1879) (concluding that First Amendment’s guarantee of freedom of religion did not shield defendant from polygamy conviction).

The reliance on a moral code that is on its face rational but unacceptable to our legal system is not a form of insanity.  But that is not what deific commands are all about.  The reason that the deific command qualifies as a defense to murder is that it is the one corner of insanity in which legal and moral wrong do not coincide.  See Worlock, supra, 117 N.J. at 610-11.  One who acts in accordance with a sincerely held belief that he has been directed by God to carry out a murder may well appreciate that the crime is legally wrong, but will nonetheless act on the directive because he equally believes that it is a moral imperative.  And it is only by recognizing the deific command that we, as a Court, can give full meaning and content to the Legislature’s statutory definition of insanity.  N.J.S.A. 2C:4-  1.  That body chose the word “wrong” rather than the word “illegal” in defining the insanity defense; it made that choice against the backdrop of the decades, in fact more than a century, of precedent extending back to the M’Naghten  formulation of the distinction between legal and moral wrong.  This Court is not free to abandon that distinction through today’s crabbed interpretation.

Fourth, the majority redefines Worlock and Winder to suit the current purpose.  It does so by altering the meaning of deific command so that it means one thing and one thing only, namely a direct, apparently verbally transmitted, command from God to do a specific act that the defendant then cannot help himself from carrying out.  That view of deific command, however, finds no real support in any of this Court’s prior cases, nor in the precedents on which they were based.  The majority’s decision expresses a new and rigid view of just what sort of a command from God it now believes is needed to so blur the line between legal and moral wrong as to call for the Worlock charge.  Apparently only a booming voice from heaven, presumably admitting of only a singular direction, will meet the test for deific command.  That constricted version of the test serves only to substitute as part of the fabric of our law an exceedingly narrow view of religious traditions found only in the cinema.

More troubling to me, that articulation of the sort of command that the majority now finds will define the Worlock  variant on the insanity defense is sadly lacking in an understanding of either religion or psychiatry.  While I do not profess to be expert in either, there is abundant support for the proposition that deific commands come in many forms and that courts do not reject the defense based on the manner in which the instruction has been purportedly received or revealed.  See, e.g., People v. Coddington, 2 P.3d 1081, 1111 (Cal. 2000) (permitting insanity defense for defendant who believed, among other things, that God communicated to him through traffic signals and numbers), overruled in part on other grounds, Price v. Superior Court, 25 P.3d 618, 633 n.13 (Cal. 2001); State v. Blair, 732 A.2d 448, 449 (N.H. 1999) (permitting insanity defense based on defendant’s contention that God appeared while he was in “trance”); State v. Lafferty, 20 P.3d 342, 363 (Utah 2001) (permitting insanity defense for Mormon fundamentalist who killed his sister-in-law and her infant child based on God’s “removal revelation”).   

The majority’s suggestion that henceforth only a very specific variation of a command from God will suffice also ignores the fact that entirely sane people of faith profess to receive directions from God in ways far different from the cinematic version of how God speaks.  They see visions, they find directions in dreams, they feel called, they express their knowledge of the will of God in myriad different ways.  By extension, why would an insane person who believes he is directed by God to do something we would all say is illegal not similarly profess to have received that command in one of these other, entirely traditional manners?   

Indeed, if we accept, as the majority apparently does, that for an insane person, there is but one version of a deific command and that it takes the sole form of an audible voice directing an immediate action, we are resurrecting, without perhaps intending to do so, the irresistible impulse approach to insanity that we long ago discarded.  See State v. Cordasco, 2 N.J. 189, 196 (1949) (adhering to M’Naghten rule and rejecting irresistible impulse formulation of insanity); Mackin v. State, 59 N.J.L. 495, 496-97 (E. & A. 1896) (same).  This is so not because of the requirement that it be a voice, but because the majority has coupled that requirement with notions about commands, orders, and “do this now” language as to which the recipient cannot but comply.  I see no basis for such a remarkable alteration in the law that governs the insanity defense.

Nor does the majority’s opinion remain faithful to the psychiatrists’ view of what might qualify as a delusional deific command.  The experts in this case did not quarrel over whether the form in which defendant said he had received his instructions from God would suffice, they in fact agreed that defendant suffered from delusions that caused him to believe he had been called in some way by God.  What they disputed was whether it was a call to commit this murder or whether the murder was instead triggered by defendant’s history of aggressions against women, his strained and troubled relationship with the victim, or the victim’s refusal to turn over the car keys when he asked for them.  For the majority to substitute its newfound belief that God only speaks in one way, or more precisely, that we will only recognize that an insane person hears the instruction from God or the call of God in a single format, is a dramatic and unsupported departure indeed.

Fifth, the majority, rather than reviewing the evidence in the record in accordance with our usual principles concerning the review on appeal of whether there is enough evidence in the record to require that the jury be charged sua sponte, proceeds instead to draw its own conclusions about the result it would have reached about whether defendant was insane.  We have held that the trial court is obliged to charge a jury sua sponte “only when the evidence clearly indicates the appropriateness of such a charge[.]”  State v. Walker, 203 N.J. 73, 87 (2010) (considering court’s obligation to charge statutory defense to felony murder without request); see State v. Rivera, 205 N.J.  472, 488-90 (2011) (applying same standard to evaluate court’s obligation to charge any defense sua sponte); State v. Denofa, 187 N.J. 24, 41 (2006) (applying same standard in considering requirement to charge lesser-included offenses).

