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

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

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

  1. A System of Defenses

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

  1. Failure of Proof Defenses

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

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

  1. Offense Modifications

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

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

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

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

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

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

  1. Justifications

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

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

  1. Excuses

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

  1. Nonexculpatory Public Policy Defenses

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

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

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

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

10.1.2 Principles of Justification 10.1.2 Principles of Justification

Cydney Chilimidos & Zachary Nemirovsky—An Overview of Justification

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

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

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

 

Public Benefit Theory:

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

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

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

 

Moral Forfeiture Theory:

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

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

 

Moral Rights Theory:

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

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

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

 

Superior Interest (Lesser Harm) Theory:

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

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

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

 

The Theories Applied:

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

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

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



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

2 Dressler, supra, at 200.

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

4 Dressler, supra, at 200.

5 Id.

6 Id. at 201.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

 

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

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

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

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

        We believe the following principles are sound:

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

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

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

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

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

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

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

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

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

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

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

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

 


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

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

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

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

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

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 & Questions (People v.Goetz) 10.2.2 Notes & 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 the 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.” Moreover, numerous recent news stories chronicle the widespread exclusion of blacks from shops and taxicabs by anxious storekeepers and cabdrivers, many of whom openly admit to making race-based assessments of the danger posed by prospective patrons. * * * [I]t is unrealistic to dispute the depressing conclusion that, for many Americans, crime has a black face.

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. * * * The reasonableness inquiry, however, extends beyond typicality to consider the social interests implicated in a given situation. Hence not all “typical” beliefs are per se reasonable. * * *

* * * With respect to race, prevailing beliefs and attitudes may fall short of what we can fairly expect of people from the standpoint of * * * “social morality.” 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. Walter Williams, a conservative black economist, refers to such an individual an “Intelligent Bayesian,” named for Sir Thomas Bayes, the father of statistics. * * * While the Reasonable Racist explicitly admits his prejudice and bases his claim for exoneration on the prevalence of racial animus, the Intelligent Bayesian invokes the “objectivity” of numbers. * * *

Even if we accept the Bayesian’s claim that his greater fear of blacks results wholly from his unbiased analysis of crime statistics, biases in the criminal justice system undermine the reliability of the statistics themselves. 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.” * * *

To the extent that socioeconomic status explains the overinvolvement of blacks in robbery and assault (assuming that there is, in fact, such overinvolvement), race serves merely as a proxy for socioeconomic status. But if race is a proxy for socioeconomic factors, then race loses its predictive value when one controls for those factors. Thus, if an individual is walking through an impoverished, “crime-prone neighborhood,” * * * and if he has already weighed the character of the neighborhood in judging the dangerousness of his situation, then it is illogical for him to consider the racial identity of the person whose suspicious footsteps he hears. For he has already taken into account the socioeconomic factors for which race is a proxy, and considering the racial identity of the ambiguous person under such circumstances constitutes * * * “doublecounting.” * * *

* * * And surely a paragon of rational thinking like the Intelligent Bayesian would not press for the admission of evidence that subverts the rationality of the factfinding process. * * *

* * * 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. The defendant’s “situation” * * * includes not only the immediate circumstances of the fatal encounter, but also the psychological effects of experiences that she has undergone prior to the fatal encounter. 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.

5. 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 is tall—5′10″ or so, dark, with thick hair and wire-rimmed glasses. He carries a knapsack stuffed with work from the office, old crossword puzzles, Philip Glass tapes, Ebony Man and People magazines. When it rains, he carries his good shoes in the bag and wears his Reebok sneakers. He 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. When I put aside the book I’m reading to peek out the window, the visions in my head are those of blind white panic at my husband’s black presence, visions of a flashing gun, a gleaming knife: I see myself a sudden, horrified widow at thirty-four.

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, over and over, how dangerous white people still can be, how their fears are a hazard to our health. 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

6. 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 phoned 9-1-1. When told that an officer was on their way, Zimmerman replied “"These assholes, they always get away." When Martin began leaving, Zimmerman followed him in his car, despite the dispatcher saying “we don't need you to do that." An altercation followed, with Zimmerman claiming he was knocked to the ground, that Martin was on top of him and killing him. 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


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 asked why Judy Norman 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 covicted 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 receive 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 Imminancy 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 satisifed. 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, …

   3. 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. 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 judgements 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 defense. Do you think that because the imminency requirement was not met, her self defense claim is made in error? Should an imperfect defense preclude someone from an acquittal in all circumstances?

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 is coupled with prior abuse, but have varying degrees of imminency of danger. If each of these individuals experience the effects of “battered spouse syndrome,” should we treat the cases differently because the first two defenses could be considered imperfect, whereas the third defense could be considered perfect? Do you think this contributes to the preservation of justice?

     Would the outcome of these hypos change under Model Penal Code § 3.04?

 


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.
 
776.013 Home protection; use or threatened use of deadly force; presumption of fear of death or great bodily harm.
(1) A person is presumed to have held a reasonable fear of imminent peril of death or great bodily harm to himself or herself or another when using or threatening to use defensive force that is intended or likely to cause death or great bodily harm to another if:
(a) The person against whom the defensive force was used or threatened was in the process of unlawfully and forcefully entering, or had unlawfully and forcibly entered, a dwelling, residence, or occupied vehicle, or if that person had removed or was attempting to remove another against that person’s will from the dwelling, residence, or occupied vehicle; and
(b) The person who uses or threatens to use defensive force knew or had reason to believe that an unlawful and forcible entry or unlawful and forcible act was occurring or had occurred.
(2) The presumption set forth in subsection (1) does not apply if:
(a) The person against whom the defensive force is used or threatened has the right to be in or is a lawful resident of the dwelling, residence, or vehicle, such as an owner, lessee, or titleholder, and there is not an injunction for protection from domestic violence or a written pretrial supervision order of no contact against that person; or
(b) The person or persons sought to be removed is a child or grandchild, or is otherwise in the lawful custody or under the lawful guardianship of, the person against whom the defensive force is used or threatened; or
(c) The person who uses or threatens to use defensive force is engaged in a criminal activity or is using the dwelling, residence, or occupied vehicle to further a criminal activity; or
(d) The person against whom the defensive force is used or threatened is a law enforcement officer, as defined in s. 943.10(14), who enters or attempts to enter a dwelling, residence, or vehicle in the performance of his or her official duties and the officer identified himself or herself in accordance with any applicable law or the person using or threatening to use force knew or reasonably should have known that the person entering or attempting to enter was a law enforcement officer.
(3) A person who is attacked in his or her dwelling, residence, or vehicle has no duty to retreat and has the right to stand his or her ground and use or threaten to use force, including deadly force, if he or she uses or threatens to use force in accordance with s. 776.012(1) or (2) or s. 776.031(1) or (2).
(4) A person who unlawfully and by force enters or attempts to enter a person’s dwelling, residence, or occupied vehicle is presumed to be doing so with the intent to commit an unlawful act involving force or violence.
(5) As used in this section, the term:
(a) “Dwelling” means a building or conveyance of any kind, including any attached porch, whether the building or conveyance is temporary or permanent, mobile or immobile, which has a roof over it, including a tent, and is designed to be occupied by people lodging therein at night.
(b) “Residence” means a dwelling in which a person resides either temporarily or permanently or is visiting as an invited guest.
(c) “Vehicle” means a conveyance of any kind, whether or not motorized, which is designed to transport people or property.
 
776.031 Use or threatened use of force in defense of property.
(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 prevent or terminate the other’s trespass on, or other tortious or criminal interference with, either real property other than a dwelling or personal property, lawfully in his or her possession or in the possession of another who is a member of his or her immediate family or household or of a person whose property he or she has a legal duty to protect. 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 only if he or she reasonably believes that such conduct is necessary 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.
 
776.032 Immunity from criminal prosecution and civil action for justifiable use or threatened use of force.
(1) A person who uses or threatens to use force as permitted in s. 776.012, s. 776.013, or s. 776.031 is justified in such conduct and is immune from criminal prosecution and civil action for the use or threatened use of such force by the person, personal representative, or heirs of the person against whom the force was used or threatened, unless the person against whom force was used or threatened is a law enforcement officer, as defined in s. 943.10(14), who was acting in the performance of his or her official duties and the officer identified himself or herself in accordance with any applicable law or the person using or threatening to use force knew or reasonably should have known that the person was a law enforcement officer. As used in this subsection, the term “criminal prosecution” includes arresting, detaining in custody, and charging or prosecuting the defendant.
(2) A law enforcement agency may use standard procedures for investigating the use or threatened use of force as described in subsection (1), but the agency may not arrest the person for using or threatening to use force unless it determines that there is probable cause that the force that was used or threatened was unlawful.
(3) The court shall award reasonable attorney’s fees, court costs, compensation for loss of income, and all expenses incurred by the defendant in defense of any civil action brought by a plaintiff if the court finds that the defendant is immune from prosecution as provided in subsection (1).
 
776.041 Use or threatened use of force by aggressor.The justification described in the preceding sections of this chapter is not available to a person who:
(1) Is attempting to commit, committing, or escaping after the commission of, a forcible felony; or
(2) Initially provokes the use or threatened use of force against himself or herself, unless:
(a) Such force or threat of force is so great that the person reasonably believes that he or she is in imminent danger of death or great bodily harm and that he or she has exhausted every reasonable means to escape such danger other than the use or threatened use of force which is likely to cause death or great bodily harm to the assailant; or
(b) In good faith, the person withdraws from physical contact with the assailant and indicates clearly to the assailant that he or she desires to withdraw and terminate the use or threatened use of force, but the assailant continues or resumes the use or threatened use of force.
 
776.05 Law enforcement officers; use of force in making an arrest.A law enforcement officer, or any person whom the officer has summoned or directed to assist him or her, need not retreat or desist from efforts to make a lawful arrest because of resistance or threatened resistance to the arrest. The officer is justified in the use of any force:
(1) Which he or she reasonably believes to be necessary to defend himself or herself or another from bodily harm while making the arrest;
(2) When necessarily committed in retaking felons who have escaped; or
(3) When necessarily committed in arresting felons fleeing from justice. However, this subsection shall not constitute a defense in any civil action for damages brought for the wrongful use of deadly force unless the use of deadly force was necessary to prevent the arrest from being defeated by such flight and, when feasible, some warning had been given, and:
(a) The officer reasonably believes that the fleeing felon poses a threat of death or serious physical harm to the officer or others; or
(b) The officer reasonably believes that the fleeing felon has committed a crime involving the infliction or threatened infliction of serious physical harm to another person.
 
776.051 Use or threatened use of force in resisting arrest or making an arrest or in the execution of a legal duty; prohibition.
(1) A person is not justified in the use or threatened use of force to resist an arrest by a law enforcement officer, or to resist a law enforcement officer who is engaged in the execution of a legal duty, if the law enforcement officer was acting in good faith and he or she is known, or reasonably appears, to be a law enforcement officer.
(2) A law enforcement officer, or any person whom the officer has summoned or directed to assist him or her, is not justified in the use of force if the arrest or execution of a legal duty is unlawful and known by him or her to be unlawful.
 
776.06 Deadly force by a law enforcement or correctional officer.
(1) As applied to a law enforcement officer or correctional officer acting in the performance of his or her official duties, the term “deadly force” means force that is likely to cause death or great bodily harm and includes, but is not limited to:
(a) The firing of a firearm in the direction of the person to be arrested, even though no intent exists to kill or inflict great bodily harm; and
(b) The firing of a firearm at a vehicle in which the person to be arrested is riding.
(2)(a) The term “deadly force” does not include the discharge of a firearm by a law enforcement officer or correctional officer during and within the scope of his or her official duties which is loaded with a less-lethal munition. As used in this subsection, the term “less-lethal munition” means a projectile that is designed to stun, temporarily incapacitate, or cause temporary discomfort to a person without penetrating the person’s body.
(b) A law enforcement officer or a correctional officer is not liable in any civil or criminal action arising out of the use of any less-lethal munition in good faith during and within the scope of his or her official duties.
 
776.07 Use of force to prevent escape.
(1) A law enforcement officer or other person who has an arrested person in his or her custody is justified in the use of any force which he or she reasonably believes to be necessary to prevent the escape of the arrested person from custody.
(2) A correctional officer or other law enforcement officer is justified in the use of force, including deadly force, which he or she reasonably believes to be necessary to prevent the escape from a penal institution of a person whom the officer reasonably believes to be lawfully detained in such institution under sentence for an offense or awaiting trial or commitment for an offense.
 
776.08 Forcible felony.“Forcible felony” means treason; murder; manslaughter; sexual battery; carjacking; home-invasion robbery; robbery; burglary; arson; kidnapping; aggravated assault; aggravated battery; aggravated stalking; aircraft piracy; unlawful throwing, placing, or discharging of a destructive device or bomb; and any other felony which involves the use or threat of physical force or violence against any individual.
 
776.085 Defense to civil action for damages; party convicted of forcible or attempted forcible felony.
(1) It shall be a defense to any action for damages for personal injury or wrongful death, or for injury to property, that such action arose from injury sustained by a participant during the commission or attempted commission of a forcible felony. The defense authorized by this section shall be established by evidence that the participant has been convicted of such forcible felony or attempted forcible felony, or by proof of the commission of such crime or attempted crime by a preponderance of the evidence.
(2) For the purposes of this section, the term “forcible felony” shall have the same meaning as in s. 776.08.
(3) Any civil action in which the defense recognized by this section is raised shall be stayed by the court on the motion of the civil defendant during the pendency of any criminal action which forms the basis for the defense, unless the court finds that a conviction in the criminal action would not form a valid defense under this section.
(4) In any civil action where a party prevails based on the defense created by this section:
(a) The losing party, if convicted of and incarcerated for the crime or attempted crime, shall, as determined by the court, lose any privileges provided by the correctional facility, including, but not limited to:
1. Canteen purchases;
2. Telephone access;
3. Outdoor exercise;
4. Use of the library; and
5. Visitation.
(b) The court shall award a reasonable attorney’s fee to be paid to the prevailing party in equal amounts by the losing party and the losing party’s attorney; however, the losing party’s attorney is not personally responsible if he or she has acted in good faith, based on the representations of his or her client. If the losing party is incarcerated for the crime or attempted crime and has insufficient assets to cover payment of the costs of the action and the award of fees pursuant to this paragraph, the party shall, as determined by the court, be required to pay by deduction from any payments the prisoner receives while incarcerated.
(c) If the losing party is incarcerated for the crime or attempted crime, the court shall issue a written order containing its findings and ruling pursuant to paragraphs (a) and (b) and shall direct that a certified copy be forwarded to the appropriate correctional institution or facility.
 
776.09 Retention of records pertaining to persons found to be acting in lawful self-defense; expunction of criminal history records.
(1) Whenever the state attorney or statewide prosecutor dismisses an information, indictment, or other charging document, or decides not to file an information, indictment, or other charging document because of a finding that the person accused acted in lawful self-defense pursuant to the provisions related to the justifiable use of force in this chapter, that finding shall be documented in writing and retained in the files of the state attorney or statewide prosecutor.
(2) Whenever a court dismisses an information, indictment, or other charging document because of a finding that the person accused acted in lawful self-defense pursuant to the provisions related to the justifiable use of force in this chapter, that finding shall be recorded in an order or memorandum, which shall be retained in the court’s records.
(3) Under either condition described in subsection (1) or subsection (2), the person accused may apply for a certificate of eligibility to expunge the associated criminal history record, pursuant to s. 943.0585(5), notwithstanding the eligibility requirements prescribed in s. 943.0585(1)(b) or (2).

10.2.7 The Trial of Bernhard Goetz: Goetz's Videotaped Confession 10.2.7 The Trial of Bernhard Goetz: Goetz's Videotaped Confession

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

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

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

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

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

Goetz: Sure, sure.

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

Goetz: That’s..that’s that’s….

Braver: For your protection and for ours.

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

Clark: Bernard.

Goetz: You don’t understand.

Clark: Bernard

Clark: Could I talk to you?

Goetz: Sure.

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

Goetz: Okay.

Braver: Okay?

Goetz: Okay.

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

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

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

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

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

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

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

Goetz: Okay, okay

Braver: Do you understand?

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

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

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

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

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

Braver: Are you cold?

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

Braver: We would like to resolve this.

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

Braver: And I know you would.

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

Braver: Yes.

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

Braver: We all live in Manhattan

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

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

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

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

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

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

Goetz: That’s true.

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

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

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

Goetz: Yes, I am.

Braver: You can read that quickly?

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

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

Goetz: If you insist.

Braver: It’s important to you.

Goetz: If you insist.

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

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

Braver: No.

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

Braver: No, it’s for you.

Goetz: Oh yes, yes, for my protection.

Braver: It’s for your protection.

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

Braver: The people will.

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

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

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

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

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

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

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

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

Goetz: What?

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

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

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

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

Braver: Why these four?

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

Braver: But why these four though, I mean…

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

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

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

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

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

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

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

Braver: What?

Goetz:The whole story?

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

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

Braver: Sure.

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

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

Goetz: These were just kids kidding around.

Clark: Okay....

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

Clark: Well, what was your intention?

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

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

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

Brabver: What do you mean by that?

Goetz: What do you mean?

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

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

Clark: Did you feel trapped?

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

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

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

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

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

Clark: Bernard, can we get back…

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

 

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?

10.3.2 Nelson v. State 10.3.2 Nelson v. State

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

No. 3802.

Supreme Court of Alaska.

July 20, 1979.

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

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

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

OPINION

MATTHEWS, Justice.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

AFFIRMED.

10.3.3 Greenwood v. State 10.3.3 Greenwood v. State

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

No. S-13449.

Supreme Court of Alaska.

Aug. 20, 2010.

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

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

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

*1020OPINION

FABE, Justice.

I. INTRODUCTION

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

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

II FACTS AND PROCEEDINGS

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

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

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

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

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

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

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

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

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

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

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

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

III. STANDARD OF REVIEW

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

IV. DISCUSSION

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

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

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

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

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

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

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

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

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

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

The court of appeals also pointed to a potential alternative:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

v. CONCLUSION

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

10.3.4 United States v. Schoon 10.3.4 United States v. Schoon

UNITED STATES of America, Plaintiff-Appellee, v. Gregory D. SCHOON, Defendant-Appellant. UNITED STATES of America, Plaintiff-Appellee, v. Raymond K. KENNON, Jr., Defendant-Appellant. UNITED STATES of America, Plaintiff-Appellee, v. Patricia MANNING, Defendant-Appellant.

Nos. 90-10167, 90-10210, 90-10250.

United States Court of Appeals, Ninth Circuit.

Submitted May 13, 1991*.

Decided July 29, 1991.

As Amended Aug. 4, 1992.

*195Fredric F. Kay, Federal Public Defender, Harriette Levitt, Tucson, Ariz., for defendant-appellant.

Roger L. Duncan, Asst. U.S. Atty., Tucson, Ariz., for plaintiff-appellee.

Before: FARRIS, BOOCHEVER, and FERNANDEZ, Circuit Judges.

BOOCHEVER, Circuit Judge:

Gregory Schoon, Raymond Kennon, Jr., and Patricia Manning appeal their convictions for obstructing activities of the Internal Revenue Service Office in Tucson, Arizona, and failing to comply with an order of a federal police officer. Both charges stem from their activities in protest of United States involvement in El Salvador. They claim the district court improperly denied them a necessity defense. Because we hold the necessity defense inapplicable in cases like this, we affirm.

I.

On December 4, 1989, thirty people, including appellants, gained admittance to the IRS office in Tucson, where they chanted “keep America’s tax dollars out of El Salvador,” splashed simulated blood on the counters, walls, and carpeting, and generally obstructed the office’s operation. After a federal police officer ordered the group, on several occasions, to disperse or face arrest, appellants were arrested.

At a bench trial, appellants proffered testimony about conditions in El Salvador as the motivation for their conduct. They attempted to assert a necessity defense, essentially contending that their acts in protest of American involvement in El Salvador were necessary to avoid further bloodshed in that country. While finding appellants motivated solely by humanitarian concerns, the court nonetheless precluded the defense as a matter of law, relying on Ninth Circuit precedent. The sole issue on appeal is the propriety, of the court’s exclusion of a necessity defense as a matter of law.

II.

A district court may preclude a necessity defense where “the evidence, as described in the defendant’s offer of proof, is insufficient as a matter of law to support the proffered defense.” United States v. Dorrell, 758 F.2d 427, 430 (9th Cir.1985). 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). We review de novo the district court’s decision to bar a necessity defense. Id. at 692.

The district court denied the necessity defense on the grounds that (1) the requisite immediacy was lacking; (2) the actions taken would not abate the evil; and (3) other legal alternatives existed. Because the threshold test for admissibility of a necessity defense is a conjunctive one, a court may preclude invocation of the defense if “proof is deficient with regard to any of the four elements.” Id. at 693.

While we could affirm substantially on those grounds relied upon by the district court, >Jwe-find a deeper, systemic reason for the complete absence of federal case law recognizing a necessity defense in an indirect civil disobedience case. As used in this opinion, “civil disobedience” is the wilful violation of a law, undertaken for the *196purpose of social or political protest. Cf. Webster’s Third New International Dictionary 413 (unabridged, 1976) (“refusal to obey the demands or commands of the government” to force government concessions). Indirect civil disobedience involves violating a law or interfering with a government policy that is not, itself, the object of protest. Direct civil disobedience, on the other hand, involves protesting the existence of a law by breaking that law or by preventing the execution of that law in a specific instance in which a particularized harm would otherwise follow. See Note, Applying the Necessity Defense to Civil Disobedience Cases, 64 N.Y.U.L.Rev. 79, 79-80 & n. 5 (1989). This case involves indirect civil disobedience because these protestors were not challenging the laws under which they were charged. In contrast, the civil rights lunch counter sit-ins, for example, constituted direct civil disobedience because the protestors were challenging the rule that prevented them from sitting at lunch counters. Similarly, if a city council passed an ordinance requiring immediate infusion of a suspected carcinogen into the drinking water, physically blocking the delivery of the substance would constitute direct civil disobedience: protestors would be preventing the execution of a law in a specific instance in which a particularized harm — contamination of the water supply — would otherwise follow.

While our prior cases consistently have found the elements of the necessity defense lacking in cases involving indirect civil disobedience, see, e.g., Dorrell, 758 F.2d at 431-34; United States v. Lowe, 654 F.2d 562, 567 (9th Cir.1981); United States v. May, 622 F.2d 1000, 1008-10 (9th Cir.), cert. denied, 449 U.S. 984, 101 S.Ct. 402, 66 L.Ed.2d 247 (1980), we have never addressed specifically whether the defense is available in cases of indirect civil disobedience. Indeed, some other courts have appeared doubtful. See, e.g., United States v. Seward, 687 F.2d 1270, 1276 (10th Cir. 1982) (“[Necessity] is obviously not a defense to charges arising from a typical protest.”), cert. denied, 459 U.S. 1147, 103 S.Ct. 789, 74 L.Ed.2d 995 (1983); United States v. Kroncke, 459 F.2d 697, 701 (8th Cir.1972) (“None of the cases even suggests that the defense of necessity would be permitted where the actor’s purpose is to effect a change in governmental policies which, according to the actor, may in turn result in a future saving of lives.”). Today, we conclude, for the reasons stated below, that the necessity defense is inapplicable to cases involving indirect civil disobedience.

III.

Necessity is, essentially, a utilitarian defense. See Note, The State Made Me Do It: The Applicability of the Necessity Defense to Civil Disobedience, 39 Stan.L.Rev. 1173, 1174 (1987). It therefore justifies criminal acts taken to avert a greater harm, maximizing social welfare by allowing a crime to be committed where the social benefits of the crime outweigh the social costs of failing to commit the crime. See, e.g., Dorrell, 758 F.2d at 432 (recognizing that “the policy underlying the necessity defense is the promotion of greater values at the expense of lesser values”) (citation omitted). 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); 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); 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); 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); and property could be destroyed to prevent the spread of fire, see, e.g., Surocco v. Geary, 3 Cal. 69, 74 (1853).