Utilizing our well-established test, the question is whether the evidence in the record “clearly indicates the appropriateness” of the Worlock charge.  Tested in accordance with that standard, rather than tested in accordance with the majority’s approach of viewing the evidence through the lens of its new definition of the contours of the deific command variation of insanity, one can only conclude that the substantial evidence concerning defendant’s behavior, beliefs and rationale sufficed. That there is evidence suggesting that defendant was not insane, or did not act in accordance with a deific command is not the point; rather, the existence of such evidence and the manner in which it should have been weighed and balanced is the proper function of a jury and not of this Court.  The fundamental error of the majority’s analysis is that it tries to make rational sense out of what in the end is clear evidence of a disordered and delusional mind.  Mistaking a few glimmers of lucidity or perhaps some sane behaviors for an organized thought process, the majority finds so little evidence of the deific command that it deprives defendant of the defense entirely.  In doing so, it inappropriately substitutes its view for that of the finder of fact.

 

III.

 

In the end, I dissent because the majority has adopted a crabbed view of Worlock, has announced a view of Winder not expressed by the majority of the Court who joined it, and has retreated to an indefensible understanding of concepts of insanity and deific commands.  I therefore respectfully dissent.

 

JUSTICE ALBIN joins in this opinion.

 

[1] The evidence concerning defendant’s mental illness was presented to support defendant’s insanity defense and also to show that mental illness could have affected his capacity to knowingly or purposely commit the offense. Defendant’s claim of error based on the trial court’s failure to give a diminished capacity instruction was not addressed in the Appellate Division’s resolution of this matter.

[2] In explaining an instance of such a communication that occurred prior to the events surrounding Cazan’s death, he identified a message related to his younger sister who suffered from serious seizures and was on medication. Defendant awoke one morning to inform her that he had received a message from God that she should cease taking the medication. He described the communication as follows: “His Spirit ministered to me and that I received like — a talk from Him, yes. Not, per se, did I hear His — His voice, specifically.” He explained, “I was happy that God was talking to me. I mean, I was happy about that. You know, I felt like He used me, so if He used me, there was something about me that He obviously was pleased with.”

[3] In fact, as a result of the incident involving Shakia’s friend, defendant’s family started to pursue eviction proceedings against him.

[4] Miranda v. Arizona, 384 U.S. 436, 86 S. Ct. 1602, 16 L. Ed. 2d 694 (1966). 13

[5] As explained by Dr. Santina, a hallucination occurs when the mentally ill person hears a voice or sees visions. A person experiencing delusions does not necessarily experience hallucinations, but rather he or she will come to know God is speaking to them “within themselves” and then act accordingly; thus, a delusional person may believe he or she is receiving commands from God without hearing a voice or seeing a vision.

[6] The panel granted relief on this basis alone. Although defendant had other points of error, which the State contested, the panel did not address them in light of its holding on the jury-charge issue.

[7] M’Naghten’s Case, 8 Eng. Rep. 718 (H.L. 1843).

[8] Like the situation in the cases cited by the dissent, see post at ___ (slip op. at 10), defendant was not denied the opportunity to assert an insanity defense, and the jury received the model jury charge on the defense, see People v. Coddington, 2 P.3d 1081, 1139-40 (Cal. 2000), overruled in part on other grounds, Price v. Superior Court, 25 P.3d 618, 633 n.13 (Cal. 2001); State v. Blair, 732 A.2d 448, 450 (N.H. 1999); State v. Lafferty, 20 P.3d 342, 363 (Utah 2001). Our dissenting colleagues’ observation that “deific commands come in many forms and that courts do not reject the defense based on the manner in which the instruction has been purportedly received or revealed” misses that essential point when seemingly asserting that those cases undermine what occurred in this matter. Post at ___ (slip op. at 10). Defendant’s insanity defense was not “rejected” by the trial court.

[9] In one of the few jurisdictions to have addressed such circumstances, Washington state courts similarly have hewed to a path in respect of deific commands, requiring a substantial showing that a defendant’s will has been “subsumed.” Crenshaw, supra, 659 P.2d at 494-95 (requiring that will be subsumed in order for specialized instruction to be utilized). See, e.g., State v. Rice, 757 P.2d 889, 904 (Wash. 1988) (adhering to strident test that authorizes jury instruction on legal-moral dichotomy only when defendant presents evidence that “his free will has been subsumed by his belief in the deific decree”), cert. denied, 491 U.S. 910, 109 S. Ct. 3200, 105 L. Ed. 2d 707 (1989).

[10] It is insufficient that defendant can point to isolated references he made to hearing a voice, or “hearing” God speaking to him through his scripture study or in his dreams. The Appellate Division’s citation to such examples, here and there, in the record do not comprise the quality or quantity of evidence that was contemplated by our earlier decisions. See Singleton, supra, 418 N.J. Super. at 197-99.