What all the traditional necessity cases have in common is that the commission of the “crime” averted the occurrence of an even greater “harm.” In some sense, the necessity defense allows us to act as individual legislatures, amending a particular criminal provision or crafting a one-time *197exception to it, subject to court review, when a real legislature would formally do the same under those circumstances. For example, by allowing prisoners who escape a burning jail to claim the justification of necessity, we assume the lawmaker, confronting this problem, would have allowed for an exception to the law proscribing prison escapes.

Because the necessity doctrine is utilitarian, however, strict requirements contain its exercise so as to prevent nonbeneficial criminal conduct. For example, “ ‘[i]f the criminal act cannot abate the threatened harm, society receives no benefit from the criminal conduct.’ ” Applying the Necessity Defense, 64 N.Y.U.L.Rev. at 102 (quoting United States v. Gant, 691 F.2d 1159, 1164 (5th Cir.1982)). Similarly, to forgive a crime taken to avert a lesser harm would fail to maximize social utility. The cost of the crime would outweigh the harm averted by its commission. Likewise, criminal acts cannot be condoned to thwart threats, yet to be imminent, or those for which there are legal alternatives to abate the harm.

Analysis of three of the necessity defense’s four elements leads us to the conclusion that necessity can never be proved in a case of indirect civil disobedience. We do not rely upon the imminent harm prong of the defense because we believe there can be indirect civil disobedience cases in which the protested harm is imminent.

A.

7. Balance of Harms

It is axiomatic that, if the thing to be averted is not a harm at all, the balance of harms necessarily would disfavor any criminal action. Indirect civil disobedience seeks first and foremost to bring about the repeal of a law or a change of governmental policy, attempting to mobilize public opinion through typically symbolic action. These protestors violate a law, not because it is unconstitutional or otherwise improper, but because doing so calls public attention to their objectives. Thus, the most immediate “harm” this form of protest targets is the existence of the law or policy. However, the mere existence of a constitutional law or governmental policy cannot constitute a legally cognizable harm. See Comment, Political Protest and the Illinois Defense of Necessity, 54 U.Chi.L.Rev. 1070, 1083 (1987) (“In a society based on democratic decision making, this is how values are ranked — a protester cannot simply assert that her view of what is best should trump the decision of the majority of elected representatives.”); cf. Dorrell, 758 F.2d at 432 (“[T]he law should [not] excuse criminal activity intended to express the protestor’s disagreement with positions reached by the lawmaking branches of the government.”).

There may be, of course, general harms that result from the targeted law or policy. Such generalized “harm,” however, is too insubstantial an injury to be legally cognizable. We have in the past rejected the use of the necessity defense in indirect civil disobedience cases as a “ ‘back door’ attempt to attack government programs in a manner foreclosed by [federal] standing requirement^].” United States v. Lowe, 654 F.2d 562, 566-67 (9th Cir. 1981) (citing Schlesinger v. Reservists Committee to Stop the War, 418 U.S. 208, 220-21, 94 S.Ct. 2925, 2931-32, 41 L.Ed.2d 706 (1974) (standing to attack governmental conduct requires direct, concrete injury; abstract injury insufficient)); see United States v. May, 622 F.2d 1000, 1009 (9th Cir.) (same), cert. denied, 449 U.S. 984, 101 S.Ct. 402, 66 L.Ed.2d 247 (1980). 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).

The protest in this case was in the form of indirect civil disobedience, aimed at reversal of the government’s El Salvador policy. That policy does not violate the *198Constitution, and appellants have never suggested as much. There is no evidence that the procedure by which the policy was adopted was in any way improper; nor is there any evidence that appellants were prevented systematically from participating in the democratic processes through which the policy was chosen. See United States v. Carotene Products Co., 304 U.S. 144, 152-53 n. 4, 58 S.Ct. 778, 783-84 n. 4, 82 L.Ed. 1234 (1938) (implicitly reserving special solicitude for discrete and insular minorities). The most immediate harm the appellants sought to avert was the existence of the government’s El Salvador policy, which is not in itself a legally cognizable harm. Moreover, any harms resulting from the operation of this policy are insufficiently concrete to be legally cognizable as harms for purposes of the necessity defense.

Thus, as a matter of law, the mere existence of a policy or law validly enacted by Congress cannot constitute a cognizable harm. If there is no cognizable harm to prevent, the harm resulting from criminal action taken for the purpose of securing the repeal of the law or policy necessarily outweighs any benefit of the action.

2. Causal Relationship Between Criminal Conduct and Harm to be Averted

This inquiry requires a court to judge the likelihood that an alleged harm will be abated by the taking of illegal action. In the sense that the likelihood of abatement is required in the traditional necessity cases, there will never be such likelihood in cases of indirect political protest. In the traditional cases, a prisoner flees a burning cell and averts death, or someone demolishes a home to create a firebreak and prevents the conflagration of an entire community. The nexus between the act undertaken and the result sought is a close one. Ordinarily it is the volitional illegal act alone which, once taken, abates the evil.

In political necessity cases involving indirect civil disobedience against congressional acts, however, the act alone is unlikely to abate the evil precisely because the action is indirect. Here, the IRS obstruction, or the refusal to comply with a federal officer’s order, are unlikely to abate the killings in El Salvador, or immediately change Congress’s policy; instead, it takes another volitional actor not controlled by the protestor to take a further step; Congress must change its mind.

3. Legal Alternatives

A final reason the necessity defense does not apply to these indirect civil disobedience cases is that legal alternatives will never be deemed exhausted when the harm can be mitigated by congressional action. As noted above, the harm indirect civil disobedience aims to prevent is the continued existence of a law or policy. Because congressional action can always mitigate this “harm,” lawful political activity to spur such action will always be a legal alternative. On the other hand, we cannot say that this legal alternative will always exist in cases of direct civil disobedience, where protestors act to avert a concrete harm flowing from the operation of the targeted law or policy.

Thé necessity defense requires the absence of any legal alternative to the contemplated illegal conduct which could reasonably be expected to abate an imminent evil. See United States v. Bailey, 444 U.S. 394, 410, 100 S.Ct. 624, 635, 62 L.Ed.2d 575 (1980) (alternative exists if there is “a chance both to refuse to do the criminal act and also to avoid the threatened harm”) (quoting W. LaFave & A. Scott, Handbook on Criminal Law 379 (1972)). A prisoner fleeing a burning jail, for example, would not be asked to wait in his cell because someone might conceivably save him; such a legal alternative is ill-suited to avoiding death in a fire. In other words, the law implies a reasonableness requirement in judging whether legal alternatives exist.

Where the targeted harm is the existence of a law or policy, our precedents counsel that this reasonableness requirement is met simply by the possibility of congressional action. For example, in Dorrell, an indirect civil disobedience case involving a trespass on Vandenburg Air Force Base to *199protest the MX missile program, we rejected Dorrell’s claims that legal alternatives, like lobbying Congress, were unavailable because they were futile. Dorrell, we said, “differed] little from many whose passionate beliefs are rejected by the will of the majority legitimately expressed.” 758 F.2d at 432. We assumed there that the “possibility” that Congress will change its mind is sufficient in the context of the democratic process to make lawful political action a reasonable alternative to indirect civil disobedience. Without expressly saying so, Dorrell decided that petitioning Congress to change a policy is always a legal alternative in such cases, regardless of the likelihood of the plea’s success. Thus, indirect civil disobedience can never meet the necessity defense requirement that there be a lack of legal alternatives.

B.

As have courts before us, we could assume, as a threshold matter, that the necessity defense is conceivably available in these cases, but find the elements never satisfied. Such a decision, however, does not come without significant costs. First, the failure of the federal courts to hold explicitly that the necessity defense is unavailable in these cases results in district courts expending unnecessary time and energy trying to square defendants’ claims with the strict requirements of the doctrine. Second, such an inquiry oftentimes requires the courts to tread into areas constitutionally committed to other branches of government. For example, in May, which involved trespass on a naval base to protest American nuclear weapons policy, we noted that, “[t]o consider defendants’ argument [that trespassing was justified by the nefariousness of the Trident missile] would put us in the position of usurping the functions that the Constitution has given to the Congress and to the President.” May, 622 F.2d at 1009; cf. Schlesinger v. Reservists Committee to Stop the War, 418 U.S. 208, 222, 94 S.Ct. 2925, 2933, 41 L.Ed.2d 706 (1974) (to grant standing to protestors would both risk distortion of “the role of the Judiciary in its relationship to the Executive and the Legislature and open the Judiciary to an arguable charge of providing ‘government by injunction’ ”). Third, holding out the possibility of the defense’s applicability sets a trap for the unwary civil disobedient, rather than permitting the individual to undertake a more realistic cost-benefit analysis before deciding whether to break the law in political protest. Fourth, assuming the applicability of the defense in this context may risk its distortion in traditional cases. Finally, some commentators have suggested that the courts have sabotaged the usually low threshold for getting a defense theory before the jury as a means of keeping the necessity defense from the jury. See, e.g., Applying the Necessity Defense, 64 N.Y.U.L.Rev. at 85-89; The State Made Me Do It, 39 Stan L.Rev. at 1178-79.

The real problem here is that litigants are trying to distort to their purposes an age-old common law doctrine meant for a very different set of circumstances. What these cases are really about is gaining notoriety for a cause — the defense allows protestors to get their political grievances discussed in a courtroom. The State Made Me Do It, 39 Stan.L.Rev. at 1176. It is precisely this political motive that has left some courts, like the district court in this case, uneasy. See March 23, 1990 Order of District Court at 4-5 (“Neither a small nonpolicy making service office of the IRS nor this Courtroom is the proper venue for deciding political questions.”); May, 622 F.2d at 1009. Because these attempts to invoke the necessity defense “force the courts to choose among causes they should make legitimate by extending the defense of necessity,” Dorrell, 758 F.2d at 432, and because the criminal acts, themselves, do not maximize social good, they should be subject to a per se rule of exclusion.

Thus, we see the failure of any federal court to recognize a defense of necessity in a case like ours not as coincidental, but rather as the natural consequence of the historic limitation of the doctrine. Indirect protests of congressional policies can never meet all the requirements of the necessity doctrine. Therefore, we hold that the ne*200cessity defense is not available in such cases.

CONCLUSION

Because the necessity defense was not intended as justification for illegal acts taken in indirect political protest, we affirm the district court’s refusal to admit evidence of necessity.

AFFIRMED.

FERNANDEZ, Circuit Judge,

concurring:

I agree with much of what the majority says regarding the application of the necessity defense to this type of case.

I do not mean to be captious in questioning whether the necessity defense is grounded on pure utilitarianism,1 but fundamentally, I am not so sure that this defense of justification should be grounded on utilitarian theory alone rather than on a concept of what is right and proper conduct under the circumstances. See, e.g., G. Fletcher, Rethinking Criminal Law, 759-875 (1978). Cf, J. Thomson, Rights, Restitution and Risk, 78-116 (1986) (some reflections on the trolley problem). At any rate this doubt would not prevent me from joining in the majority’s opinion.

I do, however, feel that the law of this circuit constrains me from saying that the necessity defense is not available in these kinds of cases. That law is canvassed in the majority’s opinion and need not be restated by me. Of course, the majority is exactly right about the outcome of this case. It is also probably right about the outcome of all other cases of this type in the future. Those who would think to use this defense should first think deeply about what the majority has written.

Therefore, I concur in the result.

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 People v. Anderson 10.3.6 People v. Anderson

[No. S094710.

July 29, 2002.]

THE PEOPLE, Plaintiff and Respondent, v. ROBERT NEAL ANDERSON, Defendant and Appellant.

*770Counsel

Neoma D. Kenwood, under appointment by the Supreme Court, for Defendant and Appellant.

Bill Lockyer, Attorney General, David P. Druliner and Robert R. Anderson, Chief Assistant Attorneys General, Ronald A. Bass, Assistant Attorney General, Catherine A. Rivlin, Gerald A. Engler and Moona Nandi, Deputy Attorneys General, for Plaintiff and Respondent.

Opinion

CHIN, J.

Over two centuries ago, William Blackstone, the great commentator on the common law, said that duress is no excuse for killing an innocent person: “And, therefore, though a man be violently assaulted, and hath no other possible means of escaping death, but by killing an innocent person, this fear and force shall not acquit him of murder; for he ought rather to die himself than escape by the murder of an innocent.” (2 Jones’s Blackstone (1916) p. 2197.)

We granted review to decide whether these words apply in California. We conclude that, as in Blackstone’s England, so today in California: fear for one’s own life does not justify killing an innocent person. Duress is not a defense to murder. We also conclude that duress cannot reduce murder to manslaughter. Although one may debate whether a killing under duress should be manslaughter rather than murder, if a new form of manslaughter is to be created, the Legislature, not this court, should do it.

I. The Facts and Procedural History

Defendant was charged with kidnapping and murdering Margaret Armstrong in a camp area near Eureka called the South Jetty. Defendant and others apparently suspected the victim of molesting two girls who resided in the camp. Ron Kiem, the father of one of the girls, pleaded guilty to Armstrong’s second degree murder and testified at defendant’s trial.

The prosecution evidence showed that a group of people, including defendant and Kiem, confronted Armstrong at the camp. Members of the group dragged Armstrong to a nearby field, beat her, put duct tape over her mouth, tied her naked to a bush, and abandoned her. Later, defendant and Kiem, in Kiem’s car, saw Armstrong going naked down the street away from the jetty. The two grabbed Armstrong, forced her into the car, and drove away. *771They then put Armstrong into a sleeping bag, wrapped the bag with duct tape, and placed her, screaming, into the trunk of Kiem’s car.

Witnesses testified that defendant picked up a large rock, brought it to the trunk, and handed it to Kiem. Kiem appeared to hit Armstrong with the rock, silencing her. Kiem testified that defendant said Armstrong had to die. After they put her into the trunk, defendant dropped a small boulder onto her head. Eaem also said that defendant picked up the rock again, handed it to Kiem, and told him to drop it on Armstrong or something would happen to his family. Kiem dropped the rock but believed it missed Armstrong. Kiem and defendant later commented to others that Armstrong was dead.

The evidence indicated that defendant and Kiem disposed of Armstrong’s body by rolling it down a ravine. One witness testified that Kiem stated he had stepped on her neck until it crunched to ensure she was dead before putting her in the ravine. The body was never found.

Defendant testified on his own behalf. He said he had tried to convince Kiem to take Armstrong to the hospital after she had been beaten. When he and Kiem saw her going down the road beaten and naked, Kiem grabbed her and put her in the backseat of the car. Back at camp, Kiem put Armstrong in the sleeping bag and bound it with duct tape. At Kiem’s instruction, defendant opened the trunk and Kiem put Armstrong inside. Kiem told defendant to retrieve a certain rock the size of a cantaloupe. Defendant said, “Man, you are out of your mind for something like that.” Kiem responded, “Give me the rock or I’ll beat the shit out of you.” Defendant gave him the rock because Kiem was bigger than he and he was “not in shape” to fight. When asked what he thought Kiem would have done if he had said no, defendant replied: “Punch me out, break my back, break my neck. Who knows.” Kiem hit Armstrong over the head with the rock two or three times. Kiem’s wife was standing there yelling, “Kill the bitch.”

Defendant testified that later they left in Kiem’s car. They pulled over and Kiem opened the trunk. Armstrong was still moaning and moving around. Defendant tried to convince Kiern to take her to a hospital, but Kiem refused. Defendant got back into the car. A few minutes later, Kiem closed the trunk, got in the car, and said, “She’s dead now. I stomped on her neck and broke it.”

A jury convicted defendant of first degree murder and kidnapping. Based primarily on his testimony that Kiem threatened to “beat the shit out of’ him, defendant contended on appeal that the trial court erred in refusing to instruct the jury on duress as a defense to the murder charge. The Court of *772Appeal concluded that duress is not a defense to first degree murder and affirmed the judgment. We granted defendant’s petition for review to decide to what extent, if any, duress is a defense to a homicide-related crime, and, if it is a defense, whether the trial court prejudicially erred in refusing a duress instruction.

II. Discussion

A. Whether Duress Is a Defense to Murder

At common law, the general rule was, and still is today, what Blackstone stated: duress is no defense to killing an innocent person.1 “Stemming from antiquity, the nearly ‘unbroken tradition’ of Anglo-American common law is that duress never excuses murder, that the person threatened with his own demise ‘ought rather to die himself, than escape by the murder of an innocent.’ ” (Dressler, Exegesis of the Law of Duress: Justifying the Excuse and Searching for Its Proper Limits (1989) 62 So.Cal. L.Rev. 1331, 1370, fns. omitted; see also id. at p. 1343 & fn. 83, and cases cited.)2

The basic rationale behind allowing the defense of duress for other crimes “is that, for reasons of social policy, it is better that the defendant, faced with a choice of evils, choose to do the lesser evil (violate the criminal law) in order to avoid the greater evil threatened by the other person.” (LaFave, Criminal Law, supra, § 5.3, p. 467.) This rationale, however, “is strained when a defendant is confronted with taking the life of an innocent third person in the face of a threat on his own life. . . . When the defendant commits murder under duress, the resulting harm—i.e. the death of an innocent person—is at least as great as the threatened harm—i.e. the death of the defendant.” (U.S. v. LaFleur, supra, 971 F.2d at p. 205.) We might add that, when confronted with an apparent kill-an-innocent-person-or-be-killed situation, a person can always choose to resist. As a practical matter, death will rarely, if ever, inevitably result from a choice not to kill. The law should require people to choose to resist rather than kill an innocent person.

A state may, of course, modify the common law rule by statute. The Model Penal Code, for example, does not exclude murder from the duress *773defense. (See LaFave, Criminal Law, supra, § 5.3(b), p. 469, fn. 13.) Defendant contends the California Legislature modified the rule in the 19th century and made duress a defense to some murders.

Since its adoption in 1872, Penal Code section 263 has provided: “All persons are capable of committing crimes except those belonging to the following classes: [*¡[] . . . [f] . . . Persons (unless the crime be punishable with death) who committed the act or made the omission charged under threats of menaces sufficient to show that they had reasonable cause to and did believe their lives would be endangered if they refused.” Defendant contends the reference to a “crime . . . punishable with death” means that the crimes to which duress is not a defense include only those forms of murder that are punishable with death, and that these forms change with changes in death penalty law. In 1872, when the current Penal Code was adopted, all first degree murder was punishable with death. (People v. Green (1956) 47 Cal.2d 209, 218 [302 P.2d 307].) Today only first degree murder with special circumstances is so punishable. (§§ 190, subd. (a), 190.2, subd. (a).) Accordingly, defendant contends that today, duress is a defense to all murder except first degree murder with special circumstances. In effect, he argues that a killing under duress is either first degree murder with special circumstances or no crime at all. Because the prosecution did not allege special circumstances in this case, he continues, duress provides a full defense.

The sparse relevant California case law is inconclusive. In People v. Martin (1910) 13 Cal.App. 96, 102 [108 P. 1034], the court noted that “[i]t has ever been the rule that necessity is no excuse for killing an innocent person.” It cited but did not construe section 26 and ultimately found duress was not available under the facts because the person was not in immediate danger. (People v. Martin, supra, at pp. 102-103.) In both People v. Son (2000) 79 Cal.App.4th 224, 232-233 [93 Cal.Rptr.2d 871], and People v. Petro (1936) 13 Cal.App.2d 245, 247-248 [56 P.2d 984], the court cited section 26 and stated that duress was not available as a defense, but in each case the defendant had been convicted of a form of murder then punishable with death. In People v. Moran (1974) 39 Cal.App.3d 398 [114 Cal.Rptr. 413], the court stated in dicta, without analysis, that our decision in People v. Anderson (1972) 6 Cal.3d 628 [100 Cal.Rptr. 152, 493 P.2d 880], which had declared unconstitutional the death penalty law then in effect, “rendered meaningless the exception pertaining to capital crimes of Penal Code section 26,” and therefore “the defense of compulsion was available to defendant at the time of trial.” (People v. Moran, supra, at p. 417; see also Tapia v. Roe (9th Cir. 1999) 189 F.3d 1052, 1057 [dicta stating, without analysis, that *774under California law, “duress can excuse crimes, including murder without special circumstances”].) Citing section 26, Witkin states, “The defense of coercion is generally held unavailable where the crime is homicide; i.e., the threat even of death to oneself does not excuse the killing of another innocent person.” (1 Witkin & Epstein, Cal. Criminal Law (3d ed. 2000) Defenses, § 54, p. 390.)

In this case, the Court of Appeal concluded that, because all first degree murders were punishable with death in 1872, when section 26 was enacted, duress is not a defense to any first degree murder. In effect, the court concluded that section 26’s exception for a “crime . . . punishable with death” includes any crime punishable with death as of 1872 unaffected by later changes in death penalty law. As we explain, we agree, except that the Court of Appeal did not go back far enough in time. The exception for a crime punishable with death refers to a crime punishable with death as of 1850, not 1872. Section 26 derives from section 10 of the original 1850 Act Concerning Crimes and Punishments, which similarly excepted a crime “punishable with death” from the duress defense.4 Section 5, enacted as part of the original Penal Code in 1872 and unchanged since, provides: “The provisions of this Code, so far as they are substantially the same as existing statutes, must be construed as continuations thereof, and not as new enactments.” As relevant, section 26 was merely a continuation of the then existing 1850 statute. For this reason, we must “begin ... by inquiring into the intent of the Legislature in 1850 . . . .” (Keeler v. Superior Court (1970) 2 Cal.3d 619, 625 [87 Cal.Rptr. 481, 470 P.2d 617, 40 A.L.R.3d 420] [applying § 5 to § 187].)

In 1850, all murder was punishable with death. (Stats. 1850, ch. 99, § 21, p. 231.) Not until 1856 was murder divided into degrees, with death the punishment for first degree but not second degree murder. (Stats. 1856, ch. 139, § 2, p. 219.) This means that in 1850, duress was no defense to any murder. Thus, like many of California’s early penal statutes (see, e.g., People v. Davis (1998) 19 Cal.4th 301, 304, fn. 1 [79 Cal.Rptr.2d 295, 965 P.2d 1165] [theft]; Keeler v. Superior Court, supra, 2 Cal.3d at pp. 624-625 [murder]), section 26 effectively adopted the common law, although the Legislature used a problematic method in which to do so. The question before us is whether the exception for a crime punishable with death changes *775with every change in death penalty law, which would mean that by 1872, the exception included only first degree murder and today it includes only first degree murder with special circumstances. We think not, for several reasons.

We see no suggestion that the 1850, or any, Legislature intended the substantive law of duress to fluctuate with every change in death penalty law. That interpretation would create strange anomalies. For example, special circumstances were added to the murder laws in the 1970’s to conform California’s death penalty law to the requirements of the United States Constitution. (People v. Frierson (1979) 25 Cal.3d 142, 173-175 [158 Cal.Rptr. 281, 599 P.2d 587].) Defendant’s position would mean that constitutional death penalty jurisprudence would control the substantive law of duress, something we doubt the Legislature intended. Even more anomalously, defendant’s position would mean that when the Legislature created special circumstances to give California a valid death penalty law, it simultaneously expanded the circumstances in which someone may kill an innocent person.

The presence or absence of special circumstances has no relationship to whether duress should be a defense to killing an innocent person. For example, because a prior murder conviction is a special circumstance (§ 190.2, subd. (a)(2)), defendant’s position would mean that a person with a prior murder conviction who intentionally kills an innocent person under duress without premeditating commits no crime, but if the person premeditates, the killing is a capital crime. A person without the prior conviction committing the same premeditated killing would commit no crime unless some other special circumstance happened to attach, in which case the killing would be a capital crime. The Legislature can hardly have intended such random results.

Defendant’s interpretation would also force prosecutors to charge special circumstances to prevent duress from becoming a defense. As the Court of Appeal said in this case, “a rule making the availability of the duress defense turn on the manner in which prosecutorial discretion is exercised is potentially pernicious, and may do an unnecessary disservice to criminal defendants. The decision of whether to seek the death penalty . . . should not be encumbered by tactical considerations, such as blocking anticipated defenses. The charging decision must be governed by more sagacious considerations than whether the punishment charged will deprive a defendant of a defense to the crime.”

Other statutory provisions lead to the conclusion that, like the common law, section 26 excludes all murder from the duress defense. By itself, *776section 26 (or its 1850 predecessor) is not clear whether the reference to a “crime” punishable with death means the crime of murder in all its forms or only those forms of murder punishable with death. But section 26 does not exist by itself. A court does not determine the meaning of a statute from a single word or sentence but in context; provisions relating to the same subject must be harmonized to the extent possible. (Lungren v. Deukmejian (1988) 45 Cal.3d 727, 735 [248 Cal.Rptr. 115, 755 P.2d 299].) Accordingly, a statute should be construed with reference to the whole system of law of which it is a part. (Landrum v. Superior Court (1981) 30 Cal.3d 1, 14 [177 Cal.Rptr. 325, 634 P.2d 352].) When read in conjunction with other statutes, it becomes clear that section 26’s reference to a “crime” means the crime of murder in general and not just those forms of murder punishable with death at any given time.

The original 1850 statute defining murder provided that the “punishment of any person convicted of the crime of murder shall be death.” (Stats. 1850, ch. 99, § 21, p. 231, italics added.) The 1856 statute that divided murder into degrees, with death the punishment only for first degree murder—and thus, under defendant’s position, the statute that first abrogated the common law of duress—referred to determining “the degree of the crime.” (Stats. 1856, ch. 139, § 2, p. 219.) These statutes thus indicate that the “crime” was and remained “murder” even after it was divided into degrees.

Other statutes also indicate that the “crime” is “murder.” Section 951 provides guidelines as to how to charge a crime in an information or indictment. It states the pleading may simply “giv[e] the name of the crime, as murder, burglary, etc. . . .” (Italics added.) An accusatory pleading charging simply murder, without specifying the degree, is sufficient to charge any degree of murder. (In re Walker (1974) 10 Cal.3d 764, 781 [112 Cal.Rptr. 177, 518 P.2d 1129]; People v. Mendez (1945) 27 Cal.2d 20, 23 [161 P.2d 929].) Moreover, section 1157 provides that when “a defendant is convicted of a crime . . . which is distinguished into degrees,” the jury or court must find the degree of the crime. (Italics added.) Both sections 951 and 1157 were substantially identical in relevant respects in 1872, when section 26 was enacted. Section 1157 apparently has no antecedent before the 1872 Penal Code (but compare the 1856 law dividing murder into degrees, cited in the preceding paragraph [Stats. 1856, ch. 139, § 2, p. 219]), but section 951 derives from the 1850 law, which was similar as relevant here.5 In accordance with these statutes, the information in this case charged defendant simply with the crime of “murder.” The jury then found the crime to be first degree.

*777Thus, sections 951 and 1157 provide that the “crime” is “murder.” In light of those provisions, it is apparent that section 26 also refers to the “crime” of murder, not a particular form of murder. Indeed, we have explained that when, in 1856, the Legislature created the degrees of murder, it merely “divide[d] the crime of murder into two degrees . . . .” (People v. Dillon (1983) 34 Cal.3d 441, 466 [194 Cal.Rptr. 390, 668 P.2d 697].) Moreover, we have explained that a special circumstance, today necessary to permit the death penalty, is itself “not a ‘crime,’ and an element of a special circumstance thus is not an ‘element of a crime.’” (People v. Garcia (1984) 36 Cal.3d 539, 552 [205 Cal.Rptr. 265, 684 P.2d 826].) Even when special circumstances are alleged, the substantive crime remains murder. Murder is punishable with death, although not all forms of murder are so punishable. Here, defendant was properly charged simply with murder. Hence, duress was no defense to that charge.

Other provisions of the Penal Code bolster this conclusion. Sections 195 and 197, both enacted in 1872, describe those situations in which homicide is excusable or justifiable. If the homicide is excusable or justifiable under these provisions, the person must be acquitted. (§ 199.) The original 1850 law had provisions comparable to, although somewhat different from, sections 195 and 197. (Stats. 1850, ch. 99, §§ 29-36, p. 232.) None of these provisions mention duress as excusing or justifying homicide. It is unreasonable to suppose the Legislature carefully described the situations in which homicide is excusable or justifiable in those provisions, but also intended to create by oblique implication in section 26 (or any other statute) yet another form of excusable or justifiable homicide, especially when doing so would abrogate the settled common law rule that duress is no defense to killing an innocent person.

Moreover, no reason appears for the Legislature to have silently abrogated the common law rule. The reasons for the rule applied as well to 19th-century California as to Blackstone’s England. They apply, if anything, with greater force in California today. A person can always choose to resist rather than kill an innocent person. The law must encourage, even require, everyone to seek an alternative to killing. Crimes are often committed by more than one person; the criminal law must also, perhaps especially, deter those crimes. California today is tormented by gang violence. If duress is recognized as a defense to the killing of innocents, then a street or prison gang need only create an internal reign of terror and murder can be justified, at least by the actual killer. Persons who know they can claim duress will be *778more 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. Absent a stronger indication than the language of section 26, we do not believe the Legislature intended to remove the sanctions of the criminal law from the killing of an innocent even under duress.

Defendant cites In re Boyle (1974) 11 Cal.3d 165 [113 Cal.Rptr. 99, 520 P.2d 723] as supporting his position. Boyle interpreted former California Constitution, article I, section 6, which then provided, “All persons shall be bailable by sufficient sureties, unless for capital offenses when the proof is evident or the presumption great.” (Italics added.) We held that only when defendants are actually death eligible under the law applicable to that case are “capital offenses” involved within the meaning of this provision. (In re Boyle, supra, 11 Cal.3d at p. 167.) Other statutes involving procedural rules that depend on whether the case is a capital case have generally also been interpreted to apply only to actual capital cases under the applicable law. (E.g., former Pen. Code, § 1074, now Code Civ. Proc., § 229 [specifying grounds to challenge prospective jurors for cause]; Pen. Code, § 1095 [concerning the number of counsel permitted to argue]; Pen. Code, § 1272 [governing bail on appeal]; see Ex Parte Wolff (1880) 57 Cal. 94; see also 4 Witkin & Epstein, Cal. Criminal Law, supra, Pretrial Proceedings, § 82, pp. 281-282.) Defendant argues that because what is a capital offense for these purposes changes with changes in death penalty law, so too does the law of duress.

We do not believe that these procedural provisions govern the substantive law of duress. First, the procedural provisions generally use different terminology than section 26 or its predecessor, which refer to a “crime” punishable with death. The constitutional bail provision construed in Boyle referred to “capital offenses.” (In re Boyle, supra, 11 Cal.3d at p. 167.) Former Penal Code section 1074, subdivision 8, provided, “If the offense charged be punishable with death . . . .” (The current Code Civ. Proc., § 229, subd. (h), uses substantially equivalent language.) As enacted in 1872, Penal Code section 1095 provided, “If the indictment is for an offense punishable with death . . . .” (It is substantially identical today.) The statutes governing bail at trial referred and still refer to someone “charged” with an “offense punishable with death” or a “capital offense.” (Pen. Code, former § 1270, later § 1268a, now again § 1270; see also current § 1270.5.) The statute governing bail on appeal refers to “conviction of an offense not punishable with death . . . .” (Pen. Code, § 1272.) None of these provisions use the term “crime” and so shed no light on whether the 1850 or 1872 Legislature meant simply the “crime” of murder or only those forms of murder punishable with death at any given time. (An exception now exists. By a 1974 *779initiative, the electorate amended the constitutional bail provision so that it now refers to “[c]apital crimes,” not offenses. [Cal. Const., art. I, § 12, as enacted Nov. 5, 1974.] This 1974 change does not help us determine what the Legislature intended in 1850 [or 1872].)

Moreover, without deciding how all procedural provisions should be interpreted, we note that it generally makes sense for the procedures prescribed for capital cases to apply only to an actual capital case—hence, what is a capital case logically varies as the Legislature changes the death penalty law. But the same rationale does not apply to questions of substantive criminal law. It makes no sense, and creates only anomalies, for the substantive law of duress to fluctuate with every change in substantive death penalty law including, as with special circumstances, changes constitutionally compelled for reasons irrelevant to the law of duress.

Defendant and the concurring and dissenting opinion cite the principle of statutory construction that where a reference to another law is specific, the reference is to that law as it then existed and not as subsequently modified, but where the reference is general, “such as ... to a system or body of laws or to the general law relating to the subject in hand,” the reference is to the law as it may be changed from time to time. (Palermo v. Stockton Theatres, Inc. (1948) 32 Cal.2d 53, 58-59 [195 P.2d 1]; also quoted in In re Jovan B. (1993) 6 Cal.4th 801, 816 [25 Cal.Rptr.2d 428, 863 P.2d 673].) They argue that section 26’s reference to a “crime . . . punishable with death” is general rather than specific. The question is not so clear. Section 26 does not cite specific statutes, but the subject of crimes punishable with death is quite specific. It is, for example, far narrower than the reference that the Palermo court found to be specific for this purpose: “ ‘any treaty now existing between the government of the United States and the nation or country of which such alien is a citizen or subject.’ ” (Palermo v. Stockton Theatres, Inc., supra, 32 Cal.2d at pp. 59-60.) In any event, when the statutory words themselves “do not make clear whether [the statute] contemplates only a time-specific incorporation, ‘the determining factor will be . . . legislative intent. . . I” (In re Jovan B., supra, at p. 816.) Here, for the reasons stated, we believe the Legislature intended to refer to crimes punishable with death as they existed in 1850.

The concurring and dissenting opinion also argues that duress especially should be a defense to implied-malice second degree murder. It evokes the image of an innocent person who is forced at gunpoint by fleeing armed robbers to drive recklessly, and who is then charged with murder when a fatal accident ensues. In reality, the situation is not so grim. Although duress is not an affirmative defense to murder, the circumstances *780of duress would certainly be relevant to whether the evidence establishes the elements of implied malice minder. The reasons a person acted in a certain way, including threats of death, are highly relevant to whether the person acted with a conscious or wanton disregard for human life. (People v. Watson (1981) 30 Cal.3d 290, 300 [179 Cal.Rptr. 43, 637 P.2d 279].) This is not due to a special doctrine of duress but to the requirements of implied malice murder.

Defendant argues that the rule of lenity compels a different result. (See People v. Avery (2002) 27 Cal.4th 49, 57-58 [115 Cal.Rptr.2d 403, 38 P.3d 1].) We disagree. As explained in Avery, the rule of lenity compels courts to resolve true statutory ambiguities in a defendant’s favor, but this rule applies only if two reasonable interpretations of the statute stand in relative equipoise. Courts should not strain to interpret a penal statute in a defendant’s favor if they can fairly discern a contrary legislative intent. Here, for the reasons stated, the possible interpretations of section 26 do not stand in relative equipoise. Reasonably construed, section 26 preserves the common law rule that duress is not a defense to murder.

Defendant also cites legislative inaction in support of his position. The Legislature amended section 26 in 1976 and again in 1981, both times to delete a class of persons that the original statute had made incapable of committing crimes. (Stats. 1976, ch. 1181, § 1, p. 5285 [deleting the class of married women acting under threats by their husbands]; Stats. 1981, ch. 404, § 3, p. 1592 [deleting the class of “lunatics and insane persons”].) Defendant argues that because the Legislature did not also amend the provision relating to duress, it “made the decision that not only should not all murderers be eligible for the penalty of death, but not all should be deprived of the defense of duress.” Again, we disagree. “To be sure, where the Legislature amends a statute without altering a consistent and long-standing judicial interpretation of its operative language, courts generally indulge in a presumption that the Legislature has ratified that interpretation.” (People v. Escobar (1992) 3 Cal.4th 740, 750-751 [12 Cal.Rptr.2d 586, 837 P.2d 1100].) But legislative inaction is a weak indication of intent at best; it is generally more fruitful to examine what the Legislature has done rather than not done. (Id. at p. 751.) Here, there is no indication the Legislature even considered duress when it amended section 26 in other areas. Moreover, when it did amend the section, there was no long-standing and consistent judicial interpretation that duress was a defense to some but not all murder, only fleeting dicta in a single intermediate appellate court decision that duress was a defense to all murder when there was no death penalty.

Accordingly, we conclude that duress is not a defense to any form of murder.

*781B. Whether Duress Can Reduce Murder to a Lesser Crime

Defendant also argues that even if duress is not a complete defense to murder, at least it reduces the crime to manslaughter by negating malice.

“Manslaughter is ‘the unlawful killing of a human being without malice.’ (§ 192.) A defendant lacks malice and is guilty of voluntary manslaughter in ‘limited, explicitly defined circumstances: either when the defendant acts in a “sudden quarrel or heat of passion” (§ 192, subd. (a)), or when the defendant kills in “unreasonable self-defense”—the unreasonable but good faith belief in having to act in self-defense (see In re Christian S. (1994) 7 Cal.4th 768 [30 Cal.Rptr.2d 33, 872 P.2d 574]; People v. Flannel [(1979)] 25 Cal.3d 668 [160 Cal.Rptr. 84, 603 P.2d 1]).’ ” (People v. Blakeley (2000) 23 Cal.4th 82, 87-88 [96 Cal.Rptr.2d 451, 999 P.2d 675].) Neither of these two circumstances describes the killing of an innocent person under duress. Nevertheless, defendant argues that we should make duress a third way in which a defendant lacks malice.

No California case has recognized the killing of an innocent person under duress as a form of manslaughter. Some states have provided by statute that a killing under duress is manslaughter. (See Perkins & Boyce, Criminal Law, supra, ch. 9, § 2, p. 1058 & fn. 18; LaFave, Criminal Law, supra, § 7.11(c), pp. 719-720.) But California has not done so. The cases that have considered the question absent a statute have generally rejected the argument that duress can reduce murder to manslaughter. (E.g., U.S. v. LaFleur, supra, 971 F.2d at p. 206; State v. Nargashian (1904) 26 R.I. 299 [58 A. 953, 955] [often cited as a leading case on the subject]; contra, Wentworth v. State (1975) 29 Md.App. 110 [349 A.2d 421, 428].) Relying heavily on People v. Flannel, supra, 25 Cal.3d 668, and legal commentators, defendant argues that this court should do what the Legislature has not done: recognize a killing under duress as a form of manslaughter.

Some commentators do, indeed, argue that fear for one’s own life, although not justifying the killing of an innocent, should at least mitigate murder to manslaughter. “[T]he holding that a killing in such an extremity is necessarily murder has not been adequately considered. While moral considerations require the rejection of any claim of excuse, they do not require that the mitigation of the circumstances be overlooked. A killing in such an extremity is far removed from cold-blooded murder, and should be held to be manslaughter.” (Perkins & Boyce, Criminal Law, supra, ch. 9, § 2, p. 1058.) “[I]t is arguable that [a defendant’s] crime should be manslaughter rather than murder, on the theory that the pressure upon him, although not enough to justify his act, should serve at least to mitigate it to something less than murder.” (LaFave, Criminal Law, supra, § 7.11(c), p. 719.)

*782This court has never decided the question. (See People v. Bacigalupo (1991) 1 Cal.4th 103, 124-125 [2 Cal.Rptr.2d 335, 820 P.2d 559] [concluding only that any error in not giving duress instructions was harmless]; People v. Beardslee (1991) 53 Cal.3d 68, 86 [279 Cal.Rptr. 276, 806 P.2d 1311] [not deciding “what relevance, if any,” People v. Flannel, supra, 25 Cal.3d 668, has in the duress context].) The problem with making a killing under duress a form of manslaughter is that no statute so provides. The difference between murder and manslaughter “is that murder includes, but manslaughter lacks, the element of malice.” (People v. Rios (2000) 23 Cal.4th 450, 460 [97 Cal.Rptr.2d 512, 2 P.3d 1066].) Both forms of voluntary manslaughter currently recognized—provocation and imperfect self-defense—are grounded in statutory language. The provocation form of manslaughter is obviously based on statute. Section 192 “specifies] that an unlawful killing that lacks malice because committed ‘upon a sudden quarrel or heat of passion’ is voluntary manslaughter.” (People v. Rios, supra, 23 Cal.4th at p. 461; see also § 188 [malice is “implied, when no considerable provocation appears”].)

Although less obviously, the imperfect self-defense form of manslaughter is also based on statute. People v. Flannel, supra, 25 Cal.3d 668, the leading case developing the doctrine, “had two independent premises: (1) the notion of mental capacity . . . and (2) a grounding in both well-developed common law and in the statutory requirement of malice (Pen. Code, § 187).” (In re Christian S., supra, 1 Cal.4th at p. 111.) In 1981, the Legislature abolished diminished capacity, thus making the first premise no longer valid. (Ibid.) But the second premise remains valid. (Ibid.) Express malice exists “when there is manifested a deliberate intention unlawfully to take away the life of a fellow creature.” (§ 188, italics added.) A killing in self-defense is lawful. Hence, a person who actually, albeit unreasonably, believes it is necessary to kill in self-defense intends to kill lawfully, not unlawfully. “A person who actually believes in the need for self-defense necessarily believes he is acting lawfully.” (In re Christian S., supra, 1 Cal.4th at p. 778.) Because express malice requires an intent to kill unlawfully, a killing in the belief that one is acting lawfully is not malicious. The statutory definition of implied malice does not contain similar language, but we have extended the imperfect self-defense rationale to any killing that would otherwise have malice, whether express or implied. “[T]here is no valid reason to distinguish between those killings that, absent unreasonable self-defense, would be murder with express malice, and those killings that, absent unreasonable self-defense, would be murder with implied malice.” (People v. Blakeley, supra, 23 Cal.4th at p. 89.)

Defendant’s reliance on People v. Flannel, supra, 25 Cal.3d 668, and its recognition of unreasonable self-defense as a form of manslaughter, is thus *783misplaced. A killing in self-defense is lawful, but a killing of an innocent person under duress is unlawful. In contrast to a person killing in imperfect self-defense, a person who kills an innocent believing it necessary to save the killer’s own life intends to kill unlawfully, not lawfully. Nothing in the statutes negates malice in that situation. Recognizing killing under duress as manslaughter would create a new form of manslaughter, which is for the Legislature, not courts, to do.

When this court developed the doctrine of diminished capacity as a form of manslaughter, we rejected the argument that we were improperly creating a nonstatutory crime: “In People v. Conley [(1966)] 64 Cal.2d 310 [49 Cal.Rptr. 815, 411 P.2d 911], we pointed out that section 192 had been adopted before the concept of diminished capacity had been developed and therefore that section’s enumeration of nonmalicious criminal homicides could not be considered exclusive. We did not thereby create a ‘non statutory crime,’ nor could we do so consistently with Penal Code section 6. Rather we gave effect to the statutory definition of manslaughter by recognizing that factors other than sudden quarrel or heat of passion may render a person incapable of harboring malice.” (People v. Mosher (1969) 1 Cal.3d 379, 385, fn. 1 [82 Cal.Rptr. 379, 461 P.2d 659].) This justification of diminished capacity does not apply to duress. Sections 26, 187, and 192, all enacted in 1872 and unchanged since as far as duress is concerned, postdate the development of the law that duress does not justify killing an innocent person. Moreover, the Legislature has now abolished the doctrine of diminished capacity. (In re Christian S., supra, 7 Cal.4th at p. 774; People v. Saille (1991) 54 Cal.3d 1103 [2 Cal.Rptr.2d 364, 820 P.2d 588].) Thus, we see no basis on which to create a new, nonstatutory, form of voluntary manslaughter.

Two other circumstances also point to this conclusion. First, section 190.3 lists factors a jury should consider in deciding whether to impose the death penalty when the defendant has been convicted of first degree murder with special circumstances. Among the factors is whether the defendant “acted under extreme duress . . . .” (§ 190.3, factor (g).) This provision implies that a person acting even “under extreme duress” may be convicted of first degree murder with special circumstances, an implication inconsistent with the notion that duress reduces what would otherwise be murder to manslaughter. Second, recognizing that duress could reduce murder to manslaughter would create a conundrum with no obvious solution. Manslaughter has always been a separate crime from murder. Both section 187, defining murder, and section 192, defining manslaughter, were enacted in 1872. They derive from the 1850 law. (Stats. 1850, ch. 99, §§ 19-26, p. 231.) But manslaughter has never been punishable by death. If a killing under duress *784were a form of manslaughter, it would seem that the same duress would then provide a defense to manslaughter. Thus, duress would become a complete defense to murder by a two-step process: first, duress would reduce murder to manslaughter; second, duress would supply a defense to that manslaughter. These problems are for the Legislature to sort out if it should choose to do so.

We recognize that policy arguments can be made that a killing out of fear for one’s own life, although not justified, should be a crime less than the same killing without such fear. On the other hand, because duress can often arise in a criminal gang context, the Legislature might be reluctant to do anything to reduce the current law’s deterrent effect on gang violence. These policy questions are for the Legislature, not a court, to decide. Accordingly, we reject defendant’s argument that we should create a new form of voluntary manslaughter. His arguments are better directed to the Legislature.

Defendant also argues that, at least, duress can negate premeditation and deliberation, thus resulting in second degree and not first degree murder. We agree that a killing under duress, like any killing, may or may not be premeditated, depending on the circumstances. If a person obeys an order to kill without reflection, the jury might find no premeditation and thus convict of second degree murder. As with implied malice murder, this circumstance is not due to a special doctrine of duress but to the legal requirements of first degree murder. The trial court instructed the jury on the requirements for first degree murder. It specifically instructed that a killing “upon a sudden heat of passion or other condition precluding the idea of deliberation” would not be premeditated first degree murder. (Italics added.) Here, the jury found premeditation. In some other case, it might not. It is for the jury to decide. But, unless and until the Legislature decides otherwise, a malicious, premeditated killing, even under duress, is first degree murder.

On a final point, we note, contrary to the Attorney General’s argument, that duress can, in effect, provide a defense to murder on a felony-murder theory by negating the underlying felony. (See People v. Anderson (1991) 233 Cal.App.3d 1646, 1666-1667, fn. 18 [285 Cal.Rptr. 523]; Perkins & Boyce, Criminal Law, supra, ch. 9, § 2, pp. 1058-1059; LaFave, Criminal Law, supra, § 5.3(b), pp. 468-469.) If one is not guilty of the underlying felony due to duress, one cannot be guilty of felony murder based on that felony. Here, for example, the court instructed the jury that duress could be a defense to the kidnapping charge. It also instructed on felony murder with kidnapping as the underlying felony. If the jury had found defendant not guilty of kidnapping due to duress (it did not), it could not have found that he killed during the commission of that kidnapping. Defendant could not have killed during the perpetration of a crime of which he was innocent.

*785Our conclusion that duress is no defense to murder makes it unnecessary to decide whether the evidence would have warranted duress instructions in this case.

III. Conclusion

We affirm the judgment of the Court of Appeal.

George, C. J., Baxter, J., Werdegar, J., Brown, J., and Moreno, J., concurred.

KENNARD, J., Concurring and Dissenting.

Under California law, the death penalty may be imposed for the crime of murder only if the murder is of the first degree and committed with one or more of the statutorily defined special circumstances. (Pen. Code, §§ 190, 190.2.) California law allows a person accused of crime to defend against any criminal charge on the ground that the defendant acted under duress “unless the crime be punishable with death.” (Id., § 26, subd. Six.) Here, defendant contends that, because the death penalty may not be imposed for second degree murder, the trial court erred in not instructing the jury that duress, if proven, was a complete defense to second degree murder.

The majority concludes that the trial court did not err because, under California law, duress is not a defense to second degree murder, or to any form of murder, whether or not the particular form of murder is punishable by death. I disagree. Applying established rules of statutory construction, I would hold that duress is unavailable as a defense only when the offense is capital murder—that is, first degree murder with a special circumstance— and that duress is available as a defense to all noncapital forms of murder, including murder in the second degree. Because no substantial evidence of duress was presented here, however, I agree with the majority that defendant was not entitled to have the trial court instruct the jury on that defense.