[11] Winder signaled a restrictive application of a deific-command variation to the model charge on criminal insanity, to the extent it would ever be allowed. The Appellate Division’s interpretation of Winder, as well as the dissent’s, instead expands it and would send even more arguable cases than this one to the jury.

[12] The defense expert testified to the following: “And [defendant] said to me that now in retrospect looking at it, he felt that God, that Satan had actually tricked him into thinking that it was God. And that God was actually trying to stop him but that he was tricked by Satan.”

10.5.14 State v. Johnson 10.5.14 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.

10.5.15 State v. Bottrell 10.5.15 State v. Bottrell

14 P.3d 164 (2000)
103 Wash.App. 706

STATE of Washington, Respondent,
v.
Teresa Ann BOTTRELL, Appellant.

No. 23757-1-II.

Court of Appeals of Washington, Division 2.

December 15, 2000.

[165] Suzan L. Clark, Vancouver, for Appellant.

John Prince Fairgrieve, Clark Co. Deputy Prosecuting Attorney, Vancouver, for Respondent.

OPINION PUBLISHED IN PART

BRIDGEWATER, J.

Teresa Ann Bottrell was charged with first degree premeditated murder and first degree felony murder in the death of John Hall. She appeals her convictions for first degree felony murder and the lesser included offense of premeditated murder, i.e., second degree murder.

With regard to the charge of first degree premeditated murder, Bottrell offered testimony that she suffered from post traumatic stress disorder (PTSD). The testimony was relevant and admissible because the psychiatric community recognizes a link between PTSD and diminished capacity. In addition, the medical testimony indicated that Bottrell suffered from PTSD and she might have experienced a flashback at the time of her struggle with Hall, impairing her ability to act with intent. We hold that the trial court [166] erred in failing to allow the testimony regarding PTSD because it may have negated the intent necessary for this crime and the lesser included offense of second degree murder. We reverse that conviction and remand.[1]

But, we affirm the conviction for felony murder. We hold that the offer of proof of PTSD did not include the intent required under the felony murder charge of homicide/robbery. We hold that there was sufficient evidence to find that Bottrell had the intent to rob Hall before she went to his home, and that she killed him during the course of, or in furtherance of, or in flight from the robbery.

FACTS

In late 1997 and early 1998, Teresa Bottrell was incarcerated in the Clark County Jail for a forgery conviction. While in jail, Bottrell learned that John Hall, a person much older than she who was not incarcerated, was willing to deposit money in female inmates' jail accounts in exchange for telephonic sexual conversation. Bottrell needed money, so she called Hall from the jail and spoke with him several times. Hall visited her at the jail and she obtained probation permission to live at his house upon her release. Hall hoped to get sexual favors from Bottrell. Upon her release, she visited Hall at his home several times.

On the night of Hall's murder, Bottrell went to Hall's house. Bottrell testified that she went there to get money from Hall by having sex with him. She and Hall talked about what he wanted before Hall went into the bedroom.

According to Bottrell, Hall asked her to tie him up and put tape over his mouth. She took a roll of duct tape and went into the bedroom. Hall was lying on the bed, propped up against a pillow. She tore off some of the tape, then changed her mind, told him no, and threw down the tape. Hall hit her in the face and they began to fight. During the struggle, Bottrell hit Hall with a lacquered wooden ornamental duck and a clock radio. While Hall was on the floor, Bottrell got up, grabbed a pair of scissors, and cut a piece of the phone cord. Hall asked Bottrell for help and then he grabbed her again. So, she "tried to tie his hands [with the cord], but ... got it around his neck" instead. Report of Proceedings at 502.

Bottrell next remembers standing against the wall looking down at Hall, touching him with her foot and noticing that he did not move. She testified that at that point, she realized Hall was dead. She also testified that during the struggle with Hall she thought about past events in her life. She thought about an incident where her mother tried to run over her father with the car. She thought about her father's alcoholism and him beating her as a child. Bottrell thought about a man who had almost killed her when she was hitchhiking.

When she realized Hall was dead, Bottrell attempted to clean up and cover up by changing her clothing and starting a load of laundry. She tried to burn a towel, setting off the smoke alarm. Then she went into the bedroom, got Hall's safe out, and rifled through it looking for money. She and her boyfriend, Larry Jones, later returned looking for money. They stole Hall's keys and his Lincoln Continental.

Bottrell acknowledged that on February 28, 1998, the night of the homicide, she went to Hall's house planning to get money from him. Sometime before the night of the homicide and while still incarcerated, Bottrell told a fellow inmate that she would take Hall for everything he had, including his Lincoln Continental, Jeep, tools, and checkbook. She previously told another inmate, sometime before February 14, that: she would marry Hall; because he was old and on insulin, it would not take long for him to die; and if he had an overdose of insulin, he would die and everything would be hers. Although Bottrell claimed initially to have planned to exchange sex with Hall for money, she testified that she stole two of Hall's checks the day before his death and gave them to Jones, [167] who tried to forge and to cash them. After Hall's death, while incarcerated in the Portland jail, Bottrell told yet another inmate that: she had gone over to Hall's house planning to take money and "stuff" which prompted Hall to call the police and precipitated the fight; she was glad she had killed him; and she was going to claim that she killed him because he was a child molester.