I

When deciding what a statute means, courts seek to determine what effect the legislative body that enacted it intended to achieve. (People v. Trevino (2001) 26 Cal.4th 237, 240 [109 Cal.Rptr.2d 567, 27 P.3d 283].) To make this determination, courts begin with the text of the statute, because the words used are the best evidence of legislative intent. (Id. at p. 241; see also Holloway v. United States (1999) 526 U.S. 1, 6 [119 S.Ct. 966, 969, 143 L.Ed.2d 1].) Unless there is reason to believe that a special or technical meaning was intended, courts give the words of the statute their usual, *786ordinary meaning. (People v. Trevino, supra, at p. 241.) If the statutory text, viewed in light of the ordinary meaning of its words, is not ambiguous, courts usually accept this meaning as the proper construction of the statute without further inquiry. (People v. Gardeley (1996) 14 Cal.4th .605, 621 [59 Cal.Rptr.2d 356, 927 P.2d 713].) If the statutory text is ambiguous, however, courts examine the context of the statute and consider its legislative history and the historical circumstances of its enactment to arrive at the interpretation that is most likely to reflect legislative intent. (Pacific Gas & Electric Co. v. County of Stanislaus (1997) 16 Cal.4th 1143, 1152 [69 Cal.Rptr.2d 329, 947 P.2d 291].)

Here, the provision to be construed, subdivision Six of Penal Code section 26 (section 26), includes among the persons who are incapable of committing crimes “[pjersons (unless the crime be punishable with death) who committed the act or made the omission charged under threats or menaces sufficient to show that they had reasonable cause to and did believe their lives would be endangered if they refused.” (Italics added.) As applied to the crime of murder, the italicized phrase is ambiguous because some but not all forms of murder are punishable by death.

The crime of murder is divided into first degree murder and second degree murder. (Pen. Code, § 189.) Second degree murder is never punishable by death, and first degree murder is punishable by death only if committed under one or more special circumstances. (Id., §§ 190, 190.2; see People v. Bacigalupo (1993) 6 Cal.4th 457, 467-470 [24 Cal.Rptr.2d 808, 862 P.2d 808] [describing California death penalty law].) This court has stated that “[i]n the California scheme the special circumstance is not just an aggravating factor: it is a fact or set of facts, found beyond reasonable doubt . . . which changes the crime from one punishable by imprisonment of 25 years to life to one which must be punished either by death or life imprisonment without possibility of parole.” (People v. Superior Court (Engert) (1982) 31 Cal.3d 797, 803 [183 Cal.Rptr. 800, 647 P.2d 76], italics added.) Thus, it is the pleading and proof of special circumstances that make murder a crime punishable by death. Considering only the ordinary meaning of the words appearing in section 26, making duress unavailable as a defense to a “crime . . . punishable by death,” this could mean either, as the majority concludes, that duress is unavailable as a defense to any form of murder, or, as I conclude, that duress is unavailable only when the crime is capital murder— that is, first degree murder with at least one special circumstance.

This ambiguity is resolved by applying two well-established rules of statutory construction. The first of these rules is used to determine whether a statutory provision mentioned in another provision is incorporated only in its *787contemporary form or instead as it might later be changed from time to time. The rule is this: If the reference to the other law is specific, as to a particular code provision by section number, then the referenced provision is incorporated only as it then existed, but if instead the reference is general, “ ‘such as . . . to a system or body of laws or to the general law relating to the subject in hand, the referring statute takes the law or laws referred to not only in their contemporary form, but also as they may be changed from time to time . . . . [Citations.]’” (Palmero v. Stockton Theatres, Inc. (1948) 32 Cal.2d 53, 59 [195 P.2d 1]; accord, People v. Cooper (2002) 27 Cal.4th 38, 44 [115 Cal.Rptr.2d 219, 37 P.3d 403]; Kirk v. Rhoads (1873) 46 Cal. 398, 402; Pearce v. Director, Office of Workers’, etc. (9th Cir. 1979) 603 F.2d 763, 767; 2B Singer, Sutherland Statutes and Statutory Construction (6th ed. 2000) § 51.07, p. 270.)

Section 26, making duress a defense “unless the crime be punishable with death,” implicitly incorporates by reference other statutory provisions defining crimes and prescribing their punishments. Section 26’s reference to other statutory provisions is general rather than specific. A specific reference would identify by name or by the Penal Code section the crimes to which duress is not a defense. By instead referring generally to “a crime not punishable with death,” the Legislature expressed an intention to incorporate the general body of law relating to capital punishment as it might change from time to time.

The question remains, however, whether, as applied to the crime of murder, the phrase “crime . . . punishable with death” in section 26 means murder in all its forms or only capital murder.

This question is best answered by applying another settled rule of statutory construction, long accepted by both this court and the United States Supreme Court: “A term appearing in several places in a statutory text is generally read the same way each time it appears.” (Ratzlaf v. U.S. (1994) 510 U.S. 135, 143 [114 S.Ct. 655, 660, 126 L.Ed.2d 615]; accord, People v. McCart (1982) 32 Cal.3d 338, 344 [185 Cal.Rptr. 284, 649 P.2d 926]; Hoag v. Howard (1880) 55 Cal. 564, 565.) Here, the Legislature adopted the original Penal Code of 1872 as a single statutory text, and references to crimes “punishable by death” appear in several places in that text. Until now, this court has consistently interpreted this phrase as excluding all noncapital forms of murder.

For example, section 1095 of the original Penal Code provided that “[i]f the indictment is for an offense punishable with death, two counsel on each side may argue the cause to the jury.” This provision has since been *788amended to eliminate the reference to indictment, but its substance remains unchanged. This court has construed Penal Code section 1095 as allowing two counsel to argue for the defendant only in capital cases. (People v. Darling (1962) 58 Cal.2d 15, 19 [22 Cal.Rptr. 484, 372 P.2d 316]; People v. Ah Wee (1874) 48 Cal. 236, 238.) Section 1270 of the original Penal Code provided that “[a] defendant charged with an offense punishable with death cannot be admitted to bail, when the proof of his guilt is evident or the presumption thereof great. ...” In 1880, this court held that a defendant charged with murder was entitled to bail when the evidence showed that the offense was at most second degree murder, because second degree murder was not a capital crime. (Ex Parte Wolff (1880) 57 Cal. 94; see also Ex parte Brown (1885) 68 Cal. 176 [8 P. 829]; 4 Witkin & Epstein, Cal. Criminal Law (3d ed. 2000) Pretrial Proceedings, § 82, p. 281.) Section 1272 of the original Penal Code provides for bail on appeal “[a]fter conviction of an offense not punishable with death . . . .” This court has construed section 1272 as giving the court discretion to grant bail on appeal when the defendant is convicted of a noncapital offense like second degree murder. (See In re Podesto (1976) 15 Cal.3d 921, 929 [127 Cal.Rptr. 97, 544 P.2d 1297]; Ex parte Brown, supra, 68 Cal. at p. 182; People v. Superior Court (Roam) (1999) 69 Cal.App.4th 1220, 1230 [82 Cal.Rptr.2d 119].)

Thus, two established rules of statutory construction resolve the ambiguity in section 26 concerning the availability of duress as a defense to murder. In making duress unavailable for a “crime . . . punishable with death,” the Legislature intended to bar the defense only as to those murders for which capital punishment was authorized as punishment when the murder was committed. Under current law, the category includes only first degree murders with special circumstances. This conclusion is consistent with every published decision that has in any way spoken to the issue. (See Tapia v. Roe (9th Cir. 1999) 189 F.3d 1052, 1057 [stating that “[a]s defined by California law, duress can excuse crimes, including murder without special circumstances . . .”]; People v. Petro (1936) 13 Cal.App.2d 245, 248 [56 P.2d 984] [stating that duress is unavailable “where the crime charged may be punished with death, and the evidence clearly shows that the death penalty may be imposed”]; see also People v. Beardslee (1991) 53 Cal.3d 68, 85 [279 Cal.Rptr. 276, 806 P.2d 1311] [quoting with apparent approval a standard jury instruction stating that duress is unavailable “ ‘[w]here a person commits first degree murder with a special circumstance’ ”]; People v. Moran (1974) 39 Cal.App.3d 398, 416 [114 Cal.Rptr. 413] [holding evidence failed to prove duress as a matter of law, thereby implying duress can be a defense to noncapital murder]; People v. Son (2000) 79 Cal.App.4th 224, 232, fn. 9 [93 Cal.Rptr.2d 871], quoting People v. Petro, supra, at p. 248.)

*789II

To resolve the ambiguity in section 26’s reference to a “crime . . . punishable by death,” the majority uses an entirely different reasoning process. The majority traces the history of section 26. Although section 26 was enacted in 1872 as part of the original Penal Code, the majority construes it as a continuation of an even earlier provision, enacted in 1850 as section 10 of the Act Concerning Crimes and Punishments (the 1850 Act).

The majority asserts that the 1850 Legislature intended to codify a common law exception to the defense of duress and to make duress forever unavailable as a defense to the crimes that in 1850 were punishable with death, regardless of any later changes in laws relating to capital punishment. I disagree with these assertions.

The majority is wrong in asserting that section 10 of the 1850 Act merely codified a common law exception to the defense of duress for the killing of an innocent person. The majority quotes only the last sentence of the following explanation by Blackstone: “Another species of compulsion or necessity is what our law calls duress per minas (by threats), or threats and menaces, which induce a fear of death or other bodily harm, and which take away for that reason the guilt of many crimes and misdemeanors, at least before the human tribunal. But then that fear, which compels a man to do an unwarrantable action, ought to be just and well-grounded; such, ‘qui cadere possit in virum constantem, non timidum et meticulosum (as might seize a courageous man not timid or fearful),’ as Bracton expresses it, in the words of the civil law. Therefore, in time of war or rebellion, a man may be justified in doing many treasonable acts by compulsion of the enemy or rebels, which would admit of no excuse in time of peace. This, however, seems only, or at least principally, to hold as to positive crimes, so created by the laws of society, and which, therefore, society may excuse; but not as to natural offenses, so declared by the law of God, wherein human magistrates are only the executioners of divine punishment. And, therefore, though a man be violently assaulted, and hath no other possible means of escaping death, but by killing an innocent person, this fear and force shall not acquit him of murder; for he ought rather to die himself than escape by the murder of an innocent.” (2 Jones’s Blackstone (1916) p. 2197, fiis. omitted.)

Thus, as Blackstone explained, under the common law duress was a defense to treason but not to murder because the former was merely a “positive crime” established by the laws of society while the latter was a “natural offense” established by the law of God. But California law has never drawn this distinction between positive and natural crimes, and the *7901850 Legislature, by specifying death as the punishment for both treason and murder, made duress unavailable as a defense to either. “A code section is presumed to be a continuation of the common law only when it and the common law are substantially the same.” (People v. Valentine (1946) 28 Cal.2d 121, 142 [169 P.2d 1], italics added.) Because the availability of the duress defense under the 1850 Act was not substantially the same as under the common law, there can be no presumption that section 10 of the 1850 Act is a continuation of the common law.

Nor do I agree with the majority that the 1850 Legislature intended duress to remain unavailable as a defense to all those crimes, and only those crimes, that in 1850 were punishable with death, regardless of any later changes in laws relating to capital punishment. As explained above, a general rather than specific statutory reference to other law incorporates the referenced law as it may change over time. (Palmero v. Stockton Theatres, Inc., supra, 32 Cal.2d at p. 59.) The language of section 10 of the 1850 Act making duress a defense to “a crime not punishable with death,” like the language of current section 26 making duress a defense “unless the crime be punishable with death,” is a general rather than a specific reference to other laws concerning capital punishment. Had the 1850 Legislature wanted to exclude the effects of later changes in the scope of capital punishment, it need only have referred by name to the three crimes that the 1850 Act made punishable by death—murder, treason, and perjury procuring an innocent person’s execution—or to the sections of the 1850 Act defining those crimes.

Attempting to cast doubt on this conclusion, the majority asserts that section 26’s reference to a “crime . . . punishable with death” may be considered a specific reference because it is “far narrower” than the reference found to be specific in Palermo v. Stockton Theatres, Inc., supra, 32 Cal.2d 53. (Maj. opn., ante, at p. 779.) At issue there was a provision of the California Alien Land Act (Stats. 1921, p. lxxxiii) as amended in 1923 (Stats. 1923, p. 1021), under which a corporation owned by Japanese nationals could lease land “ ‘to the extent and for the purposes prescribed by any treaty now existing between the . . . United States’ and Japan.” (Palermo v. Stockton Theatres, Inc, supra, at p. 55.) This court said that the question whether this reference to “any treaty now existing” is general or specific “might, as an abstract proposition, admit of different opinions” (id. at p. 59), but that this court was “constrained to hold that reference is specific” because there was “grave doubt whether our Legislature could constitutionally delegate to the treaty-making authority of the United States the right and power thus directly to control our local legislation with respect to future acts” (id. at p. 60).

Section 26’s reference to a “crime . . . punishable by death” is in no way similar to the Alien Land Act’s reference to “any treaty now existing” *791between the United States and Japan. Most obviously, section 26 does not refer to a crime now punishable with death, but simply to a crime punishable by death. The word “now” is a strong indication that the Legislature, when it adopted and amended the Alien Land Act, was referring to treaties then in existence and not to treaties that might later come into force. In addition, the reference to a “treaty” is a reference to a specific legislative act rather to a general body of law. By comparison, section 26 does not refer to a “statute” or “section” or “law” prescribing the penalty of death but instead, more generally and simply, to a “crime . . . punishable with death.” Finally, recognizing that section 26’s reference is general rather than specific does not raise any grave doubts about its validity. Thus, upon examination, this court’s decision in Palermo v. Stockton Theatres, Inc., supra, 32 Cal.2d 53, provides no support for the majority.

The majority makes no effort to compare section 26’s reference language with other reference language that the courts of this state have found to be general rather than specific. For example, in 1873 this court concluded that a reference in a city’s act of incorporation to “all the provisions of law in force regulating elections” was a general reference incorporating state election law as it might change over time. (Kirk v. Rhoads, supra, 46 Cal. 398, 402-403.) More recently, this court concluded that the reference in Welfare and Institutions Code section 726 to the “maximum term of imprisonment” for an offense was a general reference to the determinate sentencing law. (In re Jovan B. (1993) 6 Cal.4th 801, 816 [25 Cal.Rptr.2d 428, 863 P.2d 673].) And the Court of Appeal, in an opinion authored by Justice Chin, concluded that the reference in Welfare and Institutions Code section 3201, subdivision (c), to the “good behavior and participation credit provisions of Article 2.5 (commencing with Section 2930) of Chapter 7 of Title 1 of Part 3 of the Penal Code” was a general reference to a system or body of laws. (People v. Eddy (1995) 32 Cal.App.4th 1098, 1106 [38 Cal.Rptr.2d 563].) Finally, this court has construed references to crimes “punishable with death” in other provisions of the Penal Code as referring to the capital punishment laws in effect when the crime was committed, not when the provision was first enacted. (People v. Darling, supra, 58 Cal.2d at p. 19; Ex Parte Wolff, supra, 57 Cal. 94; In re Podesto, supra, 15 Cal.3d at p. 929.) Examination of these other decisions further confirms that section 26’s reference to a “crime . . . punishable with death” is general rather than specific.

The majority broadly asserts that the 1850 Legislature must have intended to exclude the effects of later changes in capital punishment law because there is no reason why the Legislature would have wanted the availability of the duress defense to vary over time as the Legislature expanded or contracted the category of crimes punishable with death.

*792The majority’s assertion is belied by the very words of the provision this court is construing. In 1850, when it enacted the 1850 Act, and again in 1872, when it enacted the original Penal Code, the Legislature declared duress to be a defense to all crimes except those “punishable with death.” This language reflects the Legislature’s decision to link the availability of the duress defense with the laws prescribing death as a punishment for crime.

The Legislature’s decisions whether to allow a duress defense and whether to authorize the death penalty both reflect societal judgments about the seriousness of the offense in question. In the first instance, the societal judgment is whether an offense-is so serious that an individual is expected to forfeit his or her life rather than commit it. In the second instance, the societal judgment is whether an offense is so serious that a person who has committed it should forfeit his or her life. The Legislature could reasonably have concluded that the same small category of highly serious offenses that warranted capital punishment could not be excused by a claim of duress. Also, if duress is not a defense to a noncapital crime, then the law has created a situation in which one is better off breaking the law than obeying it because by committing the crime one risks only a prison sentence, while by refusing to commit the crime one risks death or very serious injury from the person imposing the duress. The Legislature may well have concluded that a just system of laws does not place those who obey the law in a worse position than those who break it.

The majority acknowledges that under an established rule of statutory construction a term appearing in several places in a statutory text should be given the same meaning throughout. (See Ratzlaf v. U.S., supra, 510 U.S. at p. 143 [114 S.Ct. at p. 660].) But the majority offers two reasons for not applying the rule here: because section 26 refers to a “crime” that is “punishable with death” whereas other provisions of the Penal Code refer to an “offense” that is so punishable, and because the other provisions define the scope of procedural rights rather than substantive defenses. Neither of these suggested reasons is persuasive.

It makes no difference that the other provisions refer to “offenses” punishable with death rather than to “crimes” punishable with death. This court has stated that “ ‘the word “offense” and the word “crime” hav[e] the same legal significance.’ ” (Doble v. Superior Court (1925) 197 Cal. 556, 571 [241 P. 852]; see also Pen. Code, § 15 [giving a single definition for the words crime and public offense].) The rule of statutory construction that phrases repeated in a statute are presumed to have the same meaning throughout applies not only when the words are identical but also when the words are *793equivalent. (Cohen v. De la Cruz (1998) 523 U.S. 213, 220 [118 S.Ct. 1212, 1217, 140 L.Ed.2d 341].)

Nor is there any support for the majority’s distinction between procedural and substantive purposes of the references in different provisions of the Penal Code to a crime “punishable by death.” The majority bases that distinction on its assumption that although it is reasonable and logical to distinguish capital and noncapital forms of murder for purposes of procedural rights, it is not logical and reasonable to distinguish capital and noncapital forms of murder for purposes of defining when the defense of duress is available and when it is not available. As I have explained, there is nothing unreasonable or illogical about linking the availability of the duress defense to the seriousness of the charge as reflected in the laws governing capital punishment.

Ill

The majority appears to argue that this court must construe section 26 as not permitting the defense of duress to any form of murder because sound considerations of public policy require that no amount of threats or menaces can justify the taking of innocent human life. In my view, such public policy considerations have a very limited role to play in the process of statutory construction. In general, this court may not substitute its public policy views for those of the Legislature under the guise of statutory construction. When the language of a statute is ambiguous, however, this court may prefer a resolution of the ambiguity that avoids absurd consequences or that no reasonable legislative body could have intended. (People v. Rubalcava (2000) 23 Cal.4th 322, 328 [96 Cal.Rptr.2d 735, 1 P.3d 52].)

Here, a construction of section 26 that makes the defense of duress unavailable as to capital murder but available as to noncapital murder does not produce results that are absurd or that no reasonable legislative body could have intended. On the contrary, the question of the proper boundaries or limits on the defense of duress is one on which reasonable minds can differ and have differed, and the construction of section 26 that I have arrived at by applying well-established rules of statutory construction represents a moderate approach in line with mainstream legal thinking.

For example, the Model Penal Code allows the defense of duress to be asserted against all criminal charges, including murder. (Model Pen. Code, § 2.09.) Under the Model Penal Code’s formulation of the defense, duress is a defense whenever “a person of reasonable firmness in [the defendant’s] situation would have been unable to resist.” (Id., § 209, subd. (1).) In the *794official comment to this provision, the American Law Institute explains that “persons of reasonable firmness surely break at different points depending on the stakes that are involved”; it further observes “that even homicide may sometimes be the product of coercion that is truly irresistible, that danger to a loved one may have greater impact on a person of reasonable firmness than a danger to himself, and, finally, that long and wasting pressure may break down resistance more effectively than a threat of immediate destruction.” (Model Pen. Code & Commentaries, com. 3 to § 209, p. 376.)

The states of Connecticut, New York, North Dakota, Tennessee, Texas, and Utah have adopted statutes similar to the Model Penal Code allowing duress as a defense to homicide. (See Rutkowski, A Coercion Defense for the Street Gang Criminal: Plugging the Moral Gap in Existing Law (1996) 10 Notre Dame J.L. Ethics and Pub. Pol’y 137, 205, fn. 332.) Also, the laws of most civil law countries—including Belgium, Greece, the Netherlands, Germany, Switzerland and Sweden—recognize duress as a defense to any crime, including murder. (Swaak-Goldman, International Decision: Prosecutor v. Erdemovic, Judgement (1998) 92 Am. J. Internat. L. 282, 284, fn. 14.)

As a leading commentator on the law of duress has stated, “[d]uress always is a matter of line drawing about which reasonable minds can differ” (Dressier, Exegesis of the Law of Duress: Justifying the Excuse and Searching for Its Proper Limits (1989) 62 So.Cal. L.Rev. 1331, 1367). Indeed, the weight of scholarly commentary favors the Model Penal Code’s definition of duress and its abolition of the common law murder exception to the duress defense. (See Alexander, A Unified Excuse of Preemptive Self Protection (1999) 74 Notre Dame L.Rev. 1475, 1488; Dienstag, Federenko v. United States: War Crimes, the Defense of Duress, and American Nationality Law (1982) 82 Colum. L.Rev. 120, 142, fn. 72; Finkelstein, On the Obligation of the State to Extend a Right of Self-defense to Its Citizens (1999) 147 U.Pa. L.Rev. 1361, 1382, fn. 53; Finkelstein, Duress: A Philosophical Account of the Defense in Law (1995) 37 Ariz. L.Rev. 251, 256 [“the requirement that duress not be pleaded as a defense to murder makes little sense under either of the prevalent rationales for the defense”]; Hill, Moralized Theories of Coercion: A Critical Analysis (1997) 74 Denv. U. L.Rev. 907, 912, fn. 24; Newman & Weitzer, Duress, Free Will and the Criminal Law (1957) 30 So.Cal. L.Rev. 313, 334 [“[t]he defense of duress should be open to all persons regardless of the nature of the crime charge”]; O’Regan, Duress and Murder (1972) 35 Mod. L.Rev. 596, 603-604; Reed, Duress and Provocation as Excuses to Murder: Salutary Lessons from Recent Anglo-American Jurisprudence (1996) 6 J. Transnat'l L. and Pol’y 51, 59; Yee, Prosecutor v. Erdemovic Judgment: A Questionable Milestone for the International Criminal Tribunal for the Former Yugoslavia, Appeals of Chamber October 7, 1997 (1997) 26 Ga. J. Int’l & Comp. L. 263, 296-297.)

*795I do not here suggest that the Legislature should adopt the Model Penal Code approach, under which duress is available as a defense to any crime, including capital murder. I suggest only that a construction of section 26 under which duress is a defense to noncapital murder, but not to capital murder, represents a moderate, middle-of-the road approach that a legislative body plausibly could have adopted to resolve a difficult and complex issue on which reasonable minds may differ.

The majority’s discussion appears to assume that murder necessarily involves a choice to take an innocent life. Second degree murder, however, does not require an intent to kill. A person who engages in a provocative act (see People v. Nieto Benitez (1992) 4 Cal.4th 91, 107-108 [13 Cal.Rptr.2d 864, 840 P.2d 969]) or who drives with great recklessness (see People v. Watson (1981) 30 Cal.3d 290, 297-299 [179 Cal.Rptr. 43, 637 P.2d 279]) may be convicted of second degree murder under an implied malice theory. Yet, under the majority’s construction, section 26 does not allow a duress defense even in situations of unintentional implied malice killings.

Imagine, for example, this scenario: 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 ¿river’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. If the driver complies, and an accident ensues resulting in the death of an innocent person, the driver could be prosecuted for second degree murder on an implied malice theory, and, under the majority’s construction of section 26, the driver could not assert duress as a defense. I doubt that our Legislature intended to withhold the defense of duress under these or similar circumstances.

The majority expresses concern that if defendants can assert a duress defense to noncapital murder, the defense may be used to excuse killings by gang members. But most if not all gang-motivated killings are capital murder because it is a special circumstance that “the defendant intentionally killed the victim while the defendant was an active participant in a criminal street gang . . . and the murder was carried out to further the activities of the criminal street gang.” (Pen. Code, § 190.2, subd. (a)(22).) Moreover, 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. Because persons who join criminal street gangs or terrorist organizations can anticipate pressure to commit crimes, the defense would usually be unavailable to those individuals. (See State v. Scott (1992) 250 Kan. 350 [827 P.2d 733, 739-740] [defendant who voluntarily *796joined drug-selling organization barred from asserting duress when coerced into torturing fellow gang member]; Rutkowski, A Coercion Defense for the Street Gang Criminal: Plugging the Moral Gap in Existing Law, supra, 10 Notre Dame J.L. Ethics & Pub. Pol’y at p. 186, fn. 239 [“Most jurisdictions hold that intentionally placing oneself in the position where one would likely be the subject of coercion will defeat a duress defense.”].)

IV

Because, as I have concluded, duress is a defense to noncapital murder, a defendant charged with noncapital murder is entitled to a jury instruction on the defense if there is substantial evidence to support it. This means “ ‘evidence from which a jury composed of reasonable [people] could have concluded that there was [duress] sufficient to negate the requisite criminal intent.’” (People v. Flannel (1979) 25 Cal.3d 668, 685 [160 Cal.Rptr. 84, 603 P.2d 1], quoting People v. Carr (1972) 8 Cal.3d 287, 294 [104 Cal.Rptr. 705, 502 P.2d 513].) Under section 26, the defense of duress is only available to defendants who present evidence of threats or menace sufficient to show a reasonable and actual belief that their life was presently and immediately endangered if participation was refused. (People v. Perez (1973) 9 Cal.3d 651, 657 [108 Cal.Rptr. 474, 510 P.2d 1026]; People v. Quinlan (1970) 8 Cal.App.3d 1063, 1068 [88 Cal.Rptr. 125].)

Here, defendant failed to present substantial evidence of duress. He testified that Ron Kiem told him, “Give me the rock or I’ll beat the shit out of you” and that he complied because he feared that Kiem, a stronger and bigger man, would beat him severely. Yet, Kiem did not threaten him with death, and there was no history of violence between the two men despite their long acquaintance. In addition, defendant voluntarily joined Kiem in the initial attack on the victim, thereby placing himself in the situation where he should have anticipated that Kiem would pressure him to commit further acts of violence. Throughout the day, defendant made no use of opportunities to leave Kiem and to obtain help for the victim.

Because defendant presented insufficient evidence of duress to warrant a jury instruction on that defense, I agree with the majority that the Court of Appeal properly affirmed defendant’s conviction.

Conclusion

Under California law, duress is a defense to any criminal charge “unless the crime be punishable with death.” (§ 26.) According to the majority, this means that duress is never a defense to murder, even though California law *797restricts the death penalty to first degree murders with special circumstances. The majority reaches its result largely by applying a maxim—no amount of duress excuses the taking of innocent human life—that it treats as an infallible solution to a profound moral quandary. I cannot agree, not only because the majority’s maxim is not a fair reading of the far different statutory language, but also because the majority oversimplifies a highly complex issue. I would adopt a statutory construction more consistent with the ordinary meaning of the statutory text, barring the defense of duress only as to capital murder and other capital crimes, and leaving to the jury in all other situations the question whether duress excuses an otherwise criminal act.

Appellant’s petition for a rehearing ws denied October 2, 2002.

10.3.7 The Queen v. Dudley and Stephens 10.3.7 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.

10.4 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.

10.5 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. A hypothetical defendant with a delusional belief that he is the object of a murderous plot, who kills one of the alleged plotters after hallucinating that he hears the plotter's foul threats, is crazy. Such cases are rare, but clearly exist; the influence of extreme craziness on some criminal behavior cannot be denied.


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


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

...

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


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

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

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 is about how the criminal justice system deals with people who have a severe mental illness. Mental illness is a conundrum for the courts. People with schizophrenia, for example, have a profound loss of ability to think, plan, and make decisions because their brains don't work correctly. Some may have a delusion that their life is in danger and commit a crime to protect themselves. Others may hear over-powering voices commanding them to do something wrong. Are such people competent to stand trial or agree to a plea bargain? Do they meet the legal standard of intent to commit a crime? Does their illness excuse them or mitigate the severity ofpunishment? What should happen to them if convicted, or if not convicted?

Because no clear answers exist to these questions, states have taken different legal paths with mental illness. Minnesota, for instance, uses a legal test for judging whether someone is not guilty by reason of insanity that came from a 19th century British case. Other states, however, have adopted newer tests for insanity or have added the verdict "guilty but mentally ill." Some states allow a defendant to claim mental illness as a mitigating factor; others do not. A few states have abolished the insanity defense. Usually these changes reflect shifting public sentiments about whether mentally ill criminals should be punished or treated for their illness, and about how best to protect the public from mentally ill criminals.

New discoveries about mental illness might also cause us to re-examine the treatment of mentally ill people in criminal justice. Until recently, the biological basis of serious mental illness was virtually unknown. Now, high-tech brain scans show the exact areas of a sick brain that are not working properly, and biochemists have discovered some of the chemical pathways in the brain that malfunction in mental illness. These discoveries have increased public awareness ofmental illness and helped reduce the social stigma that is often attached to those who suffer these illnesses....

Severe Mental Illness

Authorities distinguish severe or serious mental illnesses, which are physical diseases of the brain, from less serious mental conditions that are usually psychological but not physical in origin.! Serious mental illness includes schizophrenia, bipolar (manic- depressive) illness, and major depression. Obsessive-compulsive disorder and panic attacks are often added to the list. Together, these illnesses are more common than cancer or heart disease and, over a lifetime, affect one in five families. About 20 percent of the nation's hospital beds are taken by people with a mental illness. Severe brain disorders have both hereditary and environmental causes that are not yet fully understood.

Serious mental illness does not include mental retardation, hyperactivity, multiple personality, personality or character disorder, psychopathic personality, sexual psychopathology, pedophilia, addiction, or similar conditions, although research points increasingly to the likelihood that some of these, too, are related to brain disorders.

Serious mental illness disrupts a person's ability to think, feel, and relate to other people and the physical environment. Many people with a severe mental illness lose their jobs, become estranged from their families, are homeless, or commit suicide. About 160,000 people with severe mental illnesses are in the nation's jails and prisons.

Schizophrenia is the most chronic and disabling mental illness, affecting 1 percent of the population. It usually strikes people in their late teens or early twenties, although victims may have subtle signs ofbrain dysfunction in childhood. Typical symptoms are hallucinations, delusions, and bizarre thinking, collectively referred to as psychosis. People with the illness may believe that their thoughts are under control of someone else or coming from outside their head. Poor brain functioning also causes a breakdown of social relationships, poor communication skills, and lack of motivation. Schizophrenia has different subtypes; one is paranoid schizophrenia, in which the victim has intense fears or feelings of persecution accompanying hallucinations. Although many people with schizophrenia are helped by drug therapy and social assistance, few recover from the disease.

Bipolar illness and depression affect a person's mood more than thinking ability. In bipolar illness, a person's mood cycles between extreme depression, normal mood, and extreme euphoria or mania. In the manic stage a person may have grandiose delusions or psychotic thought processes similar to those of schizophrenia and may abuse illegal drugs or alcohol. At the other extreme, a person who is extremely depressed may feel life is hopeless and have difficulty concentrating or making decisions; suicide is a strong possibility. Mood disorders can usually be treated successfully with drugs and electroconvulsive therapy, but the illness may return intermittently.

Mental Illness and Crime

Crimes by mentally ill people are sometimes very sensational, which may give the public the misperception that mentally ill people often commit violent crimes. Researchers have closely examined the link between mental illness and violent crime. They have found that most people who commit violent crimes are not mentally ill and most mentally ill people do not commit crimes. One study found that about 3 percent of the variation in violent crime in the United States is related to mental illness.

In general, mentally ill people are more likely to be victims of violent crime than perpetrators. But research has pointed to a small group of people with severe mental illness who are at higher risk for violent behavior.  People with psychoses - bizarre thinking, hallucinations, and delusions - as found in schizophrenia and, less often, in mood disorders, are more likely to commit violent crimes than people with no mental disorder. This has been reported in many research studies

A connection with violence also applies to people with some neurological brain diseases, such as Huntington's chorea, and to people who have had head injuries that damaged the brain.

A recent study of mentally ill people looked at their use of medication and alcohol in relation to violence. Results showed that when mentally ill people stop taking their medicine and abuse alcohol or illegal drugs, they are more likely to be violent. Violent behavior is also more likely among people with paranoia who hear command voices telling them to kill someone, or who believe their mind is dominated by forces beyond their control. The victims of mentally ill people are often members of their own family.

Frequency of Insanity Pleas and Acquittals

For centuries the law has encompassed the widely held belief that some people are too mentally deranged to know what they are doing and, therefore, cannot be held morally responsible for a crime. This principle came from English common law, which presumed that an illegal act was not a crime unless performed with criminal intent. In a criminal trial, a mentally ill person might be found not guilty by reason of insanity, despite proof that the person had committed a crime.

Insanity pleas and acquittals are relatively uncommon. An eight-state study of 581,000 indictments found 8,979 insanity pleas - a rate of 1.5 percent,6 A different study of insanity cases in four states (California, Georgia, Montana, and New York) showed that of 586,000 felony indictments, only 5,300 (0.9%) had a plea of insanity by the defendant,? And of the 5,300 insanity pleas, there were 1,385 acquittals by reason of insanity - 0.23 percent of indictments and 26 percent of insanity pleas. A study of adult defendants represented by the Public Defender's office in New Jersey found 52 insanity pleas for 32,000 defendants (less than 0.2%) and of the 52 cases, 15 were successful. 

The connection between serious mental illness and successful insanity pleas is well documented.  The eight-state study of almost 2,600 criminal defendants who were found not guilty by reason of insanity (NGRl) reported that 68 percent had schizophrenia and 16 percent had a severe mood disorder - a total of 84 percent with a severe mental illness.  The others were mentally retarded (5%) had another illness (5%), a  personality disorder (3.5%), or were chemically dependent. The crimes they had been charged with were murder (150/0), physical assault (38%), other violent crimes (12%), robbery (7%), property crimes (18%), and other minor crimes (10%).

Mentall Illness in [ ] Prisons

... A report by the federal Bureau of Justice Statistics estimated that 10 percent of inmates in the nation's state prisons and 10 percent of those in local jails currently have a mental illness; another 6 percent have previously had a mental condition. These data are based on self-reporting by inmates in a national survey. About 19 percent of inmates reported that they have taken a prescribed medication for a "mental or emotional condition." Mental illness was reported more often by female prisoners than males, and more often by white prisoners than other races. Alcohol and drug use were more strongly associated with mentally ill inmates than others, and nearly 6 of 10 mentally ill inmates reported that they were under the influence of alcohol or drugs at the time of their current offense. Mentally ill inmates in state prisons serve longer than average sentences because they are more frequently involved in fights and have more disciplinary problems than other inmates.

Legal Dimensions of Mental/Illness and Crime

The large numbers of mentally ill inmates in jails and prisons show that the legal concept of "insanity" is not the same as a medical diagnosis of mental illness, such as schizophrenia or paranoia. In fact, few people who are mentally ill meet t4e legal standard of insanity. The courts use one of several legal tests - not medical tests - to determine whether people meet the standard of insanity that would excuse them from guilt for a crime.

 

[..]

We first review the most common tests for insanity, then other dimensions of legal process.

McNaughtan test

In 1843 Daniel McNaughtan shot and killed the secretary of the British Prime Minister by mistake while intending to kill the Prime Minister. At trial, McNaughtan was found "not guilty, on the ground of insanity." Public outcry and royal concern about the acquittal led a panel ofjustices to establish a standard for insanity, which is still used by British courts. The test was meant to be used by a jury after hearing medical testimony from prosecution and defense experts. Under this rule a defendant was presumed sane unless the defense proved that:

"At the time of committing 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, ifhe did know it, that he did not know what he was doing was wrong."

About half of American states use the test [or a modified version, as in New York]. Notice, however, that it does not excuse mentally ill people who knew what they did was wrong but were unable to control their actions. To allow for this possibility, several states have added an exculpatory provision for a person who could not contro

 

American Law Institute test

In 1972 the Court of Appeals for the District of Columbia endorsed a Model Penal Code standard, which the American Law Institute had proposed in the 1950s. Under the ALI test,

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 the law.

The ALI test is less stringent than McNaughtan because it does not require a total lack of self-control or inability to know right from wrong, but only that someone with mental illness "lacks substantial capacity" to act and reason normally. The ALI test is used in about 20 states, and it was used in federal courts until 1984, when a more stringent test was adopted.

Appreciation test

In 1984 the appreciation test was made law in all federal courts by act of Congress.  A few states have adopted similar laws. These changes were largely a response to public dismay when John Hinckley was found NGRI after his attempted assassination of President Reagan. Federallaw requires that a defendant prove by clear and convincing evidence 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."

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.   The requirement of "unable to appreciate" is tougher than ALI's "lacks substantial capacity."

No test

Three states have abolished the insanity defense: Utah, Montana, and Idaho.  [Note, more states have abolished the test since then]. In these states, however, defendants can offer evidence at trial that they lacked the mental capacity to form the intent to commit the crime they are charged with. The prosecution must rebut this claim beyond a reasonable doubt.

Civil commitment test

Sometimes mentally ill persons who commit crimes go through the civil commitment process instead of being prosecuted. This option might be pursued by the county attorney after an arrest for a misdemeanor, or a mentally ill person might be diverted into the medical system without being arrested or charged for the crime. Mentally ill persons can be committed to supervision and care by the state in a state hospital when they are a danger to themselves or others. (Commitment is also possible for mentally ill persons who are unable to care for themselves.) Behavior that meets the test of dangerousness for civil commitment overlaps with behavior that might be prosecuted as a criminal offense.

Several decades ago, the standards for civil commitment were less stringent than today, and people with a severe mental illness were often committed to care in a state hospital before they would have met today's test of dangerousness. Now, restrictive commitment laws make it more likely that people with severe mental illness are caught up in the criminal justice system. This is a well recognized and often debated national phenomenon. 

 

10.5.4 M'Naughten's Case 10.5.4 M'Naughten's Case

DANIEL M'NAGHTEN'S CASE.

May 26, June 19, 1843.


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

Murder-Evidence-lnsanity.

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

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

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

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

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

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

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

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

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

Verdict, Not guilty, on the ground of insanity.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

10.5.6 18 U.S.C.A. § 17. Federal Insanity defense 10.5.6 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.

10.5.9 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 AN END TO INSANITY: RECASTING THE ROLE OF MENTAL DISABILITY IN CRIMINAL CASES, Christopher Slobogin 10.5.11 AN END TO INSANITY: RECASTING THE ROLE OF MENTAL DISABILITY IN CRIMINAL CASES, Christopher Slobogin

 

ABSTRACT

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

[...]

 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

 

10.5.12 The King v. Porter 10.5.12 The King v. Porter

HIGH COURT OF AUSTRALIA

THE KING against PORTER.

Criminal Law - Insanity - Temporary - Charge of Murder.

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

TRIAL on Indictment.

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

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

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

P. V. Storkey, for the Crown.

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

DIXON J., in summing up, said :-

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

You will now retire to consider your verdict.

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

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

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 Galloway v. State 10.5.15 Galloway v. State

938 N.E.2d 699 (2010)

Gregory L. GALLOWAY, Appellant (Defendant below),
v.
STATE of Indiana, Appellee (Plaintiff below).

No. 33S01-1004-CR-163.

Supreme Court of Indiana.

December 22, 2010.

 

[703] Stacy R. Uliana, Indianapolis, IN, Attorney for Appellant.

Gregory F. Zoeller, Attorney General of Indiana, Stephen Creason, Angela N. Sanchez, Deputy Attorneys General, Indianapolis, IN, Attorneys for Appellee.

On Petition to Transfer from the Indiana Court of Appeals, No. 33A01-0906-CR-280

 

SULLIVAN, Justice.

Despite nonconflicting expert and lay opinion testimony that defendant Gregory Galloway was insane, the trial court rejected the insanity defense after concluding that the defendant could continue to be a danger to society because of an inadequate State mental health system. This was insufficient to sustain the trial court's finding because there was no probative evidence from which an inference of sanity could be drawn.

Background

 

The defendant, Gregory Galloway, was found guilty but mentally ill for the October, 2007, murder[1] of his grandmother, Eva B. Groves. The defendant raised the "insanity defense"[2] at his bench trial. The trial court found that although the defendant had a long history of mental illness, he did not meet his burden of proving that he was "insane" at the time of the crime.

The trial court concluded, based on the expert testimony and the numerous medical records introduced into evidence, that the defendant suffers from bipolar disorder, an Axis I psychiatric disorder.[3] This evidence showed that prior to his killing [704] his grandmother, the defendant had had a long history of mental illness, and he had had many "contacts" with the mental health system.[4] He had been diagnosed with bipolar disorder by up to twenty different physicians, often with accompanying psychotic and manic symptoms. He had also been voluntarily and involuntarily detained or committed for short-term treatment more than fifteen times.

The defendant was first diagnosed with an Axis I mental illness in 1989, when he was a senior in high school. By 2000, his mental health became more problematic; he had difficulty holding a steady job, he struggled with substance abuse,[5] and his marriage failed. Despite these difficulties, he had very few encounters with law enforcement that were not traffic or mental illness related. After his divorce, the defendant moved in with his grandmother, who lived next door to his parents. He had a great relationship with his grandmother; "he loved [her] very much and considered [her to be] his best friend." Appellant's Br. 3; see also Appellant's App. 183; Tr. 40-41, 83-84, 175.

Since 2001, the defendant experienced psychotic episodes with increased frequency and severity. See Galloway v. State, 920 N.E.2d 711, 713-14 (Ind.Ct.App.2010) (chronicling the defendant's psychotic episodes). For instance, in February, 2002, he was involuntarily committed after his parents found him with a gun and looking for ammunition — he planned to kill his grandmother because she was the devil and he was Jesus Christ, and he planned to kill his neighbor because he believed his neighbor was controlling his son. Then in June, 2004, the defendant drove to Dayton, Ohio, after God told him to leave his job; he was hospitalized in Ohio after being found in a stranger's driveway looking for the perfect wife for the son of God. In July, 2005, the defendant was admitted to a hospital after crashing his car during a car chase with his mother; he believed she was the devil and was chasing her so that he could kill her, and he believed he was protected because he was an alien.

In the year leading up to the murder, the defendant had at least twelve contacts with the mental health system. In January, 2007, he pulled over on the side of the interstate near Lafayette, Indiana, got out of his car, and began erratically yelling and talking to himself. Because the air temperature was 27 degrees, concerned bystanders called the police. When the medics arrived, he was sitting in the back of a police car; his skin was cold to the touch, and there were ice particles in the facial hair under his nose. At the emergency room, the defendant was uncooperative, mumbling to himself, acting aggressively toward staff, and reacting to audio and visual hallucinations; he was admitted to a Lafayette hospital for a few days.

In March, 2007, after refusing to eat or sleep for one week because he was fearful of something bad happening to him, the defendant lacerated his stomach while trying [705] to get into his grandmother's house through a window after he was accidentally locked out. At the emergency room, he was attending to internal stimuli, having difficulty concentrating, and experiencing auditory hallucinations and paranoid delusions. He was transferred to an Anderson hospital, where he was confused and disoriented, detached from reality, and in a catatonic-like state; he was discharged after a few days. Several days later, the defendant was involuntarily committed after the court found him to be a danger to himself because he did not know who or where he was, he had been staying awake all night, he had been trying to sleep with his parents in their bed because he believed someone was in his room, and he was hearing voices; again, he was released after a few days.

In June, 2007, the defendant was admitted to a hospital in Tennessee after police found him driving a semi-truck full of gasoline, threatening to blow up a gas station; he was confused and disoriented, responding to internal stimuli and laughing inappropriately, experiencing racing thoughts and auditory hallucinations, and had not slept for three days. He was discharged from the Tennessee hospital within days. A few days later, he went to counseling where he was delusional about raping a girl (there was no evidence that any rape had occurred). He did not take medications prescribed for him in Tennessee.

In the days leading up to the murder, the defendant heard voices and thought that his grandmother's trailer was haunted. To abate his fears, he slept on the floor next to his parents' bed while holding his mother's hand. The night before the murder, he drank a pint of whiskey, finishing around 3:00 or 4:00 a.m., and did not sleep.

The defendant reported feeling strange on October, 26, 2007, the morning of the murder. He was supposed to pick up his friend from work, but he refused to do so because he was feeling strange. When the friend called to ask about the ride, the defendant uncharacteristically yelled at him. The defendant also spoke with his father that morning, and during their conversation, his father became concerned because his son was not acting normal and seemed to be in another world. The defendant told the police that during this conversation, his father was telling him through coded verbal messages that he needed to kill his grandmother.

During the early afternoon, the defendant went shopping with his grandmother and his aunt (the victim's daughter). They shopped for only fifteen minutes and then went to lunch, though the defendant did not eat much. While eating lunch, the defendant began thinking that his grandmother was against him and "that life should be more colorful" and that it would be if she were gone-life would be better again once he killed his grandmother. Appellant's App. 194. He believed that she was the devil, that she was out to get him, and that he needed to kill her to restore his powers. As they sat there eating, he was hoping that his grandmother would die. After lunch, they stopped at a gas station, where the defendant pumped their gas and purchased cigarettes. They returned home a little more than an hour after they had originally left; there had been no arguments, and nothing unusual had occurred during their outing. On the way home, the defendant's grandmother remarked that it had been a wonderful day.

Once they arrived home, the defendant went next door to his parents' house while his grandmother and aunt sat on a couch inside the grandmother's trailer and talked. While at his parents' house, the defendant began believing that he was [706] reading his father's mind; his father was communicating telepathically, telling the defendant that he needed to kill his grandmother "to feel good again[,] to see like the bright lights and the flowers and the pretty things." Appellant's App. 194.

The defendant then went back to his grandmother's house and sat on the porch swing. Shortly thereafter, the defendant's fifteen-year-old son, Cory, arrived and said "hi" to his dad. Cory had seen his father cycle from normal to psychotic before and could tell that something was not quite right. At the same time, the defendant's father, who had come over from next door, was entering the grandmother's house.

The defendant entered the house at the same time as his father and went to his bedroom, grabbed his knife, and came back down the hallway to the living room, where his aunt and grandmother were sitting on a couch. According to his aunt, the defendant had a "wild look" in his eye that she had seen before — it was the look he gets right before he "lose[s] it." Tr. 60. With his father, son, and aunt in the room, and with no plan or motive, the defendant jumped on top of his grandmother, straddled her, and stabbed her in the chest while yelling "you're going to die, I told you, you're the devil." Tr. 50, 74-75. His father yelled, "What have you done!," and the defendant responded that she "was going to kill me." Tr. 86.

As soon as everyone started screaming, the defendant realized that he did not feel better like he thought he would, and he hoped that his grandmother would survive. His father was able to commandeer the knife and store it in a safe place until the police arrived. As the defendant's son applied pressure to the wound, the defendant told his grandmother that he loved her and that he did not mean to do it. He pleaded for the paramedics to save his grandmother's life. When the police arrived, he told them that he loved his grandmother and would not hurt her. When the police were getting ready to take him to the police station, he did not understand what was happening and asked where he was going. But he was cooperative during the police interrogation, which occurred two-and-a-half hours later.