Bottrell was charged by an amended information with one count of first degree premeditated murder and one count of first degree felony murder, with a predicate crime of robbery. The jury returned a verdict of guilty of the lesser included offense of second degree murder on count one and first degree felony murder on count two.[2]

I. MURDER IN THE SECOND DEGREE

A. Standard of Review

A trial court's evidentiary rulings are reviewed for an abuse of discretion. State v. Powell, 126 Wash.2d 244, 258, 893 P.2d 615 (1995).

B. Dr. Stanulis

1. ER 702, 401, and 402[3]

"Diminished capacity is a mental condition not amounting to insanity which prevents the defendant from possessing the requisite mental state necessary to commit the crime charged." State v. Warden, 133 Wash.2d 559, 564, 947 P.2d 708 (1997). Here, part of Bottrell's defense was that her ability to form the requisite intent was impaired by PTSD.[4] First degree premeditated murder requires "premeditated intent." RCW 9A.32.030(1)(a). The lesser included crime of second degree murder requires the "intent to cause the death of another person."[5] The State bears the burden of proving beyond a reasonable doubt that the defendant had the requisite mental state for the crime charged. State v. James, 47 Wash. App. 605, 609, 736 P.2d 700 (1987). When specific intent or knowledge is an element of the crime charged, a defendant is entitled to present evidence showing an inability to form the specific intent or knowledge at the time of the crime. State v. Edmon, 28 Wash.App. 98, 102-04, 621 P.2d 1310, review denied, 95 Wash.2d 1019 (1981); State v. Martin 14 Wash.App. 74, 75, 538 P.2d 873 (1975), review denied, 86 Wash.2d 1009 (1976).

Bottrell argues that the trial court should have allowed her expert, Dr. Robert Stanulis, to testify that she suffered from PTSD and had diminished capacity. Bottrell contends that the foundational requirements for admissibility of Dr. Stanulis's testimony as set forth in State v. Edmon are not absolute and that the testimony should have been admissible under ER 702, ER 401, ER 402, and State v. Ellis, 136 Wash.2d 498, 963 P.2d 843 (1998). The State responds that the Edmon factors were not satisfied, and that Ellis is inapposite because it involved a capital case. The trial court did not have the benefit of the Supreme Court's later decisions and it considered Dr. Stanulis's testimony under [168] the foundational requirements set forth in State v. Edmon.[6] The trial court determined that the foundational requirements were not met and excluded the testimony.

In 1998, a month after Bottrell was sentenced, the Supreme Court announced that it did "not adopt the foundational requirements announced in Edmon as absolute." State v. Ellis, 136 Wash.2d 498, 522, 963 P.2d 843 (1998). "In excluding the expert testimony on diminished capacity in the State's motion in limine, the court unreasonably and prematurely concluded the foundation for admissibility had not been satisfied. The court should have considered admissibility under ER 702 and application of ER 401 and 402." Ellis, 136 Wash.2d at 523, 963 P.2d 843. In reaching its decision, the court emphasized that Ellis was a capital case. Ellis, 136 Wash.2d at 522, 963 P.2d 843. Here, the State argues that Ellis is not the law in non-capital cases such as Bottrell's. But, this is not a proper reading of Ellis, nor is the State's position supported by subsequent case law. See State v. Greene, 139 Wash.2d 64, 984 P.2d 1024 (1999), cert. denied, 529 U.S. 1090, 120 S.Ct. 1726, 146 L.Ed.2d 647 (2000); State v. Mitchell, 102 Wash.App. 21, 997 P.2d 373 (2000); State v. Atsbeha, 96 Wash.App. 654, 981 P.2d 883 (1999), review granted, 140 Wash.2d 1001, 999 P.2d 1262 (2000).

The Supreme Court has reiterated its holding in Ellis:

ER 702 controls the analysis for both insanity and diminished capacity. The State asks us to revisit our recent decision in State v. Ellis in which we held the admissibility of expert testimony regarding diminished capacity is to be determined under ER 702. We decline the State's invitation. ER 702 is the standard for admissibility of expert testimony in Washington.

Greene, 139 Wash.2d at 73 n. 3, 984 P.2d 1024 (expert testimony excluded because it was not possible to reliably connect the symptoms of dissociative identity disorder to the mental capacity of the defendant) (citations omitted).

Recently, Division One has followed Ellis when making decisions regarding the exclusion of expert testimony in non-capital cases. Mitchell, 102 Wash.App. 21, 997 P.2d 373 (defendant was convicted of one count of third degree assault and two counts of fourth degree assault); Atsbeha, 96 Wash.App. 654, 981 P.2d 883 (defendant was convicted of possession of a controlled substance with intent to deliver).

2. Psychiatric Community Recognition

According to the American Psychiatric Association:

The essential feature of Posttraumatic Stress Disorder is the development of characteristic symptoms following exposure to an extreme traumatic stressor involving direct personal experience of an event that involves actual or threatened death or serious injury, or other threat to one's physical integrity; or witnessing an event that involves death, injury, or a threat to the physical integrity of another person; or learning about unexpected or violent death, serious harm, or threat of [169] death or injury experienced by a family member or other close associate.