Prior to trial, the defendant was examined by three experts: Dr. Parker, a psychiatrist engaged by the defense; Dr. Coons, a court-appointed psychiatrist; and Dr. Davidson, a court-appointed psychologist. All three experts agreed that he suffers from a mental illness, suffers paranoid delusions (a symptom of severe psychosis), and has suffered from intermittent psychosis since 1999. Dr. Parker and Dr. Coons both testified (and submitted in their preliminary reports) that the defendant was legally insane at the time of the murder. They both opined that he was jolted out of his delusion when he realized that he did not feel better and had just harmed someone he loved. The psychologist, Dr. Davidson, submitted a preliminary opinion to the court that the defendant was sane at the time of the murder. The basis for his opinion was that it was unlikely the defendant would have been insane only for the few moments that it took for him to grab the knife and stab his grandmother. But while testifying, Dr. Davidson withdrew his opinion in light of additional facts that he did not have when he submitted his preliminary opinion. Among other things, Dr. Davidson was unaware that the defendant had been experiencing delusions and responding to internal stimuli in the days leading up to the murder and on the day of the murder. Dr. Davidson also was unaware that eyewitnesses heard the defendant call his grandmother the devil as he stabbed her. After being presented with all of the facts while on the witness stand, Dr. Davidson [707] ultimately testified that he could not give an opinion on the matter.

After the close of trial, but before a verdict was rendered, the defendant stopped taking his medication and deteriorated to the point where he was found incompetent to stand trial. He regained competence after treatment at a state mental hospital.

On May 4, 2009, the trial court found the defendant guilty but mentally ill for murdering his grandmother, rejecting the insanity defense. Finding that none of the experts or lay witnesses testified that the defendant was sane, the trial court based its conclusion on demeanor evidence. Specifically, the court found that the defendant and his grandmother had interacted with each other and other people on the day of the murder, he had committed the offense in front of several family members and made no effort to conceal his crime, he had not attempted to evade police, and he had cooperated with law enforcement. Additionally, the defendant had been alert and oriented throughout the trial proceedings and had been able to assist counsel. The court also found that the defendant's "psychotic episodes increased in duration and frequency" and that he "lacks insight into the need for his prescribed medication." Appellant's App. 255. The court then found that the defendant had "repeatedly discontinued medication because of side effect complaints and would self medicate" by abusing alcohol and illicit drugs. Id. Furthermore, there was "no evidence that this pattern of conduct [would] not continue if the Defendant [were] hospitalized and released, posing a danger to himself and others in the community." Id. The court concluded that the defendant "is in need of long term stabilizing treatment in a secure facility." Id.

During the sentencing hearing, on June 2, 2009, the trial court indicated that the preferred route would be to commit the defendant to a mental health facility for the rest of his life but concluded that route was not an option.

There is absolutely no evidence that this mental illness is [feigned], or malingered, or not accurate and there is no dispute as to that. But quite frankly, this is a tragedy that's ripped apart a family and there is very little this Court can do to remedy that. This case is as much a trial of our mental health system as it is of a man. For 20 years, Mr. Galloway's family has sought long-standing permanent treatment for Mr. Galloway, and the fact that there may not be the funds available to pay for the mentally ill in the State of Indiana does not mean that we don't have mentally ill people in the State of Indiana. . . . [T]his is difficult for everyone[,] and I can pick apart about 20 mental health records that were submitted to this Court where I would have begged a mental health provider to keep Mr. Galloway long term in a civil commitment, but they have not. Mr. Galloway is able to take his medication when forced to do so in a very structured setting, but we have a 20-year history which shows when he is not in that setting that he will not take his medication, that he will continue to have episodes[,] and most concerning for this Court is that he will endanger others and himself. One of my options is not to say that he's committed for the rest of his life in a mental health institution. That would have been easy, but that's not one of my choices. . . . I cannot in good conscience allow someone with the severe mental health illness to return to the community[,] and that is what has made this case so very difficult.

 

[708] Tr. 389-91. After considering the aggravating and mitigating factors under Weeks v. State, 697 N.E.2d 28, 30 (Ind.1998), the court sentenced the defendant to 50 years imprisonment.

The Court of Appeals affirmed the defendant's conviction, holding that this Court's decision in Thompson v. State, 804 N.E.2d 1146 (Ind.2004), compelled such a result. Galloway, 920 N.E.2d at 720. The Court of Appeals interpreted Thompson as holding that where a defendant appeals claiming that his insanity defense should have prevailed, the conviction must be affirmed "if there is any evidence whatsoever supporting the verdict, no matter how slight." Id.

The defendant sought, and we granted, transfer, Galloway v. State, 929 N.E.2d 790 (Ind.2010) (table), thereby vacating the opinion of the Court of Appeals, Ind. Appellate Rule 58(A).

Discussion

 

I

 

To sustain a conviction, the State must prove each element of the charged offense beyond a reasonable doubt. See I.C. § 35-41-4-1(a); see also In re Winship, 397 U.S. 358, 364, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970). Even where the State meets this burden, a defendant in Indiana can avoid criminal responsibility by successfully raising and establishing the "insanity defense."[6] See I.C. § 35-41-3-6(a). A successful insanity defense results in the defendant being found not responsible by reason of insanity ("NRI"). See I.C. §§ 35-36-2-3, -4.

The defendant bears the burden of establishing the insanity defense by a preponderance of the evidence.[7] I.C. § 35-41-4-1(b). To meet this burden, the defendant must establish both (1) that he or she suffers from a mental illness and (2) that the mental illness rendered him or her unable to appreciate the wrongfulness of his or her conduct at the time of the offense.[8] See I.C. § 35-41-3-6(a). Thus, mental illness alone is not sufficient to relieve criminal responsibility. See Weeks v. State, 697 N.E.2d 28, 29 (Ind.1998). Rather, a defendant who is mentally ill but fails to establish that he or she was unable to appreciate the wrongfulness of his or her conduct may be found guilty but mentally ill ("GBMI").[9] See, e.g., Taylor v. State, 440 N.E.2d 1109, 1112 (Ind.1982).

[709] Whether a defendant appreciated the wrongfulness of his or her conduct at the time of the offense is a question for the trier of fact. Thompson v. State, 804 N.E.2d 1146, 1149 (Ind.2004). Indiana Code section 35-36-2-2 provides for the use of expert testimony to assist the trier of fact in determining the defendant's insanity.[10] Such expert testimony, however, is merely advisory, and even unanimous expert testimony is not conclusive on the issue of sanity. Cate v. State, 644 N.E.2d 546, 547 (Ind.1994). The trier of fact is free to disregard the unanimous testimony of experts and rely on conflicting testimony by lay witnesses. Barany v. State, 658 N.E.2d 60, 63 (Ind.1995). And even if there is no conflicting lay testimony, the trier of fact is free to disregard or discredit the expert testimony. Thompson, 804 N.E.2d at 1149.

Because it is the trier of fact's province to weigh the evidence and assess witness credibility, a finding that a defendant was not insane at the time of the offense warrants substantial deference from reviewing courts. See Barany, 658 N.E.2d at 63. A defendant claiming the insanity defense should have prevailed at trial faces a heavy burden because he or she "is in the position of one appealing from a negative judgment." Thompson, 804 N.E.2d at 1149. A court on review will not reweigh evidence, reassess witness credibility, or disturb reasonable inferences made by the trier of fact (even though "more reasonable" inferences could have been made). Id. at 1149-50.

Although this standard of review is deferential, it is not impossible, nor can it be. The Indiana Constitution guarantees "in all cases an absolute right to one appeal." Ind. Const. art. VII, § 6. An impossible standard of review under which appellate courts merely "rubber stamp" the fact finder's determinations, no matter how unreasonable, would raise serious constitutional concerns because it would make the right to an appeal illusory. Cf. Serino v. State, 798 N.E.2d 852, 856 (Ind.2003) (standard of review for sentencing claims so high that it risked impinging upon the [710] constitutional right to appeal). As such, this Court has long held that where the defendant claims the insanity defense should have prevailed, the conviction will be set aside "when the evidence is without conflict and leads only to the conclusion that the defendant was insane when the crime was committed." Thompson, 804 N.E.2d at 1149 (emphasis added); see also Barany, 658 N.E.2d at 63-64 (citation omitted).

II

 

We have on several occasions addressed a defendant's claim that his or her insanity defense should have prevailed at trial because of nonconflicting expert testimony that the defendant was insane at the time of the crime. Each time we have upheld the conviction(s) because the evidence as to the defendant's insanity was in conflict and thus sufficient to sustain the trier of fact's determination of sanity. See, e.g., Thompson, 804 N.E.2d 1146; Gambill v. State, 675 N.E.2d 668 (Ind.1996); Barany, 658 N.E.2d 60; Cate, 644 N.E.2d 546; Rogers v. State, 514 N.E.2d 1259 (Ind. 1987); Green v. State, 469 N.E.2d 1169 (Ind.1984). That is, in each of the cases where there has been nonconflicting expert opinion testimony that a defendant was insane, there has been other sufficient probative evidence from which a conflicting inference of sanity reasonably could be drawn. See Thompson, 804 N.E.2d at 1152 (Sullivan, J., concurring).

A

 

The strongest showing of an evidentiary conflict occurs where the experts disagree as to whether the defendant was insane at the time of the offense. Our cases have consistently held that conflicting credible expert testimony is sufficiently probative of sanity. See, e.g., Robinette v. State, 741 N.E.2d 1162, 1167 (Ind.2001); Weeks, 697 N.E.2d at 29; Metzler v. State, 540 N.E.2d 606, 610 (Ind.1989); Smith v. State, 502 N.E.2d 485, 490 (Ind.1987); Reed v. State, 479 N.E.2d 1248, 1253 (Ind.1985). Such a conflict arises where one or several experts opine that the defendant was insane at the time of the offense, while one or several other experts opine that the defendant was sane at the time of the offense.

A-1

 

A conflict does not exist, however, where one or several experts testify that the defendant was insane at the time of the offense and another expert testifies that he or she is unable to give an opinion as to the defendant's sanity at the time of the offense.

In Green, three of four experts testified that the defendant was insane at the time of the crime. 469 N.E.2d at 1172. The fourth expert testified that the defendant met only one of the requirements of insanity under then-applicable law, but he could not form an opinion as to the second. Id. Even though there was no actual conflict in the expert testimony, we affirmed the conviction because the "other evidence" presented to the jury was sufficient to support its finding that the defendant was sane at the time of the crime.[11] Id. Similarly, in Rogers, the court-appointed expert [711] testified that the defendant was insane at the time of the crime, while the defendant's expert testified that he could not render an opinion on the matter. 514 N.E.2d at 1261. Although there was no actual conflict in the experts' testimony, this Court once again affirmed the conviction based on the conflict presented by the lay testimony. Id. The Court cited Green for the proposition that a jury may reject expert testimony of insanity and rely upon lay testimony that the defendant was sane at the time of the crime. Id. Like Green, the conflicting evidence that provided sufficient grounds for the jury's finding of sanity was based on a conflict between lay testimony and expert testimony, not a conflict between experts.[12] Id.

Moreover, as a matter of law, a person is either sane or insane at the time of the crime; there is no intermediate ground. Marley v. State, 747 N.E.2d 1123, 1128 (Ind.2001) (quoting Cowell v. State, 263 Ind. 344, 331 N.E.2d 21, 24 (1975) (providing that "complete mental incapacity must be demonstrated before criminal responsibility can be relieved")). The trier of fact therefore has one of only two options with regard to insanity. And its decision must be based on probative evidence, which means "[e]vidence that tends to prove or disprove a point in issue." Black's Law Dictionary 639 (9th ed.2009). An expert witness who is called to testify as to his or her opinion, in an effort to aid the trier of fact, and who testifies that he or she has no opinion does not provide probative evidence.

A-2

 

The expert testimony in this case did not conflict. Although Dr. Davidson submitted a preliminary report opining that the defendant was sane at the time of the murder, he recanted that opinion under cross-examination in light of learning critical facts. The State contends that Dr. Davidson's equivocation illustrates that the expert testimony was in conflict. We disagree.

First, the State's argument is not consistent with our prior cases. Both Green and Rogers involved an expert who was unable to form an opinion as to the defendant's sanity. We affirmed the convictions in both cases only because there was conflicting lay evidence. Under the State's view that no opinion represents a conflicting opinion, both Green and Rogers could have been affirmed without a discussion of the lay evidence, given our consistent holdings as to the value and sufficiency of conflicting expert testimony.

Second, the trial court's findings preclude the possibility of a true conflict in the expert testimony because it did not give any weight to the expert testimony in this case. Rather, the trial court focused its analysis on demeanor evidence to support its finding that the defendant was guilty but mentally ill. It mentions the experts only once, as a preface to its finding that the defendant meets the definition of "mentally ill," and merely states that "[e]ach of the examining doctors . . . were divided on the issue of insanity." Appellant's App. 258. Given the consistent holdings of this Court with respect to the strength of conflicting expert testimony in sustaining a finding of sanity, and given the trial court's analysis in this case, the trial court clearly did not make a finding that the expert testimony was in conflict. Thus, the experts' testimony about the defendant's [712] insanity at the time of the crime did not conflict.

B

 

Where there is no conflict among the expert opinions that the defendant was insane at the time of the offense, there must be other evidence of probative value from which a conflicting inference of sanity can be drawn. See Thompson, 804 N.E.2d at 1152 (Sullivan, J., concurring). Such probative evidence is usually in the form of lay opinion testimony that conflicts with the experts or demeanor evidence that, when considered in light of the other evidence, permits a reasonable inference of sanity to be drawn.

B-1

 

In many cases, there will be lay opinion testimony that the defendant was sane at the time of the crime. Credible and informed lay opinion testimony as to the defendant's mental state at the time of the crime may be sufficiently probative to support a trier of fact's determination of sanity, even where there is unanimous expert testimony to the contrary. See, e.g., Barany, 658 N.E.2d at 64; Green, 469 N.E.2d at 1172. Lay witnesses who are familiar with and observe the defendant at or around the time of the crime reasonably may be able to give a more accurate account of the defendant's mental state at the time of the crime than experts who examine the defendant months later. See Thompson, 804 N.E.2d at 1149.

For instance, in Gambill, we affirmed the conviction of a mother convicted of murdering her son because there was lay opinion testimony that conflicted with the unanimous expert testimony. 675 N.E.2d 668. One of the officers who spent time with the defendant at the hospital in the immediate aftermath of her arrest had attended high school with the defendant, and based on his familiarity with her and his observations of her on the day of the murder, he testified that, in his lay opinion, she was able to appreciate the wrongfulness of her conduct at the time of the crime. Id. at 672; see also Green, 469 N.E.2d at 1172. A jail-house informant with whom the defendant discussed the murder also testified that she believed the defendant was able to appreciate the wrongfulness of her conduct at the time of the murder. Gambill, 675 N.E.2d at 671-72. Additionally, the defendant made several self-serving exculpatory statements during the immediate aftermath of the murder — namely, she did not tell medical personnel of her heavy drug use that day, and she told a motorist who gave her a ride that she had been raped and that her former boyfriend had hurt her son. Id. at 672-73.

B-2

 

Even where there is no conflict among the experts and the lay witnesses, a finding that a defendant was sane at the time of the crime still may be sustained by probative demeanor evidence from which a conflicting inference of sanity may be drawn. See Thompson, 804 N.E.2d at 1149. We have recognized the importance of demeanor evidence in insanity cases. Demeanor is useful because a defendant's "behavior before, during, and after a crime may be more indicative of actual mental health at [the] time of the crime than mental exams conducted weeks or months later." Id. (citing Barany, 658 N.E.2d at 64).

Demeanor evidence may be most useful where there is some indication that the defendant is feigning mental illness and insanity. E.g., Thompson, 804 N.E.2d 1146; Cate, 644 N.E.2d 546. In Thompson, we affirmed the defendant's conviction for residential entry because there was sufficient evidence of probative value to [713] sustain the trial court's finding that the defendant was not insane at the time of the crime. 804 N.E.2d at 1150. For instance, the defendant removed only her possessions once she entered the victim's residence, which reasonably suggested that she was aware that it was wrong to take things that did not belong to her. Id. at 1148. Moreover, as she fled from the scene of the crime, she was stopped momentarily by police but allowed to leave, which reasonably suggested that she was sufficiently lucid to continue about her business. Id. Thompson had also recently been discharged from the hospital with "no active psychotic symptoms . . . and was calm and pleasant without agitation." Id. at 1150. Finally, Thompson had a history of lying and "avoiding criminal responsibility through her illness." Id. Based on all of the probative evidence, the trial judge concluded that Thompson "knew her actions were wrong but was using her illness to manipulate the system." Id.; see also Cate, 644 N.E.2d at 547-48 (affirming the defendant's conviction because of inconsistencies in his story, which suggested feigning, and because there was probative demeanor evidence of defendant's lucidity upon arrest).

To be sure, demeanor evidence may be appropriate in cases where there is no evidence of feigning. For instance, the defendant in Barany was found by all three experts to have been legally insane at the time of the crime, but we affirmed his murder conviction because there was conflicting evidence of sanity given by lay witnesses. 658 N.E.2d at 64. Specifically, an investigating police detective testified that the defendant "talked about the victim's complaints and nagging" only a few hours after the crime. Id. Additionally, one of the defendant's friends testified that although the defendant engaged in unusual topics of conversation, he "seemed O.K." Id. Finally, the defendant told his sister that he believed the victim was calling the police when he killed her. Id. We concluded that "[t]he jury could have decided that this testimony about [the defendant's] behavior was more indicative of his actual mental health at the time of the killing than medical examinations conducted four weeks after the arrest." Id.

Although demeanor evidence often is useful, there are limits to its probative value. First, demeanor evidence is of more limited value when the defendant has a long history of mental illness with psychosis. As the Court of Appeals previously explained:

While the jury is the ultimate finder of fact, we fail to see how evidence of a defendant's demeanor before and after a crime can have much probative value when a schizophrenic defendant is involved.. ..
 
. . . .
 
 
The proposition that a jury may infer that a person's actions before and after a crime are "indicative of his actual mental health at the time of the" crime is logical when dealing with a defendant who is not prone to delusional or hallucinogenic episodes. However, when a defendant has a serious and well-documented mental disorder, such as schizophrenia, one that causes him to see, hear, and believe realities that do not exist, such logic collapses. . . .

 

Moler v. State, 782 N.E.2d 454, 458-59 (Ind.Ct.App.2003), trans. denied, 792 N.E.2d 43 (Ind.2003) (table). Demeanor evidence requires the trier of fact to infer what the defendant was thinking based on his or her conduct. The trier of fact uses its common knowledge of what is normal and what is abnormal to make these inferences. But insanity is not limited to the stereotypical view of a "raging lunatic" — a [714] person experiencing a psychotic delusion may appear normal to passersby.

Second, Indiana's insanity test is a purely cognitive test — it asks only what the defendant was thinking and whether he or she could appreciate the wrongfulness of his or her conduct. At one time, Indiana included, as a second basis for insanity, whether a defendant had the capacity to conform his or her conduct to the law — i.e., the irresistible impulse test. Green, 469 N.E.2d at 1171 (citing Ind.Code § 35-41-3-6(a) (Burns 1979)). This volitional component was removed from the statute in 1984. See Act of Feb. 24, 1984, No. 184, § 1, 1984 Ind. Acts 1501, 1501. Demeanor evidence thus had more probative value to negate a defense of insane conduct because of the volitional component of the insanity test. See, e.g., Taylor, 440 N.E.2d 1109.

Finally, demeanor evidence before and after a crime is of more limited value than the defendant's demeanor during the crime. The insanity defense concerns the defendant's mental state at the time of the crime. As such, Indiana law recognizes the defense of "temporary insanity." Gambill, 675 N.E.2d at 674-75; Flowers v. State, 236 Ind. 151, 139 N.E.2d 185, 196 (1956). The law thus allows for the possibility that a defendant will be legally insane at the time of the crime, but compos mentis immediately before and immediately after the crime. Therefore, a defendant's demeanor before and after a crime may be even less indicative of the defendant's mental state during the crime than demeanor evidence normally is.

Thus, as a general rule, demeanor evidence must be considered as a whole, in relation to all the other evidence. To allow otherwise would give carte blanche to the trier of fact and make appellate review virtually impossible. For instance, in Thompson and Gambill, the trial courts found that the defendant's flight from police was probative of sanity. But in Lyon v. State, the fact that the defendant did not flee but rather waited for police in the next room was probative of sanity. 608 N.E.2d 1368, 1369-70 (Ind.1993). If a piece of demeanor evidence standing alone is considered probative, evidence of the defendant's actions after the crime could be used as the sole basis for a finding of sanity, whether the defendant cooperated with police or not.

C

 

In this case, there was not sufficient evidence of probative value from which an inference of sanity could be drawn sufficient to create a conflict with the (nonconflicting) expert testimony that the defendant was insane at the time of the offense. First, there was no lay opinion testimony given that conflicted with the experts' opinions that the defendant was insane at the time of the stabbing. The three eyewitnesses to the stabbing called by the State testified that the defendant was showing familiar signs of "losing it." The defendant's aunt, who was sitting on the couch as her mother was stabbed only a few feet away, testified that the defendant had a "wild look" in his eye and that she recognized this as the look he gets right before he loses it. She also heard the defendant call his beloved grandmother the devil as he stabbed her. Two other witnesses — the defendant's mother and the defendant's friend — also testified that the defendant was showing signs of losing it in the days and hours leading up to the murder. Thus, unlike Thompson, where there was no lay opinion evidence on the issue of insanity, there were five lay witnesses in this case whose testimony supports the experts' opinions.

Second, there was not sufficient demeanor evidence of probative value from which [715] an inference of sanity could be drawn. The trial court based its findings on very little evidence. It found as probative of sanity the fact that, over the course of an hour, the defendant shopped, ate, and filled a car with gasoline without incident. It also found as probative the fact that the defendant cooperated with police after the fact. Viewed in isolation, each of these events may indeed represent the normal events of daily life. However, when viewed against the defendant's long history of mental illness with psychotic episodes, the defendant's demeanor during the crime, as testified to by three eyewitnesses, and the absence of any suggestions of feigning or malingering, this demeanor evidence is simply neutral and not probative of sanity.

Additionally, we are unable to agree with the trial court's conclusions that certain facts were probative of sanity. Two investigating officers testified that there was absolutely no evidence of a plan or motive. In light of this, the trial court found as probative of sanity the fact that the defendant, without any warning, stabbed his grandmother, his best friend with whom he had lived for seven years, in front of three family members while calling her the devil. We see nothing connecting the absence of plan or motive and the defendant acting without warning as he did as probative of sanity.

The trial court also found as probative of sanity the fact that the defendant deteriorated during trial to the point that he was deemed legally incompetent and was committed to a state hospital to regain competence. We do not find the defendant's deteriorating to incompetence to stand trial to be probative of his sanity at the time of the offense.

The trial court expressly found that the defendant deteriorates mentally and experiences psychosis when he does not take his medication. At the time of the stabbing, the defendant was supposed to be taking his medications twice a day. He told police, however, that he had not taken any prescription medication in two days. The trial court found this failure to take medication to be probative of sanity, but we do not, especially in light of the trial court's finding that the defendant became psychotic when not on his medication.

The trial court also relied on the defendant's demeanor during trial, when he was competent to stand trial, as probative of his sanity at the time of the crime. As discussed at length supra, a defendant's demeanor during court proceedings is certainly probative of sanity with regard to his or her competence to stand trial. See Manuel v. State, 535 N.E.2d 1159, 1162 (Ind.1989) (per curiam). But the probative value of a defendant's courtroom demeanor during trial as to his or her mental state at the time of the crime is doubtful. The justification for considering a defendant's demeanor before and after the crime is that conduct occurring in temporal proximity to the crime "may be more indicative of actual mental health at [the] time of the crime than mental exams conducted weeks or months later." Thompson, 804 N.E.2d at 1149. Trial proceedings, however, often occur many months or even years after the crime. In this case, the two-day bench trial occurred nearly a year after the murder. Thus, we do not find the fact that the defendant "was alert and oriented throughout the proceedings and assisted his counsel and the investigator" to be probative of his sanity at the time of the crime.

Finally, unlike Thompson and Cate, where there were suggestions of feigning or malingering, there is no evidence or suggestion that the defendant here feigned [716] his mental illness. The trial court expressly found as much with regard to defendant's long history of mental illness.