American Psychiatric Association, DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS, 424 (4th ed.1994).

One hallmark of PTSD is flashback, a condition "during which components of the [traumatic] event are relived and the person behaves as though experiencing the event at that moment. American Psychiatric Association, DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS, 424 (4th ed.1994). When a person has a flashback, he or she undergoes an "alteration in the perception or experience of the self in which the usual sense of one's own reality is temporarily lost or changed." American Psychiatric Association, DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS, 275 (3rd ed. revised 1987). While in this state, the person experiences "[v]arious types of sensory anesthesia and a sensation of not being in complete control of one's actions, including speech." American Psychiatric Association, DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS, 275 (3rd ed. revised 1987). So, a person who truly suffers from PTSD could experience a flashback and during that flashback might be unable to control his or her actions. As one commentator stated:

Ordinarily, persons with PTSD are in contact with reality and do not display any symptoms of psychosis such as hallucinations or delusions. PTSD is essentially an anxiety disorder. However, some patients, especially those who are subsequently subjected to extreme stress, develop a transient dissociative reaction with episodes of depersonalization or derealization. Most of the time, these feelings of unreality pass without incident, but occasionally criminal behavior may erupt. The question of criminal responsibility, therefore, is pertinent since a person's cognitive or volitional state may be impaired during a dissociative reaction.

Chester B. Scrignar, M.D., POST-TRAUMATIC STRESS DISORDER: DIAGNOSIS, TREATMENT, AND LEGAL ISSUES, 245 (2d ed.1988).

Washington case law acknowledges that PTSD is recognized within the scientific and psychiatric communities and can affect the intent of the actor resulting in diminished capacity. See State v. Janes, 121 Wash.2d 220, 233-36, 850 P.2d 495 (1993) (battered woman and battered child syndromes are a subset of PTSD and are admissible to show how severe abuse affects the battered person's perceptions and reactions); see also, State v. Riker, 123 Wash.2d 351, 869 P.2d 43 (1994). Other cases that acknowledge the link and the defense, although not directly addressing the issue before us are: State v. Warden, 133 Wash.2d 559, 564, 947 P.2d 708 (1997); State v. Hamlet, 133 Wash.2d 314, 944 P.2d 1026 (1997).

Therefore, we hold that PTSD is generally accepted by the scientific and psychiatric communities as a condition that may result in the diminished capacity of the actor.

3. Offer of Proof and Admissibility of Dr. Stanulis's Testimony

There is no dispute that Dr. Stanulis qualified as an expert under ER 702. Because a generally-accepted link exists between PTSD and diminished capacity, the trial court should have admitted the testimony of Dr. Stanulis if he testified that: (1) Bottrell suffered from PTSD; (2) as a result of her PTSD she experienced flashbacks during the incident with Hall; and (3) the flashbacks impaired her ability to act with intent. Dr. Stanulis evaluated Bottrell by reviewing over 9 years of police reports, interviewing her for about 4.5 hours, and administering the Minnesota Multiphasic Personality Inventory. Dr. Stanulis testified to each element during the offer of proof. First, Dr. Stanulis testified that Bottrell suffered from PTSD. According to him, Bottrell "met the criteria for post-traumatic stress disorder[,]" Report of Proceedings at 88, and opined "to a medical certainty" that she suffered from the condition. Report of Proceedings at 90-91. The State's expert, Dr. Ronald Hart, agreed that Bottrell was suffering from resolving PTSD, but asserted that its onset was triggered by Hall's death. Second, Dr. Stanulis testified that Bottrell experienced flashbacks during the incident with Hall: "at the time of [the incident with Hall] ... she was describing, symptoms of a flashback, she was re-experiencing [170] past abusive episodes." Report of Proceedings at 92.

Finally, Dr. Stanulis testified that Bottrell's flashbacks impaired her ability to act with intent:

A: [The flashbacks] are, of course, by definition quite emotionally laden events, and they would directly affect her ability to both perceive what was going on about her accurately and to form specific intents.

Q: Do you have an opinion as to what triggered the inability to form the specific intent?

A: Well, she was clearly in a position where she perceived herself again in an abusive position where her life was being threatened. Again, to what degree that is from a reasonable perspective and what degree that is influenced by her hypervigilance and her PTSD, which would tend to see things as sometimes more dangerous than they are, I think both are arguably present.

Certainly when you start to be flooded with memories of abusive events, emotional, that's a very strong emotional content. This is an individual who has lived many years of her life as a substance abuser to avoid those feelings. So it's hard to imagine that when those feelings and those memories are flooding her that she would be able to form the specific intent and be responding only to that which is in front of her.

Report of Proceedings at 92-93.

Under ER 702, Dr. Stanulis's testimony would assist the jury in determining if Bottrell had the requisite specific intent to murder Hall. "[M]ental disorders are beyond the ordinary understanding of lay persons." Ellis, 136 Wash.2d at 517, 963 P.2d 843. Such evidence is relevant, under ER 401 and ER 402, to determine whether Bottrell's mental capacity was diminished. Further, Dr. Stanulis's testimony was admissible because he based it upon a "medical certainty" that the malady, PTSD, affected Bottrell. This standard is consistent with established case law. See Edmon, 28 Wash.App. at 102, 621 P.2d 1310 (expert must examine and diagnose defendant personally and testify "to an opinion with reasonable medical certainty"); State v. Martin, 14 Wash.App. 74, 76-77, 538 P.2d 873 (1975) (expert proposing to testify that criminal defendant could not form specific intent must base testimony on a "reasonable medical certainty"); State v. Fullen, 7 Wash. App. 369, 383, 499 P.2d 893 ("[i]f the candid medical expert cannot state an opinion with reasonable medical certainty because the symptoms before him are insufficient to support an expert opinion, then he may not speculate"), review denied, 81 Wash.2d 1006 (1972), cert. denied, 411 U.S. 985, 93 S.Ct. 2282, 36 L.Ed.2d 962 (1973); State v. Moore, 7 Wash.App. 1, 499 P.2d 16, review denied, 81 Wash.2d 1004 (1972) (holding the same). In the offer of proof Dr. Stanulis was asked the specific question of "Do you have an opinion as to whether she was able to form the specific intent to commit premeditated first degree murder in this case." Report of Proceedings at 92. Although, in Stanulis's opinion, Bottrell was not able to form specific intent to commit first degree premeditated murder, he offered no opinion about her ability to form an intent to steal from Hall, dead or alive. Rather, he focused solely on Bottrell's state of mind at the time of the killing, when she was reexperiencing via flashbacks past abusive episodes in her life.

Here, if Bottrell suffered from PTSD at the time of Hall's murder, the disorder may have negated the intent necessary for the crime charged, first degree premeditated murder, and for its lesser included offense of second degree murder. Because Dr. Stanulis testified that Bottrell suffered from PTSD, that the PTSD caused flashbacks, and that the flashbacks impaired Bottrell's ability to act with intent, the trial court abused its discretion by excluding Dr. Stanulis's testimony at trial. See Ellis, 136 Wash.2d at 523, 963 P.2d 843. We reverse this conviction and remand for a new trial on the issue of second degree murder.

FIRST DEGREE FELONY MURDER

First degree felony murder has two elements: (1) a homicide; (2) committed "in the course of or in furtherance of ... or in [171] immediate flight" from a robbery. RCW 9A.32.030(1)(c). "Robbery" is defined as:

[U]nlawfully tak[ing] personal property from the person of another or in his presence against his will by the use or threatened use of immediate force, violence, or fear of injury to that person or his property[.]... Such force or fear must be used to obtain or retain possession of the property, or to prevent or overcome resistance to the taking[.] ... Such taking constitutes robbery whenever it appears that, although the taking was fully completed without the knowledge of the person from whom taken, such knowledge was prevented by the use of force or fear.

RCW 9A.56.190.

At trial, Bottrell admitted that she had stolen from Hall before. From this admission, the jury could have reasonably inferred that Bottrell intended to steal from Hall again, especially if the jury viewed the admission in conjunction with her statements to fellow inmates: (1) She intended "taking [Hall] for all he had;" (2) if she married Hall and he happened to die from an overdose of insulin, everything would be hers; (3) she had gone over to Hall's house to take money and "stuff"; (4) Hall had resisted and called police; and (5) a fight had ensued and she was glad she had killed Hall. Moreover, after her aborted attempts to clean and to cover up evidence at the crime scene, she and her boyfriend stole Hall's Lincoln Continental, the very car she had previously told a fellow inmate she would take from Hall. Thus, a jury could have reasonably inferred from the evidence that, even before she killed Hall, Bottrell had the requisite intent to commit robbery, the underlying predicate offense for her felony murder conviction. The excluded proffered testimony of Dr. Stanulis would have done nothing to rebut the inference that Bottrell intended to rob Hall.

Although Stanulis's testimony would have reflected on whether Bottrell had the requisite intent to murder, such intent to murder is not an element of felony murder. State v. Dennison, 115 Wash.2d 609, 627, 801 P.2d 193 (1990). Rather, the intent required to prove robbery is intent to deprive the victim of property. State v. Byers, 136 Wash. 620, 622, 241 P. 9 (1925); State v. Carter, 4 Wash.App. 103, 109, 480 P.2d 794, review denied, 79 Wash.2d 1001 (1971).

Since the [felony murder] statute does not require the state to prove the intent with which a murder is committed, when it is done in connection with the perpetration of a robbery, mere lack of an intent to rob at the moment of the killing is not a defense.

State v. Craig, 82 Wash.2d 777, 783, 514 P.2d 151 (1973).

A homicide is committed in connection with the perpetration of a felony if it is in "close proximity in terms of time and distance between the felony and the homicide and there was no break in the chain of events from the inception of the felony to the time of the homicide." CHARLES E. TORCIA, 2 WHARTON'S CRIMINAL LAW § 150 at 312-14 (15th ed.1994) (footnotes omitted). That the homicide preceded the final act of the robbery, namely the theft, does not fragment the chain of events. State v. Temple, 5 Wash.App. 1, 8, 485 P.2d 93 (1971). It is enough that Bottrell admitted to a cellmate that she went to Hall's house to steal from him, he tried to stop her and called police, and the deadly fight ensued. The other physical evidence is consistent with this explanation by Bottrell.