III

 

Because the insanity defense relieves a defendant of criminal responsibility, even where it is established beyond a reasonable doubt that he or she committed the criminal act, there is an inherent risk of abuse. We are mindful of these risks, which is why substantial deference is given to the trier of fact's finding of sanity. The trier of fact is in the best position to judge the credibility of the witnesses and to observe the defendant over a period of time. Accordingly, whether a defendant is malingering or feigning mental illness or insanity is clearly an appropriate consideration for the trier of fact. See Part II.B, supra.

It was not appropriate, however, for the trier of fact to consider the condition of our State's mental health system. Although raising the insanity defense opens the door to examining the defendant's entire life and allows in evidence that might otherwise be inadmissible under our rules of evidence, see Garner v. State, 704 N.E.2d 1011, 1014 (Ind.1998), what may or may not happen to the defendant in the future cannot be considered. The trier of fact must make its determination as to whether the defendant was insane at the time of the offense using only evidence and considerations that are relevant[13] to the defendant's mental state at the time of the offense.

The insanity defense may not be a constitutional mandate, see Clark v. Arizona, 548 U.S. 735, 748-49, 126 S.Ct. 2709, 165 L.Ed.2d 842 (2006), but it dates back to the twelfth century, see Francis Bowes Sayre, Mens Rea, 45 Harv. L.Rev. 974 (1932). Prior to the twelfth century, criminal law was based on principles of strict liability — the only inquiry was whether the criminal defendant committed the criminal act. See Sayre, supra, at 977. Toward the end of the twelfth century, the influences of ancient Roman law and canon law began to call into question the morality of punishing someone for a criminal act committed without criminal intent. See id. at 982-84. Insanity, like self-defense, thus became a basis for a royal pardon wherein the insane defendant was convicted of the charged offense but pardoned by the King. See id. at 1004-05.

Over the centuries, insanity became a defense to criminal responsibility. See, e.g., 4 William Blackstone, Commentaries on the Laws of England 24-25 (1769). Arguably the most clear and influential statement of the insanity defense came from the House of Lords in M'Naghten's Case, (1843) 8 Eng. Rep. 718 (H.L.). It was there held that the common law test for insanity had been and was "whether the accused at the time of doing the act knew the difference between right and wrong." Id. at 722. That is, a defendant was not criminally responsible if, at the time of the offense, he was unable to appreciate the wrongfulness of his conduct.

The insanity defense has undergone many changes since the mid-nineteenth century. One of the most significant was the development of the irresistible impulse test, which recognized volitional impairment as a basis for the insanity defense, and the subsequent expansion of both the cognitive and volitional tests embodied in the Model Penal Code. See Christopher Slobogin, An End to Insanity: Recasting [717] the Role of Mental Disability in Criminal Cases, 86 Va. L.Rev. 1199, 1211-12 (2000). Although many states, including Indiana, adopted some variation of the broader insanity defense during the 1960s and 1970s, most states repealed the volitional test after John Hinckley was found not guilty by reason of insanity for the attempted assassination of President Ronald Reagan in the early 1980s. See id. at 1214. Since then, many states, like Indiana, have reverted back to the original common law insanity test described in M'Naghten. Id. In fact, several states have abolished the insanity defense completely. See, e.g., Idaho Code Ann. § 18-207 (2004); Kan. Stat. Ann. § 22-3220 (2007); Mont.Code Ann. § 46-14-102 (2009).[14]

The Indiana General Assembly has chosen to return to our common law roots and hold criminally responsible only those defendants who are morally responsible for their actions. Judges must apply that law and find not responsible by reason of insanity those defendants who establish each component of the insanity defense by a preponderance of the evidence. It is not for the judicial branch to decide that a legally insane defendant should be convicted and sentenced to prison because of the condition of the State's mental health system.

The trial court erred in this case by entering a verdict of guilty but mentally ill when the evidence presented reasonably led only to a conclusion that the defendant was legally insane at the time of the offense. Underlying the trial court's decision was not a concern of malingering or feigning but a concern about the State's mental health system and the defendant's need for structure and constant supervision. Among the trial court's findings is that the defendant "lacks in-sight into the need for his prescribed medication" and "is in need of long term stabilizing treatment in a secure facility." The trial court also found that the defendant "repeatedly discontinued medication" and there was "no evidence that this pattern of conduct will not continue if [the defendant] is hospitalized and released, posing a danger to himself and others in the community."

Though made after the verdict, the trial court's statements at sentencing cast light on the rationale underlying the verdict.[15] The trial court confessed at sentencing that it viewed "[t]his case . . . as much a trial of our mental health system as . . . of a man." The court lamented that it could not simply commit the defendant to a mental health institution for the rest of his life — the "easy" decision. What made the court's decision so difficult was that it could not "in good conscience allow someone with . . . severe mental illness to return to the community."

To be sure, the trial court was not unreasonable in finding that the defendant's history of mental illness, his lack of insight into the need for medication, and his track record of mentally deteriorating after stopping his medication creates a high probability that the defendant will be a danger to himself and to others in the community if treated and released. Although such considerations may be relevant and appropriate during a commitment proceeding, [718] they are not relevant or appropriate in determining whether the defendant was legally insane at the time of the offense. Thus, while we sympathize with the difficulty of the trial court's decision, we cannot sustain it.

Conclusion

 

We reverse the judgment of the trial court.

RUCKER and DAVID, JJ., concur.

SHEPARD, C.J., dissents with separate opinion in which DICKSON, J., joins.

SHEPARD, Chief Justice, dissenting.

Gregory Galloway is someone who went shopping at a going-out-of-business sale in the morning, had some lunch at a local restaurant with his aunt and grandmother, and stopped off at a gas station to buy fuel and cigarettes. Galloway appeared normal all day; "everybody was happy," one of his companions said.

When Galloway arrived home, he stabbed his grandmother to death, and then immediately announced that he regretted what he had done. The finder of fact in this case, Judge Mary Willis, concluded on the basis of the admitted evidence that Galloway was not insane at the time of the crime, that is to say, that he knew killing his grandmother was wrong.

Of course, all of the testimony by psychiatrists and psychologists necessarily came from witnesses who were not present at the scene of the crime. They offered their observations based on records of Galloway's medical history from moments other than the hour of the killing and on direct observations of Galloway that occurred months or even years after the crime. One of these experts, Dr. Glenn Davidson, appointed by the court, concluded that Galloway was not insane at the time of the crime. Eyewitness evidence about how Galloway acted before and after the crime also supported the trial court's decision.

This was one of those cases where the defense argued that the perpetrator was sane right before the crime and sane right after the crime, but insane for the sixty seconds or so it took to commit it. Dr. Davidson's basic view was that it was unlikely that Galloway qualified as insane on the basis of a "very thin slice of disorganized thinking." (Tr. at 228.)

Defense counsel's vigorous cross-examination confronted Dr. Davidson with a host of hypotheticals ("now what if I told you") and asked as to each new proposed fact whether it would affect his diagnosis. It was twenty to thirty pages of the sort of energetic cross-examination tactics to which we lawyers are inured but which often befuddle the uninitiated. It finally left the witness saying, in the face of this onslaught, that he was unsure.

As the majority points out, juries and judicial factfinders are not required to take as completely true all or none of what witnesses say. They are entitled to believe and disbelieve some, all, or none of the testimony of experts and non-experts alike. Indeed, their assignment is to sort out truth from cacophony. It was altogether plausible that Judge Willis could credit Dr. Davidson's opinion that Galloway was sane and treat the doctor's answers under cross as less compelling. She could also, of course, give weight to Galloway's own contemporaneous declaration of regret right after he killed his grandmother.

To be sure, if the right of appeal is to be meaningful, both trial and appellate judges must be open to the possibility of mistake. We set a pretty tough standard for trial judges as to casting aside jury verdicts, for example, saying that they may do only when the jury's verdict is "against the weight of the evidence" or "clearly erroneous." [719] Ind. Trial Rule 59(J). Our rules require that the judge who sets aside a jury verdict explain in detail, if you will, why the judge is better at weighing the evidence than the members of the jury. The appellate standard is roughly the same, and appellate judges regularly declare that we who have not even seen the witnesses or the defendant should be extremely restrained when we contemplate announcing that our assessment of the weight of the evidence is superior to that of juries or judges who have seen both.

It seems straightforward enough that Dr. Davidson's testimony and the defendant's own demeanor at the time of the offense support Judge Willis's judgment. Thus, the appellate standard for reversal has not been met. Thompson v. State, 804 N.E.2d 1146, 1149 (Ind.2004) ("evidence is without conflict and leads only to the conclusion the defendant was insane.")

The majority declares that it is not relevant what may happen as a result of this reversal by appellate judges. Not many of our fellow citizens would not recognize this disclaimer of responsibility as legitimate.

As the majority does acknowledge, there is risk involved when appellate judges second-guess a jury or trial judge and acquit a criminal offender. If Galloway is declared not guilty by this Court, the prosecutor will initiate a civil commitment process to determine whether Galloway should be confined because his mental illness makes him a danger to himself or to others.

The one thing we know for sure about Mr. Galloway is that he is in actual fact a danger to others.

We also know what is likely to occur as a result of this Court setting aside Judge Willis's judgment: sooner or later, probably sooner rather than later, Galloway will be determined safe and turned back into society.

The reason we know that is that the civil commitment process has produced such an outcome over and over again with Mr. Galloway. The majority has recited the long trail of medical treatments and mental commitments. It has not focused much in that recitation on how the exercise of expert medical judgments and the civil commitment processes have combined to turn him back out on the street over and over again.

I count perhaps seventeen identifiable encounters by Galloway. But just to name a few, call it number 5, there was a May 1999 event in which Galloway's wife brought him in because he had been carrying around a gun and threatening to use it on his supervisor at work. This trip produced a prescription for medication and a period of outpatient treatment, then a failure to take his medications and a medical trail gone cold.

During encounter number 7, in April 2001, Galloway was admitted to the hospital because of aggressive and frightening behavior at home. He said he had been receiving messages from the television. This interaction with the system produced several months of monitoring during which Galloway took some of his medicines and not others. And then he was out.

During encounter number 8, Galloway was involuntarily committed because he had threatened to kill his neighbor and his grandmother. He was released from commitment and then admitted again just a month later, in March 2002. He stayed a few months at Richmond State Hospital before being declared safe for release.

In encounter number 13, not long before Galloway killed his grandmother, Galloway came under care after he stopped taking his medicines and began reporting hallucinations [720] and recurring thoughts of suicide. After being stabilized, he was discharged to live with his grandmother, with a result plain and painful for all to see.

I mention this litany—just salient elements in an even longer story—to suggest that some innocent future victim is placed at risk by this Court's decision to second-guess Judge Willis. A society that responds to such violence with tolerance should well expect that it will experience more violence than it would if it finally said, "This is unacceptable." Not knowing what I would say to the next victim, I choose to stand with Judge Willis and affirm the judgment of guilty but mentally ill.

DICKSON, J., joins.

[1] Ind.Code § 35-42-1-1(1) (2008).

[2] I.C. § 35-41-3-6(a).

[3] Axis I disorders are the mental health disorders recognized by the DSM-IV, except for personality disorders and mental retardation (which are both reported on Axis II). See Am. Psychiatric Ass'n, DSM-IV: Diagnostic and Statistical Manual of Mental Disorders 25-26 (4th ed.1994). Thus, a finding that the defendant has an Axis I disorder means that he has a recognized mental illness.

[4] The trial court tabulated the defendant's contacts with the mental health system; he has had at least 40 contacts since 1989, but more than 30 occurred after 2000. See Appellant's App. 251-55.

[5] Substance abuse is highly prevalent among people with mental illness, particularly schizophrenia and bipolar disorder. See generally Peter F. Buckley, Prevalence and Consequences of the Dual Diagnosis of Substance Abuse and Severe Mental Illness, 67 J. Clinical Psychiatry (Supp.7) 5 (2006). The probability of a person with bipolar disorder also having drug-abuse problems "is 11 times greater than in those with out bipolar disorder." Darrel A. Regier et al., Comorbidity of Mental Disorders with Alcohol and Other Drug Abuse: Results from the Epidemiologic Catchment Area (ECA) Study, 264 J. Am. Med. Ass'n 2511, 2514-15, 2516 tbl.3, 2517 (1990).

[6] The rationale underlying the insanity defense is that a legally insane person is unable to form the requisite criminal intent. See Truman v. State, 481 N.E.2d 1089, 1089-90 (Ind.1985) ("the inability to form intent by reason of insanity" is a defense to crime in Indiana).

[7] "Preponderance of the evidence" means "[t]he greater weight of the evidence, not necessarily established by the greater number of witnesses testifying to a fact but by evidence that has the most convincing force." Black's Law Dictionary 1301 (9th ed.2009). Thus, a defendant must convince the trier of fact that, in consideration of all the evidence in the case, he or she was more probably legally insane than legally sane at the time of the crime. See Gambill v. State, 675 N.E.2d 668, 676 (Ind. 1996).

[8] Indiana Code section 35-41-3-6 provides that a person is not criminally responsible for engaging in criminal acts "if, as a result of mental disease or defect, he was unable to appreciate the wrongfulness of the conduct at the time of the offense," and it defines a "mental disease or defect" as a "severely abnormal mental condition that grossly and demonstrably impairs a person's perception."

[9] The results of an NRI verdict and of a GBMI verdict are different. When an NRI verdict is rendered, the prosecutor is required to initiate a civil commitment proceeding under either section 12-26-6-2(a)(3) (temporary commitment) or section 12-26-7 (regular commitment) of the Indiana Code. See I.C. § 35-36-2-4. The defendant remains in custody pending the completion of the commitment proceeding. Id. The trial court may order the defendant committed if it finds by clear and convincing evidence that the defendant is currently mentally ill and either dangerous or gravely disabled. See Deal v. State, 446 N.E.2d 32, 34 (Ind.Ct.App.1983) (citing Addington v. Texas, 441 U.S. 418, 425-33, 99 S.Ct. 1804, 60 L.Ed.2d 323 (1979)), trans. denied. But see Foucha v. Louisiana, 504 U.S. 71, 87-88, 112 S.Ct. 1780, 118 L.Ed.2d 437 (1992) (O'Connor, J., concurring) (stating that it might be permissible for a state "to confine an insanity acquittee who has regained sanity if . . . the nature and duration of detention were tailored to reflect pressing public safety concerns related to the acquittee's continuing dangerousness"); Jones v. United States, 463 U.S. 354, 361-70, 103 S.Ct. 3043, 77 L.Ed.2d 694 (1983) (holding that a defendant who successfully establishes the insanity defense may be committed to a mental institution on the basis of the insanity judgment alone).

Unlike an NRI verdict, a GBMI verdict is a conviction. See I.C. § 35-36-2-5(a). The trial court sentences a GBMI defendant "in the same manner as a defendant found guilty of the offense," id., but the full consequences of a GBMI verdict are different from the consequences of a guilty verdict. See Georgopulos v. State, 735 N.E.2d 1138, 1141 (Ind.2000). Specifically, a physician must evaluate the GBMI defendant before sentencing, and the defendant must be appropriately treated and evaluated once in the Department of Correction's custody. Id. (citing I.C. § 35-36-2-5(b), (c)).

[10] The trial court is required to appoint two or three disinterested experts to examine the defendant and testify at trial as the court's witnesses, after the State and the defendant have both presented their respective cases. I.C. § 35-36-2-2(b). Additionally, the State and the defense may each employ its own expert(s) to testify along with the court's witnesses. Id.

[11] The "other evidence" included testimony from a detective that, based on his interactions with the defendant, in his lay opinion the defendant was sane. Green, 469 N.E.2d at 1172.

Moreover. . . . [a]fter beating her daughter with the skillet, Defendant changed her clothing, told her daughter's schoolmate that [the victim] was not going to school, packed a suitcase, ripped a page from an address book bearing the name of a friend in Chicago, withdrew money from the bank, purchased a bus ticket, and went to her friend's house.

Id.

[12] In Rogers, there was lay testimony that although the defendant "had a `weird' facial expression" earlier in the day, his speech and actions were "calmer" and he was not acting "crazy" at the time of the crime. 514 N.E.2d at 1261.

[13] Evidence is relevant if it has any tendency to make a fact of consequence more or less probable. Ind. Evidence Rule 401.

[14] Nevada also abolished the insanity defense, see Act of July 5, 1995, ch. 637, § 5, 1995 Nev. Stat. 2448, 2450, but the Nevada Legislature reinstated the defense in 2003, see Act of May 28, 2003, ch. 284, § 4, 2003 Nev. Stat. 1456, 1457 (codified as amended at Nev. Rev.Stat. Ann. § 174.035 (West Supp.2010)).

[15] We have previously considered the trial court's sentencing statements as illustrative of its reasoning with regard to the verdict, at least where the trial court was both the trier of law and the trier of fact. See Thompson, 804 N.E.2d at 1150.

10.5.16 US v. Rezaq 10.5.16 US v. Rezaq

918 F.Supp. 463 (1996)

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

Criminal No. 93-0284 (RCL).

United States District Court, District of Columbia.

March 12, 1996.

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

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

MEMORANDUM OPINION AND ORDER

LAMBERTH, District Judge.

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

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

DISCUSSION

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

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

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

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

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

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

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

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

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

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

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

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

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

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

B. Government's Request for a Preliminary Hearing

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCLUSION

For the foregoing reasons, it is hereby

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

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

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

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

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

SO ORDERED.

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

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

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

10.5.17 State v. Bottrell 10.5.17 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).

10.5.18 US v. Polizzi (545 F.Supp.2d 270) 10.5.18 US v. Polizzi (545 F.Supp.2d 270)

545 F.Supp.2d 270 (2008)

UNITED STATES of America,
v.
Peter POLIZZI, Defendant.

No. 06-CR-22(JBW).

United States District Court, E.D. New York.

April 1, 2008.

Benton J. Campbell, U.S. Attorney for the Eastern District of New York, by: Allen Lee Bode, for the Government.

Mitchell J. Dinnerstein, Esq., for Defendant Peter Polizzi.

[271] MEMORANDUM & LEGAL INSANITY CHARGE

JACK B. WEINSTEIN, Senior District Judge:

TABLE OF CONTENTS I. Introduction ..............................................................271 A. Defendant .............................................................271 B. Jury Charge on Legal Insanity .........................................272 C. Trial .................................................................272 D. Jury Verdict ..........................................................273 E. Post-Verdict Proceedings ..............................................273 II. Legal Insanity Defense ....................................................273 A. Federal Insanity Defense Reform Act ...................................273 B. Government's Proposed Insanity Charge .................................274 C. Defendant's Proposed Insanity Charge ..................................275 D. Insanity Charge Given by the Court ....................................276 1. Definition of "Wrongfulness" ......................................276 2. Rationale .........................................................278 a. A "Public Morality" Charge Would Be Prejudicial and Unnecessarily Vague .........................................279 b. Ewing Is Distinguishable ......................................280 c. Polizzi Did Not Directly Introduce Moral Justification ........280 III. Conclusion ................................................................280

I. Introduction

Defendant, Peter Polizzi, was charged with — and convicted after a jury trial of — twelve counts of receipt and eleven counts of possession of images of child pornography under 18 U.S.C. §.§ 2252(a) (2) and 2252(a)(4)(B), see Superseding Indictment, Mar. 8, 2007, Docket Entry No. 35, after a search of his home's detached garage resulted in the discovery of over 5,000 digital images stored on his computers and hard drives. At trial, Polizzi pleaded the affirmative defense of not guilty by reason of insanity under the federal Insanity Defense Reform Act of 1984 ("IDRA"), 18 U.S.C. § 17. The jury rejected the defense. Familiarity with the facts is assumed. See memorandum and order on motions to dismiss and for a new trial and on sentencing, United States v. Polizzi, No. 06-22, ___ F.Supp.2d ___, 2008 WL 1886006 (E.D.N.Y. Apr. 1, 2008).

The insanity defense was largely predicated on Polizzi's having himself been severely sexually abused as a child and the psychological aftereffects. The parties had considerable difficulty in suggesting the form of the jury charge under the unique circumstances of the case. See 18 U.S.C. § 17.

A. Defendant

Defendant's background was positive. See Part II.A of Polizzi, ___ F.Supp.2d ___. He was brought to this country when he was a young teenager after a childhood in Sicilian poverty; had little formal education, yet, after teaching himself to play an instrument, led a popular local band; worked extremely long hours at menial labor as a boy, and then bought and built-up a successful restaurant; had a loving wife and five supportive lawfully engaged sons; lived in a fine home; was well respected in the community by the [272] police, clergy and others; had no criminal record; viewed the charged pornography downloaded from the Internet alone in a double-locked room above his garage; and, upon his arrest, cooperated fully with the police, suggesting to them that whoever participated in producing these dreadful pornographic images should be prosecuted. His testimony as to the severe sexual abuse he had suffered while a child in Sicily was credible and moving.

B. Jury Charge on Legal Insanity

At trial the only contested issue was Polizzi's affirmative defense of legal insanity. See 18 U.S.C. § 17. Polizzi admitted collecting child pornography and described at length how and why he began to do so. His testimony — accepted as truthful by the jury — was that severe childhood sexual abuse had caused him, as an adult, to develop what experts referred to as an obsessive-compulsive disorder ("OCD") and hoarding behavior as well as a post-traumatic stress disorder ("PTSD"). As a result of the trauma he re-experienced upon accidentally stumbling across child pornography on the Internet and seeing other children being sexually abused, he claimed he began to collect child pornography to turn over to law enforcement in a misguided attempt to "help the children." Until his arrest, however, Polizzi never told anyone about his collection.

The definition of legal insanity was critical. The parties' proposed jury instructions, and in particular their definitions of "wrongfulness," were sharply contrasting. The government requested that the court, based on a recent Seventh Circuit Court of Appeals decision, United States v. Ewing, 494 F.3d 607, 618 (7th Cir.2007), issue a jury charge defining "wrongfulness" under the IDRA to be "contrary to public morality, as well as contrary to law." Govt.'s Req. to Charge 29, Aug. 20, 2007, Docket Entry No. 59 (emphasis added); see Govt.'s Letter Objecting to Def.'s Req. to Charge 1-2, Sept. 5, 2007, Docket Entry No. 67; Govt.'s Mem. of Law in Support of Proposed Jury Req. No. 18: Aff. Defense — Insanity 8-11, Sept. 12, 2007, Docket Entry No. 75. Defendant opposed, arguing for a standard jury instruction based on 1 Leonard Sand, et al., Modern Federal Jury Instructions — Criminal § 8.09 (2007), which does not specifically define "wrongfulness." Def.'s Req. to Charge 9-10, Sept. 5, 2007, Docket Entry No. 66; Def.'s Letter Br. on Aff. Defense of Insanity 1-2, Sept. 14, 2007, Docket Entry No. 76. The court denied both requests and issued its own instruction, defining "wrongfulness" as "unlawfulness." See Part II, infra, for reasons. No objection was taken to the court's formulation.

C. Trial

At trial, defendant's receipt and possession of the pornographic images and the fact that the images depicted minors engaging in sexually explicit conduct were not disputed.

To satisfy the IDRA, Polizzi had the burden of proving by "clear and convincing" evidence that he was legally insane when the offenses occurred in that he: 1) had a "severe mental disease or defect" at the time he downloaded the images over a period of some five years; and 2) as a result he had been "unable"to appreciate the nature and quality or the wrongfulness of his acts." 18 U.S.C. § 17. The statute reads in pertinent part as follows:

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 [273] his acts. Mental disease or defect does not otherwise constitute a defense.

Id.

Focusing on Polizzi's childhood sexual abuse, the defense emphasized its lasting psychological effects as manifested in his post-traumatic stress and obsessive-compulsive disorders. See Dr. Goldsmith's Addendum: Psych. Rep. 1, Jan. 2, 2007 ("[W]hen viewing child pornography on the Internet [Polizzi] had a retraumatizing experience. In a regressed and obsessive state he downloaded and searched child pornographic images for evidence of victimization, something he had experienced as a child."). According to defense counsel,

Mr. Polizzi was doing what he believed to be right. He could not appreciate that downloading pictures of the children was wrong. What is wrong, what Mr. Polizzi knows is wrong ... is child abuse.... Mr. Polizzi, in a wrong way maybe, but in his way because of his psychological trauma, is trying to figure out a way to stop child abuse.