In determining whether sufficient evidence supports a conviction, "[t]he standard of review is whether, after viewing the evidence in a light most favorable to the State, any rational trier of fact could have found the essential elements of the charged crime beyond a reasonable doubt." State v. Rempel, 114 Wash.2d 77, 82, 785 P.2d 1134 (1990) (citing State v. Green, 94 Wash.2d 216, 221, 616 P.2d 628 (1980)). "A claim of insufficiency admits the truth of the State's evidence and all inferences that reasonably can be drawn therefrom." State v. Salinas, 119 Wash.2d 192, 201, 829 P.2d 1068 (1992). Circumstantial evidence and direct evidence are equally reliable. State v. Delmarter, 94 Wash.2d 634, 638, 618 P.2d 99 (1980). There was sufficient evidence to prove that Bottrell committed felony murder. And Dr. Stanulis's excluded PTSD testimony would not [172] have materially borne on Bottrell's intent to rob Hall.

A majority of the panel having determined that only the foregoing portion of this opinion will be printed in the Washington Appellate Reports and that the remainder shall be filed for public record pursuant to RCW 2.06.040, it is so ordered.

MORGAN, J., and HUNT, A.C.J., concur.

[1] The new trial would be as to second degree murder, not first degree premeditated murder. See Green v. United States, 355 U.S. 184, 187, 78 S.Ct. 221, 2 L.Ed.2d 199 (1957); State v. Anderson, 96 Wash.2d 739, 742, 638 P.2d 1205 (1982).

[2] The parties agreed that the sentences merged and only one counted in determining Bottrell's offender score. Only one sentence was imposed because only one murder occurred. The judgment and sentence stated that the crimes encompassed the same criminal conduct and counted as one crime in determining criminal history.

[3] ER 702. Testimony By Experts

If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise.

ER 401. Definition of "Relevant Evidence"

"Relevant evidence" means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.

ER 402. Relevant Evidence Generally Admissible; Irrelevant Evidence Inadmissible

All relevant evidence is admissible, except as limited by constitutional requirements or as otherwise provided by statute, by these rules, or by other rules or regulations applicable in the courts of this state. Evidence which is not relevant is not admissible.

[4] RCW 9A.08.010(1)(a) INTENT. A person acts with intent or intentionally when he acts with the objective or purpose to accomplish a result which constitutes a crime.

[5] RCW 9A.32.050(1)(a).

[6] 1. The defendant lacked the ability to form a specific intent due to a mental disorder not amounting to insanity.

2. The expert is qualified to testify on the subject.

3. The expert personally examines and diagnoses the defendant and is able to testify to an opinion with reasonable medical certainty.

4. The expert's testimony is based on substantial supporting evidence in the record relating to the defendant and the case, or there must be an offer to prove such evidence. The supporting evidence must accurately reflect the record and cannot consist solely of uncertain estimates or speculation.

5. The cause of the inability to form a specific intent must be a mental disorder, not emotions like jealousy, fear, anger, and hatred.

6. The mental disorder must be causally connected to a lack of specific intent, not just reduced perception, overreaction or other irrelevant mental states.

7. The inability to form a specific intent must occur at a time relevant to the offense.

8. The mental disorder must substantially reduce the probability that the defendant formed the alleged intent.

9. The lack of specific intent may not be inferred from evidence of the mental disorder, and it is insufficient to only give conclusory testimony that a mental disorder caused an inability to forma specific intent. The opinion must contain an explanation of how the mental disorder had this effect.

Edmon, 28 Wash.App. at 102-03, 621 P.2d 1310 (citations omitted).

10.5.16 Notes and Questions (An End to Insanity) 10.5.16 Notes and Questions (An End to Insanity)

 

 

1. Consider this scenario:

Defendant was found guilty but mentally ill for the murder of his grandmother. Defendant had documented mental illness, including a history of psychotic episodes. The Trial Court sentenced Defendant to 50 years of imprisonment, in part because it found that the mental health system was financially incapable of taking on Defendant as a patient. The Court of Appeals affirmed. The Supreme Court reversed, reasoning that “it was not appropriate …for the trier of fact to consider the condition of our State's mental health system.” [1]

Do you agree with the court’s reasoning that the condition of the mental health system should not be a factor to consider in sentencing? 

Defendants who are found not guilty by reason of insanity (NGRI) in California and Colorado are placed into state mental health facilities--but it is difficult to gain release from these hospitals, and post-release supervision is quite intensive. Do we need to have agreement on mental health treatment in order to justify a lack of punishment? Is incapacitation enough? And if we need to consider what happens to patients in state mental hospitals in order to evaluate the justice (vel non) of sentencing, why do we seldom consider what happens to inmates in the state prison? 

On the other hand, consider this article about one man's ongoing struggle with mental illness and his family's inability to compel his treatment. If we were to test one's ability to exercise judgment as a precondition to allow them to refuse judgment, however, how would we do this: by what evidentiary standard, and with what evidence? Is letting people like John Maurer avoid treatment the price we pay to avoid wrongful confinement? How does this calculus differ from the often-repeated statement (albeit one that may not describe our system) that it is better to let ten guilty people go free than to incarcerate one innocent person?