Trial Tr. 1368; see id. at 782. Polizzi attempted to prove legal insanity through his own and expert testimony. The government rebutted defense contentions with its own expert who found no mental disease or defect. See Part II.B.6 of Polizzi, ___ F.Supp.2d ___.

D. Jury Verdict

The jury found Polizzi guilty on all counts. During jury deliberations, it was evident from its questions that it rather quickly decided the issue of guilt. Determining whether Polizzi had carried his burden of proving legal insanity took the jury several days during which jurors reviewed the exhibits concerning Polizzi's mental condition. Trial Tr. 1439.

The jury ultimately rejected" Polizzi's defense of legal insanity. It was justified in doing so. Despite defendant's mental problems, a jury could find that he was able to appreciate the nature and quality and the wrongfulness of his acts (i.e., the downloading and possessing images of child pornography). See 18 U.S.C. § 17. At the time he obtained and viewed the images, Polizzi testified, he believed he was not violating the law or morality. Once he was told his actions were illegal, he understood they were wrong. See Trial Tr. 1047, 1105 ("Now I know it's wrong, but back then I didn't — I didn't know it was wrong"); id. at 667 ("When we [the police] explained the circumstances to him of what possessing child pornography was, what it actually meant, he was remorseful. He understood that it isn't just possessing pictures, we spoke to him about that. It wasn't just having these images and looking at them that, it was damaging children and he became remorseful.").

E. Post-Verdict Proceedings

After the jury was discharged, some members of the jury supported a sentence providing for mental health treatment rather than imprisonment. See id. at 1454-59. They wanted treatment and close supervision to prevent a recurrence, not the mandatory minimum term of no less than five years' incarceration.

II. Legal Insanity Defense

A. Federal Insanity Defense Reform Act

As noted above, the insanity defense incorporated by Congress in the IDRA provides that it is "an affirmative defense" that "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." 18 U.S.C. § 17(a). The defendant has the burden of [274] proof "by clear and convincing evidence." 18 U.S.C. § 17(b).

The IDRA does not define "wrongfulness." M'Naghten's Case, 8 Eng. Rep. 718 (1843), upon which the IDRA is based, specifically "used the term `wrong' instead of `illegal' to prevent confound[ing] the jury, by inducing them to believe that an actual knowledge of the law of the land was essential in order to lead to a conviction." Ewing, 494 F.3d at 619 (quoting M'Naghten, 8 Eng. Rep. at 723). Since the enactment of the IDRA, only three published opinions have directly addressed the definition of wrongfulness under the IDRA. See id.; United States v. Dubray, 854 F.2d 1099 (8th Cir.1988); United States v. Danser, 110 F.Supp.2d 807 (S.D.Ind.1999).

The Ewing court provided a matrix of alternative possible interpretations:

In the context of the insanity defense, courts and scholars have generally proposed three alternative definitions for the term: (1) legal wrongfulness, as in "contrary to law"; (2) moral wrongfulness, as in "contrary to public morality," determined objectively by reference to society's condemnation of the act as morally wrong; or (3) moral wrongfulness, as in "contrary to personal morality," determined subjectively by reference to the defendant's belief that his action was morally justified (even if he appreciated that it was illegal or contrary to public morality).

Ewing, 494 F.3d at 616.

Following this schema, the government's proposed jury charge in the instant case requested both definitions (1) and (2); defendant's proposed pattern jury charge left open the specific definition of wrongfulness; and the court's actual jury charge endorsed the first definition only, legal wrongfulness. See Ct.'s Jury Charge 18 ("`Wrongfulness' means in this case `unlawfulness.'"). Somewhat ambiguous, the proposed government charge could have been construed as requiring proof of both forms of wrongfulness.

B. Government's Proposed Insanity Charge

The government's complete proposed jury instruction on the affirmative defense of insanity under the IDRA was as follows:

AFFIRMATIVE DEFENSE — INSANITY

The defendant claims to have been insane at the time that the crimes charged in the indictment were allegedly committed. Since the law does not hold a person criminally accountable for his or her conduct while insane, insanity is a defense to the crime charged. The sanity of the defendant at the time of the alleged offenses is, therefore, a question which you must decide.

To be found to be insane, the defendant must prove by clear and convincing evidence that:

First: He had a severe mental disease or defect at the time that the acts constituting the crime charged were committed, and

Second: As a result of this severe mental disease or defect, he was not able to appreciate the nature and quality or wrongfulness of his acts. In other words, he was unable to understand what he was doing or to understand what he was doing was wrong.

The term "wrongfulness" as used in these instructions means contrary to public morality, as well as contrary to law.

However, evidence that the defendant knew his conduct was contrary to law may be considered by you in determining [275] whether the defendant appreciated that his conduct was contrary to public morality.

The defendant must prove his insanity at the time of the offense by clear and convincing evidence, that is, the defendant must show that it is highly probable that he was insane at that time.

In making your decision, you may consider evidence of the mental condition of the defendant before or after the crime charged and you may consider not only, the statements and opinions of any experts who have testified, but also all of the other evidence received in the case.

If you find that the defendant committed the acts described in the essential elements of the crimes charged, but that the defendant was legally insane at the time that the acts were committed, you must find the defendant "not guilty only by reason of insanity."

Applying all of the other instructions given to you, you may also find the defendant "guilty" or "not guilty."

Even though the defendant has raised the issue of insanity, the government still has the burden of proving all of the essential elements of the offenses charged beyond a reasonable doubt. [Adapted from 1A Kevin F. O'Malley, et al., Federal Jury Practice and Instructions § 19.03 (5th ed. 2007); 18 U.S.C. § 17; Ewing, 494 F.3d 607.]

Govt's Req. to Charge 30 (emphasis added). In Ewing, the Court of Appeals for the Seventh Circuit upheld a virtually identical instruction. 494 F.3d at 613 (approving of a "contrary to public morality, as well as contrary to law" charge).

C. Defendant's Proposed Insanity Charge

The defense's proposed insanity charge, based on 1 Sand, supra, § 8.09, did not include any definition of "wrongfulness" but applied the IDRA's test:

AFFIRMATIVE DEFENSE — SEVERE MENTAL DISEASE OR DEFECT

You have heard evidence tending to show that the defendant was insane at the time that the crime was committed. Specifically, I am referring to the testimony of Dr. Eric Goldsmith. The Government has offered evidence in rebuttal tending to show that the defendant was sane. Specifically, I am referring to the testimony of Dr. N.G. Berrill. The burden of proof is on the defendant to prove by clear and convincing evidence that he was insane at the time of the acts.

The acts in this case, is as described by the Government, that the defendant downloaded onto his computer the material described in the indictment. The Government says that the unlawful conduct is the receipt and possession of the downloaded material.

The defense on the other hand says that the defendant due to a severe mental disease or defect at the time of the commission of the acts constituting the offense was unable to appreciate the nature and quality or the wrongfulness of his acts, that is the downloading of the material.

Under the law, a defendant is not guilty if he was insane when the crime was committed. The law defines insanity to mean that a person is not criminally responsible for criminal conduct if, at the time of such conduct, as a result of a severe mental disease or defect, he was unable to appreciate the nature and the quality or wrongfulness of his acts.

When I speak about a mental defect, I do not refer to any particular medical [276] term, even though the opposing doctors did make reference to medical terms.

It is for you to determine whether the defendant is suffering from a mental disease or defect not the doctors.

If you unanimously agree that the defendant has proven the affirmative defense of insanity by clear and convincing evidence, then you must find the defendant not guilty by reason of mental disease or defect. If you unanimously agree that the government has proven each element of the offense beyond a reasonable doubt and you unanimously agree that the defendant has not proven this defense of insanity by clear and convincing evidence then you must find the defendant guilty. If you cannot agree unanimously on whether the defendant has established the affirmative defense of insanity, then you cannot return any verdict. [See 1 Sand, supra, § 8.09.]

Def.'s Req. to Charge 9-10 (emphasis added).

By emphasizing that the acts involved — the acts which defendant claimed "as a result of a severe mental disease or defect, he was unable to appreciate the[ir] nature and the quality or wrongfulness" — were the passive downloading onto his computer of the images involved, Polizzi reminded the jury that his offense was not a typical violent act. See Def.'s Letter Br. on Aff. Defense of Insanity 2.

D. Insanity Charge Given by the Court

There was no need in the present case to explore with the jury the difference between moral and legal wrongfulness. See Dubray, 854 F.2d at 1101 ("The jury should be instructed on the distinction between moral and legal wrongfulness ... only where the evidence at trial suggests that this is a meaningful distinction in the circumstances of the case."). The child pornography pictures — both still and moving — were so hideously inappropriate that they were recognized by all participants in the trial, including defendant and the jury, as morally wrong and appropriately characterized as legally wrong. In context, "wrongfulness" and "unlawfulness" were congruent insofar as the receipt and possession of child pornography was criminal.

The term "appreciate" rather than "know" was used and defined. This approach is based on the IDRA itself as well as the well-conceived American Law Institute's Model Penal Code., See Model Penal Code § 4.01 (1985) ("lacks substantial capacity... to appreciate the criminality [wrongfulness] of his conduct") (original brackets).

"Substantial" rather than "total" lack of capacity was charged. Although "substantial" is in the Model Code, see id., it is not a term used in the statute. But absolutes are almost impossible to prove when dealing with the subtle and complex operations of the human mind. The word "substantial" gives play to the heavy — but far less than one hundred percent probability — burden placed upon defendant. See In re Winship, 397 U.S. 358, 367-68, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970) (probabilities of truth in various burdens of proof); NAACP v. AcuSport, Inc., 271 F.Supp.2d 435, 478-80 (E.D.N.Y.2003) (collecting cases and discussing the hierarchy of proof among the beyond a reasonable doubt, clear and convincing, and preponderance of evidence standards); United States v. Copeland, 369 F.Supp.2d 275, 333-34 (E.D.N.Y.2005) (recounting testimony describing differing burdens of proof).

1. Definition of "Wrongfulness"

The court's complete jury charge on the insanity defense was as follows:

[277] AFFIRMATIVE DEFENSE — LEGAL INSANITY

The defendant claims to have been legally insane at the time that the crimes charged in the indictment were allegedly committed. Because the law does not hold a person criminally responsible for his conduct while he is legally insane, legal insanity is a defense to the crime charged. You must decide whether the defendant was legally insane at the time of the alleged offense. [See 1A O'Malley, supra, § 19.03.]

That law that provides for the insanity defense is Section 17 of Title 18 of the United States Code. The statute reads as follows:

§ 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.

1) When the statute says "at the time" of the commission of the acts constituting the offense, it means at or about the times charged in the indictment.

2) When the statute says "severe mental disease or defect," it means that the defendant's mental disease or defect must be quite serious.

The "disease" need not be one defined by medical terminology. It may be a medically defined disease or one you as laypersons would call a disease.

The defect need not be one defined by medical terminology. It may be a medically defined defect or one you as laypersons would call a defect.

Either "disease" or "defect" is enough to constitute a defense.

3) The statute says, "was unable to appreciate the nature and quality or the wrongfulness of his acts." Either inability to appreciate the nature and quality of his acts or the wrongfulness of his acts is enough to establish the defense.

"Wrongfulness" means in this context "unlawfulness." The definition becomes somewhat subtle because a defendant does not have to know an act is illegal to be guilty of doing the act which constitutes the crime as defined by law. The specific intents charged here are essentially to download and to possess. Thus, when the statute says "unable to appreciate" the "wrongfulness" of his acts, you are, in effect, being asked to determine, "If he were told that the act was illegal, would he be able to understand, i.e., "appreciate," that he would be breaking the law by downloading or by possessing? Ask yourselves, for example, could he understand and appreciate that what he was doing was unlawful?

When the statute says "unable to appreciate the nature and quality of his acts," you are, in effect, being asked to determine whether he was able to understand, i.e, "appreciate," that he was downloading or possessing the charged images. Ask yourselves, for example, could he understand and appreciate that he was doing the act of downloading or possessing?

4) The statute uses the word "appreciate" rather than "know." That conveys a broader requirement of a sense of understanding than mere cognition. [278] [See Am. Law Inst., Model Penal Code § 4.01 (1985).] Ask yourselves, for example, was he not only intellectually able to understand, but was he emotionally able to realize the nature and quality or wrongfulness of his acts? For example, a child may say something by rote, but not understand what the words implicate and mean; in such an instance, the child does not appreciate what is being said.

5) To be held not responsible because of legal insanity, the defendant must, as a result of a mental disease or defect, either lack substantial capacity to appreciate the wrongfulness of his conduct or lack substantial capacity to appreciate the nature and quality of his acts. The standard requires not a total lack of capacity, but a substantial lack of capacity. [See id.]

An individual's failure to appreciate the criminality of his conduct may consist in a lack of awareness of what he is doing or a failure to apprehend the significance of his actions in some deeper sense. [This is substantially the American Law Institute's Model Penal Code definition in § 4.01, with the elimination of the language, "to conform his conduct to the requirements of law," which is not in the federal statute.]

The defendant has the burden of proving insanity by "clear and convincing evidence." That is a high degree of proof. It is higher than "more probable than not," but not as high as "beyond a reasonable doubt."

Experts for either side are not permitted to give an opinion about or infer whether the defendant was or was not able to appreciate the nature or wrongfulness of his conduct. They may give an opinion as to whether the defendant did or did not have the defect or disease relied upon as a defense. That ultimate issue is for you alone.

To summarize the insanity defense:

You have heard evidence tending to show that the defendant was legally insane at the time that the crime was committed. The government has offered evidence tending to show that he was not legally insane. The burden of proof is on the defendant to prove by clear and convincing evidence that he was legally insane at the time of the offense.

Under the law, a defendant is not guilty if he was legally insane when the crime was committed. The law defines insanity to mean that a person is not responsible for criminal conduct if at the time of such conduct, as a result of a severe mental disease or defect, he was unable to appreciate the nature and quality or wrongfulness of his acts. When the law speaks about a mental disease or defect, it does not refer to any particular medical term.

There are three possible verdicts in this case: not guilty, not guilty only by reason of insanity, or guilty.

Even though the defendant has raised the defense of insanity, the government still has the burden of proving all the elements of the offense beyond a reasonable doubt. [This recapitulation is essentially from 1 Sand, supra, § 8.09 (Instruction 8-10).]

Ct.'s Jury Charge 17-20 (emphasis added). When defining "knowingly" in another section of the charge, the court repeated that "[i]gnorance of the law is no excuse." Id. at 9.

2. Rationale

The problems of the relation of insanity to criminal culpability have long been daunting. See, e.g., United States v. Brawner, 471 F.2d 969, 1033 (D.C.Cir. [279] 1972) (adopting the Model Penal Code's test of "lack[ing] substantial capacity either to appreciate the criminality of his conduct or to conform his conduct to the requirements of the law"); Durham v. United States, 214 F.2d 862 (D.C.Cir.1954) (defining legal insanity as where the defendant's conduct was "the product of a mental disease or defect"); M'Naghten, 8 Eng. Rep. 718; Model Penal Code § 4.01 (combining the M'Naghten test and "irresistible impulse" test). Professor Herbert Wechsler, who led the drafting of the American Law Institute's definition, as well as the legislatures and courts that modified the ALI's language were more troubled with this subject than any other in the Penal Code. See Modern Penal Code § 4.01 cmt. and app. A-C; note Dr. M.S. Guttmacher's objection in Appendices A and B.

a. A "Public Morality" Charge Would Be Prejudicial and Unnecessarily Vague

There is merit in the government's contention that appreciation of both law and community views of morality must be considered in applying the statute. But a difficulty with the government's suggested use of a "contrary to public morality" charge is that community views of what should be punishable as pornography vary greatly. See Part III.F of Polizzi, ___ F.Supp.2d ___. To explicitly introduce the issue of morality in a case such as this one, particularly were the jury's knowledge of the harsh probable sentence blocked, see id. at Part II.B.5.b, would be likely to confuse many jurors.

"[T]here is no provable `national standard' [of obscenity]" .... It is neither realistic nor constitutionally sound to read the First Amendment as requiring that the people of Maine or Mississippi accept public depiction of conduct found tolerable in Las Vegas, or New York City. People in different States vary in their tastes and attitudes, and this diversity is not to be strangled by the absolutism of imposed uniformity.

Miller v. California, 413 U.S. 15, 32-33, 93 S.Ct. 2607, 37 L.Ed.2d 419 (1973) (quoting Jacobellis v. Ohio, 378 U.S. 184, 200, 84 S.Ct. 1676, 12 L.Ed.2d 793 (1964) (Warren, C.J., dissenting) (footnote and citations omitted)); see also Jacobellis, 378 U.S. at 197, 84 S.Ct. 1676 (Stewart, J., concurring) ("[F]aced with the task of trying to define what may be indefinable.... I shall not today attempt further to define the kinds of material I understand to be embraced within that shorthand description .... But I know it when I see it") (footnotes omitted).

Injecting a "public morality" element into the instruction unnecessarily complicates the jury's job, possibly leading to more intrajury conflicts and mistrials. As Justice Douglas warned in Roth v. United States,

Any test that turns on what is offensive to the community's standards is too loose, too capricious, too destructive of freedom of expression to be squared with the First Amendment. Under that test, juries can censor, suppress, and punish what they don't like, provided the matter relates to "sexual impurity" or has a tendency "to excite lustful thoughts." This is community censorship in one of its worst forms.

354 U.S. 476, 512, 77 S.Ct. 1304, 1 L.Ed.2d 1498 (1957) (Douglas, J., dissenting). But see Miller, 413 U.S. at 24, 93 S.Ct. 2607 (defining obscenity based on, in part, "whether the average person, applying contemporary community standards would find that the work, taken as a whole, appeals to the prurient interest") (quotations omitted). Just as there is no one-size-fitsall public morality given our country's extraordinary heterogeneity, the imposition into the insanity defense of local interpretations [280] of public morality via a jury composed of a cross-section of the local community compounds the difficulties of reaching a consensus verdict.

Here the statutory definition is fairly precise, so that the court need not be concerned with varying views of what is immoral pornography. See 18 U.S.C. § 2252(a)(2) (prohibiting knowing receipt of "any visual depiction ... if (A) the producing of such visual depiction involves the use of a minor engaging in sexually explicit conduct; and (B) such visual depiction is of such conduct"); 18 U.S.C. § 2252(a)(4)(B) (prohibiting knowing possession of same). There was no doubt that the charged images briefly shown at trial fell within the statutory law. Thus, a definition sticking closely to that in the statute defining the illegal acts, rather than adding the issue of general morality, was appropriate. The need for precision is particularly important in a case such as the present once, where the emotional animus of the community against the acts charged is great.

b. Ewing Is Distinguishable

Ewing, the case upon which the government primarily relies, is distinguishable. In contrast to Polizzi's case, Ewing's unusual facts did support a "contrary to public morality charge." There, the defense attempted to directly introduce the defense of moral justification by first proposing a non-pattern jury instruction focusing on the defendant's personal, subjective, morality. Ewing, 494 F.3d at 611-12. In response, the government suggested a charge defining wrongfulness as "contrary to public morality." The court "rejected the defendant's proposed instruction, concluding that it was an incorrect statement of law because it defined wrongfulness according to the defendant's personal standards of morality," but reserved judgment on the need for a wrongfulness instruction. Id. at 612.

At trial, evidence was introduced that Ewing, as a result of his paranoid schizophrenia conceded by the government, had attacked his victim, a judge, because he believed the judge to be part of a conspiracy to read his thoughts and steal his imagined twenty-five million dollar personal injury judgment. Only after the defendant's doctor testified that defendant had believed that his attack was morally justified did the court adopt the government's proposed charge. Id. at 612-13. The jury found Ewing guilty.

The Court of Appeals for the Seventh Circuit upheld the "contrary to public morality" instruction because the instruction "asked not whether the defendant believed he was justified based on his delusional view of reality, but whether society would judge his actions an appropriate response to his delusions." Id. at 619-20. Ewing's belief in the judge's participation in the mind-reading conspiracy against him — even if true — did not justify his knowingly throwing a Molotov cocktail into the courtroom. See id. at 619-20 (citing M'Naghten, 8 Eng. Rep. 718).

c. Polizzi Did Not Directly Introduce Moral Justification

Unlike the defendant in Ewing, Polizzi did not request a non-pattern jury instruction defining insanity in terms of his own subjective personal morality. Neither did he contend that he was morally justified in collecting child pornography, although that inference was arguably raised by his assertion that he had intended to turn his collection over to law enforcement to help the victimized children. The crux of his insanity claim lay in his assertion that seeing the images had retraumatized and reminded him of his own abuse; his PTSD, obsessive compulsiveness, and hoarding impulse caused him to begin collecting the images [281] as a way of "saving" the children by taking the images "off the Internet; and that he was searching for images of his uncle, his primary abuser, or of himself as a child. A "contrary to public morality charge" was irrelevant.

Regarding the government's objection that Polizzi would argue that he did not know child pornography was illegal in order to show he did not appreciate the legal wrongfulness of his actions, the court's instructions were sufficient. Although the jury was informed that "`[w]rongfulness' means in this context `unlawfulness,'" it was told that "a defendant does not have to know an act is illegal to be guilty of doing the act which constitutes the crime as defined by law;" rather, the question was, "`[i]f he were told that the act was illegal, would he be able to understand, i.e, `appreciate,' that he would be breaking the law by downloading or by possessing?'" Ct.'s Jury Charge 18. Emphasized was the rule that "[i]gnorance of the law is no excuse." Id. at 9.

Although Polizzi did testify that he did not know that child pornography was illegal, he told the jury he had been shocked to learn that such images existed on the Internet, believed they were wrong, and wished they were illegal. Trial Tr. 1047, 1105; see id. at 667. The jury could appropriately have concluded that Polizzi did appreciate the inherent wrongfulness of child pornography, and, once informed of the law, could appreciate that downloading it was illegal. It cannot be said that the defense was proved.

III. Conclusion

The proposed jury charges of the parties were properly rejected in favor of the charge given. There is no ground for a new trial on this ground. See Parts V-VI of Polizzi, ___ F.Supp.2d ___.

SO ORDERED.

10.6 Environmental Deprivation and Psychological Injury 10.6 Environmental Deprivation and Psychological Injury

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

10.6.5 Buck v. Bell 10.6.5 Buck v. Bell

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

v.

BELL, Superintendent of State Colony Epileptics and Feeble Minded.

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

Page 201

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

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

Page 203

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

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

Page 205

           Mr. Justice HOLMES delivered the opinion of the Court.

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

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

Page 206

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

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

Page 207

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

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

Page 208

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

          Judgment affirmed.

          Mr. Justice BUTLER dissents.

10.6.6 People v Kobayashi 10.6.6 People v Kobayashi

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

Court of Appeal, Second District,
Division 8.

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

No. B157685.

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

March 26, 2003.

 

Affirmed.

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

Attorneys and Law Firms

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

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

Opinion

COOPER, P.J.

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

PROCEDURAL HISTORY AND STATEMENT OF FACTS

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Defense psychologist

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

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

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

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

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

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

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

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

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

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

Arguments to the jury

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

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

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

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

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

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

 

CONTENTIONS ON APPEAL

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

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

DISCUSSION

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

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

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

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

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

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

2. There was no prejudicial instructional error.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

DISPOSITION

The judgment is affirmed.

 

We concur: RUBIN and BOLAND, JJ.

All Citations

Footnotes

 

1

 

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

 

2

 

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

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

 

3

 

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

 

4

 

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

 

5

 

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

 

6

 

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

 

7

 

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

 

8

 

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

 

9

 

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

 

10

 

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

 

11

 

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

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

 

12

 

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

 

13

 

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

 

14

 

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

 

15

 

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

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

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

 

16

 

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

 

17

 

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

 

18

 

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

 

19

 

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

 

20

 

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