2. Substance abuse is highly prevalent among people with mental illness, particularly schizophrenia and bipolar disorder. Yet, we do not have an insanity defense for drug abuse crimes. What theory of punishment justifies this outcome? 

3. Consider the following problem: Defendant has been charged with aircraft piracy, which is defined as:

seizing or exercising control of an aircraft in the special aircraft jurisdiction of the United States by force, violence, threat of force or violence, or any form of intimidation, and with wrongful intent. 49 U.S.C. § 46592 (a) (1) (A).

Defendant argues his temporary insanity negates the mens rea element of aircraft piracy. Defendant presents testimony from three psychiatrists that he has PTSD.[2]

The U.S.C. provides that, 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). 

a. What must the prosecution prove to convict Defendant of this crime? 

b. What is the defense’s strongest argument? 

 

 

[1] Galloway v. State, 938 N.E.2d 699 (Ind. 2010)

[2] United States v. Rezaq, 918 F. Supp. 463 (D.D.C. 1996),  According to the American Psychiatric Association:

The essential feature of Posttraumatic Stress Disorder is the development of characteristic symptoms following exposure to an extreme traumatic stressor involving direct personal experience of an event that involves actual or threatened death or serious injury, or other threat to one's physical integrity; or witnessing an event that involves death, injury, or a threat to the physical integrity of another person; or learning about unexpected or violent death, serious harm, or threat of [ … ] death or injury experienced by a family member or other close associate. (American Psychiatric Association, DIAGNOSTIC AND STATISTICAL MANUAL OF MENTAL DISORDERS, 424 (4th ed.1994).

 

10.5.17 People v. Coronado: She killed her children. Can we forgive her? (28 min news story) 10.5.17 People v. Coronado: She killed her children. Can we forgive her? (28 min news story)

People v. Coronado

10.5.18 Notes and Questions (People v. Coronado) 10.5.18 Notes and Questions (People v. Coronado)

1. Assume you were the defense lawyer handling Carol Coronado’s trial for first-degree murder under Section 187(a). How would you apply the facts as you understand them to mount a defense in each of the jurisdictions below? Note which jurisdiction, if any, best facilitates an acquittal. Notice how the different formulations of the legal standards alter the way you tell her story.

a. Irresistible Impulse: At the time of the act, D was mentally ill, and the mental illness caused the inability to control D's actions or conform D's conduct to the law.

b. MPC: D is not criminally responsible if, at time of the conduct, as a result of mental disorder, D lacked substantial capacity either to appreciate the criminality of conduct or to conform conduct to requirements of law.

c. Texas Law Section 8.01 of the Texas Penal Code: "at the time of the conduct charged...as a result of severe mental disease or defect, defendant did not know that [her] conduct was wrong."

d. Kansas: mental illness relevant only to defeat mens rea for intentional murder

2. Assume you are a juror in Carol Coronado’s trial. Read the jury instructions below and consider how you might rule on Coronado’s guilt, given the facts as you understand them from the interview.[1]

CA CRIM Jury Instruction No. 3450

  1. INSANITY AND CIVIL COMMITMENTS

3450.Insanity: Determination, Effect of Verdict (Pen. Code, §§ 25, 29.8)

You have found the defendant guilty of first-degree murder under Section 187(a) (Murder is the unlawful killing of a human being, or a fetus, with malice aforethought).

Now you must decide whether (he/she) was legally insane when (he/she) committed the crime[s].

The defendant must prove that it is more likely than not that (he/she) was legally insane when (he/she) committed the crime[s].

The defendant was legally insane if:

1. When (he/she) committed the crime[s], (he/she) had a mental disease or defect;

AND

2. Because of that disease or defect, (he/she) was incapable of knowing or understanding the nature and quality of (his/her) act or was incapable of knowing or understanding that (his/her) act was morally or legally wrong.

3. Consider the British Infanticide Act of 1938

Where a woman by any willful act or omission causes the death of her child being a child under the age of twelve months, but at the time of the act or omission the balance of her mind was disturbed by reason of her not having fully recovered from the effect of giving birth to the child or by reason of the effect of lactation consequent upon the birth of the child, then, [if] the circumstances were such that but for this Act the offence would have amounted to murder [or manslaughter], she shall be guilty of felony, to wit of infanticide, and may for such offence be dealt with and punished as if she had been guilty of the offence of manslaughter of the child.

a. How, if at all, might Carol Coronado’s defense have been helped by a law like this one?

b. How does this law differ from a conventional insanity defense?

c. What might have led Parliament to pass such a law?

4. Imagine that you are the District Attorney of Santa Clara County, where a very similar crime has just taken place.

a. What options are available to you as you consider how to respond to the crime?

b. Consider the purposes of punishment, discussed during the first week of our semester. How might each of these justifications inform your response to the new case?

    • Retribution
    • Rehabilitation
    • Deterrence
    • Incapacitation

 

 

 

[1]  For those interested in learning more about the case, here’s a link to a recent, award-winning documentary about the case: https://vimeo.com/338067044 (password:  NotCarol1)